Last updated on March 28th, 2023 at 03:12 am
Title 15 – Commerce and Foreign Trade–Volume 2
Subtitle B – Regulations Relating to Commerce and Foreign Trade (Continued)
CHAPTER III – INTERNATIONAL TRADE ADMINISTRATION, DEPARTMENT OF COMMERCE
SUBCHAPTER A – MISCELLANEOUS REGULATIONS
PART 300 [RESERVED]
PART 301 – INSTRUMENTS AND APPARATUS FOR EDUCATIONAL AND SCIENTIFIC INSTITUTIONS
§ 301.1 General provisions.
(a) Purpose. This part sets forth the regulations of the Department of Commerce and the Department of the Treasury applicable to the duty-free importation of scientific instruments and apparatus by public or private nonprofit institutions.
(b) Background. (1) The Agreement on the importation of Educational, Scientific and Cultural Materials (Florence Agreement; “the Agreement”) is a multinational treaty, which seeks to further the cause of peace through the freer exchange of ideas and knowledge across national boundaries, primarily by eliminating tariffs on certain educational, scientific and cultural materials.
(2) Annex D of the Agreement provides that scientific instruments and apparatus intended exclusively for educational purposes or pure scientific research use by qualified nonprofit institutions shall enjoy duty-free entry if instruments or apparatus of equivalent scientific value are not being manufactured in the country of importation.
(3) The Annex D provisions are implemented for U.S. purposes in Subchapter X, Chapter 98, Harmonized Tariff Schedule of the United States (HTSUS).
(c) Summary of statutory procedures and requirements. (1) U.S. Note 1, Subchapter X, Chapter 98, HTSUS, provides, among other things, that articles covered by subheadings 9810.00.60 (scientific instruments and apparatus), 9810.00.65 (repair components therefor) and 9810.00.67 (tools for maintaining and testing the above), HTSUS, must be exclusively for the use of the institutions involved and not for distribution, sale, or other commercial use within five years after entry. These articles may be transferred to another qualified nonprofit institution, but any commercial use within five years of entry shall result in the assessment of applicable duties pursuant to § 301.9(c).
(2) An institution wishing to enter an instrument or apparatus under tariff subheading 9810.00.60, HTSUS, must file an application with the Customs and Border Protection in accordance with the regulations in this section. If the application is made in accordance with the regulations, notice of the application is published in the
(3) Repair components for instruments or apparatus admitted duty-free under subheading 9810.00.60, HTSUS require no application and may be entered duty-free in accordance with the procedures prescribed in § 301.10.
(4) Tools specifically designed to be used for the maintenance, checking, gauging or repair of instruments or apparatus admitted under subheadings 9810.00.65 and 9810.00.67, HTSUS, require no application and may be entered duty-free in accordance with the procedures prescribed in § 301.10.
(d) Authority and delegations. The Act authorizes the Secretaries of Commerce and the Treasury to prescribe joint regulations to carry out their functions under U.S. Note 6, Subchapter X, Chapter 98, HTSUS. The Secretary of the Treasury has delegated authority to the Assistant Secretary for Enforcement, who has retained rulemaking authority and further delegated administration of the regulations to the Commissioner of the Customs and Border Protection. The authority of the Secretary of Commerce has been delegated to the Assistant Secretary for Enforcement and Compliance who has retained rulemaking authority and further delegated administration of the regulations to the Director of the Statutory Import Programs Staff.
§ 301.2 Definitions.
For the purposes of these regulations and the forms used to implement them:
(a) Director means the Director of the Statutory Import Programs Staff, International Trade Administration, U.S. Department of Commerce.
(b) The Commissioner means Commissioner of Customs and Border Protection, or the official(s) designated to act on the Commissioner’s behalf.
(c) CBP Port” or the Port means the port where a particular claim has been or will be made for duty-free entry of a scientific instrument or apparatus under subheading 9810.00.60, HTSUS.
(d) Entry means entry of an instrument into the Customs territory of the United States for consumption or withdrawal of an instrument from a Customs bonded warehouse for consumption.
(e) United States includes only the several States, the District of Columbia and the Commonwealth of Puerto Rico.
(f) Instrument means instruments and apparatus specified in U.S. Note 6(a), Subchapter X, Chapter 98, HTSUS. A combination of basic instrument or apparatus and accompanying accessories shall be treated as a single instrument provided that, under normal commercial practice, such combination is considered to be a single instrument and provided further that the applicant has ordered or, upon favorable action on its application, firmly intends to order the combination as a unit. The term “instrument” also covers separable components of an instrument that are imported for assembly in the United States in such instrument where that instrument, due to its size, cannot feasibly be imported in its assembled state. The components, as well as the assembled instrument itself, must be classifiable under the tariff provisions listed in U.S. Note 6(a), Subchapter X, Chapter 98, HTSUS. See paragraph (k) of this section and § 301.3(f). Unless the context indicates otherwise, instrument or apparatus shall mean a foreign “instrument or apparatus” for which duty-free entry is sought under subheading 9810.00.60, HTSUS. Spare parts typically ordered and delivered with an instrument are also considered part of an instrument for purposes of these regulations. The term “instruments” shall not include:
(1) Materials or supplies used in the operation of instruments and apparatus such as paper, cards, tapes, ink, recording materials, expendable laboratory materials, apparatus that loses identity or is consumed by usage or other materials or supplies.
(2) Ordinary equipment for use in building construction or maintenance; or equipment for use in supporting activities of the institution, such as its administrative offices, machine shops, libraries, centralized computer facilities, eating facilities, or religious facilities; or support equipment such as copying machines, glass working apparatus and film processors.
(3) General purpose equipment such as air conditioners, electric typewriters, electric drills, refrigerators.
(4) General-purpose computers. Accessories to computers which are not eligible for duty-free treatment are also ineligible. Scientific instruments containing embedded computers which are to be used in a dedicated process or in instrument control, as opposed to general data processing or computation, are, however, eligible for duty-free consideration.
(5) Instruments initially imported solely for testing or review purposes which were entered under bond under subheading 9813.00.30, HTSUS, subject to the provisions of U.S. Note 1(a), Subchapter XIII, Chapter 98, HTSUS, and must be exported or destroyed within the time period specified in that U.S. Note.
(g) Domestic instrument means an instrument which is manufactured in the United States. A domestic instrument need not be made exclusively of domestic components or accessories.
(h) Accessory has the meaning which it has under normal commercial usage. An accessory, whether part of an instrument or an attachment to an instrument, adds to the capability of an instrument. An accessory for which duty-free entry is sought under subheading 9810.00.60, HTSUS shall be the subject of a separate application when it is not an accompanying accessory. The existing instrument, for which the accessory is being purchased, may be domestic or, if foreign, it need not have entered duty free under subheading 9810.00.60, HTSUS.
(i) Accompanying accessory means an accessory for an instrument that is listed as an item in the same purchase order and that is necessary for accomplishment of the purposes for which the instrument is intended to be used.
(j) Ancillary equipment means an instrument which may be functionally related to the foreign instrument but is not operationally linked to it. Examples of ancillary equipment are vacuum evaporators or ultramicrotomes, which can be used to prepare specimens for electron microscopy. Further, equipment which is compatible with the foreign instrument, but is also clearly compatible with similar domestic instruments, such as a vacuum evaporator sold for use with an electron microscope, will be treated as ancillary equipment. A separate application will be required for ancillary equipment even if ordered with the basic instrument.
(k) Components of an instrument means parts or assemblies of parts which are substantially less than the instrument to which they relate. A component enables an instrument to function at a specified minimum level, while an accessory adds to the capability of an instrument. Applications shall not be accepted for components of instruments that did not enter duty-free under subheading 9810.00.60, HTSUS or for components of instruments being manufactured or assembled by a commercial firm or entity in the U.S. In determining whether an item is a component ineligible for duty-free consideration or an accessory eligible for such consideration, Customs and Border Protection shall take into account such factors as the item’s complexity, novelty, degree of integration and pertinency to the research purposes to be performed by the instrument as a whole. The above notwithstanding, separable components of some instruments may be eligible for duty-free treatment. See paragraph (f) of this section.
(l) Produced for stock means an instrument which is manufactured, on sale and available from a stock.
(m) Produced on order means an instrument which a manufacturer lists in current catalog literature and is able and willing to produce and have available without unreasonable delay to the applicant.
(n) Custom-made means an instrument which a manufacturer is willing and able to make to purchaser’s specifications. Instruments resulting from a development effort are treated as custom-made for the purposes of these regulations. Also, a special-order variant of a produced on order instrument, with significant modifications specified by the applicant, may be treated as custom-made.
(o) Same general category means the category in which an instrument is customarily classified in trade directories and product-source lists, e.g., scanning electron microscope, light microscope.
(p) Comparable domestic instrument means a domestic instrument capable or potentially capable of fulfilling the applicant’s technical requirements or intended uses, whether or not in the same general category as the foreign instrument.
(q) Specifications means the particulars of the structural, operational and performance characteristics or capabilities of a scientific instrument.
(r) Guaranteed specifications are those specifications which are an explicit part of the contractual agreement between the buyer and the seller (or which would become part of the agreement if the buyer accepted the seller’s offer), and refer only to the minimum and routinely achievable performance levels of the instrument under specified conditions. If a capability is listed or quoted as a range (e.g., “5 to 10 nanometers”) or as a minimum that may be exceeded (e.g., “5 angstroms or better”), only the inferior capability may be considered the guaranteed specification. Evidence that specifications are “guaranteed” will normally consist of their being printed in a brochure or other descriptive literature of the manufacturer; being listed in a purchase agreement upon which the purchase is conditioned; or appearing in a manufacturer’s formal response to a request for quote. If, however, no opportunity to submit a bid was afforded the domestic manufacturer or if, for any other reason, comparable guaranteed specifications of the foreign and domestic instruments do not appear on the record, other evidence relating to a manufacturer’s ability to provide an instrument with comparable specifications may, at the discretion of the Director, be considered in the comparison of the foreign and domestic instruments’ capabilities. Performance results on a test sample run at the applicant’s request may be cited as evidence for or against a guaranteed specification.
(s) Pertinent specifications are those specifications necessary for the accomplishment of the specific scientific research or science-related educational purposes described by the applicant. Specifications of features (even if guaranteed) which afford greater convenience, satisfy personal preferences, accommodate institutional commitments or limitations, or assure lower costs of acquisition, installation, operation, servicing or maintenance are not pertinent. For example, a design feature, such as a small number of knobs or controls on an instrument primarily designed for research purposes, would be a convenience. The ability to fit an instrument into a small room, when the required operations could be performed in a larger room, would be either a cost consideration or a matter of convenience and not a pertinent specification. In addition, mere difference in design (which would, for example, broaden the educational experience of students but not provide superior scientific capability) would not be pertinent. Also, characteristics such as size, weight, appearance, durability, reliability, complexity (or simplicity), ease of operation, ease of maintenance, productivity, versatility, “state of the art” design, specific design and compatibility with currently owned or ordered equipment are not pertinent unless the applicant demonstrates that the characteristic is necessary for the accomplishment of its scientific purposes.
§ 301.3 Application for duty-free entry of scientific instruments.
(a) Who may apply. An applicant for duty-free entry of an instrument under subheading 9810.00.60, HTSUS must be a public or private nonprofit institution which is established for educational or scientific purposes and which has placed a bona fide order or has a firm intention to place a bona fide order for a foreign instrument within 60 days following a favorable decision on the institution’s application.
(b) Application forms. Applications must be made on form ITA-338P which may be obtained from the Statutory Import Programs Staff, International Trade Administration, U.S. Department of Commerce, Washington, DC 20230, the Web site at http://ia.ita.doc.gov/sips/index.html, or from the various District Offices of the U.S. Department of Commerce.
(c) Where to apply. Applications must be filed with the U.S. Customs and Border Protection, at the address specified on page 1 of the form.
(d) Five copies of the form, including relevant supporting documents, must be submitted. One of these copies shall be signed in the original by the person in the applicant institution under whose direction and control the foreign instrument will be used and who is familiar with the intended uses of the instrument. The remaining four copies of the form may be copies of the original. Attachments should be fully identified and referenced to the question(s) on the form to which they relate.
(e) A single application (in the requisite number of copies) may be submitted for any quantity of the same type or model of foreign instrument provided that the entire quantity is intended to be used for the same purposes and provided that all units are included on a single purchase order. A separate application shall be submitted for each different type or model or variation in the type or model of instrument for which duty-free entry is sought even if covered by a single purchase order. Orders calling for multiple deliveries of the same type or model of instrument over a substantial period of time may, at the discretion of the Director, require multiple applications.
(f) An application for components of an instrument to be assembled in the United States as described in § 301.2(f) may be filed provided that all of the components for the complete, assembled instrument are covered by, and fully described in, the application. See also § 301.2(k).
(g) Failure to answer completely all questions on the form in accordance with the instructions on the form or to supply the requisite number of copies of the form and supporting documents may result in delays in processing of the application while the deficiencies are remedied, return of the application without processing, or denial of the application without prejudice to resubmission. Any questions on these regulations or the application form should be addressed to the Director.
§ 301.4 Processing of applications by the Department of the Treasury (Customs and Border Protection).
(a) Review and determination. The Commissioner shall date each application when received by Customs and Border Protection. If the application appears to be complete, the Commissioner shall determine:
(1) Whether the institution is a nonprofit private or public institution established for research and educational purposes and therefore authorized to import instruments into the U.S. under subheading 9810.00.60, HTSUS. In making this determination, the Commissioner may require applicants to document their eligibility under this paragraph;
(2) Whether the instrument or apparatus falls within the classes of instruments eligible for duty-free entry consideration under subheading 9810.00.60, HTSUS. For eligible classes, see U.S. Note 6(a), Subchapter X, Chapter 98, HTSUS; and
(3) Whether the instrument or apparatus is for the exclusive use of the applicant institution and is not intended to be used for commercial purposes. For the purposes of this section, commercial uses would include, but not necessarily be limited to: Distribution, lease or sale of the instrument by the applicant institution; any use by, or for the primary benefit of, a commercial entity; or use of the instrument for demonstration purposes in return for a fee, price discount or other valuable consideration. Evaluation, modification or testing of the foreign instrument, beyond normal, routine acceptance testing and calibration, to enhance or expand its capabilities primarily to benefit the manufacturer in return for a discount or other valuable consideration, may be considered a commercial benefit. In making the above determination, the Commissioner may consider, among other things, whether the results of any research to be performed with the instrument will be fully and timely made available to the public. For the purposes of this section, use of an instrument for the treatment of patients is considered noncommercial.
(b) Forwarding of applications to the Department of Commerce. If the Commissioner finds the application to be within the scope of the Act and these regulations, the Commissioner shall (1) assign a number to the application and (2) forward one copy to the Secretary of the Department of Health and Human Services (HHS), and two copies, including the one that has been signed in the original, to the Director. The Commissioner shall retain one copy and return the remaining copy to the applicant stamped “Accepted for Transmittal to the Department of Commerce.” The applicant shall file the stamped copy of the form with the Port when formal entry of the article is made. If entry has already occurred under a claim of subheading 9810.00.60, HTSUS , the applicant (directly or through his/her agent) shall at the earliest possible date supply the stamped copy to the Port. Further instructions for entering instruments are contained in § 301.8 of the regulations.
§ 301.5 Processing of applications by the Department of Commerce.
(a) Public notice and opportunity to present views. (1) Within 5 days of receipt of an application from the Commissioner, the Director shall make a copy available for public inspection during ordinary business hours of the Department of Commerce. Unless the Director determines that an application has deficiencies which preclude consideration on its merits (e.g., insufficient description of intended purposes to rule on the scientific equivalency of the foreign instrument and potential domestic equivalents), he shall publish in the
(2) If the Director determines that an application is incomplete or is otherwise deficient, he may request the applicant to supplement the application, as appropriate, prior to publishing the notice of application in the
(3) Requirement for presentation of views (comments) by interested persons. Any interested person or government agency may make written comments to the Director with respect to the question whether an instrument of equivalent scientific value, for the purposes for which the foreign instrument is intended to be used, is being manufactured in the United States. Except for comments specified in paragraph (a)(4) of this section, comments should be in the form of supplementary answers to the applicable questions on the application form. Comments must be postmarked no later than 20 days from the date on which the notice of application is published in the
(4) Comments by domestic manufacturers. Comments of domestic manufacturers opposing the granting of an application should:
(i) Specify the domestic instrument considered to be scientifically equivalent to the foreign article for the applicant’s specific intended purposes and include documentation of the domestic instrument’s guaranteed specifications and date of availability.
(ii) Show that the specifications claimed by the applicant in response to question 8 to be pertinent to the intended purpose can be equaled or exceeded by those of the listed domestic instrument(s) whether or not it has the same design as the foreign instrument; that the applicant’s alleged pertinent specifications should not be considered pertinent within the meaning of § 301.2(s) of the regulations for the intended purposes of the instrument described in response to question 7 of the application; or that the intended purposes for which the instrument is to be used do not qualify the instrument for duty-free consideration under the Act.
(iii) Where the comments regarding paragraphs (a)(4)(i) and (a)(4)(ii) of this section relate to a particular accessory or optional device offered by a domestic manufacturer, cite the type, model or other catalog designation of the accessory device and include the specification therefor in the comments.
(iv) Where the justification for duty-free entry is based on excessive delivery time, show whether:
(A) The domestic instrument is as a general rule either produced for stock, produced on order, or custom-made and;
(B) An instrument or apparatus of equivalent scientific value to the article, for the purposes described in response to question 7, could have been produced and delivered to the applicant within a reasonable time following the receipt of the order.
(v) Indicate whether the applicant afforded the domestic manufacturer an opportunity to furnish an instrument or apparatus of equivalent scientific value to the article for the purposes described in response to question 7 and, if such be the case, whether the applicant issued an invitation to bid that included the technical requirements of the applicant.
(5) Untimely comments. Comments must be made on a timely basis to ensure their consideration by the Director and the technical consultants, and to preserve the commenting person’s right to appeal the Director’s decision. The Director, at his discretion, may take into account factual information contained in untimely comments.
(6) Provision of general comments. A domestic manufacturer who does not wish to oppose duty-free entry of a particular application, but who desires to inform the Director of the availability and capabilities of its instrument(s), may at any time supply documentation to the Director without reference to a particular application. Such documentation shall be taken into account by the Director when applications involving comparable foreign instruments are received. The provision of general comments does not preserve the provider’s right to appeal the Director’s decision.
(b) Additions to the record. The Director may solicit from the applicant, from foreign or domestic manufacturers, their agents, or any other person or Government agency considered by the Director to have related competence, any additional information the Director considers necessary to make a decision. The Director may attach conditions and time limitations upon the provision of such information and may draw appropriate inferences from a person’s failure to provide the requested information.
(c) Advice from technical consultants. (1) The Director shall consider any written advice from the Secretary of HHS, or his delegate, on the question whether a domestic instrument of equivalent scientific value to the foreign instrument, for the purposes for which the instrument is intended to be used, is being manufactured in the United States.
(2) After the comment period has ended (§ 301.5(a)(3)), the complete application and any comments received and related information are forwarded to appropriate technical consultants for their advice.
(3) The technical consultants relied upon for advice include, but are not limited to, the National Institutes of Health (delegated the function by the Secretary of HHS), the National Institute of Standards and Technology and the National Oceanographic and Atmospheric Administration.
(d) Criteria for the determinations of the Department of Commerce – (1) Scientific equivalency. (i) The determination of scientific equivalency shall be based on a comparison of the pertinent specifications of the foreign instrument with similar pertinent specifications of comparable domestic instruments (see § 301.2(s) for the definition of pertinent specification). Ordinarily, the Director will consider only those performance characteristics which are “guaranteed specifications” within the meaning of § 301.2(r) of this part. In no event, however, shall the Director consider performance capabilities superior to the manufacturer’s guaranteed specifications or their equivalent. In making the comparison the Director may consider a reasonable combination of domestic instruments that brings together two or more functions into an integrated unit if the combination of domestic instruments is capable of accomplishing the purposes for which the foreign instrument is intended to be used. If the Director finds that a domestic instrument possesses all of the pertinent specifications of the foreign instrument, he shall find that there is being manufactured in the United States an instrument of equivalent scientific value for such purposes as the foreign instrument is intended to be used. If the Director finds that the foreign instrument possesses one or more pertinent specifications not possessed by the comparable domestic instrument, the Director shall find that there is not being manufactured in the United States an instrument of equivalent scientific value to the foreign instrument for such purposes as the foreign instrument is intended to be used.
(ii) Programs that may be undertaken at some unspecified future date shall not be considered in the Director’s comparison. In making the comparison, the Director shall consider only the instrument and accompanying accessories described in the application and determined eligible by the Customs and Border Protection. The Director shall not consider the planned purchase of additional accessories or the planned adaptation of the article at some unspecified future time.
(iii) In order for the Director to make a determination with respect to the “scientific equivalency” of the foreign and domestic instruments, the applicant’s intended purposes must include either scientific research or science-related educational programs. Instruments used exclusively for nonscientific purposes have no scientific value, thereby precluding the requisite finding by the Director with respect to “whether an instrument or apparatus of equivalent scientific value to such article, for the purposes for which the article is intended to be used, is being manufactured in the United States.” In such cases the Director shall deny the application for the reason that the instrument has no scientific value for the purposes for which it is intended to be used. Examples of nonscientific purposes would be the use of an instrument in routine diagnosis or patient care and therapy (as opposed to clinical research); in teaching a nonscientific trade (e.g., printing, shoemaking, metalworking or other types of vocational training); in teaching nonscientific courses (e.g., music, home economics, journalism, drama); in presenting a variety of subjects or merely for presenting coursework, whether or not science related (e.g., video tape editors, tape recorders, projectors); and in conveying cultural information to the public (e.g., a planetarium in the Smithsonian Institution).
(2) Manufactured in the United States. An instrument shall be considered as being manufactured in the United States if it is customarily “produced for stock,” “produced on order” or “custom-made” within the United States. In determining whether a U.S. manufacturer is able and willing to produce an instrument, and have it available without unreasonable delay, the normal commercial practices applicable to the production and delivery of instruments of the same general category shall be taken into account, as well as other factors which in the Director’s judgment are reasonable to take into account under the circumstances of a particular case. For example, in determining whether a domestic manufacturer is able to produce a custom-made instrument, the Director may take into account the production experience of the domestic manufacturer including (i) the types, complexity and capabilities of instruments the manufacturer has produced, (ii) the extent of the technological gap between the instrument to which the application relates and the manufacturer’s customary products, (iii) the manufacturer’s technical skills, (iv) the degree of saturation of the manufacturer’s production capability, and (v) the time required by the domestic manufacturer to produce the instrument to the purchaser’s specification. Whether or not the domestic manufacturer has field tested or demonstrated the instrument will not, in itself, enter into the decision regarding the manufacturer’s ability to manufacture an instrument. Similarly, in determining whether a domestic manufacturer is willing to produce an instrument, the Director may take into account the nature of the bid process, the manufacturer’s policy toward manufacture of the product(s) in question, the minimum size of the manufacturer’s production runs, whether the manufacturer has bid similar instruments in the past, etc. Also, if a domestic manufacturer was formally requested to bid an instrument, without reference to cost limitations and within a leadtime considered reasonable for the category of instrument involved, and the domestic manufacturer failed formally to respond to the request, for the purposes of this section the domestic manufacturer would not be considered willing to have supplied the instrument.
(3) Burden of proof. The burden of proof shall be on the applicant to demonstrate that no instrument of equivalent scientific value for the purposes for which the foreign instrument is to be used is being manufactured in the United States. Evidence of applicant favoritism towards the foreign manufacturer (advantages not extended to domestic firms, such as additional lead time, know-how, methods, data on pertinent specifications or intended uses, results of research or development, tools, jigs, fixtures, parts, materials or test equipment) may be, at the Director’s discretion, grounds for rejecting the application.
(4) Excessive delivery time. Duty-free entry of the instrument shall be considered justified without regard to whether there is being manufactured in the United States an instrument of equivalent scientific value for the intended purposes if excessive delivery time for the domestic instrument would seriously impair the accomplishment of the applicant’s intended purposes. For purposes of this section, (i) except when objective and convincing evidence is presented that, at the time of order, the actual delivery time would significantly exceed quoted delivery time, no claim of excessive delivery time may be made unless the applicant has afforded the domestic manufacturer an opportunity to quote and the delivery time for the domestic instrument exceeds that for the foreign instrument; and (ii) failure by the domestic manufacturer to quote a specific delivery time shall be considered a non-responsive bid (see § 301.5(d)(2)). In determining whether the difference in delivery times cited by the applicant justifies duty-free entry on the basis of excessive delivery time, the Director shall take into account (A) the normal commercial practice applicable to the production of the general category of instrument involved; (B) the efforts made by the applicant to secure delivery of the instruments (both foreign and domestic) in the shortest possible time; and (C) such other factors as the Director finds relevant under the circumstances of a particular case.
(5) Processing of applications for components. (i) The Director may process an application for components which are to be assembled in the United States into an instrument or apparatus which, due to its size, cannot be imported in its assembled state (see § 301.2(k)) as if it were an application for the assembled instrument. A finding by the Director that no equivalent instrument is being manufactured in the United States shall, subject to paragraph (d)(5)(ii) of this section, qualify all the associated components, provided they are entered within the period established by the Director, taking into account both the scientific needs of the importing institution and the potential for development of related domestic manufacturing capacity.
(ii) Notwithstanding a finding under paragraph (d)(5)(i) of this section that no equivalent instrument is being manufactured in the United States, the Director shall disqualify a particular component for duty-free treatment if the Director finds that the component is being manufactured in the United States.
(e) Denial without prejudice to resubmission (DWOP). The Director may, at any stage in the processing of an application by the Department of Commerce, DWOP an application if it contains any deficiency which, in the Director’s judgment, prevents a determination on its merits. The Director shall state the deficiencies of the application in the DWOP letter to the applicant.
(1) The applicant has 60 days from the date of the DWOP to correct the cited deficiencies in the application unless a request for an extension of time for submission of the supplemental information has been received by the Director prior to the expiration of the 60-day period and is approved.
(2) If granted, extensions of time will generally be limited to 30 days.
(3) Resubmissions must reference the application number of the earlier submission. The resubmission may be made by letter to the Director. The record of a resubmitted application shall include the original submission on file with the Department. Any new material or information contained in a resubmission, which should address the specific deficiencies cited in the DWOP letter, should be clearly labeled and referenced to the applicable question on the application form. The resubmission must be for the instrument covered by the original application unless the DWOP letter specifies to the contrary. The resubmission shall be subject to the certification made on the original application.
(4) If the applicant fails to resubmit within the applicable time period, the prior DWOP shall, irrespective of the merits of the case, result in a denial of the application.
(5) The Director shall use the postmark date of the fully completed resubmission in determining whether the resubmission was made within the allowable time period. Certified or registered mail, or some other means which can unequivocally establish the date of mailing, is recommended. Resubmission by fax, e-mail or other electronic means is acceptable provided an appropriate return number or address is provided in the transmittal. Resubmissions must clearly indicate the date of transmittal to the Director.
(6) The applicant may, at any time prior to the end of the resubmission period, notify the Director in writing that it does not intend to resubmit the application. Upon such notification, the application will be deemed to have been withdrawn. (See § 301.5(g).)
(7) Information provided in a resubmission that, in the judgment of the Director, contradicts or conflicts with information provided in a prior submission, or is not a reasonable extension of the information contained in the prior submission, shall not be considered in making the decision on an application that has been resubmitted. Accordingly, an applicant may elect to reinforce an orginal submission by elaborating in the resubmission on the description of the purposes contained in a prior submission and may supply additional examples, documentation and/or other clarifying detail, but the applicant shall not introduce new purposes or other material changes in the nature of the original application. The resubmission should address the specific deficiencies cited in the DWOP. The Director may draw appropriate inferences from the failure of an applicant to attempt to provide the information requested in the DWOP.
(8) In the event an applicant fails to address the noted deficiencies in the response to the DWOP, the Director may deny the application.
(f) Decisions on applications. The Director shall prepare a written decision granting or denying each application. However, when he deems appropriate, the Director may issue a consolidated decision on two or more applications. The Director shall promptly forward a copy of the decision to each applicant institution and to the
(g) Withdrawal of applications. The Director shall discontinue processing an application withdrawn by the applicant and shall publish notice of such withdrawal in the
(h) Nothing in this subsection shall be construed as limiting the Director’s discretion at any stage of processing to insert into the record and consider in making his decision any information in the public domain which he deems relevant.
§ 301.6 Appeals.
(a) An appeal from a final decision made by the Director under § 301.5(f) may be taken in accordance with U.S. Note 6(e), Subchapter X, Chapter 98, HTSUS, only to the U.S. Court of Appeals for the Federal Circuit and only on questions of law, within 20 days after publication of the decision in the
(b) An appeal may be taken by: (1) The institution which makes the application;
(2) A person who, in the proceeding which led to the decision, timely represented to the Secretary of Commerce in writing that he/she manufactures in the United States an instrument of equivalent scientific value for the purposes for which the instrument to which the application relates is intended to be used;
(3) The importer of the instrument, if the instrument to which the application relates has been entered at the time the appeal is taken; or
(4) An agent of any of the foregoing.
(c) Questions regarding appeal procedures should be addressed directly to the U.S. Court of Appeals for the Federal Circuit, Clerk’s Office, Washington, DC 20439.
§ 301.7 Final disposition of an application.
(a) Disposition of an application shall be final when 20 days have elapsed after publication of the Director’s final decision in the
(b) The Director shall notify the CBP Port when disposition of an application becomes final. If the Director has not been advised of the port of entry of the instrument, or if entry has not been made when the decision on the application becomes final, the Director shall notify the Commissioner of final disposition of the application.
(c) An instrument, the duty-free entry of which has been finally denied, may not be the subject of a new application from the same institution.
§ 301.8 Instructions for entering instruments through Customs and Border Protection under subheading 9810.00.60, HTSUS.
Failure to follow the procedures in this section may disqualify an instrument for duty-free entry notwithstanding an approval of an application on its merits by the Department of Commerce.
(a) Entry procedures. (1) An applicant desiring duty-free entry of an instrument may make a claim at the time of entry of the instrument into the Customs territory of the United States (as defined in 19 CFR 101.1) that the instrument is entitled to duty-free classification under subheading 9810.00.60, HTSUS.
(2) If no such claim is made the instrument shall be immediately classified without regard to subheading 9810.00.60, HTSUS , duty will be assessed, and the entry liquidated in the ordinary course.
(3) If a claim is made for duty-free entry under subheading 9810.00.60, HTSUS , the entry shall be accepted without requiring a deposit of estimated duties provided that a copy of the form, stamped by Customs and Border Protection as accepted for transmittal to the Department of Commerce in accordance with § 301.4(b), is filed simultaneously with the entry.
(4) If a claim for duty-free entry under subheading 9810.00.60, HTSUS is made but is not accompanied by a copy of the properly stamped form, a deposit of the estimated duty is required. Before the entry is liquidated, the applicant must file with the CBP Port a properly stamped copy of the application form. In the event that the CBP Port does not receive a copy of the properly stamped application form before liquidation, the instrument shall be classified and liquidated in the ordinary course, without regard for subheading 9810.00.60, HTSUS.
(5) Entry of an instrument after the Director’s approval of an application. Whenever an institution defers entry until after it receives a favorable final determination on the application for duty-free entry of the instrument, either by delaying importation or by placing the instrument in a bonded warehouse or foreign trade zone, the importer shall file with the entry of the instrument (i) the stamped copy of the form, (ii) the institution’s copy of the favorable final determination and (iii) proof that a bona fide order for the merchandise was placed on or before the 60th day after the favorable decision became final pursuant to § 301.7 of these regulations. Liquidation in such case shall be made under subheading 9810.00.60, HTSUS.
(b) Normal Customs and Border Protection entry requirements. In addition to the entry requirements in paragraph (a) of this section, the normal Customs and Border Protection entry requirements must be met. In most of the cases, the value of the merchandise will be such that the formal Customs and Border Protection entry requirements, which generally include the filing of a Customs and Border Protection entry bond, must be complied with. (For further information, see 19 CFR 142.3 and 142.4 (TD-221).)
(c) Late filing. Notwithstanding the preceding provisions of this section any document, form, or statement required by regulations in this section to be filed in connection with the entry may be filed at any time before liquidation of the entry becomes final, provided that failure to file at the time of entry or within the period for which a bond was filed for its production was not due to willful negligence or fraudulent intent. Liquidation of any entry becomes conclusive upon all persons if the liquidation is not protested in writing in accordance with 19 CFR part 174, or the necessary document substantiating duty-free entry is not produced in accordance with 19 CFR 10.112. Upon notice of such final and conclusive liquidation, the Department of Commerce will cease the processing of any pending application for duty-free entry of the subject article. In all other respects, the provisions of this section do not apply to Department of Commerce responsibilities and procedures for processing applications pursuant to other sections of these regulations.
(d) Payment of duties. The importer of record will be billed for payment of duties when Customs and Border Protection determines that such payment is due. If a refund of a deposit made pursuant to paragraph (a)(4) of this section is due, the importer should contact Customs and Border Protection officials at the port of entry, not the Department of Commerce.
§ 301.9 Uses and disposition of instruments entered under subheading 9810.00.60, HTSUS.
(a) An instrument granted duty-free entry may be transferred from the applicant institution to another eligible institution provided the receiving institution agrees not to use the instrument for commercial purposes within 5 years of the date of entry of the instrument. In such cases title to the instrument must be transferred directly between the institutions involved. An institution transferring a foreign instrument entered under subheading 9810.00.60, HTSUS within 5 years of its entry shall so inform the CBP Port in writing and shall include the following information:
(1) The name and address of the transferring institution.
(2) The name and address of the transferee.
(3) The date of transfer.
(4) A detailed description of the instrument.
(5) The serial number of the instrument and any accompanying accessories.
(6) The entry number, date of entry, and port of entry of the instrument.
(b) Whenever the circumstances warrant, and occasionally in any event, the fact of continued use for 5 years for noncommercial purposes by the applicant institution shall be verified by Customs and Border Protection.
(c) If an instrument is transferred in a manner other than specified above or is used for commercial purposes within 5 years of entry, the institution for which such instrument was entered shall promptly notify the Customs and Border Protection officials at the Port and shall be liable for the payment of duty in an amount determined on the basis of its condition as imported and the rate applicable to it.
§ 301.10 Importation of repair components and maintenance tools under HTSUS subheadings 9810.00.65 and 9810.00.67 for instruments previously the subject of an entry liquidated under subheading 9810.00.60, HTSUS.
(a) An institution owning an instrument that was the subject of an entry liquidated duty-free under subheading 9810.00.60, HTSUS, that wishes to enter repair components or maintenance tools for that instrument may do so without regard to the application procedures required for entry under subheading 9810.00.60, HTSUS. The institution must certify to Customs and Border Protection officials at the port of entry that such components are repair components for that instrument under subheading 9810.00.65, HTSUS, or that the tools are maintenance tools necessary for the repair, checking, gauging or maintenance of that instrument under subheading 9810.00.67, HTSUS.
(b) Instruments entered under subheading 9810.00.60, HTSUS, and subsequently returned to the foreign manufacturer for repair, replacement or modification are not covered by subheading 9810.00.65 or 9810.00.67, HTSUS, although they may, upon return to the United States, be eligible for a reduced duty payment under subheading 9802.00.40 or 9802.00.50, HTSUS (covering articles exported for repairs or alterations) or may be made the subject of a new application under subheading 9810.00.60, HTSUS.
PART 302 [RESERVED]
PART 303 – WATCHES, WATCH MOVEMENTS AND JEWELRY PROGRAM
Subpart A – Watches and Watch Movements
§ 303.1 Purpose.
(a) This part implements the responsibilities of the Secretaries of Commerce and the Interior (“the Secretaries”) under Pub. L. 97-446, enacted on 12 January 1983, which substantially amended Pub. L. 89-805, enacted 10 November 1966, amended by Pub. L. 94-88, enacted 8 August 1975, and amended by Pub. L. 94-241, enacted 24 March 1976, amended by Public Law 103-465, enacted 8 December 1994 and amended by Public Law 108-429 enacted 3 December 2004. The law provides for exemption from duty of territorial watches and watch movements without regard to the value of the foreign materials they contain, if they conform with the provisions of U.S. Legal Note 5 to Chapter 91 of the Harmonized Tariff Schedule of the United States (“91/5”). 91/5 denies this benefit to articles containing any material which is the product of any country with respect to which Column 2 rates of duty apply; authorizes the Secretaries to establish the total quantity of such articles, provided that the quantity so established does not exceed 10,000,000 units or one-ninth of apparent domestic consumption, whichever is greater, and provided also that the quantity is not decreased by more than ten percent nor increased by more than twenty percent (or to more than 7,000,000 units, whichever is greater) of the quantity established in the previous year.
(b) The law directs the International Trade Commission to determine apparent domestic consumption for the preceding calendar year in the first year U.S. insular imports of watches and watch movements exceed 9,000,000 units. 91/5 authorizes the Secretaries to establish territorial shares of the overall duty-exemption within specified limits; and provides for the annual allocation of the duty-exemption among insular watch producers equitably and on the basis of allocation criteria, including minimum assembly requirements, that will reasonably maximize the net amount of direct economic benefits to the insular possessions.
(c) The amended law also provides for the issuance to producers of certificates entitling the holder (or any transferee) to obtain duty refunds on any article imported into the customs territory of the United States duty paid except for any article containing a material which is the product of a country to which column 2 rates of duty apply. The amounts of these certificates may not exceed specified percentages of the producers’ verified creditable wages in the insular possessions (90% of wages paid for the production of the first 300,000 units and declining percentages, established by the Secretaries, of wages paid for incremental production up to 750,000 units by each producer) nor an aggregate annual amount for all certificates exceeding $5,000,000 adjusted for growth by the ratio of the previous year’s gross national product to the gross national product in 1982. Refund requests are governed by regulations issued by the Department of Homeland Security. The Secretaries are authorized to issue regulations necessary to carry out their duties under additional U.S. note 5 to chapter 91 of the Harmonized Tariff Schedule of the United States, HTSUS and may cancel or restrict the license or certificate of any insular manufacturer found violating the regulations.
§ 303.2 Definitions and forms.
(a) Definitions. Unless the context indicates otherwise:
(1) Act means Pub. L. 97-446, enacted January 12, 1983 (19 U.S.C. 1202), 96 Stat. 2329, as amended at Pub. L. 103-465, enacted on December 8, 1994, 108 Stat. 4991, Public Law 108-429, enacted on 3 December 2004, 118 Stat. 2582.
(2) Secretaries means the Secretary of Commerce and the Secretary of Interior or their delegates, acting jointly.
(3) Director means the Director of the Statutory Import Programs Staff, International Trade Administration, U.S. Department of Commerce.
(4) Sale or tranfer of a business means the sale or transfer of control, whether temporary or permanent, over a firm to which a duty-exemption has been allocated, to any other firm, corporation, partnership, person or other legal entity by any means whatsoever, including, but not limited to, merger and transfer of stock, assets or voting trusts.
(5) New firm is a watch firm not affiliated through ownership or control with any other watch duty-refund recipient. In assessing whether persons or parties are affiliated, the Secretaries will consider the following factors, among others: stock ownership; corporate or family groupings; franchise or joint venture agreements; debt financing; and close supplier relationships. The Secretaries may not find that control exists on the basis of these factors unless the relationship has the potential to affect decisions concerning production, pricing, or cost. Also, no watch duty-refund recipient may own or control more than one jewelry duty-refund recipient. A new entrant is a new watch firm which has received an allocation.
(6) Producer means a duty-exemption holder which has maintained its eligibility for further allocations by complying with these regulations.
(7) Established industry means all producers, including new entrants, that have maintained their eligibility for further allocations.
(8) Territories, territorial, and insular possessions refer to the insular possessions of the United States (i.e., the U.S. Virgin Islands, Guam, and American Samoa and the Northern Mariana Islands).
(9) Duty-exemption refers to the authorization of duty-free entry of a specified number of watches and watch movements into the Customs Territory of the United States.
(10) Total annual duty-exemption refers to the entire quantity of watches or watch movements which may enter duty-free into the customs territory of the United States from the territories under 91/5 in a calendar year, as determined by the Secretaries or by the International Trade Commission in accordance with the Act.
(11) Territorial distribution refers to the apportionment by the Secretaries of the total annual duty-exemption among the separate territories; territorial share means the portion consigned to each territory by this apportionment.
(12) Allocation refers to the distribution of all parts of a territorial share, or a portion thereof, among the several producers in a territory.
(13) Creditable wages and associated, creditable fringe benefits and creditable duty differentials eligible for the duty refund benefit include, but are not limited to, the following:
(i) Wages up to an amount equal to 65 percent of the contribution and benefit base for Social Security, as defined in the Social Security Act for the year in which wages were earned, paid to permanent residents of the insular possessions employed in a firm’s 91/5 watch and watch movement program.
(A) Wages paid for the repair of watches up to an amount equal to 85 percent of the firm’s total creditable wages.
(B) Wages paid to watch and watch movement assembly workers involved in the complete assembly of watches and watch movements which have entered the United States duty-free and have complied with the laws and regulations governing the program.
(C) Wages paid to watch and watch movement assembly workers involved in the complete assembly of watches, excluding the movement, only in situations where the desired movement can not be purchased unassembled and the producer has documentation establishing this.
(D) Wages paid to those persons engaged in the day-to-day assembly operations on the premises of the company office, wages paid to administrative employees working on the premises of the company office, wages paid to security employees and wages paid to servicing and maintenance employees if these services are integral to the assembly and manufacturing operations and the employees are working on the premises of the company office.
(E) Wages paid to persons engaged in both creditable and non-creditable assembly and repair operations may be credited proportionally provided the firm maintains production, shipping and payroll records adequate for the Departments’ verification of the creditable portion.
(F) Wages paid to new permanent residents who have met the requirements of permanent residency in accordance with the Departments’ regulations, along with meeting all other creditable wage requirements of the regulations, which must be documented and verified to the satisfaction of the Secretaries.
(ii) The combined creditable amount of individual health and life insurance per year, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, may not exceed 130 percent of the “weighted average” yearly federal employee health insurance, which is calculated from the individual health plans weighted by the number of individual contracts in each plan. The yearly amount is calculated by the Office of Personnel Management and includes the “weighted average” of all individual health insurance costs for federal employees throughout the United States. The maximum life insurance allowed within this combined amount is $50,000 for each employee. Only during the time employees are earning creditable wages are they entitled to health and life insurance duty refund benefits under the program.
(A) The combined creditable amount of family health and life insurance per year, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, may not exceed 150 percent of the “weighted average” yearly federal employee health insurance, which is calculated from the family health plans weighted by the number of family contracts in each plan. The yearly amount is calculated by the Office of Personnel Management and includes the “weighted average” of all family health insurance costs for federal employees throughout the United States. The maximum life insurance allowed within this combined amount is $50,000 for each employee. Only during the time employees are earning creditable wages are they entitled to health and life insurance duty refund benefits under the program.
(B) The creditable pension benefit, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, is up to 3 percent of the employee’s wages unless the employee’s wages exceed the maximum annual creditable wage allowed under the program (see paragraph (a)(13)(i) of this section). An employee earning more than the maximum creditable wage allowed under the program will be eligible for only 3 percent of the maximum creditable wage. Only during the time employees are earning creditable wages are they entitled to pension duty refund benefits under the program.
(iii) If tariffs on watches and watch movements are reduced, then companies would be required to provide the annual aggregate data by individual HTSUS watch tariff numbers for the following components contained therein: the quantity and value of watch cases, the quantity of movements, the quantity and value of each type of strap, bracelet or band, and the quantity and value of batteries shipped free of duty into the United States. If discrete watch movements are shipped free of duty into the United States, then the annual aggregate quantity by individual HTSUS movement tariff numbers would also be required along with the value of each battery if it is contained within. These data would be used to calculate the annual duty rate before each HTSUS tariff reduction, and the annual duty rate after the HTSUS tariff reduction. The amount of the difference would be creditable toward the duty refund. The tariff information would only be collected and used in the calculation of the annual duty-refund certificate and would not be used in the calculation of the mid-year duty-refund.
(14) Non-creditable wages and associated non-creditable fringe benefits ineligible for the duty refund benefit include, but are not limited to, the following:
(i) Wages over 65 percent of the contribution and benefit base for Social Security, as defined in the Social Security Act for the year in which wages were earned, paid to permanent residents of the territories employed in a firm’s 91/5 watch and watch movement program.
(A) Wages paid for the repair of watches in an amount over 85 percent of the firm’s total creditable wages.
(B) Wages paid for the assembly of watches and watch movements which are shipped outside the customs territory of the United States; wages paid for the assembly of watches and watch movements that do not meet the regulatory assembly requirements; or wages paid for the assembly of watches or watch movements that contain HTSUS column 2 components.
(C) Wages paid for the complete assembly of watches, excluding the movement, when the desired movement can be purchased unassembled, if the producer does not have adequate documentation, demonstrating to the satisfaction of the Secretaries, that the movement could not be purchased unassembled whether or not it is entering the United States.
(D) Wages paid to persons not engaged in the day-to-day assembly operations on the premises of the company office; wages paid to any outside consultants; wages paid to outside the office personnel, including but not limited to, lawyers, gardeners, construction workers, and accountants; wages paid to employees not working on the premises of the company office; and wages paid to employees who do not qualify as permanent residents in accordance with the Departments’ regulations.
(E) Wages paid to persons engaged in both creditable and non-creditable assembly and repair operations if the producer does not maintain production, shipping and payroll records adequate for the Departments’ verification of the creditable portion.
(ii) Any costs, for the year in which the wages were paid, of the combined creditable amount of individual health and life insurance for employees over 130 percent of the “weighted average” yearly individual health insurance costs for all federal employees. The cost of any life insurance over the $50,000 limit for each employee. Any health and life insurance costs during the time an employee is not earning creditable wages.
(A) Any costs, for the year in which the wages were paid, of the combined creditable amount of family health and life insurance for employees over 150 percent of the “weighted average” yearly family health insurance costs for all federal employee. The cost of any life insurance over the $50,000 limit for each employee. Any health and life insurance costs during the time an employee is not earning creditable wages.
(B) Any pension benefits that were not based on associated creditable wages. The cost of any pension benefit per employee over 3 percent of the employee’s creditable wages unless the employee’s wages exceed the maximum annual creditable annual maximum creditable wage allowed under the program (see paragraph (a)(13)(i) of this section). Employees earning over the maximum creditable wage allowed under the program would have a creditable annual pension benefit of up to 3 percent of the maximum creditable wage and wages over 3 percent of the maximum creditable wage would not be creditable.
(15) Non-91/5 watches and watch movements include, but are not limited to, watches and movements which are liquidated as dutiable by the Bureau of Customs and Border Protection but do not include, for purposes of the duty refund, watches that are completely assembled in the insular possessions, with the exception of a desired movement if the movement cannot be purchased in an unassembled condition; contains any material which is the product of any country with respect to which Column 2 rates of duty apply; are ineligible for duty-free treatment pursuant to law or regulation; or are units the assembly of which the Departments have determined not to involve substantial and meaningful work in the territories (as elsewhere defined in these regulations).
(16) Discrete movements and components means screws, parts, components and subassemblies not assembled together with another part, component or subassembly at the time of importation into the territory. (A mainplate containing set jewels or shock devices, together with other parts, would be considered a single discrete component, as would a barrel bridge subassembly.)
(17) Permanent resident means a person with one residence which is in the insular possessions or a person with one or more residences outside the insular possessions who meets criteria that include maintaining his or her domicile in the insular possessions, residing (i.e., be physically present for at least 183 days within a continuous 365 day period) and working in the territory at a program company, and maintaining his or her primary office for day-to-day work in the insular possessions.
(b) Forms – (1) ITA-334P “Application for License to Enter Watches and Watch Movements into the Customs Territory of the United States.” This form must be completed annually by all producers desiring to receive an annual allocation. It is also used, with appropriate special instructions for its completion, by new firms applying for duty-exemptions and by producers who wish to receive the duty refund in installments on a biannual basis.
(2) ITA-333 “License to Enter Watches and Watch Movements into the Customs Territory of the United States.” This form is issued by the Director to producers who have received an allocation and constitutes authorization for issuing specific shipment permits by the territorial governments. It is also used to record the balance of a producer’s remaining duty-exemptions after each shipment permit is issued.
(3) ITA-340 “Permit to Enter Watches and Watch Movements into the Customs Territory of the United States.” This form may be obtained, by producers holding a valid license, from the territorial government or may be produced by the licensee in an approved computerized format or any other medium or format approved by the Departments of Commerce and the Interior. The completed form authorizes duty-free entry of a specified amount of watches or watch movements at a specified U.S. Customs port.
(4) ITA-360P “Certificate of Entitlement to Secure the Refund of Duties on Articles that Entered the Customs Territory of The United State Duty Paid.” This document authorizes an insular watch producer to request the refund of duties on imports of articles that entered the customs territory of the United States duty paid, up to the specified value of the certificate. Certificates may be used to obtain duty refunds only when presented with a properly executed Form ITA-361P.
(5) ITA-361P “Request for Refund of Duties on Articles that Entered the Customs Territory of the United States Duty Paid.” This form must be completed to obtain the refund of duties authorized by the Director through Form ITA-360P. After authentication by the Department of Commerce, it may be used for the refund of duties on items which were entered into the customs territory of the United States duty paid during a specified time period. Copies of the appropriate Customs entries must be provided with this form to establish a basis for issuing the claimed amounts. The forms may also be used to transfer all or part of the producer’s entitlement to another party. (See § 303.12.)
§ 303.3 Determination of the total annual duty-exemption.
(a) Procedure for determination. If, after considering the productive capacity of the territorial watch industry and the economic interests of the territories, the Secretaries determine that the amount of the total annual duty-exemption, or the territorial shares of the total amount, should be changed, they shall publish in the
(b) Standards for determination. (1) Notwithstanding paragraph (b)(2) of this section, the limit established for any year may be 7,000,000 units if the limit established for the preceding year was a smaller amount.
(2) Subject to paragraph (c) of this section, the total annual duty-exemption shall not be decreased by more than 10% of the quantity established for the preceding calendar year, or increased, if the resultant total is larger than 7,000,000, by more than 20% of the quantity established for the calendar year immediately preceding.
(3) The Secretaries shall determine the limit after considering the interests of the territories; the domestic or international trade policy objectives of the United States; the need to maintain the competitive nature of the territorial industry; the total contribution of the industry to the economic well-being of the territories; and the territorial industry’s utilization of the total duty-exemption established in the preceding year.
(c) Determinations based on consumption. (1) The Secretaries shall notify the International Trade Commission whenever they have reason to believe duty-free watch imports from the territories will exceed 9,000,000 units, or whenever they make a preliminary determination that the total annual duty-exemption should exceed 10,000,000 units.
(2) In addition to the limitations in paragraph (b) of this section, the Secretaries shall not establish a limit exceeding one-ninth of apparent domestic consumption if such consumption, as determined by International Trade Commission, exceeds 90 million units.
§ 303.4 Determination of territorial distribution.
(a) Procedure for determination. The Secretaries shall determine the territorial shares concurrently with their determination of the total annual duty exemption, and in the same manner (see § 303.3, above).
(b) Standards for determination – (1) Limitations. A territorial share may not be reduced by more than 500,000 units in any calendar year. No territorial share shall be less than 500,000 units.
(2) Criteria for setting precise quantities. The Secretaries shall determine the precise quantities after considering, inter alia, the territorial capacity to produce and ship watch units. The Secretaries shall further bear in mind the aggregate benefits to the territories, such as creditable wages paid, creditable wages per unit exported, and corporate income tax payments.
(3) Limitations on reduction of share. The Secretaries shall not reduce a territory’s share if its producers use 85% or more of the quantity distributed to that territory in the immediately preceding year, except in the case of a major increase or decrease in the number of producers in a territory or if they believe that a territorial industry will decrease production by more than 15% from the total of the preceding year.
(4) Standby redistribution authority. The Secretaries may redistribute territorial shares if such action is warranted by circumstances unforeseen at the time of the initial distributions, such as that a territory will use less than 80% of its total by the end of a calendar year, or if a redistribution is necessary to maintain the competitive nature of the territorial industries.
§ 303.5 Application for annual allocations of duty-exemptions and duty-refunds.
(a) Application forms (ITA-334P) shall be furnished to producers by January 1, and must be completed and returned to the Director no later than January 31, of each calendar year.
(b) All data supplied are subject to verification by the Secretaries and no allocation or duty-refund certificate shall be made to producer until the Secretaries are satisfied that the data are accurate. To verify the data, representatives of the Secretaries shall have access to relevant company records including:
(1) Work sheets used to answer all questions on the application form;
(2) Original records from which such data are derived;
(3) Records pertaining to ownership and control of the company and to the satisfaction of eligibility requirements of duty-free treatment of its product by the Bureau of Customs and Border Protection;
(4) Records pertaining to corporate income taxes, gross receipts taxes and excise taxes paid by each producer in the territories on the basis of which a portion of each producer’s annual allocation is or may be predicated;
(5) Customs, bank, payroll, including time cards, production records, and all shipping records including the importer of record number and proof of residency, as requested;
(6) Records on purchases of components, including documentation on the purchase of any preassembled movements, which demonstrate that such movements could not have been purchased from the vendor in an unassembled condition, and records on the sales of insular watches and movements, including proof of payment; and
(7) Any other records in the possession of the parent or affiliated companies outside the territory pertaining to any aspect of the producer’s 91/5 watch assembly operation.
(8) All records pertaining to health insurance, life insurance and pension benefits for each employee; and
(9) If HTSUS tariffs on watches and watch movements are reduced, records of the annual aggregate data by individual HTSUS watch tariff numbers for the following components contained therein would be required: the quantity and value of watch cases; the quantity of movements; the quantity and value of each type of strap, bracelet or band; and the quantity and value of batteries shipped free of duty into the United States. In addition, if applicable, records of the annual aggregate quantity of discrete watch movements shipped free of duty into the United States by HTSUS tariff number.
(c) Data verification shall be performed in the territories, unless other arrangements satisfactory to the Departments are made in advance, by the Secretaries’ representatives by the end of February of each calendar year. It is the responsibility of each program producer to make the appropriate data available to the Departments’ officials for the calendar year for which the annual verification is being performed and no further data, from the calendar year for which the audit is being completed, will be considered for benefits at any time after the audit has been completed. In the event of discrepancies between the application and substantiating data before the audit is complete, the Secretaries shall determine which data will be used in the calculation of the duty refund and allocations.
(d) Records subject to the requirements of paragraph (b), above, shall be retained for a period of two years following their creation.
§ 303.6 Allocation and reallocation of exemptions among producers.
(a) Interim allocations. As soon as practicable after January 1 of each year the Secretaries shall make an interim allocation to each producer equaling 70% of the number of watch units it has entered duty-free into the customs territory of the United States during the first eight months of the preceding calendar year, or any lesser amount requested in writing by the producer. The Secretaries may also issue a lesser amount if, in their judgment, the producer might otherwise receive an interim allocation in an amount greater than the producer’s probable annual allocation. In calculating the interim allocations, the Director shall count only duty-free watches and watch movements verified by the Bureau of Customs and Border Protection, or verified by other means satisfctory to the Secretaries, as having been entered on or before August 31 of the preceding year. Interim allocations shall not be published.
(b) Annual allocations. (1) By March 1 of each year the Secretaries shall make annual allocations to the producers in accordance with the allocation formula based on data supplied in their annual application (Form ITA-334P) and verified by the Secretaries.
(2) The excess of a producer’s duty-exemption earned under the allocation criteria over the amount formally requested by the producer shall be considered to have been relinquished voluntarily (see paragraph (f) below). A producer’s request may be modified by written communication received by the Secretaries by February 28, or, at the discretion of the Secretaries, before the annual allocations are made. An allocation notice shall be published in the
(c) Supplemental allocations. At the request of a producer, the Secretaries may supplement a producer’s interim allocation if the Secretaries determine the producer’s interim allocation will be used before the Secretaries can issue the annual allocation. Allocations to supplement a producer’s annual allocation shall be made under the reallocation provisions prescribed below.
(d) Allocations to new entrants. In making interim and annual allocations to producers selected the preceding year as new entrants, the Secretaries shall take into account that such producers will not have had a full year’s operation as a basis for computation of its duty-exemption. The Secretaries may make an interim or annual allocation to a new entrant even if the firm did not operate during the preceding calendar year.
(e) Special allocations. A producer may request a special allocation if unusual circumstances kept it from making duty-free shipments at a level comparable with its past record. In considering such requests, the Secretaries shall take into account the firm’s proposed assembly operations; its record in contributing to the territorial economy; and its intentions and capacity to make meaningful contributions to the territory. They shall also first determine that the amount of the special allocation requested will not significantly affect the amounts allocated to other producers pursuant to § 303.6(b)(1).
(f) Reallocations. Duty-exemptions may become available for reallocation as a result of cancellation or reduction for cause, voluntary relinquishment or nonplacement of duty-exemption set aside for new entrants. At the request of a producer, the Secretaries may reallocate such duty-exemptions among the remaining producers who can use additional quantities in a manner judged best for the economy of the territories. The Secretaries shall consider such factors as the wage and income tax contributions of the respective producers during the preceding year and the nature of the producer’s present assembly operations. In addition, the Secretaries may consider other factors which, in their judgment, are relevant to determining that applications from new firms, in lieu of reallocations, should be considered for part or all of unused portions of the total duty exemptions. Such factors may include:
(1) The ability of the established industry to use the duty-exemption;
(2) Whether the duty-exemption is sufficient to support new entrant operations;
(3) The impact upon the established industry if new entrants are selected, particularly with respect to the effect on local employment, tax contributions to the territorial government, and the ability of the established industry to maintain satisfactory production levels; and
(4) Whether additional new entrants offer the best prospect for adding economic benefits to the territory.
(g) Section 303.14 of this part contains the criteria and formulae used by the Secretaries in calculating each watch producer’s annual watch duty-exemption allocation, and other special rules or provisions the Secretaries may periodically adopt to carry out their responsibilities in a timely manner while taking into account changing circumstances. References to duty-exemptions, unless otherwise indicated, are to the amount available for reallocation in the current calendar year. Specifications of or references to data or bases used in the calculation of current year allocations (e.g., economic contributions and shipments) are, unless indicated otherwise, those which were generated in the previous year.
(h) The Secretaries may propose changes to § 303.14 at any time they consider it necessary to fulfill their responsibilities. Normally, such changes will be proposed towards the end of each calendar year. Interested parties shall be given an opportunity to submit written comments on proposed changes.
§ 303.7 Issuance of licenses and shipment permits.
(a) Issuance of Licenses (ITA-333). (1) Concurrently with annual allocations under § 303.5 the Director shall issue a non-transferable license (Form ITA-333) to each producer. The Director shall also issue a replacement license if a producer’s allocation is reduced pursuant to § 303.6.
(2) Annual duty-exemption licenses shall be for only that portion of a producer’s annual duty-exemption not previously licensed.
(3) If a producer’s duty-exemption has been reduced, the Director shall not issue a replacement license for the reduced amount until the producer’s previous license has been received for cancellation by the Director.
(4) A producer’s license shall be used in their entirety, except when they expire or are cancelled, in order of their date of issuance, i.e., an interim license must be completely used before shipment permits can be issued against an interim supplemental license.
(5) Outstanding licenses issued by the Director automatically expire at midnight, December 31, of each calendar year. No unused allocation of duty-exemption may be carried over into the subsequent calendar year.
(6) The Director shall ensure that all licenses issued are conspicuously marked to show the type of license issued, the identity of the producer, and the year for which the license is valid. All licenses shall bear the signature of the Director.
(7) Each producer is responsible for the security of its licenses. The loss of a license shall be reported immediately to the Director. Defacing, tampering with, and unauthorized use of a license are forbidden.
(b) Shipment Permit Requirements (ITA-340). (1) Producers may obtain shipment permits from the territorial government officials designated by the Governor. Permits may also be produced in any computerized or other format or medium approved by the Departments. The permit is for use against a producer’s valid duty-exemption license and a permit must be completed for every duty-free shipment.
(2) Each permit must specify the license and permit number, the number of watches and watch movements included in the shipment, the unused balance remaining on the producer’s license, pertinent shipping information and must have the certification statement signed by an official of the licensee’s company. A copy of the completed permit must be sent electronically or taken to the designated territorial government officials, no later than the day of shipment, for confirmation that the producer’s duty-exemption license has not been exceeded and that the permit is properly completed.
(3) The permit (form ITA-340) shall be filed with Customs along with the other required entry documents to receive duty-free treatment unless the importer or its representative clears the documentation through Customs’ automated broker interface. Entries made electronically do not require the submission of a permit to Customs, but the shipment data must be maintained as part of a producer’s recordkeeping responsibilities for the period prescribed by Customs’ recordkeeping regulations. Bureau of Customs and Border Protection Import Specialists may request the documentation they deem appropriate to substantiate claims for duty-free treatment, allowing a reasonable amount of time for the importer to produce the permit.
§ 303.8 Maintenance of duty-exemption entitlements.
(a) The Secretaries may order a producer to show cause within 30 days of receipt of the order why the duty-exemption to which the firm would otherwise be entitled should not be cancelled, in whole or in part, if:
(1) At any time after June 30 of the calendar year:
(i) A producer’s assembly and shipment record provides a reasonable basis to conclude that the producer will use less than 80 percent of its total allocation by the end of the calendar year, and
(ii) The producer refuses a request from the Departments to relinquish that portion of its allocation which they conclude will not be used; or
(2) A producer fails to satisfy or fulfill any term, condition or representation, whether undertaken by itself or prescribed by the Departments, upon which receipt of allocation has been predicated or upon which the Departments have relied in connection with the sale or transfer of a business together with its allocation; or
(3) A producer, in the judgment of the Secretaries, has failed to make a meaningful contribution to the territory for a period of two or more consecutive calendar years, when compared with the performance of the duty-free watch assembly industry in the territory as a whole. This comparison shall include the producer’s quantitative use of its allocations, amount of direct labor employed in the assembly of watches and watch movements, and the net amount of corporate income taxes paid to the government of the territory. If the producer fails to satisfy the Secretaries as to why such action should not be taken, the firm’s allocation shall be reduced or cancelled, whichever is appropriate under the show-cause order. The eligibility of a firm whose allocation has been cancelled to receive further allocations may also be terminated.
(b) The Secretaries may also issue a show-cause order to reduce or cancel a producer’s allocation or production incentive certificate (see § 303.12, below), as appropriate, or to declare the producer ineligible to receive an allocation or certificate if it violates any regulation in this part, uses a form, license, permit, or certificate in an unauthorized manner, or fails to provide information or data required by these regulations or requested by the Secretaries or their delegates in the performance of their responsibilities.
(c) If a firm’s allocation is reduced or cancelled, or if a firm voluntarily relinquishes a part of its allocation, the Secretaries may:
(1) Reallocate the allocation involved among the remaining producers in a manner best suited to contribute to the economy of the territory;
(2) Reallocate the allocation or part thereof to a new entrant applicant; or
(3) Do neither of the above if deemed in the best interest of the territories and the established industry.
§ 303.9 Restrictions on the transfer of duty-exemptions.
(a) The sale or transfer of a duty-exemption from one firm to another shall not be permitted.
(b) The sale or transfer of a business together with its duty-exemption shall be permitted with prior written notification to the Departments. Such notification shall be accompanied by certifications and representations, as appropriate, that:
(1) If the transferee is a subsidiary of or in any way affiliated with any other company engaged in the production of watch movements components being offered for sale to any territorial producer, the related company or companies will continue to offer such watch and watch movement components on equal terms and conditions to all willing buyers and shall not engage in any practice, in regard to the sale of components, that competitively disadvantages the non-affiliated territorial producers vis-a-vis the territorial subsidiary;
(2) The sale or transfer price for the business together with its duty-exemption does not include the capitalization of the duty-exemption per se;
(3) The transferee is neither directly or indirectly affiliated with any other territorial duty-exemption holder in any territory;
(4) The transferee will not modify the watch assembly operations of the duty-exemption firm in a manner that will significantly diminish its economic contributions to the territory.
(c) At the request of the Departments, the transferee shall permit representatives of the Departments to inspect whatever records are necessary to establish to their satisfaction that the certifications and representations contained in paragraph (b) of this section have been or are being met.
(d) Any transferee who is either unwilling or unable to make the certifications and representations specified in paragraph (b) of this section shall secure the Departments’ approval in advance of the sale or transfer of the business together with its duty-exemption. The request for approval shall specify which of the certifications specified in paragraph (b) of this section the firm is unable or unwilling to make, and give reasons why such fact should not constitute a basis for the Departments’ disapproval of the sale or transfer.
§§ 303.10-303.11 [Reserved]
§ 303.12 Issuance and use of production incentive certificates.
(a) Issuance of certificates. (1) The total annual amount of the Certificate of Entitlement, Form ITA-360, may be divided and issued on a biannual basis. The first portion of the total annual certificate amount will be based on reported duty-free shipments and creditable wages, determined from the wages as reported on the employer’s first two quarterly federal tax returns (941-SS), paid during the first six months of the calendar year, using the formula in § 303.14(c). The Departments require the receipt of the data by July 31 for each producer who wishes to receive an interim duty refund certificate. The interim duty refund certificate will be issued on or before August 31 of the same calendar year in which the wages were earned unless the Departments have unresolved questions. The process of determining the total annual amount of the duty refund will be based on verified creditable wages, duty-free shipments into the customs territory of the United States, creditable health insurance, life insurance and pension benefits and the duty differential, if watch tariffs have been reduced during the calendar year. The completed annual application (Form ITA-334P) shall be received by the Departments on or before January 31 and the annual verification of data and the calculation of each producer’s total annual duty refund, based on the verified data, will continue to take place in February. Once the calculations for each producer’s duty refund has been completed, the portion of the duty refund that has already been issued to each producer will be deducted from the total amount of each producer’s annual duty refund amount. The duty refund certificate will continue to be issued by March 1 unless the Departments have unresolved questions.
(2) Certificates shall not be issued to more than one company in the territories owned or controlled by the same corporate entity.
(b) Securities and handling of certificates. (1) Certificate holders are responsible for the security of the certificates. The certificates shall be kept at the territorial address of the insular producer or at another location having the advance approval of the Departments.
(2) All refund requests made pursuant to the certificates shall be entered on the reverse side of the certificate.
(3) Certificates shall be returned by registered, certified or express carrier mail to the Departments when:
(i) A refund is requested which exhausts the entitlement on the face of the certificate,
(ii) The certificate expires, or
(iii) The Departments request their return with good cause.
(4) Certificate entitlements may be transferred according to the procedures described in (c) of this section.
(c) The use and transfer of certificate entitlements. (1) Insular producers issued a certificate may request a refund by executing Form ITA-361P (see § 303.2(b)(5) and the instructions on the form). After authentication by the Department of Commerce, Form ITA-361P may be used to obtain duty refunds on articles that entered the customs territory of the United States duty paid except for any article containing a material which is the product of a country to which column 2 rates of duty apply. Articles for which duty refunds are claimed must have entered the customs territory of the United States during the two-year period prior to the issue date of the certificate or during the one-year period the certificate remains valid. Copies of the appropriate Customs entries must be provided with the refund request in order to establish a basis for issuing the claimed amounts. Certification regarding drawback claims and liquidated refunds relating to the presented entries is required from the claimant on the form.
(2) Regulations issued by the Bureau of Customs and Border Protection, U.S. Department of Homeland Security, govern the refund of duties under Public Law 97-446, as amended by Public Law 103-465 and Public Law 108-429. If the Departments receive information from the Bureau of Customs and Border Protection that a producer has made unauthorized use of any official form, they shall cancel the affected certificate.
(3) The insular producer may transfer a portion of all of its certificate entitlement to another party by entering in block C of Form ITA-361P the name and address of the party.
(4) After a Form ITA-361P transferring a certificate entitlement to a party other than the certificate holder has been authenticated by the Department of Commerce, the form may be exchanged for any consideration satisfactory to the two parties. In all cases, authenticated forms shall be transmitted to the certificate holder or its authorized custodian for disposition (see paragraph (b) above).
(5) All disputes concerning the use of an authenticated Form ITA-361P shall be referred to the Departments for resolution. Any party named on an authenticated Form ITA-361P shall be considered an “interested party” within the meaning of § 303.13 of this part.
§ 303.13 Appeals.
(a) Any official decision or action relating to the allocation of duty-exemptions or to the issuance or use of production incentive certificates may be appealed to the Secretaries by any interested party. Such appeals must be received within 30 days of the date on which the decision was made or the action taken in accordance with the procedures set forth in paragraph (b) of this section. Interested parties may petition for the issuance of a rule, or amendment or repeal of a rule issued by the Secretaries. Interested parties may also petition for relief from the application of any rule on the basis of hardship or extraordinary circumstances resulting in the inability of the petitioner to comply with the rule.
(b) Petitions shall bear the name and address of the petitioner and the name and address of the principal attorney or authorized representative (if any) for the party concerned. They shall be addressed to the Secretaries and filed in one original and two copies with the U.S. Department of Commerce, Enforcement and Compliance, International Trade Administration, Washington, D.C. 20230, Attention: Statutory Import Programs Staff. Petitions shall contain the following:
(1) A reference to the decision, action or rule which is the subject of the petition;
(2) A short statement of the interest of the petitioner;
(3) A statement of the facts as seen by the petitioner;
(4) The petitioner’s argument as to the points of law, policy of fact. In cases where policy error is contended, the alleged error together with the policy the submitting party advocates as the correct one should be described in full;
(5) A conclusion specifying the action that the petitioner believes the Secretaries should take.
(c) The Secretaries may at their discretion schedule a hearing and invite the participation of other interested parties.
(d) The Secretaries shall communicate their decision which shall be final, to the petitioner by registered mail.
(e) If the outcome of any petition materially affects the amount of the petitioner’s allocation and if the Secretaries’ consideration of the petition continues during the calculation of the annual allocations, the Secretaries shall set aside a portion of the affected territorial share in an amount which, in their judgment, protects the petitioner’s interest and shall allocate the remainder among the other producers.
§ 303.14 Allocation factors, duty refund calculations and miscellaneous provisions.
(a) The allocation formula. (1) Except as provided in (a)(2) of this section, the territorial shares (excluding any amount set aside for possible new entrants) shall be allocated among the several producers in each territory in accordance with the following formula:
(i) Fifty percent of the territorial share shall be allocated on the basis of the net dollar amount of economic contributions to the territory consisting of the dollar amount of creditable wages, up to an amount equal to 65% of the contribution and benefit base for Social Security as defined in the Social Security Act for the year in which the wages were earned, paid by each producer to territorial residents, plus the dollar amount of income taxes (excluding penalty and interest payments and deducting any income tax refunds and subsidies paid by the territorial government), and
(ii) Fifty percent of the territorial share shall be allocated on the basis of the number of units of watches and watch movements assembled in the territory and entered by each producer duty-free into the customs territory of the United States.
(2) If there is only one producer in a territory, the entire territorial share, excluding any amount set aside for possible new entrants, may be allocated without recourse to any distributive formula.
(b) Minimum assembly requirements and prohibition of preferential supply relationship. (1) No insular watch movement or watch may be entered free of duty into the customs territory of the United States unless the producer used 30 or more discrete parts and components to assemble a mechanical watch movement and 33 or more discrete parts and components to assemble a mechanical watch.
(2) Quartz analog watch movements must be assembled from parts knocked down to the maximum degree possible for the technical capabilities of the insular industry as a whole. The greatest degree of disassembly specified, for each manufacturer’s brand and model, by any producer in any territory purchasing such brands and models shall constitute the disassembly required as a minimum for the industry as a whole.
(3) Watch movements and watches assembled from components with a value of more than $300 for watch movements and $3000 for watches shall not be eligible for duty-exemption upon entry into the U.S. Customs territory. Value means the value of the merchandise plus all charges and costs incurred up to the last point of shipment (i.e., prior to entry of the parts and components into the territory).
(4) No producer shall accept from any watch parts and components supplier advantages and preferences which might result in a more favorable competitive position for itself vis-a-vis other territorial producers relying on the same supplier. Disputes under this paragraph may be resolved under the appeals procedures contained in § 303.13(b).
(c) Calculation of the value of the mid-year production incentive certificates. (1) The value of each producer’s certificate shall equal the producer’s average creditable wage per unit shipped during the first six months of the calendar year multiplied by the sum of:
(i) The number of units shipped up to 300,000 units times a factor of 90%; plus
(ii) Incremental units shipped up to 450,000 units times a factor of 85%; plus
(iii) Incremental units shipped up to 600,000 units times a factor of 80%; plus
(iv) Incremental units shipped up to 750,000 units times a factor of 75%.
(2) Calculation of the value of the annual production incentive certificates. The value of each producer’s certificate shall equal the producer’s average creditable benefit per unit based on creditable wages, health insurance, life insurance and pension benefits plus any duty differential, if applicable, averaged from the amount of duty free units shipped during the calendar year multiplied by the sum of the following to obtain the total verified amount of the annual duty-refund per company. This amount would then be adjusted by deducting the amount of the mid-year duty-refund already issued.
(i) The number of units shipped up to 300,000 units times a factor of 90%; plus
(ii) Incremental units shipped up to 450,000 units times a factor of 85%; plus
(iii) Incremental units shipped up to 600,000 units times a factor of 80%; plus
(iv) Incremental units shipped up to 750,000 units times a factor of 75%.
(3) The Departments may make adjustments for these data in the manner set forth in § 303.5(c).
(d) New entrant invitations. Applications from new firms are invited for any unused portion of any territorial share.
(e) Territorial shares. The shares of the total duty exemption are 1,866,000 for the Virgin Islands, 500,000 for Guam, 500,000 for American Samoa, and 500,000 for the Northern Mariana Islands.
Subpart B – Jewelry
§ 303.15 Purpose.
(a) This subpart implements the responsibilities of the Secretaries of Commerce and the Interior (“the Secretaries”) under Pub. L. 106-36, enacted 25 June 1999 which substantially amended Pub. L. 97-446, enacted 12 January 1983, amended by Pub. L. 89-805, enacted 10 November 1966, amended by Pub. L. 94-88, enacted 8 August 1975, amended by Pub. L. 94-241, enacted 24 March 1976, and amended by Pub. L. 103-465, enacted 8 December 1994, and Public Law 108-429, enacted on 3 December 2004.
(b) The amended law provides for the issuance of certificates to insular jewelry producers who have met the requirements of the laws and regulations, entitling the holder (or any transferee) to obtain refunds of duties on any article imported into the customs territory of the United States duty paid except for any article containing a material which is the product of a country to which column 2 rates of duty apply. The amounts of these certificates may not exceed specified percentages of the producers’ verified creditable wages in the insular possessions (90% of wages paid for the production of the first 300,000 duty-free units and declining percentages, established by the Secretaries, of wages paid for incremental production up to 10,000,000 units by each producer) nor an aggregate annual amount for all certificates exceeding $5,000,000 adjusted for growth by the ratio of the previous year’s gross national product to the gross national product in 1982. However, the law specifies that watch producer benefits are not to be diminished as a consequence of extending the duty refund to jewelry manufacturers. In the event that the amount of the calculated duty refunds for watches and jewelry exceeds the total aggregate annual amount that is available, the watch producers shall receive their calculated amounts and the jewelry producers would receive amounts proportionately reduced from the remainder. Refund requests are governed by regulations issued by the Department of Homeland Security (see 19 CFR 7.4).
(c) Section 2401(a) of Pub. L. 106-36 and additional U.S. note 5 to chapter 91 of the HTSUS authorize the Secretaries to issue regulations necessary to carry out their duties. The Secretaries may cancel or restrict the certificate of any insular manufacturer found violating the regulations.
§ 303.16 Definitions and forms.
(a) Definitions. For purposes of the subpart, unless the context indicates otherwise:
(1) Act means Pub. L. 97-446, enacted 12 January 1983 (19 U.S.C. 1202), 96 Stat. 2329, as amended by Pub. L. 103-465, enacted on 8 December 1994, 108 Stat. 4991 and, as amended by Pub. L. 106-36, enacted on 25 June 1999, and Public Law 108-429, enacted on 3 December 2004.
(2) Secretaries means the Secretary of Commerce and the Secretary of the Interior or their delegates, acting jointly.
(3) Director means the Director of the Statutory Import Programs Staff, International Trade Administration, U.S. Department of Commerce.
(4) Sale or transfer of a business means the sale or transfer of control, whether temporary or permanent, over a firm which is eligible for a jewelry program duty-refund to any other firm, corporation, partnership, person or other legal entity by any means whatsoever, including, but not limited to, merger and transfer of stock, assets or voting trusts.
(5) New firm means a jewelry company which has requested in writing to the Secretaries permission to participate in the program. In addition to any other information required by the Secretaries, new firm requests shall include a representation that the company agrees to abide by the laws and regulations of the program, an outline of the company’s anticipated economic contribution to the territory (including the number of employees) and a statement as to whether the company is affiliated by ownership or control with any other watch or jewelry company in the insular possessions. The Secretaries will then review the request and make a decision based on the information provided and the economic contribution to the territory. A new jewelry firm may not be affiliated through ownership or control with any other jewelry duty-refund recipient. In assessing whether persons or parties are affiliated, the Secretaries will consider the following factors, among others: stock ownership; corporate or family groupings; franchise or joint venture agreements; debt financing; and close supplier relationships. The Secretaries may not find that control exists on the basis of these factors unless the relationship has the potential to affect decisions concerning production, pricing, or cost. Also, no jewelry duty-refund recipient may own or control more than one watch duty-refund recipient.
(6) Jewelry producer means a company, located in one of the insular territories (see paragraph (a)(8) of this section), that produces jewelry provided for in heading 7113, HTSUS, which meets all the Bureau of Customs and Border Protection requirements for duty-free entry set forth in General Note 3(a)(iv), HTSUS, and 19 CFR 7.3, and has maintained its eligibility for duty refund benefits by complying with these regulations.
(7) Unit of Jewelry means a single article (e.g., ring, bracelet, necklace), pair (e.g, cufflinks), gram for links which are sold in grams and stocked in grams, and other subassemblies and components in the customary unit of measure they are stocked and sold within the industry.
(8) Territories, territorial and insular possessions refers to the insular possessions of the United States (i.e., the U.S. Virgin Islands, Guam, American Samoa and the Northern Mariana Islands).
(9) Creditable wages and associated creditable fringe benefits and creditable duty differentials eligible for the duty refund benefit include, but are not limited to, the following:
(i) Wages up to an amount equal to 65 percent of the contribution and benefit base for Social Security, as defined in the Social Security Act for the year in which wages were earned, paid to permanent residents of the insular possessions employed in a firm’s manufacture of HTSUS heading 7113 articles of jewelry which are a product of the insular possessions and have met the Bureau of Customs and Border Protection’s criteria for duty-free entry into the United States, plus any wages paid for the repair of non-insular HTSUS heading 7113 jewelry up to an amount equal to 50 percent of the firm’s total creditable wages.
(A) Wages paid to persons engaged in the day-to-day assembly operations at the company office, wages paid to administrative employees working on the premises of the company office, wages paid to security operations employees and wages paid to servicing and maintenance employees if these services are integral to the assembly and manufacturing operations and the employees are working on the premises of the company office.
(B) Wages paid to permanent residents who are employees of a new company involved in the jewelry assembly and jewelry manufacturing of HTSUS heading 7113 jewelry for up to 18 months after such jewelry company commences jewelry manufacturing or jewelry assembly operations in the insular possessions.
(C) Wages paid when a maximum of two program producers work on a single piece of HTSUS heading 7113 jewelry which entered the United States free of duty under the program. Wages paid by the two producers will be credited proportionally provided both producers demonstrate to the satisfaction of the Secretaries that they worked on the same piece of jewelry, the jewelry received duty-free treatment into the customs territory of the United States, and the producers maintained production and payroll records sufficient for the Departments’ verification of the creditable wage portion (see § 303.17(b)).
(D) Wages paid to persons engaged in both creditable and non-creditable assembly and repair operations may be credited proportionally provided the firm maintains production, shipping and payroll records adequate for the Departments’ verification of the creditable portion.
(E) Wages paid to new permanent residents who have met the requirements of permanent residency in accordance with the Departments’ regulations along with meeting all other creditable wage requirements of the regulations, which must be documented and verified to the satisfaction of the Secretaries.
(ii) The combined creditable amount of individual health and life insurance per year, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, may not exceed 130 percent of the “weighted average” yearly federal employee health insurance, which is calculated from the individual health plans weighted by the number of individual contracts in each plan. The yearly amount is calculated by the Office of Personnel Management and includes the “weighted average” of all individual health insurance costs for federal employees throughout the United States. The maximum life insurance allowed within this combined amount is $50,000 for each employee. Only during the time employees are earning creditable wages are they entitled to health and life insurance duty refund benefits under the program.
(A) The combined creditable amount of family health and life insurance per year, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, may not exceed 150 percent of the “weighted average” yearly federal employee health insurance, which is calculated from the family health plans weighted by the number of family contracts in each plan. The yearly amount is calculated by the Office of Personnel Management and includes the “weighted average” of all family health insurance costs for federal employees throughout the United States. The maximum life insurance allowed within this combined amount is $50,000 dollars for each employee. Only during the time employees are earning creditable wages are they entitled to health and life insurance duty refund benefits under the program.
(B) The creditable pension benefit, for each full-time permanent resident employee who works on the premises of the company office and whose wages qualify as creditable, is up to 3 percent of the employee’s wages unless the employee’s wages exceed the maximum annual creditable wage allowed under the program (see paragraph (a)(9)(i) of this section). An employee earning more than the maximum creditable wage allowed under the program will be eligible for only 3 percent of the maximum creditable wage. Only during the time employees are earning creditable wages are they entitled to pension duty refund benefits under the program.
(10) Non-creditable wages and associated non-creditable fringe benefits ineligible for the duty refund benefit include, but are not limited to, the following:
(i) Wages over 65 percent of the contribution and benefit base for Social Security, as defined in the Social Security Act for the year in which wages were earned, paid to permanent residents of the territories employed in a firm’s 91/5 heading 7113, HTSUS, jewelry program.
(A) Wages paid for the repair of jewelry in an amount over 50 percent of the firm’s total creditable wages.
(B) Wages paid to employees who are involved in assembling HTSUS heading 7113 jewelry beyond 18 months after such jewelry company commences jewelry manufacturing or jewelry assembly operations in the insular possessions if the jewelry does not meet the Bureau of Customs and Border Protection’s substantial transformation requirements and other criteria for duty-free enter into the United States.
(C) Wages paid for the assembly and manufacturing of jewelry which is shipped to places outside the customs territory of the United States; wages paid for the assembly and manufacturing of jewelry that does not meet the regulatory assembly requirements; or wages paid for the assembly and manufacture of jewelry that contain HTSUS column 2 components.
(D) Wages paid to those persons not engaged in the day-to-day assembly operations on the premises of the company office, wages paid to any outside consultants, wages paid to outside the office personnel, including but not limited to, lawyers, gardeners, construction workers and accountants; wages paid to employees not working on the premises of the company office; wages paid to employees working with a non-program producer to create a single piece of HTSUS heading 7113 jewelry whether or not it entered the United States free of duty; and wages paid to employees who do not qualify as permanent residents in accordance with the Departments’ regulations.
(E) Wages paid to persons engaged in both creditable and non-creditable assembly and repair operations if the producer does not maintain production, shipping and payroll records adequate for the Departments’ verification of the creditable portion.
(ii) Any costs, for the year in which the wages were paid, of the combined creditable amount of individual health and life insurance for employees over 130 percent of the “weighted average” yearly individual health insurance costs for all federal employees. The cost of any life insurance over the $50,000 limit for each employee. Any health and life insurance costs during the time an employee is not earning creditable wages.
(A) Any costs, for the year in which the wages were paid, of the combined creditable amount of family health and life insurance for employees over 150 percent of the “weighted average” yearly family health insurance costs for all federal employee. The cost of any life insurance over the $50,000 limit for each employee. Any health and life insurance costs during the time an employee is not earning creditable wages.
(B) Any pension benefits that were not based on associated creditable wages. The cost of any pension benefit per employee over 3 percent of the employee’s creditable wages unless the employee’s wages exceed the maximum annual creditable annual maximum creditable wage allowed under the program (see paragraph (a)(9)(i) of this section). Employees earning over the maximum creditable wage allowed under the program would have a creditable annual pension benefit of up to 3 percent of the maximum creditable wage and wages over 3 percent of the maximum creditable wage would not be creditable.
(11) Dutiable jewelry includes jewelry which does not meet the requirements for duty-free entry under General Note 3(a)(iv), HTSUS, and 19 CFR 7.3, contains any material which is the product of any country with respect to which Column 2 rates of duty apply or is ineligible for duty-free treatment pursuant to other laws or regulations.
(12) Permanent resident means a person with one residence which is in the insular possessions or a person with one or more residences outside the insular possessions who meets criteria that include maintaining his or her domicile in the insular possessions, residing (i.e., be physically present for at least 183 days within a continuous 365 day period year) and working in the territory at a program company, and maintaining his or her primary office for day-to-day work in the insular possessions.
(b) Forms. (1) ITA – 334P “Annual Application for License to Enter Watches and Watch Movements into the Customs Territory of the United States.” The Director shall issue instructions for jewelry manufacturers on the completion of the relevant portions of the form. The form must be completed annually by all jewelry producers desiring to receive a duty refund and, with special instructions for its completion, by producers who wish to receive the total annual amount of the duty refund in installments on a biannual basis.
(2) ITA-360P “Certificate of Entitlement to Secure the Refund of Duties on Articles that Entered the Customs Territory of The United State Duty Paid.” This document authorizes an insular jewelry producer to request the refund of duties on imports of articles that entered the customs territory of the United States duty paid, with certain exceptions, up to the specified value of the certificate. Certificates may be used to obtain duty refunds only when presented with a properly executed Form ITA-361P.
(3) ITA-361P “Request for Refund of Duties on Articles that Entered the Customs Territory of the United States Duty Paid.” This form must be completed to obtain the refund of duties authorized by the Director through Form ITA-360P. After authentication by the Department of Commerce, it may be used for the refund of duties on items which were entered into the customs territory of the United States duty paid during a specified time period. Copies of the appropriate Customs entries must be provided with this form to establish a basis for issuing the claimed amounts. The forms may also be used to transfer all or part of the producer’s entitlement to another party (see Sec. 303.19(c)).
§ 303.17 Application for annual duty-refunds.
(a) Form ITA-334P shall be furnished to producers by January 1 and must be completed and returned to the Director no later than January 31 of each calendar year.
(b) All data supplied are subject to verification by the Secretaries and no duty refund shall be made to producers until the Secretaries are satisfied that the data are accurate. To verify the data, representatives of the Secretaries shall have access to relevant company records including, but not limited to:
(1) Work sheets used to answer all questions on the application form, as specified by the instructions;
(2) Original records from which such data are derived;
(3) Records pertaining to ownership and control of the company;
(4) Records pertaining to all duty-free and dutiable shipments of HTSUS 7113 jewelry, including Customs entry documents, or the certificate of origin for the shipment, or, if a company did not receive such documents from Customs, a certification from the consignee that the jewelry shipment received duty-free treatment, or a certification from the producer, if the producer can attest that the jewelry shipment received duty-free treatment;
(5) Records pertaining to corporate income taxes, gross receipts taxes and excise taxes paid by each producer in the territories;
(6) Customs, bank, payroll, including time cards, production records, and all shipping records including the importer of record number and proof of residency, as requested;
(7) All records pertaining to health insurance, life insurance and pension benefits for each employee;
(8) Records on purchases of components and sales of jewelry, including proof of payment; and
(9) Any other records in the possession of the parent or affiliated companies outside the territory pertaining to any aspect of the producer’s jewelry operations.
(c) Data verification shall be performed in the territories, unless other arrangements satisfactory to the Departments are made in advance, by the Secretaries’ representatives by the end of February of each calendar year. It is the responsibility of each program producer to make the appropriate data available to the Departments’ officials for the calendar year for which the annual verification is being performed and no further data, from the calendar year for which the audit is being completed, will be considered for benefits at any time after the audit has been completed. In the event of discrepancies between the application and substantiating data before the audit is complete, the Secretaries shall determine which data will be used in the calculation of the duty refund and allocations.
(d) Records subject to the requirements of paragraph (b) of this section, shall be retained for a period of two years following their creation.
§ 303.18 Sale or transfer of business.
(a) The sale or transfer of a business together with its duty refund entitlement shall be permitted with prior written notification to the Departments. Such notification shall be accompanied by certifications and representations, as appropriate, that:
(1) The transferee is neither directly nor indirectly affiliated with any other territorial duty refund jewelry recipient in any territory;
(2) The transferee will not modify the jewelry operations in a manner that will significantly diminish its economic contributions to the territory.
(b) At the request of the Departments, the transferee shall permit representatives of the Departments to inspect whatever records are necessary to establish to their satisfaction that the certifications and representations contained in paragraph (a) of this section have been or are being met.
(c) Any transferee who is either unwilling or unable to make the certifications and representations specified in paragraph (a) of this section shall secure the Departments’ approval in advance of the sale or transfer of the business. The request for approval shall specify which of the certifications specified in paragraph (a) of this section the firm is unable or unwilling to make, and give reasons why such fact should not constitute a basis for the Departments’ disapproval of the sale or transfer.
§ 303.19 Issuance and use of production incentive certificates.
(a) Issuance of certificates. (1) The total annual amount of the Certificate of Entitlement, Form ITA-360, may be divided and issued on a biannual basis. The first portion of the total annual certificate amount will be based on reported duty-free shipments and creditable wages, determined from the wages as reported on the employer’s first two quarterly federal tax returns (941-SS), paid during the first six month of the calendar year, using the formula in § 303.20(b). The Departments require the receipt of the data by July 31 for each producer who wishes to receive an interim duty refund certificate. The interim duty refund certificate will be issued on or before August 31 of the same year in which the wages were earned unless the Departments have unresolved questions. The process of determining the total annual amount of the duty refund will be based on verified creditable wages, duty-free shipments into the customs territory of the United States, creditable health insurance, life insurance and pension benefits and the duty differential, if watch tariffs have been reduced during the calendar year. The completed annual application (Form ITA-334P) shall be received by the Departments on or before January 31 and the annual verification of data and calculation of each producer’s total annual duty refund, based on the verified data, will continue to take place in February. Once the calculations for each producer’s duty refund has been completed, the portion of the duty refund that has already been issued to each producer will be deducted from the total amount of each producer’s annual duty refund amount. The duty refund certificate will continue to be issued by March 1 unless the Departments have unresolved questions.
(2) Certificates shall not be issued to more than one jewelry company in the territories owned or controlled by the same corporate entity.
(b) Security and handling of certificates. (1) Certificate holders are responsible for the security of the certificates. The certificates shall be kept at the territorial address of the producer or at another location having the advance approval of the Departments.
(2) All refund requests made pursuant to the certificates shall be entered on the reverse side of the certificate.
(3) Certificates shall be returned by registered, certified or express carrier mail to the Department of Commerce when:
(i) A refund is requested which exhausts the entitlement on the face of the certificate,
(ii) The certificate expires, or
(iii) The Departments request their return with good cause.
(4) Certificate entitlements may be transferred according to the procedures described in paragraph (c) of this section.
(c) The use and transfer of certificate entitlements. (1) Insular producers issued a certificate may request a refund by executing Form ITA-361P (see § 303.16(b)(3)) and the instruction on the form). After authentication by the Department of Commerce, Form ITA-361P may be used to obtain duty refunds on article that entered the customs territory of the United States duty paid. Duties on an article which is the product of a country with respect to column 2 rates of duty apply may not be refunded Articles for which duty refunds are claimed must have entered the customs territory of the United States during the two-year period prior to the issue date of the certificate or during the one-year period the certificate remains valid. Copies of the appropriate Customs entries must be provided with the refund request in order to establish a basis for issuing the claimed amounts. Certification regarding drawback claims and liquidated refunds relating to the presented entries is required from the claimant on the form.
(2) Regulations issued by the Bureau of Customs and Border Protection, U.S. Department of Homeland Security, govern the refund of duties under 19 CFR 7.4. If the Departments receive information from the Bureau of Customs and Border Protection that a producer has made unauthorized use of any official form, they may cancel the affected certificate.
(3) The territorial producer may transfer a portion of all of its certificate entitlement to another party by entering in block C of Form ITA-361P the name and address of the party.
(4) After a Form ITA-361P transferring a certificate entitlement to a party other than the certificate holder has been authenticated by the Department of Commerce, the form may be exchanged for any consideration satisfactory to the two parties. In all cases, authenticated forms shall be transmitted to the certificate holder or its authorized custodian for disposition (see paragraph (b) of this section).
(5) All disputes concerning the use of an authenticated Form ITA-361P shall be referred to the Departments for resolution. Any party named on an authenticated Form ITA-361P shall be considered an “interested party” within the meaning of § 303.21 of this part.
§ 303.20 Duty refund calculations and miscellaneous provisions.
(a) Territorial jewelry producers are entitled to duty refund certificates only for jewelry that they produce which is provided for in heading 7113, HTSUS, is a product of a territory and otherwise meets the requirements for duty-free entry under General Note 3 (a)(iv), HTSUS, and 19 CFR 7.3.
(1) An article of jewelry is considered to be a product of a territory if:
(i) The article is wholly the growth or product of the territory; or
(ii) The article became a new and different article of commerce as a result of production or manufacture performed in the territories.
(2) Eighteen month exemption. Any article of jewelry provided for in HTSUS heading 7113, assembled in the insular possessions by a new entrant jewelry manufacturer shall be treated as a product of the insular possessions if such article is entered into the customs territory of the United States no later than 18 months after such producer commences jewelry manufacturing or jewelry assembly operations in the insular possessions.
(b) Calculation of the value of the mid-year production incentive certificates. (1) The value of each producer’s certificate shall equal the producer’s average creditable wage per unit shipped during the first six months of the calendar year multiplied by the sum of:
(i) The number of units shipped up to 300,000 units times a factor of 90%; plus
(ii) Incremental units shipped up to 3,533,334 units times a factor of 85%; plus
(iii) Incremental units shipped up to 6,766,667 units times a factor of 80%; plus
(iv) Incremental units shipped up to 10,000,000 units times a factor of 75%.
(2) Calculation of the value of the annual production incentive certificates. The value of each producer’s certificate shall equal the producer’s average creditable benefit per unit based on creditable wages, health insurance, life insurance and pension benefits averaged from the amount of duty free units shipped during the calendar year multiplied by the sum of the following to obtain the total verified amount of the annual duty-refund per company. This amount would then be adjusted by deducting the amount of the mid-year duty-refund already issued.
(i) The number of units shipped up to 300,000 units times a factor of 90%; plus
(ii) Incremental units shipped up to 3,533,334 units times a factor of 85%; plus
(iii) Incremental units shipped up to 6,766,667 units times a factor of 80%; plus
(iv) Incremental units shipped up to 10,000,000 units times a factor of 75%.
§ 303.21 Appeals.
(a) Any official decision or action relating to the issuance or use of production incentive certificates may be appealed to the Secretaries by any interested party. Such appeals must be received within 30 days of the date on which the decision was made or the action taken in accordance with the procedures set forth in paragraph (b) of this section. Interested parties may petition for the issuance of a rule, or amendment or repeal of a rule issued by the Secretaries. Interested parties may also petition for relief from the application of any rule on the basis of hardship or extraordinary circumstances resulting in the inability of the petitioner to comply with the rule.
(b) Petitions shall bear the name and address of the petitioner and the name and address of the principal attorney or authorized representative (if any) for the party concerned. They shall be addressed to the Secretaries and filed in one original and two copies with the U.S. Department of Commerce, Enforcement and Compliance, International Trade Administration, Washington, DC 20230, Attention: Statutory Import Programs Staff. Petitions shall contain the following:
(1) A reference to the decision, action or rule which is the subject of the petition;
(2) A short statement of the interest of the petitioner;
(3) A statement of the facts as seen by the petitioner;
(4) The petitioner’s argument as to the points of law, policy or fact. In cases where policy error is contended, the alleged error together with the policy the submitting party advocates as the correct one should be described in full;
(5) A conclusion specifying the action that the petitioner believes the Secretaries should take.
(c) The Secretaries may at their discretion schedule a hearing and invite the participation of other interested parties.
(d) The Secretaries shall communicate their decision, which shall be final, to the petitioner by registered, certified or express mail.
PART 310 – OFFICIAL U.S. GOVERNMENT RECOGNITION OF AND PARTICIPATION IN INTERNATIONAL EXPOSITIONS HELD IN THE UNITED STATES
§ 310.1 Background and purpose.
The regulations in this part are issued under the authority of Pub. L. 91-269 (84 Stat. 271, 22 U.S.C. 2801 et seq.) which establishes an orderly procedure for Federal Government recognition of, and participation in, international expositions to be held in the United States. The Act provides, inter alia, that Federal recognition of an exposition is to be granted upon a finding by the President that such recognition will be in the national interest. In making this finding, the President is directed to consider, among other factors, a report from the Secretary of Commerce as to the purposes and reasons for an exposition and the extent of financial and other support to be provided by the State and local officials and business and community leaders where the exposition is to be held, and a report by the Secretary of State to determine whether the exposition is qualified for registration under Bureau of International Expositions (BIE) rules. The BIE is an international organization established by the Paris Convention of 1928 (T.I.A.S. 6548 as amended by T.I.A.S. 6549) to regulate the conduct and scheduling of international expositions in which foreign nations are officially invited to participate. The BIE divides international expositions into different categories and types and requires each member nation to observe specified minimum time intervals in scheduling each of these categories and types of expositions.
The BIE frequency rules require that an interval of 15 years must elapse between General Expositions of the First Category held in one country. General Expositions of the Second Category require an interval of 10 years. An interval of 5 years must ordinarily elapse between Special Category Expositions of the same kind in one country or three months between Special Category Expositions of different kinds. These frequency intervals are computed from the date of the opening of the exposition.
More detailed BIE classification criteria and regulations are contained in the Paris Convention of 1928, as amended in 1948 and 1966. Applicants not having a copy of the text of this convention may obtain one by writing the Director. (The Convention may soon be amended by a Protocol which has been approved by the BIE and ratified by the United States. This amendment would increase authorized frequencies or intervals for BIE approved expositions.)
§ 310.2 Definitions.
For the purpose of this part, except where the context requires otherwise:
(a) Act means Pub. L. 91-269.
(b) Secretary means the Secretary of Commerce.
(c) Commissioner General means the person appointed to act as the senior Federal official for the exposition as required by BIE rules and regulations.
(d) Director means the Director of the International Expositions Staff, Office of the Deputy Assistant Secretary for Export Development, International Trade Administration, Department of Commerce.
(e) Applicant means a State, County, municipality, a political subdivision of the foregoing, private non-profit or not-for-profit organizations, or individuals filing an application with the Director seeking Federal recognition of an international exposition to be held in the United States.
(f) State means one of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust Territory of the Pacific Islands.
(g) Exposition means an international exposition proposed to be held in the United States for which an application has been filed with the Director seeking Federal recognition under the Act; which proposes to invite more than one foreign country to participate; and, which would exceed three weeks in duration. Any event under three weeks in duration is not considered an international exposition under BIE rules.
§ 310.3 Applications for Federal recognition.
(a) Applications for Federal recognition of an exposition shall be filed with, and all official communications in connection therewith addressed to, the International Expositions Staff, International Trade Administration, Department of Commerce, Washington, DC 20230.
(b) Every application, exhibit, or enclosure, except where specifically waived by the Director, shall be in quadruplicate, duly authenticated and referenced.
(c) Every application shall be in letter form and shall contain the date, address, and official designation of the applicant and shall be signed by an authorized officer or individual.
(d) Every application, except where specifically waived by the Director, shall be accompanied by the following exhibits:
1. Exhibit No. 1. A study setting forth in detail the purpose for the exposition, including any historical, geographic, or other significant event of the host city, State, or region related to the exposition.
2. Exhibit No. 2. An exposition plan setting forth in detail (i) the theme of the exposition and the “storyline” around which the entire exposition is to be developed; (ii) whatever preliminary architectural and design plans are available on the physical layout of the site plus existing and projected structures; (iii) the type of participation proposed in the exposition (e.g., foreign and domestic exhibits); (iv) cultural, sports, and special events planned; (v) the proposed BIE category of the event and evidence of its conformity to the regulations of the BIE (a copy of these regulations can be obtained from the Director upon request); (vi) the proposed steps that will be taken to protect foreign exhibitors under the BIE model rules and regulations and (vii) in writing commit its organization to the completion of the exposition.
3. Exhibit No. 3. Documentary evidence of State, regional and local support (e.g., letters to the applicant from business and civic leadership of the region, pledging assistance and/or financing; State and/or municipal resolutions, acts, or appropriations; referendums on bond issues, and others).
4. Exhibit No. 4. An organization chart of the exposition management structure (actual or proposed) of the applicant, including description of the functions, duties and responsibilities of each official position along with bibliographic material, including any professional experience in the fields of architecture, industrial design, engineering, labor relations, concession management, interpretative theme planning, exhibit development, etc., on principal officers, if available. (The principal officials should also be prepared to submit subsequent individual statements under oath of their respective financial holdings and other interests.)
5. Exhibit No. 5. A statement setting forth in detail (i) the availability of visitor services in existence or projected to accommodate tourists at the exposition (e.g., number of hotel and motel units, number and type of restaurants, health facilities, etc.); (ii) evidence of adequate transportation facilities and accessibility of the host city to large groups of national and international visitors (e.g., number and schedule of airlines, bus lines, railroads, and truck lines serving the host city); and (iii) plans to promote the exposition as a major national and international tourist destination.
6. Exhibit No. 6. A statement setting forth in detail the applicant’s plans for acquiring title to, or the right to occupy and use real property, other than that owned by the applicant or by the United States, essential for implementing the project or projects covered by the application. If the applicant, at the time of filing the application, has acquired title to the real property, he should submit a certified copy of the deed(s). If the applicant, at the time of filing the application, has by easement, lease, franchise, or otherwise acquired the right to occupy and use real property owned by others, he should submit a certified copy of the appropriate legal instrument(s) evidencing this right.
7. Exhibit No. 7. A statement of the latest prevailing hourly wage rates for construction workers in the host city (e.g., carpenters, cement masons, sheet metal workers, etc.).
8. Exhibit No. 8. Information on attitudes of labor leaders as to “no strike” agreements during the development and operation of the exposition. Actual “no strike” pledges are desirable.
9. Exhibit No. 9. A detailed study conducted and certified by a nationally recognized firm(s) in the field of economics, accounting, management, etc., setting forth (i) proposed capital investment cost; cash flow projections; and sources of financing available to meet these costs, including but not limited to funds from State and municipal financing, general obligation and/or general revenue bond issues, and other public or private sources of front-end capital; (ii) assurances that the “guaranteed financing” is or will be available in accordance with Section 2(a)(1)(b) of Pub. L. 91-269; (iii) the projected expenses for managing the exposition; (iv) projected operational revenues broken down to include admissions, space rental, concessions, service fees and miscellaneous income; and (v) cost-benefit projections. These should be accompanied by a statement of the firm that the needed cash flow, sources of funding, and revenue projections are realistic and attainable.
10. Exhibit No. 10. A description of the exposition implementation time schedule and the management control system to be utilized to implement the time schedule (e.g., PERT, CPM, etc.).
11. Exhibit No. 11. A statement setting forth in detail the public relations, publicity and other promotional plans of the applicant. For example, the statement could include: (i) an outline of the public relations/publicity program broken down by percentage allocations among the various media; (ii) a public relations/publicity program budget with the various calendar target dates for completion of phases prior to the opening, the opening and post-opening of the exposition; and (iii) protocol plans for U.S. and foreign dignitaries, as well as for special ceremonies and events and how these plans are to be financed.
12. Exhibit No. 12. A study setting forth in detail the benefits to be derived from the exposition and residual use plans. For example, the study might include: (i) extent of immediate economic benefits for the city/region/nation in proportion to total investment in the exposition; (ii) extent of long range economic benefits for the city/region/nation in proportion to total investment in the exposition; and (iii) extent of intangible (social, psychological, “good will”) benefits accruing to the city/region/nation including the solution or amelioration of any national/local problems.
13. Exhibit No. 13. A statement committing the applicant to develop and complete an environmental impact statement which complies with section 102(2)(c) of the National Environmental Policy Act of 1969 (83 Stat. 852; 42 U.S.C. 4331). Sample copies of environmental impact statements may be obtained from the Director. Prior to the Director’s submitting a report to the Secretary containing his findings on the application for Federal recognition pursuant to § 310.4, the applicant must have completed the required Environmental Impact Statement (EIS), in a form acceptable to the Department of Commerce.
14. Exhibit No. 14. A detailed set of general and special rules and regulations governing the exposition and participation in it, which, if Federal recognition is obtained, can be used by the Federal Government in seeking BIE registration.
15. Exhibit No. 15. A statement from the applicant agreeing to accept a U.S. Commissioner General, appointed by the President. He will be recognized as the senior Federal official and titular head of the exposition, final arbiter in disputes with exhibitors, and the official contact with foreign governments. The applicant should also agree to furnish the Commissioner General and his staff with suitable facilities in the host community during the development and operation of the exposition.
§ 310.4 Action on application.
(a) Upon receipt of an application, the Director will analyze the application and all accompanying exhibits to insure compliance with the provisions of § 310.3 and report his findings with respect thereto to the Secretary.
(b) If more than one applicant applies for Federal recognition for expositions to be held within three years or less of each other, the applications will be reviewed concurrently by the Director. The following standards will be considered in determining which if any of the competing applicants will be recommended for Federal recognition:
(1) The order of receipt of the applications by the Director, complete with all exhibits required by § 310.3.
(2) The financial plans of the applications. Primary consideration will be given to those applications which do not require Federal financing for exposition development. This does not extend to funding for a Federal pavilion, if one is desired.
(3) The relative merit of the applications in terms of their qualifications as tourism destination sites, both with respect to existing facilities and those facilities planned for the proposed exposition. If necessary, to assist in making this determination, the Director will appoint a panel of travel industry experts representing tour developers, the transportation, entertainment and hotel/motel industries for the purpose of studying the competing applications and reporting to the Director its views as to which proposed site best meets the above criteria. If such a panel is deemed necessary, the provisions of the Federal Advisory Committee Act (86 Stat. 770, 5 U.S.C. App. I) will be applicable.
(c) In analyzing the applications, the Director may hold public hearings with the objective of clarifying issues that might be raised by the application. If desired, the Director may utilize the services of an examiner.
(d) If the Director, in his discretion, decides to hold a public hearing, notice of such hearing shall be published in the
(e) The following general procedure shall govern the conduct of public hearings: (1) Stenographic minutes of the proceedings shall be made; (2) the names and addresses of all parties present or represented at the hearing shall be recorded; and (3) the Director or Examiner shall read aloud for the record and for the benefit of the public such parts of the Act and of these regulations as bear on the application. He shall also read aloud for the record and for the benefit of the public such other important papers, or extracts therefrom, as may be necessary for a full understanding of the issues which require clarification. The Director or Examiner shall impress upon the parties in attendance at the public hearing, and shall specifically state at the commencement of the hearing, that the hearing is not adversary in nature and that the sole objective thereof is to clarify issues that might have been raised by the application.
(f) Statements of interested parties may be presented orally at the hearing, or submitted in writing for the record.
(g) Within six months after receipt of a fully completed application and/or the adjournment of the public hearing, the Director shall submit his report containing his findings on the application to the Secretary.
§ 310.5 Report of the Secretary on Federal recognition.
If the Director’s report recommends Federal recognition, the Secretary, within a reasonable time, shall submit a report to the President.
(a) The Secretary’s report shall include: (1) An evaluation of the purposes and reasons for the exposition; and (2) a determination as to whether guaranteed financial and other support has been secured by the exposition from affected State and local governments and from business and civic leaders of the region and others in amounts sufficient to assure the successful development and progress of the exposition.
(b) Based on information from, and coordination with the Department of Commerce the Secretary of State shall also file a report with the President that the exposition qualifies for recognition by the BIE.
§ 310.6 Recognition by the President.
If the President concurs in the favorable reports from the Secretaries of State and Commerce, he may grant Federal recognition to the exposition by indicating his concurrence to the two Secretaries and authorizing them to seek BIE registration.
§ 310.7 Statement for Federal participation.
If Federal participation in the exposition, as well as Federal recognition thereof is desired, the applicant shall in a statement to the Director outline the nature of the Federal participation envisioned, including whether construction of a Federal pavilion is contemplated. (It should be noted, however, that before Federal participation can be authorized by the Congress under the Act, the exposition must have (i) met the criteria for Federal recognition and be so recognized, and (ii) been registered by the BIE. Although applicants need not submit such a statement until these prerequisites are satisfied, they are encouraged to do so.) Where the desired Federal participation includes a request for construction of a Federal pavilion, the statement shall be accompanied by the following exhibits:
1. Exhibit No. 1. A survey drawing of the proposed Federal pavilion site, showing its areas and boundaries, its grade elevations, and surface and subsoil conditions.
2. Exhibit No. 2. Evidence of resolutions, statutes, opinions, etc., as to the applicant’s ability to convey by deed the real property comprising the proposed Federal pavilion site in fee-simple and free of liens and encumbrances to the Federal Government. The only consideration on the part of the Government for the conveyance of the property shall be the Government’s commitment to participate in the exposition.
3. Exhibit No. 3. A certified copy of the building code which would be applicable should a pavilion be constructed.
4. Exhibit No. 4. An engineering drawing showing the accessibility of the proposed pavilion site to utilities (e.g., sewerage, water, gas, electricity, etc.).
5. Exhibit No. 5. A statement setting forth the security and maintenance and arrangements which the applicant would undertake (and an estimate of their cost) while a pavilion is under construction.
6. Exhibit No. 6. A study pursuant to Executive Order 11296 of August 10, 1966, entitled “Evaluation of flood hazard in locating Federally owned or financed buildings, roads and other facilities and in disposing of Federal land and properties.”
§ 310.8 Proposed plan for Federal participation.
(a) Upon receipt of the statement, and the exhibits referred to in § 310.7, the Director shall prepare a proposed plan in cooperation with other interested departments and agencies of the Federal Government for Federal participation in the exposition.
(b) In preparing the proposed plan for Federal participation in the exposition, the Director shall conduct a feasibility study of Federal participation including cost estimates by utilizing the services within the Federal Government, professional consultants and private sources as required and in accordance with applicable laws and regulations.
(c) The Director, in the proposed plan for Federal participation in the exposition, shall determine whether or not a Federal pavilion should be constructed and, if so, whether or not the Government would have need for a permanent structure in the area of the exposition or whether a temporary structure would be more appropriate.
(d) The Director shall seek the advice of the Administrator of the General Services Administration to the extent necessary in carrying out the proposed plan for Federal participation in the exposition.
(e) Upon completion of the proposed plan for Federal participation in the exposition, the Director shall submit the plan to the Secretary.
§ 310.9 Report of the Secretary on Federal participation.
Upon receipt of the Director’s proposed plan for Federal participation, the Secretary, within a reasonable time, shall submit a report to the President including: (a) Evidence that the exposition has met the criteria for Federal recognition and has been so recognized; (b) a statement that the exposition has been registered by the BIE; and (c) a proposed plan for the Federal participation referred to in § 310.8.
PART 315 [RESERVED]
PART 325 – EXPORT TRADE CERTIFICATES OF REVIEW
§ 325.1 Scope.
This part contains regulations for issuing export trade certificates of review under title III of the Export Trading Company Act, Pub. L. 97-290. A holder of a certificate of review and the members named in the certificate will have specific protections from private treble damage actions and government criminal and civil suits under U.S. Federal and State antitrust laws for the export conduct specified in the certificate and carried out during its effective period in compliance with its terms and conditions.
§ 325.2 Definitions.
As used in this part:
(a) Act means title III of Pub. L. 97-290, Export Trade Certificates of Review.
(b) Antitrust laws means the antitrust laws, as the term is defined in the first section of the Clayton Act (15 U.S.C. 12), section 5 of the Federal Trade Commission Act (15 U.S.C. 45) (to the extent that section 5 prohibits unfair methods of competition), and any State antitrust or unfair competition law.
(c) Applicant means the person or persons who submit an application for a certificate.
(d) Application means an application for a certificate to be issued under the Act.
(e) Attorney General means the Attorney General of the United States or his designee.
(f) Certificate means a certificate of review issued pursuant to the Act.
(g) Control means either (1) holding 50 percent or more of the outstanding voting securities of an issuer; or (2) having the contractual power presently to designate a majority of the directors of a corporation, or in the case of an unincorporated entity, a majority of the individuals who exercise similar functions.
(h) Controlling entity means an entity which directly or indirectly controls a member or applicant, and is not controlled by any other entity.
(i) Export conduct means specified export trade activities and methods of operation carried out in specified export trade and export markets.
(j) Export trade means trade or commerce in goods, wares, merchandise, or services that are exported, or are in the course of being exported, from the United States or any territory of the United States to any foreign nation.
(k) Export trade activities means activities or agreements in the course of export trade.
(l) Member means an entity (U.S. or foreign) or a person which is seeking protection under the certificate with the applicant. A member may be a partner in a partnership or a joint venture; a shareholder of a corporation; or a participant in an association, cooperative, or other form of profit or nonprofit organization or relationship, by contract or other arrangement.
(m) Method of operation means any method by which an applicant or member conducts or proposes to conduct export trade.
(n) Person means an individual who is a resident of the United States; a partnership that is created under and exists pursuant to the laws of any State or of the United States; a State or local government entity; a corporation, whether it is organized as a profit or nonprofit corporation, that is created under and exists pursuant to the laws of any State or of the United States; or any association or combination, by contract or other arrangement, between or among such persons.
(o) Secretary means the Secretary of Commerce or his designee.
(p) Services means intangible economic output, including, but not limited to –
(1) business, repair, and amusement services,
(2) management, legal, engineering, architectural, and other professional services, and
(3) financial, insurance, transportation, informational and any other data-based services, and communication services.
(q) United States means the fifty States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, Guam, the Commonwealth of the Northern Mariana Islands, and the Trust Territory of the Pacific Islands.
§ 325.3 Applying for a certificate of review.
(a) Place of filing. The applicant shall submit an original and two copies of a completed application form (ITA 4093-P, OMB control number 0625-0125) by personal delivery during normal business hours or by first class mail to the Office of Export Trading Company Affairs, Room 5618, International Trade Administration, Department of Commerce, Washington, DC 20230. Although not required, the applicant should consider using registered mail or some other delivery method that provides evidence of receipt.
(b) Contents of application. Any person may submit an application for certification. The application shall contain, where applicable, the information listed below. Some information, in particular the identification of goods or services that the applicant exports or proposes to export, is requested in a certain form (Standard Industrial Classification [SIC] numbers) if reasonably available. Where information does not exist in this form, the applicant may satisfy the request for information by providing it in some other convenient form. If the applicant is unable to provide any of the information requested or if the applicant believes that any of the information requested would be both burdensome to obtain and unnecessary for a determination on the application, the applicant should state that the information is not being provided or is being provided in lesser detail, and explain why.
(1) Name and principal address of the applicant and of its controlling entity, if any. Include the name, title, address, telephone number, and relationship to the applicant of each individual to whom the Secretary should address correspondence.
(2) The name and principal address of each member, and of each member’s controlling entity, if any.
(3) A copy of any legal instrument under which the applicant is organized or will operate. Include copies, as applicable, of its corporate charter, bylaws, partnership, joint venture, membership or other agreements or contracts under which the applicant is organized.
(4) A copy of the applicant’s most recent annual report, if any, and that of its controlling entity, if any. To the extent the information is not included in the annual report, or other documents submitted in connection with the application, a description of the applicant’s domestic (including import) and export operations, including the nature of its business, the types of products or services in which it deals, and the places where it does business. This description may be supplemented by a chart or table.
(5) A copy of each member’s most recent annual report, if any, and that of its controlling entity, if any. To the extent the information is not included in the annual report, or other documents submitted in connection with the application, a description of each member’s domestic (including import) and export operations, including the nature of its business, the types of products or services in which it deals, and the places where it does business. This description may be supplemented by a chart or table.
(6) The names, titles, and responsibilities of the applicant’s directors, officers, partners and managing officials, and their business affiliations with other members or other businesses that produce or sell any of the types of goods or services described in paragraph (b)(7) of this section.
(7)(i) A description of the goods or services which the applicant exports or proposes to export under the certificate of review. This description should reflect the industry’s customary definitions of the products and services.
(ii) If it is reasonably available, an identification of the goods or services according to the Standard Industrial Classification (SIC) number. Goods should normally be identified according to the 7-digit level. Services should normally be identified at the most detailed SIC level available.
(iii) The foreign geographic areas to which the applicant and each member export or intend to export their goods and services.
(8) For each class of the goods, wares, merchandise or services described in paragraph (b)(7) of this section:
(i) The principal geographic area or areas in the United States in which the applicant and each member sell their goods and services.
(ii) For their previous two fiscal years, the dollar value of the applicant’s and each member’s (A) total domestic sales, if any; and (B) total export sales, if any. Include the value of the sales of any controlling entities and all entities under their control.
(9) For each class of the goods, wares, merchandise or services described in paragraph (b)(7) of this section, the best information or estimate accessible to the applicant of the total value of sales in the United States by all companies for the last two years. Identify the source of the information or the basis of the estimate.
(10) A description of the specific export conduct which the applicant seeks to have certified. Only the specific export conduct described in the application will be eligible for certification. For each item, the applicant should state the antitrust concern, if any, raised by that export conduct. (Examples of export conduct which applicants may seek to have certified include the manner in which goods and services will be obtained or provided; the manner in which prices or quantities will be set; exclusive agreements with U.S. suppliers or export intermediaries; territorial, quantity, or price agreements with U.S. suppliers or export intermediaries; and restrictions on membership or membership withdrawal. These examples are given only to illustrate the type of export conduct which might be of concern. The specific activities which the applicant may wish to have certified will depend on its particular circumstances or business plans.).
(11) If the export trade, export trade activities, or methods of operation for which certification is sought will involve any agreement or any exchange of information among suppliers of the same or similar products or services with respect to domestic prices, production, sales, or other competitively sensitive business information, specify the nature of the agreement or exchange of information. Such information exchanges are not necessarily impermissible and may be eligible for certification. Whether or not certification is sought for such exchanges, this information is necessary to evaluate whether the conduct for which certification is sought meets the standards of the Act.
(12) A statement of whether the applicant intends or reasonably expects that any exported goods or services covered by the proposed certificate will re-enter the United States, either in their original or modified form. If so, identify the goods or services and the manner in which they may re-enter the U.S.
(13) The names and addresses of the suppliers of the goods and services to be exported (and the goods and services to be supplied by each) unless the goods and services to be exported are to be supplied by the applicant and/or its members.
(14) A proposed non-confidential summary of the export conduct for which certification is sought. This summary may be used as the basis for publication in the
(15) Any other information that the applicant believes will be necessary or helpful to a determination of whether to issue a certificate under the standards of the Act.
(16) (Optional) A draft proposed certificate.
(c) The applicant must sign the application and certify that (1) each member has authorized the applicant to submit the application, and (2) to the best of its belief the information in the application is true, correct, and fully responsive.
(d) Conformity with regulations. No application shall be deemed submitted unless it complies with these regulations. Applicants are encouraged to seek guidance and assistance from the Department of Commerce in preparing and documenting their applications.
(e) Review and acceptance. The Secretary will stamp the application on the day that it is received in the Office of Export Trading Company Affairs. From that date, the Secretary will have five working days to decide whether the application is complete and can be deemed submitted under the Act. On the date on which the application is deemed submitted, the Secretary will stamp it with that date and notify the applicant that the application has been accepted for review. If the application is not accepted for review, the Secretary shall advise the applicant that it may file the application again after correcting the deficiencies that the Secretary has specified. If the Secretary does not take action on the application within the five-day period, the application shall be deemed submitted as of the sixth day.
(f) Withdrawal of application. The applicant may withdraw an application by written request at any time before the Secretary has determined whether to issue a certificate. An applicant who withdraws an application may submit a new application at any time.
(g) Supplemental information. After an application has been deemed submitted, if the Secretary or the Attorney General finds that additional information is necessary to make a determination on the application, the Secretary will ask the applicant in writing to supply the supplemental information. The running of the time period for a determination on the application will be suspended from the date on which the request is sent until the supplemental information is received and is considered complete. The Secretary shall promptly decide whether the supplemental information is complete, and shall notify the applicant of his decision. If the information is being sought by the Attorney General, the supplemental information may be deemed complete only if the Attorney General concurs. If the applicant does not agree to provide the additional information, or supplies information which the Secretary or the Attorney General considers incomplete, the Secretary and the Attorney General will decide whether the information in their possession is sufficient to make a determination on the application. If either the Secretary or the Attorney General considers the information in their possession insufficient, the Secretary may make an additional request or shall deny the application. If they consider the information in their possession sufficient to make a determination on the application, the Secretary shall notify the applicant that the time period for a determination has resumed running.
§ 325.4 Calculating time periods.
(a) When these regulations require action to be taken within a fixed time period, and the last day of the time period falls on a non-working day, the time period shall be extended to the next working day.
(b) The day after an application is deemed submitted shall be deemed the first of the days within which the Secretary must make a determination on the application.
§ 325.5 Issuing the certificate.
(a) Time period. The Secretary shall determine whether to issue a certificate within ninety days after the application is deemed submitted (excluding any suspension pursuant to § 325.3(f) of the time period for making a determination). If the Secretary or the Attorney General considers it necessary, and the applicant agrees, the Secretary may take up to an additional thirty days to determine whether to issue a certificate.
(b) Determination. The Secretary shall issue a certificate to the applicant if he determines, and the Attorney General concurs, that the proposed export trade, export trade activities and methods of operation will –
(1) Result in neither a substantial lessening of competition or restraint of trade within the United States nor a substantial restraint of the export trade of any competitor of the applicant;
(2) Not unreasonably enhance, stabilize, or depress prices within the United States of the class of the goods, wares, merchandise or services exported by the applicant;
(3) Not constitute unfair methods of competition against competitors who are engaged in the export of goods, wares, merchandise or services of the class exported by the applicant; and
(4) Not include any act that may reasonably be expected to result in the sale for consumption or resale within the United States of the goods, wares, merchandise, or services exported by the applicant.
(c) Concurrence of the Attorney General. (1) Not later than seven days after an application is deemed submitted, the Secretary shall deliver to the Attorney General a copy of the application, any information submitted in connection with the application, and any other relevant information in his possession. The Secretary and the Attorney General shall make available to each other copies of other relevant information that was obtained in connection with the application, unless otherwise prohibited by law.
(2) Not later than thirty days before the day a determination on the application is due, the Secretary shall deliver a proposed certificate to the Attorney General for discussion and comment. If the Attorney General does not agree that the proposed certificate may be issued, he shall, not later than ten days before the day a determination on the application is due, so advise the Secretary and state the reasons for the disagreement. The Secretary with the concurrence of the Attorney General, may modify or revise the proposed certificate to resolve the objections and problems raised by the Attorney General, or deny the application.
(3) If the Attorney General receives the proposed certification by the date specified in the preceding paragraph and does not respond within the time period specified in that paragraph, he shall be deemed to concur in the proposed certificate.
(d) Content of certificate. The certificate shall specify the export conduct and all persons or entities which are protected from liability under the antitrust laws. The Secretary may certify the proposed export conduct contained in the application, in whole or in part, with such changes, modifications, terms, or conditions as are appropriate. If the Secretary intends to issue a certificate different from a draft certificate submitted by the applicant, the Secretary shall first consult with the applicant.
(e) Certificate obtained by fraud. A certificate shall be void ab initio with respect to any export conduct for which a certificate was obtained by fraud.
(f) Minimum thirty-day period. The Secretary may not issue a certificate until thirty days after the summary of the application is published in the
§ 325.6 Publishing notices in the Federal Register.
(a) Within ten days after an application is deemed submitted, the Secretary shall deliver to the
(b) If a certificate is issued, the Secretary shall publish a summary of the certification in the
(c) If the Secretary initiates proceedings to revoke or modify a certificate, he shall publish a notice of his final determination in the
(d) If the applicant requests reconsideration of a determination to deny an application, in whole or in part, the Secretary shall publish notice of his final determination in the
§ 325.7 Amending the certificate.
An application for an amendment to a certificate shall be treated in the same manner as an original application. The application for an amendment shall set forth the proposed amendment(s) and the reasons for them. It shall contain any information specified in § 325.3(b) that is relevant to the determination on the application for an amendment. The effective date of an amendment will be the date on which the application for the amendment was deemed submitted.
§ 325.8 Expediting the certification process.
(a) Request for expedited action. (1) An applicant may be granted expedited action on its application in the discretion of the Secretary and the Attorney General. The Secretary and the Attorney General will consider such requests in light of an applicant’s showing that it has a special need for a prompt decision. A request for expedited action should include an explanation of why expedited action is needed, including a statement of all relevant facts and circumstances, such as bidding deadlines or other circumstances beyond the control of the applicant, that require the applicant to act in less than ninety days and that have a significant impact on the applicant’s export trade.
(2) The Secretary shall advise the applicant within ten days after the application is deemed submitted whether it will receive expedited action. The Secretary may grant the request in whole or in part and process the remainder of the application through the normal procedures. Expedited action may be granted only if the Attorney General concurs.
(b) Time period. The Secretary shall determine whether to issue a certificate to the applicant within forty-five days after the Secretary granted the request for expedited action, or within a longer period if agreed to by the applicant (excluding any suspension pursuant to § 325.3(f) of the time period for making a determination). The Secretary may not issue a certificate until thirty days after the summary of the application is published in the
(c) Concurrence of the Attorney General. (1) Not later than ten working days before the date on which a determination on the application is due, the Secretary shall deliver a proposed certificate to the Attorney General for discussion and comment. If the Attorney General does not agree that the proposed certificate may be issued, he shall, not later than five working days before the date on which a determination on the application is due, so advise the Secretary and state the reasons for the disagreement. The Secretary, with the concurrence of the Attorney General, may revise the proposed certificate to resolve the objections and problems raised by the Attorney General, or deny the application.
(2) If the Attorney General receives the proposed certificate by the date specified in the preceding paragraph and does not respond within the time period specified in that paragraph, he shall be deemed to concur in the proposed certificate.
§ 325.9 Reconsidering an application that has been denied.
(a) If the Secretary determines to deny an application in whole or in part, he shall notify the applicant in writing of his decision and the reasons for his determination.
(b) Within thirty days after receiving a notice of denial, the applicant may request the Secretary to reconsider his determination.
(1) The request for reconsideration shall include a written statement setting forth the reasons why the applicant believes the decision should be reconsidered, and any additional information that the applicant considers relevant.
(2) Upon the request of the applicant, the Secretary and the Attorney General will meet informally with the applicant and/or his representative to discuss the applicant’s reasons why the determination on the application should be changed.
(c) The Secretary shall consult with the Attorney General with regard to reconsidering an application. The Secretary may modify his original determination only if the Attorney General concurs.
(d) The Secretary shall notify the applicant in writing of his final determination after reconsideration and of his reasons for the determination within thirty days after the request for reconsideration has been received.
§ 325.10 Modifying or revoking a certificate.
(a) Action subject to modification or revocation. The Secretary shall revoke a certificate, in whole or in part, or modify it, as the Secretary or the Attorney General considers necessary, if:
(1) The export conduct of a person or entity protected by the certificate no longer complies with the requirements set forth in § 325.4(b);
(2) A person or entity protected by the certificate fails to comply with a request for information under paragraph (b) of this section; or
(3) The certificate holder fails to file a complete annual report.
(b) Request for information. If the Secretary or the Attorney General has reason to believe that the export trade, export trade activities, or methods of operation of a person or entity protected by a certificate no longer comply with the requirements set forth in § 325.4(b), the Secretary shall request any information that he or the Attorney General considers to be necessary to resolve the matter.
(c) Proceedings for the revocation or modification of a certificate – (1) Notification letter. If, after reviewing the relevant information in their possession, it appears to the Secretary or the Attorney General that a certificate should be revoked or modified for any of the reasons set forth in paragraph (a) above, the Secretary shall so notify the certificate holder in writing. The notification shall be sent by registered or certified mail to the address specified in the certificate. The notification shall include a detailed statement of the facts, conduct, or circumstances which may warrant the revocation or modification of the certificate.
(2) Answer. The certificate holder shall respond to the notification letter within thirty days after receiving it, unless the Secretary, in his discretion, grants a thirty day extension for good cause shown. The certificate holder shall respond specifically to the statement included with the notification letter and state in detail why the facts, conduct or circumstances described in the notification letter are not true, or if they are true, why they do not warrant the revoking or modifying of the certificate. If the certificate holder does not respond within the specified period, it will be considered an admission of the statements contained in the notification letter.
(3) Resolution of factual disputes. Where material facts are in dispute, the Secretary and the Attorney General shall, upon request, meet informally with the certificate holder. The Secretary or the Attorney General may require the certificate holder to provide any documents or information that are necessary to support its contentions. After reviewing the statements of the certificate holder and the documents or information that the certificate holder has submitted, and upon considering other relevant documents or information in his possession, the Secretary shall make proposed findings of the factual matters in dispute. The Attorney General is not bound by the proposed findings.
(4) Final determination. The Secretary and the Attorney General shall review the notification letter and the certificate holder’s answer to it, the proposed factual findings made under paragraph (c)(3) of this section, and any other relevant documents or information in their possession. If, after review, the Secretary or the Attorney General determines that the export conduct of a person or entity protected by the certificate no longer complies with the standards set forth in § 325.4(b), the Secretary shall revoke or modify the certificate as appropriate. If the Secretary or the Attorney General determines that the certificate holder has failed to comply with the request for information under paragraph (b) of this section, or has failed to file a complete annual report, and that the failure to comply or file should result in revocation of modification, the Secretary shall revoke or modify the certificate as appropriate. The determination will be final and will be issued to the certificate holder in writing. The notice to the certificate holder shall include a statement of the circumstances underlying and the reasons in support of the determination. If the Secretary determines to revoke or modify the certificate, the decision shall specify the effective date of the revocation or modification; this date must be at least thirty days but not more than ninety days after the Secretary notifies the certificate holder of his determination. The Secretary shall publish notice in the
(d) Investigative information. In proceedings under this section, the Attorney General shall make available to the Secretary any information that has been obtained in response to Civil Investigative Demands issued under section 304(b)(3) of the Act. Unless prohibited by law, the Attorney General and the Secretary shall also make available to each other any other information which each is relying upon under these proceedings.
§ 325.11 Judicial review.
(a) Review of certain determinations. (1) Any person aggrieved by a final determination of the Secretary under § 325.5, § 325.7, § 325.9, or § 325.10 of these regulations may, within thirty days of the determination, bring an action in an appropriate district court of the United States to set aside the determination on the ground that it is erroneous. If a certificate is denied, the applicant may bring suit within thirty days after the notice of denial is published in the
(b) For purposes of judicial review, determinations of the Secretary are final when notice is published in the
(c) Record for judicial review. For purposes of judicial review, the record shall include all information presented to or obtained by the Secretary which had a bearing on the determination, the determination itself, the supporting statement setting forth the reasons for the determination, and the Attorney General’s response to the Secretary indicating concurrence or nonconcurrence.
(d) Limitation of judicial review. Except as provided in paragraph (a) of this section, no agency action taken under the Act shall be subject to judicial review.
§ 325.12 Returning the applicant’s documents.
(a) Upon the denial or withdrawal of an application for a certificate in its entirety, the applicant may request the return of all copies of the documents submitted by the applicant in connection with the application to the Department of Commerce or the Department of Justice. The applicant shall submit this request in writing to both the Secretary and the Attorney General.
(b) The Secretary and the Attorney General shall return the documents to the applicant within thirty days after they receive the applicant’s request.
§ 325.13 Nonadmissibility in evidence.
If the Secretary denies, in whole or in part, an application for a certificate or for an amendment to a certificate, or revokes or amends a certificate, neither the negative determination nor the statement of reasons therefor shall be admissible in evidence in any administrative or judicial proceeding in support of any claim under the antitrust laws.
§ 325.14 Submitting reports.
(a) Not later than each anniversary of a certificate’s effective date, the Secretary shall notify the certificate holder of the information to be included in the annual report. This report shall contain any changes relevant to the matters specified in the certificate, an update of the information contained in the application brought current to the anniversary date, and any other information the Secretary considers appropriate, after consultation with the Attorney General.
(b) Not later than forty-five days after each anniversary of a certificate’s effective date, a certificate holder shall submit its annual report to the Secretary. The Secretary shall deliver a copy of the annual report to the Attorney General.
(c) Failure to submit a complete annual report may be the basis for modification or revocation of a certificate.
§ 325.15 Relinquishing a certificate.
A certificate holder may relinquish a certificate at any time through written notice to the Secretary. The certificate will cease to be effective on the day the Secretary receives the notice.
§ 325.16 Protecting confidentiality of information.
(a) Any information that is submitted by any person under the Act is exempt from disclosure under the Freedom of Information Act (5 U.S.C. 552).
(b)(1) Except as authorized under paragraph (b)(3) of this section, no officer or employee of the United States shall disclose commercial or financial information submitted under this Act if the information is privileged or confidential, and if disclosing the information would cause harm to the person who submitted it.
(2) A person submitting information shall designate the documents or information which it considers privileged or confidential and the disclosure of which would cause harm to the person submitting it. The Secretary shall endeavor to notify these persons of any requests or demands before disclosing any of this information.
(3) An officer or employee of the United States may disclose information covered under paragraph (b)(1) of this section only under the following circumstances –
(i) Upon a request made by either House of Congress or a Committee of the Congress,
(ii) In a judicial or administrative proceeding subject to issuance of an appropriate protective order,
(iii) With the written consent of the person who submitted the information,
(iv) When the Secretary considers disclosure of the information to be necessary for determining whether or not to issue, amend, or revoke a certificate, if –
(A) The Secretary determines that a non-confidential summary of the information is inadequate; and
(B) The person who submitted the information is informed of the intent to disclose the information, and has an opportunity to advise the Secretary of the potential harm which disclosure may cause,
(v) In accordance with any requirement imposed by a statute of the United States.
(c) In any judicial or administrative proceeding in which disclosure is sought from the Secretary or the Attorney General of any confidential or privileged documents or information submitted under this Act, the Secretary or Attorney General shall attempt to notify the party who submitted the information of the request or demand for disclosure. In appropriate circumstances the Secretary or Attorney General may seek or support an appropriate protective order on behalf of the party who submitted the documents or information.
§ 325.17 Waiver.
The Secretary may waive any of the provisions of this part in writing for good cause shown, if the Attorney General concurs and if permitted by law.
PARTS 326-399 [RESERVED]
CHAPTER IV – FOREIGN-TRADE ZONES BOARD, DEPARTMENT OF COMMERCE
PART 400 – REGULATIONS OF THE FOREIGN-TRADE ZONES BOARD
Subpart A – Scope, Definitions and Authority
§ 400.1 Scope.
(a) This part sets forth the regulations, including the rules of practice and procedure, of the Foreign-Trade Zones Board with regard to foreign-trade zones (FTZs or zones) in the United States pursuant to the Foreign-Trade Zones Act of 1934, as amended (19 U.S.C. 81a-81u). It includes the substantive and procedural rules for the authorization of zones and for the Board’s regulation of zone activity. The purpose of zones as stated in the Act is to “expedite and encourage foreign commerce, and other purposes.” The regulations provide the legal framework for accomplishing this purpose in the context of evolving U.S. economic and trade policy, and economic factors relating to international competition.
(b) Part 146 of the customs regulations (19 CFR part 146) governs zone operations, including the admission of merchandise into zones, zone activity involving such merchandise, and the transfer of merchandise from zones.
(c) To the extent zones are “activated” under U.S. Customs and Border Protection (CBP) procedures in 19 CFR part 146, and only for the purposes specified in the Act (19 U.S.C. 81c), zones are treated for purposes of the tariff laws and customs entry procedures as being outside the customs territory of the United States. Under zone procedures, foreign and domestic merchandise may be admitted into zones for operations such as storage, exhibition, assembly, manufacture and processing, without being subject to formal customs entry procedures and payment of duties, unless and until the foreign merchandise enters customs territory for domestic consumption. At that time, the importer ordinarily has a choice of paying duties either at the rate applicable to the foreign material in its condition as admitted into a zone, or if used in production activity, to the emerging product. Quota restrictions do not normally apply to foreign goods in zones. The Board can deny or limit the use of zone procedures in specific cases on public interest grounds. Merchandise moved into zones for export (zone-restricted status) may be considered exported for purposes such as federal excise tax rebates and customs drawback. Foreign merchandise (tangible personal property) admitted to a zone and domestic merchandise held in a zone for exportation are exempt from certain state and local ad valorem taxes (19 U.S.C. 81o(e)). Articles admitted into zones for purposes not specified in the Act shall be subject to the tariff laws and regular entry procedures, including the payment of applicable duties, taxes, and fees.
§ 400.2 Definitions.
(a) Act means the Foreign-Trade Zones Act of 1934, as amended (19 U.S.C. 81a-81u).
(b) Activation limit is the size of the physical area of a particular zone or subzone authorized by the Board to be simultaneously in activated status with CBP pursuant to 19 CFR 146.6. The activation limit for a particular zone/subzone is a figure explicitly specified by the Board in authorizing the zone (commonly 2,000 acres) or subzone or, in the absence of a specified figure, the total of the sizes of the approved sites of the zone/subzone.
(c) Alternative site framework (ASF) is an optional approach to designation and management of zone sites allowing greater flexibility and responsiveness to serve single-operator/user locations. The ASF was adopted by the Board as a matter of practice in December 2008 (74 FR 1170, January 12, 2009; correction 74 FR 3987, January 22, 2009) and modified by the Board in November 2010 (75 FR 71069, November 22, 2010).
(d) Board means the Foreign-Trade Zones Board, which consists of the Secretary of the Department of Commerce (chairman) and the Secretary of the Treasury, or their designated alternates.
(e) Board Order is a type of document that indicates a final decision of the Board. Board Orders are generally published in the
(f) CBP means U.S. Customs and Border Protection.
(g) Executive Secretary is the Executive Secretary of the Foreign-Trade Zones Board.
(h) Foreign-trade zone (FTZ or zone) includes one or more restricted-access sites, including subzones, in or adjacent (as defined by § 400.11(b)(2)) to a CBP port of entry, operated as a public utility (within the meaning of § 400.42) under the sponsorship of a zone grantee authorized by the Board, with zone operations under the supervision of CBP.
(i) Grant of authority is a document issued by the Board that authorizes a zone grantee to establish, operate and maintain a zone, subject to limitations and conditions specified in this part and in 19 CFR part 146. The authority to establish a zone includes the responsibility to manage it.
(j) Magnet site means a site intended to serve or attract multiple operators or users under the ASF.
(k) Modification: A major modification is a proposed change to a zone that requires action by the FTZ Board; a minor modification is a proposed change to a zone that may be authorized by the Executive Secretary.
(l) Person includes any individual, corporation, or entity.
(m) Port of entry means a port of entry in the United States, as defined by part 101 of the customs regulations (19 CFR part 101), or a user fee airport authorized under 19 U.S.C. 58b and listed in part 122 of the customs regulations (19 CFR part 122).
(n) Private corporation means any corporation, other than a public corporation, which is organized for the purpose of establishing, operating and maintaining a zone and which is chartered for this purpose under a law of the state in which the zone is located.
(o) Production, as used in this part, means activity involving the substantial transformation of a foreign article resulting in a new and different article having a different name, character, and use, or activity involving a change in the condition of the article which results in a change in the customs classification of the article or in its eligibility for entry for consumption.
(p) Public corporation means a state, a political subdivision (including a municipality) or public agency thereof, or a corporate municipal instrumentality of one or more states.
(q) Service area means the jurisdiction(s) within which a grantee proposes to be able to designate sites via minor boundary modifications under the ASF.
(r) State includes any state of the United States, the District of Columbia, and Puerto Rico.
(s) Subzone means a site (or group of sites) established for a specific use.
(t) Usage-driven site means a site tied to a single operator or user under the ASF.
(u) Zone means a foreign-trade zone established under the provisions of the Act and these regulations. Where used in this part, the term also includes subzones, unless the context indicates otherwise.
(v) Zone grantee is the corporate recipient of a grant of authority for a zone. Where used in this part, the term “grantee” means “zone grantee” unless otherwise indicated.
(w) Zone operator is a person that operates within a zone or subzone under the terms of an agreement with the zone grantee (or third party on behalf of the grantee), with the concurrence of CBP.
(x) Zone participant is a current or prospective zone operator, zone user, or property owner.
(y) Zone plan includes all the zone sites that a single grantee is authorized to establish.
(z) Zone site (site) means a physical location of a zone or subzone. A site is composed of one or more generally contiguous parcels of land organized and functioning as an integrated unit, such as all or part of an industrial park or airport facility.
(aa) Zone user is a party using a zone under agreement with a zone operator.
§ 400.3 Authority of the Board.
(a) In general. In accordance with the Act and procedures of this part, the Board has authority to:
(1) Prescribe rules and regulations concerning zones;
(2) Issue grants of authority for zones, and approve subzones and modifications to the original zone;
(3) Authorize production activity in zones and subzones as described in this part;
(4) Make determinations on matters requiring Board decisions under this part;
(5) Decide appeals in regard to certain decisions of the Commerce Department’s Assistant Secretary for Enforcement and Compliance or the Executive Secretary;
(6) Inspect the premises, operations and accounts of zone grantees, operators and users (and persons undertaking zone-related functions on behalf of grantees, where applicable);
(7) Require zone grantees and operators to report on zone operations;
(8) Report annually to the Congress on zone operations;
(9) Restrict or prohibit zone operations;
(10) Terminate reviews of applications under certain circumstances pursuant to § 400.36(g);
(11) Authorize under certain circumstances the entry of “zone-restricted merchandise” (19 CFR 146.44) into the customs territory pursuant to § 400.48;
(12) Impose fines for violations of the Act and this part;
(13) Instruct CBP to suspend activated status pursuant to § 400.62(h);
(14) Revoke grants of authority for cause;
(15) Determine, as appropriate, whether zone activity is or would be in the public interest or detrimental to the public interest, health or safety; and
(16) Issue and discontinue waivers pursuant to § 400.43(f).
(b) Authority of the Chairman of the Board. The Chairman of the Board (Secretary of the Department of Commerce) has the authority to:
(1) Appoint the Executive Secretary of the Board;
(2) Call meetings of the Board, with reasonable notice given to each member; and
(3) Submit to the Congress the Board’s annual report as prepared by the Executive Secretary.
(c) Alternates. Each member of the Board shall designate an alternate with authority to act in an official capacity for that member.
(d) Authority of the Assistant Secretary for Enforcement and Compliance (Alternate Chairman). The Commerce Department’s Assistant Secretary for Enforcement and Compliance has the authority to:
(1) Terminate reviews of applications under certain circumstances pursuant to § 400.36(g);
(2) Mitigate and assess fines pursuant to §§ 400.62(e) and (f) and instruct CBP to suspend activated status pursuant to § 400.62(h); and
(3) Restrict the use of zone procedures under certain circumstances pursuant to § 400.49(c).
(e) Determinations of the Board. Determinations of the Board shall be by the unanimous vote of the members (or alternate members) of the Board, which shall be recorded.
§ 400.4 Authority and responsibilities of the Executive Secretary.
The Executive Secretary has the following responsibilities and authority:
(a) Represent the Board in administrative, regulatory, operational, and public affairs matters;
(b) Serve as director of the Commerce Department’s Foreign-Trade Zones staff;
(c) Execute and implement orders of the Board;
(d) Arrange meetings and direct circulation of action documents for the Board;
(e) Arrange with other sections of the Department of Commerce and other governmental agencies for studies and comments on zone issues and proposals;
(f) Maintain custody of the seal, records, files and correspondence of the Board, with disposition subject to the regulations of the Department of Commerce;
(g) Issue notices on zone matters for publication in the
(h) Direct processing of applications and reviews, including designation of examiners and scheduling of hearings, under various sections of this part;
(i) Make determinations on questions pertaining to grantees’ applications for subzones as provided in § 400.12(d);
(j) Make recommendations in cases involving questions as to whether zone activity should be prohibited or restricted for public interest reasons, including proceedings and reviews under § 400.5;
(k) Determine questions of scope under § 400.14(d);
(l) Determine whether additional information is needed for evaluation of applications and other requests for decisions under this part, as provided for in various sections of this part, including §§ 400.21-400.25;
(m) Issue instructions, guidelines, forms and related documents specifying time, place, manner and formats for applications and notifications in various sections of this part, including §§ 400.21(b) and 400.43(f);
(n) Determine whether proposed modifications are major modifications or minor modifications under § 400.24(a)(2);
(o) Determine whether applications meet pre-docketing requirements under § 400.31(b);
(p) Terminate reviews of applications under certain circumstances pursuant to § 400.36(g);
(q) Authorize minor modifications to zones under § 400.38, commencement of production activity under § 400.37(d) and subzone designation under § 400.36(f);
(r) Review notifications for production authority under § 400.37;
(s) Direct monitoring and reviews of zone operations and activity under § 400.49;
(t) Review rate schedules and determine their sufficiency under § 400.44(c);
(u) Assess potential issues and make recommendations pertaining to uniform treatment under § 400.43 and review and decide complaint cases under § 400.45;
(v) Make certain determinations and authorizations pertaining to retail trade under § 400.47;
(w) Authorize under certain circumstances the entry of “zone-restricted merchandise” into the customs territory under § 400.48;
(x) Determine the format and deadlines for the annual reports of zone grantees to the Board and direct preparation of an annual report from the Board to Congress under § 400.51(c);
(y) Make recommendations and certain determinations regarding violations and fines, and undertake certain procedures related to the suspension of activated status, as provided in § 400.62; and
(z) Designate an acting Executive Secretary.
§ 400.5 Authority to restrict or prohibit certain zone operations.
The Board may conduct a proceeding, or the Executive Secretary a review, to consider a restriction or prohibition on zone activity. Such proceeding or review may be either self-initiated or in response to a complaint made to the Board by a person directly affected by the activity in question and showing good cause. After a proceeding or review, the Board may restrict or prohibit any admission of merchandise or process of treatment in an activated FTZ site when it determines that such activity is detrimental to the public interest, health or safety.
§ 400.6 Board headquarters.
The headquarters of the Board are located within the U.S. Department of Commerce (Herbert C. Hoover Building), 1401 Constitution Avenue NW., Washington, DC 20230, within the office of the Foreign-Trade Zones staff.
§ 400.7 CBP officials as Board representatives.
CBP officials with oversight responsibilities for a port of entry represent the Board with regard to the zones adjacent to the port of entry in question and are responsible for enforcement, including physical security and access requirements, as provided in 19 CFR part 146.
Subpart B – Ability To Establish Zone; Limitations and Restrictions on Authority Granted
§ 400.11 Number and location of zones and subzones.
(a) Number of zones – port of entry entitlement. (1) Provided that the other requirements of this part are met:
(i) Each port of entry is entitled to at least one zone;
(ii) If a port of entry is located in more than one state, each of the states in which the port of entry is located is entitled to a zone; and
(iii) If a port of entry is defined to include more than one city separated by a navigable waterway, each of the cities is entitled to a zone.
(2) Applications pertaining to zones in addition to those approved under the entitlement provision of paragraph (a)(1) of this section may be approved by the Board if it determines that the existing zone(s) will not adequately serve the convenience of commerce.
(b) Location of zones and subzones – port of entry adjacency requirements. (1) The Board may approve “zones in or adjacent to ports of entry” (19 U.S.C. 81b).
(2) The “adjacency” requirement is satisfied if:
(i) A general-purpose zone site is located within 60 statute miles or 90 minutes’ driving time (as determined or concurred upon by CBP) from the outer limits of a port of entry boundary as defined in 19 CFR 101.3.
(ii) A subzone meets the following requirements relating to CBP supervision:
(A) Proper CBP oversight can be accomplished with physical and electronic means;
(B) All electronically produced records are maintained in a format compatible with the requirements of CBP for the duration of the record period; and
(C) The operator agrees to present merchandise for examination at a CBP site selected by CBP when requested, and further agrees to present all necessary documents directly to the relevant CBP oversight office.
§ 400.12 Eligible applicants.
(a) In general. Subject to the other provisions of this section, public or private corporations may apply for grants of authority to establish zones. The Board shall give preference to public corporations.
(b) Public corporations and private non-profit corporations. The eligibility of public corporations and private non-profit corporations to apply for a grant of authority shall be supported by enabling legislation of the legislature of the state in which the zone is to be located, indicating that the corporation, individually or as part of a class, is authorized to so apply. Any application must not be inconsistent with the charter or organizational papers of the applying entity.
(c) Private for-profit corporations. The eligibility of private for-profit corporations to apply for a grant of authority shall be supported by a special act of the state legislature naming the applicant corporation and by evidence indicating that the corporation is chartered for the purpose of establishing a zone.
(d) Applicants for subzones (except pursuant to § 400.24(c)) – (1) Eligibility. The following entities are eligible to apply to establish a subzone:
(i) The grantee of the closest zone in the same state;
(ii) The grantee of another zone in the same state, which is a public corporation (or a non-public corporation if no such other public corporation exists), if the Board, or the Executive Secretary, finds that such sponsorship better serves the public interest; or
(iii) A state agency specifically authorized to submit such an application by an act of the state legislature.
(2) Notification of closest grantee. If an application is submitted under paragraph (d)(1)(ii) or (iii) of this section, the Executive Secretary shall:
(i) Notify, in writing, the grantee specified in paragraph (d)(1)(i) of this section, which may, within 30 days, object to such sponsorship, in writing, with supporting information as to why the public interest would be better served by its acting as sponsor;
(ii) Review such objections prior to docketing the application to determine whether the proposed sponsorship is in the public interest, taking into account:
(A) The objecting zone’s structure and operation;
(B) The views of state and local public agencies; and
(C) The views of the proposed subzone operator;
(iii) Notify the applicant and objecting zone in writing of the Executive Secretary’s determination;
(iv) If the Executive Secretary determines that the proposed sponsorship is in the public interest, docket the application (see § 400.63 regarding appeals of decisions of the Executive Secretary).
(a) In general. Grants of authority issued by the Board for the establishment of zones and any authority subsequently approved for such zones, including those already issued, are subject to the Act and this part and the following general conditions or limitations:
(1) Prior to activation of a zone, the zone grantee or operator shall obtain all necessary permits from federal, state and local authorities, and except as otherwise specified in the Act or this part, shall comply with the requirements of those authorities.
(2) A grant of authority approved under this part includes authority for the grantee to permit the erection of buildings necessary to carry out the approved zone (subject to concurrence of CBP for an activated area of a zone).
(3) Approvals from the grantee (or other party acting on behalf of the grantee, where applicable) and CBP, pursuant to 19 CFR part 146, are required prior to the activation of any portion of an approved zone.
(4) Authority for a zone or a subzone shall lapse unless the zone (in case of subzones, the subzone facility) is activated, pursuant to 19 CFR part 146, and in operation not later than five years from the authorization of the zone or subzone, subject to the provisions of Board Order 849 (61 FR 53305, October 11, 1996).
(5) Zone grantees, operators, and users (and persons undertaking zone-related functions on behalf of grantees, where applicable) shall permit federal government officials acting in an official capacity to have access to the zone and records during normal business hours and under other reasonable circumstances.
(6) Activity involving production is subject to the specific provisions in § 400.14.
(7) A grant of authority may not be sold, conveyed, transferred, set over, or assigned (FTZ Act, section 17; 19 U.S.C. 81q).
(8) Private ownership of zone land and facilities is permitted, provided the zone grantee retains the control necessary to implement the approved zone. Such permission shall not constitute a vested right to zone designation, nor interfere with the Board’s regulation of the grantee or the permittee, nor interfere with or complicate the revocation of the grant by the Board. Should title to land or facilities be transferred after a grant of authority is issued, the zone grantee must retain, by agreement with the new owner, a level of control which allows the grantee to carry out its responsibilities as grantee. The sale of zone-designated land/facility for more than its fair market value without zone designation could, depending on the circumstances, be subject to the prohibitions set forth in section 17 of the Act (19 U.S.C. 81q).
(b) Board authority to restrict or prohibit activity. Pursuant to section 15(c) of the Act (19 U.S.C. 81o(c)), the Board has authority to “order the exclusion from [a] zone of any goods or process of treatment that in its judgment is detrimental to the public interest, health, or safety.” In approvals of proposed production authority pursuant to § 400.14(a), the Board may adopt restrictions to protect the public interest, health, or safety. When evaluating production activity, either as proposed in an application or as part of a review of an operation, the Board shall determine whether the activity is in the public interest by reviewing it in relation to the evaluation criteria contained in § 400.27.
(c) Additional conditions, prohibitions and restrictions. Other conditions/requirements, prohibitions and restrictions under Federal, State or local law may apply to authorized zones and subzones.
(a) In general. Production activity in zones shall not be conducted without prior authorization from the Board. To obtain authorization, the notification process provided for in §§ 400.22 and 400.37 shall be used. If Board review of a notification under § 400.37 results in a determination that further review is warranted for all or part of the notified activity, the application process pursuant to §§ 400.23, 400.31-400.32, 400.34 and 400.36 shall apply to the activity.
(b) Scope of authority. Production activity that may be conducted in a particular zone operation is limited to the specific foreign-status materials and components and specific finished products described in notifications and applications that have been authorized pursuant to paragraph (a) of this section, including any applicable prohibitions or restrictions. A determination may be requested pursuant to paragraph (d) of this section as to whether particular activity falls within the scope of authorized activity. Unauthorized activity could be subject to penalties pursuant to the customs regulations on foreign-trade zones (19 CFR part 146).
(c) Information about authorized production activity. The Board shall make available via its Web site information regarding the materials, components, and finished products associated with individual production operations authorized under these and previous regulations, as derived from applications and notifications submitted to the Board.
(d) Scope determinations. Determinations may be made by the Executive Secretary as to whether changes in activity are within the scope of the production activity already authorized under this part. When warranted, the procedures of §§ 400.32 and 400.34 shall be followed.
(e) Restrictions on items subject to antidumping and countervailing duty actions – (1) Board policy. Zone procedures shall not be used to circumvent antidumping duty (AD) and countervailing duty (CVD) actions under 19 CFR part 351.
(2) Admission of items subject to AD/CVD actions. Items subject to AD/CVD orders, or items which would be otherwise subject to suspension of liquidation under AD/CVD procedures if they entered U.S. customs territory, shall be placed in privileged foreign status (19 CFR 146.41) upon admission to a zone or subzone. Upon entry for consumption, such items shall be subject to duties under AD/CVD orders or to suspension of liquidation, as appropriate, under 19 CFR part 351.
§ 400.15 Production equipment.
(a) In general. Pursuant to section 81c(e) of the FTZ Act, merchandise that is admitted into a foreign-trade zone for use within such zone as production equipment or as parts for such equipment, shall not be subject to duty until such merchandise is completely assembled, installed, tested, and used in the production for which it was admitted. Payment of duty may be deferred until such equipment goes into use as production equipment as part of zone production activity, at which time the equipment shall be entered for consumption as completed equipment.
(b) Definition of production equipment. Eligibility for this section is limited to equipment and parts of equipment destined for use in zone production activity as defined in § 400.2(o) of this part. Ineligible for treatment as production equipment under this section are general materials (that are used in the installation of production equipment or in the assembly of equipment) and materials used in the construction or modification of the plant that houses the production equipment.
(c) Equipment not destined for zone activity. Production equipment or parts that are not destined for use in zone production activity shall be treated as normal merchandise eligible for standard zone-related benefits (i.e., benefits not subject to the requirements of § 400.14(a)), provided the equipment is entered for consumption or exported prior to its use.
§ 400.16 Exemption from state and local ad valorem taxation of tangible personal property.
Tangible personal property imported from outside the United States and held in a zone for the purpose of storage, sale, exhibition, repackaging, assembly, distribution, sorting, grading, cleaning, mixing, display, manufacturing, or processing, and tangible personal property produced in the United States and held in a zone for exportation, either in its original form or as altered by any of the above processes, shall be exempt from state and local ad valorem taxation.
Subpart C – Applications To Establish and Modify Authority
§ 400.21 Application to establish a zone.
(a) In general. An application for a grant of authority to establish a zone (including pursuant to the ASF procedures adopted by the Board; see 74 FR 1170, Jan. 12, 2009, 74 FR 3987, Jan. 22, 2009, and 75 FR 71069, Nov. 22, 2010) shall consist of an application letter and detailed contents to meet the requirements of this part.
(b) Application format. Applications pursuant to this part shall comply with any instructions, guidelines, and forms or related documents, published in the
(c) Application letter. The application letter shall be dated within six months prior to the submission of the application and signed by an officer of the corporation authorized in the resolution for the application (see § 400.21(d)(1)(iii)). The application letter shall also describe:
(1) The relationship of the proposal to the state enabling legislation and the grantee’s charter;
(2) The specific authority requested from the Board;
(3) The proposed zone site(s) and facility(ies) and any larger project of which the zone is a part;
(4) The project background;
(5) The relationship of the project to the community’s and state’s international trade-related goals and objectives;
(6) Any production authority requested; and
(7) Any additional pertinent information needed for a complete summary description of the proposal.
(d) Detailed contents. (1) Legal authority for the application shall be documented with:
(i) A current copy of the state enabling legislation described in §§ 400.12(b) and (c);
(ii) A copy of the relevant sections of the applicant’s charter or organization papers; and
(iii) A certified copy of a resolution of the applicant’s governing body specific to the application authorizing the official signing the application letter. The resolution must be dated no more than six months prior to the submission of the application.
(2) Site descriptions (including a table with site designations when more than one site is involved) shall be documented with:
(i) A detailed description of the zone site, including size, location, and address (and legal description or its equivalent in instances where the Executive Secretary determines it is needed to supplement the maps in the application), as well as dimensions and types of existing and proposed structures, master planning, and timelines for construction of roads, utilities and planned buildings;
(ii) Where applicable, a summary description of the larger project of which the site is a part, including type, size, location and address;
(iii) A statement as to whether the site is within or adjacent to a CBP port of entry (including distance from the limits of the port of entry and, if the distance exceeds 60 miles, driving time from the limits of the port of entry);
(iv) A description of existing or proposed site qualifications, including appropriate land-use zoning (with environmentally sensitive areas avoided) and physical security;
(v) A description of current and planned activities associated with the site;
(vi) A summary description of transportation systems, facilities, and services, including connections from local and regional transportation hubs to the zone;
(vii) A statement regarding the environmental aspects of the proposal;
(viii) The estimated time schedules for construction and activation; and
(ix) A statement as to the possibilities and plans for future expansion of the site.
(3) Operation and financing shall be documented with:
(i) A statement as to site ownership (if not owned by the applicant or proposed operator, evidence as to their legal right to use the site);
(ii) A discussion of plans for operations at the site;
(iii) A commitment to satisfy the requirements for CBP automated systems; and
(iv) A summary of the plans for financing the project.
(4) Economic justification shall be documented with:
(i) A statement of the community’s overall economic and trade-related goals and strategies in relation to those of the region and state, including a reference to the plan or plans on which the goals are based and how they relate to the zone project;
(ii) An economic profile of the community including discussion of:
(A) Dominant sectors in terms of employment or income;
(B) Area strengths and weaknesses;
(C) Unemployment rates; and
(D) Area foreign trade statistics;
(iii) A statement as to the role and objective of the zone project and a discussion of the anticipated economic impact, direct and indirect, of the zone project, including references to public costs and benefits, employment, and U.S. international trade;
(iv) A separate justification for each proposed site, including a specific explanation addressing the degree to which the site may duplicate types of facilities at other proposed or existing sites in the zone;
(v) A statement as to the need for zone services in the community, with specific expressions of interest from proposed zone users and letters of intent from those firms that are considered prime prospects for each specific proposed site; and
(vi) For any production activity to be conducted at a proposed site, the separate requirements of § 400.14(a) must also be met.
(5) Maps and site plans shall include the following documents:
(i) State and county maps showing the general location of the proposed site(s) in terms of the area’s transportation network;
(ii) For any proposed site, a legible, detailed site plan of the zone area showing zone boundaries in red, with street name(s), and showing existing and proposed structures; and
(iii) For proposals involving a change in existing zones, one or more maps showing the relationship between existing zone sites and the proposed changes.
(e) ASF applications. In addition to the general application requirements of this section, applications under the ASF shall include the following, where applicable:
(1) Service area.
(2) Appropriate information regarding magnet sites.
(3) Appropriate information regarding usage-driven sites.
(f) Additional information. The Board or the Executive Secretary may require additional information needed to evaluate proposals adequately.
(g) Amendment of application. The Board or the Executive Secretary may allow amendment of an application. Amendments which substantively expand the scope of an application shall be subject to comment period requirements such as those of § 400.32(c)(2) with a minimum comment period of 30 days.
(h) Drafts. Applicants are encouraged to submit a draft application to the Executive Secretary for review. A draft application must be complete with the possible exception of the application letter and/or resolution from the grantee.
(i) Format and number of copies. Unless the Executive Secretary alters the requirements of this paragraph, the applicant shall submit an original (including original documents to meet the requirements of paragraphs (c) and (d)(1)(iii) of this section) and one copy of the application, both on 8
(j) Where to submit an application: Executive Secretary, Foreign-Trade Zones Board, U.S. Department of Commerce, 1401 Constitution Avenue NW., Washington, DC 20230. Options for submission of electronic copies are described on the FTZ Board’s Web site.
Notifications requesting production authority pursuant to § 400.14(a) shall comply with any instructions, guidelines, and forms or related documents, published in the
(a) Identity of the user and its location;
(b) Materials, components and finished products associated with the proposed activity, including the tariff schedule categories (6-digit HTSUS) and tariff rates; and
(c) Information as to whether any material or component is subject to a trade-related measure or proceeding (e.g., AD/CVD order or proceeding, suspension of liquidation under AD/CVD procedures).
In addition to any applicable requirements set forth in § 400.21, an application requesting production authority pursuant to § 400.37(c) shall include:
(a) A summary as to the reasons for the application and an explanation of its anticipated economic effects;
(b) Identity of the user and its corporate affiliation;
(c) A description of the proposed activity, including:
(1) Finished products;
(2) Imported (foreign-status) materials and components;
(3) For each finished product and imported material or component, the tariff schedule category (6-digit HTSUS), tariff rate, and whether the material or component is subject to a trade-related measure or proceeding (e.g., AD/CVD order or proceeding, suspension of liquidation under AD/CVD procedures);
(4) Domestic inputs, foreign inputs, and plant value added as percentages of finished product value;
(5) Projected shipments to domestic market and export market (percentages);
(6) Estimated total or range of annual value of benefits to proposed user (broken down by category), including as a percent of finished product value;
(7) Annual production capacity (current and planned) for the proposed FTZ activity, in units;
(8) Information to assist the Board in making a determination under § 400.27(a)(3) and 400.27(b);
(9) Information as to whether alternative procedures have been considered as a means of obtaining the benefits sought;
(10) Information on the industry involved and extent of international competition; and
(11) Economic impact of the operation on the area; and
(d) Any additional information requested by the Board or the Executive Secretary in order to conduct the review.
§ 400.24 Application for expansion or other modification to zone.
(a) In general. (1) A grantee may apply to the Board for authority to expand or otherwise modify its zone (including pursuant to the ASF procedures adopted by the Board; see 74 FR 1170, Jan. 12, 2009, 74 FR 3987, Jan. 22, 2009, and 75 FR 71069, Nov. 22, 2010).
(2) The Executive Secretary, in consultation with CBP as appropriate, shall determine whether the proposed modification involves a major change in the zone plan and is thus subject to paragraph (b) of this section, or is minor and subject to paragraph (c) of this section. In making this determination the Executive Secretary shall consider the extent to which the proposed modification would:
(i) Substantially modify the plan originally approved by the Board; or
(ii) Expand the physical dimensions of the approved zone area as they relate to the scope of operations envisioned in the original plan.
(b) Major modification to zone. An application for a major modification of an approved zone shall be submitted in accordance with the requirements of § 400.21, except that the content submitted pursuant to § 400.21(d)(4) (economic justification) shall relate specifically to the proposed change.
(c) Minor modification to zone. Other applications or requests under this subpart shall be submitted in letter form with information and documentation necessary for analysis, as determined by the Executive Secretary, who shall determine whether the proposed change is a minor one subject to this paragraph (c) instead of paragraph (b) of this section (see § 400.38). Such applications or requests include those for minor revisions of general-purpose zone or subzone boundaries based on immediate need, as well as for designation as a subzone of all or part of an existing zone site(s) (or site(s) that qualifies for usage-driven status), where warranted by the circumstances and so long as the subzone activity remains subject to the activation limit (see § 400.2(b)) for the zone in question.
(d) Applications for other revisions to authority. Applications or requests for other revisions to authority, such as for Board action to establish or modify an activation limit for a zone, modification of a restriction or reissuance of a grant of authority, shall be submitted in letter form with information and documentation necessary for analysis, as determined by the Executive Secretary. If the change involves the removal or significant modification of a restriction included by the Board in its approval of authority or the reissuance of a grant of authority, the review procedures of §§ 400.31-400.34 and 400.36 shall be followed, where relevant. If not, the procedure set forth in § 400.38 shall generally apply (although the Executive Secretary may elect to follow the procedures of §§ 400.31-400.34 and 400.36 when warranted).
§ 400.25 Application for subzone designation.
In addition to the requirements of §§ 400.21(d)(1)(i) and (ii) pertaining to legal authority, § 400.21(d)(2)(vii) pertaining to environmental aspects of the proposal, and § 400.21(d)(3)(i) and (iii) pertaining to operation, a grantee’s application for subzone designation shall contain the following information:
(a) The name of the operator/user for which subzone designation is sought;
(b) The nature of the activity at the proposed subzone;
(c) The address(es) and physical size (acreage or square feet) of the proposed subzone location(s); and
(d) One or more maps conforming to the requirements of section § 400.21(d)(5)(ii). For any production activity to be conducted at a proposed subzone, the separate requirements of § 400.14(a) must be met.
§ 400.26 Criteria for evaluation of applications for expansions, subzones or other modifications of zones.
The Board shall consider the following factors in determining whether to approve an application pertaining to a zone:
(a) The need for zone services in the port of entry area, taking into account existing as well as projected international trade-related activities and employment impact;
(b) The suitability of each proposed site and its facilities based on the plans presented for the site, including existing and planned buildings, zone-related activities, and the timeframe for development of the site;
(c) The specific need and justification for each proposed site, taking into account existing sites and/or other proposed sites;
(d) The extent of state and local government support, as indicated by the compatibility of the zone project with the community’s master plan or stated goals for economic development and the views of state and local public officials involved in economic development. Such officials shall avoid commitments that anticipate the outcome of Board decisions;
(e) The views of persons likely to be materially affected by proposed zone activity; and
(f) If the application involves production activity, the criteria in § 400.27.
The Board shall apply the criteria set forth in this section in determining whether to approve an application for authority to conduct production activity pursuant to § 400.23. The Board’s evaluation shall take into account such factors as market conditions, price sensitivity, degree and nature of foreign competition, intra-industry and intra-firm trade, effect on exports and imports, ability to conduct the proposed activity outside the United States with the same U.S. tariff impact, analyses conducted in connection with prior Board actions, and net effect on U.S. employment and the U.S. economy:
(a) Threshold factors. It is the policy of the Board to authorize zone activity only when it is consistent with public policy and, in regard to activity involving foreign merchandise subject to quotas or inverted tariffs, when zone procedures are not the sole determining cause of imports. Thus, without undertaking a review of the economic factors enumerated in § 400.27(b), the Board shall deny or restrict authority for proposed or ongoing activity if it determines that:
(1) The activity is inconsistent with U.S. trade and tariff law, or policy which has been formally adopted by the Executive branch;
(2) Board approval of the activity under review would seriously prejudice U.S. tariff and trade negotiations or other initiatives; or
(3) The activity involves items subject to quantitative import controls or inverted tariffs, and the use of zone procedures would be the direct and sole cause of imports that, but for such procedures, would not likely otherwise have occurred, taking into account imports both as individual items and as components of imported products.
(b) Economic factors. After its review of threshold factors, if there is a basis for further consideration of the application, the Board shall consider the following factors in determining the net economic effect of the proposed activity:
(1) Overall employment impact;
(2) Exports and re-exports;
(3) Retention or creation of value-added activity;
(4) Extent of value-added activity;
(5) Overall effect on import levels of relevant products;
(6) Extent and nature of foreign competition in relevant products;
(7) Impact on related domestic industry, taking into account market conditions; and
(8) Other relevant information relating to the public interest and net economic impact considerations, including technology transfers and investment effects.
(c) The significant public benefit(s) that would result from the production activity, taking into account the factors in paragraphs (a) and (b) of this section.
(d) Contributory effect. In assessing the significance of the economic effect of the proposed zone activity as part of the consideration of economic factors, and considering whether it would result in a significant public benefit(s), the Board may consider the contributory effect zone savings have as an incremental part of cost-effectiveness programs adopted by companies to improve their international competitiveness.
§ 400.28 Burden of proof.
(a) In general. An applicant must demonstrate to the Board that its application meets the criteria set forth in these regulations. Applications for production-related authority shall contain evidence regarding the positive economic effect(s) and significant public benefit(s) that would result from the proposed activity and may submit evidence and comments concerning policy considerations.
(b) Comments on applications. Comments submitted regarding applications should provide information that is probative and substantial in addressing the matter at issue relative to the nature of the proceeding, including any evidence of the projected direct impact of the proposed authority.
(c) Requests for extensions of comment periods. Requests for extensions of comment periods shall include a description of the potential impact of the proposed authority and the specific actions or steps for which additional time is necessary.
(d) Responses to comments on applications. Submissions in response to comments received during the public comment period or pursuant to § 400.33(e)(1) or § 400.34(a)(5)(iv)(A) should contain evidence that is probative and substantial in addressing the matter at issue.
§ 400.29 Application fees.
(a) In general. This section sets forth a uniform system of charges in the form of fees to recover some costs incurred by the Foreign-Trade Zones staff of the Department of Commerce in processing the applications listed in paragraph (b) of this section. The legal authority for the fees is 31 U.S.C. 9701, which provides for the collection of user fees by agencies of the Federal Government.
(b) Uniform system of user fee charges. The following fee schedule establishes fees for certain types of applications and requests for authority on the basis of their estimated average processing time. Applications combining requests for more than one type of approval are subject to the fee for each category.
(1) Additional general-purpose zones (§ 400.21; § 400.11(a)(2)) – $3,200
(2) Special-purpose subzones (§ 400.25):
(i) Not involving production activity or involving production activity with fewer than three products – $4,000
(ii) Production activity with three or more products – $6,500
(3) Expansions (§ 400.24(b)) – $1,600
(c) Applications submitted to the Board shall include a currently dated check drawn on a national or state bank or trust company of the United States or Puerto Rico in the amount called for in paragraph (b) of this section. Uncertified checks must be acceptable for deposit by the Board in a Federal Reserve bank or branch.
(d) Applicants shall make their checks payable to the U.S. Department of Commerce ITA. The checks will be deposited by ITA into the Treasury receipts account. If applications are found deficient under § 400.31(b), or are withdrawn by applicants prior to formal docketing, refunds will be made.
Subpart D – Procedures for Application Evaluation and Reviews
§ 400.31 General application provisions and pre-docketing review.
(a) In general. Sections 400.31-400.36 and 400.38 outline the procedures to be followed in docketing and processing applications submitted under §§ 400.21, 400.23, 400.24(b), and 400.25. In addition, these sections set forth the time schedules which will ordinarily apply in processing applications. The schedules will guide applicants with respect to the time frames for each of the procedural steps involved in the Board’s review. Under these schedules, applications for subzone designation will generally be processed within 5 months (3 months for applications subject to § 400.36(f)) and applications to establish or expand zones will generally be processed within 10 months. The general timeframe to process applications for production authority is 12 months, but additional time is most likely to be required for applications requesting production authority when a complex or controversial issue is involved or when the applicant or other party has obtained a time extension for a particular procedural step. The timeframes specified apply from the time of docketing. Each applicant is responsible for submitting an application that meets the docketing requirements in a timeframe consistent with the applicant’s need for action on its request.
(b) Pre-docketing review. The grantee shall submit a single complete copy of an application for pre-docketing review. (For requests relating to production in already approved zone or subzone space, the request may be submitted by the operator, provided the operator at the same time furnishes a copy of the request to the grantee.) The Executive Secretary shall determine whether the application satisfies the requirements of §§ 400.12, 400.21, 400.23-400.25, and other applicable provisions of this part such that the application is sufficient for docketing. If the pre-docketing copy of the application is deficient, the Executive Secretary shall notify the applicant within 30 days of receipt of the pre-docketing copy, specifying the deficiencies. An affected zone participant may also be contacted regarding relevant application elements requiring additional information or clarification. If the applicant does not correct the deficiencies and submit a corrected pre-docketing application copy within 30 days of notification, the pre-docketing application (single copy) shall be discarded.
§ 400.32 Procedures for docketing applications and commencement of case review.
(a) Once the pre-docketing copy of the application is determined to be sufficient, the Executive Secretary shall notify the applicant within 15 days so that the applicant may then submit the original and requisite number of copies (which shall be dated upon receipt at the headquarters of the Board) for docketing by the Board. For applications subject to § 400.29, the original shall be accompanied with a check in accordance with that section.
(b) After the procedures described in paragraph (a) of this section are completed, the Executive Secretary shall within 15 days of receipt of the original and required number of copies of the application:
(1) Formally docket the application, thereby initiating the proceeding or review;
(2) Assign a case-docket number; and
(3) Notify the applicant of the formal docketing action.
(c) After initiating a proceeding based on an application under §§ 400.21 and 400.23-400.25, the Executive Secretary shall:
(1) Designate an examiner to conduct a review and prepare a report or memorandum with recommendations for the Board;
(2) Publish in the
(3) Transmit or otherwise make available copies of the docketing notice and the application to CBP;
(4) Arrange for hearings, as appropriate;
(5) Transmit the report and recommendations of the examiner and any comments by CBP to the Board for appropriate action; and
(6) Notify the applicant in writing (via electronic means, where appropriate) and publish notice in the
(d) CBP review. Any comments by CBP pertaining to the application shall be submitted to the Executive Secretary by the conclusion of the public comment period described in paragraph (c)(2) of this section.
§ 400.33 Examiner’s review – application to establish or modify a zone.
An examiner assigned to review an application to establish, reorganize or expand a zone shall conduct a review taking into account the factors enumerated in § 400.26 and other appropriate sections of this part, which shall include:
(a) Conducting or participating in hearings scheduled by the Executive Secretary;
(b) Reviewing case records, including public comments;
(c) Requesting information and evidence from parties of record;
(d) Developing information and evidence necessary for evaluation and analysis of the application in accordance with the criteria of the Act and this part; and
(e) Developing recommendations to the Board and submitting a report to the Executive Secretary, generally within 150 days of the close of the period for public comment (75 days for reorganizations under the ASF) (see § 400.32):
(1) If the recommendations are unfavorable to the applicant, they shall be considered preliminary and the applicant shall be notified in writing (via electronic means, where appropriate) of the preliminary recommendations and the factors considered in their development. The applicant shall be given 30 days from the date of notification, subject to extensions upon request by the applicant, which shall not be unreasonably withheld, in which to respond to the recommendations and submit additional evidence pertinent to the factors considered in the development of the preliminary recommendations. Public comment may be invited on preliminary recommendations when warranted.
(2) If the response contains new evidence on which there has been no opportunity for public comment, the Executive Secretary shall publish a notice in the
(3) If the bases for an examiner’s recommendation(s) change as a result of new evidence, the applicable procedures of §§ 400.33(e)(1) and (2) shall be followed.
(4) When necessary, a request may be made to CBP to provide further comments, which shall be submitted within 45 days after the request.
(a) The examiner shall conduct a review taking into account the factors enumerated in this section, § 400.27, and other appropriate sections of this part, which shall include:
(1) Conducting or participating in hearings scheduled by the Executive Secretary;
(2) Reviewing case records, including public comments;
(3) Requesting information and evidence from parties of record and others, as warranted;
(4) Developing information and evidence necessary for analysis of the threshold factors and the economic factors enumerated in § 400.27; and
(5) Conducting an analysis to include:
(i) An evaluation of policy considerations pursuant to §§ 400.27(a)(1) and (2);
(ii) An evaluation of the economic factors enumerated in §§ 400.27(a)(3) and 400.27(b), which shall include an evaluation of the economic impact on domestic industry, considering both producers of like products and producers of components/materials used in the production activity;
(iii) Conducting appropriate industry research and surveys, as necessary; and
(iv) Developing recommendations to the Board and submitting a report to the Executive Secretary, generally within 150 days of the close of the period for public comment (although additional time may be required in circumstances such as when the applicant or other party has obtained a time extension for a particular procedural step):
(A) If the recommendations are unfavorable to the applicant, they shall be considered preliminary and the applicant shall be notified in writing (via electronic transmission where appropriate) of the preliminary recommendations and the factors considered in their development. The applicant shall be given 45 days from the date of notification in which to respond to the recommendations and submit additional evidence pertinent to the factors considered in the development of the preliminary recommendations. Public comment may be invited on preliminary recommendations when warranted.
(B) If the response contains new evidence on which there has not been an opportunity for public comment, the Executive Secretary shall publish notice in the
(C) If the bases for an examiner’s recommendation(s) change as a result of new evidence, the applicable procedures of §§ 400.34(a)(5)(iv)(A) and (B) shall be followed.
(b) Methodology and evidence. The evaluation of an application for production authority shall include the following steps:
(1) The first phase (§ 400.27(a)) involves consideration of threshold factors. If an examiner or reviewer makes a negative finding on any of the factors in § 400.27(a) in the course of a review, the applicant shall be informed pursuant to § 400.34(a)(5)(iv)(A). When threshold factors are the basis for a negative recommendation in a review of ongoing activity, the zone grantee and directly affected party shall be notified and given an opportunity to submit evidence pursuant to § 400.34(a)(5)(iv)(A). If the Board determines in the negative regarding any of the factors in § 400.27(a), it shall deny or restrict authority for the proposed or ongoing activity.
(2) The second phase (§ 400.27(b)) involves consideration of the enumerated economic factors, taking into account their relative weight and significance under the circumstances. Previous evaluations in similar cases shall be considered.
§ 400.35 Examiner’s review – application for subzone designation.
The examiner shall develop a memorandum with a recommendation on whether to approve the application, taking into account the criteria enumerated in § 400.26. To develop that memorandum, the examiner shall review the case records including public comments, and may request information and evidence from parties of record, as necessary. The examiner’s memorandum shall generally be submitted to the Board within 30 days of the close of the period for public comment. However, additional time may be taken as necessary for analysis of any public comment in opposition to the application or if other complicating factors arise.
(a) If the examiner’s recommendation is unfavorable to the applicant, it shall be considered preliminary and the applicant shall be notified in writing (via electronic means, where appropriate) of the preliminary recommendation and the factors considered in its development. The applicant shall be given 30 days from the date of notification, subject to extensions upon request by the applicant, which shall not be unreasonably withheld, in which to respond to the recommendation and submit additional evidence pertinent to the factors considered in the development of the preliminary recommendations. Public comment may be invited on preliminary recommendations when warranted.
(b) If the response contains new evidence on which there has not been an opportunity for public comment, the Executive Secretary shall publish notice in the
(c) If the bases for an examiner’s recommendation(s) change as a result of new evidence, the applicable procedures of §§ 400.35(a) and (b) shall be followed.
(d) The CBP adviser shall be requested, when necessary, to provide further comments, which shall be submitted within 45 days after the request.
§ 400.36 Completion of case review.
(a) The Executive Secretary shall circulate the examiner’s report (memorandum in the case of subzone applications) with recommendations to CBP headquarters staff and to the Treasury Board member for review and action.
(b) In its advisory role to the Board, CBP headquarters staff shall provide any comments within 15 days.
(c) The vote of the Treasury Board member shall be returned to the Executive Secretary within 30 days, unless a formal meeting is requested (see, § 400.3(b)).
(d) The Commerce Department shall complete the decision process within 15 days of receiving the vote of the Treasury Board member, and the Executive Secretary shall publish the Board decision.
(e) If the Board is unable to reach a unanimous decision, the grantee shall be notified and provided an opportunity to meet with the Board members or their delegates.
(f) Delegation of authority to approve subzone designation. The Board delegates to the Executive Secretary authority to approve applications requesting subzone designation, on the condition that such approved subzones will be subject to the activation limit for the zone in question.
(g) The Board or the Commerce Department’s Assistant Secretary for Enforcement and Compliance may opt to terminate review of an application with no further action if the applicant has failed to provide in a timely manner information needed for evaluation of the application. A request from an applicant for an extension of time to provide information needed for evaluation of an application shall not be unreasonably withheld. The Executive Secretary may terminate review of an application where the overall circumstances presented in the application no longer exist as a result of a material change, and shall notify the applicant in writing of the intent to terminate review and allow 30 days for a response prior to completion of any termination action. The Executive Secretary shall confirm the termination in writing (by electronic means, where appropriate) to the applicant.
§ 400.37 Procedure for notification of proposed production activity.
(a) Submission of notification. A notification for production authority pursuant to §§ 400.14(a) and 400.22 shall be submitted simultaneously to the Board’s Executive Secretary and to CBP (as well as to the grantee of the zone, if the grantee is not the party making the submission).
(b) Initial processing of notification. Upon receipt of a complete notification conforming to the requirements of the notification format established by the Executive Secretary pursuant to § 400.22, the Executive Secretary shall commence processing the notification. Unless the Executive Secretary determines, based on the content of the notification, to recommend further review to the Board without inviting public comment on the notification, the Executive Secretary shall transmit to the
(c) Determinations regarding further review. Within 30 days of receipt of the Executive Secretary’s recommendation, the Board members shall provide to the Executive Secretary their determinations on whether further review is warranted concerning all or part of the activity that is the subject of the notification. If either Board member makes a determination that further review is warranted, the activity that is subject to further review (which may constitute all or part of the notified activity) shall not be conducted without authorization pursuant to the application requirements of § 400.23 and the procedural requirements of §§ 400.31-400.34 and 400.36 (or the provisions of paragraph (d) of this section, where applicable). Within 120 days of receipt of the notification, the Executive Secretary shall notify the party that submitted the notification (and the zone grantee, if it did not submit the notification) that:
(1) Further review is not needed for all or part of the activity that is the subject of the notification, and that the activity in question may be conducted; or
(2) Further review is needed for all or part of the activity that is the subject of the notification, with such activity precluded absent specific authorization.
(d) Authorization for commencement of an activity on an interim basis. For an activity notified pursuant to § 400.14(a), the Executive Secretary may authorize the commencement of some or all of the activity on an interim basis. Such authorization shall only be made based on a showing that commencement of the activity is time-sensitive, with such showing to include comments from CBP that specifically address the projected timeframe for commencement of the activity. Interim authorization shall not apply to materials or components subject to an AD/CVD order or proceeding or suspension of liquidation under AD/CVD procedures. As warranted, a determination that further review is needed for all or some of the notified activity pursuant to § 400.37(c) may also revoke the interim authorization until the Board makes a determination after conduct of that further review.
§ 400.38 Procedure for application for minor modification of zone.
(a) The Executive Secretary shall make a determination in cases under § 400.24(c) involving minor modifications of zones that do not require Board action, such as boundary modifications, including certain relocations, and shall notify the applicant in writing of the decision within 30 days of the determination that the application or request can be processed under § 400.24(c). The applicant shall submit a copy of its application/request to CBP no later than the time of the applicant’s submission of the application/request to the Executive Secretary.
(b) If not previously provided to the applicant for inclusion with the applicant’s submission of the application/request to the Executive Secretary, any CBP comments on the application/request shall be provided to the Executive Secretary within 20 days of the applicant’s submission of the application/request to the Executive Secretary.
Subpart E – Operation of Zones and Administrative Requirements
§ 400.41 General operation of zones; requirements for commencement of operations.
(a) In general. Zones shall be operated by or under the general management of zone grantees, subject to the requirements of the FTZ Act and this part, as well as those of other federal, state and local agencies having jurisdiction over the site(s) and operation(s). Zone grantees shall ensure that the reasonable zone needs of the business community are served by their zones. CBP officials with oversight responsibilities for a port of entry represent the Board with regard to the zones adjacent to the port of entry in question and are responsible for enforcement, including physical security and access requirements, as provided in 19 CFR part 146.
(b) Requirements for commencement of operations in a zone. The following actions are required before operations in a zone may commence:
(1) The grantee shall submit the zone schedule to the Executive Secretary, as provided in § 400.44.
(2) Approval or concurrence from the grantee and approval from CBP, pursuant to 19 CFR part 146, are required prior to the activation of any portion of an approved zone; and
(3) Prior to activation of a zone, the operator shall obtain all necessary permits from federal, state and local authorities, and except as otherwise specified in the Act or this part, shall comply with the requirements of those authorities.
§ 400.42 Operation as public utility.
(a) In general. Pursuant to Section 14 of the FTZ Act (19 U.S.C. 81n), each zone shall be operated as a public utility, and all rates and charges for all services or privileges within the zone shall be fair and reasonable. A rate or charge (fee) may be imposed on zone participants to recover costs incurred by or on behalf of the grantee for the performance of the grantee function. Such a rate or charge must be directly related to the service provided by the grantee (for which the fee recovers some or all costs incurred) to the zone participants. Rates or charges may incorporate a reasonable return on investment. Rates or charges may not be tied to the level of benefits derived by zone participants. Other than the uniform rates and charges assessed by, or on behalf of, the grantee, zone participants shall not be required (either directly or indirectly) to utilize or pay for a particular provider’s zone-related products or services.
(b) Delayed compliance date. The compliance date for the requirements of paragraph (a) of this section shall be February 28, 2014.
§ 400.43 Uniform treatment.
Pursuant to Section 14 of the FTZ Act (19 U.S.C. 81n), a grantee shall afford to all who may apply to make use of or participate in the zone uniform treatment under like conditions. Treatment of zone participants within a zone (including application of rates and charges) shall not vary depending on whether a zone participant has procured any zone-related product or service or engaged a particular supplier to provide any such product or service.
(a) Agreements to be made in writing. Any agreement or contract related to one or more grantee function(s) and involving a zone participant (e.g., agreements with property owners and agreements with zone operators) must be in writing.
(b) Evaluation of proposals. A grantee (or person undertaking a zone-related function(s) on behalf of a grantee, where applicable) shall apply uniform treatment in the evaluation of proposals from zone participants. Uniform treatment does not require acceptance of all proposals by zone participants, but the bases for a grantee’s decision on a particular proposal must be consistent with the uniform treatment requirement.
(c) Justification for differing treatment. Given the requirement for uniform treatment under like conditions, for any instance of different treatment of different zone participants, a grantee (or person undertaking a zone-related function(s) on behalf of a grantee, where applicable) must be able to provide upon request by the Executive Secretary a documented justification for any difference in treatment.
(d) Avoidance of non-uniform treatment. To avoid non-uniform treatment of zone participants, persons (as defined in § 400.2(l)) within key categories set out in paragraph (d)(2) of this section shall not undertake any of the key functions set out in paragraph (d)(1) of this section (except in specific circumstances where the Board has authorized a waiver pursuant to paragraph (f) of this section).
(1) Key functions are:
(i) Taking action on behalf of a grantee, or making recommendations to a grantee, regarding the disposition of proposals or requests by zone participants pertaining to FTZ authority or activity (including activation by CBP);
(ii) Approving, or being a party to, a zone participant’s agreement with the grantee (or person acting on behalf of the grantee) pertaining to FTZ authority or activity (including activation by CBP); or
(iii) Overseeing zone participants’ operations on behalf of a grantee.
(2) Key categories of persons are:
(i) A person that currently engages in, or which has during the preceding twelve months engaged in, offering/providing a zone-related product/service to or representing a zone participant in the grantee’s zone;
(ii) Any person that stands to gain from a person’s offer/provision of a zone-related product/service to or representation of a zone participant in the zone; or
(iii) Any person related, as defined in paragraph (e) of this section, to the person identified in paragraphs (d)(2)(i) and (ii) of this section.
(e) Definition of related persons. For purposes of this section, persons that are related include:
(1) Members of a family or members of a household. The term members of a family means spouses, parents, grandparents, children, grandchildren, siblings (including half-siblings and step-siblings), aunts, uncles, nieces, nephews, and first cousins, as well as the parents, children, and siblings of a spouse, and the spouse of a sibling, child or parent;
(2) Organizations that are wholly or majority-owned by members of the same family or members of the same household;
(3) An officer or director of an organization and that organization;
(4) Partners;
(5) Employers and their employees;
(6) An organization and any person directly or indirectly owning, controlling, or holding with power to vote, 20 percent or more of the outstanding voting stock or shares of that organization;
(7) Any person that controls any other person and that other person (the term control means the power, direct or indirect, whether or not exercised, through any means, to determine, direct, or decide important matters affecting an entity); or
(8) Any two or more persons who directly control, are controlled by, or are under common control with, any person (see definition of control in paragraph (e)(7) of this section).
(f) Waivers. The grantee or other person subject to paragraph (d) of this section may submit an application requesting that the Board issue a waiver exempting from the prohibition of that paragraph a person’s undertaking a specific key function(s) listed in paragraph (d)(1) of this section. Using the format developed by the Executive Secretary, an application for a waiver shall explain in detail how the person falls within a key category(ies) set out in paragraph (d)(2) of this section, and the specific key function(s) listed in paragraph (d)(1) of this section that would be undertaken by the person. After receipt of an application requesting a waiver, the Executive Secretary may solicit additional information or clarification, as necessary, including from the person submitting the application and from the grantee. Based on the information presented in the application, the Executive Secretary shall make a recommendation to the Board. A waiver shall be authorized only by an affirmative vote by the Board. If the Board votes not to authorize a waiver or to discontinue a waiver, the applicant shall be notified in writing and allowed 30 days to present evidence in response. In deciding whether to grant a waiver, the Board shall determine whether there is an unacceptable risk that the waiver would result in non-uniform treatment being afforded by the person undertaking a key function(s) listed in paragraph (d)(1) of this section. In its assessment, the Board shall consider the specific circumstances presented, including the nature and extent of the person’s involvement in undertaking a key function(s) listed in paragraph (d)(1) of this section. In general, the more significant the requester’s involvement or interest in the undertaking of a key function(s) listed in paragraph (d)(1) of this section or activity(ies) identified in paragraph (d)(2)(i) of this section, the greater the risk will be that non-uniform treatment will be afforded and, thus, the less likely it will be that a waiver will be granted. The Board may attach to individual waivers such conditions or limitations (including, for example, the length of time a waiver is to be effective) as it deems necessary.
(g) Requests for determinations. A grantee or other party may request a determination by the Executive Secretary regarding the consistency of an actual or potential arrangement with the requirements of this section.
(h) Identification of person undertaking function(s) on behalf of grantee. The Board, the Commerce Department’s Assistant Secretary for Enforcement and Compliance, or the Executive Secretary, may require a zone grantee to identify any person undertaking a zone-related function(s) on behalf of the grantee.
(i) Delayed compliance date. If, as of April 30, 2012, existing business arrangements do not comply with the requirements of paragraphs (a) and (d) of this section, such existing arrangements shall be terminated or brought into compliance no later than February 28, 2014.
§ 400.44 Zone schedule.
(a) In general. The zone grantee shall submit to the Executive Secretary (in both paper and electronic copies) a zone schedule which sets forth the elements required in this section. No element of a zone schedule (including any amendment to the zone schedule) may be considered to be in effect until such submission has occurred. If warranted, the Board may subsequently amend the requirements of this section by Board Order.
(b) Each zone schedule shall include:
(1) A title page, which shall include the name of the zone grantee and the date of the current schedule;
(2) A table of contents;
(3) Internal rules/regulations and policies for the zone;
(4) All rates or charges assessed by or on behalf of the grantee;
(5) Information regarding any operator which has an agreement with the grantee to offer services to the public, including the operator’s rates or charges for all zone-specific services offered; and
(6) An appendix with definitions of any FTZ-related terms used in the zone schedule (as needed).
(c) The Executive Secretary may review the zone schedule (or any amendment to the zone schedule) to determine whether it contains sufficient information for zone participants concerning the operation of the zone and the grantee’s rates and charges as provided in paragraphs (b)(3) and (b)(4) of this section. If the Executive Secretary determines that the zone schedule (or amendment) does not satisfy these requirements, the Executive Secretary shall notify the zone grantee. The Executive Secretary may also conduct a review under 400.45(b).
(d) Amendments to the zone schedule shall be prepared and submitted in the manner described in paragraph (a) of this section, and listed in the concluding section of the zone schedule, with dates. No rates/charges or other provisions required for the zone schedule may be applied by, or on behalf of, the grantee unless those specific rates/charges or provisions are included in the most recent zone schedule submitted to the Board and made available to the public in compliance with paragraph (e) of this section.
(e) Availability of zone schedule. A complete copy of the zone schedule shall be freely available for public inspection at the offices of the zone grantee and any operator offering FTZ services to the user community. The Board shall make copies of zone schedules available on its Web site.
(f) Delayed compliance date. The compliance date for the requirements of this section shall be February 28, 2014.
(a) In general. A zone participant may submit to the Executive Secretary a complaint regarding conditions or treatment that the complaining party believes are inconsistent with the public utility and uniform treatment requirements of the FTZ Act and these regulations. Complaints may be made on a confidential basis, if necessary. Grantees (and persons undertaking zone-related functions on behalf of grantees, where applicable) shall not enter into or enforce provisions of agreements or contracts with zone participants that would require zone participants to disclose to other parties, including the grantee (or person undertaking a zone-related function(s) on behalf of a grantee, where applicable), any confidential communication with the Board under this section.
(b) Objections to rates and charges. A zone participant showing good cause may object to any rate or charge related to the zone on the basis that it is not fair and reasonable by submitting to the Executive Secretary a complaint in writing with supporting information. If necessary, such a complaint may be made on a confidential basis pursuant to § 400.45(a). The Executive Secretary shall review the complaint and issue a report and decision, which shall be final unless appealed to the Board within 30 days. The Board or the Executive Secretary may otherwise initiate a review for cause. The primary factor considered in reviewing fairness and reasonableness is the cost of the specific services rendered. Where those costs incorporate charges to the grantee by one or more parties undertaking functions on behalf of the grantee, the Board may consider the costs incurred by those parties (using best estimates, as necessary). The Board will also give consideration to any extra costs incurred relative to non-zone operations, including return on investment and reasonable out-of-pocket expenses.
§ 400.46 Grantee liability.
(a) Exemption from liability. A grant of authority, per se, shall not be construed to make the zone grantee liable for violations by zone participants. The role of the zone grantee under the FTZ Act and the Board’s regulations is to provide general management of the zone to ensure that the reasonable needs of the business community are served. It would not be in the public interest to discourage public entities from zone sponsorship because of concern about liability without fault.
(b) Exception to exemption from liability. A grantee could create liability for itself that otherwise would not exist if the grantee undertakes detailed operational oversight of or direction to zone participants. Examples of detailed operational oversight or direction include review of an operator’s inventory-control or record-keeping systems, specifying requirements for such a system to be used by an operator, and review of CBP documentation related to an operator’s zone receipts and shipments.
§ 400.47 Retail trade.
(a) In general. Retail trade is prohibited in activated areas of zones, except that 1) sales or other commercial activity involving domestic, duty-paid, and duty-free goods may be conducted within an activated area of a zone under a permit issued by the zone grantee and approved by the Board, and 2) no permits shall be necessary for sales involving domestic, duty-paid or duty-free food and non-alcoholic beverage products sold within the zone or subzone for consumption on premises by individuals working therein. The Executive Secretary shall determine whether an activity is retail trade, subject to review by the Board when the zone grantee requests such a review with a good cause. Determinations on whether an activity constitutes retail trade shall be based on precedent established through prior rulings by CBP, as appropriate. Such prior rulings shall remain effective unless a determination is issued to modify their effect (after a notice-and-comment process, as appropriate). Determinations made by the Executive Secretary pursuant to this section shall be made available to the public via the Board’s Web site.
(b) Procedure. Requests for Board approval under this section shall be submitted in letter form, with supporting documentation, to the Executive Secretary, who is authorized to act for the Board in these cases, after consultation with CBP as necessary.
(c) Criteria. In evaluating requests under this section, the Executive Secretary and CBP shall consider factors that may include:
(1) Whether any public benefits would result from approval; and
(2) The economic effect such activity would have on the retail trade outside the zone in the port of entry area.
§ 400.48 Zone-restricted merchandise.
(a) In general. Merchandise in zone-restricted status (19 CFR 146.44) may be entered into the customs territory of the United States only when the Board determines that the entry would be in the public interest. Such entries are subject to the customs laws and the payment of applicable duties and excise taxes (19 U.S.C. 81c(a), 4th proviso).
(b) Criteria. In making the determination described in paragraph (a) of this section, the Board shall consider:
(1) The intent of the parties;
(2) Why the merchandise cannot be exported;
(3) The public benefit involved in allowing entry of the merchandise; and
(4) The recommendation of CBP.
(c) Procedure. (1) A request for authority to enter “zone-restricted” merchandise into U.S. customs territory shall be made to the Executive Secretary in letter form by the zone grantee or by the operator responsible for the merchandise (with copy to the grantee), with supporting information and documentation.
(2) The Executive Secretary shall investigate the request and prepare a report for the Board.
(3) The Executive Secretary may act for the Board under this section with respect to requests that involve merchandise valued at 500,000 dollars or less and that are accompanied by a letter of concurrence from CBP.
§ 400.49 Monitoring and reviews of zone operations and activity.
(a) In general. Ongoing zone operation(s) and activity may be reviewed by the Board or the Executive Secretary at any time to determine whether they are in the public interest and in compliance and conformity with the Act and regulations, as well as authority approved by the Board. Reviews involving production activity may also be conducted to determine whether there are changed circumstances that raise questions as to whether the activity is detrimental to the public interest, taking into account the factors enumerated in § 400.27. The Board may prescribe special monitoring requirements in its decisions when appropriate.
(b) Conduct of reviews. Reviews may be initiated by the Board, the Commerce Department’s Assistant Secretary for Enforcement and Compliance, or the Executive Secretary; or, they may be undertaken in response to requests from parties directly affected by the activity in question showing good cause based on the provision of information that is probative and substantial in addressing the matter in issue. After initiation of a review, any affected party shall provide in a timely manner any information requested as part of the conduct of the review. If a party fails to timely provide information requested as part of such a review, a presumption unfavorable to that party may be made.
(c) Prohibition or restriction. Upon review, if a finding is made that zone activity is no longer in the public interest (taking into account the factors enumerated in § 400.27 where production activity is involved), the Board or the Commerce Department’s Assistant Secretary for Enforcement and Compliance may prohibit or restrict the activity in question. Such prohibitions or restrictions may be put in place after a preliminary review (e.g., prior to potential steps such as a public comment period) if circumstances warrant such action until further review can be completed. The procedures of § 400.34(a)(5)(iv)(A) shall be followed to notify the grantee of the affected zone and allow for a response prior to the final imposition of a prohibition or restriction. The appropriateness of a delayed effective date shall be considered.
Subpart F – Records, Reports, Notice, Hearings and Information
§ 400.51 Records and reports.
(a) Records and forms. Zone records and forms shall be prepared and maintained in accordance with the requirements of CBP and the Board, consistent with documents issued by the Board specific to the zone in question, and the zone grantee shall retain copies of applications/requests it submits to the Board in electronic or paper format.
(b) Maps and drawings. Zone grantees or operators, and CBP, shall keep current layout drawings of approved sites as described in § 400.21(d)(5), showing activated portions, and a file showing required activation approvals. The zone grantee shall furnish necessary maps to CBP.
(c) Annual reports. (1) Each zone grantee shall submit a complete and accurate annual report to the Board within 90 days after the end of the reporting period. Each zone operator shall submit a complete and accurate annual report to the zone grantee in a timeframe that will enable the grantee’s timely submission of a complete and accurate annual report to the Board. A zone grantee may request an extension of the deadline for its report, as warranted. The Executive Secretary may authorize such extensions, with decisions on such authorizations taking into account both the circumstances presented and the importance of the Board submitting its annual report to Congress in a timely manner. Annual reports must be submitted in accordance with any instructions, guidelines, forms and related documents specifying place, manner and format(s) prescribed by the Executive Secretary. In the event that a grantee has not received all necessary annual report information from an operator in a timely manner, the grantee may submit its annual report on time and note the absence of the missing information.
(2) The Board shall submit an annual report to Congress.
§ 400.52 Notices and hearings.
(a) In general. The Executive Secretary shall publish notice in the
(b) Requests for hearings. (1) A party who may be materially affected by the zone activity in question and who shows good cause may request a hearing during a proceeding or review.
(2) The request must be made within 30 days of the beginning of the period for public comment (see § 400.32) and must be accompanied by information establishing the need for the hearing and the basis for the requesting party’s interest in the matter.
(3) A determination as to the need for the hearing shall be made by the Commerce Department’s Assistant Secretary for Enforcement and Compliance within 15 days after the receipt of such a request.
(c) Procedure for public hearings. The Board shall publish notice in the
§ 400.53 Official records; public access.
(a) Content. The Executive Secretary shall maintain at the location stated in § 400.54(e) an official record of each proceeding within the Board’s jurisdiction. The Executive Secretary shall include in the official record all timely evidence, factual information, and written argument, and other material developed by, presented to, or obtained by the Board in connection with the proceeding. While there is no requirement that a verbatim record shall be kept of public hearings, the proceedings of such hearings shall ordinarily be recorded and transcribed when significant opposition to a proposal is involved.
(b) Opening and closing of official record. The official record opens on the date the Executive Secretary dockets an application or receives a request or notification that satisfies the applicable requirements of this part and closes on the date of the final determination in the proceeding or review, as applicable.
(c) Protection of the official record. Unless otherwise ordered in a particular case by the Executive Secretary, the official record shall not be removed from the Department of Commerce. A certified copy of the record shall be made available to any court before which any aspect of a proceeding is under review, with appropriate safeguards to prevent disclosure of business proprietary or privileged information.
§ 400.54 Information.
(a) Request for information. The Executive Secretary, on behalf of the Board, may request submission of any information, including business proprietary information, and written argument necessary or appropriate to the proceeding.
(b) Public information. Except as provided in paragraph (c) of this section, the Board shall consider all information submitted in a proceeding to be public information, and if the person submitting the information does not agree to its public disclosure, the Board shall return the information and not consider it in the proceeding. Information to meet the basic requirements of §§ 400.21-400.25 is inherently public information to allow meaningful public evaluation pursuant to those sections and § 400.32.
(c) Business proprietary information. Persons submitting business proprietary information and requesting that it be protected from public disclosure shall mark the cover page, as well as the top of each page on which such information appears, “business proprietary.” Any business proprietary document submitted for a proceeding other than pursuant to § 400.45 shall contain brackets at the beginning and end of each specific piece of business proprietary information contained in the submission. Any such business proprietary submission shall also be accompanied by a public version that contains all of the document’s contents except the information bracketed in the business proprietary version, with the cover page and the top of each additional page marked “public version.” Any information for which business proprietary treatment is claimed must be ranged (i.e., presented as a number or upper and lower limits that approximate the specific business proprietary figure) or summarized in the public version. If a submitting party maintains that certain information is not susceptible to summarization or ranging, the public version must provide a full explanation specific to each such piece of information regarding why summarization or ranging is not feasible.
(d) Disclosure of information. Disclosure of public information shall be governed by 15 CFR part 4.
(e) Availability of information. Public information in the official record shall be available at the Office of the Executive Secretary, Foreign-Trade Zones Board, U.S. Department of Commerce Building, 1401 Constitution Avenue NW., Washington, DC 20230 and may also be available electronically over the Internet via http://www.trade.gov/ftz (or a successor Internet address).
Subpart G – Penalties and Appeals to the Board
(a) In general. As provided in this section, the Board can revoke in whole or in part authority for a zone or subzone whenever it determines that the zone grantee has violated, repeatedly and willfully, the provisions of the Act.
(b) Procedure. When the Board has reason to believe that the conditions for revocation, as described in paragraph (a) of this section, are met, the Board shall:
(1) Notify the grantee of the zone in question in writing stating the nature of the alleged violations, provide the grantee an opportunity to request a hearing on the proposed revocation, and notify any known operators in the zone;
(2) Conduct a hearing, if requested or otherwise if appropriate;
(3) Make a determination on the record of the proceeding not earlier than four months after providing notice to the zone grantee under paragraph (b)(1) of this section; and
(4) If the Board’s determination is affirmative, publish a notice of revocation of authority, in whole or in part, in the
(c) As provided in section 18 of the Act (19 U.S.C. 81r(c)), the grantee of the zone or subzone in question may appeal an order of the Board revoking authority.
§ 400.62 Fines, penalties and instructions to suspend activated status.
(a) In general. Fines are authorized solely for specific violations of the FTZ Act or the Board’s regulations as detailed in §§ 400.62(b) and (c). Each specific violation is subject to a fine of not more than 1,000 dollars (as adjusted for inflation pursuant to § 400.62(j)), with each day during which a violation continues constituting a separate offense subject to imposition of such a fine (FTZ Act, section 19; 19 U.S.C. 81s). This section also establishes the party subject to the fine which, depending on the type of violation, would be the zone operator, grantee, or a person undertaking one or more zone-related functions on behalf of the grantee, where applicable. In certain circumstances, the Board or the Assistant Secretary for Enforcement and Compliance could instruct CBP to suspend the activated status of all or part of a zone or subzone. Violations of the FTZ Act or the Board’s regulations (including the sections pertaining to uniform treatment and submission of annual reports), failure to pay fines, or failure to comply with an order prohibiting or restricting activity may also result in the Executive Secretary’s suspending the processing of any requests to the Board and staff relating to the zone or subzone in question. In circumstances where non-compliance pertains to only a subset of the operations in a zone, suspensions of activated status and suspensions of the processing of requests shall be targeted to the specific non-compliant operation(s).
(b) Violations involving requirement to submit annual report. A grantee’s failure to submit a complete and accurate annual report pursuant to section 16 of the FTZ Act (19 U.S.C. 81p(b)) and § 400.51(c)(1) of these regulations constitutes a violation subject to a fine, with each day of continued failure to submit the report constituting a separate offense subject to a fine of not more than 1,000 dollars (as adjusted for inflation pursuant to § 400.62(j)). Further, each day during which a zone operator fails to submit to the zone’s grantee the information required for the grantee’s timely submission of a complete and accurate annual report to the Board shall constitute a separate offense subject to a fine of not more than 1,000 dollars (as adjusted for inflation pursuant to § 400.62(j)). Consistent with § 400.46, if the grantee submits a timely report to the Board identifying any operator that has not provided complete and timely information in response to a timely request(s) by the grantee, the grantee shall not be subject to a fine-assessment action stemming from the operator’s failure to timely provide its report.
(c) Violations involving uniform treatment. Failure by a grantee or a person undertaking one or more zone-related functions on behalf of the grantee to comply with the uniform treatment requirement of section 14 of the FTZ Act (19 U.S.C. 81n) or the provisions of § 400.43 of these regulations constitutes a violation, with each day of continued violation constituting a separate offense subject to a fine of not more than 1,000 dollars (as adjusted for inflation pursuant to § 400.62(j)).
(d) Procedures for determination of violations and imposition of fines. When the Board or the Executive Secretary has reason to believe that a violation pursuant to §§ 400.62(b) and (c) has occurred and that the violation warrants the imposition of a fine (such as a situation where a party has previously been notified of action required for compliance and has failed to take such action within a reasonable period of time), the following steps shall be taken:
(1) The Executive Secretary shall notify the party or parties responsible for the violation and the zone grantee in writing stating the nature of the alleged violation, and provide the party(ies) a specified period (no less than 30 days, with consideration given to any requests for an extension, which shall not be unreasonably withheld) to respond in writing;
(2) The Executive Secretary shall conduct a hearing, if requested or otherwise if appropriate. Parties may be represented by counsel at the hearing, and any evidence and testimony of witnesses in the proceeding shall be presented. A transcript of the hearing shall be produced and a copy shall be made available to the parties;
(3) The Executive Secretary shall make a recommendation on the record of the proceeding not earlier than the later of 15 days after the deadline for the party(ies)’s response under paragraph (d)(1) of this section or 15 days after the date of a hearing held under paragraph (d)(2) of this section. If the recommendation is for an affirmative determination of a violation, the Executive Secretary shall also recommend the amount of the fine to be imposed; and
(4) The Board shall make a determination regarding the finding of a violation and imposition of a fine based on the Executive Secretary’s recommendation under paragraph (d)(3) of this section. For related actions where the total sum of recommended fines is no more than 10,000 dollars (50,000 dollars in the case of violations pursuant to paragraph (b) of this section), the Board delegates to the Executive Secretary the authority to make a determination.
(e) Mitigation – (1) In general. The Commerce Department’s Assistant Secretary for Enforcement and Compliance may approve the mitigation (reduction or elimination) of an imposed fine based on specific evidence presented by the affected party. Authority is delegated to the Executive Secretary to mitigate a fine where the total sum of fines imposed on a party for related actions does not exceed 10,000 dollars (50,000 dollars in the case of violations pursuant to paragraph (b) of this section). Mitigating evidence and argument pertaining to mitigating factors must be submitted within 30 days of the determination described in paragraph (d)(4) of this section, subject to requests for extension for cause, the granting of which shall not be unreasonably withheld.
(2) Mitigating factors. Factors to be taken into account in evaluating potential mitigation include:
(i) A good record of a violator over the preceding five years with regard to the type of violation(s) at issue;
(ii) The violation was due to the action of another party despite violator’s adherence to the requirements of the FTZ Act and the Board’s regulations;
(iii) Immediate remedial action by the violator to avoid future violations;
(iv) A violator’s cooperation with the Board (beyond the degree of cooperation expected from a person under investigation for a violation) in ascertaining the facts establishing the violation;
(v) A violation’s resulting from a clerical error or similar unintentional negligence; and
(vi) Such other factors as the Board, or the Executive Secretary, deems appropriate to consider in the specific circumstances presented.
(f) Assessment of fines. After evaluating submitted mitigating evidence and argument, where applicable, the Commerce Department’s Assistant Secretary for Enforcement and Compliance may assess an imposed fine (in whole or in part). Authority is delegated to the Executive Secretary to assess a fine where the total sum of the imposed fines for related actions does not exceed 10,000 dollars (50,000 dollars in the case of violations pursuant to paragraph (b) of this section).
(g) Time for payment. Full payment of an assessed fine must be made within 30 days of the date of the assessment or within such longer period of time as may be specified. Payment shall be made in the manner specified by the Commerce Department’s Assistant Secretary for Enforcement and Compliance or the Executive Secretary.
(h) Procedures for instruction to suspend activated status. If a fine assessed pursuant to §§ 400.62(d) through (g) has not been paid within 90 days of the specified deadline for payment, if there is a repeated and willful failure to comply with a requirement of the FTZ Act or the Board’s regulations, or if there is a repeated and willful failure to comply with a prohibition or restriction on activity imposed by an order of the Board or an order of the Commerce Department’s Assistant Secretary for Enforcement and Compliance pursuant to § 400.49(c), the Board or the Commerce Department’s Assistant Secretary for Enforcement and Compliance may instruct CBP to suspend the activated status of the zone operation(s) in question (or, if appropriate, the suspension may be limited to a particular activity of a zone operator, such as suspension of the privilege to admit merchandise), and the suspension shall remain in place until the failure to pay a fine, failure to comply with a requirement of the FTZ Act or the Board’s regulations, or failure to comply with an order’s prohibition or restriction on activity has been remedied. In determining whether to instruct CBP to suspend the activated status of a zone operation in the circumstances noted, the following steps shall be taken:
(1) Notification of party(ies). The Executive Secretary shall notify the responsible party(ies) in writing stating the nature of the failure to timely pay a fine, to comply with a requirement of the FTZ Act or the Board’s regulations or to comply with a prohibition or restriction on activity imposed by an order of the Board or an order of the Commerce Department’s Assistant Secretary for Enforcement and Compliance. If the grantee is not one of the responsible parties notified, the Executive Secretary shall also provide a copy of the notification to the grantee. The responsible party(ies) shall be provided a specified period (of not less than 15 days) to respond in writing to the notification;
(2) Hearing. If the notified responsible party(ies) or the zone’s grantee requests a hearing (or if a hearing is determined to be warranted by the Board, the Commerce Department’s Assistant Secretary for Enforcement and Compliance or the Executive Secretary), it shall be held before the Executive Secretary (or a member of the Board staff designated by the Executive Secretary) within 30 days following the request for a hearing (or the determination by the Board, the Commerce Department’s Assistant Secretary for Enforcement and Compliance or the Executive Secretary). Parties may be represented by counsel at the hearing, and any evidence and testimony of witnesses in the proceeding shall be presented. A transcript of the hearing shall be produced and a copy shall be made available to the parties;
(3) The Executive Secretary shall make a recommendation on the record of the proceeding not earlier than 15 days after the later of:
(i) The deadline for the party(ies)’s response under paragraph (h)(1) of this section; or
(ii) The date of a hearing held under paragraph (h)(2) of this section; and
(4) The Board or the Commerce Department’s Assistant Secretary for Enforcement and Compliance shall determine whether to instruct CBP to suspend the activated status of the zone operation(s) in question. If the determination is affirmative, the Executive Secretary shall convey the instruction to CBP, with due consideration to allow for the transfer of any affected merchandise from the applicable zone site(s).
(i) Enforcement of assessment. Upon any failure to pay an assessed fine, the Board may request the U.S. Department of Justice to recover the amount assessed in any appropriate district court of the United States or may commence any other lawful action.
(j) Adjustment for inflation. The maximum dollar value of a fine for a violation of the FTZ Act or the Board’s regulations is subject to adjustment for inflation pursuant to the Federal Civil Penalties Inflation Adjustment Act of 1990 (Pub. L. 101-410), as amended by the Debt Collection Improvement Act of 1996 (Pub. L. 104-134).
§ 400.63 Appeals to the Board of decisions of the Assistant Secretary for Enforcement and Compliance and the Executive Secretary.
(a) In general. Decisions of the Commerce Department’s Assistant Secretary for Enforcement and Compliance and the Executive Secretary made pursuant to this part may be appealed to the Board by adversely affected parties showing good cause.
(b) Procedures. Parties appealing a decision under paragraph (a) of this section shall submit a request for review to the Board in writing, stating the basis for the request, and attaching a copy of the decision in question, as well as supporting information and documentation. After a review, the Board shall notify the appealing party of its decision in writing.
PARTS 401-499 [RESERVED]
CHAPTER VII – BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE
SUBCHAPTER A – NATIONAL SECURITY INDUSTRIAL BASE REGULATIONS
PART 700 – DEFENSE PRIORITIES AND ALLOCATIONS SYSTEM
Subpart A – Purpose
§ 700.1 Purpose of this part.
This part implements the Defense Priorities and Allocations System (DPAS) that is administered by the Department of Commerce, Bureau of Industry and Security. The DPAS implements the priorities and allocations authority of the Defense Production Act, including use of that authority to support emergency preparedness activities pursuant to Title VI of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et seq.), and the priorities authority of the Selective Service Act and related statutes, all with respect to industrial resources. The DPAS establishes procedures for the placement, acceptance, and performance of priority rated contracts and orders and for the allocation of materials, services, and facilities. The guidance and procedures in this part are generally consistent with the guidance and procedures provided in other regulations issued under Executive Order 13603 authority.
Subpart B – Overview
§ 700.2 Introduction.
(a) Certain national defense and energy programs (including military, emergency preparedness, homeland security, and critical infrastructure protection and restoration activities) are approved for priorities and allocations support. A complete list of currently approved programs is provided at schedule I to this part.
(b) The Department of Commerce administers the DPAS and may exercise priorities and allocations authority to ensure the timely delivery of industrial items to meet approved program requirements.
(c) The Department of Commerce has delegated authority to place priority ratings on contracts or orders necessary or appropriate to promote the national defense to certain government agencies that issue such contracts or orders. Such delegations include authority to authorize recipients of rated orders to place ratings on contracts or orders to contractors, subcontractors, and suppliers. Schedule I to this part includes a list of agencies to which the Department of Commerce has delegated authority.
§ 700.3 Priority ratings and rated orders.
(a) Rated orders are identified by a priority rating and a program identification symbol. Rated orders take precedence over all unrated orders as necessary to meet required delivery dates. Among rated orders, DX rated orders take precedence over DO rated orders. Program identification symbols indicate which approved program is attributed to the rated order.
(b) Persons receiving rated orders must give them preferential treatment as required by this part.
(c) All rated orders must be scheduled to the extent possible to ensure delivery by the required delivery date.
(d) Persons who receive rated orders must in turn place rated orders with their suppliers for the items they need to fill the orders. This provision ensures that suppliers will give priority treatment to rated orders from contractor to subcontractor to suppliers throughout the procurement chain.
(e) Persons may place a priority rating on orders only when they are in receipt of a rated order, have been explicitly authorized to do so by the Department of Commerce or a Delegate Agency, or are otherwise permitted to do so by this part.
§§ 700.4-700.7 [Reserved]
Subpart C – Definitions
§ 700.8 Definitions.
The definitions in this section apply throughout this part:
Allocation. The control of the distribution of materials, services or facilities for a purpose deemed necessary or appropriate to promote the national defense.
Allocation order. An official action to control the distribution of materials, services, or facilities for a purpose deemed necessary or appropriate to promote the national defense.
Allotment. An official action that specifies the maximum quantity of a material, service, or facility authorized for a specific use to promote the national defense.
Approved program. A program determined as necessary or appropriate for priorities and allocations support to promote the national defense by the Secretary of Defense, the Secretary of Energy, or the Secretary of Homeland Security, under the authority of the Defense Production Act and Executive Order 13603, or the Selective Service Act and Executive Order 12742.
Construction. The erection, addition, extension, or alteration of any building, structure, or project, using materials or products which are to be an integral and permanent part of the building, structure, or project. Construction does not include maintenance and repair.
Critical infrastructure. Any systems and assets, whether physical or cyber-based, so vital to the United States that the degradation or destruction of such systems and assets would have a debilitating impact on national security, including, but not limited to, national economic security and national public health or safety.
Defense Production Act. The Defense Production Act of 1950, as amended (50 U.S.C. App. 2061, et seq.).
Delegate Agency. A government agency authorized by delegation from the Department of Commerce to place priority ratings on contracts or orders needed to support approved programs.
Directive. An official action which requires a person to take or refrain from taking certain actions in accordance with its provisions.
Emergency preparedness. All activities and measures designed or undertaken to prepare for or minimize the effects of a hazard upon the civilian population, to deal with the immediate emergency conditions which would be created by the hazard, and to effectuate emergency repairs to, or the emergency restoration of, vital utilities and facilities destroyed or damaged by the hazard. Emergency preparedness includes the following:
(1) Measures to be undertaken in preparation for anticipated hazards (including the establishment of appropriate organizations, operational plans, and supporting agreements, the recruitment and training of personnel, the conduct of research, the procurement and stockpiling of necessary materials and supplies, the provision of suitable warning systems, the construction or preparation of shelters, shelter areas, and control centers, and, when appropriate, the nonmilitary evacuation of the civilian population);
(2) Measures to be undertaken during a hazard (including the enforcement of passive defense regulations prescribed by duly established military or civil authorities, the evacuation of personnel to shelter areas, the control of traffic and panic, and the control and use of lighting and civil communications); and
(3) Measures to be undertaken following a hazard (including activities for firefighting, rescue, emergency medical, health and sanitation services, monitoring for specific dangers of special weapons, unexploded bomb reconnaissance, essential debris clearance, emergency welfare measures, and immediately essential emergency repair or restoration of damaged vital facilities).
Hazard. An emergency or disaster resulting from:
(1) A natural disaster, or
(2) An accidental or man-caused event.
Homeland security. Includes efforts:
(1) To prevent terrorist attacks within the United States;
(2) To reduce the vulnerability of the United States to terrorism;
(3) To minimize damage from a terrorist attack in the United States; and
(4) To recover from a terrorist attack in the United States.
Industrial resources. All materials, services, and facilities, including construction materials, the authority for which has not been delegated to other agencies under Executive Order 13603. This term also includes the term “item” as defined and used in this part.
Item. Any raw, in process, or manufactured material, article, commodity, supply, equipment, component, accessory, part, assembly, or product of any kind, technical information, process, or service.
Maintenance and repair and/or operating supplies (MRO). (1) Maintenance is the upkeep necessary to continue any plant, facility, or equipment in working condition.
(2) Repair is the restoration of any plant, facility, or equipment to working condition when it has been rendered unsafe or unfit for service by wear and tear, damage, or failure of parts.
(3) Operating supplies are any items carried as operating supplies according to a person’s established accounting practice. Operating supplies may include hand tools and expendable tools, jigs, dies, fixtures used on production equipment, lubricants, cleaners, chemicals and other expendable items.
(4) MRO does not include items produced or obtained for sale to other persons or for installation upon or attachment to the property of another person, or items required for the production of such items; items needed for the replacement of any plant, facility, or equipment; or items for the improvement of any plant, facility, or equipment by replacing items which are still in working condition with items of a new or different kind, quality, or design.
National defense. Programs for military and energy production or construction, military or critical infrastructure assistance to any foreign nation, homeland security, stockpiling, space, and any directly related activity. Such term includes emergency preparedness activities conducted pursuant to Title VI of The Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et seq.) and critical infrastructure protection and restoration.
Official action. An action taken by the Department of Commerce under the authority of the Defense Production Act, the Selective Service Act and related statutes, and this part. Such actions include the issuance of rating authorizations, directives, letters of understanding, demands for information, inspection authorizations, administrative subpoenas and allocation orders.
Person. Any individual, corporation, partnership, association, or any other organized group of persons, or legal successor or representative thereof; or any authorized State or local government or agency thereof; and for purposes of administration of this part, includes the United States Government and any authorized foreign government or international organization or agency thereof, delegated authority as provided in this part.
Priorities authority. The authority of the Department of Commerce, pursuant to Section 101 of the Defense Production Act, to require priority performance of contracts and orders for industrial resource items for use in approved programs.
Priority rating. An identifying code assigned by a Delegate Agency or authorized person placed on all rated orders and consisting of the rating symbol and the program identification symbol.
Production equipment. Any item of capital equipment used in producing materials or furnishing services that has a unit acquisition cost of $2,500 or more, an anticipated service life in excess of one year, and the potential for maintaining its integrity as a capital item.
Program identification symbols. Abbreviations used to indicate which approved program is supported by a rated order.
Rated order. A prime contract, a subcontract, or a purchase order in support of an approved program issued in accordance with the provisions of this part.
Selective Service Act. Section 18 of the Selective Service Act of 1948 (50 U.S.C. app. 468).
Set-aside. An official action that requires a person to reserve materials, services, or facilities capacity in anticipation of the receipt of rated orders.
Stafford Act. Title VI (Emergency Preparedness) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. 5195, et seq.).
Working day. Any day that the recipient of an order is open for business.
Subpart D – Industrial Priorities
§ 700.10 Authority.
(a) Delegations to the Department of Commerce. The priorities and allocations authorities of the President under Title I of the Defense Production Act with respect to industrial resources have been delegated to the Secretary of Commerce under Executive Order 13603 of March 16, 2012 (3 CFR, 2012 Comp., p. 225). The priorities authorities of the President under the Selective Service Act and related statutes with respect to industrial resources have also been delegated to the Secretary of Commerce under Executive Order 12742 of January 8, 1991 (3 CFR, 1991 Comp. 309).
(b) Delegations by the Department of Commerce. The Department of Commerce has authorized the Delegate Agencies to assign priority ratings to orders for industrial resources needed for use in approved programs.
(c) Jurisdiction limitations. (1) The priorities and allocations authority for certain items have been delegated under Executive Order 13603, other executive orders, or Interagency Memoranda of Understanding between other agencies. Unless otherwise agreed to by the concerned agencies, the provisions of this part are not applicable to those other items which include:
(i) Food resources, food resource facilities, livestock resources, veterinary resources, plant health resources, and the domestic distribution of farm equipment and commercial fertilizer (delegated to the Department of Agriculture);
(ii) All forms of energy (delegated to the Department of Energy);
(iii) Health resources (delegated to the Department of Health and Human Services);
(iv) All forms of civil transportation (delegated to the Department of Transportation); and
(v) Water resources (delegated to the Department of Defense/U.S. Army Corps of Engineers).
(2) The priorities and allocations authority set forth in this part may not be applied to communications services subject to Executive Order 13618 of July 6, 2012 – Assignment of National Security and Emergency Preparedness Communications Functions (3 CFR, 2012 Comp., p. 273).
§ 700.11 Priority ratings.
(a) Levels of priority. (1) There are two levels of priority established by this regulation, identified by the rating symbols “DO” and “DX”.
(2) All DO rated orders have equal priority with each other and take preference over unrated orders. All DX rated orders have equal priority with each other and take preference over DO rated orders and unrated orders. (For resolution of conflicts among rated orders of equal priority, see § 700.14(c).)
(3) In addition, a Directive issued by Commerce takes preference over any DX rated order, DO rated order, or unrated order, as stipulated in the Directive. (For a full discussion of Directives, see § 700.62.)
(b) Program identification symbols. Program identification symbols indicate which approved program is being supported by a rated order. The list of approved programs and their identification symbols is found in schedule I to this part. For example, A1 identifies defense aircraft programs and A7 signifies defense electronic programs. Program identification symbols, in themselves, do not connote any priority.
(c) Priority ratings. A priority rating consists of the rating symbol – DO and DX – and the program identification symbol, such as A1, C2, or N1. Thus, a contract for the production of an aircraft will contain a DO-A1 or DX-A1 priority rating. A contract for a radar set will contain a DO-A7 or DX-A7 priority rating.
§ 700.12 Elements of a rated order.
(a) Elements required for all rated orders. (1) The appropriate priority rating and program identification symbol (e.g., DO-A1, DX-A4, DO-N1).
(2) A required delivery date or dates. The words “immediately” or “as soon as possible” do not constitute a delivery date. When a “requirements contract,” “basic ordering agreement,” “prime vendor contract,” or similar procurement document bearing a priority rating contains no specific delivery date or dates, but provides for the furnishing of items from time-to-time or within a stated period against specific purchase orders, such as “calls,” “requisitions,” and “delivery orders,” the purchase orders supporting such contracts or agreements must specify a required delivery date or dates and are to be considered as rated as of the date of their receipt by the supplier and not as of the date of the original procurement document.
(3) The written signature on a manually placed order, or the digital signature or name on an electronically placed order, of an individual authorized to sign rated orders for the person placing the order. The signature, manual or digital, certifies that the rated order is authorized under this part and that the requirements of this part are being followed.
(4) A statement that reads in substance: “This is a rated order certified for national defense use and you are required to follow all the provisions of the Defense Priorities and Allocations System regulations (15 CFR part 700).”
(b) Additional element required for certain emergency preparedness rated orders. If a rated order is placed for the purpose of emergency preparedness requirements and expedited action is necessary or appropriate to meet these requirements, the following statement must be included in the order: “This rated order is placed for the purpose of emergency preparedness. It must be accepted or rejected within [Insert a time limit no less than the minimum applicable time limit specified in § 700.13(d)(2)].”
§ 700.13 Acceptance and rejection of rated orders.
(a) Mandatory acceptance. (1) Except as otherwise specified in this section, a person shall accept every rated order received and must fill such orders regardless of any other rated or unrated orders that have been accepted.
(2) A person shall not discriminate against rated orders in any manner such as by charging higher prices or by imposing different terms and conditions than for comparable unrated orders.
(b) Mandatory rejection. Unless otherwise directed by Commerce:
(1) A person shall not accept a rated order for delivery on a specific date if unable to fill the order by that date. However, the person must inform the customer of the earliest date on which delivery can be made and offer to accept the order on the basis of that date. Scheduling conflicts with previously accepted lower rated or unrated orders are not sufficient reason for rejection under this section.
(2) A person shall not accept a DO rated order for delivery on a date which would interfere with delivery of any previously accepted DO or DX rated orders. However, the person must offer to accept the order based on the earliest delivery date otherwise possible.
(3) A person shall not accept a DX rated order for delivery on a date which would interfere with delivery of any previously accepted DX rated orders, but must offer to accept the order based on the earliest delivery date otherwise possible.
(4) If a person is unable to fill all the rated orders of equal priority status received on the same day, the person must accept, based upon the earliest delivery dates, only those orders which can be filled, and reject the other orders. For example, a person must accept order A requiring delivery on December 15 before accepting order B requiring delivery on December 31. However, the person must offer to accept the rejected orders based on the earliest delivery dates otherwise possible.
(c) Optional rejection. Unless otherwise directed by Commerce, rated orders may be rejected in any of the following cases as long as a supplier does not discriminate among customers:
(1) If the person placing the order is unwilling or unable to meet regularly established terms of sale or payment;
(2) If the order is for an item not supplied or for a service not performed;
(3) If the order is for an item produced, acquired, or provided only for the supplier’s own use for which no orders have been filled for two years prior to the date of receipt of the rated order. If, however, a supplier has sold some of these items, the supplier is obligated to accept rated orders up to that quantity or portion of production, whichever is greater, sold within the past two years;
(4) If the person placing the rated order, other than the U.S. Government, makes the item or performs the service being ordered;
(5) If acceptance of a rated order or performance against a rated order would violate any other regulation, official action, or order of the Department of Commerce issued under the authority of the Defense Production Act or the Selective Service Act and related statutes [See § 700.75].
(d) Customer notification requirements. (1) Except as provided in paragraph (d)(2) of this section, a person must accept or reject a rated order in writing (hard copy), or in electronic format, within fifteen (15) working days after receipt of a DO rated order and within ten (10) working days after receipt of a DX rated order. If the order is rejected, the person must give reasons in writing or electronically for the rejection.
(2) If a rated order is placed for the purpose of emergency preparedness requirements and expedited action is necessary or appropriate to meet these requirements and the order includes the statement set forth in § 700.12(b), a person must accept or reject the rated order and transmit the acceptance or rejection in writing or in an electronic format within the time specified in the rated order. The minimum times for acceptance or rejection that such orders may specify are six (6) hours after receipt of the order if the order is issued by an authorized person in response to a hazard that has occurred, or twelve (12) hours after receipt if the order is issued by an authorized person to prepare for an imminent hazard.
(3) If a person has accepted a rated order and subsequently finds that shipment or performance will be delayed, the person must notify the customer immediately, give the reasons for the delay, and advise of a new shipment or performance date. If notification is given verbally, written (hard copy) or electronic confirmation must be provided within one working day of the verbal notice.
§ 700.14 Preferential scheduling.
(a) A person must schedule operations, including the acquisition of all needed production items, in a timely manner to satisfy the delivery requirements of each rated order. Modifying production or delivery schedules is necessary only when required delivery dates for rated orders cannot otherwise be met.
(b) DO rated orders must be given production preference over unrated orders, if necessary to meet required delivery dates, even if this requires the diversion of items being processed or ready for delivery against unrated orders. Similarly, DX rated orders must be given preference over DO rated orders and unrated orders.
(c) Conflicting rated orders. (1) If a person finds that delivery or performance against any accepted rated orders conflicts with the delivery or performance against other accepted rated orders of equal priority status, the person shall give preference to the conflicting orders in the sequence in which they are to be delivered or performed (not to the receipt dates). If the conflicting rated orders are scheduled to be delivered or performed on the same day, the person shall give preference to those orders which have the earliest receipt dates.
(2) If a person is unable to resolve rated order delivery or performance conflicts under this section, the person should promptly seek special priorities assistance as provided in subpart H of this part. If the person’s customer objects to the rescheduling of delivery or performance of a rated order, the customer should promptly seek special priorities assistance as provided in subpart H of this part. For any rated order against which delivery or performance will be delayed, the person must notify the customer as provided in § 700.13(d)(3).
(d) If a person is unable to purchase needed production items in time to fill a rated order by its required delivery date, the person must fill the rated order by using inventoried production items. A person who uses inventoried items to fill a rated order may replace those items with the use of a rated order as provided in § 700.17(b).
§ 700.15 Extension of priority ratings.
(a) A person must use rated orders with suppliers to obtain items needed to fill a rated order. The person must use the priority rating indicated on the customer’s rated order, except as otherwise provided in this part or as directed by the Department of Commerce.
(b) The priority rating must be included on each successive order placed to obtain items needed to fill a customer’s rated order. Therefore, the inclusion of the rating will continue from contractor to subcontractor to supplier throughout the entire supply chain.
(c) A person must use rated orders with suppliers to obtain items needed to fill an emergency preparedness rated order. That person must require acceptance or rejection, and transmission of that acceptance or rejection by the supplier within the time limit stated in the rated order that is being filled.
§ 700.16 Changes or cancellations of priority ratings and rated orders.
(a) The priority rating on a rated order may be changed or cancelled by:
(1) An official action of the Department of Commerce; or
(2) Written notification from the person who placed the rated order (including a Delegate Agency).
(b) If an unrated order is amended so as to make it a rated order, or a DO, rating is changed to a DX rating, the supplier must give the appropriate preferential treatment to the order as of the date the change is received by the supplier.
(c) An amendment to a rated order that significantly alters a supplier’s original production or delivery schedule shall constitute a new rated order as of the date of its receipt. The supplier must accept or reject the amended order according to the provisions of § 700.13.
(d) The following amendments do not constitute a new rated order: a change in shipping destination; a reduction in the total amount of the order; an increase in the total amount of the order which has negligible impact upon deliveries; a minor variation in size or design (prior to the start of production); or a change which is agreed upon between the supplier and the customer.
(e) A person must cancel any rated orders that the person (or a predecessor in interest) has placed with suppliers or cancel the priority ratings on those orders if the person no longer needs the items in those orders to fill a rated order.
(f) A person adding a rating to an unrated order, or changing or cancelling a priority rating must promptly notify all suppliers to whom the order was sent of the addition, change or cancellation.
§ 700.17 Use of rated orders.
(a) A person must use rated orders to obtain:
(1) Items which will be physically incorporated into other items to fill rated orders, including that portion of such items normally consumed, or converted into scrap or by-products, in the course of processing;
(2) Containers or other packaging materials required to make delivery of the finished items against rated orders;
(3) Services, other than contracts of employment, needed to fill rated orders; and
(4) MRO needed to produce the finished items to fill rated orders. However, for MRO, the priority rating used must contain the program identification symbol H7 along with the rating symbol contained on the customer’s rated order. For example, a person in receipt of a DO-A3 rated order, who needs MRO, would place a DO-H7 rated order with the person’s supplier.
(b) A person may use a rated order to replace inventoried items (including finished items) if such items were used to fill rated orders, as follows:
(1) The order must be placed within 90 days of the date of use of the inventory.
(2) A DO rating symbol and the program identification symbol indicated on the customer’s rated order must be used on the order. A DX rating symbol may not be used even if the inventory was used to fill a DX rated order.
(3) If the priority ratings on rated orders from one customer or several customers contain different program identification symbols, the rated orders may be combined. In this case, the program identification symbol H1 must be used (i.e., DO-H1).
(c) A person may combine DX and DO rated orders from one customer or several customers if the items covered by each level of priority are identified separately and clearly. If different program identification symbols are indicated on those rated orders of equal priority, the person must use the program identification symbol H1 (i.e., DO-H1 or DX-H1).
(d) Combining rated and unrated orders. (1) A person may combine rated and unrated order quantities on one purchase order provided that:
(i) The rated quantities are separately and clearly identified; and
(ii) The elements of a rated order, as required by § 700.12, are included on the order with the statement required in § 700.12(a)(4) modified to read in substance: “This purchase order contains rated order quantities certified for national defense use, and you are required to follow all the provisions of the Defense Priorities and Allocations System regulations (15 CFR part 700) as it pertains to the rated quantities.”
(2) A supplier must accept or reject the rated portion of the purchase order as provided in § 700.13 and give preferential treatment only to the rated quantities as required by this part. This part may not be used to give preferential treatment to the unrated portion of the order.
(3) Any supplier who believes that rated and unrated orders are being combined in a manner contrary to the intent of this regulation or in a fashion that causes undue or exceptional hardship may submit a request for adjustment or exception under § 700.80.
(e) A person may place a rated order for the minimum commercially procurable quantity even if the quantity needed to fill a rated order is less than that minimum. However, a person must combine rated orders as provided in paragraph (c) of this section, if possible, to obtain minimum procurable quantities.
(f) A person is not required to place a priority rating on an order for less than $75,000, or one half of the Simplified Acquisition Threshold (as established in the Federal Acquisition Regulation (FAR)) (see FAR section 2.101), whichever amount is greater, provided that delivery can be obtained in a timely fashion without the use of the priority rating.
§ 700.18 Limitations on placing rated orders.
(a) General limitations. (1) A person may not place a rated order pursuant to this part unless the person is in receipt of a rated order, has been explicitly authorized to do so by the Department of Commerce or a Delegate Agency or is otherwise permitted to do so by this part.
(2) Rated orders may not be used to obtain:
(i) Delivery on a date earlier than needed;
(ii) A greater quantity of the item than needed, except to obtain a minimum procurable quantity;
(iii) Items in advance of the receipt of a rated order, except as specifically authorized by the Department of Commerce (see § 700.41(c) for information on obtaining authorization for a priority rating in advance of a rated order); or
(iv) Any of the following items unless specific priority rating authority has been obtained from a Delegate Agency or the Department of Commerce:
(A) Items for plant improvement, expansion or construction, unless they will be physically incorporated into a construction project covered by a rated order; or
(B) Production or construction equipment or items to be used for the manufacture of production equipment (for information on requesting priority rating authority, see § 700.41).
(v) Any items related to the development of chemical or biological warfare capabilities or the production of chemical or biological weapons, unless such development or production has been authorized by the President or the Secretary of Defense.
(3) Separate rated orders may not be placed solely for obtaining minimum procurable quantities on each order if the minimum procurable quantity would be sufficient to cover more than one rated order.
(b) Specific item limitations. Notwithstanding any authorization or requirement to place a rated order stated elsewhere in this part, no person may place a rated order to obtain the following items unless such order is authorized by an official action of the Department of Commerce.
(1) Copper raw materials.
(2) Crushed stone.
(3) Gravel.
(4) Sand.
(5) Scrap.
(6) Slag.
(7) Steam heat, central.
(8) Waste paper.
Subpart E – Industrial Priorities for Energy Programs
§ 700.20 Use of priority ratings.
(a) Section 101(c) of the Defense Production Act authorizes the use of priority ratings for projects which maximize domestic energy supplies.
(b) Projects which maximize domestic energy supplies include those which maintain or further domestic energy exploration, production, refining, and transportation; maintain or further the conservation of energy; or are involved in the construction or maintenance of energy facilities.
(a) For projects believed to maximize domestic energy supplies, a person may request priority rating authority for scarce, critical, and essential supplies of materials, equipment, and services (related to the production of materials or equipment, or the installation, repair, or maintenance of equipment) by submitting a request to the Department of Energy. Further information may be obtained from the Department of Energy, Office of Electricity Delivery and Energy Reliability, 1000 Independence Avenue SW., Washington, DC 20585.
(b) If the Department of Energy notifies the Department of Commerce that the project maximizes domestic energy supplies and that the materials, equipment, or services are critical and essential, the Department of Commerce will determine whether the items in question are scarce, and, if they are scarce, whether there is a need to use the priorities authority.
(1) Scarcity implies an unusual difficulty in obtaining the materials, equipment, or services in a time frame consistent with the timely completion of the energy project. In determining scarcity, the Department of Commerce may consider factors such as the following:
(i) Value and volume of material or equipment shipments;
(ii) Consumption of material and equipment;
(iii) Volume and market trends of imports and exports;
(iv) Domestic and foreign sources of supply;
(v) Normal levels of inventories;
(vi) Rates of capacity utilization;
(vii) Volume of new orders; and
(viii) Lead times for new orders.
(2) In finding whether there is a need to use the priorities authority, the Department of Commerce may consider alternative supply solutions and other measures.
(c) After the Department of Commerce has conducted its analysis, it will advise the Department of Energy whether the two findings have been satisfied. If the findings are satisfied, the Department of Commerce will authorize the Department of Energy to grant the use of a priority rating to the applicant.
(d) Schedule I to this part includes a list of approved programs to support the maximization of domestic energy supplies. A Department of Energy regulation setting forth the procedures and criteria used by the Department of Energy in making its determination and findings is published in 10 CFR part 216.
Subpart F – Allocation Actions
§ 700.30 Policy.
(a) Allocation orders will:
(1) Be used only when there is insufficient supply of a material, service, or facility to satisfy national defense requirements through the use of the priorities authority or when the use of the priorities authority would cause a severe and prolonged disruption in the supply of materials, services, or facilities available to support normal U.S. economic activities; and
(2) Not be used to ration materials or services at the retail level.
(b) Allocation orders, when used, will be distributed equitably among the suppliers of the materials, services, or facilities being allocated and not require any person to relinquish a disproportionate share of the civilian market.
§ 700.31 General procedures.
Before the Department of Commerce uses its allocations authority to address a supply problem within its resource jurisdiction, it will develop a plan that includes:
(a) A copy of the written determination made in accordance with section 202 of Executive Order 13603, that the program or programs that would be supported by the allocation action are necessary or appropriate to promote the national defense;
(b) A detailed description of the situation to include any unusual events or circumstances that have created the requirement for an allocation action;
(c) A statement of the specific objective(s) of the allocation action;
(d) A list of the materials, services, or facilities to be allocated;
(e) A list or description of the sources of the materials, services, or facilities that will be subject to the allocation action;
(f) A detailed description of the provisions that will be included in the allocations orders, including the type(s) of allocations orders, the percentages or quantity of capacity or output to be allocated for each purpose, the relationship with previously or subsequently received priority rated and unrated contracts and orders, and the duration of the allocation action (e.g., anticipated start and end dates);
(g) An evaluation of the impact of the proposed allocation action on the civilian market; and
(h) Proposed actions, if any, to mitigate disruptions to civilian market operations.
§ 700.32 Controlling the general distribution of a material in the civilian market.
No allocation action by the Department of Commerce may be used to control the general distribution of a material in the civilian market unless the conditions of paragraphs (a), (b), and (c) of this section are met.
(a) The Secretary has made a written finding that:
(1) Such material is a scarce and critical material essential to the national defense, and
(2) The requirements of the national defense for such material cannot otherwise be met without creating a significant dislocation of the normal distribution of such material in the civilian market to such a degree as to create appreciable hardship.
(b) The Secretary has submitted the finding for the President’s approval through the Assistant to the President and National Security Advisor and the Assistant to the President for Homeland Security and Counterterrorism.
(c) The President has approved the finding.
(d) In this section, the term, “Secretary” means the Secretary of Commerce or his or her designee.
§ 700.33 Types of allocations orders.
There are three types of allocations orders available for communicating allocation actions.
(a) Set-aside. A set-aside is an official action that requires a person to reserve materials, services, or facilities capacity in anticipation of the receipt of rated orders.
(b) Directive. A directive is an official action that requires a person to take or refrain from taking certain actions in accordance with its provisions. For example, a directive can require a person to: stop or reduce production of an item; prohibit the use of selected materials, services, or facilities; or divert the use of materials, services, or facilities from one purpose to another.
(c) Allotment. An allotment is an official action that specifies the maximum quantity of a material, service, or facility authorized for a specific use to promote the national defense.
§ 700.34 Elements of an allocation order.
Allocation orders may be issued directly to the affected persons or by constructive notice to the parties through publication in the
(a) Elements to be included in all allocation orders. (1) A detailed description of the required allocation action(s), including its relationship to previously or subsequently received DX rated orders, DO rated orders and unrated orders.
(2) Specific start and end calendar dates for each required allocation action.
(b) Elements to be included in orders issued directly to affected persons. (1) A statement that reads in substance: “This is an allocation order certified for national defense use. [Insert the name of the person receiving the order] is required to comply with this order, in accordance with the provisions of the Defense Priorities and Allocations System regulations (15 CFR part 700).”
(2) The written signature on a manually placed order, or the digital signature or name on an electronically placed order, of an authorized official or employee of the Department of Commerce.
(c) Elements to be included in an allocation order that gives constructive notice through publication in the
(2) The order must be signed by an authorized official or employee of the Department of Commerce.
§ 700.35 Mandatory acceptance of an allocation order.
(a) Except as otherwise specified in this section, a person shall accept and comply with every allocation order received.
(b) A person shall not discriminate against an allocation order in any manner such as by charging higher prices for materials, services, or facilities covered by the order or by imposing terms and conditions for contracts and orders involving allocated materials, services, or facilities that differ from the person’s terms and conditions for contracts and orders for the materials, services, or facilities prior to receiving the allocation order.
(c) If a person is unable to comply fully with the required action(s) specified in an allocation order, the person must notify the Office of Strategic Industries and Economic Security immediately, explain the extent to which compliance is possible, and give the reasons why full compliance is not possible. If notification is given verbally, written or electronic confirmation must be provided within one working day. Such notification does not release the person from complying with the order to the fullest extent possible, until the person is notified by the Department of Commerce that the order has been changed or cancelled.
§ 700.36 Changes or cancellations of allocation orders.
An allocation order may be changed or cancelled by an official action from the Department of Commerce. Notice of such changes or cancellations may be provided directly to persons to whom the order being cancelled or modified applies or constructive notice may be provided by publication in the
Subpart G [Reserved]
Subpart H – Special Priorities Assistance
§ 700.50 General provisions.
(a) Once a priority rating has been authorized pursuant to this part, further action by the Department of Commerce generally is not needed. However, it is anticipated that from time-to-time problems will occur. In this event, a person should immediately contact the appropriate contract administration officer for guidance or assistance. If additional formal aid is needed, special priorities assistance should be sought from the Delegate Agency through the contract administration officer. If the Delegate Agency is unable to resolve the problem or to authorize the use of a priority rating and believes additional assistance is warranted, the Delegate Agency may forward the request to the Department of Commerce for action. Special priorities assistance is a service provided to alleviate problems that do arise.
(b) Special priorities assistance can be provided for any reason consistent with this part, such as assisting in obtaining timely deliveries of items needed to satisfy rated orders or authorizing the use of priority ratings on orders to obtain items not otherwise ratable under this part. If the Department of Commerce is unable to resolve the problem or to authorize the use of a priority rating and believes additional assistance is warranted, the Department of Commerce may forward the request to another agency, identified in § 700.10(c), as appropriate, for action.
(c) A request for special priorities assistance or priority rating authority must be submitted on Form BIS-999 (OMB control number 0694-0057) to the local contract administration representative. Form BIS-999 may be obtained from the Delegate Agency representative or from the Department of Commerce. A sample Form BIS-999 is attached at appendix I.
(a) If a rated order is likely to be delayed because a person is unable to obtain items not normally rated under this part, the person may request the authority to use a priority rating in ordering the needed items. Examples of items for which priority ratings can be authorized include:
(1) Production or construction equipment;
(2) Computers when not used as production items; and
(3) Expansion, rebuilding or replacing plant facilities.
(b) Rating authority for production or construction equipment. (1) A request for priority rating authority for production or construction equipment must be submitted to the appropriate Delegate Agency. The Delegate Agency may establish particular forms to be used for these requests (e.g., Department of Defense Form DD 691.)
(2) When the use of a priority rating is authorized for the procurement of production or construction equipment, a rated order may be used either to purchase or to lease such equipment. However, in the latter case, the equipment may be leased only from a person engaged in the business of leasing such equipment or from a person willing to lease rather than sell.
(c) Rating authority in advance of a rated prime contract. (1) In certain cases and upon specific request, the Department of Commerce, in order to promote the national defense, may authorize a person to place a priority rating on an order to a supplier in advance of the issuance of a rated prime contract. In these instances, the person requesting advance rating authority must obtain sponsorship of the request from the appropriate Delegate Agency. The person shall also assume any business risk associated with the placing of rated orders if these orders have to be cancelled in the event the rated prime contract is not issued.
(2) The person must state the following in the request:
It is understood that the authorization of a priority rating in advance of our receiving a rated prime contract from a Delegate Agency and our use of that priority rating with our suppliers in no way commits the Delegate Agency, the Department of Commerce or any other government agency to enter into a contract or order or to expend funds. Further, we understand that the Federal Government shall not be liable for any cancellation charges, termination costs, or other damages that may accrue if a rated prime contract is not eventually placed and, as a result, we must subsequently cancel orders placed with the use of the priority rating authorized as a result of this request.
(3) In reviewing requests for rating authority in advance of a rated prime contract, the Department of Commerce will consider, among other things, the following criteria:
(i) The probability that the prime contract will be awarded;
(ii) The impact of the resulting rated orders on suppliers and on other authorized programs;
(iii) Whether the contractor is the sole source;
(iv) Whether the item being produced has a long lead time; and
(v) The time period for which the rating is being requested.
(4) Commerce may require periodic reports on the use of the rating authority granted under paragraph (c) of this section.
(5) If a rated prime contract is not issued, the person shall promptly notify all suppliers who have received rated orders pursuant to the advanced rating authority that the priority rating on those orders is cancelled.
§ 700.52 Examples of assistance.
(a) While special priorities assistance may be provided for any reason in support of this regulation, it is usually provided in situations where:
(1) A person is experiencing difficulty in obtaining delivery against a rated order by the required delivery date; or
(2) A person cannot locate a supplier for an item needed to fill a rated order.
(b) Other examples of special priorities assistance include:
(1) Ensuring that rated orders receive preferential treatment by suppliers;
(2) Resolving production or delivery conflicts between various rated orders;
(3) Assisting in placing rated orders with suppliers;
(4) Verifying the urgency of rated orders; and
(5) Determining the validity of rated orders.
§ 700.53 Criteria for assistance.
Requests for special priorities assistance should be timely, i.e., the request has been submitted promptly and enough time exists for the Delegate Agency or the Department of Commerce to effect a meaningful resolution to the problem, and must establish that:
(a) There is an urgent need for the item; and
(b) The applicant has made a reasonable effort to resolve the problem.
§ 700.54 Instances where assistance will not be provided.
Special priorities assistance is provided at the discretion of the Delegate Agencies and the Department of Commerce when it is determined that such assistance is warranted to meet the objectives of this regulation. Examples where assistance may not be provided include situations when a person is attempting to:
(a) Secure a price advantage;
(b) Obtain delivery prior to the time required to fill a rated order;
(c) Gain competitive advantage;
(d) Disrupt an industry apportionment program in a manner designed to provide a person with an unwarranted share of scarce items; or
(e) Overcome a supplier’s regularly established terms of sale or conditions of doing business.
§ 700.55 Homeland security, emergency preparedness, and critical infrastructure protection and restoration assistance programs within the United States.
Any person requesting priority rating authority or requiring assistance in obtaining rated items supporting homeland security, emergency preparedness, and critical infrastructure protection and restoration related activities should submit a request for such assistance or priority rating authority to the Office of Policy and Program Analysis, Federal Emergency Management Agency, Department of Homeland Security, 500 C Street SW., Washington, DC 20472; telephone: (202) 646-3520; Fax: (202) 646-4060; Email: [email protected], Web site: http://www.fema.gov/defense-production-act-program-division.
§ 700.56 Military assistance programs with Canada.
(a) To promote military assistance to Canada, this section provides for authorizing priority ratings to persons in Canada to obtain items in the United States in support of approved programs. Although priority ratings have no legal authority outside of the United States, this section also provides information on how persons in the United States may obtain informal assistance in Canada in support of approved programs.
(b) The joint United States-Canadian military arrangements for the defense of North America and the integrated nature of the United States and Canadian defense industries require close coordination and the establishment of a means to provide mutual assistance to the defense industries located in both countries.
(c) The Department of Commerce coordinates with the Canadian Public Works and Government Services Canada on all matters of mutual concern relating to the administration of this part.
(d) Any person in the United States ordering defense items in Canada in support of an approved program should inform the Canadian supplier that the items being ordered are to be used to fill a rated order. The Canadian supplier should be informed that if production materials are needed from the United States by the supplier or the supplier’s vendor to fill the order, the supplier or vendor should contact the Canadian Public Works and Government Services Canada for authority to place rated orders in the United States: Public Works and Government Services Canada, Acquisitions Branch, Business Management Directorate, Phase 3, Place du Portage, Level 0A1, 11 Laurier Street, Gatineau, Quebec, K1A 0S5, Canada; Telephone: (819) 956-6825; Fax: (819) 956-7827, or electronically at [email protected].
(e) Any person in Canada producing defense items for the Canadian government may also obtain priority rating authority for items to be purchased in the United States by applying to the Canadian Public Works and Government Services Canada, Acquisitions Branch, Business Management Directorate, in accordance with its procedures.
(f) Persons in Canada needing special priorities assistance in obtaining defense items in the United States may apply to the Canadian Public Works and Government Services Canada, Acquisitions Branch, Business Management Directorate, for such assistance. Public Works and Government Services Canada will forward appropriate requests to the Department of Commerce.
(g) Any person in the United States requiring assistance in obtaining items in Canada must submit a request through the Delegate Agency to the Office of Strategic Industries and Economic Security, U.S. Department of Commerce on Form BIS-999. The Department of Commerce will forward appropriate requests to the Canadian Public Works and Government Services Canada.
§ 700.57 Military assistance programs with other nations and international organizations.
(a) Scope. To promote military assistance to foreign nations and international organizations (for example, the North Atlantic Treaty Organization or the United Nations), this section provides for authorizing priority ratings to persons in foreign nations or international organizations to obtain items in the United States in support of approved programs. Although priority ratings have no legal authority outside of the United States, this section also provides information on how persons in the United States may obtain informal assistance in Australia, Finland, Italy, The Netherlands, Spain, Sweden, and the United Kingdom in support of approved programs.
(b) Foreign nations and international organizations. (1) Any person in a foreign nation other than Canada, or any person in an international organization, requiring assistance in obtaining items in the United States or priority rating authority for items to be purchased in the United States, should submit a request for such assistance or priority rating authority to: the Department of Defense DPAS Lead in the Office of the Deputy Assistant Secretary of Defense for Manufacturing and Industrial Base Policy, 3330 Defense Pentagon, Room 3B854, Washington, DC 20301; Telephone: (703) 697-0051; Fax: (703) 695-4885; Email: [email protected], Web site: http://www.acq.osd.mil/mibp.
(i) If the end product is being acquired by a U.S. Government agency, the request should be submitted to the Department of Defense DPAS Lead through the U.S. contract administration representative.
(ii) If the end product is being acquired by a foreign nation or international organization, the request must be sponsored prior to its submission to the Department of Defense DPAS Lead by the government of the foreign nation or the international organization that will use the end product.
(2) If the Department of Defense endorses the request, it will be forwarded to the Department of Commerce for appropriate action.
(c) Requesting assistance in Australia, Finland, Italy, The Netherlands, Spain, Sweden, and the United Kingdom. (1) The Department of Defense has entered into bilateral security of supply arrangements with Australia, Finland, Italy, The Netherlands, Spain, Sweden, and the United Kingdom that allow the Department of Defense to request the priority delivery for Department of Defense contracts, subcontracts, and orders from companies in these countries.
(2) Any person in the United States requiring assistance in obtaining the priority delivery of a contract, subcontract, or order in Australia, Finland, Italy, The Netherlands, Spain, Sweden, or the United Kingdom to support an approved program should contact the Department of Defense DPAS Lead in the Office of the Deputy Assistant Secretary of Defense for Manufacturing and Industrial Base Policy for assistance. Persons in Australia, Finland, Italy, The Netherlands, Spain, Sweden, and the United Kingdom should request assistance in accordance with paragraph (b)(1) of this section.
§ 700.58 Critical infrastructure assistance programs to foreign nations and international organizations.
(a) Scope. To promote critical infrastructure assistance to foreign nations, this section provides for authorizing priority ratings to persons in foreign nations or international organizations (for example the North Atlantic Treaty Organization or the United Nations) to obtain items in the United States in support of approved programs.
(b) Foreign nations or international organizations. Any person in a foreign nation or representing an international organization requiring assistance in obtaining items to be purchased in the United States for support of critical infrastructure protection and restoration should submit a request for such assistance or priority rating authority to the Office of Policy and Program Analysis, Federal Emergency Management Agency, Department of Homeland Security, 500 C Street SW., Washington, DC 20472; telephone: (202) 646-3520; Fax: (202) 646-4060; Email: [email protected], Web site: http://www.fema.gov/defense-production-act-program-division.
Subpart I – Official Actions
§ 700.60 General provisions.
(a) The Department of Commerce may, from time-to-time, take specific official actions to implement or enforce the provisions of this part.
(b) Some of these official actions (rating authorizations and letters of understanding) are discussed in this subpart. Official actions that pertain to compliance (administrative subpoenas, demands for information, and inspection authorizations) are discussed in § 700.71(c). Directives are discussed in § 700.62.
(a) A rating authorization is an official action granting specific priority rating authority that:
(1) Permits a person to place a priority rating on an order for an item not normally ratable under this regulation; or
(2) Authorizes a person to modify a priority rating on a specific order or series of contracts or orders.
(b) To request priority rating authority, see § 700.51.
§ 700.62 Directives.
(a) A directive is an official action which requires a person to take or refrain from taking certain actions in accordance with its provisions.
(b) A person must comply with each directive issued. However, a person may not use or extend a directive to obtain any items from a supplier, unless expressly authorized to do so in the directive.
(c) Directives take precedence over all DX rated orders, DO rated orders, and unrated orders previously or subsequently received, unless a contrary instruction appears in the directive.
§ 700.63 Letters of understanding.
(a) A letter of understanding is an official action which may be issued in resolving special priorities assistance cases to reflect an agreement reached by all parties (the Department of Commerce, the Delegate Agency, the supplier, and the customer).
(b) A letter of understanding is not used to alter scheduling between rated orders, to authorize the use of priority ratings, to impose restrictions under this regulation, or to take other official actions. Rather, letters of understanding are used to confirm production or shipping schedules which do not require modifications to other rated orders.
Subpart J – Compliance
§ 700.70 General provisions.
(a) Compliance actions may be taken for any reason necessary or appropriate to the enforcement or the administration of the Defense Production Act, the Selective Service Act and related statutes, this part, or an official action. Such actions include audits, investigations, or other inquiries.
(b) Willful violation of any of the provisions of Title I or section 705 of the Defense Production Act, this part, or an official action of the Department of Commerce, is a criminal act, punishable as provided in the Defense Production Act and as set forth in § 700.74 of this part.
§ 700.71 Audits and investigations.
(a) Audits and investigations are official actions involving the examination of books, records, documents, other writings and information to ensure that the provisions of the Defense Production Act, the Selective Service Act and related statutes, and this part have been properly followed. An audit or investigation may also include interviews and a systems evaluation to detect problems or failures in the implementation of this part.
(b) When undertaking an audit, investigation, or other inquiry, the Department of Commerce shall:
(1) Define the scope and purpose in the official action given to the person under investigation, and
(2) Have ascertained that the information sought or other adequate and authoritative data are not available from any Federal or other responsible agency.
(c) In administering this part, the Department of Commerce may issue the following documents, which constitute official actions:
(1) Administrative subpoenas. An administrative subpoena requires a person to appear as a witness before an official designated by the Department of Commerce to testify under oath on matters of which that person has knowledge relating to the enforcement or the administration of the Defense Production Act, the Selective Service Act and related statutes, or this part. An administrative subpoena may also require the production of books, papers, records, documents and physical objects or property.
(2) Demand for information. A demand for information requires a person to furnish to a duly authorized representative of the Department of Commerce any information necessary or appropriate to the enforcement or the administration of the Defense Production Act, the Selective Service Act, or this part.
(3) Inspection authorizations. An inspection authorization requires a person to permit a duly authorized representative of the Department of Commerce to interview the person’s employees or agents, to inspect books, records, documents, other writings and information in the person’s possession or control at the place where that person usually keeps them, and to inspect a person’s property when such interviews and inspections are necessary or appropriate to the enforcement or the administration of the Defense Production Act, the Selective Service Act, or this part.
(d) The production of books, records, documents, other writings and information will not be required at any place other than where they are usually kept if, prior to the return date specified in the administrative subpoena or demand for information, a duly authorized official of the Department of Commerce is furnished with copies of such material that are certified under oath to be true copies. As an alternative, a person may enter into a stipulation with a duly authorized official of the Department of Commerce as to the content of the material.
(e) An administrative subpoena, demand for information, or inspection authorization shall include the name, title or official position of the person to be served, the evidence sought to be adduced, and its general relevance to the scope and purpose of the audit, investigation, or other inquiry. If employees or agents are to be interviewed; if books, records, documents, other writings, or information are to be produced; or if property is to be inspected; the administrative subpoena, demand for information, or inspection authorization will describe them with particularity.
(f) Service of documents shall be made in the following manner:
(1) Service of a demand for information or inspection authorization shall be made personally, or by certified mail – return receipt requested at the person’s last known address. Service of an administrative subpoena shall be made personally. Personal service may also be made by leaving a copy of the document with someone at least 18 years of age at the person’s last known dwelling or place of business.
(2) Service upon other than an individual may be made by serving a partner, corporate officer, or a managing or general agent authorized by appointment or by law to accept service of process. If an agent is served, a copy of the document shall be mailed to the person named in the document.
(3) Any individual 18 years of age or older may serve an administrative subpoena, demand for information, or inspection authorization. When personal service is made, the individual making the service shall prepare an affidavit as to the manner in which service was made and the identity of the person served, and return the affidavit, and in the case of subpoenas, the original document, to the issuing officer. In case of failure to make service, the reasons for the failure shall be stated on the original document.
§ 700.72 Compulsory process.
(a) If a person refuses to permit a duly authorized representative of the Department of Commerce to have access to any premises or source of information necessary to the administration or enforcement of the Defense Production Act or this part, the Department of Commerce may seek compulsory process. Compulsory process means the institution of appropriate legal action, including ex parte application for an inspection warrant or its equivalent, in any forum of appropriate jurisdiction.
(b) Compulsory process may be sought in advance of an audit, investigation, or other inquiry, if, in the judgment of the Director of the Office of Strategic Industries and Economic Security, U.S. Department of Commerce, in consultation with the Chief Counsel for Industry and Security, U.S. Department of Commerce, there is reason to believe that a person will refuse to permit an audit, investigation, or other inquiry, or that other circumstances exist which make such process desirable or necessary.
§ 700.73 Notification of failure to comply.
(a) At the conclusion of an audit, investigation, or other inquiry, or at any other time, the Department of Commerce may inform the person in writing where compliance with the requirements of the Defense Production Act, the Selective Service Act and related statutes, or this part were not met.
(b) In cases where the Department of Commerce determines that failure to comply with the provisions of the Defense Production Act, the Selective Service Act and related statutes, or this part was inadvertent, the person may be informed in writing of the particulars involved and the corrective action to be taken. Failure to take corrective action may then be construed as a willful violation of the Defense Production Act, this part, or an official action.
§ 700.74 Violations, penalties, and remedies.
(a) Willful violation of the provisions of Title I or Sections 705 or 707 of the Defense Production Act, the priorities provisions of the Selective Service Act and related statutes or this part is a crime and upon conviction, a person may be punished by fine or imprisonment, or both. The maximum penalty provided by the Defense Production Act is a $10,000 fine, or one year in prison, or both. The maximum penalty provided by the Selective Service Act is a $50,000 fine, or three years in prison, or both.
(b) The government may also seek an injunction from a court of appropriate jurisdiction to prohibit the continuance of any violation of, or to enforce compliance with, the Defense Production Act, this part, or an official action.
(c) In order to secure the effective enforcement of the Defense Production Act, this part, and official actions, the following are prohibited (see section 704 of the Defense Production Act; see also, for example, sections 2 and 371 of Title 18 United States Code):
(1) No person may solicit, influence or permit another person to perform any act prohibited by, or to omit any act required by, the Defense Production Act, this part, or an official action.
(2) No person may conspire or act in concert with any other person to perform any act prohibited by, or to omit any act required by, the Defense Production Act, this part, or an official action.
(3) No person shall deliver any item if the person knows or has reason to believe that the item will be accepted, redelivered, held, or used in violation of the Defense Production Act, this part, or an official action. In such instances, the person must immediately notify the Department of Commerce that, in accordance with this section, delivery has not been made.
§ 700.75 Compliance conflicts.
If compliance with any provision of the Defense Production Act, the Selective Service Act and related statutes, this regulation, or an official action would prevent a person from filling a rated order or from complying with another provision of the Defense Production Act, this regulation, or an official action, the person must immediately notify the Department of Commerce for resolution of the conflict.
Subpart K – Adjustments, Exceptions, and Appeals
§ 700.80 Adjustments or exceptions.
(a) A person may submit a request to the Office of Strategic Industries and Economic Security, U.S. Department of Commerce, for an adjustment or exception on the ground that:
(1) A provision of this part or an official action results in an undue or exceptional hardship on that person not suffered generally by others in similar situations and circumstances; or
(2) The consequence of following a provision of this part or an official action is contrary to the intent of the Defense Production Act, the Selective Service Act and related statutes, or this part.
(b) Each request for adjustment or exception must be in writing and contain a complete statement of all the facts and circumstances related to the provision of this part or official action from which adjustment is sought and a full and precise statement of the reasons why relief should be provided.
(c) The submission of a request for adjustment or exception shall not relieve any person from the obligation of complying with the provisions of this part or official action in question while the request is being considered unless such interim relief is granted in writing by the Office of Strategic Industries and Economic Security. The Office of Strategic Industries and Economic Security shall respond to requests for adjustment of or exceptions to compliance with the provisions of this part or an official action within 25 (twenty-five) days, not including Saturdays, Sundays or Government holidays, of the date of receipt.
(d) A decision of the Office of Strategic Industries and Economic Security under this section may be appealed to the Assistant Secretary for Export Administration, U.S. Department of Commerce. (For information on the appeal procedure, see § 700.81.)
§ 700.81 Appeals.
(a) Any person who has had a request for adjustment or exception denied by the Office of Strategic Industries and Economic Security under § 700.80, may appeal to the Assistant Secretary for Export Administration, Department of Commerce, who shall review and reconsider the denial. Such appeals should be submitted to the Office of the Assistant Secretary for Export Administration, Bureau of Industry and Security, Department of Commerce, Room 3886, Washington, DC 20230, Ref: DPAS Appeals.
(b) Appeals of denied requests for exceptions from or adjustments to compliance with the provisions of this part or an official action must be received by the Assistant Secretary for Export Administration no later than 45 days after receipt of a written notice of denial from the Office of Strategic Industries and Economic Security. After this 45-day period, an appeal may be accepted at the discretion of the Assistant Secretary for Export Administration.
(c) Each appeal must be in writing and contain a complete statement of all the facts and circumstances related to the action appealed from and a full and precise statement of the reasons the decision should be modified or reversed.
(d) In addition to the written materials submitted in support of an appeal, an appellant may request, in writing, an opportunity for an informal hearing. This request may be granted or denied at the discretion of the Assistant Secretary for Export Administration.
(e) When a hearing is granted, the Assistant Secretary for Export Administration may designate an employee of the Department of Commerce to conduct the hearing and to prepare a report. The hearing officer shall determine all procedural questions and impose such time or other limitations deemed reasonable. In the event that the hearing officer decides that a printed transcript is necessary, all expenses shall be borne by the appellant.
(f) When determining an appeal, the Assistant Secretary for Export Administration may consider all information submitted during the appeal as well as any recommendations, reports, or other relevant information and documents available to the Department of Commerce, or consult with any other persons or groups.
(g) The submission of an appeal under this section shall not relieve any person from the obligation of complying with the provisions of this part or official action in question while the appeal is being considered, unless such relief is granted in writing by the Assistant Secretary for Export Administration.
(h) The decision of the Assistant Secretary for Export Administration shall be made within a reasonable time after receipt of the appeal and shall be the final administrative action. It shall be issued to the appellant in writing with a statement of the reasons for the decision.
Subpart L – Miscellaneous Provisions
§ 700.90 Protection against claims.
A person shall not be held liable for damages or penalties for any act or failure to act resulting directly or indirectly from compliance with any provision of this part, or an official action, notwithstanding that such provision or action shall subsequently be declared invalid by judicial or other competent authority.
§ 700.91 Records and reports.
(a) Persons are required to make and preserve for at least three years, accurate and complete records of any transaction covered by this part (OMB control number 0694-0053) or an official action.
(b) Records must be maintained in sufficient detail to permit the determination, upon examination, of whether each transaction complies with the provisions of this part or any official action. However, this part does not specify any particular method or system to be used.
(c) Records required to be maintained by this part must be made available for examination on demand by duly authorized representatives of the Department of Commerce as provided in § 700.71.
(d) In addition, persons must develop, maintain, and submit any other records and reports to the Department of Commerce that may be required for the administration of the Defense Production Act, the Selective Service Act and related statutes, and this part.
(e) Section 705(d) of the Defense Production Act provides that information obtained under this section which the President deems confidential, or with reference to which a request for confidential treatment is made by the person furnishing such information, shall not be published or disclosed unless the President determines that the withholding of this information is contrary to the interest of the national defense. Information required to be submitted to the Department of Commerce in connection with the enforcement or administration of the Act, this part, or an official action, is deemed to be confidential under section 705(d) of the Act and shall not be published or disclosed except as required by law.
§ 700.92 Applicability of this part and official actions.
(a) This part and all official actions, unless specifically stated otherwise, apply to transactions in any state, territory, or possession of the United States and the District of Columbia.
(b) This part and all official actions apply not only to deliveries to other persons but also include deliveries to affiliates and subsidiaries of a person and deliveries from one branch, division, or section of a single entity to another branch, division, or section under common ownership or control.
(c) This part and its schedules shall not be construed to affect any administrative actions taken by the Department of Commerce, or any outstanding contracts or orders placed pursuant to any of the regulations, orders, schedules or delegations of authority under the Defense Materials System and Defense Priorities System previously issued by the Department of Commerce. Such actions, contracts, or orders shall continue in full force and effect under this part unless modified or terminated by proper authority.
(d) The repeal of any provision of this part, orders, schedules and delegations of authority of the Defense Materials System (DMS) and Defense Priorities System (DPS) shall not have the effect to release or extinguish any penalty or liability incurred under the DMS/DPS. The DMS/DPS shall be treated as still remaining in force for the purpose of sustaining any action for the enforcement of such penalty or liability.
§ 700.93 Communications.
General communications concerning this part, including how to obtain copies of this part and explanatory information, requests for guidance or clarification, may be addressed to the Office of Strategic Industries and Economic Security, Room 3876, Department of Commerce, Washington, DC 20230, Ref: DPAS; telephone (202) 482-3634, email [email protected]. Request for priorities assistance under § 700.50, adjustments or exceptions under § 700.80, or appeals under § 700.81, must be submitted in the manner specified in those sections.
Schedule I to Part 700 – Approved Programs and Delegate Agencies
The programs listed in this schedule have been approved for priorities support under this part by the Department of Defense,
| Program identification symbol | Approved program | Agency(ies) |
|---|---|---|
| A1 | Aircraft | Department of Defense. |
| A2 | Missiles | Department of Defense. |
| A3 | Ships | Department of Defense. |
| A4 | Tank – Automotive | Department of Defense. |
| A5 | Weapons | Department of Defense. |
| A6 | Ammunition | Department of Defense. |
| A7 | Electronic and communications equipment | Department of Defense. |
| B1 | Military building supplies | Department of Defense. |
| B8 | Production equipment (for defense contractor’s account) | Department of Defense. |
| B9 | Production equipment (Government owned) | Department of Defense. |
| C1 | Food resources (combat rations) | Department of Defense. |
| C2 | Department of Defense construction | Department of Defense. |
| C3 | Maintenance, repair, and operating supplies (MRO) for Department of Defense facilities | Department of Defense. |
| C9 | Miscellaneous | Department of Defense. |
| D1 | Canadian military programs | Department of Commerce. |
| D2 | Canadian production and construction | Department of Commerce. |
| D3 | Canadian atomic energy program | Department of Commerce. |
| G1 | Certain munitions items purchased by foreign governments through domestic commercial channels for export | Department of Commerce. |
| G2 | Certain direct defense needs of foreign governments other than Canada | Department of Commerce. |
| G3 | Foreign nations (other than Canada) production and construction | Department of Commerce. |
| G4 | Foreign critical infrastructure programs | Department of Commerce. |
| J1 | F-16 Co-Production Program | Departments of Commerce and Defense. |
| E1 | Construction | Department of Energy. |
| E2 | Operations – including maintenance, repair, and operating supplies (MRO) | Department of Energy. |
| E3 | Privately owned facilities | Department of Energy. |
| F1 | Exploration, production, refining, and transportation | Department of Energy. |
| F2 | Conservation | Department of Energy. |
| F3 | Construction, repair, and maintenance | Department of Energy. |
| H1 | Certain combined orders (see section 700.17(c)) | Department of Commerce. |
| H5 | Private domestic production | Department of Commerce. |
| H6 | Private domestic construction | Department of Commerce. |
| H7 | Maintenance, repair, and operating supplies (MRO) | Department of Commerce. |
| H8 | Designated Programs | Department of Commerce. |
| K1 | Federal supply items | General Services Administration. |
| N1 | Federal emergency preparedness, mitigation, response, and recovery | Department of Homeland Security. |
| N2 | State, local, tribal government emergency preparedness, mitigation, response, and recovery | Department of Homeland Security. |
| N3 | Intelligence and warning systems | Department of Homeland Security. |
| N4 | Border and transportation security | Department of Homeland Security. |
| N5 | Domestic counter-terrorism, including law enforcement | Department of Homeland Security. |
| N6 | Chemical, biological, radiological, and nuclear countermeasures | Department of Homeland Security. |
| N7 | Critical infrastructure protection and restoration | Department of Homeland Security. |
| N8 | Miscellaneous | Department of Homeland Security. |
Appendix I to Part 700 – Form BIS-999 – Request for Special Priorities Assistance
PART 701 – REPORTING OF OFFSETS AGREEMENTS IN SALES OF WEAPON SYSTEMS OR DEFENSE-RELATED ITEMS TO FOREIGN COUNTRIES OR FOREIGN FIRMS
§ 701.1 Purpose.
The Defense Production Act Amendments of 1992 require the Secretary of Commerce to promulgate regulations for U.S. firms entering into contracts for the sale of defense articles or defense services to foreign countries or foreign firms that are subject to offset agreements exceeding $5,000,000 in value to furnish information regarding such agreements. The Secretary of Commerce has designated the Bureau of Industry and Security as the organization responsible for implementing this provision. The information provided by U.S. firms will be aggregated and used to determine the impact of offset transactions on the defense preparedness, industrial competitiveness, employment, and trade of the United States. Summary reports are submitted annually to Congress pursuant to Section 309 of the Defense Production Act of 1950, as amended.
§ 701.2 Definitions.
(a) Offsets. Compensation practices required as a condition of purchase in either government-to-government or commercial sales of:
(1) Defense articles and/or defense services as defined by the Arms Export Control Act and the International Traffic in Arms Regulations; or
(2) Items controlled under an Export Control Classification Number (ECCN) that has the numeral “6” as its third character in the Commerce Control List found in supplement no. 1 to part 774 of this chapter other than semi-submersible and submersible vessels specially designed for cargo transport and parts, components, accessories and attachments specially designed therefor controlled under ECCN 8A620.b; test, inspection and production equipment controlled in ECCN 8B620.b, software controlled in ECCN 8D620.b and technology controlled in ECCN 8E620.b.
(b) Military Export Sales. Exports that are either Foreign Military Sales (FMS) or commercial (direct) sales of:
(1) Defense articles and/or defense services as defined by the Arms Export Control Act and International Traffic in Arms Regulations; or
(2) Items controlled under an Export Control Classification Number (ECCN) that has the numeral “6” as its third character in the Commerce Control List found in supplement no. 1 to part 774 of this chapter other than semi-submersible and submersible vessels specially designed for cargo transport and parts, components, accessories and attachments specially designed therefor controlled under ECCN 8A620.b; test, inspection and production equipment controlled in ECCN 8B620.b; software controlled in ECCN 8D620.b; and technology controlled in ECCN 8E620.b.
(c) Prime Contractor. A firm that has a sales contract with a foreign entity or with the U.S. Government for military export sales.
(d) United States. Includes the 50 states, the District of Columbia, Puerto Rico, and U.S. territories.
(e) Offset Agreement. Any offset as defined above that the U.S. firm agrees to in order to conclude a military export sales contract. This includes all offsets, whether they are “best effort” agreements or are subject to penalty clauses.
(f) Offset Transaction. Any activity for which the U.S. firm claims credit for full or partial fulfillment of the offset agreement. Activities to implement offset agreements are categorized as co-production, technology transfer, subcontracting, credit assistance, training, licensed production, investment, purchases and other. Paragraphs (f)(1) through (f)(8) of this section provide examples of the categories of offset transactions.
(1) Example 1. Company A, a U.S. firm, contracts for Company B, a foreign firm located in country C, to produce a component of a U.S.-origin defense article subject to an offset agreement between Company A and country C. The defense article will be sold to country C pursuant to a Foreign Military Sale and the production role of Company B is described in the Letter of Offer and Acceptance associated with that sale and a government-to-government co-production memorandum of understanding. This transaction would be categorized as co-production and would, like all co-production transactions, be direct.
(2) Example 2. Company A, a U.S. firm, transfers technology to Company B, a foreign firm located in country C, which allows Company B to conduct research and development directly related to a defense article that is subject to an offset agreement between Company A and country C. This transaction would be categorized as technology transfer and would be direct because the research and development is directly related to an item subject to the offset agreement.
(3) Example 3. Company A, a U.S. firm, contracts for Company B, a foreign firm located in country C, to produce a component of a U.S.-origin defense article subject to an offset agreement between Company A and country C. The contract with Company B is for a direct commercial sale and Company A does not license Company B to use any technology. The transaction would be categorized as subcontracting and would, like all subcontracting transactions, be direct.
(4) Example 4. Company A, a U.S. firm, makes arrangements for a line of credit at a financial institution for Company B, a foreign firm located in country C, so that Company B can produce an item that is not subject to the offset agreement between Company A and country C. The transaction would be categorized as credit assistance and would be indirect because the credit assistance is unrelated to an item covered by the offset agreement.
(5) Example 5. Company A, a U.S. firm, arranges for training of personnel from Company B, a foreign firm located in country C. The training is related to the production and maintenance of a U.S.-origin defense article that is subject to an offset agreement between Company A and country C. The transaction would be categorized as training and would be direct because the training is directly related to the production and maintenance of an item covered by the offset agreement.
(6) Example 6. Company A, a U.S. firm, contracts for Company B, a foreign firm located in country C, to produce a component of a U.S.-origin defense article that is subject to an offset agreement between Company A and country C. The contract with Company B is a Foreign Military Sale and Company A licenses Company B to use Company A’s production technology to produce the component. There is no co-production agreement between the United States and country C. The transaction would be categorized as licensed production and would be direct because it involves the item covered by the offset agreement.
(7) Example 7. Company A, a U.S. firm, makes an investment in Company B, a foreign firm located in country C, so that Company B can create a new production line to produce a component of a defense article that is subject to an offset agreement between Company A and country C. The transaction would be categorized as investment and would be direct because the investment involves an item covered by the offset agreement.
(8) Example 8. Company A, a U.S. firm, purchases various off-the-shelf items from Company B, a foreign firm located in country C, but none of these items will be used by Company A to produce the defense article subject to the offset agreement between Company A and country C. The transaction would be categorized as purchases and would, like all purchase transactions, be indirect.
(g) Direct Offset. An offset transaction directly related to the article(s) or service(s) exported or to be exported pursuant to the military export sales agreement. See the examples illustrating offset transactions of this type in §§ 701.2(f)(1), 701.2(f)(2), 701.2(f)(3), 701.2(f)(5), 701.2(f)(6) and 701.2(f)(7) of this part.
(h) Indirect Offset. An offset transaction unrelated to the article(s) or service(s) exported or to be exported pursuant to the military export sales agreement. See the examples illustrating offset transactions of this type in §§ 701.2(f)(4) and 701.2(f)(8) of this part.
§ 701.3 Applicability and scope.
(a) This part applies to U.S. firms entering contracts that are subject to an offset agreement exceeding $5,000,000 in value and that are for the sale to a foreign country or foreign firm of:
(1) Defense articles and/or defense services as defined by the Arms Export Control Act and International Traffic in Arms Regulations; or
(2) Items controlled under an Export Control Classification Number (ECCN) that has the numeral “6” as its third character in the Commerce Control List found in supplement no. 1 to part 774 of this chapter other than semi-submersible and submersible vessels specially designed for cargo transport and parts, components, accessories and attachments specially designed therefor controlled under ECCN 8A620.b; test, inspection and production equipment controlled in ECCN 8B620.b; software controlled in ECCN 8D620.b and technology controlled in ECCN 8E620.b.
(b) This rule applies to all offset transactions completed in performance of existing offset commitments since January 1, 1993 for which offset credit of $250,000 or more has been claimed from the foreign representative, and new offset agreements entered into since that time.
§ 701.4 Procedures.
(a) Reporting period. The Department of Commerce publishes a notice in the
(b) Reporting instructions. (1) U.S. firms must only report on offset agreements they have entered into with a foreign customer. U.S. firms must report offset transactions that they are directly responsible for reporting to the foreign customer, regardless of who performs the transaction (i.e., prime contractors must report for their subcontractors if the subcontractors are not a direct party to the offset agreement).
(2) Reports must be submitted in hardcopy to the Offset Program Manager, U.S. Department of Commerce, Bureau of Industry and Security, Room 3876, 14th Street and Constitution Avenue, NW., Washington, DC 20230, and as an e-mail attachment to [email protected]. E-mail attachments must include the information in a computerized spreadsheet or database format. If unable to submit a report in computerized format, companies should contact the Offset Program Manager for guidance. All submissions must include a point of contact (name and telephone number) and must be submitted by a company official authorized to provide such information.
(c) Reports must include the information described below. Any necessary comments or explanations relating to the information shall be footnoted and supplied on separate sheets attached to the reports.
(1) Reporting on offset agreements. U.S. firms shall provide an itemized list of new offset agreements entered into during the reporting period, including the information about each such agreement described in paragraphs (c)(1)(i) through (c)(1)(ix) of this section.
(i) Name of foreign country. Identify the country of the foreign entity involved in the military export sale associated with the offset agreement.
(ii) Description of the military export sale. Provide a name and description of the defense article and/or defense service referenced in the military export sale, as well as the date (month and year) that the related offset agreement was signed.
(iii) Military export sale classification. Identify the six-digit North American Industry Classification System (“NAICS”) code(s) associated with the military export sale. Refer to U.S. Census Bureau’s U.S. NAICS Manual for a listing of applicable NAICS codes (http://www.census.gov/epcd/www/naics.html). Paragraphs (c)(1)(iii)(A) through (c)(1)(iii)(E) of this section provide examples that illustrate how to select the appropriate NAICS code(s).
(A) Example 1. Company A enters into an offset agreement associated with the sale of 24 fighter aircraft and guided missiles to country B. Fighter aircraft manufacturing is classified in the NAICS as NAICS 336411, Aircraft Manufacturing. Guided missiles are classified in the NAICS as NAICS 336414, Guided Missile and Space Vehicle Manufacturing. This military export sale should be classified under NAICS 336411 and NAICS 336414.
(B) Example 2. Company B enters into an offset agreement associated with the sale of a navigation system for a fleet of military aircraft to country C. Navigation system manufacturing is classified in the NAICS as NAICS 334511, Search, Detection, Navigation, Guidance, Aeronautical, and Nautical System and Instrument Manufacturing. This military export sale should be classified under NAICS 334511.
(C) Example 3. Company C enters into an offset agreement associated with the sale of radio communication equipment to country D. Radio communication equipment is classified in the NAICS as NAICS 334220, Radio and Television Broadcasting and Wireless Communication Equipment Manufacturing. This military export sale should be classified under NAICS 334220.
(D) Example 4. Company D enters into an offset agreement associated with the sale of 30 aircraft engines to country E. Aircraft engines are classified in the NAICS as NAICS 336412, Aircraft Engine and Engine Parts Manufacturing. This military export sale should be classified under NAICS 336412.
(E) Example 5. Company E enters into an offset agreement associated with the sale of armored vehicles to country F. Armored vehicles are classified in the NAICS as NAICS 336992, Military Armored Vehicle, Tank, and Tank Component Manufacturing. This military export sale should be classified under NAICS 336992.
(iv) Foreign party to offset agreement. Identify the foreign government agency or branch that is the signatory to the offset agreement.
(v) Military export sale value. Provide the U.S. dollar value of the military export sale. Should the military export sale involve more than one NAICS code, please separately list the values associated with each NAICS code.
(vi) Offset agreement value. Provide the U.S. dollar value of the offset agreement.
(vii) Offset agreement term. Identify the term of the offset agreement in months.
(viii) Offset agreement performance measures. Identify each category that describes the offset agreement’s performance measures: best efforts, accomplishment of obligation, or other (please describe).
(ix) Offset agreement penalties for non-performance. Identify each category that describes the offset agreement’s penalties for non-performance. For example, the agreement may include penalties such as liquidated damages, debarment from future contracts, added offset requirements, fees, commissions, bank credit guarantees, or other (please describe).
(2) Reporting on offset transactions. U.S. firms shall provide an itemized list of offset transactions completed during the reporting period, including the elements listed in paragraphs (c)(2)(i) through (c)(2)(x) of this section for each such transaction (numerical estimates are acceptable when actual figures are unavailable; estimated figures shall be followed by the letter “E”).
(i) Name of foreign country. Identify the country of the foreign entity involved in the military export sale associated with the offset transaction.
(ii) Description of the military export sale. Provide a name and description of the defense article and/or defense service referenced in the military export sale associated with the offset transaction, as well as the date the offset agreement was signed (month and year).
(iii) Offset transaction category. Identify each category that describes the offset transaction as co-production, technology transfer, subcontracting, training, licensing of production, investment, purchasing, credit assistance or other (please describe).
(iv) Offset transaction classification. Identify the six-digit NAICS code(s) associated with the offset transaction. Refer to U.S. Census Bureau’s U.S. NAICS Manual for a listing of applicable NAICS codes (http://www.census.gov/epcd/www/naics.html). Paragraphs (c)(2)(iv)(A) through (c)(2)(iv)(E) of this section provide examples that illustrate how to select the appropriate NAICS code in the instances described therein.
(A) Example 1. Company A completes an offset transaction by co-producing aircraft engines in country B. Aircraft engine manufacturing is classified in the NAICS as NAICS 336412, Aircraft Engine and Engine Parts Manufacturing. This offset transaction should be classified under NAICS 336412.
(B) Example 2. Company B completes an offset transaction by licensing the production of automotive electrical switches in country C. Company B also assists in structuring a wholesale distribution network for these products. Automotive electrical switch manufacturing is classified in the NAICS as NAICS 335931, Current Carrying Wiring Device Manufacturing, and the wholesale distribution network is classified in the NAICS as NAICS 423120, Motor Vehicle Supplies and New Parts Merchant Wholesalers. This offset transaction should be classified under NAICS 335931 and NAICS 423120.
(C) Example 3. Company C completes an offset transaction by transferring technology to establish a biotechnology research center in country D. Biotechnology research and development is classified in the NAICS as NAICS 541711, Research and Development in Biotechnology. This offset transaction should be classified under NAICS 541711.
(D) Example 4. Company D completes an offset transaction by purchasing steel forgings from a steel mill in country E. Steel forgings are classified in the NAICS as NAICS 331111, Iron and Steel Mills. This offset transaction should be classified under NAICS 331111.
(E) Example 5. Company E completes an offset transaction by providing training assistance services in country F to certain plant managers. Training assistance is classified in the NAICS as NAICS 611430, Professional and Management Development Training. This offset transaction should be classified under NAICS 611430.
(v) Offset transaction type. Identify the offset transaction as a direct offset transaction, an indirect offset transaction, or a combination of both.
(vi) Name of offset performing entity. Identify, by name, the entity performing the offset transaction on behalf of the U.S. entity that entered into the offset agreement.
(vii) Name of offset receiving entity. Identify the foreign entity receiving benefits from the offset transaction.
(viii) Actual offset value. Provide the U.S. dollar value of the offset transaction without taking into account multipliers or intangible factors. Should the offset transaction involve more than one NAICS code, please list the U.S. dollar values associated with each NAICS code.
(ix) Offset credit value. Provide the U.S. dollar value credits claimed by the offset performing entity, including any multipliers or intangible factors.
(x) Offset transaction performance location. Name the country where each offset transaction was fulfilled, such as the purchasing country, the United States, or a third country.
§ 701.5 Confidentiality.
(a) As provided by § 309(c) of the Defense Production Act of 1950, as amended, BIS shall not publicly disclose the information it receives pursuant to this part, unless the firm furnishing the information subsequently specifically authorizes public disclosure.
(b) Public disclosure must be authorized in writing by an official of the firm competent to make such an authorization.
(c) Nothing in this provision shall prevent the use of data aggregated from information provided pursuant to this part in the summary report to the Congress described in § 701.1.
§ 701.6 Violations, penalties, and remedies.
(a) Willful violation of the Defense Production Act may result in punishment by fine or imprisonment, or both. The maximum penalty provided by the Defense Production Act is a $10,000 fine, or one year in prison, or both.
(b) The Government may seek an injunction from a court of appropriate jurisdiction to prohibit the continuance of any violation of, or to enforce compliance with, the Defense Production Act and this regulation.
PART 702 – INDUSTRIAL BASE SURVEYS – DATA COLLECTIONS
§ 702.1 Introduction.
In accordance with 50 U.S.C. app. 2155, the Bureau of Industry and Security (BIS) may obtain such information from, require such reports and the keeping of such records by, make an inspection of the books, records, and other writings, premises or property of, take the sworn testimony of and administer oaths and affirmations to, any person as may be necessary or appropriate, in its discretion, to the enforcement or the administration of its authorities and responsibilities under the Defense Production Act of 1950 as amended (DPA) and any regulations or orders issued thereunder. BIS’s authorities under the DPA (50 U.S.C. app. 2061 et seq.) include authority to collect data via surveys to perform industry studies assessing the capabilities of the United States industrial base to support the national defense and develop policy recommendations to improve both the international competitiveness of specific domestic industries and their ability to meet national defense program needs.
§ 702.2 Scope and purpose of surveys – avoiding duplicative requests for information.
(a) BIS will not send any survey to any person for completion unless the scope and purpose of the survey have been established, that scope and purpose are consistent with BIS’s authorities under the DPA, and the data requested by the survey does not duplicate adequate and authoritative data already available to BIS from a Federal or other authoritative source.
(b) BIS personnel of appropriate competence and authority will ensure that the requirements of paragraph (a) of this section are met.
(c) This section shall not be construed as limiting the criteria that BIS may consider in determining whether to proceed with a survey. This paragraph shall not be construed as replacing or in any way modifying the requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
§ 702.3 Confidential information.
This section implements section 705(d) of the DPA.
(a) BIS deems all information submitted in response to a survey issued pursuant to this part to be confidential.
(b) Any person submitting information in response to a survey issued pursuant to this part may request confidential treatment of that information.
(c) The President’s authority under the DPA to protect confidential information has been delegated to the Under Secretary for Industry and Security. The information described in paragraphs (a) and (b) of this section shall not be published or disclosed unless the Under Secretary for Industry and Security determines that the withholding thereof is contrary to the interest of the national defense.
(d) Any person convicted of willfully violating the prohibition in paragraph (c) of this section may be fined not more than $10,000 or imprisoned for not more than one year, or both.
§ 702.4 Requirement to comply with surveys or other requests for information.
(a) Requirement to comply. Every person who receives a survey or other request for information issued pursuant to this part must submit a complete and adequate response to BIS within the time frame stated on the initial distribution letter or other request for information. Survey response information that does not adhere to the survey question criteria or that contains only aggregate information in place of specified information will be treated as inadequate and therefore noncompliant. BIS may exempt persons from this requirement for the reasons in paragraph (b) of this section, or grant extensions of time to comply as set forth in paragraph (c) of this section. Submitting a request to BIS for an exemption or an extension of time for completion does not suspend the initial deadline required by BIS (or any extended deadline subsequently granted by BIS). Thus, persons who request an exemption or extension of time are advised to proceed as if the response is required by the deadline until advised otherwise by BIS.
(b) Grounds for exemption. (1) An exemption from the requirements of this section may be granted if the person receiving the survey or other request for information:
(i) Has no physical presence in the United States of any kind;
(ii) Does not provide, produce, distribute, utilize, procure, research, develop, consult or advise on, or have any other direct or indirect association with the materials, products, services or technology that are within the scope of the survey;
(iii) Has ceased business operations more than 12 months prior to receipt of the survey;
(iv) Has been in business for less than one year; or
(v) BIS determines that extenuating circumstances exist that make responding impractical.
(2) BIS may also grant an exemption if, based on the totality of the circumstances, it concludes that compliance would be impractical and/or that requiring compliance would be unduly time intensive.
(3) Existence of a pre-existing private non-disclosure agreement or information sharing agreement between a person and another party (e.g., customers, suppliers, etc.), does not exempt a person from the obligation to comply with and complete a survey. The authority to conduct the survey and comply with the survey is derived from the DPA, and that statutory obligation to comply supersedes any private agreement.
(c) Extensions of time to complete. A person who receives a survey or other request for information may request an extension of time to submit the complete response to BIS. BIS may grant such an extension of time, if, in its judgment, circumstances are such that additional time reasonably is needed, the extension would not jeopardize timely completion of BIS’s overall analysis, and the person is making reasonable progress towards completing the survey or response to the other request for information. Generally, extensions will be for no more than two weeks. A person who receives a survey or other request for information may request successive extensions if the person believes that it continues to have a legitimate need for additional time to complete the survey. BIS will not grant extensions that would jeopardize the performance and timely completion of its industrial base assessments.
(d) Procedure for requesting exemptions or extensions of time. Requests for exemptions or extensions of time must be made to BIS at the telephone number, email address or BIS physical address provided in the initial distribution letter for a survey or in the other request for information. A request for an exemption must provide factual information and documentation that are adequate for BIS to determine that one or more of the criteria stated in paragraph (b) or (c) of this section are met.
(e) Responses that are incomplete or inadequate. BIS may return responses that are incomplete or inadequate to the person for prompt completion. BIS will specify the required period of time permitted for completion and submission of the revised survey.
§ 702.5 Consequences of failure to comply.
(a) Civil. If any person fails to comply with the requirements of § 702.4, BIS may issue a subpoena requiring that person to submit the information called for in the survey. In the case of contumacy or refusal to obey such a subpoena, the U.S. Government may apply for an order by the United States district court in a district where that person resides or transacts business that would compel the person to submit the completed survey.
(b) Criminal. In accordance with 50 U.S.C. app. 2155, any person who willfully fails to comply with § 702.4, may, upon conviction, be fined not more than $10,000 or imprisoned not more than one year, or both.
§ 702.6 Definitions.
The definitions in this section apply throughout this part.
Confidential. A description of information that is subject to the disclosure prohibitions of the DPA (50 U.S.C. app. 2155(d)).
Initial distribution letter. A letter that BIS sends to a person that has been identified by the U.S. Government as a supplier or customer of materials, products or services used for activities of the industry that is the focus of a survey. The letter describes the survey’s primary objectives, how survey results will assist the U.S. Government, and the confidential treatment of the information submitted. The letter also includes BIS contact information.
Person. The term “person” includes:
(1) An individual, corporation, partnership, association, or any other organized group of persons, or legal successor or representative thereof;
(2) Any State or local government or agency thereof;
(3) The Government of the United States, of the District of Columbia, of any commonwealth, territory or possession of the United States, or any department, agency or commission thereof.
Paragraph (1) of this definition is not limited to commercial or for-profit organizations. For example, the term “any other organized group of persons” may encompass labor unions, academic institutions, charitable organizations or any group of persons who are organized in some manner. The term corporation is not limited to publicly traded corporations or corporations that exist for the purpose of making a profit.
Survey. A questionnaire or other request for information that collects detailed information and data to support both the assessment of a particular industrial sector or technology and the development of a corresponding study.
Supplement No. 1 to Part 702 – General Survey Information
This supplement provides general information about surveys and the content of the typical survey. The content of this supplement is purely an example of a typical survey, and in no way limits the content that may appear in a specific Bureau of Industry and Security (BIS)-issued survey. Procedures and content vary from survey to survey, and as such, there is no set template to follow. Nonetheless, BIS is offering this information as a basic guide to some elements of a survey.
Most surveys include the following sections: Cover Page; Table of Contents; General Instructions; Glossary of Terms; Organizational Information, and sector-specific sections.
– The cover page typically includes the title of the survey, its scope, an explanation of the legal requirement to comply, the burden estimate for compliance with the survey, the Office of Management and Budget (OMB) control number, and the survey date of expiration.
– The General Instructions section normally includes process steps necessary for a person’s survey submittal. These include but are not limited to instructions for survey completion, survey support staff point-of-contact information, the name and address of the presiding BIS official, and instructions for both survey certification and submittal.
– The Glossary of Terms section explains terms contained in the survey. Terms contained in the survey may be unique to the subject matter of the industry assessment, and therefore may change in meaning from survey to survey. Therefore, it is important to follow the specific instructions and defined terms contained in the specific survey you receive, regardless of any previous survey you might have completed.
– The Organization Information section requests information related to the person in receipt of the survey, including address information, the source level of response (e.g., facility, business unit, division, corporate consolidated, etc.), point of contact details, and other pertinent contact information.
The survey is generally organized in a question and answer format and is presented on an electronic survey system. Each survey is specially tailored to collect the specific information requested. Therefore, specific detailed information is what should be submitted in response to a survey requesting such information.
– For example, if we ask for a listing of your customers that order widget A, your response should not be a listing of your entire customer base. Only the information pertaining to customers’ ordering widget A is responsive to that kind of question.
Also note that your reply to a survey request is compulsory, unless you meet the criteria for exemption set forth in the body of the regulation. Therefore, any non-disclosure agreements or similar agreements you may have with your customers or clients are not applicable to a survey’s request for information. Compliance with the survey is required by the DPA. Accordingly, compliance with that statutory requirement is paramount to any private agreement you have with your customers or other parties.
In addition to the aforementioned sections, each survey contains sections tailored to the specific scope of the study, including but not limited to Facility Locations, Products and Services, Inventories, Suppliers and Customers, Challenges and Organizational Outlook, Employment, Operations, Financial Statements, Sales, Research and Development, and Capital Expenditures.
Examples of survey terms.
Certification: A section of the survey in which a person (an authorizing official) certifies that the information supplied in response to the survey is complete and correct, to the best of the person’s knowledge.
Facility: A building or the minimum complex of buildings or parts of buildings in which a person operates to serve a particular function, producing revenue and incurring costs for the person. A facility may produce an item of tangible or intangible property or may perform a service. It may encompass a floor or group of floors within a building, a single building, or a group of buildings or structures. Often, a facility is a group of related locations at which employees work, together constituting a profit-and-loss center for the person, and it may be identified by a unique Dun and Bradstreet number.
Sole source: An organization that is the only source for the supply of parts, components, materials, or services. No alternative U.S. or non-U.S. based supplier exists other than the current supplier.
Survey template: The data collection instrument supplied by BIS to persons by which survey information is recorded and submitted to BIS. The survey is generally organized in a question and answer format and is presented on an electronic survey system.
Supplier: An entity from which your organization obtains inputs. A supplier may be another firm with which you have a contractual relationship, or it may be another facility owned by the same parent organization. The inputs may be materials, products or services.
PARTS 703-704 [RESERVED]
PART 705 – EFFECT OF IMPORTED ARTICLES ON THE NATIONAL SECURITY
§ 705.1 Definitions.
As used in this part:
Department means the United States Department of Commerce and includes the Secretary of Commerce and the Secretary’s designees.
Secretary means the Secretary of Commerce or the Secretary’s designees.
Applicant means the person or entity submitting a request or application for an investigation pursuant to this part.
§ 705.2 Purpose.
These regulations set forth the procedures by which the Department shall commence and conduct an investigation to determine the effect on the national security of the imports of any article. Based on this investigation, the Secretary shall make a report and recommendation to the President for action or inaction regarding an adjustment of the imports of the article.
§ 705.3 Commencing an investigation.
(a) Upon request of the head of any government department or agency, upon application of an interested party, or upon motion of the Secretary, the Department shall immediately conduct an investigation to determine the effect on the national security of the imports of any article.
(b) The Secretary shall immediately provide notice to the Secretary of Defense of any investigation initiated under this part.
§ 705.4 Criteria for determining effect of imports on the national security.
(a) To determine the effect on the national security of the imports of the article under investigation, the Department shall consider the quantity of the article in question or other circumstances related to its import. With regard for the requirements of national security, the Department shall also consider the following:
(1) Domestic production needed for projected national defense requirements;
(2) The capacity of domestic industries to meet projected national defense requirements;
(3) The existing and anticipated availabilities of human resources, products, raw materials, production equipment and facilities, and other supplies and services essential to the national defense;
(4) The growth requirements of domestic industries to meet national defense requirements and the supplies and services including the investment, exploration and development necessary to assure such growth; and
(5) Any other relevant factors.
(b) In recognition of the close relation between the strength of our national economy and the capacity of the United States to meet national security requirements, the Department shall also, with regard for the quantity, availability, character and uses of the imported article under investigation, consider the following:
(1) The impact of foreign competition on the economic welfare of any domestic industry essential to our national security;
(2) The displacement of any domestic products causing substantial unemployment, decrease in the revenues of government, loss of investment or specialized skills and productive capacity, or other serious effects; and
(3) Any other relevant factors that are causing or will cause a weakening of our national economy.
§ 705.5 Request or application for an investigation.
(a) A request or application for an investigation shall be in writing. The original, 1 copy and an electronic version of the report in the form of a Portable Document Format (PDF) file shall be filed with the Director, Office of Technology Evaluation, Room H-1093, U.S. Department of Commerce, Washington, DC 20230, with the PDF version being submitted to [email protected]. An application for an investigation from an interested party that includes information submitted in confidence in accordance with the procedures of § 705.6 must also include a public version in written and electronic form containing all non-confidential information and public summaries of business confidential information as provided below. For persons seeking to submit business confidential information (trade secrets, commercial or financial information, or any other information considered sensitive or privileged), the public version of the application must contain a summary of the business confidential information in sufficient detail to permit a reasonable understanding of the substance of the information. Generally, numerical data will be considered adequately summarized if grouped or presented in terms of indices or figures within 10 percent of the actual figure. If an individual portion of the numerical data is voluminous (e.g., 5 pages of numerical data), at least one percent of the numerical data, representative of that portion, must be summarized. If the submitter claims that summarization is not possible, the claim must be accompanied by a full explanation of the reason(s). In order to submit business confidential information that is not for public release or classified national security information as a separate submission to the U.S. Department of Commerce, applicants must follow the procedures specified in § 705.6.
Requests for an investigation from United States Government agencies need not include a public version.
(b) When a request, application or motion is under investigation, or when an investigation has been completed pursuant to § 705.10 of this part, any subsequently filed request or application concerning imports of the same or related article that does not raise new or different issues may be either consolidated with the investigation in progress as provided in § 705.7(e) of this part, or rejected. In either event, an explanation for taking such action shall be promptly given to the applicant. If the request or application is rejected, it will not be returned unless requested by the applicant.
(c) Requests or applications shall describe how the quantity, availability, character, and uses of a particular imported article, or other circumstances related to its import, affect the national security, and shall contain the following information to the fullest extent possible:
(1) Identification of the applicant;
(2) A precise description of the article;
(3) Description of the domestic industry affected, including pertinent information regarding companies and their plants, locations, capacity and current output of the industry;
(4) Pertinent statistics on imports and domestic production showing the quantities and values of the article;
(5) Nature, sources, and degree of the competition created by imports of the article;
(6) The effect that imports of the article may have upon the restoration of domestic production capacity in the event of national emergency;
(7) Employment and special skills involved in the domestic production of the article;
(8) Extent to which the national economy, employment, investment, specialized skills, and productive capacity is or will be adversely affected;
(9) Revenues of Federal, State, or local Governments which are or may be adversely affected;
(10) National security supporting uses of the article including data on applicable contracts or sub-contracts, both past and current; and
(11) Any other information or advice relevant and material to the subject matter of the investigation.
(d) Statistical material presented should be, if possible, on a calendar-year basis for sufficient periods of time to indicate trends. Monthly or quarterly data for the latest complete years should be included as well as any other breakdowns which may be pertinent to show seasonal or short-term factors.
§ 705.6 Confidential information.
(a) This paragraph (a) specifies the requirements for submission of classified national security information, business confidential information, and the treatment of United States Government communications during an investigation under Section 232 of the Trade Expansion Act of 1962, as amended (a “Section 232 investigation”), or as part of a request or application for an investigation.
(1) Classified national security information. Any information or material, which the applicant or any other party desires to submit in confidence at any stage of the investigation or as part of an application for an investigation, that is classified national security information (“classified information”) within the meaning of Executive Order 13526 shall be marked and submitted to the Bureau of Industry and Security (BIS) in accordance with the guidelines set forth in 32 CFR part 2001 regarding the handling of classified information. Before sending classified information, the applicant or any other party wishing to submit classified information must contact BIS for any additional handling instructions or submission requirements that may be applicable by contacting the Director, Office of Technology Evaluation, Room H-1093, U.S. Department of Commerce, Washington, DC 20230. Any information or material submitted that is identified as classified information must be accompanied at the time of submission by a statement indicating the degree of classification, the authority for the classification, and the identity of the classifying entity. Classified national security information described in this paragraph (a)(1) does not require a public version.
(2) Business confidential information. Any information or material submitted electronically, which the applicant or any other party desires to submit in confidence at any stage of the investigation or as part of an application for an investigation, that is business confidential information (trade secrets, commercial or financial information, or any other information considered sensitive or privileged) should be contained within a file beginning its name with the characters “BC”. Any page containing business confidential information must be clearly marked “BUSINESS CONFIDENTIAL” on the top of that page, and any pages not containing confidential information should not be so marked. By submitting information or material identified as business confidential information, the applicant or other party represents that the information is exempted from public disclosure, either by the Freedom of Information Act (5 U.S.C. 552 et seq.) or by some other specific statutory exemption. Any request for business confidential treatment must be accompanied at the time of filing by a statement justifying non-disclosure and referring to the specific legal authority claimed. The public summary version required under § 705.5 must be clearly marked “PUBLIC”. When submitted electronically, the file name of the non-confidential version should begin with the character “P”. The “P” should be followed by the name of the person or entity submitting the information or material. All filers should name their files using the name of the person or entity submitting the comments.
(3) United States Government communications. Communications from agencies of the United States Government, including but not limited to requests for investigation submitted pursuant to § 705.5, will generally not be made available to the public.
(b) The Department may refuse to accept as business confidential any information or material it considers not intended to be protected under the legal authority claimed by the applicant, or under other applicable legal authority. Any such information or material so refused shall be promptly returned to the submitter and will not be considered. However, such information or material may be resubmitted as non-confidential in which case it will be made part of the public record.
§ 705.7 Conduct of an investigation.
(a) If the Department determines that it is appropriate to afford interested parties an opportunity to present information and advice relevant and material to an investigation, a public notice shall be published in the
(b) All requests and applications filed and all material submitted by interested parties, except information on material that is classified or determined to be confidential as provided in § 705.6 of this part, will be available for public inspection and copying in the Bureau of Industry and SecurityFreedom of Information Records Inspection Facility, Room H-4525, U.S. Department of Commerce, Washington, DC 20230, in accordance with regulations published in part 4 of title 15, Code of Federal Regulations.
(c) Further information may be requested by the Department from other sources through the use of questionnaires, correspondence, or other appropriate means.
(d) The Department shall, as part of an investigation, seek information and advice from, and consult with, appropriate officers of the United States or their designees, as shall be determined. The Department shall also consult with the Secretary of Defense regarding the methodological and policy questions raised in the investigation. Upon the request of the Secretary, the Secretary of Defense shall provide the Secretary with an assessment of the defense requirements of the article in question. Communications received from agencies of the U.S. government or foreign governments will not be made available for public inspection.
(e) Any request or application that is filed while an investigation is in progress, concerning imports of the same or related article and raising similar issues, may be consolidated with the request, application or motion that initiated the investigation.
§ 705.8 Public hearings.
(a) If it is deemed appropriate by the Department, public hearings may be held to elicit further information.
(1) A notice of hearing shall be published in the
(2) Hearings shall be open to the public unless national security classified information will be presented. In that event the presiding officer at the hearing shall close the hearing, as necessary, to all persons not having appropriate security clearances or not otherwise authorized to have access to such information. If it is known in sufficient time prior to the hearing that national security classified information will be presented the notice of hearing published in the
(b) Hearings shall be conducted as follows:
(1) The Department shall appoint the presiding officer;
(2) The presiding officer shall determine all procedural matters during the hearing;
(3) Interested parties may appear, either in person or by representation, and produce oral or written information relevant and material to the subject matter of the investigation;
(4) Hearings will be fact-finding proceedings without formal pleadings or adverse parties. Formal rules of evidence will not apply;
(5) After a witness has testified, the presiding officer may question the witness. Questions submitted to the presiding officer in writing by any interested party may, at the discretion of the presiding officer, be posed to the witness. No cross examination of any witness by a party shall be allowed.
(6) Each hearing will be stenographically reported. Transcripts of the hearing, excluding any national security classified information, may be purchased from the Department at actual cost of duplication, and will be available for public inspection in the Bureau of Industry and Security Freedom of Information Records Inspection Facility, Room H-4525, U.S. Department of Commerce, Washington, DC 20230.
§ 705.9 Emergency action.
In emergency situations, or when in the judgment of the Department, national security interests require it, the Department may vary or dispense with any or all of the procedures set forth in § 705.7 of this part.
§ 705.10 Report of an investigation and recommendation.
(a) When an investigation conducted pursuant to this part is completed, a report of the investigation shall be promptly prepared.
(b) The Secretary shall report to the President the findings of the investigation and a recommendation for action or inaction within 270 days after beginning an investigation under this part.
(c) An Executive Summary of the Secretary’s report to the President of an investigation, excluding any classified or proprietary information, shall be published in the
§ 705.11 Determination by the President and adjustment of imports.
(a) Upon the submission of a report to the President by the Secretary under § 705.10(b) of this part, in which the Department has found that an article is being imported into the United States in such quantities or under such circumstances as to threaten to impair the national security, the President is required by Section 232(c) of the Trade Expansion Act of 1962, as amended (19 U.S.C. 1862(c)) to take the following action
(1) Within 90 days after receiving the report from the Secretary, the President shall determine:
(i) Whether the President concurs with the Department’s finding; and
(ii) If the President concurs, the nature and duration of the action that must be taken to adjust the imports of the article and its derivatives so that the such imports will not threaten to impair the national security.
(2) If the President determines to take action under this section, such action must be taken no later than fifteen (15) days after making the determination.
(3) By no later than thirty (30) days after making the determinations under paragraph (a)(1) of this section, the President shall submit to the Congress a written statement of the reasons why the President has decided to take action, or refused to take action.
(b) If the action taken by the President under this section is the negotiation of an agreement to limit or restrict the importation into the United States of the article in question, and either no such agreement is entered into within 180 days after making the determination to take action, or an executed agreement is not being carried out or is ineffective in eliminating the threat to the national security, the President shall either:
(1) Take such other action as deemed necessary to adjust the imports of the article so that such imports will not threaten to impair the national security. Notice of any such additional action taken shall be published in the
(2) Not take any additional action. This determination and the reasons on which it is based, shall be published in the
§ 705.12 Disposition of an investigation and report to the Congress.
(a) Upon the disposition of each request, application, or motion made under this part, a report of such disposition shall be submitted by the Secretary to the Congress and published in the
(b) As required by Section 232(e) of the Trade Expansion Act of 1962, as amended (19 U.S.C. 1862(c)), the President shall submit to the Congress an annual report on the operation of this part.
Supplement No. 1 to Part 705 – Requirements for Submissions Requesting Exclusions From the Adjustment of Imports of Aluminum and Steel Imposed Pursuant to Section 232 of the Trade Expansion Act of 1962, as Amended
On March 8, 2018, the President issued Proclamations 9704 and 9705 concurring with the findings of the January 11, 2018 reports of the Secretary of Commerce on the effects of imports of aluminum and steel mill articles (steel articles) on the national security and determining that adjusting aluminum and steel imports through the imposition of duties is necessary so that their imports will no longer threaten to impair the national security. Clause 3 of Proclamations 9704 and 9705 also authorized the Secretary of Commerce, in consultation with the Secretary of Defense, the Secretary of the Treasury, the Secretary of State, the United States Trade Representative, the Assistant to the President for Economic Policy, the Assistant to the President for National Security Affairs, and other senior Executive Branch officials as appropriate, to grant exclusions from the duties at the request of directly affected parties located in the United States if the requested steel or aluminum article is determined not to be produced in the United States in a sufficient and reasonably available amount or of a satisfactory quality or based upon specific national security considerations. On August 29, 2018, the President issued Proclamation 9776. Clause 1 of Proclamation 9776, authorizes the Secretary of Commerce, in consultation with the Secretary of State, the Secretary of the Treasury, the Secretary of Defense, the United States Trade Representative, the Assistant to the President for National Security Affairs, the Assistant to the President for Economic Policy, and such other senior Executive Branch officials as the Secretary deems appropriate, to provide relief from the applicable quantitative limitations set forth in Proclamation 9740 and Proclamation 9759 for steel articles and as set forth in Proclamation 9739 and 9758 for aluminum articles and their accompanying annexes, as amended, at the request of a directly affected party located in the United States for any steel or aluminum article determined by the Secretary to not be produced in the United States in a sufficient and reasonably available amount or of a satisfactory quality. The Secretary is also authorized to provide such relief based upon specific national security considerations.
(a) Scope. This supplement specifies the requirements and process for how directly affected parties located in the United States may submit requests for exclusions from the duties and quantitative limitations imposed by the President. This supplement also specifies the requirements and process for how parties in the United States may submit objections to submitted exclusion requests for relief from the duties or quantitative limitations imposed by the President and the process for rebuttals to submitted objections and surrebuttals (collectively, “232 submissions”). This supplement identifies the time periods for such submissions, the methods of submission, and the information that must be included in such submissions.
(b) Required forms. The 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations) includes four web-based forms that are to be used for submitting exclusion requests, objections to exclusion requests, rebuttals, and surrebuttals described in this supplement. On the 232 Exclusions Portal, each web-based form is available on the portal at the bottom of the preceding filing. For example, a party submitting an objection will access the objection form by scrolling to the bottom of the exclusion request, a rebuttal filer will access the rebuttal form by scrolling to the bottom of the objection form, and a surrebuttal filer would access the surrebuttal form by scrolling to the bottom of the rebuttal form. The U.S. Department of Commerce requires requesters and objectors to use the appropriate form as specified under paragraphs (b)(1) and (2) of this supplement for submitting exclusion requests and objections to submitted exclusion requests and the forms specified under paragraphs (b)(3) and (4) of this supplement for submitting rebuttals and surrebuttals. In addition, submitters of exclusion requests, objections to submitted exclusion requests, rebuttals, and surrebuttals to the 232 Exclusions Portal will be required to complete a web-based registration on the 232 Exclusions Portal prior to submitting any documents. In order to register, submitters will be required to provide an email and establish a password for the account. After completing the registration, submitters will be able to login to an account on the 232 Exclusions Portal and submit exclusion requests, objections, rebuttals, and surrebuttal documents.
(1) Form required for submitting exclusion requests. The full name of the form used for submitting steel exclusion requests is Request for Exclusion from Remedies: Section 232 National Security Investigation of Steel Imports. The full name of the form used for submitting aluminum exclusion requests is Request for Exclusion from Remedies: Section 232 National Security Investigation of Aluminum Imports. The Title of the web-based fillable form for both steel and aluminum in the 232 Exclusions Portal is Exclusion Request.
(2) Form required for submitting objections to submitted exclusion requests. The name of the form used for submitting objections to submitted steel exclusion requests is Objection Filing to Posted Section 232 Exclusion Request: Steel. The name of the form used for submitting objections to submitted aluminum exclusion requests is Objection Filing to Posted Section 232 Exclusion Request: Aluminum. The Title of the web-based fillable form for both steel and aluminum in the 232 Exclusions Portal is Objection.
(3) Form required for submitting rebuttals. The name of the form used for submitting rebuttals to steel objections is Rebuttal to Objection Received for Section 232 Exclusion Request: Steel. The name of the form used for submitting rebuttals to aluminum objections is Rebuttal to Objection Received for Section 232 Exclusion Request: Aluminum. The Title of the web-based fillable form for both steel and aluminum in the 232 Exclusions Portal is Rebuttal.
(4) Form required for submitting surrebuttals. The name of the form used for submitting surrebuttals to steel objections is Surrebuttal to Rebuttal Received on Section 232 Objection: Steel. The name of the form used for submitting surrebuttals to aluminum objections is Surrebuttal to Rebuttal Received on Section 232 Objection: Aluminum. The Title of the web-based fillable form for both steel and aluminum in the 232 Exclusions Portal is ’04’>Surrebuttal.
On the 232 Exclusions Portal, each exclusion request is assigned a distinct ID #, which is also used with its associated 232 submissions, but preceded with an acronym indicating the file type: Exclusion Requests (ER ID #), Objection (OF ID #), Rebuttals (RB ID #) and Surrebuttals (SR ID #). For an example of the four possible types of 232 submissions associated with a single exclusion request, you could have ER ID 237, OF ID 237, RB ID 237 and SR ID 237. The 232 Exclusions Portal will automatically assign the two letter designator depending on the type of web-based form being submitted in the portal and will assign an ID number to the original exclusion request and that ID number will be common to any objection, rebuttal, or surrebuttal submitted pertaining to the same exclusion request.
(5) Public disclosure and information protected from public disclosure. (i) Information submitted in 232 submissions will be subject to public review and made available for public inspection and copying, except for the information described in paragraph (b)(5)(iii) of this supplement. Individuals and organizations must fully complete the relevant forms.
(ii) Information not subject to public disclosure should not be submitted. Personally identifiable information, including social security numbers and employer identification numbers, should not be provided. Information that is subject to government-imposed access and dissemination or other specific national security controls, e.g., classified information or information that has U.S. Government restrictions on dissemination to non-U.S. citizens or other categories of persons that would prohibit public disclosure of the information, may not be included in 232 submissions. Individuals and organizations that have confidential business information (“CBI”) that they believe relevant to the Secretary’s consideration of the 232 submission should so indicate in the appropriate field of the relevant form, or on the rebuttal or surrebuttal submission, following the procedures in paragraph (b)(5)(iii) of this supplement.
(iii) Procedures for identifying, but not disclosing confidential or proprietary business information (CBI) in the public version, and procedures for submitting CBI. For persons seeking to submit confidential or proprietary business information (CBI), the 232 submission available to the public must contain a summary of the CBI in sufficient detail to permit a reasonable understanding of the substance of the information. If the submitting person claims that summarization is not possible, the claim must be accompanied by a full explanation of the reasons supporting that claim. Generally, numerical data will be considered adequately summarized if grouped or presented in terms of indices or figures within ten percent of the actual figure. If an individual portion of the numerical data is voluminous (e.g., five pages of numerical data), at least one percent of the numerical data, representative of that portion, must be summarized. In order to submit CBI that is not for public release as a separate email submission to the U.S. Department of Commerce, you must follow the procedures in paragraphs (b)(3)(iii)(A)-(D) of this supplement to assist the U.S. Department of Commerce in identifying these submissions and associating these submissions with the respective 232 submission in the 232 Exclusions Portal. Submitters with classified information should contact the U.S. Department of Commerce for instructions on the appropriate methods to send this type of information.
(A) For CBI related to exclusion requests or objections, check the appropriate box in the 232 Exclusions Portal indicating that the filer has relevant CBI for consideration. If Commerce determines after review that the CBI is needed, Commerce will directly request the CBI from the exclusion requester or objector as warranted.
(B) For CBI related to rebuttals or surrebuttals, on the same day that you submit your 232 submission in the 232 Exclusions Portal, submit the CBI via email to the U.S. Department of Commerce. The email address used is different depending on the type of submission the emailed CBI is for, as follows: CBI for rebuttals use [email protected]; and CBI for surrebuttals use [email protected].
(C) For rebuttals and surrebuttals pertaining to 232 submissions for exclusion requests the email subject line must only include the original 232 Exclusions Portal Exclusion Request (ER) ID # and the body of the email must include the 232 Exclusions Portal Rebuttal (RB) ID #, or Surrebuttal (SR) ID # you received from the 232 Exclusions Portal when you successfully submitted your rebuttal or surrebuttal. These naming conventions used in the 232 Exclusions Portal, respectively, will assist the U.S. Department of Commerce to associate the CBI that will not be posted in the 232 Exclusions Portal with the information included in the public submission.
(D) Submit the CBI as an attachment to that email. The CBI is limited to a maximum of five pages per rebuttal or surrebuttal. The email is to be limited to sending your CBI. All other information for the public submission, and public versions of the CBI, where appropriate, for a 232 submission in the 232 Exclusions Portal following the procedures identified in this supplement, as appropriate.
Supporting attachments must be emailed as PDF documents.
It is a criminal offense to willfully make a false statement or representation to any department or agency of the United States Government as to any matter within its jurisdiction [18 U.S.C. 1001(2018)].
(c) Exclusion requests. (1) Who may submit an exclusion request? Only directly affected individuals or organizations located in the United States may submit an exclusion request. An individual or organization is “directly affected” if they are using steel in business activities (e.g., construction, manufacturing, or supplying steel product to users) in the United States.
(2) Identification of exclusion requests. Separate exclusion requests must be submitted for steel products with chemistry by percentage breakdown by weight, metallurgical properties, surface quality (e.g., galvanized, coated), and critical dimensions covered by a common HTSUS statistical reporting number. Separate exclusion requests must be submitted for aluminum products with critical dimensions covered by a common HTSUS statistical reporting number. The exclusion request forms allow for minimum and maximum dimensions. A permissible range must be within the minimum and maximum range that is specified in the HTSUS statistical reporting number and applicable notes. Separate exclusion requests must also be submitted for products falling in more than one ten-digit HTSUS statistical reporting number. The U.S. Department of Commerce will approve exclusions on a product basis, and the approvals will be limited to the individual or organization that submitted the specific exclusion request, unless Commerce approves a broader application of the product-based exclusion request to apply to additional importers. Other directly-affected individuals or organizations located in the United States that wish to submit an exclusion request for a steel or aluminum product that has already been the subject of an approved exclusion request may submit an exclusion request under this supplement. These additional exclusion requests by other directly-affected individuals or organizations in the United States are not required to reference the previously approved exclusion but are advised to do so, if they want Commerce to take that exclusion into account when reviewing a subsequent exclusion request. Directly affected individuals and organizations in the United States will not be precluded from submitting a request for exclusion of a product even though an exclusion request submitted for that product by another requester or that requester was denied or is no longer valid.
(3) Where to submit exclusion requests? All exclusion requests must be submitted directly on the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations).
(4) No time limit for submitting exclusion requests. Exclusion requests may be submitted at any time.
(5)(i) Substance of exclusion requests. An exclusion request must specify the business activities in the United States within which the requester is engaged that qualify the individual or organization to be directly affected and thus eligible to submit an exclusion request. The request should clearly identify, and provide support for, the basis upon which the exclusion is sought. An exclusion will only be granted if an article is not produced in the United States in a sufficient, reasonably available amount, and of a satisfactory quality, or for specific national security considerations.
(ii) Certification for volume requested. In order to ensure that the volume requested in an exclusion request is consistent with legitimate business needs for the same steel or aluminum articles obtained (i.e., imported from abroad either directly by the requester or indirectly by purchasing from distributors) by the entity requesting an exclusion, the following certification in paragraphs (c)(5)(ii)(A)-(E) must be acknowledged in the 232 Exclusions Portal when completing the submission of a 232 exclusion request. The exclusion request certification for volume requested must be signed by an organization official specifically authorized to certify the document (the certification being made in the 232 Exclusions Portal) as being accurate and complete. The undersigned certifies in the 232 Exclusions Portal that the information herein supplied in response to this paragraph is complete and correct to the best of his/her knowledge. By signing the certification below, I attest that:
(A) My organization intends to manufacture, process, or otherwise transform the imported product for which I have filed an exclusion request or I have a purchase order or orders for such products;
(B) My organization does not intend to use the exclusion for which I have filed an exclusion request, if granted, solely to hedge or arbitrage the price;
(C) My organization expects to consume, sell, or otherwise use the total volume of product across all my active exclusions and pending exclusion requests in the course of my organization’s business activities within the next calendar year;
(D) If my organization is submitting an exclusion request for a product for which we previously received an exclusion, I certify that my organization either imported the full amount of our approved exclusion(s) last year or intended to import the full amount but could not due to one of the following reasons:
(1) Loss of contract(s);
(2) Unanticipated business downturns; or
(3) Other factors that were beyond my organization’s control that directly resulted in less need for steel or aluminum articles; and
(E) I certify that the exclusion amount requested this year is in line with what my organization expects to import based on our current business outlook. If requested by the Department of Commerce, my organization shall provide documentation that justifies its assertions in this certification regarding its past imports of steel or aluminum articles and its projections for the current year, as it relates to past and current calendar year exclusion requests.
Any exclusion request that does not include a certification made in accordance with (c)(5)(ii) will be treated as an incomplete submission and will therefore be rejected.
(6) Criteria used to review exclusion requests. The U.S. Department of Commerce will review each exclusion request to determine whether an article described in an exclusion request meets any of the following three criteria: The article is not produced in the United States in an amount which can be delivered in a time period equal to or less than the time needed for the requester to obtain the product from their foreign supplier, is not produced in the United States in a satisfactory quality, or for specific national security considerations. The reviews will be made on a case-by-case basis to determine whether the requester has shown that the article is not produced in the United States in sufficient and reasonably available amount or of a satisfactory quality, or that there are specific national security considerations to grant the exclusion. To provide additional context on the meaning and application of the criteria, paragraphs (c)(6)(i)-(iii) of this supplement define keys terms used in the review criteria and provide illustrative application examples. The U.S. Department of Commerce will use the same criteria identified in paragraphs (c)(6)(i)-(iii) of this supplement when determining whether it is warranted to approve broader product-based exclusions based on trends the Department may see over time with 232 submissions. The public is not permitted to request broader product-based exclusions that would apply to all importers, because the Department makes these determinations over time by evaluating the macro trends in 232 submissions. Items for which a broader determination has been made will be identified in supplements no. 2 or 3 to part 705.
(i) Not produced in the United States in a sufficient and reasonably available amount. The exclusion review criterion “Not produced in the United States in a sufficient and reasonably available amount” means that the amount that is needed by the end user requesting the exclusion is not available immediately in the United States to meet its specified business activities. Available “immediately” means that a product (whether it is currently being produced in the United States, or could be produced in the United States) can be delivered by a U.S. producer “within eight weeks”, or, if that is not possible, by a date earlier than the time required for the requester to obtain the entire quantity of the product from the requester’s foreign supplier. Furthermore, to the extent that an objector can produce and deliver a portion, which is less than 100 percent, but ten percent or more, of the amount of steel or aluminum needed in the business activities of the user in the United States described in the exclusion request, the Department of Commerce may deny a requested exclusion for that percentage of imported steel or aluminum. It is incumbent upon both the exclusion requester, and objecting producers, to provide supplemental evidence supporting their claimed delivery times.
(ii) Not produced in the United States in a satisfactory quality. The exclusion review criterion “not produced in the United States in a satisfactory quality” does not mean the steel or aluminum needs to be identical, but it does need to be equivalent as a substitute product. “Substitute product” for purposes of this review criterion means that the steel or aluminum being produced by an objector can meet “immediately” (see paragraph (c)(6)(i) of this supplement) the quality (e.g., industry specs or internal company quality controls or standards), regulatory, or testing standards, in order for the U.S.-produced steel to be used in that business activity in the United States by that end user.
(A) Steel application examples. For a steel example, if a U.S. business activity requires that steel plates to be provided must meet certain military testing and military specification standards in order to be used in military combat vehicles, that requirement would be taken into account when reviewing the exclusion request and any objections, rebuttals, and surrebuttals submitted. As another steel example, if a U.S. business activity requires that steel tubing to be provided must meet certain Food and Drug Administration (FDA) approvals to be used in medical devices, that requirement would be taken into account when reviewing the exclusion request and any objections, rebuttals, and surrebuttals submitted. Another steel example would be a food manufacturer that requires tin-plate approval from the U.S. Department of Agriculture (USDA) to make any changes in the tin-plate it uses to make cans for fruit juices. An objector would not have to make steel for use in making the cans that was identical, but it would have to be a “substitute product,” meaning it could meet the USDA certification standards.
(B) Aluminum application examples. For an aluminum example, if a U.S. business activity requires that aluminum to be provided must meet certain military testing and military specification standards in order to be used in military aircraft, that requirement would be taken into account when reviewing the exclusion request and any objections, rebuttals, and surrebuttals submitted. Another aluminum example would be a U.S. pharmaceutical manufacturer that requires approval from the Food and Drug Administration (FDA) to make any changes in its aluminum product pill bottle covers. An objector would not have to make aluminum for use in making the product covers that was identical, but it would have to be a “substitute product,” meaning it could meet the FDA certification standards.
(iii) For specific national security considerations. The exclusion review criterion “or for specific national security considerations” is intended to allow the U.S. Department of Commerce, in consultation with other parts of the U.S. Government as warranted, to make determinations whether a particular exclusion request should be approved based on specific national security considerations.
(A) Steel application examples. For example, if the steel included in an exclusion request is needed by a U.S. defense contractor for making critical items for use in a military weapons platform for the U.S. Department of Defense, and the duty or quantitative limitation will prevent the military weapons platform from being produced, the exclusion will likely be granted. The U.S. Department of Commerce, in consultation with the other parts of the U.S. Government as warranted, can consider other impacts to U.S. national security that may result from not approving an exclusion, e.g., the unintended impacts that may occur in other downstream industries using steel, but in such cases the demonstrated concern with U.S. national security would need to be tangible and clearly explained and ultimately determined by the U.S. Government.
(B) Aluminum application examples. For example, if the aluminum included in an exclusion request is needed by a U.S. defense contractor for making critical items for use in a military weapons platform for the U.S. Department of Defense, and the duty or quantitative limitation will prevent the military weapons platform from being produced, the exclusion will likely be granted. The U.S. Department of Commerce, in consultation with the other parts of the U.S. Government as warranted, can consider other impacts to U.S. national security that may result from not approving an exclusion, e.g., the unintended impacts that may occur in other downstream industries using aluminum, but in such cases the demonstrated concern with U.S. national security would need to be tangible and clearly explained and ultimately determined by the U.S. Government.
(d) Objections to submitted exclusion requests. (1) Who may submit an objection to a submitted exclusion request? Any individual or organization that manufactures steel or aluminum articles in the United States may file objections to steel exclusion requests, but the U.S. Department of Commerce will only consider information directly related to the submitted exclusion request that is the subject of the objection.
(2) Identification of objections to submitted exclusion requests. When submitting an objection to a submitted exclusion request, the objector must locate the exclusion request and submit the objection in response to the request directly in the 232 Exclusions Portal. Once the relevant exclusion request has been located, an individual or organization that would like to submit an objection will access the objection form by scrolling to the bottom of the exclusion request form and then fill out the web-based form for submitting their objection to the exclusion request in the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations).
(3) Time limit for submitting objections to submitted exclusions requests. All objections to submitted exclusion requests must be submitted directly on the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations) no later than 30 days after the related exclusion request is posted, with the 30-day clock starting at 11:59 p.m. Eastern Time on the calendar day an exclusion request is posted.
(4) Substance of objections to submitted exclusion requests. The objection should clearly identify, and provide support for, its opposition to the proposed exclusion, with reference to the specific basis identified in, and the support provided for, the submitted exclusion request. If the objector is asserting that it is not currently producing the steel or aluminum identified in an exclusion request but can produce the steel or aluminum and make that steel or aluminum available “immediately” in accordance with the time required for the user of steel or aluminum in the United States to obtain the product from its foreign suppliers, the objector must identify how it will be able to produce and deliver the quantity of steel or aluminum needed either within eight weeks, or if after eight weeks, by a date which is earlier than the named foreign supplier would deliver the entire quantity of the requested product. It is incumbent on both the exclusion requester, and objecting producers, to provide supplemental evidence supporting their claimed delivery times. This requirement includes specifying in writing to Department of Commerce as part of the objection, the timeline the objector anticipates in order to start or restart production of the steel included in the exclusion request to which it is objecting. For example, a summary timeline that specifies the steps that will occur over the weeks needed to produce that steel or aluminum would be helpful to include, not only for the Department of Commerce review of the objection, but also for the requester of the exclusion and its determination whether to file a rebuttal to the objection. The U.S. Department of Commerce understands that, in certain cases, regulatory approvals, such as from the Environmental Protection Agency (EPA) or some approvals at the state or local level, may be required to start or restart production and that some of these types of approvals may be outside the control of an objector.
(e) Limitations on the size of submissions. Each exclusion request and each objection to a submitted exclusion request is to be limited to a maximum of 5,000 words, inclusive of all exhibits and attachments, but exclusive of the respective forms and any CBI provided to the U.S. Department of Commerce. Each attachment to a submission must be less than 10 MB.
(f) Rebuttal process. Only individuals or organizations that have submitted an exclusion request pursuant to this supplement may submit a rebuttal to any objection(s) posted in the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations). The objections to submitted exclusion requests process identified under paragraph (d) of this supplement already establish a formal response process for steel and aluminum manufacturers in the United States.
(1) Identification of rebuttals. When submitting a rebuttal, the individual or organization that submitted the exclusion request will access the rebuttal form by scrolling to the bottom of the objection form and then filling out the web-based form for submitting their rebuttal to the objection in the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations).
(2) Format and size limitations for rebuttals. Similar to the exclusions process identified under paragraph (c) of this supplement and the objection process identified under paragraph (d) of this supplement, the rebuttal process requires the submission of a government form as specified in paragraph (b)(3) of this supplement. Each rebuttal is to be limited to a maximum of 2,500 words, inclusive of all exhibits and attachments, but exclusive of the rebuttal form and any CBI provided to the U.S. Department of Commerce. Each attachment to a submission must be less than 10 MB.
(3) Substance of rebuttals. Rebuttals must address an objection to the exclusion request made by the requester. If multiple objections were received on a particular exclusion, the requester may submit a rebuttal to each objector. The most effective rebuttals will be those that aim to correct factual errors or misunderstandings in the objection(s).
(4) Time limit for submitting rebuttals. The rebuttal period begins on the date the Department opens the rebuttal period after the posting of the last objection in the 232 Exclusions Portal. The rebuttal period ends seven days after the rebuttal comment period is opened. This seven-day rebuttal period allows for the individual or organization that submitted an exclusion request pursuant to this supplement to submit any written rebuttals that it believes are warranted.
(g) Surrebuttal process. Only individuals or organizations that have a posted objection to a submitted exclusion request pursuant to this supplement may submit a surrebuttal to a rebuttal (see paragraph (f) of this supplement) posted to their objection to an exclusion request in the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations).
(1) Identification of surrebuttals. When submitting a surrebuttal, the individual or organization that submitted the objection will access the surrebuttal form by scrolling to the bottom of the rebuttal form and then filling out the web-based form for submitting their surrebuttal to the rebuttal in the 232 Exclusions Portal (https://www.commerce.gov/page/section-232-investigations).
(2) Format and size limitations for surrebuttals. Similar to the exclusions process identified under paragraph (c) of this supplement, the objection process identified under paragraph (d) of this supplement, and the rebuttal process identified under paragraph (f) of this supplement, the surrebuttal process requires the submission of a government form as specified in paragraph (b)(4) of this supplement. The surrebuttal must be submitted in the 232 Exclusions Portal. Each surrebuttal is to be limited to a maximum of 2,500 words, inclusive of all exhibits and attachments, but exclusive of the surrebuttal form and any CBI provided to the U.S. Department of Commerce. Each attachment to a submission must be less than 10 MB.
(3) Substance of surrebuttals. Surrebuttals must address a rebuttal to an objection to the exclusion request made by the requester. The most effective surrebuttals will be those that aim to correct factual errors or misunderstandings in the rebuttal to an objection.
(4) Time limit for submitting surrebuttals. The surrebuttal period begins on the date the Department opens the surrebuttal comment period after the posting of the last rebuttal to an objection to an exclusion request in the 232 Exclusions Portal. The surrebuttal period ends seven days after the surrebuttal comment period is opened. This seven-day surrebuttal period allows for the individual or organization that submitted an objection to a submitted exclusion request pursuant to this supplement to submit any written surrebuttals that it believes are warranted to respond to a rebuttal.
(h) Disposition of 232 submissions – (1) Disposition of incomplete submissions. (i) Exclusion requests that do not satisfy the requirements specified in paragraphs (b) and (c) of this supplement will be rejected.
(ii) Objection filings that do not satisfy the requirements specified in paragraphs (b) and (d) will not be considered.
(iii) Rebuttal filings that do not satisfy the requirements specified in paragraphs (b) and (f) will not be considered.
(iv) Surrebuttal filings that do not satisfy the requirements specified in paragraphs (b) and (g) will not be considered.
(2) Disposition of complete submissions – (i) Posting of responses in the 232 Exclusions Portal. The U.S. Department of Commerce will post responses (decision memos) in the 232 Exclusions Portal to each exclusion request. The U.S. Department of Commerce response to an exclusion request will also be responsive to any of the objection(s), rebuttal(s) and surrebuttal(s) for that submitted exclusion request submitted through the 232 Exclusions Portal.
(ii) Streamlined review process for “No Objection” requests. The U.S. Department of Commerce will grant properly filed exclusion requests which meet the requisite criteria, receive no objections, and present no national security concerns. If an exclusion request’s 30-day comment period in the 232 Exclusions Portal has expired and no objections have been submitted, BIS will immediately assess the request for any national security concerns. If BIS identifies no national security concerns, it will post a decision granting the exclusion request in the 232 Exclusions Portal.
(iii) Effective date for approved exclusions and date used for calculating duty refunds – (A) Effective date for approved exclusions. Approved exclusions will be effective five business days after publication of the U.S. Department of Commerce response granting an exclusion in the 232 Exclusions Portal. Starting on that date, the requester will be able to rely upon the approved exclusion request in calculating the duties owed on the product imported in accordance with the terms listed in the approved exclusion request. Companies are able to receive retroactive relief on granted requests dating back to the date of the request’s submission on unliquidated entries.
(B) Contact for obtaining duty refunds. The U.S. Department of Commerce does not provide refunds on tariffs. Any questions on the refund of duties should be directed to CBP.
(iv) Validity period for exclusion requests. Exclusions will generally be approved for one year from the date of the signature on the decision memo, but may be valid for shorter or longer than one year depending on the specifics of the exclusion request; any objections filed; and analysis by the U.S. Department of Commerce and other parts of the U.S. Government, as warranted, of the current supply and demand in the United States, including any limitations or other factors that the Department determines should be considered in order to achieve the national security objectives of the duties and quantitative limitations.
(A) Examples of what fact patterns may warrant a longer exclusion validity period. Individuals or organizations submitting exclusion requests or objections may, and are encouraged to specify how long they believe an exclusion may be warranted and specify the rationale for that recommended time period. For example, an individual or organization submitting an exclusion request may request a longer validity period if there are factors outside of their control that may make it warranted to grant a longer period. These factors may include regulatory requirements that make a longer validity period justified, e.g., for an aircraft manufacturer that would require a certain number of years to make a change to an FAA-approved type certificate or for a manufacturer of medical items to obtain FDA approval. Business considerations, such as the need for a multi-year contract for steel with strict delivery schedules in order to complete a significant U.S. project by an established deadline, e.g., a large scale oil and gas exploration project, is another illustrative example of the types of considerations that a person submitting an exclusion request may reference.
(B) Examples of what criteria may warrant a shorter exclusion validity period. Objectors are encouraged to provide their suggestions for how long they believe an appropriate validity period should be for an exclusion request. In certain cases, this may be an objector indicating it has committed to adding new capacity that will be coming online within six months, so a shorter six-month period is warranted. Conversely, if an objector knows it will take two years to obtain appropriate regulatory approvals, financing and/or completing construction to add new capacity, the objector may, in responding to an exclusion that requests a longer validity period, e.g., three years, indicate that although they agree a longer validity period than one year may be warranted in this case, that two years is sufficient.
(C) None of the illustrative fact patterns identified in paragraphs (h)(2)(iv)(A) or (B) of this supplement will be determinative in and of themselves for establishing the appropriate validity period, but this type of information is helpful for the U.S. Department of Commerce to receive, when warranted, to help determine the appropriate validity period if a period other than one year is requested.
(3) Review period and implementation of any needed conforming changes – (i) Review period. The review period normally will not exceed 106 days for requests that receive objections, including adjudication of objections submitted on exclusion requests and any rebuttals to objections, and surrebuttals. The estimated 106-day period begins on the day the exclusion request is posted in the 232 Exclusions Portal, and ends once a decision to grant or deny is made on the exclusion request.
(ii) Coordination with other agencies on approval and implementation. Other agencies of the U.S. Government, such as CBP, will take any additional steps needed to implement an approved exclusion request. These additional steps needed to implement an approved exclusion request are not part of the review criteria used by the U.S. Department of Commerce to determine whether to approve an exclusion request, but are an important component in ensuring the approved exclusion request can be properly implemented. The U.S. Department of Commerce will provide CBP with information that will identify each approved exclusion request pursuant to this supplement. Individuals or organizations whose exclusion requests are approved must report information concerning any applicable exclusion in such form as CBP may require. These exclusion identifiers will be used by importers in the data collected by CBP in order for CBP to determine whether an import is within the scope of an approved exclusion request.
(i) For further information. If you have questions on this supplement, you may contact the Director, Industrial Studies, Office of Technology Evaluation, Bureau of Industry and Security, U.S. Department of Commerce, at (202) 482-5642 or [email protected] regarding steel exclusion requests, or at (202) 482-4757 or [email protected] regarding aluminum exclusion requests. The U.S. Department of Commerce website includes FAQs, best practices other companies have used for submitting exclusion requests and objections, and helpful checklists. The U.S. Department of Commerce has also included a manual providing instruction on the 232 Exclusions Portal for exclusion requests submitted on or after June 13, 2019, titled 232 Exclusions Portal Comprehensive Guide (“232 Exclusions Guide”) and posted online at (https://www.commerce.gov/page/section-232-investigations) to assist your understanding when making 232 submissions in the 232 Exclusions Portal.
Supplement No. 2 to Part 705 – General Approved Exclusions (GAEs) for Steel Articles Under the Section 232 Exclusions Process
This supplement identifies steel articles that have been approved for import under a General Approved Exclusion (GAE). The Secretary of Commerce, in consultation with the Secretary of Defense, the Secretary of the Treasury, the Secretary of State, the United States Trade Representative, the Assistant to the President for Economic Policy, the Assistant to the President for National Security Affairs, and other senior Executive Branch officials as appropriate, makes these determinations that certain steel articles may be authorized under a GAE consistent with the objectives of the 232 Exclusions Process as outlined in supplement no. 1 to this part. The GAEs described in this supplement may be used by any importer. GAEs do not include quantity limits. Each GAE identifier will be effective fifteen calendar days after publication of a
| GAE Identifier | Description of steel that may be imported (at 10-digit harmonized tariff schedule of the United States (HTSUS) statistical reporting number or more narrowly defined at product level) | Other limitations ( import or quantity allowed) | |
|---|---|---|---|
| GAE.1.S: 7304592030 | 7304592030. TUBES/PIPES/HLLW PRFLS OTH ALLOY STL, SMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), SUITABLE FOR BOILERS ETC, HEAT-RESISTING STL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.2.S: 7304592080 | 7304592080. TUBES/PIPES/H PRFLS ALLOY STL, SMLSS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), SUIT FOR BOILERS ETC, NOT HT-RSST STL, OS DIAMETER >406.4MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.4.S: 7222406000 | 7222406000. ANGLES SHAPES AND SECTIONS STAINLESS STEEL, OTHER THAN HOT ROLLED, NOT DRILLED, NOT PUNCHED, AND NOT OTHERWISE ADVANCED | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.5.S: 7306901000 | 7306901000. OTH TUBES/PIPES/HOLLOW PROFILES IRON/NONALLOY STL, RIVETED/SIMILARLY CLOSED (NOT WELDED) | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.6.S: 7212600000 | 7212600000. FLAT-ROLLED IRON/NONALLOY STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.8.S: 7220207060 | 7220207060. FLAT-ROLLED STAINLESS STL, WDTH 0.25MM BUT = 1.25MM, = 0.5% NICKEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.9.S: 7223005000 | 7223005000. FLAT WIRE OF STAINLESS STEEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.10.S: 7220208000 | 7220208000. FLAT-ROLLED STAINLESS STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.11.S: 7217108060 | 7217108060. ROUND WIRE IRON/NONALLOY STL, NOT PLATED/COATED, >/= 0.6% CARBON, NOT HEAT-TREATED, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.12.S: 7226923060 | 7226923060. FLAT-ROLLED OTH ALLOY STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.13.S: 7229905010 | 7229905016. ROUND WIRE OTHER ALLOY STL, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.15.S: 7304598060 | 7304598060. TUBES/PIPES/HLLW PRFLS OTH ALLOY STL, SMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), OS DIAMETER >285.8MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.17.S: 7304246030 | 7304246030. TUBING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, OS DIAMETER = 114.3MM, WALL THK >9.5MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.18.S: 7229905031 | 7229905031. ROUND WIRE OTHER ALLOY STL, WITH OS DIAMETER >/= 1.0MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.19.S: 7304598010 | 7304598010. TUBES/PIPES/HOLLOW PROFILES OTH ALLOY STL, SEAMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), NOT HEAT-RESISTANT, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.20.S: 7219310010 | 7219310010. FLAT-ROLLED STAINLESS STL, WDTH >/= 600MM, NFW THAN COLD-RLD (COLD-REDUCED), THK >/= 4.75MM, COILS | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.21.S: 7304598045 | 7304598045. TUBES/PIPES/HLLW PRFLS OTH ALLOY STL, SMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), NOT HEAT-RESISTANT, OS DIAMETER >/= 190.5MM BUT = 285.8MM, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.22.S: 7306401090 | 7306401090. OTH TUBES/PIPES/HOLLOW PRFLS STAINLESS STL, WELDED, CIRC CS, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.24.S: 7211296080 | 7211296080. FLAT-ROLLED IRON/NONALLOY STL, WIDTH >/= 300MM BUT /= 0.25% CRBN, THK = 1.25MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.25.S: 7217201500 | 7217201500. FLAT WIRE IRON/NONALLOY STL, PLATED/COATED WITH ZINC | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.26.S: 7219120026 | 7219120026. FLAT-ROLLED STAINLESS STL, WDTH >1575MM, HOT-RLD, COILS, THK >6.8MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.28.S: 7304243010 | 7304243010. CASING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, THREADED/COUPLED, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.29.S: 7219220035 | 7219220035. FLAT-ROLLED STAINLESS STL, THICKNESS >/= 4.75MM BUT /= 600MM BUT 0.5% NICKEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.30.S: 7222403085 | 7222403085. SHAPES/SECTIONS STAINLESS STL, HOT-RLD, NOT DRILLED/PUNCHED/ADVANCED, MAX CROSS SECTION | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.31.S: 7222403045 | 7222403045. SHAPES/SECTIONS STAINLESS STL, HOT-RLD, NOT DRILLED/PUNCHED/ADVANCED, MAX CS >/= 80MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.32.S: 7219110060 | 7219110060. FLAT-ROLLED STAINLESS STL, WDTH >1575MM, HOT-RLD, COILS, THK >10MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.36.S: 7219110030 | 7219110030. FLAT-ROLLED STAINLESS STL, WIDTH >/= 600MM BUT 10MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.40.S: 7220206060 | 7220206060. FLAT-ROLLED STAINLESS STL, WDTH 1.25MM, = 0.5% NICKEL, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.41.S: 7217108025 | 7217108025. ROUND WIRE IRON/NONALLOY STL, NOT PLATED/COATED, >0.6% CARBON, HEAT-TREATED, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.42.S: 7220121000 | 7220121000. FLAT-ROLLED STAINLESS STL, WIDTH >/= 300MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.43.S: 7209900000 | 7209900000. FLAT-ROLLED IRON/NONALLOY STL, WDTH >/= 600MM, COLD-RLD, NOT CLAD/PLATED/COATED, WHETHER OR NOT IN COILS | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.44.S: 7213913020 | 7213913020. BARS/RODS IRON/NA STL, IRR COILS, HOT-RLD, CIRC CS, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.45.S: 7306617060 | 7306617060. OTH TUBES/PIPES/HOLLOW PROFILES OTH ALLOY STL (NOT STAINLESS), WELDED, SQ/RECT CS, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.46.S: 7216330090 | 7216330090. H SECTIONS IRON/NONALLOY STL, HOT-RLD/DRWN/EXTRD, HEIGHT >/= 80MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.47.S: 7217905030 | 7217905030. WIRE IRON/NONALLOY STL, NOT PLATED/COATED WITH BASE METALS OR PLASTICS, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.48.S: 7226923030 | 7226923030. FLAT-ROLLED OTH ALLOY STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.49.S: 7219120051 | 7219120051. FLAT-ROLLED STAINLESS STL, WIDTH >/= 1370MM BUT /= 4.75MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.50.S: 7227906020 | 7227906020. BARS/RODS OTHER ALLOY STL, IRR COILS, HOT-RLD, NOT TOOL STL, WELDING QUALITY WIRE RODS | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.51.S: 7217905090 | 7217905090. WIRE IRON/NONALLOY STL, NOT PLATED/COATED WITH BASE METALS OR PLASTICS, >/= 0.6% CARBON | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.57.S: 7304901000 | 7304901000. TUBES/PIPES/HOLLOW PROFILES IRON/NONALLOY STL, SEAMLESS, NONCIRCULAR CROSS SECTION, WALL THK >/= 4MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.58.S: 7304390002 | 7304390002. TUBES/PIPES/HLLW PRFLS IRON/NA STL, SMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), SUITABLE FOR BOILERS ETC, OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.59.S: 7219120071 | 7219120071. FLAT-ROLLED STAINLESS STL, WDTH >600MM BUT /= 4.75MM BUT 0.5% NICKEL, = 1.5% OR >/= 5% MOLYBDENUM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.61.S: 7217905060 | 7217905060. WIRE IRON/NONALLOY STL, PLATED/COATED, >0.25% BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.62.S: 7220125000 | 7220125000. FLAT-ROLLED STAINLESS STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.63.S: 7226928005 | 7226928005. FLAT-ROLLED OTH ALLOY STL, WDTH 0.25MM, HIGH-NICKEL ALLOY STL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.64.S: 7217106000 | 7217106000. OTHER WIRE IRON/NONALLOY STL, NOT PLATED/COATED, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.65.S: 7219120021 | 7219120021. FLAT-ROLLED STAINLESS STL, WIDTH >/= 1370MM BUT = 1575MM, HOT-RLD, COILS, THICKNESS >6.8MM BUT = 10MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.66.S: 7304390016 | 7304390016. TUBES/PIPES/HOLLOW PROFILES IRON/NA STL, SEAMLESS, CIRC CS, OTHER THAN COLD-DRAWN/COLD-ROLLED (COLD-REDUCED), GALVANIZED, OS DIAMETER = 114.3MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.67.S: 7304244040 | 7304244040. CASING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, NOT THREADED/COUPLED, OS DIAMETER >/= 215.9MM BUT = 285.8MM, WALL THK >/= 12.7MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.69.S: 7304413005 | 7304413005. TUBES/PIPES/HOLLOW PRFLS STAINLESS STL, SEAMLESS, CIRC CS, COLD-DRWN/RLD (COLD-REDUCED), OS DIAMETER | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.70.S: 7215500090 | 7215500090. OTHER BARS/RODS IRON/NONALLOY STL, COLD-FORMED/FINISHED, NOT COILS, >/= 0.6% CARBON | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.72.S: 7227200030 | 7227200030. BARS/RODS SILICO-MANGANESE STL, IRR COILS, HOT-RLD, WELDING QUALITY WIRE RODS, STAT NOTE 6 | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.73.S: 7306697060 | 7306697060. OTH TUBES/PIPES/HOLLOW PROFILES OTH ALLOY STL (NOT STAINLESS), WELDED, OTH NONCIRCULAR CS, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.74.S: 7302101045 | 7302101045. RAILS IRON/NONALLOY STL, NEW, HEAT TREATED, >30KG/M | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.77.S: 7305316090 | 7305316090. OTHER TUBES/PIPES ALLOY STL, CIRC CS, OS DIAMETER >406.4MM, NOT LINE PIPE OR CASING (OIL/GAS), LONGITUDINALLY WELDED, NOT TAPERED PIPES/TUBES, NON-STAINLESS ALLOY STEEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.79.S: 7226990110 | 7226990110. FLAT-ROLLED OTH ALLOY STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.80.S: 7225506000 | 7225506000. FLAT-ROLLED OTH ALLOY STL, WDTH >/= 600MM, COLD-RLD, THK >/= 4.75MM, NOT OF TOOL STEEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.81.S: 7304905000 | 7304905000. TUBES/PIPES/HOLLOW PROFILES IRON/NONALLOY STL, SEAMLESS, NOT CIRCULAR CS, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.82.S: 7219220005 | 7219220005. FLAT-ROLLED STAINLESS STL, WDTH >/= 600MM, HOT-RLD, NOT COILS, THICKNESS >/= 4.75MM BUT = 4.75MM BUT = 10MM, HIGH-NICKEL ALLOY STL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.83.S: 7217104045 | 7217104045. ROUND WIRE IRON/NONALLOY STL, NOT PLATED/COATED, 2 KG | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.84.S: 7209270000 | 7209270000. FLAT-ROLLED IRON/NONALLOY STL, WDTH >/= 600MM, COLD-RLD, NOT CLAD/PLATED/COATED, NOT COILS, THK 0.5-1MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.85.S: 7219900060 | 7219900060. OTHER FLAT-ROLLED STAINLESS STL, WDTH >/= 600MM, FURTHER WORKED THAN COLD-RLD, = 0.5% NICKEL, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.86.S: 7219120081 | 7219120081. FLAT-ROLLED STAINLESS STL, WIDTH >/= 600MM BUT /= 4.75MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.88.S: 72241000005 | 7224100005. INGOTS AND OTHER PRIMARY FORMS OF HIGH-NICKEL ALLOY STEEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.89.S: 7213200080 | 7213200080. BARS/RODS IRON/NONALLOY STL, HOT-RLD, IRR COILS, FREE-CUTTING STL, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.90.S: 7216100010 | 7216100010. U SECTIONS IRON/NONALLOY STL, HOT-ROLLED/DRAWN/EXTRUDED, HEIGHT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.91.S: 7306695000 | 7306695000. OTH TUBES/PIPES/HOLLOW PROFILES IRON/NONALLOY STL, WELDED, OTH NONCIRCULAR CS, WALL THK | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.93.S: 7208380015 | 7208380015. FLAT-ROLLED IRON/NA STL, WDTH >/= 600MM, HOT-RLD, NOT CLAD/PLATED/COATED, COILS, THICKNESS >/= 3MM BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.94.S: 7217104090 | 7217104090. ROUND WIRE IRON/NONALLOY STL, NOT PLATED/COATED, | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.95.S: 7302105020 | 7302105020. RAILS OF ALLOY STEEL, NEW | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.96.S: 7210706030 | 7210706030. FLAT-ROLLED IRON/NA STL, WDTH >/= 600MM, PAINTD/VARNSHD/COATD W/PLASTICS, ELECTROLYTICALLY PLATD/COATD W/ZINC | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.97.S: 7304244060 | 7304244060. CASING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, NOT THREADED/COUPLED, OS DIAMETER >285.8MM BUT /=12.7MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.99.S: 7304243040 | 7304243040. CASING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, THREADED/COUPLED, OS DIAMETER >/= 215.9MM BUT /=12.7MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.100.S: 7304243020 | 7304243020. CASING (OIL/GAS DRILLING) STAINLESS STL, SEAMLESS, THREADED/COUPLED, OS DIAMETER /= 12.7MM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.101.S: 7219130081 | 7219130081. FLAT-ROLLED STAINLESS STL, WIDTH >/= 600MM BUT /= 3MM BUT 24% NICKEL | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.102.S: 7211140090 | 7211140090. FLAT-ROLLED IRON/NONALLOY STL, WDTH /= 4.75MM, NOT HIGH-STRENGTH STEEL, COILS | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.103.S: 7218910030 | 7218910030. SEMIFINISHED STAINLESS STL, RECTANGULAR CROSS SECTION, WDTH /= 232 CM2 | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.104.S: 7306213000 | 7306213000. CASING (OIL/GAS DRILLING) STAINLESS STL, WELDED, THREADED/COUPLED | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.105.S: 7211234500 | 7211234500. FLAT-ROLLED IRON/NONALLOY STL, WDTH | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.106.S: 7220206080 | 7220206080. FLAT-ROLLED STAINLESS STL, WDTH 1.25MM, NOT HIGH-NICKEL ALLOY, = 0.5% NICKEL, >/= 15% CHROMIUM | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.107.S: 7305391000 | 7305391000. OTHER TUBES/PIPES IRON/NONALLOY STL, CIRC CS, OS DIAMETER >406.4MM, WELDED, OTHER THAN LONGITUDALLY WELDED | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. | |
| GAE.108.S: 7217204550 | 7217204550. ROUND WIRE IRON/NONALLOY STL, PLATED/COATED WITH ZINC, OS DIAMETER >/= 1.0MM BUT /= 0.25% BUT | 85 FR 81079, 12/14/2020. 86 FR 70009, 12/9/2021. |
Note to Supplement No. 2: Harmonized Tariff Schedule of the United States (HTSUS) Classifications are identified by the U.S. International Trade Commission (ITC) through its web version of the Harmonized Tariff Schedule. The list of the HTSUS Classifications referenced in this table of GAEs is drawn from the HTSUS and ITC Change Records for HTSUS Classifications (compiled at https://hts.usitc.gov/) and will be amended when the ITC publishes subsequent Change Records. If there are any discrepancies between the list of the HTSUS Classifications in this table and the HTSUS Classifications identified by the ITC in the Harmonized Tariff Schedule of the United States and the associated Change Records, the ITC’s list of HTSUS Classifications shall be controlling. Therefore, if an HTSUS Classification defining a GAE is split or otherwise modified by the ITC in the HTSUS, GAEs are extended to the newly-created HTSUS Classification(s), so long as the new ‘child’ HTSUS Classification(s) contain products falling entirely within the scope of the old ‘parent’ HTSUS classification. These types of ‘inherited’ GAEs are effective from the effective date of the change to the HTSUS, even prior to a Commerce rule being published to add the new HTSUS number to the GAE list under supplement no. 2. During the period after the effective date of the change to the HTSUS and before the GAE is updated, ACE will reject entries claiming the exclusion with the new HTSUS number and importers will have to make entry without the exclusion. In order for importers to preserve their rights, if any, to the exclusion with the new HTSUS number during this period, importers are advised to seek extensions of liquidation of the affected entries with CBP until Commerce is able to update and publish a revised GAE list under this supplement no. 2.
Supplement No. 3 to Part 705 – General Approved Exclusions (GAEs) for Aluminum Articles Under the Section 232 Exclusions Process
This supplement identifies aluminum articles that have been approved for import under a General Approved Exclusion (GAE). The Secretary of Commerce, in consultation with the Secretary of Defense, the Secretary of the Treasury, the Secretary of State, the United States Trade Representative, the Assistant to the President for Economic Policy, the Assistant to the President for National Security Affairs, and other senior Executive Branch officials as appropriate, makes these determinations that certain aluminum articles may be authorized under a GAE consistent with the objectives of the 232 exclusions process as outlined in supplement no. 1 to this part. The GAEs described in this supplement may be used by any importer. GAEs do not include quantity limits. Each GAE identifier will be effective fifteen calendar days after publication of a
| GAE Identifier | Description of aluminum that may be imported (at 10-digit Harmonized) Tariff Schedule of the United States (HTSUS) statistical reporting number or more narrowly defined at product level) | Other limitations ( quantity allowed) | citation |
|---|---|---|---|
| GAE.1.A: 7609000000 | 7609000000. ALUMINUM TUBE OR PIPE FITTINGS (COUPLINGS, ELBOWS, SLEEVES) | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.3.A: 7607196000 | 7607196000. ALUMINUM FOIL OF THICKNESS = 0.2MM, NOT BACKED, OTHER THAN ROLLED BUT NOT FURTHER WORKED, OTHER THAN ETCHED CAPACITOR FOIL, OTHER THAN CUT TO SHAPE W/ THICKNESS = 0.15 MM | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.4.A: 7604210010 | 7604210010. ALUMINUM ALLOY HOLLOW PROFILES OF HEAT-TREATABLE INDUSTRIAL ALLOYS OF A KIND DESCRIBED IN NOTE 6 TO THIS CHAPTER | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.5.A: 7604291010 | 7604291010. ALUMINUM ALLOY PROFILES OTHER THAN HOLLOW PROFILES OF HEAT-TREATABLE INDUSTRIAL ALLOYS OF A KIND DESCRIBED IN NOTE 6 TO THIS CHAPTER | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.6.A: 7607191000 | 7607191000. ALUMINUM FOIL OF THICKNESS = 0.2MM, NOT BACKED OTHER THAN ROLLED BUT NOT FURTHER WORKED, ETCHED CAPACITOR FOIL | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.7.A: 7606116000 | 7606116000. ALUMINUM PLATES, SHEETS AND STRIP, THICKNESS > 0.2MM, RECTANGULAR (INCLUDING SQUARE), NOT ALLOYED, CLAD | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.8.A: 7605290000 | 7605290000. ALUMINUM WIRE ALLOY, MAXIMUM CROSS-SECTIONAL DIMENSION = 7MM | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.9.A: 7601209080 | 7601209080. UNWROUGHT ALUMINUM ALLOY, SHEET INGOT (SLAB) OF A KIND DESCRIBED IN STATISTICAL NOTE 3 TO THIS CHAPTER | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.10.A: 7607116010 | 7607116010. ALUMINUM FOIL OF THICKNESS >0.01 MM AND =0.15 MM, ROLLED, NOT BACKED, BOXED & WEIGHING =11.3 KG | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.12.A: 7607201000 | 7607201000. ALUMINUM FOIL OF THICKNESS =0.2 MM, BACKED COVERED OR DECORATED WITH A CHARACTER, DESIGN, FANCY EFFECT OR PATTERN | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. | |
| GAE.13.A: 7604295090 | 7604295090. ALUMINUM ALLOY BARS AND RODS, OTHER THAN ROUND CROSS SECTION, OTHER THAN HEAT-TREATABLE INDUSTRIAL ALLOYS OF A KIND DESCRIBED IN NOTES 5 & 6 OF THIS CHAPTER | 85 FR 81083, 12/14/2020. 86 FR 70013, 12/9/2021. |
Note to Supplement No. 3: Harmonized Tariff Schedule of the United States (HTSUS) Classifications are identified by the U.S. International Trade Commission (ITC) through its web version of the Harmonized Tariff Schedule of the United States. The list of the HTSUS Classifications referenced in this table of GAEs is drawn from the HTSUS and ITC Change Records for HTSUS Classifications (compiled at https://hts.usitc.gov/) and will be amended when the ITC publishes subsequent Change Records. If there are any discrepancies between the list of HTSUS Classifications in this table and the HTSUS Classifications identified by the ITC in the Harmonized Tariff Schedule of the United States and the associated Change Records, the ITC’s list of HTSUS Classifications shall be controlling. Therefore, if an HTSUS Classification defining a GAE is split or otherwise modified by the ITC in the HTSUS, GAEs are extended to the newly-created HTSUS Classification(s), so long as the new ‘child’ HTSUS Classification(s) contain products falling entirely within the scope of the old ‘parent’ HTSUS classification. These types of ‘inherited’ GAEs are effective from the effective date of the change to the HTSUS, even prior to a Commerce rule being published to add the new HTSUS number to the GAE list under this supplement no. 3. During the period after the effective date of the change to the HTSUS and before the GAE is updated, ACE will reject entries claiming the exclusion with the new HTSUS number and importers will have to make entry without the exclusion. In order for importers to preserve their rights, if any, to the exclusion with the new HTSUS number during this period, importers are advised to seek extensions of liquidation of the affected entries with CBP until Commerce is able to update and publish a revised GAE list under this supplement no. 3.
PARTS 706-709 [RESERVED]
SUBCHAPTER B – CHEMICAL WEAPONS CONVENTION REGULATIONS
PART 710 – GENERAL INFORMATION AND OVERVIEW OF THE CHEMICAL WEAPONS CONVENTION REGULATIONS (CWCR)
§ 710.1 Definitions of terms used in the Chemical Weapons Convention Regulations (CWCR).
The following are definitions of terms used in the CWCR (parts 710 through 729 of this subchapter, unless otherwise noted):
Act (The). Means the Chemical Weapons Convention Implementation Act of 1998 (22 U.S.C. 6701 et seq.).
Advance Notification. Means a notice informing BIS of a company’s intention to export to or import from a State Party a Schedule 1 chemical. This advance notification must be submitted to BIS at least 45 days prior to the date of export or import (except for transfers of 5 milligrams or less of saxitoxin for medical/diagnostic purposes, which must be submitted to BIS at least 3 days prior to export or import). BIS will inform the company in writing of the earliest date the shipment may occur under the advance notification procedure. This advance notification requirement is imposed in addition to any export license requirements under the Department of Commerce’s Export Administration Regulations (15 CFR parts 730 through 774) or the Department of State’s International Traffic in Arms Regulations (22 CFR parts 120 through 130) or any import license requirements under the Department of Justice’s Bureau of Alcohol, Tobacco, Firearms and Explosives Regulations (27 CFR part 447).
Bureau of Industry and Security (BIS). Means the Bureau of Industry and Security of the United States Department of Commerce, including Export Administration and Export Enforcement.
By-product. Means any chemical substance or mixture produced without a separate commercial intent during the manufacture, processing, use or disposal of another chemical substance or mixture.
Chemical Weapon. Means the following, together or separately:
(1) Toxic chemicals and their precursors, except where intended for purposes not prohibited under the Chemical Weapons Convention (CWC), provided that the type and quantity are consistent with such purposes;
(2) Munitions and devices, specifically designed to cause death or other harm through the toxic properties of those toxic chemicals specified in paragraph (1) of this definition, which would be released as a result of the employment of such munitions and devices;
(3) Any equipment specifically designed for use directly in connection with the employment of munitions or devices specified in paragraph (2) of this definition.
Chemical Weapons Convention (CWC or Convention). Means the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction, and its annexes opened for signature on January 13, 1993.
Chemical Weapons Convention Regulations (CWCR). Means the regulations contained in 15 CFR parts 710 through 729.
Consumption. Consumption of a chemical means its conversion into another chemical via a chemical reaction. Unreacted material must be accounted for as either waste or as recycled starting material.
Declaration or report form. Means a multi-purpose form to be submitted to BIS regarding activities involving Schedule 1, Schedule 2, Schedule 3, or unscheduled discrete organic chemicals. Declaration forms will be used by facilities that have data declaration obligations under the CWCR and are “declared” facilities whose facility-specific information will be transmitted to the OPCW. Report forms will be used by entities that are “undeclared” facilities or trading companies that have limited reporting requirements for only export and import activities under the CWCR and whose facility-specific information will not be transmitted to the OPCW. Information from declared facilities, undeclared facilities and trading companies will also be used to compile U.S. national aggregate figures on the production, processing, consumption, export and import of specific chemicals. See also related definitions of declared facility, undeclared facility and report.
Declared facility or plant site. Means a facility or plant site that submits declarations of activities involving Schedule 1, Schedule 2, Schedule 3, or unscheduled discrete organic chemicals above specified threshold quantities.
Discrete organic chemical. Means any chemical belonging to the class of chemical compounds consisting of all compounds of carbon, except for its oxides, sulfides, and metal carbonates, identifiable by chemical name, by structural formula, if known, and by Chemical Abstract Service registry number, if assigned. (Also see the definition for unscheduled discrete organic chemical.)
Domestic transfer. Means, with regard to declaration requirements for Schedule 1 chemicals under the CWCR, any movement of any amount of a Schedule 1 chemical outside the geographical boundary of a facility in the United States to another destination in the United States, for any purpose. Also means, with regard to declaration requirements for Schedule 2 and Schedule 3 chemicals under the CWCR, movement of a Schedule 2 or Schedule 3 chemical in quantities and concentrations greater than specified thresholds, outside the geographical boundary of a facility in the United States, to another destination in the United States, for any purpose. Domestic transfer includes movement between two divisions of one company or a sale from one company to another. Note that any movement to or from a facility outside the United States is considered an export or import for reporting purposes, not a domestic transfer. (Also see definition of United States.)
EAR. Means the Export Administration Regulations (15 CFR parts 730 through 774).
Explosive. Means a chemical (or a mixture of chemicals) that is included in Class 1 of the United Nations Organization hazard classification system.
Facility. Means any plant site, plant or unit.
Facility Agreement. Means a written agreement or arrangement between a State Party and the Organization relating to a specific facility subject to on-site verification pursuant to Articles IV, V, and VI of the Convention.
Host Team. Means the U.S. Government team that accompanies the inspection team from the Organization for the Prohibition of Chemical Weapons during a CWC inspection for which the regulations in the CWCR apply.
Host Team Leader. Means the representative from the Department of Commerce who heads the U.S. Government team that accompanies the Inspection Team during a CWC inspection for which the regulations in the CWCR apply.
Hydrocarbon. Means any organic compound that contains only carbon and hydrogen.
Impurity. Means a chemical substance unintentionally present with another chemical substance or mixture.
Inspection Notification. Means a written announcement to a plant site by the United States National Authority (USNA) or the BIS Host Team of an impending inspection under the Convention.
Inspection Site. Means any facility or area at which an inspection is carried out and which is specifically defined in the respective facility agreement or inspection request or mandate or inspection request as expanded by the alternative or final perimeter.
Inspection Team. Means the group of inspectors and inspection assistants assigned by the Director-General of the Technical Secretariat to conduct a particular inspection.
Intermediate. Means a chemical formed through chemical reaction that is subsequently reacted to form another chemical.
ITAR. Means the International Traffic in Arms Regulations (22 CFR parts 120-130).
Organization for the Prohibition of Chemical Weapons (OPCW). Means the international organization, located in The Hague, the Netherlands, that administers the CWC.
Person. Means any individual, corporation, partnership, firm, association, trust, estate, public or private institution, any State or any political subdivision thereof, or any political entity within a State, any foreign government or nation or any agency, instrumentality or political subdivision of any such government or nation, or other entity located in the United States.
Plant. Means a relatively self-contained area, structure or building containing one or more units with auxiliary and associated infrastructure, such as:
(1) Small administrative area;
(2) Storage/handling areas for feedstock and products;
(3) Effluent/waste handling/treatment area;
(4) Control/analytical laboratory;
(5) First aid service/related medical section; and
(6) Records associated with the movement into, around, and from the site, of declared chemicals and their feedstock or product chemicals formed from them, as appropriate.
Plant site. Means the local integration of one or more plants, with any intermediate administrative levels, which are under one operational control, and includes common infrastructure, such as:
(1) Administration and other offices;
(2) Repair and maintenance shops;
(3) Medical center;
(4) Utilities;
(5) Central analytical laboratory;
(6) Research and development laboratories;
(7) Central effluent and waste treatment area; and
(8) Warehouse storage.
Precursor. Means any chemical reactant which takes part, at any stage in the production, by whatever method, of a toxic chemical. The term includes any key component of a binary or multicomponent chemical system.
Processing. Means a physical process such as formulation, extraction and purification in which a chemical is not converted into another chemical.
Production. Means the formation of a chemical through chemical reaction, including biochemical or biologically mediated reaction (see supplement no. 2 to this part).
(1) Production of Schedule 1 chemicals means formation through chemical synthesis as well as processing to extract and isolate Schedule 1 chemicals.
(2) Production of a Schedule 2 or Schedule 3 chemical means all steps in the production of a chemical in any units within the same plant through chemical reaction, including any associated processes (e.g., purification, separation, extraction, distillation, or refining) in which the chemical is not converted into another chemical. The exact nature of any associated process (e.g., purification, etc.) is not required to be declared.
(3) Production of a Schedule 1, Schedule 2 or Schedule 3 chemical is understood, for declaration purposes, to include intermediates, by-products, or waste products that are produced and consumed within a defined chemical manufacturing sequence, where such intermediates, by-products, or waste products are chemically stable and therefore exist for a sufficient time to make isolation from the manufacturing stream possible, but where, under normal or design operating conditions, isolation does not occur.
Production by synthesis. Means production of a chemical from its reactants.
Protective purposes in relation to Schedule 1 chemicals. Means any purpose directly related to protection against toxic chemicals and to protection against chemical weapons. Further means the Schedule 1 chemical is used for determining the adequacy of defense equipment and measures.
Purposes not prohibited by the CWC. Means the following:
(1) Any peaceful purpose related to an industrial, agricultural, research, medical or pharmaceutical activity or other activity;
(2) Any purpose directly related to protection against toxic chemicals and to protection against chemical weapons;
(3) Any military purpose of the United States that is not connected with the use of a chemical weapon and that is not dependent on the use of the toxic or poisonous properties of the chemical weapon to cause death or other harm; or
(4) Any law enforcement purpose, including any domestic riot control purpose and including imposition of capital punishment.
Report. Means information due to BIS on exports and imports of Schedule 1, Schedule 2 or Schedule 3 chemicals above applicable thresholds. Such information is included in the national aggregate declaration transmitted to the OPCW. Facility-specific information is not included in the national aggregate declaration. Note: This definition does not apply to parts 719 and 720 of the CWCR (see the definition of “report” in § 719.1(b) of the CWCR).
Schedules of Chemicals. Means specific lists of toxic chemicals, groups of chemicals, and precursors contained in the CWC. See Supplements No. 1 to parts 712 through 714 of the CWCR.
State Party. Means a country for which the CWC is in force. See supplement no. 1 to this part.
Storage. For purposes of Schedule 1 chemical reporting, means any quantity that is not accounted for under the categories of production, export, import, consumption or domestic transfer.
Technical Secretariat. Means the organ of the OPCW charged with carrying out administrative and technical support functions for the OPCW, including carrying out the verification measures delineated in the CWC.
Toxic Chemical. Means any chemical which, through its chemical action on life processes, can cause death, temporary incapacitation, or permanent harm to humans or animals. The term includes all such chemicals, regardless of their origin or of their method of production, and regardless of whether they are produced in facilities, in munitions, or elsewhere. Toxic chemicals that have been identified for the application of verification measures are in schedules contained in Supplements No. 1 to parts 712 through 714 of the CWCR.
Trading company. Means any person involved in the export and/or import of scheduled chemicals in amounts greater than specified thresholds, but not in the production, processing or consumption of such chemicals in amounts greater than threshold amounts requiring declaration. If such persons exclusively export or import scheduled chemicals in amounts greater than specified thresholds, they are subject to reporting requirements but are not subject to routine inspections. Such persons must be the principal party in interest of the exports or imports and may not delegate CWC reporting responsibilities to a forwarding or other agent.
Transfer. See domestic transfer.
Transient intermediate. Means any chemical which is produced in a chemical process but, because it is in a transition state in terms of thermodynamics and kinetics, exists only for a very short period of time, and cannot be isolated, even by modifying or dismantling the plant, or altering process operating conditions, or by stopping the process altogether.
Undeclared facility or plant site. Means a facility or plant site that is not subject to declaration requirements because of past or anticipated production, processing or consumption involving scheduled or unscheduled discrete organic chemicals above specified threshold quantities. However, such facilities and plant sites may have a reporting requirement for exports or imports of such chemicals.
Unit. Means the combination of those items of equipment, including vessels and vessel set up, necessary for the production, processing or consumption of a chemical.
United States. Means the several States of the United States, the District of Columbia, and the commonwealths, territories, and possessions of the United States, and includes all places under the jurisdiction or control of the United States, including any of the places within the provisions of paragraph (41) of section 40102 of Title 49 of the United States Code, any civil aircraft of the United States or public aircraft, as such terms are defined in paragraphs (1) and (37), respectively, of section 40102 of Title 49 of the United States Code, and any vessel of the United States, as such term is defined in section 3(b) of the Maritime Drug Enforcement Act, as amended (section 1903(b) of Title 46 App. of the United States Code).
United States National Authority (USNA). Means the Department of State serving as the national focal point for the effective liaison with the Organization for the Prohibition of Chemical Weapons and other States Parties to the Convention and implementing the provisions of the Chemical Weapons Convention Implementation Act of 1998 in coordination with an interagency group designated by the President consisting of the Secretary of Commerce, Secretary of Defense, Secretary of Energy, the Attorney General, and the heads of other agencies considered necessary or advisable by the President, or their designees. The Secretary of State is the Director of the USNA.
Unscheduled chemical. Means a chemical that is not contained in Schedule 1, Schedule 2, or Schedule 3 (see Supplements No. 1 to parts 712 through 714 of the CWCR).
Unscheduled Discrete Organic Chemical (UDOC). Means any “discrete organic chemical” that is not contained in the Schedules of Chemicals (see Supplements No. 1 to parts 712 through 714 of the CWCR) and subject to the declaration requirements of part 715 of the CWCR. Unscheduled discrete organic chemicals subject to declaration under the CWCR are those produced by synthesis that are isolated for use or sale as a specific end-product.
You. The term “you” or “your” means any person (see also definition of “person”). With regard to the declaration and reporting requirements of the CWCR, “you” refers to persons that have an obligation to report certain activities under the provisions of the CWCR.
§ 710.2 Scope of the CWCR.
The Chemical Weapons Convention Regulations (parts 710 through 729 of this subchapter), or CWCR, implement certain obligations of the United States under the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction, known as the CWC or Convention.
(a) Persons and facilities subject to the CWCR. (1) The CWCR apply to all persons and facilities located in the United States, except the following U.S. Government facilities:
(i) Department of Defense facilities;
(ii) Department of Energy facilities; and
(iii) Facilities of other U.S. Government agencies that notify the USNA of their decision to be excluded from the CWCR.
(2) For purposes of the CWCR, “United States Government facilities” are those facilities owned and operated by a U.S. Government agency (including those operated by contractors to the agency), and those facilities leased to and operated by a U.S. Government agency (including those operated by contractors to the agency). “United States Government facilities” do not include facilities owned by a U.S. Government agency and leased to a private company or other entity such that the private company or entity may independently decide for what purposes to use the facilities.
(b) Activities subject to the CWCR. The activities subject to the CWCR (parts 710 through 729 of this subchapter) are activities, including production, processing, consumption, exports and imports, involving chemicals further described in parts 712 through 715 of the CWCR. These do not include activities involving inorganic chemicals other than those listed in the Schedules of Chemicals, or other specifically exempted unscheduled discrete organic chemicals.
§ 710.3 Purposes of the Convention and CWCR.
(a) Purposes of the Convention. (1) The Convention imposes upon the United States, as a State Party, certain declaration, inspection, and other obligations. In addition, the United States and other States Parties to the Convention undertake never under any circumstances to:
(i) Develop, produce, otherwise acquire, stockpile, or retain chemical weapons, or transfer, directly or indirectly, chemical weapons to anyone;
(ii) Use chemical weapons;
(iii) Engage in any military preparations to use chemical weapons; or
(iv) Assist, encourage or induce, in any way, anyone to engage in any activity prohibited by the Convention.
(2) One objective of the Convention is to assure States Parties that lawful activities of chemical producers and users are not converted to unlawful activities related to chemical weapons. To achieve this objective and to give States Parties a mechanism to verify compliance, the Convention requires the United States and all other States Parties to submit declarations concerning chemical production, consumption, processing and other activities, and to permit international inspections within their borders.
(b) Purposes of the Chemical Weapons Convention Regulations. To fulfill the United States’ obligations under the Convention, the CWCR (parts 710 through 729 of this subchapter) prohibit certain activities, and compel the submission of information from all facilities in the United States, except for Department of Defense and Department of Energy facilities and facilities of other U.S. Government agencies that notify the USNA of their decision to be excluded from the CWCR on activities, including exports and imports of scheduled chemicals and certain information regarding unscheduled discrete organic chemicals as described in parts 712 through 715 of the CWCR. U.S. Government facilities are those owned by or leased to the U.S. Government, including facilities that are contractor-operated. The CWCR also require access for on-site inspections and monitoring by the OPCW, as described in parts 716 and 717 of the CWCR.
§ 710.4 Overview of scheduled chemicals and examples of affected industries.
The following provides examples of the types of industries that may be affected by the CWCR (parts 710 through 729 of this subchapter). These examples are not exhaustive, and you should refer to parts 712 through 715 of the CWCR to determine your obligations.
(a) Schedule 1 chemicals are listed in supplement no. 1 to part 712 of the CWCR. Schedule 1 chemicals have little or no use in industrial and agricultural industries, but may have limited use for research, pharmaceutical, medical, public health, or protective purposes.
(b) Schedule 2 chemicals are listed in supplement no. 1 to part 713 of the CWCR. Although Schedule 2 chemicals may be useful in the production of chemical weapons, they also have legitimate uses in areas such as:
(1) Flame retardant additives and research;
(2) Dye and photographic industries (e.g., printing ink, ball point pen fluids, copy mediums, paints, etc.);
(3) Medical and pharmaceutical preparation (e.g., anticholinergics, arsenicals, tranquilizer preparations);
(4) Metal plating preparations;
(5) Epoxy resins; and
(6) Insecticides, herbicides, fungicides, defoliants, and rodenticides.
(c) Schedule 3 chemicals are listed in supplement no. 1 to part 714 of the CWCR. Although Schedule 3 chemicals may be useful in the production of chemical weapons, they also have legitimate uses in areas such as:
(1) The production of:
(i) Resins;
(ii) Plastics;
(iii) Pharmaceuticals;
(iv) Pesticides;
(v) Batteries;
(vi) Cyanic acid;
(vii) Toiletries, including perfumes and scents;
(viii) Organic phosphate esters (e.g., hydraulic fluids, flame retardants, surfactants, and sequestering agents); and
(2) Leather tannery and finishing supplies.
(d) Unscheduled discrete organic chemicals are used in a wide variety of commercial industries, and include acetone, benzoyl peroxide and propylene glycol.
§ 710.5 Authority.
The CWCR (parts 710 through 729 of this subchapter) implement certain provisions of the Chemical Weapons Convention under the authority of the Chemical Weapons Convention Implementation Act of 1998 (Act), the National Emergencies Act, the International Emergency Economic Powers Act (IEEPA), as amended, and the Export Administration Act of 1979, as amended, by extending verification and trade restriction requirements under Article VI and related parts of the Verification Annex of the Convention to U.S. persons. In Executive Order 13128 of June 25, 1999, the President delegated authority to the Department of Commerce to promulgate regulations to implement the Act, and consistent with the Act, to carry out appropriate functions not otherwise assigned in the Act but necessary to implement certain reporting, monitoring and inspection requirements of the Convention and the Act.
§ 710.6 Relationship between the Chemical Weapons Convention Regulations and the Export Administration Regulations, the International Traffic in Arms Regulations, and the Alcohol, Tobacco, Firearms and Explosives Regulations.
Certain obligations of the U.S. Government under the CWC pertain to exports and imports. The obligations on exports are implemented in the Export Administration Regulations (EAR) (15 CFR parts 730 through 774) and the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130). See in particular §§ 742.2 and 742.18 and part 745 of the EAR, and Export Control Classification Numbers 1C350, 1C351, 1C355 and 1C395 of the Commerce Control List (supplement no. 1 to part 774 of the EAR). The obligations on imports are implemented in the Chemical Weapons Convention Regulations (§§ 712.2 and 713.1) and the Alcohol, Tobacco, Firearms and Explosives Regulations in 27 CFR part 447.
Supplement No. 1 to Part 710 – States Parties to the Convention on the Prohibition of the Development, Production, Stockpiling, and Use of Chemical Weapons and on Their Destruction
* For export control purposes, these destinations are identified using a different nomenclature under the Commerce Country Chart in supplement no. 1 to part 738 of the Export Administration Regulations (EAR) (15 CFR parts 730 through 774).
** For export control purposes, Cook Islands and Niue are not identified on the Commerce Country Chart in supplement no. 1 to part 738 of the EAR and are treated the same as New Zealand, in accordance with § 738.3(b) of the EAR.
*** For CWC States Parties purposes, a territory, possession, or department of any country that is listed in this Supplement as a State Party to the CWC, is treated the same as the country of which it is a territory, possession, or department (e.g., China includes Hong Kong and Macau; the Netherlands includes Aruba and the Netherlands Antilles).
Supplement No. 2 to Part 710 – Definitions of Production
| Schedule 1 chemicals | Schedule 2 and Schedule 3 chemicals | Unscheduled discrete organic chemicals (UDOCs) |
|---|---|---|
| Produced by a biochemical or biologically mediated reaction | Produced by synthesis* | |
| Formation through chemical synthesis. Processing to extract and isolate Schedule 1 chemicals. | All production steps in any units within the same plant which includes associated processes – purification, separation, extraction distillation or refining.** | |
* Intermediates used in a single or multi-step process to produce another declared UDOC are not declarable.
** Intermediates are subject to declaration, except “transient intermediates,” which are those chemicals in a transition state in terms of thermodynamics and kinetics, that exist only for a very short period of time, and cannot be isolated, even by modifying or dismantling the plant, or by altering process operating conditions, or by stopping the process altogether are not subject to declaration.
PART 711 – GENERAL INFORMATION REGARDING DECLARATION, REPORTING, AND ADVANCE NOTIFICATION REQUIREMENTS, AND THE ELECTRONIC FILING OF DECLARATIONS AND REPORTS
§ 711.1 Overviews of declaration, reporting, and advance notification requirements.
Parts 712 through 715 of the CWCR (parts 710 through 729 of this subchapter) describe the declaration, advance notification and reporting requirements for Schedule 1, 2 and 3 chemicals and for unscheduled discrete organic chemicals (UDOCs). For each type of chemical, the Convention requires annual declarations. If, after reviewing parts 712 through 715 of the CWCR, you determine that you have declaration, advance notification or reporting requirements, you may obtain the appropriate forms by contacting the Bureau of Industry and Security (BIS) (see § 711.6 of the CWCR).
§ 711.2 Who submits declarations, reports, and advance notifications.
The owner, operator, or senior management official of a facility subject to declaration, reporting, or advance notification requirements under the CWCR (parts 710 through 729 of this subchapter) is responsible for the submission of all required documents in accordance with all applicable provisions of the CWCR.
§ 711.3 Compliance review.
Periodically, BIS will request information from persons and facilities subject to the CWCR to determine compliance with the reporting, declaration and notification requirements set forth herein. Information requested may relate to the production, processing, consumption, export, import, or other activities involving scheduled chemicals and unscheduled discrete organic chemicals described in parts 712 through 715 of the CWCR. Any person or facility subject to the CWCR and receiving such a request for information will be required to provide a response to BIS within 30 working days of receipt of the request. This requirement does not, in itself, impose a requirement to create new records or maintain existing records in a manner other than that directed by the recordkeeping provisions set forth in part 721 of the CWCR.
§ 711.4 Assistance in determining your obligations.
(a) Determining if your chemical is subject to declaration, reporting or advance notification requirements. (1) If you need assistance in determining if your chemical is classified as a Schedule 1, Schedule 2, or Schedule 3 chemical, or is an unscheduled discrete organic chemical, submit your written request for a chemical determination to BIS. Such requests must be sent via facsimile to (202) 482-1731, e-mailed to [email protected], or mailed to the Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, and must be marked “Attn: Chemical Determination.” Your request should include the information noted in paragraph (a)(2) of this section to ensure an accurate determination. Also include any additional information that you feel is relevant to the chemical or process involved (see part 718 of the CWCR for provisions regarding treatment of confidential business information). If you are unable to provide all of the information required in paragraph (a)(2) of this section, you should include an explanation identifying the reasons or deficiencies that preclude you from supplying the information. If BIS cannot make a determination based upon the information submitted, BIS will return the request to you and identify the additional information that is necessary to complete a chemical determination. BIS will provide a written response to your chemical determination request within 10 working days of receipt of the request.
(2) Include the following information in each chemical determination request:
(i) Date of request;
(ii) Company name and complete street address;
(iii) Point of contact;
(iv) Phone and facsimile number of contact;
(v) E-mail address of contact, if you want an acknowledgment of receipt sent via e-mail;
(vi) Chemical Name;
(vii) Structural formula of the chemical, if the chemical is not specifically identified by name and chemical abstract service registry number in Supplements No. 1 to parts 712 through 714 of the CWCR; and
(viii) Chemical Abstract Service registry number, if assigned.
(b) Other inquiries. If you need assistance in interpreting the provisions of the CWCR or need assistance with declaration, forms, reporting, advance notification, inspection or facility agreement issues, contact BIS’s Treaty Compliance Division by phone at (202) 482-1001. If you require a response from BIS in writing, submit a detailed request to BIS that explains your question, issue, or request. Send the request to the address or facsimile included in paragraph (a) of this section, or e-mail the request to [email protected]. Your request must be marked, “ATTN: CWCR Assistance.”
§ 711.5 Numerical precision of submitted data.
Numerical information submitted in declarations and reports is to be provided per applicable rounding rules in each part (i.e., parts 712 through 715 of the CWCR) with a precision equal to that which can be reasonably provided using existing documentation, equipment, and measurement techniques.
§ 711.6 Where to obtain forms.
(a) Forms to complete declarations and reports required by the CWCR may be obtained by contacting: Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, Telephone: (202) 482-1001. Forms and forms software may also be downloaded from the Internet at www.cwc.gov.
(b) If the amount of information you are required to submit is greater than the given form will allow, multiple copies of forms may be submitted.
§ 711.7 Where to submit declarations, reports and advance notifications.
Declarations, reports and advance notifications required by the CWCR must be sent either by fax to (202) 482-1731 or by mail or courier delivery to the following address: Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, Telephone: (202) 482-1001. Specific types of declarations and reports and due dates are outlined in supplement no. 2 to parts 712 through 715 of the CWCR.
(a) Scope. This section provides an optional method of submitting declarations or reports. Specifically, this section applies to the electronic submission of declarations and reports required under the CWCR. If you choose to submit declarations and reports by electronic means, all such electronic submissions must be made through the Web-Data Entry System for Industry (Web-DESI), which can be accessed on the CWC web site at www.cwc.gov.
(b) Authorization. If you or your company has a facility, plant site, or trading company that has been assigned a U.S. Code Number (USC Number), you may submit declarations and reports electronically, once you have received authorization from BIS to do so. An authorization to submit declarations and reports electronically may be limited or withdrawn by BIS at any time. There are no prerequisites for obtaining permission to submit electronically, nor are there any limitations with regard to the types of declarations or reports that are eligible for electronic submission. However, BIS may direct, for any reason, that any electronic declaration or report be resubmitted in writing, either in whole or in part.
(1) Requesting approval to submit declarations and reports electronically. To submit declarations and reports electronically, you or your company must submit a written request to BIS at the address identified in § 711.6 of the CWCR. Both the envelope and letter must be marked, “ATTN: Electronic Declaration or Report Request.” Your request should be on company letterhead and must contain your name or the company’s name, your mailing address at the company, the name of the facility, plant site or trading company and its U.S. Code Number, the address of the facility, plant site or trading company (this address may be different from the mailing address), the list of persons who are authorized to view, edit, and/or submit declarations and reports on behalf of your company, and the telephone number and name and title of the owner, operator, or senior management official responsible for certifying that each person listed in the request is authorized to view, edit, and/or submit declarations and reports on behalf of you or your company (i.e., the certifying official). Additional information required for submitting electronic declarations and reports may be found on BIS’s Web site at www.cwc.gov. Once you have completed and submitted the necessary certifications, BIS will review your request for authorization to view, edit, and/or submit declarations and reports electronically. BIS will notify you if additional information is required and/or upon completion of its review.
You must submit a separate request for each facility, plant site or trading company owned by your company (e.g., each site that is assigned a unique U.S. Code Number).
(2) Assignment and use of passwords for facilities, plant sites and trading companies (USC password) and Web-DESI user accounts (user name and password). (i) Each person, facility, plant site or trading company authorized to submit declarations and reports electronically will be assigned a password (USC password) that must be used in conjunction with the U.S.C. Number. Each person authorized by BIS to view, edit, and/or submit declarations and reports electronically for a facility, plant site or trading company will be assigned a Web-DESI user account (user name and password) telephonically by BIS. A Web-DESI user account will be assigned to you only if your company has certified to BIS that you are authorized to act for it in viewing, editing, and/or submitting electronic declarations and reports under the CWCR.
When persons must have access to multiple Web-DESI accounts, their companies must identify such persons on the approval request for each of these Web-DESI accounts. BIS will coordinate with such persons to ensure that the assigned user name and password is the same for each account.
(ii) Your company may reveal the facility, plant site or trading company password (USC password) only to Web-DESI users with valid passwords, their supervisors, and employees or agents of the company with a commercial justification for knowing the password.
(iii) If you are an authorized Web-DESI account user, you may not:
(A) Disclose your user name or password to anyone;
(B) Record your user name or password, either in writing or electronically;
(C) Authorize another person to use your user name or password; or
(D) Use your user name or password following termination, either by BIS or by your company, of your authorization or approval for Web-DESI use.
(iv) To prevent misuse of the Web-DESI account:
(A) If Web-DESI user account information (i.e., user name and password) is lost, stolen or otherwise compromised, the company and the user must report the loss, theft or compromise of the user account information, immediately, by calling BIS at (202) 482-1001. Within two business days of making the report, the company and the user must submit written confirmation to BIS at the address provided in § 711.6 of the CWCR.
(B) Your company is responsible for immediately notifying BIS whenever a Web-DESI user leaves the employ of the company or otherwise ceases to be authorized by the company to submit declarations and reports electronically on its behalf.
(v) No person may use, copy, appropriate or otherwise compromise a Web-DESI account user name or password assigned to another person. No person, except a person authorized access by the company, may use or copy the facility, plant site or trading company password (USC password), nor may any person steal or otherwise compromise this password.
(c) Electronic submission of declarations and reports – (1) General instructions. Upon submission of the required certifications and approval of the company’s request to use electronic submission, BIS will provide instructions on both the method for transmitting declarations and reports electronically and the process for submitting required supporting documents, if any. These instructions may be modified by BIS from time to time.
(2) Declarations and reports. The electronic submission of a declaration or report will constitute an official document as required under parts 712 through 715 of the CWCR. Such submissions must provide the same information as written declarations and reports and are subject to the recordkeeping provisions of part 720 of the CWCR. The company and Web-DESI user submitting the declaration or report will be deemed to have made all representations and certifications as if the submission were made in writing by the company and signed by the certifying official. Electronic submission of a declaration or report will be considered complete upon transmittal to BIS.
(d) Updating. A company approved for electronic submission of declarations or reports under Web-DESI must promptly notify BIS of any change in its name, ownership or address. If your company wishes to have a person added as a Web-DESI user, your company must inform BIS and follow the instructions provided by BIS. Your company should conduct periodic reviews to ensure that the company’s designated certifying official and Web-DESI users are persons whose current responsibilities make it necessary and appropriate that they act for the company in either capacity.
PART 712 – ACTIVITIES INVOLVING SCHEDULE 1 CHEMICALS
§ 712.1 Round to zero rule that applies to activities involving Schedule 1 chemicals.
Facilities that produce, export or import mixtures containing less than 0.5% aggregate quantities of Schedule 1 chemicals (see supplement no. 1 to this part) as unavoidable by-products or impurities may round to zero and are not subject to the provisions of this part 712. Schedule 1 content may be calculated by volume or weight, whichever yields the lesser percent. Note that such mixtures may be subject to the regulatory requirements of other federal agencies.
§ 712.2 Restrictions on activities involving Schedule 1 chemicals.
(a) You may not produce Schedule 1 chemicals for protective purposes.
(b) You may not import any Schedule 1 chemical unless:
(1) The import is from a State Party;
(2) The import is for research, medical, pharmaceutical, or protective purposes;
(3) The import is in types and quantities strictly limited to those that can be justified for such purposes; and
(4) You have notified BIS at least 45 calendar days prior to the import, pursuant to § 712.6 of the CWCR.
Pursuant to § 712.6, advance notifications of import of saxitoxin of 5 milligrams or less for medical/diagnostic purposes must be submitted to BIS at least 3 days prior to import.
For specific provisions relating to the prior advance notification of exports of all Schedule 1 chemicals, see § 745.1 of the Export Administration Regulations (EAR) (15 CFR parts 730 through 774). For specific provisions relating to license requirements for exports of Schedule 1 chemicals, see § 742.2 and § 742.18 of the EAR for Schedule 1 chemicals subject to the jurisdiction of the Department of Commerce and see the International Traffic in Arms Regulations (22 CFR parts 120 through 130) for Schedule 1 chemicals subject to the jurisdiction of the Department of State.
(c)(1) The provisions of paragraphs (a) and (b) of this section do not apply to the retention, ownership, possession, transfer, or receipt of a Schedule 1 chemical by a department, agency, or other entity of the United States, or by a person described in paragraph (c)(2) of this section, pending destruction of the Schedule 1 chemical;
(2) A person referred to in paragraph (c)(1) of this section is:
(i) Any person, including a member of the Armed Forces of the United States, who is authorized by law or by an appropriate officer of the United States to retain, own, possess transfer, or receive the Schedule 1 chemical; or
(ii) In an emergency situation, any otherwise non-culpable person if the person is attempting to seize or destroy the Schedule 1 chemical.
§ 712.3 Initial declaration requirements for declared facilities which are engaged in the production of Schedule 1 chemicals for purposes not prohibited by the CWC.
Initial declarations submitted in February 2000 remain valid until amended or rescinded. If you plan to change/amend the technical description of your facility submitted with your initial declaration, you must submit an amended initial declaration to BIS 200 calendar days prior to implementing the change (see § 712.5(b)(1)(ii) of the CWCR).
§ 712.4 New Schedule 1 production facility.
(a) Establishment of a new Schedule 1 production facility. (1) If your facility has never before been declared under § 712.5 of the CWCR, or the initial declaration for your facility has been withdrawn pursuant to § 712.5(g) of the CWCR, and you intend to begin production of Schedule 1 chemicals at your facility in quantities greater than 100 grams aggregate per year for research, medical, or pharmaceutical purposes, you must provide an initial declaration (with a current detailed technical description of your facility) to BIS in no less than 200 calendar days in advance of commencing such production. Such facilities are considered to be “new Schedule 1 production facilities” and are subject to an initial inspection within 200 calendar days of submitting an initial declaration.
(2) New Schedule 1 production facilities that submit an initial declaration pursuant to paragraph (a)(1) of this section are considered approved Schedule 1 production facilities for purposes of the CWC, unless otherwise notified by BIS within 30 days of receipt by BIS of that initial declaration.
(b) Types of declaration forms required. If your new Schedule 1 production facility will produce in excess of 100 grams aggregate of Schedule 1 chemicals, you must complete the Certification Form, Form 1-1 and Form A. You must also provide a detailed technical description of the new facility or its relevant parts, and a detailed diagram of the declared areas in the facility.
(c) Two hundred days after a new Schedule 1 production facility submits its initial declaration, it is subject to the declaration requirements in § 712.5(a)(1) and (a)(2) and § 712.5(b)(1)(ii) of the CWCR.
§ 712.5 Annual declaration requirements for facilities engaged in the production of Schedule 1 chemicals for purposes not prohibited by the CWC.
(a) Declaration requirements – (1) Annual declaration on past activities. You must complete the forms specified in paragraph (b)(2) of this section if you produced at your facility in excess of 100 grams aggregate of Schedule 1 chemicals in the previous calendar year. As a declared Schedule 1 facility, in addition to declaring the production of each Schedule 1 chemical that comprises your aggregate production of Schedule 1 chemicals, you must also declare any Schedule 1, Schedule 2, or Schedule 3 precursor used to produce the declared Schedule 1 chemical. You must further declare each Schedule 1 chemical used (consumed) and stored at your facility, and domestically transferred from your facility during the previous calendar year, whether or not you produced that Schedule 1 chemical at your facility.
(2) Annual declaration on anticipated activities. You must complete the forms specified in paragraph (b)(3) of this section if you anticipate that you will produce at your facility more than 100 grams aggregate of Schedule 1 chemicals in the next calendar year. If you are not already a declared facility, you must complete an initial declaration (see § 712.4 of the CWCR) 200 calendar days before commencing operations or increasing production which will result in production of more than 100 grams aggregate of Schedule 1 chemicals.
(b) Declaration forms to be used – (1) Initial declaration. (i) You must have completed the Certification Form, Form 1-1 and Form A if you produced at your facility in excess of 100 grams aggregate of Schedule 1 chemicals in calendar years 1997, 1998, or 1999. You must have provided a detailed current technical description of your facility or its relevant parts including a narrative statement, and a detailed diagram of the declared areas in the facility.
(ii) If you plan to change the technical description of your facility from your initial declaration completed and submitted pursuant to § 712.3 or § 712.4 of the CWCR, you must submit an amended initial declaration to BIS 200 calendar days prior to the change. Such amendments to your initial declaration must be made by completing a Certification Form, Form 1-1 and Form A, including the new description of the facility. See § 712.7 of the CWCR for additional instructions on amending Schedule 1 declarations.
(2) Annual declaration on past activities. If you are subject to the declaration requirement of paragraph (a)(1) of this section, you must complete the Certification Form and Forms 1-1, 1-2, 1-2A, 1-2B, and Form A if your facility was involved in the production of Schedule 1 chemicals in the previous calendar year. Form B is optional.
(3) Annual declaration on anticipated activities. If you anticipate that you will produce at your facility in excess of 100 grams aggregate of Schedule 1 chemicals in the next calendar year you must complete the Certification Form and Forms 1-1, 1-4, and Form A. Form B is optional.
(c) Quantities to be declared. If you produced in excess of 100 grams aggregate of Schedule 1 chemicals in the previous calendar year, you must declare the entire quantity of such production, rounded to the nearest gram. You must also declare the quantity of any Schedule 1, Schedule 2 or Schedule 3 precursor used to produce the declared Schedule 1 chemical, rounded to the nearest gram. You must further declare the quantity of each Schedule 1 chemical consumed or stored by, or domestically transferred from, your facility, whether or not the Schedule 1 chemical was produced by your facility, rounded to the nearest gram. In calculating the amount of Schedule 1 chemical you produced, consumed or stored, count only the amount of the Schedule 1 chemical(s) in a mixture, not the total weight of the mixture (i.e., do not count the weight of the solution, solvent, or container).
(d) For the purpose of determining if a Schedule 1 chemical is subject to declaration, you must declare a Schedule 1 chemical that is an intermediate, but not a transient intermediate.
(e) “Declared” Schedule 1 facilities and routine inspections. Only facilities that submitted a declaration pursuant to paragraph (a)(1) or (a)(2) of this section or § 712.4 of the CWCR are considered “declared” Schedule 1 facilities. A “declared” Schedule 1 facility is subject to initial and routine inspection by the OPCW (see part 716 of the CWCR).
(f) Approval of declared Schedule 1 production facilities. Facilities that submit declarations pursuant to this section are considered approved Schedule 1 production facilities for purposes of the CWC, unless otherwise notified by BIS within 30 days of receipt by BIS of an annual declaration on past activities or annual declaration on anticipated activities (see paragraphs (a)(1) and (a)(2) of this section). If your facility does not produce more than 100 grams aggregate of Schedule 1 chemicals, no approval by BIS is required.
(g) Withdrawal of Schedule 1 initial declarations. A facility subject to §§ 712.3, 712.4 and 712.5 of the CWCR may withdraw its initial declaration at any time by notifying BIS in writing. A notification requesting the withdrawal of the initial declaration should be sent on company letterhead to the address in § 711.6 of the CWCR. BIS will acknowledge receipt of the withdrawal of the initial declaration. Facilities withdrawing their initial declaration may not produce subsequently in excess of 100 grams aggregate of Schedule 1 chemicals within a calendar year unless pursuant to § 712.4.
§ 712.6 Advance notification and annual report of all exports and imports of Schedule 1 chemicals to, or from, other States Parties.
Pursuant to the Convention, the United States is required to notify the OPCW not less than 30 days in advance of every export or import of a Schedule 1 chemical, in any quantity, to or from another State Party. In addition, the United States is required to provide a report of all exports and imports of Schedule 1 chemicals to or from other States Parties during each calendar year. If you plan to export or import any quantity of a Schedule 1 chemical from or to your declared facility, undeclared facility or trading company, you must notify BIS in advance of the export or import and complete an annual report of exports and imports that actually occurred during the previous calendar year. The United States will transmit to the OPCW the advance notifications and a detailed annual declaration of each actual export or import of a Schedule 1 chemical from/to the United States. Note that the advance notification and annual report requirements of this section do not relieve you of any requirement to obtain a license for export of Schedule 1 chemicals subject to the EAR or ITAR or a license for import of Schedule 1 chemicals from the Department of Justice under the Alcohol, Tobacco, Firearms and Explosives Regulations in 27 CFR part 447. Only “declared” facilities, as defined in § 712.5(e) of the CWCR, are subject to initial and routine inspections pursuant to part 716 of the CWCR.
(a) Advance notification of exports and imports. You must notify BIS at least 45 calendar days prior to exporting or importing any quantity of a Schedule 1 chemical, except for exports or imports of 5 milligrams or less of Saxitoxin – B (7) – for medical/diagnostic purposes, listed in supplement no. 1 to this part to or from another State Party. Advance notification of export or import of 5 milligrams or less of Saxitoxin for medical/diagnostic purposes only, must be submitted to BIS at least 3 calendar days prior to export or import. Note that advance notifications for exports may be sent to BIS prior to or after submission of a license application to BIS for Schedule 1 chemicals subject to the EAR and controlled under ECCN 1C351 or to the Department of State for Schedule 1 chemicals controlled under the ITAR. Such advance notifications must be submitted separately from license applications.
(1) Advance notifications should be on company letterhead or must clearly identify the reporting entity by name of company, complete address, name of contact person and telephone and facsimile numbers, along with the following information:
(i) Chemical name;
(ii) Structural formula of the chemical;
(iii) Chemical Abstract Service (CAS) Registry Number;
(iv) Quantity involved in grams;
(v) Planned date of export or import;
(vi) Purpose (end-use) of export or import (i.e., research, medical, pharmaceutical, or protective purposes);
(vii) Name(s) of exporter and importer;
(viii) Complete street address(es) of exporter and importer;
(ix) U.S. export license or control number, if known; and
(x) Company identification number, once assigned by BIS.
(2) Send the advance notification either by fax to (202) 482-1731 or by mail or courier delivery to the following address: Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, and mark it “Attn: Advance Notification of Schedule 1 Chemical [Export] [Import].”
(3) Upon receipt of the advance notification, BIS will inform the exporter or importer of the earliest date after which the shipment may occur under the advance notification procedure. To export a Schedule 1 chemical subject to an export license requirement either under the EAR or the ITAR, the exporter must have applied for and been granted a license (see § 742.2 and § 742.18 of the EAR, or the ITAR at 22 CFR parts 120 through 130).
(b) Annual report requirements for exports and imports of Schedule 1 chemicals. Any person subject to the CWCR that exported or imported any quantity of Schedule 1 chemical to or from another State Party during the previous calendar year has a reporting requirement under this section.
(1) Annual report on exports and imports. Declared and undeclared facilities, trading companies, and any other person subject to the CWCR that exported or imported any quantity of a Schedule 1 chemical to or from another State Party in a previous calendar year must submit an annual report on exports and imports.
(2) Report forms to submit – (i) Declared Schedule 1 facilities. (A) If your facility declared production of a Schedule 1 chemical and you also exported or imported any amount of that same Schedule 1 chemical, you must report the export or import by submitting either:
(1) Combined declaration and report. Submit, along with your declaration, Form 1-3 for that same Schedule 1 chemical to be reported. Attach Form A, as appropriate; Form B is optional; or
(2) Report. Submit, separately from your declaration, a Certification Form, Form 1-1, and a Form 1-3 for each Schedule 1 chemical to be reported. Attach Form A, as appropriate; Form B is optional.
(B) If your facility declared production of a Schedule 1 chemical and exported or imported any amount of a different Schedule 1 chemical, you must report the export or import by submitting either:
(1) Combined declaration and report. Submit, along with your declaration, a Form 1-3 for each Schedule 1 chemical to be reported. Attach Form A, as appropriate; Form B is optional; or
(2) Report. Submit, separately from your declaration, a Certification Form, Form 1-1, and a Form 1-3 for each Schedule 1 chemical to be reported. Attach Form A, as appropriate; Form B is optional.
(ii) If you are an undeclared facility, trading company, or any other person subject to the CWCR, and you exported or imported any amount of a Schedule 1 chemical, you must report the export or import by submitting a Certification Form, Form 1-1, and a Form 1-3 for each Schedule 1 chemical to be reported. Attach Form A, as appropriate; Form B is optional.
(c) Paragraph (a) of this section does not apply to the activities and persons set forth in § 712.2(b) of the CWCR.
§ 712.7 Amended declaration or report.
In order for BIS to maintain accurate information on previously submitted facility declarations, including information necessary to facilitate inspection notifications and activities or to communicate declaration or report requirements, amended declarations or reports will be required under the following circumstances described in this section. This section applies only to annual declarations on past activities and annual reports on exports and imports submitted for the previous calendar year or annual declarations on anticipated activities covering the current calendar year, unless specified otherwise in a final inspection report.
(a) Changes to information that directly affect inspection of a declared facility’s Annual Declaration of Past Activities (ADPA) or Annual Declaration on Anticipated Activities (ADAA). You must submit an amended declaration or report to BIS within 15 days of any change in the following information:
(1) Types of Schedule 1 chemicals produced (e.g., additional Schedule 1 chemicals);
(2) Quantities of Schedule 1 chemicals produced;
(3) Activities involving Schedule 1 chemicals; and
(4) End-use of Schedule 1 chemicals (e.g., additional end-use(s)).
(b) Changes to export or import information submitted in Annual Reports on Exports and Imports from undeclared facilities, trading companies and U.S. persons. You must submit an amended report or amended combined declaration and report for changes to export or import information within 15 days of any change in the following export or import information:
(1) Types of Schedule 1 chemicals exported or imported (e.g., additional Schedule 1 chemicals);
(2) Quantities of Schedule 1 chemicals exported or imported;
(3) Destination(s) of Schedule 1 chemicals exported;
(4) Source(s) of Schedule 1 chemicals imported;
(5) Activities involving exports and imports of Schedule 1 chemicals; and
(6) End-use(s) of Schedule 1 chemicals exported or imported (e.g., additional end-use(s)).
(c) Changes to company and facility information previously submitted to BIS in the ADPA, the ADAA, and the Annual Report on Exports and Imports – (1) Internal company changes. You must submit an amended declaration or report to BIS within 30 days of any change in the following information:
(i) Name of declaration/report point of contact (D-POC), including telephone number, facsimile number, and e-mail address;
(ii) Name(s) of inspection point(s) of contact (I-POC), including telephone number(s), and facsimile number(s);
(iii) Company name (see § 712.7(c)(2) of the CWCR for other company changes);
(iv) Company mailing address;
(v) Facility name;
(vi) Facility owner, including telephone number, and facsimile number; and
(vii) Facility operator, including telephone number, and facsimile number.
(2) Change in ownership of company or facility. If you sold or purchased a declared facility or trading company, you must submit an amended declaration or report to BIS, either before the effective date of the change or within 30 days after the effective date of the change. The amended declaration or report must include the following information:
(i) Information that must be submitted to BIS by the company selling a declared facility:
(A) Name of seller (i.e., name of the company selling a declared facility);
(B) Name of the declared facility and U.S. Code Number for that facility;
(C) Name of purchaser (i.e., name of the new company purchasing a declared facility) and identity of contact person for the purchaser, if known;
(D) Date of ownership transfer or change;
(E) Additional details on sale of the declared facility relevant to ownership or operational control over any portion of that facility (e.g., whether the entire facility or only a portion of the declared facility has been sold to a new owner); and
(F) Details regarding whether the new owner will submit the next declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the facility or trading company.
(1) If the new owner is responsible for submitting the declaration or report for the entire current year, it must have in its possession the records for the period of the year during which the previous owner owned the facility.
(2) If the previous owner and new owner will submit separate declarations for the periods of the calendar year during which each owned the facility (“part-year declarations”), and if, at the time of transfer of ownership, the previous owner’s activities are not above the declaration thresholds set forth in §§ 712.4 and 712.5 of the CWCR, the previous owner and the new owner must still submit declarations to BIS with the below threshold quantities indicated.
(3) If the part-year declarations submitted by the previous owner and the new owner are not, when combined, above the declaration threshold set forth in §§ 712.4 and 712.5 of the CWCR, BIS will return the declarations without action as set forth in § 712.8 of the CWCR.
(4) If part-year reports are submitted by the previous owner and the new owner as required in § 712.5 of the CWCR, BIS will submit both reports in the OPCW.
(ii) Information that must be submitted to BIS by the company purchasing a declared facility:
(A) Name of purchaser (i.e., name of company purchasing a declared facility;
(B) Mailing address of purchaser;
(C) Name of declaration point of contact (D-POC) for the purchaser, including telephone number, facsimile number, and e-mail address;
(D) Name of inspection points of contact (I-POC) for the purchaser, including telephone number(s), facsimile number(s) and e-mail address(es);
(E) Name of the declared facility and U.S. Code Number for that facility;
(F) Location of the declared facility;
(G) Owner and operator of the declared facility, including telephone number, and facsimile number; and
(H) Details on the next declaration or report submission on whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the facility or trading company.
(1) If the new owner is taking responsibility for submitting the declaration or report for the entire current year, it must have in its possession the records for the period of the year during which the previous owner owned the facility.
(2) If the previous owner and new owner will submit separate declarations for the periods of the calendar year during which each owned the facility, and, at the time of transfer of ownership, the previous owner’s activities are not above the declaration thresholds set forth in §§ 712.4 and 712.5 of the CWCR, the previous owner and the new owner must still submit declarations to BIS with the below threshold quantities indicated.
(3) If the part-year declarations submitted by the previous owner and the new owner are not, when combined, above the declaration threshold set forth in §§ 712.4 and 712.5 of the CWCR, BIS will return the declarations without action as set forth in § 712.8 of the CWCR.
(4) If part-year reports are submitted by the previous owner and the new owner as required in § 712.5 of the CWCR, BIS will submit both reports to the OPCW.
You must submit an amendment to your most recently submitted declaration or report for declaring changes to internal company information (e.g., company name change) or changes in ownership of a facility or trading company that have occurred since the submission of this declaration or report. BIS will process the amendment to ensure current information is on file regarding the facility or trading company (e.g., for inspection notifications and correspondence) and will also forward the amended declaration to the OPCW to ensure that they also have current information on file regarding your facility or trading company.
You may notify BIS of change in ownership via a letter to the address given in § 711.6 of the CWCR. If you are submitting an amended declaration or report, use Form B to address details regarding the sale of the declared facility or trading company.
For ownership changes, the declared facility or trading company will maintain its original U.S. Code Number, unless the facility or trading company is sold to multiple owners, at which time BIS will assign new U.S. Code Numbers for the new facilities.
(d) Inspection-related amendments. If, following completion of an inspection (see parts 716 and 717 of the CWCR), you are required to submit an amended declaration based on the final inspection report, BIS will notify you in writing of the information that will be required pursuant to §§ 716.10 and 717.5 of the CWCR. You must submit an amended declaration to BIS no later than 45 days following your receipt of the BIS post-inspection letter.
(e) Non-substantive changes. If, subsequent to the submission of your declaration or report to BIS, you discover one or more non-substantive typographical errors in your declaration or report, you are not required to submit an amended declaration or report to BIS. Instead, you may correct these errors in a subsequent declaration or report.
(f) Documentation required for amended declarations or reports. If you are required to submit an amended declaration or report to BIS pursuant to paragraph (a), (b), (c), or (d) of this section, you must submit either:
(1) A letter containing all of the corrected information required, in accordance with the provisions of this section, to amend your declaration or report; or
(2) Both of the following:
(i) A new Certification Form (i.e., Form 1-1); and
(ii) The specific forms (e.g., annual declaration on past activities) containing the corrected information required, in accordance with the provisions of this part 712, to amend your declaration or report.
§ 712.8 Declarations and reports returned without action by BIS.
If you submit a declaration or report and BIS determines that the information contained therein is not required by the CWCR, BIS will return the original declaration or report to you, without action, accompanied by a letter explaining BIS’s decision. In order to protect your confidential business information, BIS will not maintain a copy of any declaration or report that is returned without action (RWA). However, BIS will maintain a copy of the RWA letter.
§ 712.9 Deadlines for submission of Schedule 1 declarations, reports, advance notifications, and amendments.
Declarations, reports, advance notifications, and amendments required under this part must be postmarked by the appropriate date identified in supplement no. 2 to this part 712. Required declarations, reports, advance notifications, and amendments include:
(a) Annual declaration on past activities (Schedule 1 chemical production during the previous calendar year);
(b) Annual report on exports and imports of Schedule 1 chemicals from facilities, trading companies, and other persons (during the previous calendar year);
(c) Combined declaration and report (production of Schedule 1 chemicals, as well as exports or imports of the same or different Schedule 1 chemicals, by a declared facility during the previous calendar year);
(d) Annual declaration on anticipated activities (anticipated production of Schedule 1 chemicals in the next calendar year);
(e) Advance notification of any export to or import from another State Party;
(f) Initial declaration of a new Schedule 1 chemical production facility; and
(g) Amended declaration or report, including combined declaration and report.
Supplement No. 1 to Part 712 – Schedule 1 Chemicals
| CAS registry No. | |
|---|---|
| A. Toxic Chemicals: | |
| 1. | |
| Not limited to the following examples: | |
| 107-44-8 | |
| 96-64-0 | |
| 2. | |
| Not limited to the following example: | |
| 77-81-6 | |
| 3. | |
| Not limited to the following example: | |
| 50782-69-9 | |
| 4. Sulfur mustards: | |
| 2-Chloroethylchloromethylsulfide | 2625-76-5 |
| 505-60-2 | |
| Bis(2-chloroethylthio)methane | 63869-13-6 |
| 3563-36-8 | |
| 1,3-Bis(2-chloroethylthio)-n-propane | 63905-10-2 |
| 1,4-Bis(2-chloroethylthio)-n-butane | 142868-93-7 |
| 1,5-Bis(2-chloroethylthio)-n-pentane | 142868-94-8 |
| Bis(2-chloroethylthiomethyl)ether | 63918-90-1 |
| 63918-89-8 | |
| 5. Lewisites: | |
| 541-25-3 | |
| 40334-69-8 | |
| 40334-70-1 | |
| 6. Nitrogen mustards: | |
| 538-07-8 | |
| 51-75-2 | |
| 555-77-1 | |
| 7. Saxitoxin | 35523-89-8 |
| 8. Ricin | 9009-86-3 |
| 13. | |
| Not limited to the following examples: | |
| N-(1-(di-n-decylamino)-n-decylidene)-P-decylphosphonamidic fluoride | 2387495-99-8 |
| Methyl-(1-(diethylamino)ethylidene)phosphonamidofluoridate | 2387496-12-8 |
| 14. | |
| Not limited to the following examples: | |
| O-n-Decyl N-(1-(di-n-decylamino)-n decylidene)phosphoramidofluoridate | 2387496-00-4 |
| Methyl (1-(diethylamino)ethylidene)phosphoramidofluoridate | 2387496-04-8 |
| Ethyl (1-(diethylamino)ethylidene)phosphoramidofluoridate | 2387496-06-0 |
| 15. Methyl-(bis(diethylamino)methylene)phosphonamidofluoridate | 2387496-14-0 |
| 16. Carbamates (quaternaries and bisquaternaries of dimethylcarbamoyloxypyridines) | |
| 16.1. | |
| Not limited to the following example: | |
| 1-[N,N-dimethyl-N-(2-hydroxy)ethylammonio]-10-[N-(3-dimethylcarbamoxy-α-picolinyl)-N,N-dimethylammonio]decane dibromide | 77104-62-2 |
| 16.2. | |
| Not limited to the following example: | |
| 1,10-Bis[N-(3-dimethylcarbamoxy-α-picolyl)-N-ethyl-N- methylammonio]decane-2,9-dione dibromide | 77104-00-8 |
| B. Precursors: | |
| 9. | |
| Not limited to the following example: | |
| 676-99-3 | |
| 10. | |
| Not limited to the following example: | |
| 57856-11-8 | |
| 11. Chlorosarin: O-Isopropyl methylphosphonochloridate | 1445-76-7 |
| 12. Chlorosoman: O-Pinacolyl methylphosphonochloridate | 7040-57-5 |
Notes to Supplement No. 1
Supplement No. 2 to Part 712 – Deadlines for Submission of Schedule 1 Declarations, Advance Notifications, Reports, and Amendments
| Declarations, advance notifications and reports | Applicable forms | Due dates |
|---|---|---|
| Annual Declaration on Past Activities (previous calendar year) – Declared facility (past production) | Certification, 1-1, 1-2,1-2A,1-2B, A (as appropriate), B (optional) | February 28th of the year following any calendar year in which more than 100 grams aggregate of Schedule 1 chemicals were produced, |
| Annual report on exports and imports (previous calendar year) (facility, trading company, other persons) | Certification, 1-1,1-3, A (as appropriate), B (optional) | February 28th of the year following any calendar year in which Schedule 1 chemicals were exported or imported. |
| Combined Declaration and Report | Certification, 1-1, 1-2, 1-2A, 1-2B, 1-3, A (as appropriate), B (optional) | February 28th of the year following any calendar year in which Schedule 1 chemicals were produced, exported, or imported. |
| Annual Declaration of Anticipated Activities (next calendar year) | Certification, 1-1, 1-4, A (as appropriate), B (optional) | September 3rd of the year prior to any calendar year in which Schedule 1 activities are anticipated to occur. |
| Advance Notification of any export to or import from another State Party | Notify on letterhead. See § 712.6 of the CWCR | 45 calendar days prior to any export or import of Schedule 1 chemicals, except 3 days prior to export or import of 5 milligrams or less of saxitoxin for medical/diagnositc purposes. |
| Initial Declaration of a new Schedule 1 facility (technical description) | Certification, 1-1, A (as appropriate), B (optional) | 200 calendar days prior to producing in excess of 100 grams aggregate of Schedule 1 chemicals. |
| Amended Declaration | Certification, 1-1, 1-2, 1-2A | |
| – Chemicals/Activities: § 712.7(a) | – 15 calendar days after change in information. | |
| – Company information: § 712.7(c) | – 30 calendar days after change in information. | |
| – Post-inspection letter: § 712.7(d) | – 45 calendar days after receipt of letter. | |
| Amended Report § 712.7(b) | Certification, 1-1, 1-3, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
| Amended Combined Declaration & Report | Certification, 1-1, 1-2, 1-2A, 1-3, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
PART 713 – ACTIVITIES INVOLVING SCHEDULE 2 CHEMICALS
§ 713.1 Prohibition on exports and imports of Schedule 2 chemicals to and from States not Party to the CWC.
(a) You may not export any Schedule 2 chemical (see supplement no. 1 to this part) to any destination or import any Schedule 2 chemical from any destination other than a State Party to the Convention. See supplement no. 1 to part 710 of the CWCR for a list of States that are party to the Convention.
See § 742.18 of the Export Administration Regulations (EAR) (15 CFR part 742) for prohibitions that apply to exports of Schedule 2 chemicals to States not Party to the CWC.
(b) Paragraph (a) of this section does not apply to:
(1) The export or import of a Schedule 2 chemical to or from a State not Party to the CWC by a department, agency, or other entity of the United States, or by any person, including a member of the Armed Forces of the United States, who is authorized by law, or by an appropriate officer of the United States to transfer or receive the Schedule 2 chemical;
(2) Mixtures containing Schedule 2A chemicals, if the concentration of each Schedule 2A chemical in the mixture is 1% or less by weight (note, however, that such mixtures may be subject to the regulatory requirements of other federal agencies);
(3) Mixtures containing Schedule 2B chemicals if the concentration of each Schedule 2B chemical in the mixture is 10% or less by weight (note, however, that such mixtures may be subject to the regulatory requirements of other federal agencies); or
(4) Products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.
§ 713.2 Annual declaration requirements for plant sites that produce, process or consume Schedule 2 chemicals in excess of specified thresholds.
(a) Declaration of production, processing or consumption of Schedule 2 chemicals for purposes not prohibited by the CWC – (1) Quantities of production, processing or consumption that trigger declaration requirements. You must complete the forms specified in paragraph (b) of this section if you have been or will be involved in the following activities:
(i) Annual declaration on past activities. (A) You produced, processed or consumed at one or more plants on your plant site during any of the previous three calendar years, a Schedule 2 chemical in excess of any of the following declaration threshold quantities:
(1) 1 kilogram of chemical BZ: 3-Quinuclidinyl benzilate (see Schedule 2, paragraph A.3 in supplement no. 1 to this part);
(2) 100 kilograms of chemical PFIB: 1,1,3,3,3-Pentafluoro-2(trifluoromethyl)-1-propene or 100 kilograms of chemical Amiton: 0,0-Diethyl S-[2-(diethylamino) ethyl] phosphorothiolate and corresponding alkylated or protonated salts (see Schedule 2, paragraphs A.1 and A.2 in supplement no. 1 to this part); or
(3) 1 metric ton of any chemical listed in Schedule 2, Part B (see supplement no. 1 to this part).
(B) In order to trigger a declaration requirement for a past activity (i.e., production, processing or consumption) involving a Schedule 2 chemical, a plant on your plant site must have exceeded the applicable declaration threshold for that particular activity during one or more of the previous three calendar years. For example, if a plant on your plant site produced 800 kilograms of thiodiglycol and consumed 300 kilograms of the same Schedule 2 chemical, during the previous calendar year, you would not have a declaration requirement based on these activities, because neither activity at your plant would have exceeded the declaration threshold of 1 metric ton for that Schedule 2 chemical. However, a declaration requirement would apply if an activity involving a Schedule 2 chemical at the plant exceeded the declaration threshold in an earlier year (i.e., during the course of any other calendar year within the past three calendar years), as indicated in the example provided in the note to this paragraph.
To determine whether or not you have an annual declaration on past activities requirement for Schedule 2 chemicals, you must determine whether you produced, processed or consumed a Schedule 2 chemical above the applicable threshold at one or more plants on your plant site in any one of the three previous calendar years. For example, for the 2004 annual declaration on past activities period, if you determine that one plant on your plant site produced greater than 1 kilogram of the chemical BZ in calendar year 2002, and no plants on your plant site produced, processed or consumed any Schedule 2 chemical above the applicable threshold in calendar years 2003 or 2004, you still have a declaration requirement under this paragraph for the previous calendar year (2004). However, you must only declare on Form 2-3 (question 2-3.1), production data for calendar year 2004. You would declare “0” production because you did not produce BZ above the applicable threshold in calendar year 2004. Since the plant site did not engage in any other declarable activity (i.e., consumption, processing) in the 2002-2004 declaration period, you would leave blank questions 2-3.2 and 2-3.3 on Form 2-3. Note that declaring a “0” production quantity for 2004, as opposed to leaving the question blank, permits BIS to distinguish the activity that triggered the declaration requirement from activities that were not declarable during that period.
(ii) Annual declaration on anticipated activities. You anticipate that you will produce, process or consume at one or more plants on your plant site during the next calendar year, a Schedule 2 chemical in excess of the applicable declaration threshold set forth in paragraphs (a)(1)(i)(A)(1) through (3) of this section.
A null “0” declaration is not required if you do not plan to produce, process or consume a Schedule 2 chemical in the next calendar year.
(2) Schedule 2 chemical production. (i) For the purpose of determining Schedule 2 production, you must include all steps in the production of a chemical in any units within the same plant through chemical reaction, including any associated processes (e.g., purification, separation, extraction, distillation, or refining) in which the chemical is not converted into another chemical. The exact nature of any associated process (e.g., purification, etc.) is not required to be declared.
(ii) For the purpose of determining if a Schedule 2 chemical is subject to declaration, you must declare an intermediate Schedule 2 chemical, but not a transient intermediate Schedule 2 chemical.
(3) Mixtures containing a Schedule 2 chemical – (i) Mixtures that must be counted. You must count the quantity of each Schedule 2 chemical in a mixture, when determining the total quantity of a Schedule 2 chemical produced, processed, or consumed at a plant on your plant site, if the concentration of each Schedule 2 chemical in the mixture is 30% or more by volume or by weight, whichever yields the lesser percent. Do not count a Schedule 2 chemical in the mixture that represents less than 30% by volume or by weight.
(ii) How to count the quantity of each Schedule 2 chemical in a mixture. If your mixture contains 30% or more concentration of a Schedule 2 chemical, you must count the quantity (weight) of each Schedule 2 chemical in the mixture, not the total weight of the mixture. You must separately declare each Schedule 2 chemical with a concentration in the mixture that is 30% or more and exceeds the quantity threshold detailed in paragraphs (a)(1)(i)(A)(1) through (3) of this section.
(iii) Determining declaration requirements for production, processing and consumption. If the total quantity of a Schedule 2 chemical produced, processed or consumed at a plant on your plant site, including mixtures that contain 30% or more concentration of a Schedule 2 chemical, exceeds the applicable declaration threshold set forth in paragraphs (a)(1)(i)(A)(1) through (3) of this section, you have a declaration requirement. For example, if during calendar year 2001, a plant on your plant site produced a mixture containing 300 kilograms of thiodiglycol in a concentration of 32% and also produced 800 kilograms of thiodiglycol, the total amount of thiodiglycol produced at that plant for CWCR purposes would be 1100 kilograms, which exceeds the declaration threshold of 1 metric ton for that Schedule 2 chemical. You must declare past production of thiodiglycol at that plant site for calendar year 2001. If, on the other hand, a plant on your plant site processed a mixture containing 300 kilograms of thiodiglycol in a concentration of 25% and also processed 800 kilograms of thiodiglycol in other than mixture form, the total amount of thiodiglycol processed at that plant for CWCR purposes would be 800 kilograms and would not trigger a declaration requirement. This is because the concentration of thiodiglycol in the mixture is less than 30% and therefore did not have to be “counted” and added to the other 800 kilograms of processed thiodiglycol at that plant.
(b) Types of declaration forms to be used – (1) Annual declaration on past activities. You must complete the Certification Form and Forms 2-1, 2-2, 2-3, 2-3A, and Form A if one or more plants on your plant site produced, processed or consumed more than the applicable threshold quantity of a Schedule 2 chemical described in paragraphs (a)(1)(i)(A)(1) through (3) of this section in any of the three previous calendar years. Form B is optional. If you are subject to annual declaration requirements, you must include data for the previous calendar year only.
(2) Annual declaration on anticipated activities. You must complete the Certification Form and Forms 2-1, 2-2, 2-3, 2-3A, 2-3C, and Form A if you plan to produce, process, or consume at any plant on your plant site a Schedule 2 chemical above the applicable threshold set forth in paragraphs (a)(1)(i)(A)(1) through (3) of this section during the following calendar year. Form B is optional.
(c) Quantities to be declared – (1) Production, processing and consumption of a Schedule 2 chemical above the declaration threshold – (i) Annual declaration on past activities. If you are required to complete forms pursuant to paragraph (a)(1)(i) of this section, you must declare the aggregate quantity resulting from each type of activity (production, processing or consumption) from each plant on your plant site that exceeds the applicable threshold for that Schedule 2 chemical. Do not include in these aggregate production, processing, and consumption quantities any data from plants on the plant site that did not individually produce, process or consume a Schedule 2 chemical in amounts greater than the applicable threshold. For example, if a plant on your plant site produced a Schedule 2 chemical in an amount greater than the applicable declaration threshold during the previous calendar year, you would have to declare only the production quantity from that plant, provided that the total amount of the Schedule 2 chemical processed or consumed at the plant did not exceed the applicable declaration threshold during any one of the previous three calendar years. If in the previous calendar year your production, processing and consumption activities all were below the applicable declaration threshold, but your declaration requirement is triggered because of production activities occurring in an earlier year, you would declare “0” only for the declared production activities.
(ii) Annual declaration on anticipated activities. If you are required to complete forms pursuant to paragraph (a)(1)(ii) of this section, you must declare the aggregate quantity of any Schedule 2 chemical that you plan to produce, process or consume at any plant(s) on your plant site above the applicable thresholds set forth in paragraphs (a)(1)(i)(A)(1) through (3) of this section during the next calendar year. Do not include in these anticipated aggregate production, processing, and consumption quantities any data from plants on the plant site that you do not anticipate will individually produce, process or consume a Schedule 2 chemical in amounts greater than the applicable thresholds.
(2) Rounding. For the chemical BZ, report quantities to the nearest hundredth of a kilogram (10 grams). For PFIB and the Amiton family, report quantities to the nearest 1 kilogram. For all other Schedule 2 chemicals, report quantities to the nearest 10 kilograms.
(d) “Declared” Schedule 2 plant site. A plant site that submitted a declaration pursuant to paragraph (a)(1) of this section is a “declared” plant site.
(e) Declared Schedule 2 plant sites subject to initial and routine inspections. A “declared” Schedule 2 plant site is subject to initial and routine inspection by the Organization for the Prohibition of Chemical Weapons if it produced, processed or consumed in any of the three previous calendar years, or is anticipated to produce, process or consume in the next calendar year, in excess of ten times the applicable declaration threshold set forth in paragraphs (a)(1)(i)(A)(1) through (3) of this section (see part 716 of the CWCR). A “declared” Schedule 2 plant site that has received an initial inspection is subject to routine inspection.
§ 713.3 Annual declaration and reporting requirements for exports and imports of Schedule 2 chemicals.
(a) Declarations and reports of exports and imports of Schedule 2 chemicals – (1) Declarations. A Schedule 2 plant site that is declared because it produced, processed or consumed a Schedule 2 chemical at one or more plants above the applicable threshold set forth in paragraph (b) of this section, and also exported from or imported to the plant site that same Schedule 2 chemical above the applicable threshold, must submit export and import information as part of its declaration.
(2) Reports. The following persons must submit a report if they individually exported or imported a Schedule 2 chemical above the applicable threshold indicated in paragraph (b) of this section:
(i) A declared plant site that exported or imported a Schedule 2 chemical that was different than the Schedule 2 chemical produced, processed or consumed at one or more plants at the plant site above the applicable declaration threshold;
(ii) An undeclared plant site;
(iii) A trading company; or
(iv) Any other person subject to the CWCR.
A declared Schedule 2 plant site may need to declare exports or imports of Schedule 2 chemicals that it produced, processed or consumed above the applicable threshold and also report exports or imports of different Schedule 2 chemicals that it did not produce, process or consume above the applicable threshold quantities. The report may be submitted to BIS either with or separately from the annual declaration on past activities (see § 713.3(d) of the CWCR).
The U.S. Government will not submit to the OPCW company-specific information relating to the export or import of Schedule 2 chemicals contained in reports. The U.S. Government will add all export and import information contained in reports to export and import information contained in declarations to establish the U.S. national aggregate declaration on exports and imports.
Declared and undeclared plant sites must count, for declaration or reporting purposes, all exports from and imports to the entire plant site, not only from or to individual plants on the plant site.
(b) Quantities of exports or imports that trigger a declaration or reporting requirement. (1) You have a declaration or reporting requirement and must complete the forms specified in paragraph (d) of this section if you exported or imported a Schedule 2 chemical in excess of the following threshold quantities:
(i) 1 kilogram of chemical BZ: 3-Quinuclidinyl benzilate (See Schedule 2, paragraph A.3 included in supplement no. 1 to this part);
(ii) 100 kilograms of chemical PFIB: 1,1,3,3,3-Pentafluoro-2(trifluoromethyl)-1-propene or 100 kilograms of Amiton: O,O Diethyl S-[2(diethylamino)ethyl] phosphorothiolate and corresponding alkylated or protonated salts (see Schedule 2, paragraphs A.1 and A.2 included in supplement no.1 to this part); or
(iii) 1 metric ton of any chemical listed in Schedule 2, Part B (see supplement no.1 to this part).
(2) Mixtures containing a Schedule 2 chemical. The quantity of each Schedule 2 chemical contained in a mixture must be counted for the declaration or reporting of an export or import only if the concentration of each Schedule 2 chemical in the mixture is 30% or more by volume or by weight, whichever yields the lesser percent. You must declare separately each Schedule 2 chemical whose concentration in the mixture is 30% or more.
See § 713.2(a)(2)(ii) of the CWCR for information on counting amounts of Schedule 2 chemicals contained in mixtures and determining declaration and reporting requirements.
The “30% and above” mixtures rule applies only for declaration and reporting purposes. This rule does not apply for purposes of determining whether the export of your mixture to a non-State Party requires an End-Use Certificate or for determining whether you need an export license from BIS (see § 742.2, § 742.18 and § 745.2 of the Export Administration Regulations) or from the Department of State (see the International Traffic in Arms Regulations (22 CFR parts 120 through130)).
(c) Declaration and reporting requirements – (1) Annual declaration on past activities. A plant site described in paragraph (a)(1) of this section that has an annual declaration requirement for the production, processing, or consumption of a Schedule 2 chemical for the previous calendar year also must declare the export and/or import of that same Schedule 2 chemical if the amount exceeded the applicable threshold set forth in paragraph (b) of this section. The plant site must declare such export or import information as part of its annual declaration of past activities.
(2) Annual report on exports and imports. Declared plant sites described in paragraph (a)(2)(i) of this section, and undeclared plant sites, trading companies or any other person (described in paragraphs (a)(2)(ii) through (iv) of this section) subject to the CWCR that exported or imported a Schedule 2 chemical in a previous calendar year in excess of the applicable thresholds set forth in paragraph (b) of this section must submit an annual report on such exports or imports.
(d) Types of declaration and reporting forms to be used – (1) Annual declaration on past activities. If you are a declared Schedule 2 plant site, as described in paragraph (a)(1) of this section, you must complete Form 2-3B, in addition to the forms required by § 713.2(b)(1) of the CWCR, for each declared Schedule 2 chemical exported or imported above the applicable threshold in the previous calendar year.
(2) Annual report on exports and imports. (i) If you are a declared plant site, as described in paragraph (a)(2)(i) of this section, you may fulfill your annual reporting requirements by:
(A) Submitting, with your annual declaration on past activities, a Form 2-3B for each Schedule 2 chemical you exported or imported above the applicable threshold. Attach Form A, as appropriate; Form B is optional; or
(B) Submitting, separately from your annual declaration on past activities, a Certification Form, Form 2-1, and Form 2-3B for each Schedule 2 chemical you exported or imported above the applicable threshold. Attach Form A, as appropriate; Form B is optional.
(ii) If you are an undeclared plant site, trading company or any other person subject to the CWCR, you must complete the Certification Form, Form 2-1, and Form 2-3B for each Schedule 2 chemical you exported or imported above the applicable threshold. Attach Form A, as appropriate; Form B is optional.
(e) Quantities to be declared – (1) Calculations. If you exported from or imported to your plant site, trading company, or other location more than the applicable threshold of a Schedule 2 chemical in the previous calendar year, you must declare or report all exports and imports of that chemical by country of destination or country of origin, respectively, and indicate the total amount exported to or imported from each country.
(2) Rounding. For purposes of declaring or reporting exports and imports of a Schedule 2 chemical, you must total all exports and imports per calendar year per recipient or source and then round as follows: For the chemical BZ, the total quantity for each country of destination or country of origin (source) should be reported to the nearest hundredth of a kilogram (10 grams); for PFIB and Amiton and corresponding alkylated or protonated salts, the quantity for each destination or source should be reported to the nearest 1 kilogram; and for all other Schedule 2 chemicals, the total quantity for each destination or source should be reported to the nearest 10 kilograms.
§ 713.4 Advance declaration requirements for additionally planned production, processing, or consumption of Schedule 2 chemicals.
(a) Declaration requirements for additionally planned activities. (1) You must declare additionally planned production, processing, or consumption of Schedule 2 chemicals after the annual declaration on anticipated activities for the next calendar year has been delivered to BIS if:
(i) You plan that a previously undeclared plant on your plant site under § 713.2(a)(1)(ii) of the CWCR will produce, process, or consume a Schedule 2 chemical above the applicable declaration threshold;
(ii) You plan to produce, process, or consume at a plant declared under § 713.2(a)(1)(ii) of the CWCR an additional Schedule 2 chemical above the applicable declaration threshold;
(iii) You plan an additional activity (production, processing, or consumption) at your declared plant above the applicable declaration threshold for a chemical declared under § 713.2(a)(1)(ii) of the CWCR;
(iv) You plan to increase the production, processing, or consumption of a Schedule 2 chemical by a plant declared under § 713.2(a)(1)(ii) of the CWCR from the amount exceeding the applicable declaration threshold to an amount exceeding the applicable inspection threshold (see § 716.1(b)(2) of the CWCR);
(v) You plan to change the starting or ending date of anticipated production, processing, or consumption declared under § 713.2(a)(1)(ii) of the CWCR by more than three months; or
(vi) You plan to increase your production, processing, or consumption of a Schedule 2 chemical by a declared plant site by 20 percent or more above that declared under § 713.2(a)(1)(ii) of the CWCR.
(2) If you must submit a declaration on additionally planned activities because you plan to engage in any of the activities listed in paragraphs (a)(1)(i) through (vi) of this section, you also should declare changes to your declaration relating to the following activities. You do not have to submit an additionally planned declaration if you are only changing the following non-quantitative activities:
(i) Changes to the plant’s production capacity;
(ii) Changes or additions to the product group codes for the plant site or the plant(s);
(iii) Changes to the plant’s activity status (i.e., dedicated, multipurpose, or other status);
(iv) Changes to the plant’s multipurpose activities;
(v) Changes to the plant site’s status relating to domestic transfer of the chemical;
(vi) Changes to the plant site’s purposes for which the chemical will be produced, processed or consumed; or
(vii) Changes to the plant site’s status relating to exports of the chemical or the addition of new countries for export.
(b) Declaration forms to be used. If you are required to declare additionally planned activities pursuant to paragraph (a) of this section, you must complete the Certification Form and Forms 2-1, 2-2, 2-3, and 2-3C as appropriate. Such forms are due to BIS at least 15 days prior to beginning the additional activity.
§ 713.5 Amended declaration or report.
In order for BIS to maintain accurate information on previously submitted plant site declarations, including information necessary to facilitate inspection notifications and activities or to communicate declaration or reporting requirements, amended declarations or reports will be required under the circumstances described in this section. This section applies only to annual declarations on past activities submitted for the three previous calendar years, annual reports on exports and imports for the previous calendar year or annual declarations on anticipated activities covering the current calendar year, unless specified otherwise in a final inspection report.
(a) Changes to information that directly affect inspection of a declared plant site’s Annual Declaration of Past Activities (ADPA) or Combined Annual Declaration and Report. You must submit an amended declaration or report to BIS within 15 days of any change in the following information:
(1) Types of Schedule 2 chemicals produced, processed, or consumed;
(2) Quantities of Schedule 2 chemicals produced, processed, or consumed;
(3) Activities involving Schedule 2 chemicals (production, processing, consumption);
(4) End-use of Schedule 2 chemicals (e.g., additional end-use(s));
(5) Product group codes for Schedule 2 chemicals produced, processed, or consumed;
(6) Production capacity for manufacturing a specific Schedule 2 chemical at particular plant site;
(7) Exports or imports (e.g., changes in the types of Schedule 2 chemicals exported or imported or in the quantity, recipients, or sources of such chemicals);
(8) Domestic transfers (e.g., changes in the types of Schedule 2 chemicals, types of destinations, or product group codes); and
(9) Addition of new plant(s) for the production, processing, or consumption of Schedule 2 chemicals.
(b) Changes to export or import information submitted in Annual Reports on Exports and Imports from undeclared plant sites, trading companies and U.S. persons. You must submit an amended report or amended combined declaration and report to BIS within 15 days of any change in the following export or import information:
(1) Types of Schedule 2 chemicals exported or imported (additional Schedule 2 chemicals);
(2) Quantities of Schedule 2 chemicals exported or imported;
(3) Destination(s) of Schedule 2 chemicals exported; and
(4) Source(s) of Schedule 2 chemicals imported.
(c) Changes to company and plant site information that must be maintained by BIS for the ADPA, Annual Declaration on Anticipated Activities (ADAA), and the Annual Report on Exports and Imports – (1) Internal company changes. You must submit an amended declaration or report to BIS within 30 days of any change in the following information:
(i) Name of declaration/report point of contact (D-POC), including telephone number, facsimile number, and e-mail address;
(ii) Name(s) of inspection point(s) of contact (I-POC), including telephone number(s), facsimile number(s) and e-mail address(es);
(iii) Company name (see paragraph (c)(2) of this section for other company changes);
(iv) Company mailing address;
(v) Plant site name;
(vi) Plant site owner, including telephone number, and facsimile number;
(vii) Plant site operator, including telephone number, and facsimile number;
(viii) Plant name;
(ix) Plant owner, including telephone number, and facsimile number; and
(x) Plant operator, including telephone number and facsimile number.
(2) Change in ownership of company, plant site, or plant. If you sold or purchased a declared plant site, plant, or trading company you must submit an amended declaration or report to BIS, either before the effective date of the change or within 30 days after the effective date of the change. The amended declaration or report must include the following information:
(i) Information that must be submitted to BIS by the company selling a declared plant site:
(A) Name of seller (i.e., name of the company selling a declared plant site);
(B) Name of the declared plant site and U.S. Code Number for that plant site;
(C) Name of purchaser (i.e., name of the new company/owner purchasing a declared plant site) and identity of contact person for the purchaser, if known;
(D) Date of ownership transfer or change;
(E) Additional (e.g., unique) details on the sale of the declared plant site relevant to ownership or operational control over any portion of the declared plant site (e.g., whether the entire plant site or only a portion of the declared plant site has been sold to a new owner); and
(F) Details regarding whether the new owner will submit the next declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company.
(1) If the new owner is responsible for submitting the declaration or report for the entire current year, it must have in its possession the records for the period of the year during which the previous owner owned the plant site.
(2) If the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site, and, if at the time of transfer of ownership, the previous owner’s activities are not above the declaration or reporting thresholds set forth in § 713.2(a)(1)(i)(A)(1) through (3) and § 713.3(b)(1)(i) through (iii) of the CWCR, respectively, the previous owner and the new owner must still submit declarations to BIS with the below threshold quantities indicated.
(3) If the part-year declarations submitted by the previous owner and the new owner are not, when combined, above the declaration thresholds set forth in § 713.2(a)(1)(i)(A)(1) through (3) of the CWCR, BIS will return the declarations without action as set forth in § 713.6 of the CWCR.
(4) If part-year reports submitted by the previous owner and the new owner are not, when combined, above the thresholds in §§ 713.3(b)(1)(i) through (iii) of the CWCR, BIS will return the reports without action as set forth in § 713.6 of the CWCR.
(ii) Information that must be submitted to BIS by the company purchasing a declared plant site:
(A) Name of purchaser (i.e., name of individual or company purchasing a declared plant site);
(B) Mailing address of purchaser;
(C) Name of declaration point of contact (D-POC) for the purchaser, including telephone number, facsimile number, and e-mail address;
(D) Name of inspection point(s) of contact (I-POC) for the purchaser, including telephone number(s), facsimile number(s) and e-mail address(es);
(E) Name of the declared plant site and U.S. Code Number for that plant site;
(F) Location of the declared plant site;
(G) Owner of the declared plant site, including telephone number, and facsimile number;
(H) Operator of the declared plant site, including telephone number, and facsimile number;
(I) Name of plant(s) where Schedule 2 activities exceed the applicable declaration threshold;
(J) Owner and operator of plant(s) where Schedule 2 activities exceed the applicable declaration threshold, including telephone numbers, and facsimile numbers;
(K) Location of the plant where Schedule 2 activities exceed the applicable declaration threshold; and
(L) Details on the next declaration or report submission on whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company.
You must submit an amendment to your most recently submitted declaration or report for declaring changes to internal company information (e.g., company name change) or changes in ownership of a facility or trading company that have occurred since the submission of this declaration or report. BIS will process the amendment to ensure current information is on file regarding the facility or trading company (e.g., for inspection notifications and correspondence) and will also forward the amended declaration to the OPCW to ensure that they also have current information on file regarding your facility or trading company.
You may notify BIS of change in ownership via a letter to the address given in § 711.6 of the CWCR. If you are submitting an amended declaration or report, use Form B to address details regarding the sale of the declared plant site or trading company.
For ownership changes, the declared facility or trading company will maintain its original U.S. Code Number, unless the plant site or trading company is sold to multiple owners, at which time BIS will assign new U.S. Code Numbers.
(d) Inspection-related amendments. If, following the completion of an inspection (see parts 716 and 717 of the CWCR), you are required to submit an amended declaration based on the final inspection report, BIS will notify you in writing of the information that will be required pursuant to §§ 716.10 and 717.5 of the CWCR. You must submit an amended declaration to BIS no later than 45 days following your receipt of BIS’s post-inspection letter.
(e) Non-substantive changes. If, subsequent to the submission of your declaration or report to BIS, you discover one or more non-substantive typographical errors in your declaration or report, you are not required to submit an amended declaration or report to BIS. Instead, you may correct these errors in a subsequent declaration or report.
(f) Documentation required for amended declarations or reports. If you are required to submit an amended declaration or report to BIS pursuant to paragraph (a), (b), (c), or (d) of this section, you must submit either:
(1) A letter containing all of the corrected information required, in accordance with the provisions of this section, to amend your declaration or report; or
(2) Both of the following:
(i) A new Certification Form; and
(ii) The specific forms required for the declaration or report type being amended (e.g., annual declaration on past activities) containing the corrected information required, in accordance with the requirements of this section, to amend your declaration or report.
§ 713.6 Declarations and reports returned without action by BIS.
If you submit a declaration or report and BIS determines that the information contained therein is not required by the CWCR, BIS will return the original declaration or report to you, without action, accompanied by a letter explaining BIS’s decision. In order to protect your confidential business information, BIS will not maintain a copy of any declaration or report that is returned without action (RWA). However, BIS will maintain a copy of the RWA letter.
§ 713.7 Deadlines for submission of Schedule 2 declarations, reports, and amendments.
Declarations, reports, and amendments required under this part must be postmarked by the appropriate date identified in supplement no. 2 to this part 713. Required declarations, reports, and amendments include:
(a) Annual declaration on past activities (production, processing, or consumption of Schedule 2 chemicals during the previous calendar year);
(b) Annual report on exports and imports of Schedule 2 chemicals by plant sites, trading companies, and other persons subject to the CWCR (during the previous calendar year);
(c) Combined declaration and report (production, processing, or consumption of Schedule 2 chemicals, as well as exports or imports of the same or different Schedule 2 chemicals, by a declared plant site during the previous calendar year);
(d) Annual declaration on anticipated activities (production, processing or consumption) involving Schedule 2 chemicals during the next calendar year;
(e) Declaration on Additionally Planned Activities (production, processing or consumption) involving Schedule 2 chemicals; and
(f) Amended declaration and report, including combined declaration and report.
Supplement No. 1 to Part 713 – Schedule 2 Chemicals
| (CAS registry number) | |
|---|---|
| A. Toxic chemicals: | |
| (1) Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate and corresponding alkylated or protonated salts | (78-53-5) |
| (2) PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene | (382-21-8) |
| (3) BZ: 3-Quinuclidinyl benzilate | (6581-06-2) |
| B. Precursors: | |
| (4) Chemicals, except for those listed in Schedule 1, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms, e.g. Methylphosphonyl dichloride | (676-97-1) |
| Dimethyl methylphosphonate | (756-79-6) |
| Exemption: Fonofos: O-Ethyl S-phenyl ethylphosphono-thiolothionate | (944-22-9) |
| (5) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) phosphoramidic dihalides | |
| (6) Dialkyl (Me, Et, n-Pr or i-Pr) N,N-dialkyl (Me, Et, n-Pr or i-Pr)-phosphoramidates | |
| (7) Arsenic trichloride | (7784-34-1) |
| (8) 2,2-Diphenyl-2-hydroxyacetic acid | (76-93-7) |
| (9) Quinuclidine-3-ol | (1619-34-7) |
| (10) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethyl-2-chlorides and corresponding protonated salts | |
| (11) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-ols and corresponding protonated salts | |
| Exemptions: N,N-Dimethylaminoethanol and corresponding protonated salts | (108-01-0) |
| N,N-Diethylaminoethanol and corresponding protonated salts | (100-37-8) |
| (12) N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-thiols and corresponding protonated salts | |
| (13) Thiodiglycol: Bis(2-hydroxyethyl)sulfide | (111-48-8) |
| (14) Pinacolyl alcohol: 3,3-Dimethylbutane-2-ol | (464-07-3) |
Notes to Supplement No. 1
Supplement No. 2 to Part 713 – Deadlines for Submission of Schedule 2 Declarations, Reports, and Amendments
| Declarations and reports | Applicable forms | Due dates |
|---|---|---|
| Annual Declaration on Past Activities (previous calendar year) – Declared plant site (production, processing, or consumption) | Certification, 2-1, 2-2, 2-3, 2-3A, 2-3B (if also exported or imported), A (as appropriate), B (optional) | February 28 of the year following any calendar year in which the production, processing, or consumption of a Schedule 2 chemical exceeded the applicable declaration thresholds in § 713.2(a)(1)(i) of the CWCR. |
| Annual Report on Exports and Imports (previous calendar year) – Plant site, trading company, other persons | Certification, 2-1, 2-3B, A (as appropriate), B (optional) | February 28 of the year following any calendar year in which exports or imports of a Schedule 2 chemical by a plant site, trading company, or other person subject to the CWCR (as described in § 713.3(a)(2) of the CWCR) exceeded the applicable thresholds in § 713.3(b)(1) of the CWCR. |
| Combined Declaration & Report – Declared plant site (production, processing, or consumption; exports and imports) | Certification, 2-1, 2-2, 2-3, 2-3A, 2-3B, A (as appropriate), B (optional) | February 28 of the year following any calendar year in which the production, processing, or consumption of a Schedule 2 chemical and the export or import of the same or a different Schedule 2 chemical by a declared plant site exceeded the applicable thresholds in §§ 713.2(a)(1)(i) and 713.3(b)(1), respectively, of the CWCR. |
| Annual Declaration on Anticipated Activities (next calendar year) | Certification, 2-1, 2-2, 2-3, 2-3A, 2-3C, A (as appropriate), B (optional) | September 3 of the year prior to any calendar year in which Schedule 2 activities are anticipated to occur. |
| Declaration on Additionally Planned Activities (production, processing and consumption) | Certification, 2-1, 2-2, 2-3, 2-3A, 2-3C, A (as appropriate), B (optional) | 15 calendar days before the additionally planned activity begins. |
| Amended Declaration | Certification, 2-1, 2-2, 2-3 2-3A, 2-3B (if also exported or imported), A (as appropriate), B (optional) | |
| – Declaration information | – 15 calendar days after change in information. | |
| – Company information | – 30 calendar days after change in information. | |
| – Post-inspection letter | – 45 calendar days after receipt of letter. | |
| Amended Report | Certification, 2-1, 2-3B, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
| Amended Combined Declaration & Report | Certification, 2-1, 2-2, 2-3, 2-3A, 2-3B, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
PART 714 – ACTIVITIES INVOLVING SCHEDULE 3 CHEMICALS
§ 714.1 Annual declaration requirements for plant sites that produce a Schedule 3 chemical in excess of 30 metric tons.
(a) Declaration of production of Schedule 3 chemicals for purposes not prohibited by the CWC – (1) Production quantities that trigger the declaration requirement. You must complete the appropriate forms specified in paragraph (b) of this section if you have produced or anticipate producing a Schedule 3 chemical (see supplement no. 1 to this part) as follows:
(i) Annual declaration on past activities. You produced at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year.
(ii) Annual declaration on anticipated activities. You anticipate that you will produce at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical in the next calendar year.
(2) Schedule 3 chemical production. (i) For the purpose of determining Schedule 3 production, you must include all steps in the production of a chemical in any units within the same plant through chemical reaction, including any associated processes (e.g., purification, separation, extraction, distillation, or refining) in which the chemical is not converted into another chemical. The exact nature of any associated process (e.g., purification, etc.) is not required to be declared.
(ii) For the purpose of determining if a Schedule 3 chemical is subject to declaration, you must declare an intermediate Schedule 3 chemical, but not a transient intermediate Schedule 3 chemical.
(3) Mixtures containing a Schedule 3 chemical – (i) When you must count the quantity of a Schedule 3 chemical in a mixture for declaration purposes. The quantity of each Schedule 3 chemical contained in a mixture must be counted for declaration purposes only if the concentration of each Schedule 3 chemical in the mixture is 80% or more by volume or by weight, whichever yields the lesser percent.
(ii) How to count the amount of a Schedule 3 chemical in a mixture. If your mixture contains 80% or more concentration of a Schedule 3 chemical, you must count only the amount (weight) of the Schedule 3 chemical in the mixture, not the total weight of the mixture.
(b) Types of declaration forms to be used – (1) Annual declaration on past activities. You must complete the Certification Form and Forms 3-1, 3-2, 3-3, and Form A if one or more plants on your plant site produced in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year. Form B is optional.
(2) Annual declaration on anticipated activities. You must complete the Certification Form, and Forms 3-1 and 3-3 if you anticipate that you will produce at one or more plants on your plant site in excess of 30 metric tons of any single Schedule 3 chemical in the next calendar year.
(c) Quantities to be declared – (1) Production of a Schedule 3 chemical in excess of 30 metric tons. If your plant site is subject to the declaration requirements of paragraph (a) of this section, you must declare the range within which the production at your plant site falls (30 to 200 metric tons, 200 to 1,000 metric tons, etc.) as specified on Form 3-3. When specifying the range of production for your plant site, you must aggregate the production quantities of all plants on the plant site that produced the Schedule 3 chemical in amounts greater than 30 metric tons. Do not aggregate amounts of production from plants on the plant site that did not individually produce a Schedule 3 chemical in amounts greater than 30 metric tons. You must complete a separate Form 3-3 for each Schedule 3 chemical for which production at your plant site exceeds 30 metric tons.
(2) Rounding. To determine the production range into which your plant site falls, add all the production of the declared Schedule 3 chemical during the calendar year from all plants on your plant site that produced the Schedule 3 chemical in amounts exceeding 30 metric tons, and round to the nearest ten metric tons.
(d) “Declared” Schedule 3 plant site. A plant site that submitted a declaration pursuant to paragraph (a)(1) of this section is a “declared” Schedule 3 plant site.
(e) Routine inspections of declared Schedule 3 plant sites. A “declared” Schedule 3 plant site is subject to routine inspection by the Organization for the Prohibition of Chemical Weapons (see part 716 of the CWCR) if:
(1) The declared plants on your plant site produced in excess of 200 metric tons aggregate of any Schedule 3 chemical during the previous calendar year; or
(2) You anticipate that the declared plants on your plant site will produce in excess of 200 metric tons aggregate of any Schedule 3 chemical during the next calendar year.
§ 714.2 Annual reporting requirements for exports and imports in excess of 30 metric tons of Schedule 3 chemicals.
(a) Any person subject to the CWCR that exported from or imported into the United States in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year has a reporting requirement under this section.
(1) Annual report on exports and imports. Declared plant sites, undeclared plant sites, trading companies, or any other person subject to the CWCR that exported from or imported into the United States in excess of 30 metric tons of any single Schedule 3 chemical during the previous calendar year must submit an annual report on exports and imports.
Declared and undeclared plant sites must count, for reporting purposes, all exports from and imports to the entire plant site, not only from or to individual plants on the plant site.
The U.S. Government will not submit to the OPCW company-specific information relating to the export or import of Schedule 3 chemicals contained in reports. The U.S. Government will add all export and import information contained in reports to establish the U.S. national aggregate declaration on exports and imports.
(2) Mixtures containing a Schedule 3 chemical. The quantity of a Schedule 3 chemical contained in a mixture must be counted for reporting an export or import only if the concentration of the Schedule 3 chemical in the mixture is 80% or more by volume or by weight, whichever yields the lesser percent. For reporting purposes, only count the weight of the Schedule 3 chemical in the mixture, not the entire weight of the mixture.
The “80% and above” mixtures rule applies only for reporting purposes. This rule does not apply for purposes of determining whether the export of your mixture to a non-State Party requires an End-Use Certificate or for determining whether you need an export license from BIS (see 15 CFR 742.2, 742.18 and 745.2 of the Export Administration Regulations) or from the Department of State (see the International Traffic in Arms Regulations (22 CFR parts 120 through 130)).
(b) Types of forms to be used – (1) Declared Schedule 3 plant sites. (i) If your plant site is declared for production of a Schedule 3 chemical (and has completed questions 3-3.1 and 3-3.2 on Form 3-3) and you also exported from or imported to your plant site in excess of 30 metric tons of that same Schedule 3 chemical, you must report the export or import by either:
(A) Completing question 3-3.3 on Form 3-3 on your declaration for that same Schedule 3 chemical; or
(B) Submitting, separately from your declaration, a Certification Form, Form 3-1, and a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
(ii) If your plant site is declared for production of a Schedule 3 chemical and you exported or imported in excess of 30 metric tons of a different Schedule 3 chemical, you must report the export or import by either:
(A) Submitting, along with your declaration, a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional; or
(B) Submitting, separately from your declaration, a Certification Form, Form 3-1 and a Form 3.3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
(2) If you are an undeclared plant site, a trading company, or any other person subject to the CWCR, you must submit a Certification Form, Form 3-1, and a Form 3-3 for each Schedule 3 chemical to be reported, completing only question 3-3.3. Attach Form A, as appropriate; Form B is optional.
(c) Quantities to be reported – (1) Calculations. If you exported from or imported to your plant site or trading company more than 30 metric tons of a Schedule 3 chemical in the previous calendar year, you must report all exports and imports of that chemical by country of destination or country of origin, respectively, and indicate the total amount exported to or imported from each country.
(2) Rounding. For purposes of reporting exports and imports of a Schedule 3 chemical, you must total all exports and imports per calendar year per recipient or source and then round to the nearest 0.1 metric tons.
Under the Convention, the United States is obligated to provide the OPCW a national aggregate annual declaration of the quantities of each Schedule 3 chemical exported and imported, with a quantitative breakdown for each country or destination involved. The U.S. Government will not submit your company-specific information relating to the export or import of a Schedule 3 chemical reported under this § 714.2. The U.S. Government will add all export and import information submitted by various facilities under this section to produce a national aggregate annual declaration of destination-by-destination trade for each Schedule 3 chemical.
§ 714.3 Advance declaration requirements for additionally planned production of Schedule 3 chemicals.
(a) Declaration requirements. (1) You must declare additionally planned production of Schedule 3 chemicals after the annual declaration on anticipated activities for the next calendar year has been delivered to BIS if:
(i) You plan that a previously undeclared plant on your plant site under § 714.1(a)(1)(ii) of the CWCR will produce a Schedule 3 chemical above the declaration threshold;
(ii) You plan to produce at a plant declared under § 714.1(a)(1)(ii) of the CWCR an additional Schedule 3 chemical above the declaration threshold;
(iii) You plan to increase the production of a Schedule 3 chemical by declared plants on your plant site from the amount exceeding the applicable declaration threshold to an amount exceeding the applicable inspection threshold (see § 716.1(b)(3) of the CWCR); or
(iv) You plan to increase the aggregate production of a Schedule 3 chemical at a declared plant site to an amount above the upper limit of the range previously declared under § 714.1(a)(1)(ii) of the CWCR.
(2) If you must submit a declaration on additionally planned activities because you plan to engage in any of the activities listed in paragraphs (a)(1)(i) through (iv) of this section, you also should declare any changes to the anticipated purposes of production or product group codes. You do not have to submit a declaration on additionally planned activities if you are only changing your purposes of production or product group codes.
(b) Declaration forms to be used. If you are required to declare additionally planned activities pursuant to paragraph (a) of this section, you must complete the Certification Form and Forms 3-1, 3-2, and 3-3 as appropriate. Such forms are due to BIS at least 15 days in advance of the beginning of the additional or new activity.
§ 714.4 Amended declaration or report.
In order for BIS to maintain accurate information on previously submitted plant site declarations, including information necessary to facilitate inspection notifications and activities or to communicate declaration or reporting requirements, amended declarations or reports will be required under the following circumstances described in this section. This section applies only to annual declarations on past activities and annual reports on exports and imports submitted for the previous calendar year or annual declarations on anticipated activities covering the current calendar year, unless specified otherwise in a final inspection report.
(a) Changes to information that directly affects a declared plant site’s Annual Declaration of Past Activities (ADPA) or Combined Annual Declaration or Report which was previously submitted to BIS. You must submit an amended declaration or report to BIS within 15 days of determining that there has been a change in any of the following information that you have previously declared or reported:
(1) Types of Schedule 3 chemicals produced (e.g., production of additional Schedule 3 chemicals);
(2) Production range (e.g., from 30 to 200 metric tons to above 200 to 1000 metric tons) of Schedule 3 chemicals;
(3) Purpose of Schedule 3 chemical production (e.g., additional end-uses); or
(4) Addition of new plant(s) for production of Schedule 3 chemicals.
(b) Changes to export or import information submitted in Annual Reports on Exports and Imports from undeclared plant sites, trading companies and U.S. persons. You must submit an amended report or amended combined declaration and report to BIS within 15 days of any change in the following export or import information:
(1) Types of Schedule 3 chemicals exported or imported (additional Schedule 3 chemicals);
(2) Quantities of Schedule 3 chemicals exported or imported;
(3) Destination(s) of Schedule 3 chemicals exported; and
(4) Source(s) of Schedule 3 chemicals imported.
(c) Changes to company and plant site information submitted in the ADPA, the Annual Declaration of Anticipated Activities, and the Annual Report on Exports and Imports – (1) Internal company changes. You must submit an amended declaration or report to BIS within 30 days of any change in the following information:
(i) Name of declaration/report point of contact (D-POC), including telephone number, facsimile number, and e-mail address;
(ii) Name(s) of inspection point(s) of contact (I-POC), including telephone number, and facsimile number, and e-mail address(es);
(iii) Company name (see 714.4(c)(2) for other company changes);
(iv) Company mailing address;
(v) Plant site name;
(vi) Plant site owner, including telephone number and facsimile number;
(vii) Plant site operator, including telephone number and facsimile number;
(viii) Plant name;
(xi) Plant owner, including telephone number and facsimile number; and
(x) Plant operator, including telephone number and facsimile number.
(2) Change in ownership of company, plant site, or plant. If you sold or purchased a declared company, plant site or plant, you must submit an amended declaration or report to BIS, either before the effective date of the change or within 30 days after the effective date of the change. The amended declaration or report must include the following information.
(i) Information that must be submitted to BIS by a company selling a declared plant site:
(A) Name of seller (i.e., name of the company selling a declared plant site);
(B) Name of declared plant site and U.S. Code Number for that plant site;
(C) Name of purchaser (i.e., name of company purchasing a declared plant site) and identity of the new owner and contact person for the purchaser, if known;
(D) Date of ownership transfer;
(E) Additional (e.g., unique) details on the sale of the plant site relevant to ownership or operational control over any portion of the declared plant site (e.g., whether the entire plant site or only a portion of the declared plant site has been sold to a new owner); and
(F) Details regarding whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and the new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company.
(1) If the new owner is responsible for submitting the declaration or report for the entire current year, it must have in its possession the records for the period of the year during which the previous owner owned the plant site or trading company.
(2) If the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company, and, at the time of transfer of ownership, the previous owner’s activities are not above the declaration or reporting thresholds set forth in § 714.1(a)(1) and § 714.2(a)(1) of the CWCR, respectively, the previous owner and the new owner must still submit declarations to BIS with the below threshold quantities indicated.
(3) If the part-year declarations submitted by the previous owner and the new owner are not, when combined, above the declaration threshold set forth in § 714.1(a)(1) of the CWCR, BIS will return the declarations without action as set forth in § 714.5 of the CWCR.
(4) If part-year reports are not, when combined, above the reporting threshold set forth in § 714.2(a)(1) of the CWCR, BIS will return the reports without action as set forth in § 714.5 of the CWCR.
(ii) Information that must be submitted to BIS by the company purchasing a declared plant site:
(A) Name of purchaser (i.e., name of individual or company purchasing a declared plant site);
(B) Mailing address of purchaser;
(C) Name of declaration point of contact (D-POC) for the purchaser, including telephone number, facsimile number, and e-mail address;
(D) Name(s) of inspection point(s)s of contact (I-POC) for the purchaser, including telephone number, facsimile number, and e-mail address(es);
(E) Name of the declared plant site and U.S. Code Number for that plant site;
(F) Location of the declared plant site;
(G) Operator of the declared plant site, including telephone number, and facsimile number;
(H) Name of plant where Schedule 3 production exceeds the declaration threshold;
(I) Owner of plant where Schedule 3 production exceeds the declaration threshold;
(J) Operator of plant where Schedule 3 production exceeds the declaration threshold; and
(K) Details on the next declaration or report submission on whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or reports for the periods of the calendar year during which each owned the plant site or trading company.
You must submit an amendment to your most recently submitted declaration or report for declaring changes to internal company information (e.g., company name change) or changes in ownership of a facility or trading company that have occurred since the submission of this declaration or report. BIS will process the amendment to ensure current information is on file regarding the facility or trading company (e.g., for inspection notifications and correspondence) and will also forward the amended declaration to the OPCW to ensure that they also have current information on file regarding your facility or trading company.
You may notify BIS of change in ownership via a letter to the address given in § 711.6 of the CWCR. If you are submitting an amended declaration or report, use Form B to address details regarding the sale of the declared plant site or trading company.
For ownership changes, the declared plant site or trading company will maintain its original U.S. Code Number, unless the plant site or trading company is sold to multiple owners, at which time BIS will assign new U.S. Code Numbers.
(d) Inspection-related amendments. If, following the completion of an inspection (see parts 716 and 717 of the CWCR), you are required to submit an amended declaration based on the final inspection report, BIS will notify you in writing of the information to be amended pursuant to §§ 716.10 and 717.5(b) of the CWCR. Amended declarations must be submitted to BIS no later than 45 days following your receipt of BIS’s post-inspection letter.
(e) Non-substantive changes. If, subsequent to the submission of your declaration or report to BIS, you discover one or more non-substantive typographical errors in your declaration or report, you are not required to submit an amended declaration or report to BIS. Instead, you may correct these errors in a subsequent declaration or report.
(f) Documentation required for amended declarations or reports. If you are required to submit an amended declaration or report to BIS pursuant to paragraph (a), (b), (c), or (d) of this section, you must submit either:
(1) A letter containing all of the corrected information required, in accordance with the provisions of this section, to amend your declaration or report; or
(2) Both of the following:
(i) A new Certification Form; and
(ii) The specific forms required for the declaration or report type being amended (e.g., annual declaration on past activities) containing the corrected information required, in accordance with the requirements of this section, to amend your declaration or report.
§ 714.5 Declarations and reports returned without action by BIS.
If you submit a declaration or report and BIS determines that the information contained therein is not required by the CWCR, BIS will return the original declaration or report to you, without action, accompanied by a letter explaining BIS’s decision. In order to protect your confidential business information, BIS will not maintain a copy of any declaration or report that is returned without action. However, BIS will maintain a copy of the RWA letter.
§ 714.6 Deadlines for submission of Schedule 3 declarations, reports, and amendments.
Declarations, reports, and amendments required under this part must be postmarked by the appropriate date identified in supplement no. 2 to this part 714 of the CWCR. Required declarations, reports, and amendments include:
(a) Annual declaration on past activities (production of Schedule 3 chemicals during the previous calendar year);
(b) Annual report on exports and imports of Schedule 3 chemicals from plant sites, trading companies, and other persons subject to the CWCR (during the previous calendar year);
(c) Combined declaration and report (production of Schedule 3 chemicals, as well as exports or imports of the same or different Schedule 3 chemicals, by a declared plant site during the previous calendar year);
(d) Annual declaration on anticipated activities (anticipated production of Schedule 3 chemicals during the next calendar year);
(e) Declaration on Additionally Planned Activities (additionally planned production of Schedule 3 chemicals); and
(f) Amended declaration and report, including combined declaration and report.
Supplement No. 1 to Part 714 – Schedule 3 Chemicals
| (CAS registry number) | |
|---|---|
| A. Toxic chemicals: | |
| (1) Phosgene: Carbonyl dichloride | (75-44-5) |
| (2) Cyanogen chloride | (506-77-4) |
| (3) Hydrogen cyanide | (74-90-8) |
| (4) Chloropicrin: Trichloronitromethane | (76-06-2) |
| B. Precursors: | |
| (5) Phosphorus oxychloride | (10025-87-3) |
| (6) Phosphorus trichloride | (7719-12-2) |
| (7) Phosphorus pentachloride | (10026-13-8) |
| (8) Trimethyl phosphite | (121-45-9) |
| (9) Triethyl phosphite | (122-52-1) |
| (10) Dimethyl phosphite | (868-85-9) |
| (11) Diethyl phosphite | (762-04-9) |
| (12) Sulfur monochloride | (10025-67-9) |
| (13) Sulfur dichloride | (10545-99-0) |
| (14) Thionyl chloride | (7719-09-7) |
| (15) Ethyldiethanolamine | (139-87-7) |
| (16) Methyldiethanolamine | (105-59-9) |
| (17) Triethanolamine | (102-71-6) |
Supplement No. 2 to Part 714 – Deadlines for Submission of Schedule 3 Declarations, Reports, and Amendments
| Declarations | Applicable forms | Due dates |
|---|---|---|
| Annual Declaration on Past Activities (previous calendar year) – Declared plant site (production) | Certification, 3-1, 3-2, 3-3 (if also exported or imported), A (as appropriate), B (optional) | February 28 of the year following any calendar year in which the production of a Schedule 3 chemical exceeded the declaration threshold in § 714.1(a)(1)(i) of the CWCR. |
| Annual Report on Exports and Imports (previous calendar year) – Plant site, trading company, other persons | Certification, 3-1, 3-3.3 and 3-3.4, A (as appropriate), B (optional) | February 28 of the year following any calendar year in which exports or imports of a Schedule 3 chemical by a plant site, trading company, or other person subject to the CWCR (as described in § 714.2(a) of the CWCR) exceeded the threshold in § 714.2(a) of the CWCR. |
| Combined Declaration & Report | Certification, 3-1, 3-2, and 3-3, A (as appropriate), B (optional) | February 28 of the year following any calendar year in which the production of a Schedule 3 chemical and the export or import of the same or a different Schedule 3 chemical by a declared plant site exceeded the applicable thresholds in §§ 714.1(a)(1)(i) and 714.2(a), respectively, of the CWCR. |
| Annual Declaration on Anticipated Activities (Production) (next calendar year) | Certification, 3-1, 3-2, 3-3.2, A (as appropriate), B (optional) | September 3 of the year prior to any calendar year in which Schedule 3 production is anticipated to occur. |
| Declaration on Additionally Planned Activities | Certification, 3-1, 3-3.1 and 3-3.2, A (as appropriate), B (optional) | 15 calendar days before the additionally planned activity begins. |
| Amended Declaration | Certification, 3-1, 3-2, 3-3 | |
| – Declaration information | – 15 calendar days after change in information. | |
| – Company information | – 30 calendar days after change in information. | |
| – Post-inspection letter | – 45 calendar days after receipt of letter. | |
| Amended Report | Certification, 3-1, 3-2, 3-3, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
| Amended Combined Declaration & Report | Certification, 3-1, 3-2, 3-3, A (as appropriate), B (optional) | – 15 calendar days after change in information. |
PART 715 – ACTIVITIES INVOLVING UNSCHEDULED DISCRETE ORGANIC CHEMICALS (UDOCs)
§ 715.1 Annual declaration requirements for production by synthesis of unscheduled discrete organic chemicals (UDOCs).
(a) Declaration of production by synthesis of UDOCs for purposes not prohibited by the CWC – (1) Production quantities that trigger the declaration requirement. See § 711.6 of the CWCR for information on obtaining the forms you will need to declare production of unscheduled discrete organic chemicals. You must complete the forms specified in paragraph (b) of this section if your plant site produced by synthesis:
(i) In excess of 200 metric tons aggregate of all UDOCs (including all UDOCs containing the elements phosphorus, sulfur or fluorine, referred to as “PSF chemicals”) during the previous calendar year; or
(ii) In excess of 30 metric tons of an individual PSF chemical at one or more plants at your plant site during the previous calendar year.
In calculating the aggregate production quantity of each individual PSF chemical produced by a PSF plant, do not include production of a PSF chemical that was produced in quantities less than 30 metric tons. Include only production quantities from those PSF plants that produced more than 30 metric tons of an individual PSF chemical.
(2) UDOCs subject to declaration requirements under this part. (i) UDOCs subject to declaration requirements under this part are those produced by synthesis that have been isolated for:
(A) Use; or
(B) Sale as a specific end product.
(ii) Exemptions. (A) Polymers and oligomers consisting of two or more repeating units;
(B) Chemicals and chemical mixtures produced through a biological or biomediated process;
(C) Products from the refining of crude oil, including sulfur-containing crude oil;
(D) Metal carbides (i.e., chemicals consisting only of metal and carbon); and
(E) UDOCs produced by synthesis that are ingredients or by-products in foods designed for consumption by humans and/or animals.
See supplement no. 2 to this part 715 for examples of UDOCs subject to the declaration requirements of this part, and for examples of activities that are not considered production by synthesis.
(3) Exemptions for UDOC plant sites. UDOC plant sites that exclusively produced hydrocarbons or explosives are exempt from UDOC declaration requirements. For the purposes of this part, the following definitions apply for hydrocarbons and explosives:
(i) Hydrocarbon means any organic compound that contains only carbon and hydrogen; and
(ii) Explosive means a chemical (or a mixture of chemicals) that is included in Class 1 of the United Nations Organization hazard classification system.
(b) Types of declaration forms to be used – (1) Annual declaration on past activities. You must complete the Certification Form and Form UDOC (consisting of two pages), unless there are no changes from the previous year’s declaration and you submit a No Changes Authorization Form pursuant to paragraph (b)(2) of this section. Attach Form A as appropriate; Form B is optional.
If there is a change in the inspection status of your plant site, as described in paragraph (d)(2) of this section, you may submit an Annual Declaration on Past Activities, in lieu of a Change in Inspection Status Form, under the circumstances described in Note 3 to paragraph (d)(2). In this case, the due date for submitting the Annual Declaration on Past Activities to BIS, covering UDOC production at your plant site during the current calendar year, would be December 15th of the current calendar year, instead of February 28th of the next calendar year (also see supplement no. 3 to this part). If you choose to submit your Annual Declaration on Past Activities to BIS by December 15th and, subsequently, you determine that the production by synthesis of UDOCs at your plant site actually exceeded the UDOC inspection threshold level specified in paragraph (d)(1) of this section, you must submit an amendment to your Annual Declaration on Past Activities (see § 715.2 of the CWCR) and indicate, on Form B, the reason your plant site exceeded the UDOC inspection threshold.
(2) No Changes Authorization Form. You may complete the No Changes Authorization Form if there are no updates or changes to any information (except the certifying official and dates signed and submitted) in your plant site’s previously submitted annual declaration on past activities. Your plant site’s activities will be declared to the OPCW and subject to inspection, if applicable, based upon the data reported in the most recent UDOC Declaration that you submitted to BIS.
If, after submitting the No Changes Authorization Form, you have changes to information, you must submit a complete amendment to the annual declaration on past activities. See § 715.2 of the CWCR.
(c) “Declared” UDOC plant site. A plant site that submitted a declaration pursuant to paragraph (a)(1) of this section is a “declared” UDOC plant site.
(d) Routine inspections of declared UDOC plant sites – (1) Inspection requirement. A “declared” UDOC plant site is subject to routine inspection by the Organization for the Prohibition of Chemical Weapons (OPCW) (see part 716 of the CWCR) if it produced by synthesis more than 200 metric tons aggregate of UDOCs during the previous calendar year.
(2) Change in inspection status. You may complete the Change in Inspection Status Form, to ensure that your facility does not remain subject to inspection during the first 90 days of the next calendar year (i.e., prior to the submission of the U.S. declaration to the OPCW), if:
(i) Your plant site is currently subject to inspection, pursuant to paragraph (d)(1) of this section, based on your plant site’s production by synthesis of UDOCs during the previous calendar year; and
(ii) Your plant site’s production by synthesis of UDOCs in the current calendar year will be below the inspection threshold level specified in paragraph (d)(1) of this section by the deadline indicated in supplement no. 3 to this part, and is anticipated to remain below that threshold level through the remainder of the current calendar year.
Upon receipt of the Change in Inspection Status Form, BIS will inform the Organization for the Prohibition of Chemical Weapons (OPCW) that your plant site is not subject to inspection during the next calendar year.
If, after submitting your Change in Inspection Status Form to BIS, you determine that the production by synthesis of UDOCs at your plant site actually exceeded the UDOC inspection threshold level specified in paragraph (d)(1) of this section, you must indicate this fact when you submit your Annual Declaration on Past Activities to BIS and indicate, on Form B, the reason your plant site exceeded the UDOC inspection threshold.
You may submit the Annual Declaration on Past Activities described in paragraph (b)(1) of this section, instead of the Change in Inspection Status Form, if you anticipate that UDOC production at your plant site during the current calendar year will be below the inspection threshold level specified in paragraph (d)(1) of this section, but you expect your plant site to remain subject to the UDOC declaration requirements in paragraph (a)(1) of this section. In this case, the due date for the Annual Declaration on Past Activities will be December 15th of the current calendar year, instead of February 28th of the next calendar year. Note that any changes to information contained in the Annual Declaration on Past Activities must be addressed in accordance with the amendment requirements in § 715.2 of the CWCR. For example, if subsequent to the submission of your Annual Declaration on Past Activities to BIS on December 15th, you determine that the production by synthesis of UDOCs at your plant site actually exceeded the UDOC inspection threshold level specified in paragraph (d)(1) of this section, you must submit an amendment to your Annual Declaration on Past Activities (see § 715.2 of the CWCR) and indicate, on Form B, the reason your plant site exceeded the UDOC inspection threshold.
Currently inspectable UDOC plant sites that do not submit either a Change in Inspection Status Form or Annual Declaration of Past Activities by December 15th of the current calendar year, in accordance with paragraph (d)(2) of this section, will remain subject to inspection through at least the 90-day period at the beginning of the next calendar year.
§ 715.2 Amended declaration.
In order for BIS to maintain accurate information on previously submitted plant site declarations, including current information necessary to facilitate inspection notifications and activities or to communicate declaration requirements, amended declarations will be required under the following circumstances described in this section. This section applies only to annual declarations on past activities submitted for the previous calendar year, unless specified otherwise in a final inspection report.
(a) Changes to information that directly affects a declared plant site’s Annual Declaration of Past Activities (ADPA) which was previously submitted to BIS. You must submit an amended declaration to BIS within 15 days of any change in the following information:
(1) Product group codes for UDOCs produced in quantities exceeding the applicable declaration threshold specified in § 715.1(a)(1) of the CWCR;
(2) Approximate number of plants at the declared plant site that produced any amount of UDOCs (including all PSF chemicals);
(3) Aggregate amount of production (by production range) of UDOCs produced by all plants at the declared plant site;
(4) Exact number of plants at the declared plant site that individually produced more than 30 metric tons of a single PSF chemical; and
(5) Production range of each plant at the declared plant site that individually produced more than 30 metric tons of a single PSF chemical.
(b) Changes to company and plant site information submitted in the ADPA that must be maintained by BIS – (1) Internal company changes. You must submit an amended declaration to BIS within 30 days of any change in the following information:
(i) Name of declaration point of contact (D-POC), including telephone number, facsimile number, and e-mail address;
(ii) Name(s) of inspection point(s) of contact (I-POC), including telephone number, facsimile number(s) and e-mail address(es);
(iii) Company name (see 715.2(b)(2) for other company changes);
(iv) Company mailing address;
(v) Plant site name;
(vi) Plant site owner, including telephone number and facsimile number; and
(vii) Plant site operator, including telephone number and facsimile number.
(2) Change in ownership of company or plant site. If you sold or purchased a declared plant site, you must submit an amended declaration to BIS, either before the effective date of the change or within 30 days after the effective date of the change. The amended declaration must include the following information.
(i) Information that must be submitted to BIS by the company selling a declared plant site:
(A) Name of seller (i.e., name of company selling a declared plant site);
(B) Name of declared plant site name and U.S. Code Number for that plant site;
(C) Name of purchaser (i.e., name of new company purchasing a declared plant site) and identity of contact person for the purchaser, if known;
(D) Date of ownership transfer or change;
(E) Additional details on the sale of the declared plant site relevant to ownership or operational control over any portion of the declared plant site (e.g., whether the entire plant site or only a portion of the declared plant site has been sold to a new owner); and
(F) Details regarding whether the new owner will submit the declaration for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations for the periods of the calendar year during which each owned the plant site.
(1) If the new owner is responsible for submitting the declaration for the entire current year, it must have in its possession the records for the period of the year during which the previous owner owned the plant site.
(2) If the previous owner and new owner will submit separate declarations for the periods of the calendar year during which each owned the plant site, and, if at the time of transfer of ownership, the previous owner’s activities are not above the declaration thresholds set forth in § 715.1(a)(1) of the CWCR, the previous owner and the new owner must still submit declarations to BIS with the below threshold quantities indicated.
(3) If the part-year declarations submitted by the previous owner and the new owner are not, when combined, above the declaration threshold set forth in § 715.1(a)(1) of the CWCR, BIS will return the declarations without action as set forth in § 715.3 of the CWCR.
(ii) Information that must be submitted to BIS by the company purchasing a declared plant site:
(A) Name of purchaser (i.e., name of individual or company purchasing a declared plant site);
(B) Mailing address of purchaser;
(C) Name of declaration point of contact (D-POC) for the purchaser, including telephone number, facsimile number, and e-mail address;
(D) Name(s) of inspection point(s) of contact (I-POC) for the purchaser, including telephone number(s), facsimile number(s), and e-mail address(es);
(E) Name of the declared plant site and U.S. Code Number for that plant site;
(F) Location of the declared plant site;
(G) Name of plant site where the production of UDOCs exceeds the applicable declaration threshold;
(H) Owner of plant site where the production of UDOCs exceeds the applicable declaration threshold, including telephone number and facsimile number;
(I) Operator of plant site where the production of UDOCs exceeds the applicable declaration threshold, including telephone number and facsimile number; and
(J) Details on the next declaration or report submission on whether the new owner will submit the declaration or report for the entire calendar year during which the ownership change occurred, or whether the previous owner and new owner will submit separate declarations or report for the periods of the calendar year during which each owned the plant site.
You must submit an amendment to your most recently submitted declaration or report for declaring changes to internal company information (e.g., company name change) or changes in ownership of a facility or trading company that have occurred since the submission of this declaration or report. BIS will process the amendment to ensure current information is on file regarding the facility or trading company (e.g., for inspection notifications and correspondence) and will also forward the amended declaration to the OPCW to ensure that they also have current information on file regarding your facility or trading company.
You may notify BIS of change in ownership via a letter to the address given in § 711.6 of the CWCR. If you are submitting an amended declaration, use Form B to address details regarding the sale of the declared plant site.
For ownership changes, the declared plant site will maintain its original U.S. Code Number, unless the plant site is sold to multiple owners, at which time BIS will assign new U.S. Code Numbers.
(c) Inspection-related amendments. If, following completion of an inspection (see part 716 or 717 of the CWCR), you are required to submit an amended declaration based on the final inspection report, BIS will notify you in writing of the information that will be required pursuant to §§ 716.10 and 717.5 of the CWCR. You must submit an amended declaration to BIS no later than 45 days following your receipt of BIS’s post-inspection letter.
(d) Non-substantive changes. If, subsequent to the submission of your declaration to BIS, you discover one or more non-substantive typographical errors in your declaration, you are not required to submit an amended declaration to BIS. Instead, you may correct these errors in a subsequent declaration.
(e) Documentation required for amended declarations. If you are required to submit an amended declaration to BIS pursuant to paragraph (a), (b), or (c) of this section, you must submit either:
(1) A letter containing all of the corrected information required, in accordance with the provisions of this section, to amend your declaration; or
(2) Both of the following:
(i) A new Certification Form; and
(ii) The specific form required for the declaration containing the corrected information required, in accordance with the requirements of this section, to amend your declaration.
§ 715.3 Declarations returned without action by BIS.
If you submit a declaration and BIS determines that the information contained therein is not required by the CWCR, BIS will return the original declaration to you, without action, accompanied by a letter explaining BIS’s decision. In order to protect your confidential business information, BIS will not maintain a copy of any declaration that is returned without action. However, BIS will maintain a copy of the RWA letter.
§ 715.4 Deadlines for submitting UDOC declarations, No Changes Authorization Forms, Change in Inspection Status Forms, and amendments.
Declarations, No Changes Authorization Forms, Change in Inspection Status Forms, and amendments required under this part must be postmarked by the appropriate dates identified in supplement no. 3 to this part 715 of the CWCR. Required documents under this part include:
(a) Annual Declaration on Past Activities (UDOC production during the previous calendar year);
(b) No Changes Authorization Form (may be completed and submitted to BIS when there are no changes to any information in your plant site’s previously submitted annual declaration on past activities, except the certifying official and the dates signed and submitted); and
(c) Change in Inspection Status Form – May be completed and submitted to BIS if your plant site is currently subject to inspection, pursuant to § 715.1(d)(1) of the CWCR, and you anticipate that the production of UDOCs at your plant site during the current calendar year will remain below the inspection threshold level indicated therein (i.e., 200 metric tons aggregate); and
(d) Amended declaration.
Supplement No. 1 to Part 715 – Definition of an Unscheduled Discrete Organic Chemical
Unscheduled discrete organic chemical means any chemical: (1) Belonging to the class of chemical compounds consisting of all compounds of carbon except for its oxides, sulfides and metal carbonates identifiable by chemical name, by structural formula, if known, and by Chemical Abstract Service registry number, if assigned; and (2) that is not contained in the Schedules of Chemicals (see Supplements No. 1 to parts 712 through 714 of the CWCR). Unscheduled discrete organic chemicals subject to declaration under this part are those produced by synthesis that are isolated for use or sale as a specific end-product.
Carbon oxides consist of chemical compounds that contain only the elements carbon and oxygen and have the chemical formula C
Supplement No. 2 to Part 715 – Examples of Unscheduled Discrete Organic Chemicals (UDOCs) and UDOC Production
(1) Examples of UDOCs not subject to declaration include:
(i) UDOCs produced coincidentally as by-products that are not isolated for use or sale as a specific end product, and are routed to, or escape from, the waste stream of a stack, incinerator, or waste treatment system or any other waste stream;
(ii) UDOCs, contained in mixtures, which are produced coincidentally and not isolated for use or sale as a specific end-product;
(iii) UDOCs produced by recycling (i.e., involving one of the processes listed in paragraph (3) of this supplement) of previously declared UDOCs;
(iv) UDOCs produced by the mixing (i.e., the process of combining or blending into one mass) of previously declared UDOCs; and
(v) UDOCs that are intermediates and that are used in a single or multi-step process to produce another declared UDOC.
(2) Examples of UDOCs that you must declare under part 715 of the CWCR include, but are not limited to, the following, unless they are not isolated for use or sale as a specific end product:
(i) Acetophenone (CAS #98-86-2);
(ii) 6-Chloro-2-methyl aniline (CAS #87-63-8);
(iii) 2-Amino-3-hydroxybenzoic acid (CAS #548-93-6); and
(iv) Acetone (CAS #67-64-1).
(3) Examples of activities that are not considered “production by synthesis” under part 715 of the CWCR, which means the end products resulting from such activities would not be declared under part 715, are as follows:
(i) Fermentation;
(ii) Extraction;
(iii) Purification;
(iv) Distillation; and
(v) Filtration.
Supplement No. 3 to Part 715 – Deadlines for Submission of Declarations, No Changes Authorization Forms, Amendments for Unscheduled Discrete Organic Chemical (UDOC) Facilities, and Change in Inspection Status Forms
| Declarations | Applicable forms | Due dates |
|---|---|---|
| Annual Declaration on Past Activities (previous calendar year) Declared plant site. | Certification, UDOC, A (as appropriate), B (optional) | February 28 of the year following any calendar year in which the production by synthesis of UDOCs exceeded the applicable declaration threshold in § 715.1(a)(1) of the CWCR.* |
| No Changes Authorization Form (declaration required, but no changes to data contained in previously submitted annual declaration on past activities – previous calendar year) Declared plant site | No Changes Authorization Form | February 28 of the year following any calendar year in which the production by synthesis of UDOCs exceeded the applicable declaration threshold in § 715.1(a)(1) of the CWCR. |
| Amended Declaration: | Certification, UDOC, A (as appropriate), B (optional) | |
| – Declaration information | – 15 calendar days after change in information. | |
| – Company information | – 30 calendar days after change in information. | |
| – Post-inspection letter | – 45 calendar days after receipt of letter. | |
| Change in Inspection Status Form (applies only if your plant site is currently subject to inspection, pursuant to § 715.1(d)(1) of the CWCR, and you anticipate that the production by synthesis of UDOCs at your plant site during the current calendar year will remain below the inspection threshold level specified therein) | Change in Inspection Status Form | December 15th of any calendar year in which the production by synthesis of UDOCs is anticipated to be below the inspection threshold level specified in § 715.1(d)(1) of the CWCR.* |
* You may submit the Annual Declaration on Past Activities (ADPA) described in § 715.1(b)(1), instead of the Change in Inspection Status Form, if you anticipate that UDOC production at your plant site during the current calendar year will be below the inspection threshold level specified in § 715.1(d)(1), but you expect your plant site to remain subject to the UDOC declaration requirements in § 715.1(a)(1). In this case, the due date for the Annual Declaration on Past Activities will be December 15th of the current calendar year, instead of February 28th of the
PART 716 – INITIAL AND ROUTINE INSPECTIONS OF DECLARED FACILITIES
§ 716.1 General information on the conduct of initial and routine inspections.
This part provides general information about the conduct of initial and routine inspections of declared facilities subject to inspection under CWC Verification Annex Part VI(E), Part VII(B), Part VIII(B) and Part IX(B). See part 717 of the CWCR for provisions concerning challenge inspections.
(a) Overview. Each State Party to the CWC, including the United States, has agreed to allow certain inspections of declared facilities by inspection teams employed by the Organization for the Prohibition of Chemical Weapons (OPCW) to ensure that activities are consistent with obligations under the Convention. BIS is responsible for leading, hosting and escorting inspections of all facilities subject to the provisions of the CWCR (see § 710.2 of the CWCR).
(b) Declared facilities subject to initial and routine inspections – (1) Schedule 1 facilities. (i) Your declared facility is subject to inspection if it produced in excess of 100 grams aggregate of Schedule 1 chemicals in the previous calendar year or anticipates producing in excess of 100 grams aggregate of Schedule 1 chemicals during the next calendar year.
(ii) If you are a new Schedule 1 production facility pursuant to § 712.4 of the CWCR, your facility is subject to an initial inspection within 200 days of submitting an initial declaration.
All Schedule 1 facilities submitting a declaration are subject to inspection.
(2) Schedule 2 plant sites – (i) Inspection thresholds for Schedule 2 plant sites. Your declared plant site is subject to inspection if at least one plant on your plant site produced, processed or consumed, in any of the three previous calendar years, or you anticipate that at least one plant on your plant site will produce, process or consume in the next calendar year, any Schedule 2 chemical in excess of the following:
(A) 10 kg of chemical BZ: 3-Quinuclidinyl benzilate (see Schedule 2, Part A, paragraph 3 in supplement no. 1 to part 713 of the CWCR);
(B) 1 metric ton of chemical PFIB: 1,1,3,3,3-Pentafluoro-2(trifluoromethyl)-1-propene or any chemical belonging to the Amiton family (see Schedule 2, Part A, paragraphs 1 and 2 in supplement no. 1 to part 713 of the CWCR); or
(C) 10 metric tons of any chemical listed in Schedule 2, Part B (see supplement no. 1 to part 713 of the CWCR).
(ii) Initial inspection for new Schedule 2 plant sites. Your declared plant site is subject to an initial inspection within the first year after submitting a declaration, if at least one plant on your plant site produced, processed or consumed in any of the three previous years, or you anticipate that at least one plant on your plant site will produce, process or consume in the next calendar year, any Schedule 2 chemical in excess of the threshold quantities set forth in paragraphs (b)(2)(i)(A) through (C) of this section.
The applicable inspection threshold for Schedule 2 plant sites is ten times higher than the applicable declaration threshold. Only declared plant sites, comprising at least one declared plant that exceeds the applicable inspection threshold, are subject to inspection.
(3) Schedule 3 plant sites. Your declared plant site is subject to inspection if the declared plants on your plant site produced during the previous calendar year, or you anticipate they will produce in the next calendar year, in excess of 200 metric tons aggregate of any Schedule 3 chemical.
The methodology for determining a declarable and inspectable plant site is different. A Schedule 3 plant site that submits a declaration is subject to inspection only if the aggregate production of a Schedule 3 chemical at all declared plants on the plant site exceeds 200 metric tons.
(4) Unscheduled discrete organic chemical plant sites. Your declared plant site is subject to inspection if it produced by synthesis more than 200 metric tons aggregate of unscheduled discrete organic chemicals (UDOC) during the previous calendar year.
You must include amounts of unscheduled discrete organic chemicals containing phosphorus, sulfur or fluorine in the calculation of your plant site’s aggregate production of unscheduled discrete organic chemicals.
All UDOC plant sites that submit a declaration based on § 715.1(a)(1)(i) of the CWCR are subject to a routine inspection.
Any UDOC plant site that is eligible, in accordance with § 715.1(d)(2) of the CWCR, to submit a Change in Inspection Status Form or an Annual Declaration on Past Activities by December 15th of the current calendar year (i.e., a plant site that will be below the inspection threshold level indicated in paragraph (b)(4) of this section during the current calendar year), but that fails to do so, will remain subject to inspection through at least the 90-day period at the beginning of the next calendar year.
(c) Responsibilities of the Department of Commerce. As the host and escort for the international Inspection Team for all inspections of facilities subject to the provisions of the CWCR under this part, BIS will:
(1) Lead on-site inspections;
(2) Provide Host Team notification to the facility of an impending inspection;
(3) Take appropriate action to obtain an administrative warrant in the event the facility does not consent to the inspection;
(4) Dispatch an advance team to the vicinity of the site to provide administrative and logistical support for the impending inspection and, upon request, to assist the facility with inspection preparation;
(5) Escort the Inspection Team on-site throughout the inspection process;
(6) Assist the Inspection Team with verification activities;
(7) Negotiate the development of a site-specific facility agreement, if appropriate (see § 716.6); and
(8) Ensure that an inspection adheres to the Convention, the Act and any warrant issued thereunder, and a site-specific facility agreement, if concluded.
§ 716.2 Purposes and types of inspections of declared facilities.
(a) Schedule 1 facilities – (1) Purposes of inspections. The aim of inspections of Schedule 1 facilities is to verify that:
(i) The facility is not used to produce any Schedule 1 chemical, except for the declared Schedule 1 chemicals;
(ii) The quantities of Schedule 1 chemicals produced, processed or consumed are correctly declared and consistent with needs for the declared purpose; and
(iii) The Schedule 1 chemical is not diverted or used for purposes other than those declared.
(2) Types of inspections – (i) Initial inspections. (A) During initial inspections of declared Schedule 1 facilities, in addition to the verification activities listed in paragraph (a)(1) of this section, the Host Team and the Inspection Team will draft site-specific facility agreements (see § 716.6 of the CWCR) for the conduct of routine inspections.
(B) For new Schedule 1 production facilities declared pursuant to § 712.4 of the CWCR, the U.S. National Authority, in coordination with BIS, will conclude a facility agreement with the OPCW before the facility begins producing above 100 grams aggregate of Schedule 1 chemicals.
(ii) Routine inspections. During routine inspections of declared Schedule 1 facilities, the verification activities listed in paragraph (a)(1) of this section will be carried out pursuant to site-specific facility agreements (see § 716.6 of the CWCR) developed during the initial inspections and concluded between the U.S. Government and the OPCW pursuant to the Convention.
(b) Schedule 2 plant sites – (1) Purposes of inspections. (i) The general aim of inspections of declared Schedule 2 plant sites is to verify that activities are in accordance with obligations under the Convention and consistent with the information provided in declarations. Particular aims of inspections of declared Schedule 2 plant sites are to verify:
(A) The absence of any Schedule 1 chemical, especially its production, except in accordance with the provisions of the Convention;
(B) Consistency with declarations of production, processing or consumption of Schedule 2 chemicals; and
(C) Non-diversion of Schedule 2 chemicals for activities prohibited under the Convention.
(ii) During initial inspections, Inspection Teams shall collect information to determine the frequency and intensity of subsequent inspections by assessing the risk to the object and purpose of the Convention posed by the relevant chemicals, the characteristics of the plant site and the nature of the activities carried out there. The Inspection Team will take the following criteria into account, inter alia:
(A) The toxicity of the scheduled chemicals and of the end-products produced with them, if any;
(B) The quantity of the scheduled chemicals typically stored at the inspected site;
(C) The quantity of feedstock chemicals for the scheduled chemicals typically stored at the inspected site;
(D) The production capacity of the Schedule 2 plants; and
(E) The capability and convertibility for initiating production, storage and filling of toxic chemicals at the inspected site.
(2) Types of inspections – (i) Initial inspections. During initial inspections of declared Schedule 2 plant sites, in addition to the verification activities listed in paragraph (b)(1) of this section, the Host Team and the Inspection Team will generally draft site-specific facility agreements for the conduct of routine inspections (see § 716.6 of the CWCR).
(ii) Routine inspections. During routine inspections of declared Schedule 2 plant sites, the verification activities listed in paragraph (b)(1) of this section will be carried out pursuant to any appropriate site-specific facility agreements developed during the initial inspections (see § 716.6 of the CWCR), and concluded between the U.S. Government and the OPCW pursuant to the Convention and the Act.
(c) Schedule 3 plant sites – (1) Purposes of inspections. The general aim of inspections of declared Schedule 3 plant sites is to verify that activities are consistent with the information provided in declarations. The particular aim of inspections is to verify the absence of any Schedule 1 chemical, especially its production, except in accordance with the Convention.
(2) Routine inspections. During routine inspections of declared Schedule 3 plant sites, in addition to the verification activities listed in paragraph (c)(1) of this section, the Host Team and the Inspection Team may draft site-specific facility agreements for the conduct of subsequent routine inspections (see § 716.6 of the CWCR). Although the Convention does not require facility agreements for declared Schedule 3 plant sites, the owner, operator, occupant or agent in charge of a plant site may request one. The Host Team will not seek a facility agreement if the owner, operator, occupant or agent in charge of the plant site does not request one. Subsequent routine inspections will be carried out pursuant to site-specific facility agreements, if applicable.
(d) Unscheduled discrete organic chemical plant sites – (1) Purposes of inspections. The general aim of inspections of declared UDOC plant sites is to verify that activities are consistent with the information provided in declarations. The particular aim of inspections is to verify the absence of any Schedule 1 chemical, especially its production, except in accordance with the Convention.
(2) Routine inspections. During routine inspections of declared UDOC plant sites, in addition to the verification activities listed in paragraph (d)(1) of this section, the Host Team and the Inspection Team may develop draft site-specific facility agreements for the conduct of subsequent routine inspections (see § 716.6 of the CWCR). Although the Convention does not require facility agreements for declared UDOC plant sites, the owner, operator, occupant or agent in charge of a plant site may request one. The Host Team will not seek a facility agreement if the owner, operator, occupant or agent in charge of the plant site does not request one. Subsequent routine inspections will be carried out pursuant to site-specific facility agreements, if applicable.
§ 716.3 Consent to inspections; warrants for inspections.
(a) The owner, operator, occupant or agent in charge of a facility may consent to an initial or routine inspection. The individual giving consent on behalf of the facility represents that he or she has the authority to make this decision for the facility.
(b) In instances where consent is not provided by the owner, operator, occupant or agent in charge for an initial or routine inspection, BIS will seek administrative warrants as provided by the Act.
§ 716.4 Scope and conduct of inspections.
(a) General. Each inspection shall be limited to the purposes described in § 716.2 of the CWCR and shall be conducted in the least intrusive manner, consistent with the effective and timely accomplishment of its purpose as provided in the Convention.
(b) Scope – (1) Description of inspections. During inspections, the Inspection Team:
(i) Will receive a pre-inspection briefing from facility representatives;
(ii) Will visually inspect the facilities or plants producing scheduled chemicals or UDOCs, which may include storage areas, feed lines, reaction vessels and ancillary equipment, control equipment, associated laboratories, first aid or medical sections, and waste and effluent handling areas, as necessary to accomplish their inspection;
(iii) May visually inspect other parts or areas of the plant site to clarify an ambiguity that has arisen during the inspection;
(iv) May take photographs or conduct formal interviews of facility personnel;
(v) May examine relevant records; and
(vi) May take samples as provided by the Convention, the Act and consistent with the requirements set forth by the Director of the United States National Authority, at 22 CFR part 103, and the facility agreement, if applicable.
(2) Scope of consent. When an owner, operator, occupant, or agent in charge of a facility consents to an initial or routine inspection, he or she is consenting to provide access to the Inspection Team and Host Team to any area of the facility, any item located on the facility, interviews with facility personnel, and any records necessary for the Inspection Team to complete its mission pursuant to paragraph (a) of this section, except for information subject to export control under ITAR (22 CFR parts 120 through 130) (see paragraph (b)(3) of this section). When consent is granted for an inspection, the owner, operator, occupant, or agent in charge agrees to provide the same degree of access provided for under section 305 of the Act. The determination of whether the Inspection Team’s request to inspect any area, building, item or record is reasonable is the responsibility of the Host Team Leader.
(3) ITAR-controlled technology. ITAR-controlled technology shall not be divulged to the Inspection Team without U.S. Government authorization (such technology includes, but is not limited to technical data related to Schedule 1 chemicals or Schedule 2 chemicals identified in Note 2 to Supplement No. 1 to Part 712 or Note 1 to Supplement No. 1 to Part 713, respectively, of the CWCR; also see 22 CFR Section 121.1, i.e., the United States Munitions List). Facilities being inspected are responsible for the identification of ITAR-controlled technology to the BIS Host Team, if known.
(c) Pre-inspection briefing. Upon arrival of the Inspection Team and Host Team at the inspection site and before commencement of the inspection, facility representatives will provide the Inspection Team and Host Team with a pre-inspection briefing on the facility, the activities carried out there, safety measures, and administrative and logistical arrangements necessary for the inspection, which may be aided with the use of maps and other documentation as deemed appropriate by the facility. The time spent for the briefing will be limited to the minimum necessary and may not exceed three hours.
(1) The pre-inspection briefing will address:
(i) Facility health and safety issues and requirements, and associated alarm systems;
(ii) Declared facility activities, business and manufacturing operations;
(iii) Physical layout;
(iv) Delimitation of declared facility;
(v) Scheduled chemicals on the facility (declared and undeclared);
(vi) Block flow diagram or simplified process flow diagram;
(vii) Plants and units specific to declared operations;
(viii) Administrative and logistic information; and
(ix) Data declaration updates/revisions.
(2) The pre-inspection briefing may also address, inter alia:
(i) Introduction of key facility personnel;
(ii) Management, organization and history;
(iii) Confidential business information concerns;
(iv) Types and location of records/documents;
(v) Draft facility agreement, if applicable; and
(vi) Proposed inspection plan.
(d) Visual plant inspection. The Inspection Team may visually inspect the declared plant or facility and other areas or parts of the plant site as agreed by the Host Team Leader after consulting with the facility representative.
(e) Records review. (1) The facility must provide the Inspection Team with access to all supporting materials and documentation used by the facility to prepare declarations and to otherwise comply with the requirements of the CWCR. These supporting materials and documentation shall include records related to activities that have taken place at the facility since the beginning of the previous calendar year, regardless of whether or not the facility has submitted its current year Annual Declaration on Past Activities to BIS at the time of the inspection. The facility shall also make available for inspection all records associated with the movement into, around, and from the facility of declared chemicals and their feedstock or any product chemicals formed from such chemicals and feedstock. All supporting materials and documentation subject to the requirements of this paragraph (e) must be retained by the facility in accordance with the requirements of § 721.2 of the CWCR. The facility also must permit access to and copying of these records, upon request by BIS or any other agency of competent jurisdiction, in accordance with the requirements of § 721.1 of the CWCR.
(2) The facility must provide access to these supporting materials and documentation in appropriate formats (e.g., paper copies, electronic remote access by computer, microfilm, or microfiche), through the U.S. Government Host Team to Inspection Teams, during the inspection period or as otherwise agreed upon by the Inspection Team and Host Team Leader.
(3) The facility must provide the Inspection Team with appropriate accommodations in which to review these supporting materials and documentation.
(4) If a facility does not have access to supporting materials and documentation for activities that took place under previous ownership, because such records were not transferred to the current owner of the facility by the previous owner (e.g., as part of the contract involving the sale of the facility), the previous owner must make such records available to the Host Team for provision to the Inspection Team in accordance with section 305 of the Act. However, the current owner of a facility, upon receiving notification of an inspection (see § 716.5 of the CWCR), is responsible for informing BIS if the previous owner did not transfer records for activities that took place under the previous ownership – this will allow BIS to contact the previous owner of the facility, to arrange for access to such records, if BIS deems them relevant to the inspection activities.
(f) Effect of facility agreements. Routine inspections at facilities for which the United States has concluded a facility agreement with the OPCW will be conducted in accordance with the facility agreement. The existence of a facility agreement does not in any way limit the right of the owner, operator, occupant, or agent in charge of the facility to withhold consent to an inspection request.
(g) Hours of inspections. Consistent with the provisions of the Convention, the Host Team will ensure, to the extent possible, that each inspection is commenced, conducted, and concluded during ordinary working hours, but no inspection shall be prohibited or otherwise disrupted from commencing, continuing or concluding during other hours.
(h) Health and safety regulations and requirements. In carrying out their activities, the Inspection Team and Host Team shall observe federal, state, and local health and safety regulations and health and safety requirements established at the inspection site, including those for the protection of controlled environments within a facility and for personal safety. Such health and safety regulations and requirements will be set forth in, but will not necessarily be limited to, the facility agreement, if applicable.
(i) Preliminary findings. Upon completion of an inspection, the Inspection Team will meet with the Host Team and facility personnel to review the written preliminary findings of the Inspection Team and to clarify ambiguities. The Host Team will discuss the preliminary findings with the facility, and the Host Team Leader will take into consideration the facility’s input when providing official comments on the preliminary findings to the Inspection Team. This meeting will be completed not later than 24 hours after the completion of the inspection.
§ 716.5 Notification, duration and frequency of inspections.
(a) Inspection notification – (1)(i) Content of notice. Inspections of facilities may be made only upon issuance of written notice by the United States National Authority (USNA) to the owner and to the operator, occupant or agent in charge of the premises to be inspected. BIS will also provide a separate inspection notification to the inspection point of contact identified in declarations submitted by the facility. If the United States is unable to provide actual written notice to the owner and to the operator, occupant or agent in charge, BIS (or the Federal Bureau of Investigation, if BIS is unable) may post notice prominently at the facility to be inspected. The notice shall include all appropriate information provided by the OPCW to the USNA concerning:
(A) The type of inspection;
(B) The basis for the selection of the facility or location for the type of inspection sought;
(C) The time and date that the inspection will begin and the period covered by the inspection; and
(D) The names and titles of the Inspection Team members.
(ii) Consent to inspection. In addition to appropriate information provided by the OPCW in its notification to the USNA, BIS’s inspection notification will request that the facility indicate whether it will consent to an inspection, and will state whether an advance team is available to assist the site in preparation for the inspection. If an advance team is available, facilities that request advance team assistance are not required to reimburse the U.S. Government for costs associated with these activities. If a facility does not agree to provide consent to an inspection within four hours of receipt of the inspection notification, BIS will seek an administrative warrant. The current owner of a facility, upon receiving notification of an inspection, is also responsible for informing BIS if the previous owner did not transfer (to the current owner) records for activities that took place under the previous ownership (see § 716.4(e) of the CWCR) – this will allow BIS to contact the previous owner of the facility, to arrange for access to such records, if BIS deems them relevant to the inspection activities.
(iii) The following table sets forth the notification procedures for inspection:
Table to § 716.5(
| Activity | Agency action | Facility action |
|---|---|---|
| (A) OPCW notification inspection | ( | Acknowledges receipt of facsimile. |
| ( | ( ( | |
| (B) Preparation for inspection | ( | If advance team support is provided, facility works with the advance team on inspection-related issues. |
| ( | The current owner of the facility must inform BIS if the previous owner of the facility did not transfer (to the current owner) records for activities that took place under the previous ownership. |
(2) Timing of notice – (i) Schedule 1 facilities. For declared Schedule 1 facilities, the Technical Secretariat will notify the USNA of an initial inspection not less than 72 hours prior to arrival of the Inspection Team in the United States, and will notify the USNA of a routine inspection not less than 24 hours prior to arrival of the Inspection Team in the United States. The USNA will provide written notice to the owner and to the operator, occupant or agent in charge of the premises within six hours of receiving notification from the OPCW Technical Secretariat or as soon as possible thereafter. BIS will provide Host Team notice to the inspection point of contact of the facility as soon as possible after the OPCW notifies the USNA of the inspection.
(ii) Schedule 2 plant sites. For declared Schedule 2 plant sites, the Technical Secretariat will notify the USNA of an initial or routine inspection not less than 48 hours prior to arrival of the Inspection Team at the plant site to be inspected. The USNA will provide written notice to the owner and to the operator, occupant or agent in charge of the premises within six hours of receiving notification from the OPCW Technical Secretariat or as soon as possible thereafter. BIS will provide Host Team notice to the inspection point of contact at the plant site as soon as possible after the OPCW notifies the USNA of the inspection.
(iii) Schedule 3 and UDOC plant sites. For declared Schedule 3 and UDOC plant sites, the Technical Secretariat will notify the USNA of a routine inspection not less than 120 hours prior to arrival of the Inspection Team at the plant site to be inspected. The USNA will provide written notice to the owner and to the operator, occupant or agent in charge of the premises within six hours of receiving notification from the OPCW Technical Secretariat or as soon as possible thereafter. BIS will provide Host Team notice to the inspection point of contact of the plant site as soon as possible after the OPCW notifies the USNA of the inspection.
(b) Period of inspections – (1) Schedule 1 facilities. For a declared Schedule 1 facility, the Convention does not specify a maximum duration for an initial inspection. The estimated period of routine inspections will be as stated in the facility agreement, unless extended by agreement between the Inspection Team and the Host Team Leader, and will be based on the risk to the object and purpose of the Convention posed by the quantities of chemicals produced, the characteristics of the facility and the nature of the activities carried out there. The Host Team Leader will consult with the inspected facility on any request for extension of an inspection prior to making an agreement with the Inspection Team. Activities involving the pre-inspection briefing and preliminary findings are in addition to inspection activities. See § 716.4(c) and (i) of the CWCR for a description of these activities.
(2) Schedule 2 plant sites. For declared Schedule 2 plant sites, the maximum duration of initial and routine inspections shall be 96 hours, unless extended by agreement between the Inspection Team and the Host Team Leader. The Host Team Leader will consult with the inspected plant site on any request for extension of an inspection prior to making an agreement with the Inspection Team. Activities involving the pre-inspection briefing and preliminary findings are in addition to inspection activities. See § 716.4(c) and (i) of the CWCR for a description of these activities.
(3) Schedule 3 and UDOC plant sites. For declared Schedule 3 or UDOC plant sites, the maximum duration of routine inspections shall be 24 hours, unless extended by agreement between the Inspection Team and the Host Team Leader. The Host Team Leader will consult with the inspected plant site on any request for extension of an inspection prior to making an agreement with the Inspection Team. Activities involving the pre-inspection briefing and preliminary findings are in addition to inspection activities. See § 716.4(c) and (i) of the CWCR for a description of these activities.
(c) Frequency of inspections. The frequency of inspections is as follows:
(1) Schedule 1 facilities. As provided by the Convention, the frequency of inspections at declared Schedule 1 facilities is determined by the OPCW based on the risk to the object and purpose of the Convention posed by the quantities of chemicals produced, the characteristics of the facility and the nature of the activities carried out at the facility. The frequency of inspections will be stated in the facility agreement.
(2) Schedule 2 plant sites. As provided by the Convention and the Act, the maximum number of inspections at declared Schedule 2 plant sites is two per calendar year per plant site. The OPCW will determine the frequency of routine inspections for each declared Schedule 2 plant site based on the Inspection Team’s assessment of the risk to the object and purpose of the Convention posed by the relevant chemicals, the characteristics of the plant site, and the nature of the activities carried out there. The frequency of inspections will be stated in the facility agreement, if applicable.
(3) Schedule 3 plant sites. As provided by the Convention, no declared Schedule 3 plant site may receive more than two inspections per calendar year and the combined number of inspections of Schedule 3 and UDOC plant sites in the United States may not exceed 20 per calendar year.
(4) UDOC plant sites. As provided by the Convention, no declared UDOC plant site may receive more than two inspections per calendar year and the combined number of inspections of Schedule 3 and UDOC plant sites in the United States may not exceed 20 per calendar year.
§ 716.6 Facility agreements.
(a) Description and requirements. A facility agreement is a site-specific agreement between the U.S. Government and the OPCW. Its purpose is to define procedures for inspections of a specific declared facility that is subject to inspection because of the type or amount of chemicals it produces, processes or consumes.
(1) Schedule 1 facilities. The Convention requires that facility agreements be concluded between the United States and the OPCW for all declared Schedule 1 facilities. For new Schedule 1 production facilities declared pursuant to § 712.4 of the CWCR, the USNA, in coordination with the Department of Commerce, will conclude a facility agreement with the OPCW before the facility begins producing above 100 grams aggregate of Schedule 1 chemicals.
(2) Schedule 2 plant sites. The USNA will ensure that such facility agreements are concluded with the OPCW unless the owner, operator, occupant or agent in charge of the plant site and the OPCW Technical Secretariat agree that such a facility agreement is not necessary.
(3) Schedule 3 and UDOC plant sites. If the owner, operator, occupant or agent in charge of a declared Schedule 3 or UDOC plant site requests a facility agreement, the USNA will ensure that a facility agreement for such a plant site is concluded with the OPCW.
(b) Notification; negotiation of draft and final facility agreements; and conclusion of facility agreements. Prior to the development of a facility agreement, BIS shall notify the owner, operator, occupant, or agent in charge of the facility, and if the owner, operator, occupant or agent in charge so requests, the notified person may participate in preparations with BIS representatives for the negotiation of such an agreement. During the initial or routine inspection of a declared facility, the Inspection Team and the Host Team will negotiate a draft facility agreement or amendment to a facility agreement. To the maximum extent practicable consistent with the Convention, the owner and the operator, occupant or agent in charge of the facility may observe facility agreement negotiations between the U.S. Government and OPCW. As a general rule, BIS will consult with the affected facility on the contents of the agreements and take the facility’s views into consideration during negotiations. BIS will participate in the negotiation of, and approve, all final facility agreements with the OPCW. Facilities will be notified of and have the right to observe final facility agreement negotiations between the United States and the OPCW to the maximum extent practicable, consistent with the Convention. Prior to the conclusion of a final facility agreement, the affected facility will have an opportunity to comment on the facility agreement. BIS will give consideration to such comments prior to approving final facility agreements with the OPCW. The USNA shall ensure that facility agreements for Schedule 1, Schedule 2, Schedule 3 and UDOC facilities are concluded, as appropriate, with the OPCW in coordination with BIS.
(c) [Reserved]
(d) Further information. For further information about facility agreements, please write or call: Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, Telephone: (202) 482-1001.
§ 716.7 Samples.
The owner, operator, occupant or agent in charge of a facility must provide a sample as provided for in the Convention and the Act and consistent with requirements set forth by the Director of the United States National Authority in 22 CFR part 103. Analysis will be restricted to verifying the absence of undeclared scheduled chemicals, unless otherwise agreed after consultation with the facility representative.
§ 716.8 On-site monitoring of Schedule 1 facilities.
Declared Schedule 1 facilities are subject to verification by monitoring with on-site instruments as provided by the Convention. For facilities subject to the CWCR, however, such monitoring is not anticipated. The U.S. Government will ensure that any monitoring that may be requested by the OPCW is carried out pursuant to the Convention and U.S. law.
Pursuant to section 309(b)(5) of the Act, any facility that has undergone any inspections pursuant to the CWCR during a given calendar year must report to BIS within 90 days of an inspection on its total costs related to that inspection. Although not required, such reports should identify categories of costs separately if possible, such as personnel costs (production-line, administrative, legal), costs of producing records, and costs associated with shutting down chemical production or processing during inspections, if applicable. This information should be reported to BIS on company letterhead at the address given in § 716.6(d) of the CWCR, with the following notation: “Attn: Report of inspection-related costs.”
§ 716.10 Post-inspection activities.
BIS will forward a copy of the final inspection report to the inspected facility for their review upon receipt from the OPCW. Facilities may submit comments on the final inspection report to BIS, within the time-frame specified by BIS (i.e., at least 7 working days from receipt of the report), and BIS will consider them, to the extent possible, when commenting on the final report. BIS will also send facilities a post-inspection letter detailing the issues that require follow-up action, e.g., amended declaration requirement (see §§ 712.7(d), 713.5(d), 714.4(d), and 715.2(c) of the CWCR), information on the status of the draft facility agreement, if applicable, and the date on which the report on inspection-related costs (see § 716.9 of the CWCR) is due to BIS.
Supplement No. 1 to Part 716 – Notification, Duration and Frequency of Inspections
| Schedule 1 | Schedule 2 | Schedule 3 | Unscheduled discrete organic chemicals | |
|---|---|---|---|---|
| Notice of initial or routine inspection to USNA | 72 hours prior to arrival of Inspection Team at the point of entry (initial); 24 hours prior to arrival of Inspection Team at the point of entry (routine) | 48 hours prior to arrival of Inspection Team at the plant site | 120 hours prior to arrival of Inspection Team at the plant site | 120 hours prior to arrival of Inspection Team at the plant site. |
| Duration of inspection | As specified in facility agreement | 96 hours | 24 hours | 24 hours. |
| Maximum number of inspections | Determined by OPCW based on characteristics of facility and the nature of the activities carried out at the facility | 2 per calendar year per plant site | 2 per calendar year per plant site | 2 per calendar year per plant site. |
| Notification of challenge inspection to USNA* | 12 hours prior to arrival of inspection team at the point of entry. | |||
| Duration of Challenge inspection* | 84 hours. | |||
* See part 717 of the CWCR.
Supplement Nos. 2-3 to Part 716 [Reserved]
PART 717 – CWC CLARIFICATION PROCEDURES (CONSULTATIONS AND CHALLENGE INSPECTIONS)
§ 717.1 Clarification procedures; challenge inspection requests pursuant to Article IX of the Convention.
(a) Article IX of the Convention sets forth procedures for clarification, between States Parties, of issues about compliance with the Convention. States Parties may attempt to resolve such issues through consultation between themselves or through the Organization for the Prohibition of Chemical Weapons (OPCW). A State Party may also request the OPCW to conduct an on-site challenge inspection of any facility or location in the territory or in any other place under the jurisdiction or control of any other State Party. Such an on-site challenge inspection request shall be for the sole purpose of clarifying and resolving any questions concerning possible non-compliance with the Convention.
(b) In the event that BIS receives a request for clarification, pursuant to Article IX of the Convention, concerning possible non-compliance with the CWC, any person or facility subject to the CWCR (parts 710 through 729 of this subchapter) that receives an official written request from BIS for clarification must, within five working days from receipt of such request, provide BIS with any relevant information required to respond to the OPCW or the State Party(ies) who requested clarification under Article IX. BIS will contact the person or facility subject to the Article IX clarification, as early as practicable, prior to issuing an official written request for clarification to the person or facility.
§ 717.2 Challenge inspections.
Persons or facilities, other than U.S. Government facilities as defined in § 710.2(a) of the CWCR, may be subject to a challenge inspection by the OPCW concerning possible non-compliance with the requirements of the Convention, irrespective of whether or not they are required to submit declarations or reports under the CWCR. BIS will host and escort the international Inspection Team for challenge inspections in the United States of such persons or facilities.
(a) Consent to challenge inspections; warrants for challenge inspections. (1) The owner, operator, occupant or agent in charge of a facility may consent to a challenge inspection. The individual giving consent on behalf of the facility represents that he or she has the authority to make this decision for the facility. The facility must respond to the notice of inspection, which includes within it a request for consent to the inspection, within four hours of the facility’s receipt of the notice of inspection from BIS.
(2) In instances where the owner, operator, occupant or agent in charge of a facility does not consent to a challenge inspection, BIS will assist the Department of Justice in seeking a criminal warrant as provided by the Act. The existence of a facility agreement does not in any way limit the right of the operator of the facility to withhold consent to a challenge inspection request.
(b) Notice of challenge inspection. Challenge inspections may be made only upon issuance of written notice by the United States National Authority (USNA) to the owner and to the operator, occupant or agent in charge of the premises. BIS will provide notice of inspection to the inspection point of contact at such time that a person or facility has been clearly established, if possible, and when notification is deemed appropriate. If the United States is unable to provide actual written notice to the owner and to the operator, occupant or agent in charge, BIS (or another appropriate agency, if BIS is unable) may post notice prominently at the plant, plant site or other facility or location to be inspected.
(1) Timing. The OPCW will notify the USNA of a challenge inspection not less than 12 hours before the planned arrival of the Inspection Team at the U.S. point of entry. Written notice will be provided to the owner and to the operator, occupant, or agent in charge of the premises at any appropriate time determined by the USNA after receipt of notification from the OPCW Technical Secretariat.
(2)(i) Content of notice. The notice of inspection shall include all appropriate information provided by the OPCW to the United States National Authority concerning:
(A) The type of inspection;
(B) The basis for the selection of the facility or locations for the type of inspection sought;
(C) The time and date that the inspection will begin and the period covered by the inspection;
(D) The names and titles of the Inspection Team members; and
(E) All appropriate evidence or reasons provided by the requesting State Party for seeking the inspection.
(ii) In addition to appropriate information provided by the OPCW in its notification to the USNA, the notice of inspection that BIS delivers to the facility will request the facility to indicate whether it will consent to an inspection and will state whether an advance team is available to assist the site in preparation for the inspection. If an advance team is available, facilities that request advance team assistance are not required to reimburse the U.S. Government for costs associated with these activities. If a facility does not agree to provide consent to an inspection within four hours of receipt of the inspection notification, BIS will assist the Department of Justice in seeking a criminal warrant.
(c) Period of inspection. Challenge inspections will not exceed 84 hours, unless extended by agreement between the Inspection Team and the Host Team Leader.
(d) Scope and conduct of inspections – (1) General. Each inspection shall be limited to the purposes described in this section and conducted in the least intrusive manner, consistent with the effective and timely accomplishment of its purpose as provided in the Convention.
(2) Scope of inspections. If an owner, operator, occupant, or agent in charge of a facility consents to a challenge inspection, the inspection will be conducted under the authority of the Act and in accordance with the provisions of Article IX and applicable provisions of the Verification Annex of the Convention. If consent is not granted, the inspection will be conducted pursuant to the terms of a criminal warrant issued under the authority of the Act.
(3) Hours of inspections. Consistent with the provisions of the Convention, the Host Team will ensure, to the extent possible, that each inspection is commenced, conducted, and concluded during ordinary working hours, but no inspection shall be prohibited or otherwise disrupted from commencing, continuing or concluding during other hours.
(4) Health and safety regulations and requirements. In carrying out their activities, the Inspection Team and Host Team shall observe federal, state, and local health and safety regulations and health and safety requirements established at the inspection site, including those for the protection of controlled environments within a facility and for personal safety.
(5) Pre-inspection briefing. Upon arrival of the Inspection Team and the Host Team in the vicinity of the inspection site and before commencement of the inspection, facility representatives will provide the Inspection Team and the Host Team with a pre-inspection briefing concerning the facility, the activities carried out there, safety measures, and administrative and logistical arrangements necessary for the inspection, which may be aided with the use of maps and other documentation as deemed appropriate by the facility. The time spent for the briefing may not exceed three hours.
§ 717.3 Samples.
If requested by the Inspection Team, the owner, operator, occupant or agent in charge of a facility must provide a sample, as provided for in the Convention and the Act and consistent with requirements set forth by the Director of the United States National Authority in 22 CFR part 103. This may be done by providing a sample, taken in the presence of the Inspection Team, to the U.S. Host Team leader, who will then release it to the Inspection Team for analysis. Analysis of the sample may be restricted to verifying the presence or absence of Schedule 1, 2, or 3 chemicals, or appropriate degradation products, unless agreed otherwise.
Pursuant to section 309(b)(5) of the Act, any facility that has undergone any inspections pursuant to the CWCR during a given calendar year must report to BIS within 90 days of an inspection on its total costs related to that inspection. Although not required, such reports should identify categories of costs separately if possible, such as personnel costs (production-line, administrative, legal), costs of producing records, and costs associated with shutting down chemical production or processing during inspections, if applicable. This information should be reported to BIS on company letterhead at the address given in § 716.6(d) of the CWCR, with the following notation: “AATTN: Report of Inspection-related Costs.”
§ 717.5 Post-inspection activities.
BIS will forward a copy of the final inspection report to the inspected facility for their review upon receipt from the OPCW. Facilities may submit comments on the final inspection report to BIS, and BIS will consider them, to the extent possible, when commenting on the final report. BIS will also send facilities a post-inspection letter detailing the issues that require follow-up action and the date on which the report on inspection-related costs (see § 717.4 of the CWCR) is due to BIS.
PART 718 – CONFIDENTIAL BUSINESS INFORMATION
§ 718.1 Definition.
The Chemical Weapons Convention Implementation Act of 1998 (“the Act”) defines confidential business information as information included in categories specifically identified in sections 103(g)(1) and 304(e)(2) of the Act and other trade secrets as follows:
(a) Financial data;
(b) Sales and marketing data (other than shipment data);
(c) Pricing data;
(d) Personnel data;
(e) Research data;
(f) Patent data;
(g) Data maintained for compliance with environmental or occupational health and safety regulations;
(h) Data on personnel and vehicles entering and personnel and personal passenger vehicles exiting the site;
(i) Any chemical structure;
(j) Any plant design, process, technology or operating method;
(k) Any operating requirement, input, or result that identifies any type or quantity of chemicals used, processed or produced;
(l) Any commercial sale, shipment or use of a chemical; or
(m) Information that qualifies as a trade secret under 5 U.S.C. 552(b)(4) (Freedom of Information Act), provided such trade secret is obtained from a U.S. person or through the U.S. Government.
718.2 Identification of confidential business information.
(a) General. Certain confidential business information submitted to BIS in declarations and reports does not need to be specifically identified and marked by the submitter, as described in paragraph (b) of this section. Other confidential business information submitted to BIS in declarations and reports and confidential business information provided to the Host Team during inspections must be identified by the inspected facility so that the Host Team can arrange appropriate marking and handling.
(b) Confidential business information contained in declarations and reports. (1) BIS has identified those data fields on the declaration and report forms that request “confidential business information” as defined by the Act. These data fields are identified in the table provided in supplement no. 1 to this part.
(2) You must specifically identify in a cover letter submitted with your declaration or report any additional information on a declaration or report form (i.e., information not provided in one of the data fields listed in the table included in supplement no. 1 to this part), including information provided in attachments to Form A or Form B, that you believe is confidential business information, as defined by the Act, and must describe how disclosure would likely result in competitive harm.
BIS has also determined that descriptions of Schedule 1 facilities submitted with Initial Declarations as attachments to Form A contain confidential business information, as defined by the Act.
(c) Confidential business information contained in advance notifications. Information contained in advance notifications of exports and imports of Schedule 1 chemicals is not subject to the confidential business information provisions of the Act. You must identify information in your advance notifications of Schedule 1 imports that you consider to be privileged and confidential, and describe how disclosure would likely result in competitive harm. See § 718.3(b) of the CWCR for provisions on disclosure to the public of such information by the U.S. Government.
(d) Confidential business information related to inspections disclosed to, reported to, or otherwise acquired by, the U.S. Government. (1) During inspections, certain confidential business information, as defined by the Act, may be disclosed to the Host Team. Facilities being inspected are responsible for identifying confidential business information to the Host Team, so that if it is disclosed to the Inspection Team, appropriate marking and handling can be arranged, in accordance with the provisions of the Convention (see § 718.3(c)(1)(ii) of the CWCR). Confidential business information not related to the purpose of an inspection or not necessary for the accomplishment of an inspection, as determined by the Host Team, may be removed from sight, shrouded, or otherwise not disclosed.
(2) Before or after inspections, confidential business information related to an inspection that is contained in any documents or that is reported to, or otherwise acquired by, the U.S. Government, such as facility information for pre-inspection briefings, facility agreements, and inspection reports, must be identified by the facility so that it may be appropriately marked and handled. If the U.S. Government creates derivative documents from such documents or reported information, they will also be marked and handled as confidential business information.
§ 718.3 Disclosure of confidential business information.
(a) General. Confidentiality of information will be maintained by BIS consistent with the non-disclosure provisions of the Act, the Export Administration Regulations (15 CFR parts 730 through 774), the International Traffic in Arms Regulations (22 CFR parts 120 through 130), and applicable exemptions under the Freedom of Information Act, as appropriate.
(b) Disclosure of confidential business information contained in advance notifications. Information contained in advance notifications of exports and imports of Schedule 1 chemicals is not subject to the confidential business information provisions of the Act. Disclosure of such information will be in accordance with the provisions of the relevant statutory and regulatory authorities as follows:
(1) Exports of Schedule 1 chemicals. Confidentiality of all information contained in these advance notifications will be maintained consistent with the non-disclosure provisions of the Export Administration Regulations (15 CFR parts 730 through 774), the International Traffic in Arms Regulations (22 CFR parts 120 through 130), and applicable exemptions under the Freedom of Information Act, as appropriate; and
(2) Imports of Schedule 1 chemicals. Confidentiality of information contained in these advance notifications will be maintained pursuant to applicable exemptions under the Freedom of Information Act.
(c) Disclosure of confidential business information pursuant to § 404(b) of the Act – (1) Disclosure to the Organization for the Prohibition of Chemical Weapons (OPCW). (i) As provided by Section 404(b)(1) of the Act, the U.S. Government will disclose or otherwise provide confidential business information to the Technical Secretariat of the OPCW or to other States Parties to the Convention, in accordance with provisions of the Convention, particularly with the provisions of the Annex on the Protection of Confidential Information (Confidentiality Annex).
(ii) Convention provisions. (A) The Convention provides that States Parties may designate information submitted to the Technical Secretariat as confidential, and requires the OPCW to limit access to, and prevent disclosure of, information so designated, except that the OPCW may disclose certain confidential information submitted in declarations to other States Parties if requested. The OPCW has developed a classification system whereby States Parties may designate the information they submit in their declarations as “restricted,” “protected,” or “highly protected,” depending on the sensitivity of the information. Other States Parties are obligated, under the Convention, to store and restrict access to information which they receive from the OPCW in accordance with the level of confidentiality established for that information.
(B) The OPCW Inspection Team members are prohibited, under the terms of their employment contracts and pursuant to the Confidentiality Annex of the Convention, from disclosing to any unauthorized persons, during their employment and for five years after termination of their employment, any confidential information coming to their knowledge or into their possession in the performance of their official duties.
(iii) U.S. Government designation of information to the Technical Secretariat. It is the policy of the U.S. Government to designate all facility information it provides to the Technical Secretariat in declarations, reports and Schedule 1 advance notifications as “protected.” It is the policy of the U.S. Government to designate confidential business information that it discloses to Inspection Teams during inspections as “protected” or “highly protected,” depending on the sensitivity of the information. The Technical Secretariat is responsible for storing and limiting access to any confidential business information contained in a document according to its established procedures.
(2) Disclosure to Congress. Section 404(b)(2) of the Act provides that the U.S. Government must disclose confidential business information to any committee or subcommittee of Congress with appropriate jurisdiction upon the written request of the chairman or ranking minority member of such committee or subcommittee. No such committee or subcommittee, and no member and no staff member of such committee or subcommittee, may disclose such information or material except as otherwise required or authorized by law.
(3) Disclosure to other Federal agencies for law enforcement actions and disclosure in enforcement proceedings under the Act. Section 404(b)(3) of the Act provides that the U.S. Government must disclose confidential business information to other Federal agencies for enforcement of the Act or any other law, and must disclose such information when relevant in any proceeding under the Act. Disclosure will be made in such manner as to preserve confidentiality to the extent practicable without impairing the proceeding. Section 719.14(b) of the CWCR provides that all hearings will be closed, unless the Administrative Law Judge for good cause shown determines otherwise. Section 719.20 of the CWCR provides that parties may request that the administrative law judge segregate and restrict access to confidential business information contained in material in the record of an enforcement proceeding.
(4) Disclosure to the public; national interest determination. Section 404(c) of the Act provides that confidential business information, as defined by the Act, that is in the possession of the U.S. Government, is exempt from public disclosure in response to a Freedom of Information Act request, except when such disclosure is determined to be in the national interest.
(i) National interest determination. The United States National Authority (USNA), in coordination with the CWC interagency group, shall determine on a case-by-case basis if disclosure of confidential business information in response to a Freedom of Information Act request is in the national interest.
(ii) Notification of intent to disclose pursuant to a national interest determination. The Act provides for notification to the affected person of intent to disclose confidential business information based on the national interest, unless such notification of intent to disclose is contrary to national security or law enforcement needs. If, after coordination with the agencies that constitute the CWC interagency group, the USNA does not determine that such notification of intent to disclose is contrary to national security or law enforcement needs, the USNA will notify the person that submitted the information and the person to whom the information pertains of the intent to disclose the information.
Supplement No. 1 to Part 718 – Confidential Business Information Declared or Reported *
| Fields containing confidential business information | |
|---|---|
| Schedule 1 Forms: | |
| Certification Form | NONE. |
| Form 1-1 | NONE. |
| Form 1-2 | All fields. |
| Form 1-2A | All fields. |
| Form 1-2B | All fields. |
| Form 1-3 | All fields. |
| Form 1-4 | All fields. |
| Schedule 2 Forms: | |
| Certification Form | NONE. |
| Form 2-1 | NONE. |
| Form 2-2 | Question 2-2.9 |
| Form 2-3 | All fields. |
| Form 2-3A | All fields. |
| Form 2-3B | All fields. |
| Form 2-3C | All fields. |
| Form 2-4 | All fields. |
| Schedule 3 Forms: | |
| Certification Form | NONE. |
| Form 3-1 | NONE. |
| Form 3-2 | NONE. |
| Form 3-3 | All fields. |
| Form 3-4 | All fields. |
| Unscheduled Discrete Organic Chemicals Forms: | |
| Certification Form | NONE. |
| Form UDOC | NONE. |
| FORMS A and B and attachments (all Schedules and UDOCs) | Case-by-case; must be identified by submitter. |
* This table lists those data fields on the Declaration and Report Forms that request “confidential business information” (CBI) as defined by the Act (sections 103(g) and 304(e)(2)). As provided by section 404(a) of the Act, CBI is exempt from disclosure in response to a Freedom of Information Act (FOIA) request under sections 552(b)(3) and 552(b)(4) (5 U.S.C.A. 552(b)(3)-(4)), unless a determination is made, pursuant to section 404(c) of the Act, that such disclosure is in the national interest. Other FOIA exemptions to disclosure may also apply. You must identify CBI provided in Form A and/or Form B attachments, and provide the reasons supporting your claim of confidentiality, except that Schedule 1 facility technical descriptions submitted with initial declarations are always considered to include CBI. If you believe that information you are submitting in a data field marked “none” in the Table is CBI, as defined by the Act, you must identify the specific information and provide the reasons supporting your claim of confidentiality in a cover letter.
PART 719 – ENFORCEMENT
§ 719.1 Scope and definitions.
(a) Scope. This part 719 describes the various sanctions that apply to violations of the Act and the CWCR. It also establishes detailed administrative procedures for certain violations of the Act. The three categories of violations are as follows:
(1) Violations of the Act subject to administrative and criminal enforcement proceedings. Section 719.2 of the CWCR sets forth violations for which the statutory basis is the Act. BIS investigates these violations and, for administrative proceedings, prepares charges, provides legal representation to the U.S. Government, negotiates settlements, and makes recommendations to officials of the Department of State with respect to the initiation and resolution of proceedings. The administrative procedures applicable to these violations are found in §§ 719.5 through 719.22 of the CWCR. The Department of State gives notice of initiation of administrative proceedings and issues orders imposing penalties pursuant to 22 CFR part 103, subpart C.
(2) Violations of the International Emergency Economic Powers Act (IEEPA) subject to judicial enforcement proceedings. Section 719.3 of the CWCR sets forth violations of the Chemical Weapons Convention for which the statutory basis is the IEEPA. BIS refers these violations to the Department of Justice for civil or criminal judicial enforcement.
(3) Violations and sanctions under the Act not subject to proceedings under the CWCR. Section 719.4 of the CWCR sets forth violations and sanctions under the Act that are not violations of the CWCR and that are not subject to proceedings under the CWCR. This section is included solely for informational purposes. BIS may assist in investigations of these violations, but has no authority to initiate any enforcement action under the CWCR.
This part 719 does not apply to violations of the export requirements imposed pursuant to the Chemical Weapons Convention and set forth in the Export Administration Regulations (EAR) (15 CFR parts 730 through 774) and in the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130).
(b) Definitions. The following are definitions of terms as used only in parts 719 and 720 of the CWCR. For definitions of terms applicable to parts 710 through 718 and parts 721 and 722 of the CWCR, see part 710 of the CWCR.
Act (The). The Chemical Weapons Convention Implementation Act of 1998 (22 U.S.C. 6701-6777).
Assistant Secretary for Export Enforcement. The Assistant Secretary for Export Enforcement, Bureau of Industry and Security, United States Department of Commerce.
Final decision. A decision or order assessing a civil penalty, or otherwise disposing of or dismissing a case, which is not subject to further administrative review, but which may be subject to collection proceedings or judicial review in an appropriate Federal court as authorized by law.
IEEPA. The International Emergency Economic Powers Act, as amended (50 U.S.C. 1701-1706).
Office of Chief Counsel. The Office of Chief Counsel for Industry and Security, United States Department of Commerce.
Report. For purposes of parts 719 and 720 of the CWCR, the term “report” means any declaration, report, or advance notification required under parts 712 through 715 of the CWCR.
Respondent. Any person named as the subject of a letter of intent to charge, or a Notice of Violation and Assessment (NOVA) and proposed order.
Under Secretary, Bureau of Industry and Security. The Under Secretary, Bureau of Industry and Security, United States Department of Commerce.
§ 719.2 Violations of the Act subject to administrative and criminal enforcement proceedings.
(a) Violations – (1) Refusal to permit entry or inspection. No person may willfully fail or refuse to permit entry or inspection, or disrupt, delay or otherwise impede an inspection, authorized by the Act.
(2) Failure to establish or maintain records. No person may willfully fail or refuse:
(i) To establish or maintain any record required by the Act or the CWCR; or
(ii) To submit any report, notice, or other information to the United States Government in accordance with the Act or the CWCR; or
(iii) To permit access to or copying of any record required to be established or maintained by the Act or the CWCR, including any record that is exempt from disclosure under the Act or the CWCR.
(b) Civil penalties – (1) Civil penalty for refusal to permit entry or inspection. Any person that is determined to have willfully failed or refused to permit entry or inspection, or to have disrupted, delayed or otherwise impeded an authorized inspection, as set forth in paragraph (a)(1) of this section, shall pay a civil penalty in an amount not to exceed $25,000 for each violation. Each day the violation continues constitutes a separate violation.
(2) Civil penalty for failure to establish or maintain records. Any person that is determined to have willfully failed or refused to establish or maintain any record or submit any report, notice, or other information required by the Act or the CWCR, or to have willfully failed or refused to permit access to or copying of any record, including any record exempt from disclosure under the Act or the CWCR as set forth in paragraph (a)(2) of this section, shall pay a civil penalty in an amount not to exceed $5,000 for each violation.
(c) Criminal penalty. Any person that knowingly violates the Act by willfully failing or refusing to permit entry or inspection authorized by the Act; or by willfully disrupting, delaying or otherwise impeding an inspection authorized by the Act; or by willfully failing or refusing to establish or maintain any required record, or to submit any required report, notice, or other information; or by willfully failing or refusing to permit access to or copying of any record, including records exempt from disclosure under the Act or the CWCR, shall, in addition to or in lieu of any civil penalty that may be imposed, be fined under Title 18 of the United States Code, be imprisoned for not more than one year, or both.
(d) Denial of export privileges. Any person in the United States or any U.S. national may be subject to a denial of export privileges after notice and opportunity for hearing pursuant to part 720 of the CWCR if that person has been convicted under Title 18, section 229 of the United States Code.
§ 719.3 Violations of the IEEPA subject to judicial enforcement proceedings.
(a) Violations – (1) Import restrictions involving Schedule 1 chemicals. Except as otherwise provided in § 712.2 of the CWCR, no person may import any Schedule 1 chemical (See supplement no. 1 to part 712 of the CWCR) unless:
(i) The import is from a State Party;
(ii) The import is for research, medical, pharmaceutical, or protective purposes;
(iii) The import is in types and quantities strictly limited to those that can be justified for such purposes; and
(iv) The importing person has notified BIS not less than 45 calendar days before the import pursuant to § 712.6 of the CWCR.
(2) Import restrictions involving Schedule 2 chemicals. Except as otherwise provided in § 713.1 of the CWCR, no person may, on or after April 29, 2000, import any Schedule 2 chemical (see supplement no. 1 to part 713 of the CWCR) from any destination other than a State Party.
(b) Civil penalty. A civil penalty not to exceed $50,000 may be imposed in accordance with this part on any person for each violation of this section.
(c) Criminal penalty. Whoever willfully violates paragraph (a)(1) or (2) of this section shall, upon conviction, be fined not more than $50,000, or, if a natural person, imprisoned for not more than ten years, or both; and any officer, director, or agent of any corporation who knowingly participates in such violation may be punished by like fine, imprisonment, or both.
§ 719.4 Violations and sanctions under the Act not subject to proceedings under the CWCR.
(a) Criminal penalties for development or use of a chemical weapon. Any person who violates 18 U.S.C. 229 shall be fined, or imprisoned for any term of years, or both. Any person who violates 18 U.S.C. 229 and by whose action the death of another person is the result shall be punished by death or imprisoned for life.
(b) Civil penalty for development or use of a chemical weapon. The Attorney General may bring a civil action in the appropriate United States district court against any person who violates 18 U.S.C. 229 and, upon proof of such violation by a preponderance of the evidence, such person shall be subject to pay a civil penalty in an amount not to exceed $100,000 for each such violation.
(c) Criminal forfeiture. (1) Any person convicted under section 229A(a) of Title 18 of the United States Code shall forfeit to the United States irrespective of any provision of State law:
(i) Any property, real or personal, owned, possessed, or used by a person involved in the offense;
(ii) Any property constituting, or derived from, and proceeds the person obtained, directly or indirectly, as the result of such violation; and
(iii) Any of the property used in any manner or part, to commit, or to facilitate the commission of, such violation.
(2) In lieu of a fine otherwise authorized by section 229A(a) of Title 18 of the United States Code, a defendant who derived profits or other proceeds from an offense may be fined not more than twice the gross profits or other proceeds.
(d) Injunction. (1) The United States may, in a civil action, obtain an injunction against:
(i) The conduct prohibited under section 229 or 229C of Title 18 of the United States Code; or
(ii) The preparation or solicitation to engage in conduct prohibited under section 229 or 229D of Title 18 of the United States Code.
(2) In addition, the United States may, in a civil action, restrain any violation of section 306 or 405 of the Act, or compel the taking of any action required by or under the Act or the Convention.
§ 719.5 Initiation of administrative proceedings.
(a) Letter of intent to charge. The Director of the Office of Export Enforcement, Bureau of Industry and Security, may notify a respondent by letter of the intent to charge. This letter of intent to charge will advise a respondent that BIS has conducted an investigation and intends to recommend that the Secretary of State issue a Notice of Violation and Assessment (NOVA). The letter of intent to charge will be accompanied by a draft NOVA and proposed order, and will give the respondent a specified period of time to contact BIS to discuss settlement of the allegations set forth in the draft NOVA. An administrative enforcement proceeding is not initiated by a letter of intent to charge. If the respondent does not contact BIS within the specified time, or if the respondent requests it, BIS will make its request for initiation of an administrative enforcement proceeding to the Secretary of State in accordance with paragraph (b) of this section.
(b) Request for Notice of Violation and Assessment (NOVA). The Director of the Office of Export Enforcement, Bureau of Industry and Security, may request that the Secretary of State initiate an administrative enforcement proceeding under this § 719.5 and 22 CFR 103.7. If the request is in accordance with applicable law, the Secretary of State will initiate an administrative enforcement proceeding by issuing a NOVA. The Office of Chief Counsel shall serve the NOVA as directed by the Secretary of State.
(c) Content of NOVA. The NOVA shall constitute a formal complaint, and will set forth the basis for the issuance of the proposed order. It will set forth the alleged violation(s) and the essential facts with respect to the alleged violation(s), reference the relevant statutory, regulatory or other provisions, and state the amount of the civil penalty to be assessed. The NOVA will inform the respondent of the right to request a hearing pursuant to § 719.6 of the CWCR, inform the respondent that failure to request such a hearing shall result in the proposed order becoming final and unappealable on signature of the Secretary of State, and provide payment instructions. A copy of the regulations that govern the administrative proceedings will accompany the NOVA.
(d) Proposed order. A proposed order shall accompany every NOVA, letter of intent to charge, and draft NOVA. It will briefly set forth the substance of the alleged violation(s) and the statutory, regulatory or other provisions violated. It will state the amount of the civil penalty to be assessed.
(e) Notice. Notice of the intent to charge or of the initiation of formal proceedings shall be given to the respondent (or respondent’s agent for service of process, or attorney) by sending relevant documents, via first class mail, facsimile, or by personal delivery.
§ 719.6 Request for hearing and answer.
(a) Time to answer. If the respondent wishes to contest the NOVA and proposed order issued by the Secretary of State, the respondent must request a hearing in writing within 15 business days from the postmarked date of the NOVA. If the respondent requests a hearing, the respondent must answer the NOVA within 30 days from the date of the request for hearing. The request for hearing and answer must be filed with the Administrative Law Judge (ALJ), along with a copy of the NOVA and proposed order, and served on the Office of Chief Counsel, and any other address(es) specified in the NOVA, in accordance with § 719.8 of the CWCR.
(b) Content of answer. The respondent’s answer must be responsive to the NOVA and proposed order, and must fully set forth the nature of the respondent’s defense(s). The answer must specifically admit or deny each separate allegation in the NOVA; if the respondent is without knowledge, the answer will so state and will operate as a denial. Failure to deny or controvert a particular allegation will be deemed an admission of that allegation. The answer must also set forth any additional or new matter the respondent contends supports a defense or claim of mitigation. Any defense or partial defense not specifically set forth in the answer shall be deemed waived, and evidence thereon may be refused, except for good cause shown.
(c) English required. The request for hearing, answer, and all other papers and documentary evidence must be submitted in English.
(d) Waiver. The failure of the respondent to file a request for a hearing and an answer within the times provided constitutes a waiver of the respondent’s right to appear and contest the allegations set forth in the NOVA and proposed order. If no hearing is requested and no answer is provided, the proposed order will be signed and become final and unappealable.
§ 719.7 Representation.
A respondent individual may appear and participate in person, a corporation by a duly authorized officer or employee, and a partnership by a partner. If a respondent is represented by counsel, counsel shall be a member in good standing of the bar of any State, Commonwealth or Territory of the United States, or of the District of Columbia, or be licensed to practice law in the country in which counsel resides, if not the United States. The U.S. Government will be represented by the Office of Chief Counsel. A respondent personally, or through counsel or other representative who has the power of attorney to represent the respondent, shall file a notice of appearance with the ALJ, or, in cases where settlement negotiations occur before any filing with the ALJ, with the Office of Chief Counsel.
§ 719.8 Filing and service of papers other than the NOVA.
(a) Filing. All papers to be filed with the ALJ shall be addressed to “CWC Administrative Enforcement Proceedings” at the address set forth in the NOVA, or such other place as the ALJ may designate. Filing by United States mail (first class postage prepaid), by express or equivalent parcel delivery service, via facsimile, or by hand delivery, is acceptable. Filing from a foreign country shall be by airmail or via facsimile. A copy of each paper filed shall be simultaneously served on all parties.
(b) Service. Service shall be made by United States mail (first class postage prepaid), by express or equivalent parcel delivery service, via facsimile, or by hand delivery of one copy of each paper to each party in the proceeding. The Department of State is a party to cases under the CWCR, but will be represented by the Office of Chief Counsel. Therefore, service on the government party in all proceedings shall be addressed to Office of Chief Counsel for Industry and Security, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Room H-3839, Washington, DC 20230, or sent via facsimile to (202) 482-0085. Service on a respondent shall be to the address to which the NOVA and proposed order was sent, or to such other address as the respondent may provide. When a party has appeared by counsel or other representative, service on counsel or other representative shall constitute service on that party.
(c) Date. The date of filing or service is the day when the papers are deposited in the mail or are delivered in person, by delivery service, or by facsimile. Refusal by the person to be served, or by the person’s agent or attorney, of service of a document or other paper will be considered effective service of the document or other paper as of the date of such refusal.
(d) Certificate of service. A certificate of service signed by the party making service, stating the date and manner of service, shall accompany every paper, other than the NOVA and proposed order, filed and served on the parties.
(e) Computation of time. In computing any period of time prescribed or allowed by this part, the day of the act, event, or default from which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included unless it is a Saturday, a Sunday, or a legal holiday (as defined in Rule 6(a) of the Federal Rules of Civil Procedure), in which case the period runs until the end of the next day which is neither a Saturday, a Sunday, nor a legal holiday. Intermediate Saturdays, Sundays, and legal holidays are excluded from the computation when the period of time prescribed or allowed is 7 days or less.
§ 719.9 Summary decision.
The ALJ may render a summary decision disposing of all or part of a proceeding on the motion of any party to the proceeding, provided that there is no genuine issue as to any material fact and the party is entitled to summary decision as a matter of law.
§ 719.10 Discovery.
(a) General. The parties are encouraged to engage in voluntary discovery regarding any matter, not privileged, which is relevant to the subject matter of the pending proceeding. The provisions of the Federal Rules of Civil Procedure relating to discovery apply to the extent consistent with this part and except as otherwise provided by the ALJ or by waiver or agreement of the parties. The ALJ may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense. These orders may include limitations on the scope, method, time and place of discovery, and provisions for protecting the confidentiality of classified or otherwise sensitive information, including Confidential Business Information (CBI) as defined by the Act.
(b) Interrogatories and requests for admission or production of documents. A party may serve on any party interrogatories, requests for admission, or requests for production of documents for inspection and copying, and a party concerned may apply to the ALJ for such enforcement or protective order as that party deems warranted with respect to such discovery. The service of a discovery request shall be made at least 20 days before the scheduled date of the hearing unless the ALJ specifies a shorter time period. Copies of interrogatories, requests for admission and requests for production of documents and responses thereto shall be served on all parties and a copy of the certificate of service shall be filed with the ALJ. Matters of fact or law of which admission is requested shall be deemed admitted unless, within a period designated in the request (at least 10 days after service, or within such additional time as the ALJ may allow), the party to whom the request is directed serves upon the requesting party a sworn statement either denying specifically the matters of which admission is requested or setting forth in detail the reasons why the party to whom the request is directed cannot truthfully either admit or deny such matters.
(c) Depositions. Upon application of a party and for good cause shown, the ALJ may order the taking of the testimony of any person by deposition and the production of specified documents or materials by the person at the deposition. The application shall state the purpose of the deposition and set forth the facts sought to be established through the deposition.
(d) Enforcement. The ALJ may order a party to answer designated questions, to produce specified documents or things or to take any other action in response to a proper discovery request. If a party does not comply with such an order, the ALJ may make a determination or enter any order in the proceeding as the ALJ deems reasonable and appropriate. The ALJ may strike related charges or defenses in whole or in part or may take particular facts relating to the discovery request to which the party failed or refused to respond as being established for purposes of the proceeding in accordance with the contentions of the party seeking discovery. In addition, enforcement by any district court of the United States in which venue is proper may be sought as appropriate.
§ 719.11 Subpoenas.
(a) Issuance. Upon the application of any party, supported by a satisfactory showing that there is substantial reason to believe that the evidence would not otherwise be available, the ALJ may issue subpoenas to any person requiring the attendance and testimony of witnesses and the production of such books, records or other documentary or physical evidence for the purpose of the hearing, as the ALJ deems relevant and material to the proceedings, and reasonable in scope. Witnesses shall be paid the same fees and mileage that are paid to witnesses in the courts of the United States. In case of contempt, challenge or refusal to obey a subpoena served upon any person pursuant to this paragraph, any district court of the United States, in which venue is proper, has jurisdiction to issue an order requiring any such person to comply with such subpoena. Any failure to obey such order of the court is punishable by the court as a contempt thereof.
(b) Service. Subpoenas issued by the ALJ may be served by any of the methods set forth in § 719.8(b) of the CWCR.
(c) Timing. Applications for subpoenas must be submitted at least 10 days before the scheduled hearing or deposition, unless the ALJ determines, for good cause shown, that extraordinary circumstances warrant a shorter time.
§ 719.12 Matters protected against disclosure.
(a) Protective measures. The ALJ may limit discovery or introduction of evidence or issue such protective or other orders as in the ALJ’s judgment may be needed to prevent undue disclosure of classified or sensitive documents or information, including Confidential Business Information as defined by the Act. Where the ALJ determines that documents containing classified or sensitive matter must be made available to a party in order to avoid prejudice, the ALJ may direct the other party to prepare an unclassified and nonsensitive summary or extract of the documents. The ALJ may compare the extract or summary with the original to ensure that it is supported by the source document and that it omits only so much as must remain undisclosed. The summary or extract may be admitted as evidence in the record.
(b) Arrangements for access. If the ALJ determines that the summary procedure outlined in paragraph (a) of this section is unsatisfactory, and that classified or otherwise sensitive matter must form part of the record in order to avoid prejudice to a party, the ALJ may provide the parties opportunity to make arrangements that permit a party or a representative to have access to such matter without compromising sensitive information. Such arrangements may include obtaining security clearances or giving counsel for a party access to sensitive information and documents subject to assurances against further disclosure, including a protective order, if necessary.
§ 719.13 Prehearing conference.
(a) On the ALJ’s own motion, or on request of a party, the ALJ may direct the parties to participate in a prehearing conference, either in person or by telephone, to consider:
(1) Simplification of issues;
(2) The necessity or desirability of amendments to pleadings;
(3) Obtaining stipulations of fact and of documents to avoid unnecessary proof; or
(4) Such other matters as may expedite the disposition of the proceedings.
(b) The ALJ may order the conference proceedings to be recorded electronically or taken by a reporter, transcribed and filed with the ALJ.
(c) If a prehearing conference is impracticable, the ALJ may direct the parties to correspond with the ALJ to achieve the purposes of such a conference.
(d) The ALJ will prepare a summary of any actions agreed on or taken pursuant to this section. The summary will include any written stipulations or agreements made by the parties.
§ 719.14 Hearings.
(a) Scheduling. Upon receipt of a written and dated request for a hearing, the ALJ shall, by agreement with all the parties or upon notice to all parties of at least 30 days, schedule a hearing. All hearings will be held in Washington, DC, unless the ALJ determines, for good cause shown, that another location would better serve the interest of justice.
(b) Hearing procedure. Hearings will be conducted in a fair and impartial manner by the ALJ. All hearings will be closed, unless the ALJ for good cause shown determines otherwise. The rules of evidence prevailing in courts of law do not apply, and all evidentiary material deemed by the ALJ to be relevant and material to the proceeding and not unduly repetitious will be received and given appropriate weight, except that any evidence of settlement which would be excluded under Rule 408 of the Federal Rules of Evidence is not admissible. Witnesses will testify under oath or affirmation, and shall be subject to cross-examination.
(c) Testimony and record. (1) A verbatim record of the hearing and of any other oral proceedings will be taken by reporter or by electronic recording, and filed with the ALJ. If any party wishes to obtain a written copy of the transcript, that party shall pay the costs of transcription. The parties may share the costs if both wish a transcript.
(2) Upon such terms as the ALJ deems just, the ALJ may direct that the testimony of any person be taken by deposition and may admit an affidavit or declaration as evidence, provided that any affidavits or declarations have been filed and served on the parties sufficiently in advance of the hearing to permit a party to file and serve an objection thereto on the grounds that it is necessary that the affiant or declarant testify at the hearing and be subject to cross-examination.
(d) Failure to appear. If a party fails to appear in person or by counsel at a scheduled hearing, the hearing may nevertheless proceed. The party’s failure to appear will not affect the validity of the hearing or any proceeding or action taken thereafter.
§ 719.15 Procedural stipulations.
Unless otherwise ordered and subject to § 719.16 of the CWCR, a written stipulation agreed to by all parties and filed with the ALJ will modify the procedures established by this part.
§ 719.16 Extension of time.
The parties may extend any applicable time limitation by stipulation filed with the ALJ before the time limitation expires, or the ALJ may, on the ALJ’s own initiative or upon application by any party, either before or after the expiration of any applicable time limitation, extend the time , except that the requirement that a hearing be demanded within 15 days, and the requirement that a final agency decision be made within 30 days, may not be modified.
§ 719.17 Post-hearing submissions.
All parties shall have the opportunity to file post-hearing submissions that may include findings of fact and conclusions of law, supporting evidence and legal arguments, exceptions to the ALJ’s rulings or to the admissibility of evidence, and proposed orders and settlements.
§ 719.18 Decisions.
(a) Initial decision. After considering the entire record in the case, the ALJ will issue an initial decision based on a preponderance of the evidence. The decision will include findings of fact, conclusions of law, and a decision based thereon as to whether the respondent has violated the Act. If the ALJ finds that the evidence of record is insufficient to sustain a finding that a violation has occurred with respect to one or more allegations, the ALJ shall order dismissal of the allegation(s) in whole or in part, as appropriate. If the ALJ finds that one or more violations have been committed, the ALJ shall issue an order imposing administrative sanctions.
(b) Factors considered in assessing penalties. In determining the amount of a civil penalty, the ALJ shall take into account the nature, circumstances, extent and gravity of the violation(s), and, with respect to the respondent, the respondent’s ability to pay the penalty, the effect of a civil penalty on the respondent’s ability to continue to do business, the respondent’s history of prior violations, the respondent’s degree of culpability, the existence of an internal compliance program, and such other matters as justice may require.
(c) Certification of initial decision. The ALJ shall immediately certify the initial decision and order to the Executive Director of the Office of Legal Adviser, U.S. Department of State, 2201 C Street, NW., Room 5519, Washington, DC 20520, to the Office of Chief Counsel at the address in § 719.8, and to the respondent, by personal delivery or overnight mail.
(d) Review of initial decision. The initial decision shall become the final agency decision and order unless, within 30 days, the Secretary of State modifies or vacates it, with or without conditions, in accordance with 22 CFR 103.8.
§ 719.19 Settlement.
(a) Settlements before issuance of a NOVA. When the parties have agreed to a settlement of the case, the Director of the Office of Export Enforcement will recommend the settlement to the Secretary of State, forwarding a proposed settlement agreement and order, which, in accordance with 22 CFR 103.9(a), the Secretary of State will approve and sign if the recommended settlement is in accordance with applicable law.
(b) Settlements following issuance of a NOVA. The parties may enter into settlement negotiations at any time during the time a case is pending before the ALJ. If necessary, the parties may extend applicable time limitations or otherwise request that the ALJ stay the proceedings while settlement negotiations continue. When the parties have agreed to a settlement of the case, the Office of Chief Counsel will recommend the settlement to the Secretary of State, forwarding a proposed settlement agreement and order, which, in accordance with 22 CFR 103.9(b), the Secretary will approve and sign if the recommended settlement is in accordance with applicable law.
(c) Settlement scope. Any respondent who agrees to an order imposing any administrative sanction does so solely for the purpose of resolving the claims in the administrative enforcement proceeding brought under this part. This reflects the fact that the government officials involved have neither the authority nor the responsibility for initiating, conducting, settling, or otherwise disposing of criminal proceedings. That authority and responsibility are vested in the Attorney General and the Department of Justice.
(d) Finality. Cases that are settled may not be reopened or appealed.
§ 719.20 Record for decision.
(a) The record. The transcript of hearings, exhibits, rulings, orders, all papers and requests filed in the proceedings, and, for purposes of any appeal under § 719.18 or under 22 CFR 103.8, the decision of the ALJ and such submissions as are provided for under § 719.18 or 22 CFR 103.8 will constitute the record and the exclusive basis for decision. When a case is settled, the record will consist of any and all of the foregoing, as well as the NOVA or draft NOVA, settlement agreement, and order.
(b) Restricted access. On the ALJ’s own motion, or on the motion of any party, the ALJ may direct that there be a restricted access portion of the record for any material in the record to which public access is restricted by law or by the terms of a protective order entered in the proceedings. A party seeking to restrict access to any portion of the record is responsible, prior to the close of the proceeding, for submitting a version of the document(s) proposed for public availability that reflects the requested deletion. The restricted access portion of the record will be placed in a separate file and the file will be clearly marked to avoid improper disclosure and to identify it as a portion of the official record in the proceedings. The ALJ may act at any time to permit material that becomes declassified or unrestricted through passage of time to be transferred to the unrestricted access portion of the record.
(c) Availability of documents – (1) Scope. All NOVAs and draft NOVAs, answers, settlement agreements, decisions and orders disposing of a case will be displayed on the BIS Freedom of Information Act (FOIA) Web site, at http://www.bis.doc.gov/foia, which is maintained by the Office of Administration, Bureau of Industry and Security, U.S. Department of Commerce. This office does not maintain a separate inspection facility. The complete record for decision, as defined in paragraphs (a) and (b) of this section will be made available on request.
(2) Timing. The record for decision will be available only after the final administrative disposition of a case. Parties may seek to restrict access to any portion of the record under paragraph (b) of this section.
§ 719.21 Payment of final assessment.
(a) Time for payment. Full payment of the civil penalty must be made within 30 days of the effective date of the order or within such longer period of time as may be specified in the order. Payment shall be made in the manner specified in the NOVA.
(b) Enforcement of order. The government party may, through the Attorney General, file suit in an appropriate district court if necessary to enforce compliance with a final order issued under the CWCR. This suit will include a claim for interest at current prevailing rates from the date payment was due or ordered.
(c) Offsets. The amount of any civil penalty imposed by a final order may be deducted from any sum(s) owed by the United States to a respondent.
§ 719.22 Reporting a violation.
If a person learns that a violation of the Convention, the Act, or the CWCR has occurred or may occur, that person may notify: Office of Export Enforcement, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Room H-4520, Washington, DC 20230; Tel: (202) 482-1208; Facsimile: (202) 482-0964.
PART 720 – DENIAL OF EXPORT PRIVILEGES
§ 720.1 Denial of export privileges for convictions under 18 U.S.C. 229.
Any person in the United States or any U.S. national may be denied export privileges after notice and opportunity for hearing if that person has been convicted under Title 18, Section 229 of the United States Code of knowingly:
(a) Developing, producing, otherwise acquiring, transferring directly or indirectly, receiving, stockpiling, retaining, owning, possessing, or using, or threatening to use, a chemical weapon; or
(b) Assisting or inducing, in any way, any person to violate paragraph (a) of this section, or attempting or conspiring to violate paragraph (a) of this section.
§ 720.2 Initiation of administrative action denying export privileges.
(a) Notice. BIS will notify any person convicted under Section 229, Title 18, United States Code, of BIS’s intent to deny that person’s export privileges. The notification letter shall reference the person’s conviction, specify the number of years for which BIS intends to deny export privileges, set forth the statutory and regulatory authority for the action, state whether the denial order will be standard or non-standard pursuant to supplement no. 1 to part 764 of the Export Administration Regulations (15 CFR parts 730 through 774), and provide that the person may request a hearing before the Administrative Law Judge within 30 days from the date of the notification letter.
(b) Waiver. The failure of the notified person to file a request for a hearing within the time provided constitutes a waiver of the person’s right to contest the denial of export privileges that BIS intends to impose.
(c) Order of Assistant Secretary. If no hearing is requested, the Assistant Secretary for Export Enforcement will order that export privileges be denied as indicated in the notification letter.
§ 720.3 Final decision on administrative action denying export privileges.
(a) Hearing. Any hearing that is granted by the ALJ shall be conducted in accordance with the procedures set forth in § 719.14 of the CWCR.
(b) Initial decision and order. After considering the entire record in the proceeding, the ALJ will issue an initial decision and order, based on a preponderance of the evidence. The ALJ may consider factors such as the seriousness of the criminal offense that is the basis for conviction, the nature and duration of the criminal sanctions imposed, and whether the person has undertaken any corrective measures. The ALJ may dismiss the proceeding if the evidence is insufficient to sustain a denial of export privileges, or may issue an order imposing a denial of export privileges for the length of time the ALJ deems appropriate. An order denying export privileges may be standard or non-standard, as provided in supplement no. 1 to part 764 of the Export Administration Regulations (15 CFR parts 730 through 774). The initial decision and order will be served on each party, and will be published in the
(c) Grounds for appeal. (1) A party may, within 30 days of the ALJ’s initial decision and order, petition the Under Secretary, Bureau of Industry and Security, for review of the initial decision and order. A petition for review must be filed with the Office of Under Secretary, Bureau of Industry and Security, Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230, and shall be served on the Office of Chief Counsel for Industry and Security or on the respondent. Petitions for review may be filed only on one or more of the following grounds:
(i) That a necessary finding of fact is omitted, erroneous or unsupported by substantial evidence of record;
(ii) That a necessary legal conclusion or finding is contrary to law;
(iii) That prejudicial procedural error occurred; or
(iv) That the decision or the extent of sanctions is arbitrary, capricious or an abuse of discretion.
(2) The appeal must specify the grounds on which the appeal is based and the provisions of the order from which the appeal was taken.
(d) Appeal procedure. The Under Secretary, Bureau of Industry and Security, normally will not hold hearings or entertain oral arguments on appeals. A full written statement in support of the appeal must be filed with the appeal and be simultaneously served on all parties, who shall have 30 days from service to file a reply. At his/her discretion, the Under Secretary may accept new submissions, but will not ordinarily accept those submissions filed more than 30 days after the filing of the reply to the appellant’s first submission.
(e) Decisions. The Under Secretary’s decision will be in writing and will be accompanied by an order signed by the Under Secretary, Bureau of Industry and Security, giving effect to the decision. The order may either dispose of the case by affirming, modifying or reversing the order of the ALJ, or may refer the case back to the ALJ for further proceedings. Any order that imposes a denial of export privileges will be published in the
§ 720.4 Effect of denial.
Any person denied export privileges pursuant to this part shall be considered a “person denied export privileges” for purposes of the Export Administration Regulations (EAR) (15 CFR parts 730 through 774). Orders denying export privileges pursuant to Parts 764 and 766 of the EAR are published in the
PART 721 – INSPECTION OF RECORDS AND RECORDKEEPING
§ 721.1 Inspection of records.
Upon request by BIS or any other agency of competent jurisdiction, you must permit access to and copying of any record relating to compliance with the requirements of the CWCR. This requires that you make available the equipment and, if necessary, knowledgeable personnel for locating, reading, and reproducing any record.
§ 721.2 Recordkeeping.
(a) Requirements. Each person, facility, plant site or trading company required to submit a declaration, report, or advance notification under parts 712 through 715 of the CWCR must retain all supporting materials and documentation used by a unit, plant, facility, plant site or trading company to prepare such declaration, report, or advance notification to determine production, processing, consumption, export or import of chemicals. Each facility subject to inspection under Part 716 of the CWCR must retain all supporting materials and documentation associated with the movement into, around, and from the facility of declared chemicals and their feedstock or any product chemicals formed from such chemicals and feedstock. In the event that a declared facility is sold, the previous owner of the facility must retain all such supporting materials and documentation that were not transferred to the current owner of the facility (e.g., as part of the contract involving the sale of the facility) – otherwise, the current owner of the facility is responsible for retaining such supporting materials and documentation. Whenever the previous owner of a declared facility retains such supporting materials and documentation, the owner must inform BIS of any subsequent change in address or other contact information, so that BIS will be able to contact the previous owner of the facility, to arrange for access to such records, if BIS deems them relevant to inspection activities involving the facility (see § 716.4 of the CWCR).
(b) Five year retention period. All supporting materials and documentation required to be kept under paragraph (a) of this section must be retained for five years from the due date of the applicable declaration, report, or advance notification, or for five years from the date of submission of the applicable declaration, report or advance notification, whichever is later. Due dates for declarations, reports and advance notifications are provided in parts 712 through 715 of the CWCR.
(c) Location of records. If a facility is subject to inspection under part 716 of the CWCR, records retained under this section must be maintained at the facility or must be accessible electronically at the facility for purposes of inspection of the facility by Inspection Teams. If a facility is not subject to inspection under part 716 of the CWCR, records retained under this section may be maintained either at the facility subject to a declaration, report, or advance notification requirement, or at a remote location, but all records must be accessible to any authorized agent, official or employee of the U.S. Government under § 721.1 of the CWCR.
(d) Reproduction of original records. (1) You may maintain reproductions instead of the original records provided all of the requirements of paragraph (b) of this section are met.
(2) If you must maintain records under this part, you may use any photostatic, miniature photographic, micrographic, automated archival storage, or other process that completely, accurately, legibly and durably reproduces the original records (whether on paper, microfilm, or through electronic digital storage techniques). The process must meet all of the following requirements, which are applicable to all systems:
(i) The system must be capable of reproducing all records on paper.
(ii) The system must record and be able to reproduce all marks, information, and other characteristics of the original record, including both obverse and reverse sides (unless blank) of paper documents in legible form.
(iii) When displayed on a viewer, monitor, or reproduced on paper, the records must exhibit a high degree of legibility and readability. For purposes of this section, legible and legibility mean the quality of a letter or numeral that enable the observer to identify it positively and quickly to the exclusion of all other letters or numerals. Readable and readability mean the quality of a group of letters or numerals being recognized as complete words or numbers.
(iv) The system must preserve the initial image (including both obverse and reverse sides, unless blank, of paper documents) and record all changes, who made them and when they were made. This information must be stored in such a manner that none of it may be altered once it is initially recorded.
(v) You must establish written procedures to identify the individuals who are responsible for the operation, use and maintenance of the system.
(vi) You must keep a record of where, when, by whom, and on what equipment the records and other information were entered into the system.
(3) Requirements applicable to a system based on digital images. For systems based on the storage of digital images, the system must provide accessibility to any digital image in the system. The system must be able to locate and reproduce all records according to the same criteria that would have been used to organize the records had they been maintained in original form.
(4) Requirements applicable to a system based on photographic processes. For systems based on photographic, photostatic, or miniature photographic processes, the records must be maintained according to an index of all records in the system following the same criteria that would have been used to organize the records had they been maintained in original form.
§ 721.3 Destruction or disposal of records.
If BIS or other authorized U.S. government agency makes a formal or informal request for a certain record or records, such record or records may not be destroyed or disposed of without the written authorization of the requesting entity.
PART 722 – INTERPRETATIONS [RESERVED]
This part is reserved for interpretations of parts 710 through 721 and also for applicability of decisions by the Organization for the Prohibition of Chemical Weapons (OPCW).
PARTS 723-729 [RESERVED]
SUBCHAPTER C – EXPORT ADMINISTRATION REGULATIONS
PART 730 – GENERAL INFORMATION
§ 730.1 What these regulations cover.
In this part, references to the Export Administration Regulations (EAR) are references to 15 CFR chapter VII, subchapter C. The EAR are issued by the United States Department of Commerce, Bureau of Industry and Security (BIS) under laws relating to the control of certain exports, reexports, and activities. In addition, the EAR implement antiboycott law provisions requiring regulations to prohibit specified conduct by United States persons that has the effect of furthering or supporting boycotts fostered or imposed by a country against a country friendly to United States. Supplement no. 1 to part 730 lists the control numbers assigned to information collection requirements under the EAR by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995.
The EAR have been designed primarily to implement the Export Administration Act of 1979, as amended, 50 U.S.C. app. 2401-2420 (EAA). There are numerous other legal authorities underlying the EAR. These are listed in the
§ 730.3 “Dual use” and other types of items subject to the EAR.
The term “dual use” is often used to describe the types of items subject to the EAR. A “dual-use” item is one that has civil applications as well as terrorism and military or weapons of mass destruction (WMD)-related applications. The precise description of what is “subject to the EAR” is in § 734.3, which does not limit the EAR to controlling only dual-use items. In essence, the EAR control any item warranting control that is not exclusively controlled for export, reexport, or transfer (in-country) by another agency of the U.S. Government or otherwise excluded from being subject to the EAR pursuant to § 734.3(b) of the EAR. Thus, items subject to the EAR include purely civilian items, items with both civil and military, terrorism or potential WMD-related applications, and items that are exclusively used for military applications but that do not warrant control under the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 et seq.).
§ 730.4 Other control agencies and departments.
In addition to the departments and agencies mentioned in § 730.3 of this part, other departments and agencies have jurisdiction over certain narrower classes of exports and reexports. These include the Department of Treasury’s Office of Foreign Assets Control (OFAC), which administers controls against certain countries that are the object of sanctions affecting not only exports and reexports, but also imports and financial dealings. For your convenience, supplement no. 3 to part 730 identifies other departments and agencies with regulatory jurisdiction over certain types of exports and reexports. This is not a comprehensive list, and the brief descriptions are only generally indicative of the types of controls administered and/or enforced by each agency.
§ 730.5 Coverage of more than exports.
The core of the export control provisions of the EAR concerns exports from the United States. You will find, however, that some provisions give broad meaning to the term “export”, apply to transactions outside of the United States, or apply to activities other than exports.
(a) Reexports. Commodities, software, and technology that have been exported from the United States are generally subject to the EAR with respect to reexport. Many such reexports, however, may go to many destinations without a license or will qualify for an exception from licensing requirements.
(b) Foreign products. In some cases, exports from abroad, reexports or transfers (in-country) of items produced outside of the United States are subject to the EAR when they contain more than the de minimis amount of controlled U.S.-origin content as specified in § 734.4 of the EAR or when they are the direct product of specified “technology,” “software,” or a “plant or major component of a plant” as specified in § 736.2(b)(3) of the EAR.
(c) Scope of “exports”. Certain actions that you might not regard as an “export” in other contexts do constitute an export subject to the EAR. The release of technology to a foreign national in the United States through such means as demonstration or oral briefing is deemed an export. Other examples of exports under the EAR include the return of foreign equipment to its country of origin after repair in the United States, shipments from a U.S. foreign trade zone, and the electronic transmission of non-public data that will be received abroad.
(d) “U.S. person” activities. The EAR restrict specific activities of “U.S. persons,” wherever located, related to the proliferation of nuclear explosive devices, “missiles,” chemical or biological weapons, whole plants for chemical weapons precursors, and certain military-intelligence end uses and end users, as described in § 744.6 of the EAR.
§ 730.6 Control purposes.
The export control provisions of the EAR are intended to serve the national security, foreign policy, nonproliferation of weapons of mass destruction, and other interests of the United States, which in many cases are reflected in international obligations or arrangements. Some controls are designed to restrict access to items subject to the EAR by countries or persons that might apply such items to uses inimical to U.S. interests. These include controls designed to stem the proliferation of weapons of mass destruction and controls designed to limit the military and terrorism support capability of certain countries. The effectiveness of many of the controls under the EAR is enhanced by their being maintained as part of multilateral control arrangements. Multilateral export control cooperation is sought through arrangements such as the Nuclear Suppliers Group, the Australia Group, and the Missile Technology Control Regime. The EAR also include some export controls to protect the United States from the adverse impact of the unrestricted export of commodities in short supply.
§ 730.7 License requirements and exceptions.
A relatively small percentage of exports and reexports subject to the EAR require an application to BIS for a license. Many items are not on the Commerce Control List (CCL) (supplement no. 1 to § 774.1 of the EAR), or, if on the CCL, require a license to only a limited number of countries. Other transactions may be covered by one or more of the License Exceptions in the EAR. In such cases no application need be made to BIS.
§ 730.8 How to proceed and where to get help.
(a) How the EAR are organized. The Export Administration Regulations (EAR) are structured in a logical manner. In dealing with the EAR you may find it helpful to be aware of the overall organization of these regulations. In order to determine what the rules are and what you need to do, review the titles and the introductory sections of the parts of the EAR.
(1) How do you go about determining your obligations under the EAR? Part 732 of the EAR provides steps you may follow to determine your obligations under the EAR. You will find guidance to enable you to tell whether or not your transaction is subject to the EAR and, if it is, whether it qualifies for a License Exception or must be authorized through issuance of a license.
(2) Are your items or activities subject to the EAR at all? Part 734 of the EAR defines the items and activities that are subject to the EAR. Note that the definition of “items subject to the EAR” includes, but is not limited to, items listed on the Commerce Control List in part 774 of the EAR.
(3) If subject to the EAR, what do the EAR require? Part 736 of the EAR lists all the prohibitions that are contained in the EAR. Note that certain prohibitions (General Prohibitions One through Three) apply to items as indicated on the CCL, and others (General Prohibitions Four through Ten) prohibit certain activities and apply to all items subject to the EAR unless otherwise indicated.
(4) Do you need a license for your item or activity? What policies will BIS apply if you do need to submit license application? The EAR have four principal ways of describing license requirements:
(i) The EAR may require a license to a country if your item is listed on the CCL and the Country Chart in part 738 of the EAR tells that a license is required to that country. Virtually all Export Control Classification Numbers (ECCN) on the CCL are covered by the Country Chart in part 738 of the EAR. That part identifies the limited number of entries that are not included on the Chart. These ECCNs will state the specific countries that require a license or refer you to a self-contained section, i.e., Short Supply in part 754 of the EAR, or Embargoes in part 746 of the EAR. If a license is required, you should consult part 740 of the EAR which describes the License Exception that may be available for items on the CCL. Part 742 of the EAR describes the licensing policies that BIS will apply in reviewing an application you file. Note that part 754 of the EAR on short supply controls and part 746 on embargoes are self-contained parts that include the available exceptions and licensing policy.
(ii) A license requirement may be based on the end-use or end-user in a transaction, primarily for proliferation reasons. Part 744 of the EAR describes such requirements and relevant licensing policies and includes both restrictions on items and restrictions on the activities of U.S. persons.
(iii) A license is required for virtually all exports to embargoed destinations, such as Cuba. Part 746 of the EAR describes all the licensing requirements, license review policies and License Exceptions that apply to such destinations. If your transaction involves one of these countries, you should first look at this part. This part also describes controls that may be maintained under the EAR to implement UN sanctions.
(iv) In addition, under §§ 736.2(b)(9) and (10) of the EAR, you may not engage in a transaction knowing a violation is about to occur or violate any orders, terms, and conditions under the EAR. Part 764 of the EAR describes prohibited transactions with a person denied export privileges or activity that violates the terms or conditions of a denial order.
(5) How do you file a license application and what will happen to the application once you do file it? What if you need authorization for multiple transactions? Parts 748 and 750 of the EAR provide information on license submission and processing. If your application is denied, part 756 of the EAR provides rules for filing appeals.
(6) How do you clear shipments with the U.S. Customs Service? Part 758 of the EAR describes the requirements for clearance of exports.
(7) Where do you find the rules on restrictive trade practices and boycotts? Part 760 of the EAR deals with restrictive trade practices and boycotts.
(8) Where are the rules on recordkeeping and enforcement? Part 762 of the EAR sets out your recordkeeping requirements, and parts 764 and 766 of the EAR deal with violations and enforcement proceedings.
(9) What is the effect of foreign availability? Part 768 of the EAR provides rules for determining foreign availability of items subject to controls.
(10) Do the EAR provide definitions and interpretations? Part 770 of the EAR contains interpretations and part 772 of the EAR lists definitions used.
(b) Why the EAR are so detailed. Some people will find the great length of the EAR and their extensive use of technical terms intimidating. BIS believes, however, that such detail and precision can and does serve the interests of the public. The detailed listing of technical parameters in the CCL establishes precise, objective criteria. This should, in most cases, enable you to ascertain the appropriate control status. Broader, more subjective criteria would leave exporters and reexporters more dependent upon interpretations and rulings by BIS officials. Moreover, much of the detail in the CCL is derived from multilaterally adopted lists, and the specificity serves to enhance the uniformity and effectiveness of international control practices and to promote a “level playing field”. The detailed presentation of such elements as licensing and export clearance procedures enables you to find in one place what you need to know to comply with pertinent requirements. Of special importance is the detailed listing of License Exception criteria, as these will enable you to determine quickly, and with confidence, that you may proceed with a transaction without delay. Finally, some of the detail results from the need to draft the EAR with care in order to avoid loop-holes and to permit effective enforcement.
(c) Where to get help. Throughout the EAR you will find information on offices you can contact for various purposes and types of information. General information including assistance in understanding the EAR, information on how to obtain forms, electronic services, publications, and information on training programs offered by BIS, is available from the Office of Export Services at the following locations: Outreach and Educational Services Division, U.S. Department of Commerce, 14th and Pennsylvania Avenue, NW., Room H1099D, Washington, DC 20230, Tel: (202) 482-4811, Fax: (202) 482-2927, and Bureau of Industry and Security, Western Regional Office, U.S. Department of Commerce, 2302 Martin St., Suite 330, Irvine, CA 92612, Tel: (949) 660-0144, Fax: (949) 660-9347, and Bureau of Industry and Security, Western Regional Office, Northern California Branch, U.S. Department of Commerce, 160 W. Santa Clara Street, Suite 725, San Jose, CA 95113, Tel: (408) 998-8806, Fax: (408) 998-8677.
§ 730.9 Organization of the Bureau of Industry and Security.
The head of the Bureau of Industry and Security is the Under Secretary for Industry and Security. The Under Secretary is assisted by a Deputy Under Secretary for Industry and Security, the Assistant Secretary for Export Administration, the Assistant Secretary for Export Enforcement, the Director of Administration, the Director of the Office of Congressional and Public Affairs, and the Chief Information Officer. The functions and authorities of the Under Secretary are described in the Department’s Organizational Order 10-16. The Department’s organizational and administrative orders are available via Office of Management and Organization’s Web page on the Department’s Web site at http://www.osec.doc.gov/omo/DMPHome.htm. The principal functions of the Bureau that directly affect the public are carried out by two units: Export Administration and Export Enforcement.
(a) Export Administration is headed by the Assistant Secretary for Export Administration, who is assisted by a Deputy Assistant Secretary. Its substantive work is carried out by six sub-units: the Office of Nonproliferation and Treaty Compliance, the Office of National Security and Technology Transfer Controls, the Office of Exporter Services, the Operating Committee, the Office of Strategic Industries and Economic Security, and the Office of Technology Evaluation. The functions of the Operating Committee are described in § 750.4(f)(1) of the EAR. The roles of the other units are described on BIS’s Web site at http://www.bis.doc.gov/about/programoffices.htm.
(b) Export Enforcement is headed by the Assistant Secretary for Export Enforcement who is assisted by a Deputy Assistant Secretary. Its substantive work is carried out by three sub-units: the Office of Export Enforcement, the Office of Enforcement Analysis and the Office of Antiboycott Compliance. The roles of these units are described on BIS’s Web site at http://www.bis.doc.gov/about/programoffices.htm.
(c) BIS is also assisted in its work by six technical advisory committees. The procedures and criteria for establishing and operating the technical advisory committees is at supplement No. 2 to this part. Information about the specific roles of each committee, meeting schedules, and membership selection is available on BIS’s Web site at http://tac.bis.doc.gov/.
§ 730.10 Advisory information.
The general information in this part is just that – general. To achieve brevity, so as to give you a quick overview, the information in this part is selective, incomplete, and not expressed with regulatory precision. The controlling language is the language of succeeding parts of the EAR and of any other laws or regulations referred to or applicable. The content of this part is not to be construed as modifying or interpreting any other language or as in any way, limiting the authority of BIS, any of its components or any other government department or agency. You should not take any action based solely on what you read in this part.
Supplement No. 1 to Part 730 – Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers
This supplement lists the control numbers assigned to the information collection requirements for the Bureau of Industry and Security by the Office of Management and Budget (OMB), pursuant to the Paperwork Reduction Act of 1995. This supplement complies with the requirements of section 3506(c)(1)(B)(i) of the Paperwork Reduction Act requiring agencies to display current control numbers assigned by the Director of OMB for each agency information collection requirement.
| Collection number | Title | Reference in the EAR |
|---|---|---|
| 0694-0004 | Foreign Availability Procedures and Criteria | part 768. |
| 0694-0009 | Approval of Triangular Transactions Involving Commodities Covered by a U.S. Import Certificate | § 748.10(e). |
| 0694-0012 | Report of Requests for Restrictive Trade Practice or Boycott – Single or Multiple Transactions | part 760 and § 762.2(b). |
| 0694-0013 | Computers and Related Equipment EAR Supplement 2 to Part 748 | part 774. |
| 0694-0016 | Delivery Verification Certificate | §§ 748.13 and 762.2(b). |
| 0694-0017 | International Import Certificate | § 748.10 |
| 0694-0021 | Statement by Ultimate Consignee and Purchaser | §§ 748.11 and 762.2(b). |
| 0694-0026 | Short Supply Regulations – Petroleum Products | § 754.3. |
| 0694-0047 | Technology Letter of Explanation | Supplement No. 2 to part 748, paragraph (o)(2). |
| 0694-0058 | Procedure for Voluntary Self-Disclosure of Violations | §§ 762.2(b) and 764.5. |
| 0694-0073 | Export Controls of High Performance Computers | Supplement No. 2 to part 748, paragraph (c)(2), and § 762.2(b). |
| 0694-0088 | Simplified Network Application Processing+ System (SNAP+) and the Multipurpose Export License Application | Parts 746 and 748, and § 762.2(b). |
| 0694-0093 | Import Certificates And End-User Certificates | §§ 748.9, 748.10, 762.5(d), 762.6 764.2(g)(2). |
| 0694-0096 | Five Year Records Retention Period | part 760, § 762.6(a). |
| 0694-0100 | Requests for Appointment of Technical Advisory Committee | Supplement No. 1 to part 730. |
| 0694-0102 | Registration of U.S. Agricultural Commodities For Exemption From Short Supply Limitations on Export, and Petitions For The Imposition of Monitoring Or Controls On Recyclable Metallic Materials; Public Hearings | §§ 754.6 and 754.7. |
| 0694-0107 | National Defense Authorization Act (NDAA) | §§ 740.7, 742.12. |
| 0694-0117 | Chemical Weapons Convention Provisions of the Export Administration Regulations (Schedule 1 Advance Notifications and Reports and Schedule 3 End-use Certificates) | Part 745. |
| 0694-0122 | Licensing Responsibilities and Enforcement | §§ 744.15(b) and 748.4 and Part 758. |
| 0694-0125 | BIS Seminar Evaluation | N/A |
| 0694-0126 | Export License Services – Transfer of License Ownership, Requests for a Duplicate License | § 750.9. |
| 0694-0129 | Export and Reexport Controls For Iraq | §§ 732.3, 738, 744.18, 746.3(b)(1), 750, 758, 762, 772, 774. |
| 0694-0132 | Voluntary Self-Disclosure of Antiboycott Violations | § 764.8. |
| 0694-0134 | Procedure for parties on the Entity List or the Unverified List to Request Removal or Modification of their Listing | §§ 744.15 and 744.16 |
| 0694-0137 | License Exceptions and Exclusions | § 734.4, Supplement No. 2 to part 734, §§ 740.3(d), 740.4(c), 740.9(a)(2)(viii)(B), 740.9(c), 740.12(b)(7), 740.17, 740.18, Supp. No. 2 to part 740, §§ 742.15, 743.1, 743.3, 754.4, 762.2(b) and Supplement No. 1 to part 774. |
| 0607-0152 | Automated Export System (AES) Program | §§ 740.1(d), 740.3(a)(3), 754.4(c), 758.1, 758.2, and 758.3 of the EAR. |
Supplement No. 2 to Part 730 – Technical Advisory Committees
(a) Purpose. The purpose of this supplement is to describe the procedures and criteria for the establishment and operation of Technical Advisory Committees.
(b) Technical advisory committees. Any producer of articles, materials, or supplies, including technology, software, and other information, that are subject to export controls, or are being considered for such controls because of their significance to the national security of the United States, may request the Secretary of Commerce to establish a technical advisory committee, under the provisions of section 5(h) of the Export Administration Act of 1979, as amended (EAA) to advise and assist the Department of Commerce and other appropriate U.S. Government agencies or officials with respect to questions involving technical matters; worldwide availability and actual utilization of production technology; licensing procedures that affect the level of export controls applicable to a clearly defined grouping of articles, materials, or supplies, including technology, software, or other information; and exports and reexports subject to all controls that the United States maintains including proposed revisions of any such controls. If producers of articles, materials, or supplies, including technology, software, and other information, that are subject to export controls because of their significance to the national security of the United States, wish a trade association or other representative to submit a written request on their behalf for the appointment to a TAC, such request shall be submitted in accordance with paragraph (b)(4) of this supplement.
(1) Form and substance of requests. Each request for the appointment of a TAC shall be submitted in writing to: Assistant Secretary for Export Administration, 14th Street and Pennsylvania Ave., NW., Room 2099B, Washington, DC 20230.
The request shall include:
(i) A description of the articles, materials, or supplies including technology and software, in terms of a clear, cohesive grouping (citing the applicable Export Control Classification Numbers where practical);
(ii) A statement of the reasons for requesting the appointment of a TAC; and
(iii) Any information in support of any contention that may be made that the request meets the criteria described in paragraph (b)(2) of this supplement.
(2) Consideration of request for establishment of a TAC. The Department of Commerce will review all requests for the establishment of a TAC to determine if the following criteria are met:
(i) That a substantial segment of the industry producing the specified articles, materials, or supplies including technology desires such a committee; and
(ii) That the evaluation of such articles, materials, or supplies including technology and software for export control purposes is difficult because of questions involving technical matters, worldwide availability and actual utilization of production and software technology, or licensing procedures.
(3) Requests by a substantial segment of an industry. In determining whether or not a substantial segment of any industry has requested the appointment of a TAC, the Department of Commerce will consider:
(i) The number of persons or firms requesting the establishment of a TAC for a particular grouping of commodities, software and technology in relation to the total number of U.S. producers of such items; and
(ii) The volume of annual production by such persons or firms of each item in the grouping in relation to the total U.S. production. Generally, a substantial segment of an industry (for purposes of this supplement) shall consist of:
(A) Not less than 30 percent of the total number of U.S. producers of the items concerned; or
(B) Three or more U.S. producers who produce a combined total of not less than 30 percent of the total U.S. annual production, by dollar value of the items concerned; or
(C) Not less than 20 percent of the total number of U.S. producers of the items concerned, provided that the total of their annual production thereof is not less than 20 percent of the total U.S. annual production, by dollar value.
(iii) If it is determined that a substantial segment of the industry concerned has requested the establishment of a TAC concerning a specific grouping of items that the Department of Commerce determines difficult to evaluate for export control purposes, BIS will establish and use the TAC requested.
(4) Requests from trade associations or other representatives. Requests from trade associations or other representatives of U.S. producers for the establishment of a TAC must comply with the provisions of paragraphs (b) (1) through (3) of this supplement. In addition, in order to assist BIS in determining whether the criteria described in paragraph (b)(3) of this supplement have been met, a trade association or other representative submitting a request for the establishment of a TAC should include the following information:
(i) The total number of firms in the particular industry;
(ii) The total number of firms in the industry that have authorized the trade association or other representative to act in their behalf in this matter;
(iii) The approximate amount of total U.S. annual production by dollar value of the items concerned produced by those firms that have authorized the trade association or other representative to act in their behalf; and
(iv) A description of the method by which authorization to act on behalf of these producers was obtained.
(5) Nominations for membership on TACs. When the Department of Commerce determines that the establishment of a TAC is warranted, it will request nominations for membership on the committee among the producers of the items and from any other sources that may be able to suggest well-qualified nominees.
(6) Selection of industry members of committee. Industry members of a TAC will be selected by the Department of Commerce from a list of the nominees who have indicated their availability for service on the committee. To the extent feasible, the Department of Commerce will select a committee balanced to represent all significant facets of the industry involved, taking into consideration such factors as the size of the firms, their geographical distribution, and their product lines. No industry representative shall serve on a TAC for more than four consecutive years. The membership of a member who is absent from four consecutive meetings shall be terminated.
(7) Government members. Government members of a TAC will be selected by the Department of Commerce from the agencies having an interest in the subject matter concerned.
(8) Invitation to serve on committee. Invitations to serve on a TAC will be sent by letter to the selected nominees.
(9) Election of Chair. The Chair of each TAC shall be elected by a vote of the majority of the members of the committee present and voting.
(c) Charter. (1) No TAC established pursuant to this supplement shall meet or take any action until an advisory committee charter has been filed with the Assistant Secretary for Export Administration of the Department of Commerce and with the standing committees of the Senate and of the House of Representatives having legislative jurisdiction over the Department. Such charter shall contain the following information:
(i) The committee’s official designation;
(ii) The committee’s objectives and the scope of its activities;
(iii) The period of time necessary for the committee to carry out its purposes;
(iv) The agency or official to whom the committee reports;
(v) The agency responsible for providing the necessary support for the committee;
(vi) A description of the duties for which the committee is responsible, and, if such duties are not solely advisory, a specification of the authority for such functions;
(vii) The estimated annual operating costs in dollars and years for such committee;
(viii) The estimated number and frequency of committee meetings;
(ix) The committee’s termination date, if less than two years from the date of the committee’s establishment; and
(x) The date the charter is filed.
(d) Meetings. (1) Each TAC established under the provisions of the EAA and paragraph (b) of this supplement shall meet at least once every three months at the call of its Chair unless it is specifically determined by the Chair, in consultation with other members of the committee, that a particular meeting is not necessary.
(2) No TAC may meet except at the call of its Chair.
(3) Each meeting of a TAC shall be conducted in accordance with an agenda approved by a designated Federal government employee.
(4) No TAC shall conduct a meeting in the absence of a designated Federal government employee who shall be authorized to adjourn any advisory committee meeting, whenever the Federal government employee determines adjournment to be in the public interest.
(e) Public notice. Notice to the public of each meeting of a TAC will be issued at least 20 days in advance and will be published in the
(f) Public attendance and participation. (1) Any member of the public who wishes to do so may file a written statement with any TAC before or after any meeting of a committee.
(2) A request for an opportunity to deliver an oral statement relevant to matters on the agenda of a meeting of a TAC will be granted to the extent that the time available for the meeting permits. A committee may establish procedures requiring such persons to obtain advance approval for such participation.
(3) Attendance at meetings of TACs will be open to the public unless it is determined pursuant to section 10(d) of the Federal Advisory Committee Act to be necessary to close all, or some portion, of the meeting to the public. A determination that a meeting or portion thereof be closed to the public may be made if all or a specific portion of a meeting of a TAC is concerned with matters described in section 552(b) of Title 5, U.S.C.
(4) Participation by members of the public in open TAC meetings or questioning of committee members or other participants shall not be permitted except in accordance with procedures established by the committee.
(5) Every effort will be made to accommodate all members of the public who wish to attend.
(g) Minutes. (1) Detailed minutes of each meeting of each TAC will be kept and will contain a record of the persons present, a complete and accurate description of the matters discussed and conclusions reached, and copies of all reports received, issued, or approved by the TAC.
(2) The accuracy of all the minutes will be certified to by the TAC Chair.
(h) Records. (1) Subject to section 552 of Title 5, U.S.C. and Department of Commerce Administrative Order 205-12, “Public Information,” and “Public Information” regulations issued by the Department of Commerce that are contained in 15 CFR part 4, Subtitle A, the records, reports, transcripts, minutes, appendices, working papers, draft, studies, agenda, or other documents that were made available to or prepared for or by each TAC will be available for public inspection and copying.
(2) Each TAC will prepare once each year a report describing its membership, functions, activities, and such related matters as would be informative to the public consistent with the policy of section 552(b) of Title 5, U.S.C.
(3)(i) Requests for records should be addressed to: Bureau of Industry and Security, Freedom of Information, Records Inspection Facility, U.S. Department of Commerce, Room 4513, Washington, DC 20230, Telephone (202) 482-2593.
(ii) Rules concerning the use of the Records Inspection Facility are contained in 15 CFR part 4, Subtitle A, or may be obtained from this facility.
(i) Compensation. If the Department of Commerce deems it appropriate, a member of a TAC may be reimbursed for travel, subsistence, and other necessary expenses incurred in connection with the member’s duties.
(j) Scope of advisory committee functions. All TACs are limited to the functions described in their charters.
(k) Duration of committees. Each TAC will terminate at the end of two years from the date the committee was established or two years from the effective date of its most recent extension, whichever is later. Committees may be continued only for successive two-year periods by appropriate action taken by the authorized officer of the Department of Commerce prior to the date on which such advisory committee would otherwise terminate. TACs may be extended or terminated only after consultation with the committee.
(l) Miscellaneous. (1) TACs established in accordance with paragraph (b) of this supplement must conform to the provisions of the Federal Advisory Committee Act (Pub. L. 92-463), Office of Management and Budget Circular A-63 (Revision of March 1974), “Advisory Committee Management,” Department of Commerce Administrative Order 205-12, “Public Information,” the applicable provisions of the EAA, and any other applicable Department of Commerce regulations or procedures affecting the establishment or operation of advisory committees.
(2) Whenever the Department of Commerce desires the advice or assistance of a particular segment of an industry with respect to any export control problem for which the service of a TAC, as described in paragraph (b) of this supplement is either unavailable or impracticable, an advisory committee may be established pursuant to the provisions of section 9 of the Federal Advisory Committee Act. Such committees will be subject to the requirements of the Federal Advisory Committee Act, OMB Circular A-63 (Revision of March 1974), “Advisory Committee Management,” Department of Commerce Administrative Order 205-12, “Public Information,” and any other applicable Department of Commerce regulations or procedures affecting the establishment or operation of advisory committees.
(3) Nothing in the provisions of this supplement shall be construed to restrict in any manner the right of any person or firm to discuss any export control matter with the Department of Commerce or to offer advice or information on export control matters. Similarly, nothing in these provisions shall be construed to restrict the Department of Commerce in consulting any person or firm relative to any export control matter.
Supplement No. 3 to Part 730 – Other U.S. Government Departments and Agencies With Export Control Responsibilities
The departments and agencies identified with an asterisk control exports for foreign policy or national security reasons and, in certain cases, such controls may overlap with the controls described in the EAR (see part 734 of the EAR).
*Department of State, Directorate of Defense Trade Controls, Tel. (202) 663-2700, Fax: (202) 261-8695, Internet: http://www.pmddtc.state.gov/index.html.
22 CFR parts 120 through 130.
21 CFR Parts 1311 Through 1313
21 U.S.C. 301 et seq .
21 CFR 312.1106
Department of the Interior, Chief Office of Management Authority, Tel. (703) 358-2093, Fax: (703) 358-2280.
50 CFR 17.21, 17.22, 17.31, 17.32.
31 CFR parts 500 through 590.
21 U.S.C. 301 et seq.
10 CFR 205.300 through 205.379 and part 590.
10 CFR part 110.
10 CFR part 810.
46 CFR part 510.
37 CFR part 5.
46 CFR part 221.
PART 732 – STEPS FOR USING THE EAR
§ 732.1 Steps overview.
(a)(1) Introduction. In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part is intended to help you determine your obligations under the EAR by listing logical steps in §§ 732.2 through 732.5 of this part that you can take in reviewing these regulations. A flow chart describing these steps is contained in supplement no. 1 to part 732. By cross-references to the relevant provisions of the EAR, this part describes the suggested steps for you to determine applicability of the following:
(i) The scope of the EAR (part 734 of the EAR);
(ii) Each of the general prohibitions (part 736 of the EAR);
(iii) The License Exceptions (part 740 of the EAR); and
(iv) Other requirements such as clearing your export with the U.S. Customs Service, keeping records, and completing and documenting license applications.
(2) These steps describe the organization of the EAR, the relationship among the provisions of the EAR, and the appropriate order for you to consider the various provisions of the EAR.
(3) The general information in this part is intended to provide an overview of the steps to be taken for certain requirements in the EAR, though not all of them. Nothing in this part shall be construed as altering or affecting any other authority, regulation, investigation or other enforcement measure provided by or established under any other provision of federal law, including provisions of the EAR.
(b) Facts about your transaction. The following five types of facts determine your obligations under the EAR and will be of help to you in reviewing these steps:
(1) What is it? What an item is, for export control purposes, depends on its classification, which is its place on the Commerce Control List (see part 774 of the EAR).
(2) Where is it going? The country of ultimate destination for an export or reexport also determines licensing requirements (see parts 738 and 774 of the EAR concerning the Country Chart and the Commerce Control List).
(3) Who will receive it? The ultimate end-user of your item cannot be a bad end-user. See General Prohibition Four (Denial Orders) in § 736.2(b)(4) and parts 744 and 764 of the EAR for a reference to the list of persons you may not deal with.
(4) What will they do with it? The ultimate end-use of your item cannot be a bad end-use. See General Prohibition Five (End-Use End-User) in § 736.2(b)(5) and part 744 of the EAR for general end-use and end-user restrictions.
(5) What else do they do? Conduct such as contracting, financing, and freight forwarding in support of a proliferation project (as described in § 744.6 of the EAR) may prevent you from dealing with someone.
(c) Are your items and activities subject to the EAR? You should first determine whether your commodity, software, or technology is subject to the EAR (see part 734 of the EAR concerning scope), and Steps 1 through 6 help you do that. For exports from the United States, only Steps 1 and 2 are relevant. If you already know that your item or activity is subject to the EAR, you should go on to consider the ten general prohibitions in part 736 of the EAR. If your item or activity is not subject to the EAR, you have no obligations under the EAR and may skip the remaining steps.
(d) Does your item or activity require a license under one or more of the ten general prohibitions? – (1) Brief summary of the ten general prohibitions. The general prohibitions are found in part 736 of the EAR and referred to in these steps. They consist, very briefly, of the following:
(i) General Prohibition One (Exports and Reexports): Export and reexport of controlled items to listed countries.
(ii) General Prohibition Two (Parts and Components Reexports): Reexport and export from abroad of foreign-made items incorporating more than a de minimis amount of controlled U.S. content.
(iii) General Prohibition Three (Foreign-produced Direct Product Reexports): Reexport and export from abroad of the foreign-produced direct product of U.S. technology and software.
(iv) General Prohibition Four (Denial Orders): Engaging in actions prohibited by a denial order.
(v) General Prohibition Five (End-Use End-User): Export or reexport to prohibited end uses or end users.
(vi) General Prohibition Six (Embargo): Export or reexport to embargoed destinations.
(vii) General Prohibition Seven (U.S. Person Proliferation Activity): Support of proliferation activities.
(viii) General Prohibition Eight (In-Transit): In-transit shipments and items to be unladen from vessels and aircraft.
(ix) General Prohibition Nine (Orders, Terms and Conditions): Violation of any orders, terms, or conditions.
(x) General Prohibition Ten (Knowledge Violation to Occur): Proceeding with transactions with knowledge that a violation has occurred or is about to occur.
(2) Controls on items on the Commerce Control List (CCL). If your item or activity is subject to the EAR, you should determine whether any one or more of the ten general prohibitions require a license for your export, reexport, or activity. Steps 7 through 11 refer to classification of your item on the Commerce Control List (CCL) (part 774 of the EAR) and how to use the Country Chart (supplement no. 1 to part 738 of the EAR) to determine whether a license is required based upon the classification of your item. These steps refer to General Prohibitions One (Exports and Reexports), Two (Parts and Components Reexports) , and Three (Foreign-Produced Direct Product Reexports) for all countries except: Cuba, Iran, North Korea, and Syria. For these countries, you may skip Steps 7 through 11 and go directly to Step 12.
(3) Controls on activities. Steps 12 through 18 refer to General Prohibitions Four through Ten. Those general prohibitions apply to all items subject to the EAR, not merely those items listed on the CCL in part 774 of the EAR. For example, they refer to the general prohibitions for persons denied export privileges, prohibited end-uses and end-users, countries subject to a comprehensive embargo (e.g., Cuba, Iran, North Korea and Syria), prohibited activities of U.S. persons in support of proliferation of weapons of mass destruction, prohibited unlading of shipments, compliance with orders, terms and conditions, and activities when a violation has occurred or is about to occur.
(4) General prohibitions. If none of the ten general prohibitions applies, you should skip the steps concerning License Exceptions and for exports from the United States, review Steps 27 through 29 concerning Shipper’s Export Declarations to be filed with the U.S. Customs Service, Destination Control Statements for export control documents, and recordkeeping requirements.
(e) Is a License Exception available to overcome the license requirement? If you decide by reviewing the CCL in combination with the Country Chart that a license is required for your destination, you should determine whether a License Exception will except you from that requirement. Steps 20 through 24 help you determine whether a License Exception is available. Note that generally License Exceptions are not available to overcome General Prohibitions Four through Ten. However, selected License Exceptions for embargoed destinations are specified in part 746 of the EAR and License Exceptions for short supply controls are specified in part 754 of the EAR. If a License Exception is available and the export is from the United States, you should review Steps 26 through 28 concerning Shipper’s Export Declarations to be filed with the U.S. Customs Service, Destination Control Statements for export control documents and recordkeeping requirements. If a License Exception is not available, go on to Steps 25 through 29.
(f) How do you apply for a license? If you must file a license application, you should review the requirements of part 748 of the EAR as suggested by Step 26. Then you should review Steps 27 through 29 concerning Shipper’s Export Declarations to be filed with the U.S. Customs Service, Destination Control Statements for export control documents, and recordkeeping requirements.
§ 732.2 Steps regarding scope of the EAR.
Steps 1 though 6 are designed to aid you in determining the scope of the EAR. A flow chart describing these steps is contained in supplement no. 2 to part 732.
(a) Step 1: Items subject to the exclusive jurisdiction of another Federal agency. This step is relevant for both exports and reexports. Determine whether your item is subject to the exclusive jurisdiction of another Federal Agency as provided in § 734.3 of the EAR.
(1) If your item is subject to the exclusive jurisdiction of another Federal agency, comply with the regulations of that agency. You need not comply with the EAR and may skip the remaining steps.
(2) If your item is not subject to the exclusive jurisdiction of another federal agency, then proceed to Step 2 in paragraph (b) of this section.
(b) Step 2: Publicly available technology and software. This step is relevant for both exports and reexports. Determine if your technology or software is publicly available as defined and explained at part 734 of the EAR. Supplement no. 1 to part 734 of the EAR contains several practical examples describing publicly available technology and software that are outside the scope of the EAR. The examples are illustrative, not comprehensive. Note that encryption software classified under ECCN 5D002 on the Commerce Control List (refer to supplement no.1 to Part 774 of the EAR) is subject to the EAR even if publicly available, except for publicly available encryption object code software classified under ECCN 5D002 when the corresponding source code meets the criteria specified in § 740.13(e) of the EAR. The following also remains subject to the EAR: “Software” or “technology” for the production of a firearm, or firearm frame or receiver, controlled under ECCN 0A501, as referenced in § 734.7(c) of the EAR).
(1) If your technology or software is publicly available, and therefore outside the scope of the EAR, you may proceed with the export or reexport if you are not a U.S. person subject to General Prohibition Seven. If you are a U.S. person, go to Step 15 at § 732.3(j) of this part. If you are a U.S. person and General Prohibition Seven concerning proliferation activity of U.S. persons does not apply, then you may proceed with the export or reexport of your publicly available technology or software. Note that all U.S. persons are subject to the provisions of General Prohibition Seven.
(2) If your technology or software is not publicly available and you are exporting from the United States, skip to the Step 7 in § 732.3(b) of this part concerning the general prohibitions.
(3) If you are exporting items from a foreign country, you should then proceed to Step 3 in paragraph (c) of this section and the other steps concerning the scope of the EAR.
(c) Step 3: Reexport of U.S.-origin items. This step is appropriate only for reexporters. For an item in a foreign country, you should determine whether the item is of U.S. origin. If it is of U.S.-origin, skip to Step 7 in § 732.3(b) of this part. If it is not of U.S. origin, then proceed to Step 4 in paragraph (d) of this section.
(d) Step 4: Foreign-made items incorporating controlled U.S.-origin items. This step is appropriate only for items that are made outside the United States and not currently located in the United States. Special requirements and restrictions apply to foreign-made items that incorporate U.S.-origin encryption items (see § 734.4(a)(2), (b), and (g) of the EAR).
(1) Determining whether your foreign made item is subject to the EAR. Using the guidance provided in supplement no. 2 to part 734 of the EAR, determine whether controlled U.S.-origin items are incorporated into the foreign-made item and are above the de minimis level set forth in § 734.4 of the EAR.
(2) If no U.S.-origin controlled items are incorporated or if the percentage of incorporated U.S.-origin controlled items are equal to or below the de minimis level described in § 734.4 of the EAR, then the foreign-made item is not subject to the EAR by reason of the de minimis rules, and you should go on to consider Step 6 regarding the foreign-produced direct product rule.
(3) If the foreign-made item incorporates more than the de minimis level of U.S.-origin items, then that item is subject to the EAR and you should skip to Step 7 at § 732.3 of this part and consider the steps regarding all other general prohibitions, license exceptions, and other requirements to determine applicability of these provisions to the foreign-made item.
(e) [Reserved]
(f) Step 6: Direct product rule. Foreign items that are the direct product of U.S. technology, software, or plant or major component of a plant made from U.S. technology or software may be subject to the EAR if they meet the conditions of General Prohibition Three in § 736.2(b)(3) of the EAR. Direct products that are subject to the EAR may require a license to be exported from abroad or reexported to certain countries.
(1) Subject to the EAR. If your foreign item is captured by the direct product rule (General Prohibition Three), then the item is subject to the EAR and its export from abroad or reexport may require a license. You should next consider the steps regarding all other general prohibitions, license exceptions, and other requirements. If the item is not captured by General Prohibition Three, then you have completed the steps necessary to determine whether the item is subject to the EAR, and you may skip the remaining steps. As described in part 734 of the EAR, items outside the U.S. are subject to the EAR when they are:
(i) U.S.-origin commodities, software, or technology, unless controlled for export exclusively by another U.S. Federal agency or unless publicly available;
(ii) Foreign-origin commodities, software, or technology that are within the scope of General Prohibition Two (De minimis rules), or General Prohibition Three (Direct Product rule). However, such foreign-origin items are also outside the scope of the EAR if they are controlled for export exclusively by another U.S. Federal Agency or, if technology or software, are publicly available as described in paragraph (b) of this section.
(2) [Reserved]
§ 732.3 Steps regarding the ten general prohibitions.
(a) Introduction. If your item or activity is subject to the scope of the EAR, you should then consider each of the ten general prohibitions listed in part 736 of the EAR. General Prohibitions One ((Exports and Reexports), Two (Parts and Components Reexports), and Three (Foreign-Produced Direct Product Reexports) (§ 736.2(b) (1), (2), and (3) of the EAR) are product controls that are shaped and limited by parameters specified on the CCL and Country Chart. General Prohibitions Four through Ten are prohibitions on certain activities that are not allowed without authorization from BIS, and these prohibitions apply to all items subject to the EAR unless otherwise specified (§ 736.2(b) (4) through (10) of the EAR).
(b) Step 7: Classification. (1) You should classify your items “subject to the EAR” in the relevant entry on the CCL, and you may do so on your own without BIS assistance. The CCL includes a supplement no. 4 to part 774 – Commerce Control List Order of Review. This supplement establishes the steps (i.e., the order of review) that should be followed in classifying items that are “subject to the EAR.” The exporter, reexporter, or transferor is responsible for correctly classifying the items in a transaction, which may involve submitting a classification request to BIS. Failure to classify or have classified the item correctly does not relieve the person of the obligation to obtain a license when one is required by the EAR.
(2) You have a right to request the applicable classification of your item from BIS, and BIS has a duty to provide that classification to you. For further information on how to obtain classification assistance from BIS, see part 748 of the EAR.
(3) For items subject to the EAR but not listed on the CCL, the proper classification is EAR99. This number is a “basket” for items not specified under any CCL entry and appears at the end of each Category on the CCL.
(4) Items subject to temporary CCL controls are classified under the ECCN 0Y521 series (i.e., 0A521, 0B521, 0C521, 0D521 and 0E521) pursuant to § 742.6(a)(8) of the EAR while a determination is being made as to whether classification under a revised or new ECCN or EAR99 designation is appropriate.
(c) Step 8: Country of ultimate destination. You should determine the country of ultimate destination. The country of destination determines the applicability of several general prohibitions, License Exceptions, and other requirements. Note that part 754 of the EAR concerning short supply controls is self-contained and is the only location in the EAR that contains both the prohibitions and exceptions applicable to short supply controls.
(d) Step 9: Reason for control and the Country Chart – (1) Reason for control and column identifier within the Export Control Classification Number (ECCN). Once you have determined that your item is controlled by a specific ECCN, you must use information contained in the “License Requirements” section of that ECCN in combination with the Country Chart to decide whether a license is required under General Prohibitions One, Two, or Three to a particular destination. The CCL and the Country Chart are taken together to define these license requirements. The applicable ECCN will indicate the reason or reasons for control for items within that ECCN. For example, ECCN 6A007 is controlled for national security, missile technology, and anti-terrorism reasons.
(2) Reason for control within the Country Chart. With each of the applicable Country Chart column identifiers noted in the correct ECCN, turn to the Country Chart. Locate the correct Country Chart column identifier on the horizontal axis, and determine whether an “X” is marked in the cell next to the destination in question. Consult § 738.4 of the EAR for comprehensive instructions on using the Country Chart and a detailed example.
(i) An “X” in the cell or cells for the relevant country and reason(s) for control column indicates that a license is required for General Prohibitions One (Exports and Reexports in the Form Received), Two (Parts and Components Reexports), and Three (Foreign-Produced Direct Product Reexports). (See § 736.2 (b)(1), (b)(2), and (b)(3) of the EAR).
(ii) If one or more cells have an “X” in the relevant column, a license is required unless you qualify for a License Exception described in part 740 of the EAR. If a cell does not contain an “X” for your destination in one or more relevant columns, a license is not required under the CCL and the Country Chart.
(iii) Additional controls may apply to your export. You must go on to steps 12 through 18 described in paragraphs (g) to (m) of this section to determine whether additional limits described in General Prohibition Two (Parts and Components Reexports) and General Prohibition Three (Foreign-Produced Direct Product Reexports) apply to your proposed transaction. If you are exporting an item from the United States, you should skip Step 10 and Step 11. Proceed directly to Step 12 in paragraph (g) of this section.
(3) License requirements not on the Country Chart. There are two instances where the Country Chart cannot be used to determine if a license is required. Items controlled for short supply reasons are not governed by the Country Chart. Part 754 of the EAR contains license requirements and License Exceptions for items subject to short supply controls. A limited number of ECCNs contained on the CCL do not identify a Country Chart column identifier. In these instances, the ECCN states whether a license is required and for which destinations. See § 738.3(a) of the EAR for a list of the ECCNs for which you do not need to consult the Country Chart to determine licensing requirements.
(4) Destinations subject to embargo and other special controls provisions. The Country Chart does not apply to Cuba, Iran, North Korea, and Syria. For those countries you should review the provisions at part 746 of the EAR and may skip this step concerning the Country Chart. For Iraq and Russia, the Country Chart provides for certain license requirements, and part 746 of the EAR provides additional requirements.
(5) Items subject to the EAR but not on the CCL. Items subject to the EAR that are not on the CCL are properly classified EAR99. For such items, you may skip this step and proceed directly with Step 12 in paragraph (g) of this section.
(e) Step 10: Foreign-made items incorporating controlled U.S.-origin items and the de minimis rules – (1) De minimis rules. If your foreign-made item abroad is a foreign-made commodity that incorporates controlled U.S.-origin commodities, a foreign-made commodity that is ‘bundled’ with controlled U.S.-origin software, foreign-made software that is commingled with controlled U.S.-origin software, or foreign-made technology that is commingled with controlled U.S.-origin technology, then it is subject to the EAR if the U.S.-origin controlled content exceeds the de minimis levels described in Sec. 734.4 of the EAR.
(2) Guidance for calculations. For guidance on how to calculate the U.S.-controlled content, refer to supplement no. 2 to part 734 of the EAR. Note, U.S.-origin technology controlled by ECCN 9E003.a.1 through a.11, and .h, and related controls, and encryption software controlled for “EI” reasons under ECCN 5D002 (not eligible for de minimis treatment pursuant to § 734.4(b) of the EAR) or encryption technology controlled for “EI” reasons under ECCN 5E002 (not eligible for de minimis treatment pursuant to § 734.4(a)(2) of the EAR) do not lose their U.S.-origin when redrawn, used, consulted, or otherwise commingled abroad in any respect with other software or technology of any other origin. Therefore, any subsequent or similar software or technology prepared or engineered abroad for the design, construction, operation, or maintenance of any plant or equipment, or part thereof, which is based on or uses any such U.S.-origin software or technology is subject to the EAR.
(f) Step 11: Foreign-produced direct product rule – General Prohibition Three. Foreign-produced items located outside the U.S. that are the direct product of “technology” or “software” subject to the EAR or produced by a plant or major component of a plant located outside the United States that is a direct product of U.S.-origin “technology” or “software” subject to the EAR, whether made in the U.S. or a foreign country, may be subject to the EAR if they meet the conditions of General Prohibition Three in § 736.2(b)(3). Direct products that are subject to the EAR may require a license to be exported from abroad, transferred (in-country), or reexported to specified countries or end users. If your foreign item meets the conditions of the foreign-produced direct product rule (General Prohibition Three), then your export from abroad, transfer (in-country), or reexport is subject to the EAR. You should next consider the steps regarding all other general prohibitions, license exceptions, and other requirements. If your item does not meet the conditions of General Prohibition Three, then your export from abroad, transfer (in-country), or reexport is not subject to the EAR. You have completed the steps necessary to determine whether your transaction is subject to the EAR, and you may skip the remaining steps.
(g) Step 12: Persons denied export privileges. (1) Determine whether your transferee, ultimate end-user, any intermediate consignee, or any other party to a transaction is a person denied export privileges (see part 764 of the EAR). It is a violation of the EAR to engage in any activity that violates the terms or conditions of a denial order. General Prohibition Four (Denial Orders) applies to all items subject to the EAR, i.e., both items on the CCL and within EAR99.
(2) There are no License Exceptions to General Prohibition Four (Denial Orders). The prohibition concerning persons denied export privileges may be overcome only by a specific authorization from BIS, something that is rarely granted.
(h) STEP 13: Prohibited end-uses and end-users. (1) Review the end-uses and end-users prohibited under General Prohibition Five (End-Use and End-User) (§ 736.2(b)(5) of the EAR) described in part 744 of the EAR. Part 744 of the EAR contains all the end-use and end-user license requirements, and those are in addition to the license requirements under General Prohibitions One (Exports and Reexports), Two (Parts and Components Reexports), and Three (Foreign-produced Direct Product Reexports). Unless otherwise indicated, the license requirements of General Prohibition Five (End-Use and End-User) described in part 744 of the EAR apply to all items subject to the EAR, i.e. both items on the CCL and within EAR99. Moreover, the requirements of General Prohibition Five (End-Use and End-User) are in addition to various end-use and end-user limitations placed on certain License Exceptions.
(2) Under License Exception TSU (§ 740.13 of the EAR), operation technology and software, sales technology, and software updates overcome General Prohibition Five (End-Use and End-User) (§ 736.2(b)(5) of the EAR) if all terms and conditions of these provisions are met by the exporter or reexporter.
(i) Step 14: Embargoed countries and special destinations. If your destination for any item is Cuba, Iran, Iraq, North Korea, or Syria, you must consider the requirements of parts 742 and 746 of the EAR. Unless otherwise indicated, General Prohibition Six (Embargo) applies to all items subject to the EAR, i.e., both items on the CCL and within EAR99. See § 746.1(b) for destinations subject to limited sanctions under United Nations Security Council arms embargoes. See §§ 746.5 for Russian and Belarusian industry sector sanctions, 746.6 for Crimea region of Ukraine and covered regions of Ukraine, 746.8 for Sanctions against Russia and Belarus, and 746.10 for `luxury goods’ sanctions against Russia and Belarus and Russian and Belarusian oligarchs and malign actors. You may not make an export, reexport, or transfer (in-country) contrary to the provisions of part 746 of the EAR without a license unless:
(1) You are exporting, reexporting, or transferring only published information or software as specified in § 734.7 or other items outside the scope of the EAR, or
(2) You qualify for a License Exception referenced in part 746 of the EAR concerning embargoed destinations. You may not use a license exception described in part 740 of the EAR to overcome General Prohibition Six (Embargo) (§ 736.2(b)(6) of the EAR) unless it is specifically authorized in part 746 of the EAR. Note that part 754 of the EAR concerning short supply controls is self-contained and is the only location in the EAR for both the prohibitions and exceptions applicable to short supply controls.
(j) Step 15: Restrictions on specific activities of “U.S. persons.” (1) Review the scope of activity prohibited by General Prohibition Seven (“U.S. person” activities) (§ 736.2(b)(7) of the EAR) as that activity is described in § 744.6 of the EAR. Keep in mind that such activity is not limited to exports, reexports, or transfers (in-country). “U.S. person” activities extend to services and shipping or transmitting certain wholly foreign-origin items, or facilitating such shipments or transmissions, in ‘support’ of the specified weapons of mass destruction and military-intelligence-related end uses and end users and is not limited to items listed on the CCL or designated EAR99. See § 744.6(b)(6) of the EAR for the full definition of ‘support,’ which includes ordering, storing, using, selling, loaning, disposing, servicing, financing, transporting, freight forwarding, or conducting negotiations in furtherance of.
(2) Review the definition of “U.S. person” in § 772.1 of the EAR.
(k) Step 16: In-transit. Shippers and operators of vessels or aircraft should review General Prohibition Eight (In-Transit) to determine the countries in which you may not unladen or ship certain items in-transit. General Prohibition Eight applies to all items subject to the EAR, i.e. both items on the CCL and within EAR99.
(l) Step 17: Review orders, terms, and conditions. Review the orders, terms, and conditions applicable to your transaction. General Prohibition Nine (Orders, Terms, and Conditions) prohibits the violation of any orders, terms, and conditions imposed under the EAR. Terms and conditions are frequently contained in licenses. In addition, the ten general prohibitions (part 736 of the EAR) and the License Exceptions (part 740 of the EAR) impose terms and conditions or limitations on your proposed transactions and use of License Exceptions. A given license or License Exception may not be used unless each relevant term or condition is met.
(m) Step 18: Review the “Know Your Customer” Guidance and General Prohibition Ten (Knowledge Violation to Occur). License requirements under the EAR are determined solely by the classification, end-use, end-user, ultimate destination, and conduct of U.S. persons. Supplement no. 1 to part 732 of the EAR is intended to provide helpful guidance regarding the process for the evaluation of information about customers, end-uses, and end-users. General Prohibition Ten (Knowledge Violation to Occur) prohibits anyone from proceeding with a transaction with knowledge that a violation of the EAR has occurred or is about to occur. It also prohibits related shipping, financing, and other services. General Prohibition Ten applies to all items subject to the EAR, i.e. both items on the CCL and within EAR99.
(n) Step 19: Complete the review of the general prohibitions. After completion of Steps described in this section and review of all ten general prohibitions in part 736 of the EAR, including cross-referenced regulations in the EAR, you will know which, if any, of the ten general prohibitions of the EAR apply to you and your contemplated transaction or activity.
(1) If none of the ten general prohibitions is applicable to your export from the United States, no license from BIS is required, you do not need to qualify for a License Exception under part 740 of the EAR. You should skip the Steps in § 732.4 of this part regarding License Exceptions and proceed directly to the Steps in § 732.5 of this part regarding recordkeeping, clearing the Bureau of Customs and Border Protection with the appropriate Shipper’s Export Declaration or Automated Export System record, and using the required Destination Control Statement.
(2) If none of the ten general prohibitions is applicable to your reexport or export from abroad, no license is required and you should skip all remaining Steps.
(3) If one or more of the ten general prohibitions are applicable, continue with the remaining steps.
§ 732.4 Steps regarding License Exceptions.
(a) Introduction to Steps for License Exceptions. If your export or reexport is subject to the EAR and is subject to General Prohibitions One (Exports and Reexports), Two (Parts and Components Reexports), or Three (Foreign-Produced Direct Product Reexports), consider the steps listed in paragraph (b) of this section. If your export or reexport is subject to General Prohibitions Four (Denial Orders), Seven (U.S. Person Proliferation Activity), Eight (In-Transit), Nine (Orders, Terms, and Conditions), or Ten (Knowledge Violation to Occur), there are no License Exceptions available for your export or reexport. If your export is subject to General Prohibition Five (End-Use End-User), consult part 744 of the EAR. If your export or reexport is subject to General Prohibition Six (Embargo), consult part 746 of the EAR for applicable License Exceptions.
(b) Steps for License Exceptions – (1) Step 20: Applicability of General Prohibitions. Determine whether any one or more of the general prohibitions described in § 736.2(b) of the EAR apply to your export or reexport. If no general prohibition applies to your export or reexport, then you may proceed with your export or reexport and need not review part 740 of the EAR regarding License Exceptions. You are reminded of your recordkeeping obligations related to the clearance of the U.S. Customs Service provided in parts 762 and 758 of the EAR.
(2) Step 21: Applicability of restrictions on all License Exceptions. Determine whether any one or more of the restrictions in § 740.2 of the EAR applies to your export or reexport. If any one or more of these restrictions apply, there are no License Exceptions available to you, and you must either obtain a license or refrain from the export or reexport.
(3) Step 22: Terms and conditions of the License Exceptions. (i) If none of the restrictions in § 740.2 of the EAR applies, then review each of the License Exceptions to determine whether any one of them authorizes your export or reexport. Eligibility for License Exceptions is based on the item, the country of ultimate destination, the end-use, and the end-user, along with any special conditions imposed within a specific License Exception.
(ii) You may meet the conditions for more than one License Exception. Moreover, although you may not qualify for some License Exceptions you may qualify for others. Review the broadest License Exceptions first, and use any License Exception available to you. You are not required to use the most restrictive applicable License Exception. If you fail to qualify for the License Exception that you first consider, you may consider any other License Exception until you have determined that no License Exception is available.
(iii) License Exceptions TMP, RPL, BAG, AVS, GOV, and TSU authorize exports notwithstanding the provisions of the CCL. List-based License Exceptions (LVS, GBS, CIV, TSR, and APP) are available only to the extent specified on the CCL. Part 740 of the EAR provides authorization for reexports only to the extent each License Exception expressly authorizes reexports. Some ECCNs contain License Exception STA exclusion paragraphs. Those paragraphs delineate items excluded from the License Exception STA provisions in § 740.20(c)(2) of the EAR. License Exception APR authorizes reexports only.
(iv) If you are exporting under License Exceptions GBS, CIV, LVS, STA, APP, TSR or GOV, you should review § 743.1 of the EAR to determine the applicability of certain reporting requirements. If you are exporting under License Exceptions LVS, TMP, RPL, STA, or GOV and your item is classified in the “600 series,” you should review § 743.4 of the EAR to determine the applicability of certain reporting requirements for conventional arms exports.
(4) Step 23: Scope of License Exceptions. Some License Exceptions are limited by country or by type of item.
(i) Countries are arranged in country groups for ease of reference. For a listing of country groups, please refer to supplement no. 1 to part 740 of the EAR. Unless otherwise indicated in a License Exception, License Exceptions do not apply to any exports or reexports to embargoed destinations. If your export or reexport is subject to General Prohibition Six (Embargo) for embargoed destinations, License Exceptions are only available to the extent specifically provided in part 746 of the EAR concerning embargoed destinations.
(ii) Special commodity controls apply to short supply items. No License Exceptions described in part 740 of the EAR may be used for items listed on the CCL as controlled for Short Supply reasons. License Exceptions for short supply items are found in part 754 of the EAR.
(5) Step 24: Compliance with all terms and conditions. If a License Exception is available, you may proceed with your export or reexport. However, you must meet all the terms and conditions required by the License Exception that you determined authorized your export or reexport. You must also consult part 758 and 762 of the EAR to determine your recordkeeping and documentation requirements.
(6) Step 25: License requirements. If no License Exception is available, then you must either obtain a license before proceeding with your export or reexport or you must refrain from the proposed export or reexport.
(7) Step 26: License applications. (i) If you are going to file a license application with BIS, you should first review the requirements in part 748 of the EAR. Exporters, reexporters, and transferors should review the instructions concerning applications and required support documents prior to submitting an application for a license.
(ii) If you are going to file a license application with BIS for the export, reexport, or in-country transfer for aircraft or military vessels controlled under ECCNs 0A606.a, 8A609.a, 8A620.a, 8A620.b, certain “spacecraft” controlled under ECCN subparagraphs 9A515.a.1, a.2, a.3, a.4 or 9A515.g, ECCN 9A610.a, or technology under ECCNs 9E515.b, .d, .e, or .f, § 740.20(g) permits you to request in the application that subsequent exports of the type of aircraft, spacecraft, military vessels, or technology at issue be eligible for export under License Exception STA. The types of “items” controlled under ECCNs 0A606.a, 8A609.a, 8A620.a, 8A620.b, certain spacecraft controlled under ECCN subparagraphs 9A515.a.1, a.2, a.3, a.4 or 9A515.g, ECCN 9A610.a, and technology ECCNs 9E515.b, .d, .e, or .f, that have been determined to be eligible for License Exception STA pursuant to § 740.20(g) are identified in the License Exceptions paragraphs of ECCNs 0A606, 8A609, 8A620, 9A610, 9A515, and 9E515. Supplement No. 2 to part 748, paragraph (w) (License Exception STA eligibility requests), contains the instructions for such applications.
If you intend to use License Exception STA, return to paragraphs (a) and then (b) of this section to review the Steps regarding the use of license exceptions.
§ 732.5 Steps regarding Electronic Export Information (EEI) requirements, Destination Control Statements, and recordkeeping.
(a) Step 27: Electronic Export Information (EEI) filing requirements. Exporters or agents authorized to file EEI to the Automated Export System (AES), should review § 758.1 of the EAR to determine when the EAR requires EEI to be filed and what EEI data elements the EAR requires to be included. More detailed information about EEI filing procedures and requirements may be found in the Bureau of Census Foreign Trade Regulations (FTR) at 15 CFR Part 30. Reexporters and firms exporting from abroad may skip Steps 27 through 29 and proceed directly to § 732.6 of the EAR.
(1) License code/license exception code (license code). You must report the correct license code that corresponds with your license authority (license or license exception) or designation (No License Required (NLR)) for your export on the EEI filing, as appropriate. See § 758.1(g) of the EAR and 15 CFR 30.6(a)(23) and Part III of Appendix B to 15 CFR Part 30 of the FTR. Generally, conflicts of data elements with license exception criteria, e.g., ECCN or destination, will result in a fatal error in the AES system. By reporting a license code for a license exception on an EEI filing you are certifying that your transaction meets the criteria of that license exception. By reporting a license code of NLR you are certifying that no license is required for your export.
(2) License number. If you are exporting under the authority of a license, you must report the license number on the EEI filing. See 15 CFR 30.6(b)(5) of the FTR.
(3) Item description. You must report an item description identical to the item description on the license when a license is required, or report an item description sufficient in detail to permit review by the U.S. Government and verification of the Schedule B Number or the Harmonized Tariff Schedule of the United States (HTS) for license exception exports or exports for which No License is Required (NLR). See § 758.1(g) of the EAR; and 15 CFR 30.6(a)(13) of the FTR.
(4) Entering the ECCN. You must report the correct Export Control Classification Number (ECCN) or “EAR99” for items that are not classified under an ECCN on the EEI filing for all licensed and license exception exports, and “No License Required” (NLR) exports of items having a reason for control other than or in addition to anti-terrorism (AT). The only exception to this requirement would be the return of unwanted foreign origin items, meeting the provisions of License Exception TMP, under § 740.9(b)(3) of the EAR. See § 758.1(g) of the EAR and 15 CFR 30.6(b)(6) of the FTR.
(b) Step 28: Destination Control Statement. The Destination Control Statement (DCS) must be entered on the invoice and on the bill of lading, air waybill, or other export control document that accompanies the shipment from its point of origin in the United States to the ultimate consignee or end-user abroad. The person responsible for preparation of those documents is responsible for entry of the DCS. The DCS is required for all exports from the United States of items on the Commerce Control List and is not required for items classified as EAR99, unless the export may be made under License Exception BAG or GFT (see part 740 of the EAR). DCS requirements do not apply to reexports. See § 758.6 of the EAR.
(c) Step 29: Recordkeeping. Records of transactions subject to the EAR must be maintained for five years in accordance with the recordkeeping provisions of part 762 of the EAR.
§ 732.6 Steps for other requirements.
Sections 732.1 through 732.4 of this part are useful in determining the license requirements that apply to you. Other portions of the EAR impose other obligations and requirements. Some of them are:
(a) Requirements relating to the use of a license in § 758.4 of the EAR.
(b) Obligations of carriers, forwarders, exporters and others to take specific steps and prepare and deliver certain documents to assure that items subject to the EAR are delivered to the destination to which they are licensed or authorized by a License Exception or some other provision of the regulations in § 758.1 through § 758.6 of the EAR.
(c) Duty of carriers to return or unload shipments at the direction of U.S. Government officials (see § 758.8 of the EAR).
(d) [Reserved]
(e) Recordkeeping requirements imposed in part 762 of the EAR.
(f) Requirements of part 764 of the EAR to disclose facts that may come to your attention after you file a license application or make other statements to the government concerning a transaction or proposed transaction that is subject to the EAR.
(g) Certain obligations imposed by part 760 of the EAR on parties who receive requests to take actions related to foreign boycotts and prohibits certain actions relating to those boycotts.
Supplement No. 1 to Part 732 – Export Control 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
Various requirements of the EAR are dependent upon a person’s knowledge of the end-use, end-user, ultimate destination, or other facts relating to a transaction or activity. These provisions include the nonproliferation-related “catch-all” sections and the prohibition against proceeding with a transaction with knowledge that a violation of the EAR has occurred or is about to occur.
(a) BIS provides the following guidance on how individuals and firms should act under this knowledge standard. This guidance does not change or interpret the EAR.
(1) Decide whether there are “red flags”. Take into account any abnormal circumstances in a transaction that indicate that the export may be destined for an inappropriate end-use, end-user, or destination. Such circumstances are referred to as “red flags”. Included among examples of red flags are orders for items that are inconsistent with the needs of the purchaser, a customer declining installation and testing when included in the sales price or when normally requested, or requests for equipment configurations that are incompatible with the stated destination (e.g., 120 volts in a country with 220 volts). Commerce has developed lists of such red flags that are not all-inclusive but are intended to illustrate the types of circumstances that should cause reasonable suspicion that a transaction will violate the EAR.
(2) If there are “red flags”, inquire. If there are no “red flags” in the information that comes to your firm, you should be able to proceed with a transaction in reliance on information you have received. That is, absent “red flags” (or an express requirement in the EAR), there is no affirmative duty upon exporters to inquire, verify, or otherwise “go behind” the customer’s representations. However, when “red flags” are raised in information that comes to your firm, you have a duty to check out the suspicious circumstances and inquire about the end-use, end-user, or ultimate country of destination. The duty to check out “red flags” is not confined to the use of License Exceptions affected by the “know” or “reason to know” language in the EAR. Applicants for licenses are required by part 748 of the EAR to obtain documentary evidence concerning the transaction, and misrepresentation or concealment of material facts is prohibited, both in the licensing process and in all export control documents. You can rely upon representations from your customer and repeat them in the documents you file unless red flags oblige you to take verification steps.
(3) Do not self-blind. Do not cut off the flow of information that comes to your firm in the normal course of business. For example, do not instruct the sales force to tell potential customers to refrain from discussing the actual end-use, end-user, and ultimate country of destination for the product your firm is seeking to sell. Do not put on blinders that prevent the learning of relevant information. An affirmative policy of steps to avoid “bad” information would not insulate a company from liability, and it would usually be considered an aggravating factor in an enforcement proceeding.
(4) Employees need to know how to handle “red flags”. Knowledge possessed by an employee of a company can be imputed to a firm so as to make it liable for a violation. This makes it important for firms to establish clear policies and effective compliance procedures to ensure that such knowledge about transactions can be evaluated by responsible senior officials. Failure to do so could be regarded as a form of self-blinding.
(5) Reevaluate all the information after the inquiry. The purpose of this inquiry and reevaluation is to determine whether the “red flags” can be explained or justified. If they can, you may proceed with the transaction. If the “red flags” cannot be explained or justified and you proceed, you run the risk of having had “knowledge” that would make your action a violation of the EAR.
(6) Refrain from the transaction or advise BIS and wait. If you continue to have reasons for concern after your inquiry, then you should either refrain from the transaction or submit all the relevant information to BIS in the form of an application for a license or in such other form as BIS may specify.
(b) Industry has an important role to play in preventing exports and reexports contrary to the national security and foreign policy interests of the United States. BIS will continue to work in partnership with industry to make this front line of defense effective, while minimizing the regulatory burden on exporters. If you have any question about whether you have encountered a “red flag”, you may contact the Office of Export Enforcement at 1-800-424-2980 or the Office of Exporter Services at (202) 482-4532.
Possible indicators that an unlawful diversion might be planned by your customer include the following:
1. The customer or purchasing agent is reluctant to offer information about the end-use of a product.
2. The product’s capabilities do not fit the buyer’s line of business; for example, a small bakery places an order for several sophisticated lasers.
3. The product ordered is incompatible with the technical level of the country to which the product is being shipped. For example, semiconductor manufacturing equipment would be of little use in a country without an electronics industry.
4. The customer has little or no business background.
5. The customer is willing to pay cash for a very expensive item when the terms of the sale call for financing.
6. The customer is unfamiliar with the product’s performance characteristics but still wants the product.
7. Routine installation, training or maintenance services are declined by the customer.
8. Delivery dates are vague, or deliveries are planned for out-of-the-way destinations.
9. A freight forwarding firm is listed as the product’s final destination.
10. The shipping route is abnormal for the product and destination.
11. Packaging is inconsistent with the stated method of shipment or destination.
12. When questioned, the buyer is evasive or unclear about whether the purchased product is for domestic use, export or reexport.
13. You receive an order for “parts” or “components” for an end item in 9×515 or the “600 series.” The requested “parts” or “components” may be eligible for License Exception STA, another authorization, or may not require a destination-based license requirement for the country in question. However, the requested “parts” or “components” would be sufficient to service one hundred of the 9×515 or “600 series” end items, but you “know” the country does not have those types of end items or only has two of those end items.
14. The customer indicates or the facts pertaining to the proposed export suggest that a 9×515 or “600 series” item may be reexported to a destination listed in Country Group D:5 (see supplement no. 1 to part 740 of the EAR).
PART 734 – SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS
§ 734.1 Introduction.
(a) In this part, references to the Export Administration Regulations (EAR) are references to 15 CFR chapter VII, subchapter C. This part describes the scope of the Export Administration Regulations (EAR) and explains certain key terms and principles used in the EAR. This part provides the rules you need to use to determine whether items and activities are subject to the EAR. This part is the first step in determining your obligations under the EAR. If neither your item nor your activity is subject to the EAR, then you do not have any obligations under the EAR and you do not need to review other parts of the EAR. If you already know that your item or activity is subject to the EAR, you do not need to review this part and you can go on to review other parts of the EAR to determine your obligations. This part also describes certain key terms and principles used in the EAR. Specifically, it includes the following terms: “subject to the EAR,” “items subject to the EAR,” “export,” and “reexport.” These and other terms are also included in part 772 of the EAR, Definitions of Terms, and you should consult part 772 of the EAR for the meaning of terms used in the EAR. Finally, this part makes clear that compliance with the EAR does not relieve any obligations imposed under foreign laws.
(b) This part does not address any of the provisions set forth in part 760 of the EAR, Restrictive Trade Practices or Boycotts.
(c) This part does not define the scope of legal authority to regulate exports, including reexports, or activities found in the Export Administration Act and other statutes. What this part does do is set forth the extent to which such legal authority has been exercised through the EAR.
§ 734.2 Subject to the EAR.
(a) Subject to the EAR – Definition. (1) “Subject to the EAR” is a term used in the EAR to describe those items and activities over which BIS exercises regulatory jurisdiction under the EAR. Conversely, items and activities that are not subject to the EAR are outside the regulatory jurisdiction of the EAR and are not affected by these regulations. The items and activities subject to the EAR are described in §§ 734.2 through 734.5 and 734.9 of this part. You should review the Commerce Control List (CCL) and any applicable parts of the EAR to determine whether an item or activity is subject to the EAR. However, if you need help in determining whether an item or activity is subject to the EAR, see § 734.6 of this part. Publicly available technology and software not subject to the EAR are described in §§ 734.7, 734.8, 734.10, and supplement no. 1 to this part.
(2) Items and activities subject to the EAR may also be controlled under export-related programs administered by other agencies. Items and activities subject to the EAR are not necessarily exempted from the control programs of other agencies. Although BIS and other agencies that maintain controls for national security and foreign policy reasons try to minimize overlapping jurisdiction, you should be aware that in some instances you may have to comply with more than one regulatory program.
(3) The term “subject to the EAR” should not be confused with licensing or other requirements imposed in other parts of the EAR. Just because an item or activity is subject to the EAR does not mean that a license or other requirement automatically applies. A license or other requirement applies only in those cases where other parts of the EAR impose a licensing or other requirement on such items or activities.
(b) [Reserved]
§ 734.3 Items subject to the EAR.
(a) Except for items excluded in paragraph (b) of this section, the following items are subject to the EAR:
(1) All items in the United States, including in a U.S. Foreign Trade Zone or moving intransit through the United States from one foreign country to another;
(2) All U.S. origin items wherever located;
(3) Foreign-made commodities that incorporate controlled U.S.-origin commodities, foreign-made commodities that are ‘bundled’ with controlled U.S.-origin software, foreign-made software that is commingled with controlled U.S.-origin software, and foreign-made technology that is commingled with controlled U.S.-origin technology:
(i) In any quantity, as described in § 734.4(a) of this part; or
(ii) In quantities exceeding the de minimis levels, as described in § 734.4(c) or § 734.4(d) of this part;
(4) Certain foreign-produced “direct products” of specified “technology” and “software,” as described in § 736.2(b)(3) of the EAR; and
Certain foreign-manufactured items developed or produced from U.S.-origin encryption items exported pursuant to License Exception ENC are subject to the EAR. See § 740.17(a) of the EAR.
(5) Certain foreign-produced “direct products” of a complete plant or any major component of a plant as described in § 736.2(b)(3) of the EAR.
(b) The following are not subject to the EAR:
(1) Items that are exclusively controlled for export or reexport by the following departments and agencies of the U.S. Government which regulate exports or reexports for national security or foreign policy purposes:
(i) Department of State. The International Traffic in Arms Regulations (22 CFR parts 120-130) administered by the Directorate of Defense Trade Controls relate to defense articles and defense services on the U.S. Munitions List (22 CFR part 121). Section 38 of the Arms Export Control Act (22 U.S.C. 2778). (Also see paragraph (b)(1)(vi) of this section).
If a defense article or service is controlled by the U.S. Munitions List set forth in the International Traffic in Arms Regulations, its export and temporary import is regulated by the Department of State. The President has delegated the authority to control defense articles and services for purposes of permanent import to the Attorney General. The defense articles and services controlled by the Secretary of State and the Attorney General collectively comprise the U.S. Munitions List under the Arms Export Control Act (AECA). As the Attorney General exercises independent delegated authority to designate defense articles and services for purposes of permanent import controls, the permanent import control list administered by the Department of Justice has been separately labeled the U.S. Munitions Import List (27 CFR Part 447) to distinguish it from the list set out in the International Traffic in Arms Regulations. In carrying out the functions delegated to the Attorney General pursuant to the AECA, the Attorney General shall be guided by the views of the Secretary of State on matters affecting world peace, and the external security and foreign policy of the United States.
(ii) Treasury Department, Office of Foreign Assets Control (OFAC). Regulations administered by OFAC implement broad controls and embargo transactions with certain foreign countries. These regulations include controls on exports and reexports to certain countries (31 CFR chapter V). Trading with the Enemy Act (50 U.S.C. app. section 1 et seq.), and International Emergency Economic Powers Act (50 U.S.C. 1701, et seq.)
(iii) U.S. Nuclear Regulatory Commission (NRC). Regulations administered by NRC control the export and reexport of commodities related to nuclear reactor vessels (10 CFR part 110). Atomic Energy Act of 1954, as amended (42 U.S.C. part 2011 et seq.).
(iv) Department of Energy (DOE). Regulations administered by DOE control the export and reexport of technology related to the production of special nuclear materials (10 CFR part 810). Atomic Energy Act of 1954, as amended (42 U.S.C. section 2011 et seq.).
(v) Patent and Trademark Office (PTO). Regulations administered by PTO provide for the export to a foreign country of unclassified technology in the form of a patent application or an amendment, modification, or supplement thereto or division thereof (37 CFR part 5). BIS has delegated authority under the Export Administration Act to the PTO to approve exports and reexports of such technology which is subject to the EAR. Exports and reexports of such technology not approved under PTO regulations must comply with the EAR.
(vi) Department of Defense (DoD) and Department of State Foreign Military Sales (FMS) Program. Items that are subject to the EAR that are sold, leased or loaned by the Department of Defense to a foreign country or international organization under the FMS Program of the Arms Export Control Act pursuant to a Letter of Offer and Acceptance (LOA) authorizing such transfers are not “subject to the EAR,” but rather, are subject to the authority of the Arms Export Control Act.
(2) Prerecorded phonograph records reproducing in whole or in part, the content of printed books, pamphlets, and miscellaneous publications, including newspapers and periodicals; printed books, pamphlets, and miscellaneous publications including bound newspapers and periodicals; children’s picture and painting books; newspaper and periodicals, unbound, excluding waste; music books; sheet music; calendars and calendar blocks, paper; maps, hydrographical charts, atlases, gazetteers, globe covers, and globes (terrestrial and celestial); exposed and developed microfilm reproducing, in whole or in part, the content of any of the above; exposed and developed motion picture film and soundtrack; and advertising printed matter exclusively related thereto.
(3) Information and “software” that:
(i) Are published, as described in § 734.7;
(ii) Arise during, or result from, fundamental research, as described in § 734.8;
(iii) Are released by instruction in a catalog course or associated teaching laboratory of an academic institution;
(iv) Appear in patents or open (published) patent applications available from or at any patent office, unless covered by an invention secrecy order, or are otherwise patent information as described in § 734.10;
(v) Are non-proprietary system descriptions; or
(vi) Are telemetry data as defined in Note 2 to Category 9, Product Group E (see supplement no. 1 to part 774 of the EAR).
A printed book or other printed material setting forth encryption source code is not itself subject to the EAR (see § 734.3(b)(2)). However, notwithstanding § 734.3(b)(2), encryption source code in electronic form or media (e.g., computer diskette or CD ROM) remains subject to the EAR (see § 734.17)). Publicly available encryption object code “software” classified under ECCN 5D002 is not subject to the EAR when the corresponding source code meets the criteria specified in § 742.15(b) of the EAR.
Except as set forth in part 760 of this title, information that is not within the scope of the definition of “technology” (see § 772.1 of the EAR) is not subject to the EAR.
(c) “Items subject to the EAR” consist of the items listed on the Commerce Control List (CCL) in part 774 of the EAR and all other items which meet the definition of that term. For ease of reference and classification purposes, items subject to the EAR which are not listed on the CCL are designated as “EAR99.” Items subject to temporary CCL controls are classified under the ECCN 0Y521 series (i.e., 0A521, 0B521, 0C521, 0D521, and 0E521) pursuant to § 742.6(a)(8) of the EAR, while a determination is made as to whether classification under a revised or new ECCN, or an EAR99 designation, is appropriate.
(d) Commodity classification determinations and advisory opinions issued by BIS are not, and may not be relied upon as, determinations that the items in question are “subject to the EAR,” as described in § 748.3 of the EAR.
(e) Items subject to the EAR may be exported, reexported, or transferred in country under licenses, agreements, or other approvals from the Department of State’s Directorate of Defense Trade Controls pursuant to §§ 120.5(b) and 126.6(c) of the International Traffic in Arms Regulations (ITAR) (22 CFR 120.5(b) and 126.6(c)). Exports, reexports, or in-country transfers not in accordance with the terms and conditions of a license, agreement, or other approval under § 120.5(b) of the ITAR requires separate authorization from BIS. Exports, reexports, or in-country transfers of items subject to the EAR under a Foreign Military Sales case that exceed the scope of § 126.6(c) of the ITAR or the scope of actions made by the Department of State’s Office of Regional Security and Arms Transfers require separate authorization from BIS.
§ 734.4 De minimis U.S. content.
(a) Items for which there is no de minimis level. (1) There is no de minimis level for the export from a foreign country of a foreign-made computer with an Adjusted Peak Performance (APP) exceeding that listed in ECCN 4A003.b and containing U.S.-origin controlled semiconductors (other than memory circuits) classified under ECCN 3A001 to Computer Tier 3 destinations; or exceeding an APP listed in ECCN 4A994.b and containing U.S.-origin controlled semiconductors (other than memory circuits) classified under ECCN 3A001 or high speed interconnect devices (ECCN 4A994.j) to Cuba, Iran, North Korea, and Syria.
(2) Foreign produced encryption technology that incorporates U.S. origin encryption technology controlled by ECCN 5E002 is subject to the EAR regardless of the amount of U.S. origin content.
(3) [Reserved]
(4) There is no de minimis level for U.S.-origin technology controlled by ECCN 9E003.a.1 through a.8, h, .i, and .k, when redrawn, used, consulted, or otherwise commingled abroad.
(5) There is no de minimis level for foreign-made “military commodities” incorporating one or more of the commodities described in ECCN 0A919.a.1 when destined for a country listed in Country Group D:5 of supplement no. 1 to part 740 of the EAR.
(6) 9×515 and “600 series.”
(i) There is no de minimis level for foreign-made items that incorporate U.S.-origin 9×515 or “600 series” items enumerated or otherwise described in paragraphs .a through .x of a 9×515 or “600 series” ECCN when destined for a country listed in Country Group D:5 of supplement no. 1 to part 740 of the EAR.
(ii) There is no de minimis level for foreign-made items that incorporate U.S.-origin 9×515 or “600 series” .y items when destined for a country listed in Country Group E:1 or E:2 of supplement no. 1 to part 740 of the EAR or for the People’s Republic of China (PRC).
(7) Under certain rules issued by the Office of Foreign Assets Control, certain exports from abroad by U.S.-owned or controlled entities may be prohibited notwithstanding the de minimis provisions of the EAR. In addition, the de minimis rules do not relieve U.S. persons of the obligation to refrain from supporting the proliferation of weapons of mass-destruction and missiles as provided in § 744.6 of the EAR.
(b) Special requirements for certain Category 5, Part 2 items. Non-U.S.-made items that incorporate U.S.-origin items that are listed in this paragraph are subject to the EAR unless they meet the de minimis level and destination requirements of paragraph (c) or (d) of this section and the requirements of this paragraph.
(1) The U.S.-origin commodities or software, if controlled under ECCN 5A002, ECCN 5B002, equivalent or related software therefor classified under ECCN 5D002, and “cryptanalytic items” or digital forensics items (investigative tools) classified under ECCN 5A004 or 5D002, must have been:
(i) Publicly available encryption source code classified under ECCN 5D002 that has met the criteria specified in § 742.15(b), see § 734.3(b)(3) of the EAR. Such source code does not have to be counted as controlled U.S.-origin content in a de minimis calculation;
(ii) Authorized for License Exception ENC by BIS after classification pursuant to § 740.17(b)(3) of the EAR;
(iii) Authorized for License Exception ENC by BIS after classification pursuant to § 740.17(b)(2) of the EAR, and the non-U.S.-made product will not be sent to any destination in Country Groups E:1 and E:2 in Supplement No. 1 to part 740 of the EAR; or
(iv) Authorized for License Exception ENC pursuant to § 740.17(b)(1) of the EAR.
(2) U.S.-origin encryption items classified under ECCNs 5A992.c, 5D992.c, or 5E992.b.
See Supplement No. 2 to this part for de minimis calculation procedures and reporting requirements.
(c) 10% De Minimis Rule. Except as provided in paragraphs (a) and (b)(1)(iii) of this section and subject to the provisions of paragraphs (b)(1)(i), (b)(1)(ii) and (b)(2) of this section, the following reexports are not subject to the EAR when made to any country in the world. See supplement no. 2 of this part for guidance on calculating values.
(1) Reexports of a foreign-made commodity incorporating controlled U.S.-origin commodities or “bundled” with U.S.-origin software valued at 10% or less of the total value of the foreign-made commodity;
(1) U.S.-origin software is not eligible for the de minimis exclusion and is subject to the EAR when exported or reexported separately from (i.e., not bundled or incorporated with) the foreign-made item.
(2) For the purposes of this section, ‘bundled’ means software that is reexported together with the item and is configured for the item, but is not necessarily physically integrated into the item.
(3) The de minimis exclusion under paragraph (c)(1) only applies to software that is listed on the Commerce Control List (CCL) and has a reason for control of anti-terrorism (AT) only or software that is designated as EAR99 (subject to the EAR, but not listed on the CCL). For all other software, an independent assessment of whether the software by itself is subject to the EAR must be performed.
(2) Reexports of foreign-made software incorporating controlled U.S.-origin software valued at 10% or less of the total value of the foreign-made software; or
(3) Reexports of foreign technology commingled with or drawn from controlled U.S.-origin technology valued at 10% or less of the total value of the foreign technology. Before you may rely upon the de minimis exclusion for foreign-made technology commingled with controlled U.S.-origin technology, you must file a one-time report. See supplement no. 2 to part 734 for submission requirements.
(d) 25% De Minimis Rule. Except as provided in paragraph (a) of this section and subject to the provisions of paragraph (b) of this section, the following reexports are not subject to the EAR when made to countries other than those listed in Country Group E:1 or E:2 of supplement no. 1 to part 740 of the EAR. See supplement no. 2 to this part for guidance on calculating values.
(1) Reexports of a foreign-made commodity incorporating controlled U.S.-origin commodities or “bundled” with U.S.-origin software valued at 25% or less of the total value of the foreign-made commodity;
(1) U.S.-origin software is not eligible for the de minimis exclusion and is subject to the EAR when exported or reexported separately from (i.e., not bundled or incorporated with) the foreign-made item.
(2) For the purposes of this section, “bundled” means software that is reexported together with the item and is configured for the item, but is not necessarily physically integrated into the item.
(3) The de minimis exclusion under paragraph (d)(1) only applies to software that is listed on the Commerce Control List (CCL) and has a reason for control of anti-terrorism (AT) only or software that is classified as EAR99 (subject to the EAR, but not listed on the CCL). For all other software, an independent assessment of whether the software by itself is subject to the EAR must be performed.
(2) Reexports of foreign-made software incorporating controlled U.S.-origin software valued at 25% or less of the total value of the foreign-made software; or
(3) Reexports of foreign technology commingled with or drawn from controlled U.S.-origin technology valued at 25% or less of the total value of the foreign technology. Before you may rely upon the de minimis exclusion for foreign-made technology commingled with controlled U.S.-origin technology, you must file a one-time report. See supplement no. 2 to part 734 for submission requirements.
(e) You are responsible for making the necessary calculations to determine whether the de minimis provisions apply to your situation. See supplement no. 2 to part 734 for guidance regarding calculation of U.S. controlled content.
(f) See § 770.3 of the EAR for principles that apply to commingled U.S.-origin technology and software.
(g) Recordkeeping requirement. The method by which you determined the percentage of U.S. content in foreign software or technology must be documented and retained in your records in accordance with the recordkeeping requirements in part 762 of the EAR. Your records should indicate whether the values you used in your calculations are actual arms-length market prices or prices derived from comparable transactions or costs of production, overhead, and profit.
§ 734.5 Activities of U.S. and foreign persons subject to the EAR.
The following kinds of activities are subject to the EAR:
(a) Specific activities of “U.S. persons,” wherever located, related to the proliferation of nuclear explosive devices, “missiles,” chemical or biological weapons, whole plants for chemical weapons precursors, and certain military-intelligence end uses and end users as described in § 744.6 of the EAR.
(b) Activities of U.S. or foreign persons prohibited by any order issued under the EAR, including a Denial Order issued pursuant to part 766 of the EAR.
§ 734.6 Assistance available from BIS for determining licensing and other requirements.
(a) If you are not sure whether a commodity, software, technology, or activity “subject to the EAR” is subject to licensing or other requirements under the EAR, you may ask BIS for an advisory opinion or a commodity classification determination. In order to determine whether an item is “subject to the ITAR,” you should review the ITAR’s United States Munitions List (see 22 CFR 120.3, 120.6 and 121.1). You may also submit a request to the Department of State, Directorate of Defense Trade Controls, for a formal jurisdictional determination regarding the commodity, software, technology, or activity at issue; or in ITAR terms, the defense article, technical data or defense service at issue (see 22 CFR 120.4).
(b) As the agency responsible for administering the EAR, BIS is the only agency that has the responsibility for determining whether an item or activity is subject to the EAR and, if so, what licensing or other requirements apply under the EAR. Such a determination only affects EAR requirements, and does not affect the applicability of any other regulatory programs.
(c) If you need help in determining BIS licensing or other requirements you may ask BIS for help by following the procedures described in § 748.3 of the EAR.
§ 734.7 Published.
(a) Except as set forth in paragraphs (b) and (c) of this section, unclassified “technology” or “software” is “published,” and is thus not “technology” or “software” subject to the EAR, when it has been made available to the public without restrictions upon its further dissemination such as through any of the following:
(1) Subscriptions available without restriction to any individual who desires to obtain or purchase the published information;
(2) Libraries or other public collections that are open and available to the public, and from which the public can obtain tangible or intangible documents;
(3) Unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the interested public;
(4) Public dissemination (i.e., unlimited distribution) in any form (e.g., not necessarily in published form), including posting on the Internet on sites available to the public; or
(5) Submission of a written composition, manuscript, presentation, computer-readable dataset, formula, imagery, algorithms, or some other representation of knowledge with the intention that such information will be made publicly available if accepted for publication or presentation:
(i) To domestic or foreign co-authors, editors, or reviewers of journals, magazines, newspapers or trade publications;
(ii) To researchers conducting fundamental research; or
(iii) To organizers of open conferences or other open gatherings.
(b) Published encryption software classified under ECCN 5D002 remains subject to the EAR unless it is publicly available encryption object code software classified under ECCN 5D002 and the corresponding source code meets the criteria specified in § 742.15(b) of the EAR.
(c) The following remains subject to the EAR: “software” or “technology” for the production of a firearm, or firearm frame or receiver, controlled under ECCN 0A501, that is made available by posting on the internet in an electronic format, such as AMF or G-code, and is ready for insertion into a computer numerically controlled machine tool, additive manufacturing equipment, or any other equipment that makes use of the “software” or “technology” to produce the firearm frame or receiver or complete firearm.
§ 734.8 “Technology” or “software” that arises during, or results from, fundamental research.
(a) Fundamental research. “Technology” or “software” that arises during, or results from, fundamental research and is intended to be published is not subject to the EAR.
This paragraph does not apply to “technology” or “software” subject to the EAR that is released to conduct fundamental research. (See § 734.7(a)(5)(ii) for information released to researchers that is “published.”)
There are instances in the conduct of research where a researcher, institution or company may decide to restrict or protect the release or publication of “technology” or “software” contained in research results. Once a decision is made to maintain such “technology” or “software” as restricted or proprietary, the “technology” or “software,” if within the scope of § 734.3(a), becomes subject to the EAR.
(b) Prepublication review. “Technology” or “software” that arises during, or results, from fundamental research is intended to be published to the extent that the researchers are free to publish the “technology” or “software” contained in the research without restriction. “Technology” or “software” that arises during or results from fundamental research subject to prepublication review is still intended to be published when:
(1) Prepublication review is conducted solely to ensure that publication would not compromise patent rights, so long as the review causes no more than a temporary delay in publication of the research results;
(2) Prepublication review is conducted by a sponsor of research solely to insure that the publication would not inadvertently divulge proprietary information that the sponsor has furnished to the researchers; or
(3) With respect to research conducted by scientists or engineers working for a Federal agency or a Federally Funded Research and Development Center (FFRDC), the review is conducted within any appropriate system devised by the agency or the FFRDC to control the release of information by such scientists and engineers.
Although “technology” or “software” arising during or resulting from fundamental research is not considered intended to be published if researchers accept restrictions on its publication, such “technology” or “software” will nonetheless qualify as “technology” or “software” arising during or resulting from fundamental research once all such restrictions have expired or have been removed.
Research that is voluntarily subjected to U.S. government prepublication review is considered “intended to be published” when the research is released consistent with the prepublication review and any resulting controls.
“Technology” or “software” resulting from U.S. government funded research that is subject to government-imposed access and dissemination or other specific national security controls qualifies as “technology” or “software” resulting from fundamental research, provided that all government-imposed national security controls have been satisfied and the researchers are free to publish the “technology” or “software” contained in the research without restriction. Examples of specific national security controls include requirements for prepublication review by the Government, with right to withhold permission for publication; restrictions on prepublication dissemination of information to non-U.S. citizens or other categories of persons; or restrictions on participation of non-U.S. citizens or other categories of persons in the research. A general reference to one or more export control laws or regulations or a general reminder that the Government retains the right to classify is not a specific national security control.
(c) Fundamental research definition. Fundamental research means research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.
§ 734.9 Foreign-Direct Product (FDP) Rules.
Foreign-produced items located outside the United States are subject to the EAR when they are a “direct product” of specified “technology” or “software,” or are produced by a plant or ‘major component’ of a plant that itself is a “direct product” of specified “technology” or “software.” If a foreign-produced item is subject to the EAR, then you should separately determine the license requirements that apply to that foreign-produced item (e.g., by assessing the item classification, destination, end-use, and end-user in the relevant transaction). Not all transactions involving foreign-produced items that are subject to the EAR require a license. Those transactions that do require a license may be eligible for a license exception.
(a) Definitions. The terms defined in this paragraph are specific to § 734.9 of the EAR. These terms are indicated by single quotation marks. Terms that are in double quotation marks are defined in part 772 of the EAR.
Major Component: A major component of a plant located outside the United States means “equipment” that is essential to the “production” of an item, including testing “equipment.”
(b) National Security FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (b)(1) of this section and the country scope in paragraph (b)(2) of this section.
(1) Product scope of National Security FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (b)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph if it meets both of the following conditions:
(A) The foreign-produced item is the “direct product” of U.S.-origin “technology” or “software” that requires a written assurance as a supporting document for a license, as defined in paragraph (o)(3)(i) of supplement no. 2 to part 748 of the EAR, or as a precondition for the use of License Exception TSR at § 740.6 of the EAR; and
(B) The foreign-produced item is subject to national security controls as designated in the applicable ECCN of the Commerce Control List in part 774 of the EAR.
(ii) “Direct product” of a complete plant or ‘major component’ of a plant. A foreign-produced item meets the product scope of this paragraph if it meets both of the following conditions:
(A) The foreign-produced item is a “direct product” of a complete plant or ‘major component’ of a plant that itself is the “direct product” of U.S.-origin “technology” that requires a written assurance as a supporting document for a license or as a precondition for the use of License Exception TSR in § 740.6 of the EAR; and
(B) The foreign-produced item is subject to national security controls as designated on the applicable ECCN of the Commerce Control List at part 774 of the EAR.
(2) Country scope of National Security FDP rule. A foreign-produced item meets the country scope of this paragraph if its destination is listed in Country Group D:1, E:1, or E:2 (See supplement no.1 to part 740 of the EAR).
(c) 9×515 FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (c)(1) of this section and the country scope in paragraph (c)(2) of this section.
(1) Product scope of 9×515 FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (c)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph if it meets both of the following conditions:
(A) The foreign-produced item is the “direct product” of U.S.-origin “technology” or “software” that is specified in ECCN 9D515 or 9E515; and
(B) The foreign-produced item is specified in a 9×515 ECCN.
(ii) “Direct product” of a complete plant or ‘major component’ of a plant. A foreign-produced item meets the product scope of this paragraph if it meets both of the following conditions:
(A) The foreign-produced item is a “direct product” of a complete plant or any ‘major component’ of a plant that itself is the “direct product” of U.S.-origin “technology” specified in ECCN 9E515; and
(B) The foreign-produced item is specified in a 9×515 ECCN.
(2) Country scope of 9×515 FDP rule. A foreign produced item meets the country scope of this paragraph if its destination is listed in Country Group D:5, E:1, or E:2 (see supplement no. 1 to part 740 of the EAR).
(d) “600 series” FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (d)(1) of this section and the country scope in paragraph (d)(2) of this section.
As described in the CCL, ECCN 0A919 is included in this paragraph because it includes the “direct product” of “600 series” “technology” or “software”.
(1) Product scope of “600 series” FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (d)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph if it meets both of the following conditions:
(A) The foreign-produced item is the “direct product” of U.S.-origin “technology” or “software” that is specified in a “600 series” ECCN; and
(B) The foreign-produced item is specified in a “600 series” ECCN or ECCN 0A919.
(ii) “Direct product” of a complete plant or ‘major component’ of a plant. Foreign-produced items meet the product scope of this paragraph if they meet both of the following conditions:
(A) The foreign-produced item is the “direct product” of a complete plant or ‘major component’ of a plant that itself is the “direct product” of U.S.-origin “technology” that is specified in a “600 series” ECCN; and
(B) The foreign produced item is specified in a “600 series” ECCN.
(2) Country scope of “600 series” FDP rule. A foreign-produced item meets the country scope of this paragraph if it is destined to a country listed in Country Group D:1, D:3, D:4, D:5, E:1, or E:2 (see supplement no.1 to part 740 of the EAR).
(e) Entity List FDP rule. A foreign-produced item is subject to the EAR if it meets the product scope and end-user scope in either Entity List FDP rule footnote 1 provision in paragraph (e)(1) of this section or the Entity List FDP rule Footnote 4 provision in paragraph (e)(2) of this section.
(1) Entity List FDP rule: Footnote 1. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (e)(1)(i) of this section and the end-user scope in paragraph (e)(1)(ii) of this section. See § 744.11(a)(2)(i) of the EAR for license requirements, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (e)(1).
(i) Product Scope Entity List FDP rule: Footnote 1. The product scope applies if a foreign-produced item meets the conditions of either paragraph (e)(1)(i)(A) or (B) of this section.
(A) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph (e)(1)(i)(A) if the foreign-produced item is a “direct product” of “technology” or “software” subject to the EAR and specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, or 5E991 of the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR; or
(B) Product of a complete plant or ‘major component’ of a plant that is a “direct product.” A foreign-produced item meets the product scope of this paragraph (e)(1)(i)(B) if the foreign-produced item is produced by any plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the U.S. or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” that is specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, or 5E991 of the CCL.
A foreign-produced item includes any foreign-produced wafer whether finished or unfinished.
(ii) End-user scope of the Entity List FDP rule: Footnote 1. A foreign-produced item meets the end-user scope of this paragraph (e)(1)(ii) if there is “knowledge” that:
(A) Activities involving Footnote 1 designated entities. The foreign-produced item will be incorporated into, or will be used in the “production” or “development” of any “part,” “component,” or “equipment” produced, purchased, or ordered by any entity with a footnote 1 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR; or
(B) Footnote 1 designated entities as transaction parties. Any entity with a footnote 1 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR is a party to any transaction involving the foreign-produced item, e.g., as a “purchaser,” “intermediate consignee,” “ultimate consignee,” or “end-user.”
(2) Entity List FDP rule: Footnote 4. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (e)(2)(i) of this section and the end-user scope in paragraph (e)(2)(ii) of this section. See § 744.11(a)(2)(ii) of the EAR for license requirements, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (e)(2).
(i) Product Scope Entity List FDP rule: Footnote 4. The product scope applies if a foreign-produced item meets the conditions of either paragraph (e)(2)(i)(A) or (B) of this section.
(A) “Direct product” of “technology” or “software.” The foreign-produced item is a “direct product” of “technology” or “software” subject to the EAR and specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D002, 5D991, 5E001, 5E002, or 5E991 of the CCL; or
(B) Product of plant or ‘major component’ that is a “direct product.” The foreign-produced item is produced by any plant or ‘major component’ of a plant when the plant or ‘major component’ of a plant, whether made in the U.S. or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” that is specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, 5E991, 5D002, or 5E002 of the CCL.
(ii) End user scope of the Entity List FDP rule: Footnote 4. A foreign-produced item meets the end-user scope of this paragraph (e)(2)(ii) if there is “knowledge” that:
(A) Activities involving Footnote 4 designated entities. The foreign-produced item will be incorporated into, or will be used in the “production” or “development” of any “part,” “component,” or “equipment” produced, purchased, or ordered by any entity with a footnote 4 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR; or
(B) Footnote 4 designated entities as transaction parties. Any entity with a footnote 4 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR is a party to any transaction involving the foreign-produced item, e.g., as a “purchaser,” “intermediate consignee,” “ultimate consignee,” or “end-user.”
(f) Russia/Belarus FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (f)(1) of this section and the destination scope in paragraph (f)(2) of this section. See § 746.8 of the EAR for license requirements, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (f).
(1) Product scope of Russia/Belarus FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (f)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph (f)(1)(i) if the foreign-produced item meets both of the following conditions:
(A) The foreign-produced item is the “direct product” of U.S.-origin “technology” or “software” subject to the EAR that is specified in any ECCN in product groups D or E of the CCL; and
(B) The foreign-produced item is specified in any ECCN on the CCL or in supplement no. 6 or 7 to part 746 of the EAR; or
(ii) “Direct product” of a complete plant or ‘major component’ of a plant. A foreign-produced item meets the product scope of this paragraph (f)(1)(ii) if it meets both of the following conditions:
(A) The foreign-produced item is produced by any plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the United States or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” subject to the EAR that is specified in any ECCN in product groups D or E of the CCL; and
(B) The foreign-produced item is specified in any ECCN on the CCL or in supplement no. 6 or 7 to part 746 of the EAR.
(2) Destination scope of the Russia/Belarus FDP rule. A foreign-produced item meets the destination scope of this paragraph (f)(2) if there is “knowledge” that the foreign-produced item is destined to Russia or Belarus or will be incorporated into or used in the “production” or “development” of any “part,” “component,” or “equipment” specified in any ECCN on the CCL or in supplement no. 6 or 7 to part 746 of the EAR and produced in or destined to Russia or Belarus.
(g) Russia/Belarus-Military End User FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (g)(1) of this section and the end-user scope in paragraph (g)(2) of this section. See § 746.8 of the EAR for license requirements, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (g).
(1) Product Scope of Russia/Belarus-Military End User FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (g)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph (g)(1)(i) if the foreign-produced item is a “direct product” of “technology” or “software” subject to the EAR and specified in any ECCN in product groups D or E in any categories of the CCL; or
(ii) “Direct product” of a complete plant or ‘major component’ of a plant. A foreign-produced item meets the product scope of this paragraph (g)(1)(ii) if the foreign-produced item is produced by any plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the United States or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” subject to the EAR that is specified in any ECCN in product groups D or E in any categories of the CCL.
(2) End-user scope of the Russia/Belarus-‘Military End User’ FDP rule. A foreign-produced item meets the end-user scope of this paragraph (g)(2) if there is “knowledge” that:
(i) Activities involving footnote 3 designated entities. The foreign-produced item will be incorporated into, or used in the “production” or “development” of any “part,” “component,” or “equipment” produced, purchased, or ordered by any entity with a footnote 3 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR; or
(ii) Footnote 3 designated entities as transaction parties. Any entity with a footnote 3 designation in the license requirement column of the Entity List in supplement no. 4 to part 744 of the EAR is a party to any transaction involving the foreign-produced item, e.g., as a “purchaser,” “intermediate consignee,” “ultimate consignee,” or “end-user.”
A ‘military end user’ for purposes of paragraph (g) is any entity listed on the Entity List in supplement no. 4 to part 744 of the EAR with a footnote 3 designation.
(h) Advanced computing FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (h)(1) of this section and the destination scope in paragraph (h)(2) of this section. See § 742.6(a)(6) of the EAR for license requirements and license exceptions and § 742.6(b)(10) for license review policy applicable to foreign-produced items that are subject to the EAR under this paragraph (h).
(1) Product scope of advanced computing FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (h)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph (h) if it meets both the following conditions:
(A) The foreign-produced item is the “direct product” of “technology” or “software” subject to the EAR and specified in 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D090, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D002, 5D991, 5E001, 5E991, or 5E002 of the CCL; and
(B) The foreign-produced item is:
(1) Specified in ECCN 3A090, 3E001 (for 3A090), 4A090, or 4E001 (for 4A090) of the CCL; or
(2) An integrated circuit, computer, “electronic assembly,” or “component” specified elsewhere on the CCL and meets the performance parameters of ECCN 3A090 or 4A090.
(ii) Product of a complete plant or ‘major component’ of a plant that is a “direct product.” A foreign-produced item meets the product scope of this paragraph (h) if it meets both of the following conditions:
(A) The foreign-produced item is produced by any complete plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the United States or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” that is specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D090, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, 5E991, 5D002, or 5E002 of the CCL; and
(B) The foreign-produced item is:
(1) Specified in ECCN 3A090, 3E001 (for 3A090), 4A090, or 4E001 (for 4A090) of the CCL; or
(2) An integrated circuit, computer, “electronic assembly,” or “component” specified elsewhere on the CCL and meets the performance parameters of ECCN 3A090 or 4A090.
(2) Destination or end use scope of the advanced computing FDP rule. A foreign-produced item meets the destination scope of this paragraph (h)(2) if there is “knowledge” that the foreign-produced item is:
(i) Destined to the PRC or Macau or will be incorporated into any “part,” “component,” “computer,” or “equipment” not designated EAR99 that is destined to the PRC or Macau; or
(ii) Technology developed by an entity headquartered in the PRC or Macau for the “production” of a mask or an integrated circuit wafer or die.
(3) Certification. Exporters, reexporters, and transferors may obtain a written certification from a supplier that asserts an item being provided would be subject to the EAR if future transaction meet the destination scope in paragraph (h)(2)(i) or (ii) of this section. The model certificate provided by BIS in supplement no. 1 to this part is not required under the EAR, but through its provision, the certificate may assist exporters, reexporters, and transferors with the process of resolving potential red flags regarding whether an item is subject to the EAR based on this paragraph (h). The model certificate provided by BIS contemplates signature by an official or designated employee of the certifying company and inclusion of all the information described in paragraph (b) of supplement no. 1 to this part. If the exporter, reexporter, or transferors has not obtained such a certification, due diligence needs to be conducted to determine if the items meets the scope in this paragraph (h). While this certificate is expected to be useful for a company to understand the application of the EAR to an item, BIS does not view this as the only step to be completed during a company’s due diligence process. See supplement no. 1 to this part and supplement no. 3 to part 732 of the EAR.
(i) “Supercomputer” FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (i)(1) of this section and the country and end-use scope in paragraph (i)(2) of this section. See § 744.23 of the EAR for license requirement, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (i).
(1) Product scope. The product scope applies if a foreign-produced item meets the conditions of either paragraph (i)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” The foreign-produced item meets the product scope of this paragraph (i)(1)(i) if the foreign-produced item is a “direct product” of “technology” or “software” subject to the EAR and specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D993, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, 5E991, 5D002, or 5E002 of the CCL; or
(ii) Product of a complete plant or ‘major component’ of a plant that is a “direct product.” A foreign-produced item meets the product scope of this paragraph (i)(1)(ii) if the foreign-produced item is produced by any plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the United States or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” that is specified in ECCN 3D001, 3D991, 3E001, 3E002, 3E003, 3E991, 4D001, 4D994, 4E001, 4E992, 4E993, 5D001, 5D991, 5E001, 5E991, 5D002, or 5E002 of the CCL.
(2) Country and end-use scope. A foreign-produced item meets the country and end-use scope of this paragraph (i)(2) if there is “knowledge” that the foreign produced item will be:
(i) Used in the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of, a “supercomputer” located in or destined to the PRC or Macau; or
(ii) Incorporated into, or used in the “development,” or “production,” of any “part,” “component,” or “equipment” that will be used in a “supercomputer” located in or destined to the PRC or Macau.
(j) Iran FDP rule. A foreign-produced item is subject to the EAR if it meets both the product scope in paragraph (j)(1) of this section and the destination scope in paragraph (j)(2) of this section. See § 746.7 of the EAR for license requirements, license review policy, and license exceptions applicable to foreign-produced items that are subject to the EAR pursuant to this paragraph (j).
(1) Product scope of Iran FDP rule. The product scope applies if a foreign-produced item meets the conditions of either paragraph (j)(1)(i) or (ii) of this section.
(i) “Direct product” of “technology” or “software.” A foreign-produced item meets the product scope of this paragraph (j)(1)(i) if the foreign-produced item meets both of the following conditions:
(A) The foreign-produced item is the “direct product” of U.S.-origin “technology” or “software” subject to the EAR that is specified in any ECCN in product groups D or E in Categories 3 through 5 or 7 of the CCL; and
(B) The foreign-produced item is identified in supplement no. 7 to part 746 of the EAR or is specified in any ECCN on the CCL in Categories 3 through 5 or 7 of the CCL; or
(ii) Product of a complete plant or ‘major component’ of a plant that is a “direct product.” A foreign-produced item meets the product scope of this paragraph (j)(1)(ii) if it meets both of the following conditions:
(A) The foreign-produced item is produced by any plant or ‘major component’ of a plant that is located outside the United States, when the plant or ‘major component’ of a plant, whether made in the United States or a foreign country, itself is a “direct product” of U.S.-origin “technology” or “software” subject to the EAR that is specified in any ECCN in product groups D or E in Categories 3 through 5 or 7 of the CCL; and
(B) The foreign-produced item is identified in supplement no. 7 to part 746 of the EAR or is specified in any ECCN on the CCL in Categories 3 through 5 or 7 of the CCL.
(2) Destination scope of the Iran FDP rule. A foreign-produced item meets the destination scope of this paragraph (j)(2) if there is “knowledge” that the foreign-produced item is destined to Iran or will be incorporated into or used in the “production” or “development” of any “part,” “component,” or “equipment,” including any modified or designed “components,” “parts,” “accessories,” and “attachments” therefor, identified in supplement no. 7 to part 746 of the EAR or is specified in any ECCN on the CCL in Categories 3 through 5 or 7 of the CCL that is located in or destined to Iran.
§ 734.10 Patents.
“Technology” is not subject to the EAR if it is contained in any of the following:
(a) A patent or an open (published) patent application available from or at any patent office;
(b) A published patent or patent application prepared wholly from foreign-origin “technology” where the application is being sent to the foreign inventor to be executed and returned to the United States for subsequent filing in the U.S. Patent and Trademark Office;
(c) A patent application, or an amendment, modification, supplement or division of an application, and authorized for filing in a foreign country in accordance with the regulations of the Patent and Trademark Office, 37 CFR part 5; or
(d) A patent application when sent to a foreign country before or within six months after the filing of a United States patent application for the purpose of obtaining the signature of an inventor who was in the United States when the invention was made or who is a co-inventor with a person residing in the United States.
§ 734.11 BIS activities conducted outside the United States.
The Export Control Reform Act of 2018 (ECRA) (50 U.S.C. 4801-4852) authorizes the Secretary of Commerce, in carrying out its provisions, to undertake activities outside the United States, including, but not limited to, conducting investigations; requiring and obtaining information from persons; and conducting pre-license checks and post-shipment verifications. BIS officials will act with due care in the jurisdiction of a foreign nation and, to the extent possible, consistent with the applicable host nation government’s laws. For any action taken outside the United States, BIS officials will consult and coordinate with the appropriate U.S. Government agencies and act in a manner consistent with the United States’ international commitments and international agreements to which the United States is a party.
§ 734.12 Effect on foreign laws and regulations.
Any person who complies with any of the license or other requirements of the EAR is not relieved of the responsibility of complying with applicable foreign laws and regulations. Conversely, any person who complies with the license or other requirements of a foreign law or regulation is not relieved of the responsibility of complying with U.S. laws and regulations, including the EAR.
§ 734.13 Export.
(a) Except as set forth in § 734.17 or § 734.18, Export means:
(1) An actual shipment or transmission out of the United States, including the sending or taking of an item out of the United States, in any manner;
(2) Releasing or otherwise transferring “technology” or source code (but not object code) to a foreign person in the United States (a “deemed export”);
(3) Transferring by a person in the United States of registration, control, or ownership of:
(i) A spacecraft subject to the EAR that is not eligible for export under License Exception STA (i.e., spacecraft that provide space-based logistics, assembly or servicing of any spacecraft) to a person in or a national of any other country; or
(ii) Any other spacecraft subject to the EAR to a person in or a national of a Country Group D:5 country.
(b) Any release in the United States of “technology” or source code to a foreign person is a deemed export to the foreign person’s most recent country of citizenship or permanent residency.
(c) The export of an item that will transit through a country or countries to a destination identified in the EAR is deemed to be an export to that destination.
§ 734.14 Reexport.
(a) Except as set forth in §§ 734.18 and 734.20, Reexport means:
(1) An actual shipment or transmission of an item subject to the EAR from one foreign country to another foreign country, including the sending or taking of an item to or from such countries in any manner;
(2) Releasing or otherwise transferring “technology” or source code subject to the EAR to a foreign person of a country other than the foreign country where the release or transfer takes place (a deemed reexport);
(3) Transferring by a person outside the United States of registration, control, or ownership of:
(i) A spacecraft subject to the EAR that is not eligible for reexport under License Exception STA (i.e., spacecraft that provide space-based logistics, assembly or servicing of any spacecraft) to a person in or a national of any other country; or
(ii) Any other spacecraft subject to the EAR to a person in or a national of a Country Group D:5 country.
(b) Any release outside of the United States of “technology” or source code subject to the EAR to a foreign person of another country is a deemed reexport to the foreign person’s most recent country of citizenship or permanent residency, except as described in § 734.20.
(c) The reexport of an item subject to the EAR that will transit through a country or countries to a destination identified in the EAR is deemed to be a reexport to that destination.
§ 734.15 Release.
(a) Except as set forth in § 734.18, “technology” and “software” are “released” through:
(1) Visual or other inspection by a foreign person of items that reveals “technology” or source code subject to the EAR to a foreign person; or
(2) Oral or written exchanges with a foreign person of “technology” or source code in the United States or abroad.
(b) Any act causing the “release” of “technology” or “software,” through use of “access information” or otherwise, to yourself or another person requires an authorization to the same extent an authorization would be required to export or reexport such “technology” or “software” to that person.
§ 734.16 Transfer (in-country).
Except as set forth in § 734.18(a)(3), a Transfer (in-country) is a change in end use or end user of an item within the same foreign country. Transfer (in-country) is synonymous with In-country transfer.
§ 734.17 Export of encryption source code and object code software.
(a) For purposes of the EAR, the Export of encryption source code and object code “software” means:
(1) An actual shipment, transfer, or transmission out of the United States (see also paragraph (b) of this section); or
(2) A transfer of such “software” in the United States to an embassy or affiliate of a foreign country.
(b) The export of encryption source code and object code “software” controlled for “EI” reasons under ECCN 5D002 on the Commerce Control List (see supplement no. 1 to part 774 of the EAR) includes:
(1) Downloading, or causing the downloading of, such “software” to locations (including electronic bulletin boards, Internet file transfer protocol, and World Wide Web sites) outside the U.S., or
(2) Making such “software” available for transfer outside the United States, over wire, cable, radio, electromagnetic, photo optical, photoelectric or other comparable communications facilities accessible to persons outside the United States, including transfers from electronic bulletin boards, internet file transfer protocol and World Wide websites, unless the person making the “software” available takes precautions adequate to prevent unauthorized transfer of such code. See § 742.15(b) of the EAR for additional requirements pursuant to which exports or reexports of encryption source code “software” are considered to be publicly available consistent with the provisions of § 734.3(b)(3). Publicly available encryption source code “software” and corresponding object code are not subject to the EAR, when the encryption source code “software” meets the additional requirements in § 742.15(b) of the EAR.
(c) Subject to the General Prohibitions described in part 736 of the EAR, such precautions for Internet transfers of products eligible for export under § 740.17(b)(2) of the EAR (encryption “software” products, certain encryption source code and general purpose encryption toolkits) shall include such measures as:
(1) The access control system, either through automated means or human intervention, checks the address of every system outside of the U.S. or Canada requesting or receiving a transfer and verifies such systems do not have a domain name or Internet address of a foreign government end-user (e.g., “.gov,” “.gouv,” “.mil” or similar addresses);
(2) The access control system provides every requesting or receiving party with notice that the transfer includes or would include cryptographic “software” subject to export controls under the Export Administration Regulations, and anyone receiving such a transfer cannot export the “software” without a license or other authorization; and
(3) Every party requesting or receiving a transfer of such “software” must acknowledge affirmatively that the “software” is not intended for use by a government end user, as defined in part 772 of the EAR, and he or she understands the cryptographic “software” is subject to export controls under the Export Administration Regulations and anyone receiving the transfer cannot export the “software” without a license or other authorization. BIS will consider acknowledgments in electronic form provided they are adequate to assure legal undertakings similar to written acknowledgments.
§ 734.18 Activities that are not exports, reexports, or transfers.
(a) Activities that are not exports, reexports, or transfers. The following activities are not exports, reexports, or transfers:
(1) Launching a spacecraft, launch vehicle, payload, or other item into space.
(2) Transmitting or otherwise transferring “technology” or “software” to a person in the United States who is not a foreign person from another person in the United States.
(3) Transmitting or otherwise making a transfer (in-country) within the same foreign country of “technology” or “software” between or among only persons who are not “foreign persons,” so long as the transmission or transfer does not result in a release to a foreign person or to a person prohibited from receiving the “technology” or “software.”
(4) Shipping, moving, or transferring items between or among the United States, the District of Columbia, the Commonwealth of Puerto Rico, or the Commonwealth of the Northern Mariana Islands or any territory, dependency, or possession of the United States as listed in Schedule C, Classification Codes and Descriptions for U.S. Export Statistics, issued by the Bureau of the Census.
(5) Sending, taking, or storing “technology” or “software” that is:
(i) Unclassified;
(ii) Secured using ‘end-to-end encryption;’
(iii) Secured using cryptographic modules (hardware or “software”) compliant with Federal Information Processing Standards Publication 140-2 (FIPS 140-2) or its successors, supplemented by “software” implementation, cryptographic key management and other procedures and controls that are in accordance with guidance provided in current U.S. National Institute for Standards and Technology publications, or other equally or more effective cryptographic means; and
(iv) Not intentionally stored in a country listed in Country Group D:5 (see supplement no. 1 to part 740 of the EAR) or in the Russian Federation.
Data in-transit via the Internet is not deemed to be stored.
(b) Definitions. For purposes of this section, End-to-end encryption means (i) the provision of cryptographic protection of data such that the data is not in unencrypted form between an originator (or the originator’s in-country security boundary) and an intended recipient (or the recipient’s in-country security boundary), and (ii) the means of decryption are not provided to any third party. The originator and the recipient may be the same person.
(c) Ability to access “technology” or “software” in encrypted form. The ability to access “technology” or “software” in encrypted form that satisfies the criteria set forth in paragraph (a)(5) of this section does not constitute the release or export of such “technology” or “software.”
§ 734.19 Transfer of access information.
To the extent an authorization would be required to transfer “technology” or “software,” a comparable authorization is required to transfer access information if done with “knowledge” that such transfer would result in the release of such “technology” or “software” without a required authorization.
§ 734.20 Activities that are not deemed reexports.
The following activities are not deemed reexports (see “deemed reexport” definition in § 734.14(b)):
(a) Authorized Release of “technology” or source code. Release of “technology” or source code by an entity outside the United States to a foreign person of a country other than the foreign country where the release takes place if:
(1) The entity is authorized to receive the “technology” or source code at issue, whether by a license, license exception, or situation where no license is required under the EAR for such “technology” or source code; and
(2) The entity has “knowledge” that the foreign national’s most recent country of citizenship or permanent residency is that of a country to which export from the United States of the “technology” or source code at issue would be authorized by the EAR either under a license exception or in situations where no license under the EAR would be required.
(b) Release to Country Group A:5 nationals. Without limiting the scope of paragraph (a), release of “technology” or source code by an entity outside the United States to a foreign person of a country other than the foreign country where the release takes place if:
(1) The entity is authorized to receive the “technology” or source code at issue, whether by a license, license exception, or through situations where no license is required under the EAR;
(2) The foreign person is a bona fide ‘permanent and regular employee’ of the entity and is not a proscribed person (see § 772.1 for definition of proscribed person);
(3) Such employee is a national exclusively of a country in Country Group A:5; and
(4) The release of “technology” or source code takes place entirely within the physical territory of any such country, or within the United States.
(c) Release to other than Country Group A:5 nationals. Without limiting the scope of paragraph (a), release of “technology” or source code by an entity outside the United States to a foreign person of a country other than the foreign country where the release takes place if:
(1) The entity is authorized to receive the “technology” or source code at issue, whether by a license, license exception, or situations where no license is required under the EAR;
(2) The foreign person is a bona fide ‘permanent and regular employee’ of the entity and is not a proscribed person (see § 772.1 for definition of proscribed person);
(3) The release takes place entirely within the physical territory of the country where the entity is located, conducts official business, or operates, or within the United States;
(4) The entity has effective procedures to prevent diversion to destinations, entities, end users, and end uses contrary to the EAR; and
(5) Any one of the following six (i.e., paragraphs (c)(5)(i), (ii), (iii), (iv), (v), or (vi) of this section) situations is applicable:
(i) The foreign person has a security clearance approved by the host nation government of the entity outside the United States;
(ii) The entity outside the United States:
(A) Has in place a process to screen the foreign person employee and to have the employee execute a non-disclosure agreement that provides assurances that the employee will not disclose, transfer, or reexport controlled “technology” contrary to the EAR;
(B) Screens the employee for substantive contacts with countries listed in Country Group D:5 (see supplement no. 1 to part 740 of the EAR). Although nationality does not, in and of itself, prohibit access to “technology” or source code subject to the EAR, an employee who has substantive contacts with foreign persons from countries listed in Country Group D:5 shall be presumed to raise a risk of diversion, unless BIS determines otherwise;
(C) Maintains a technology security or clearance plan that includes procedures for screening employees for such substantive contacts;
(D) Maintains records of such screenings for the longer of five years or the duration of the individual’s employment with the entity; and
(E) Will make such plans and records available to BIS or its agents for civil and criminal law enforcement purposes upon request;
(iii) The entity is a U.K. entity implementing § 126.18 of the ITAR (22 CFR 126.18) pursuant to the U.S.-U.K. Exchange of Notes regarding § 126.18 of the ITAR for which the U.K. has provided appropriate implementation guidance;
(iv) The entity is a Canadian entity implementing § 126.18 of the ITAR pursuant to the U.S.-Canadian Exchange of Letters regarding § 126.18 of the ITAR for which Canada has provided appropriate implementation guidance;
(v) The entity is an Australian entity implementing the exemption at paragraph 3.7b of the ITAR Agreements Guidelines; or
(vi) The entity is a Dutch entity implementing the exemption at paragraph 3.7c of the ITAR Agreements Guidelines.
(d) Definitions. (1) Substantive contacts include regular travel to countries in Country Group D:5; recent or continuing contact with agents, brokers, and nationals of such countries; continued demonstrated allegiance to such countries; maintenance of business relationships with persons from such countries; maintenance of a residence in such countries; receiving salary or other continuing monetary compensation from such countries; or acts otherwise indicating a risk of diversion.
(2) Permanent and regular employee is an individual who:
(i) Is permanently (i.e., for not less than a year) employed by an entity, or
(ii) Is a contract employee who:
(A) Is in a long-term contractual relationship with the company where the individual works at the entity’s facilities or at locations assigned by the entity (such as a remote site or on travel);
(B) Works under the entity’s direction and control such that the company must determine the individual’s work schedule and duties;
(C) Works full time and exclusively for the entity; and
(D) Executes a nondisclosure certification for the company that he or she will not disclose confidential information received as part of his or her work for the entity.
If the contract employee has been seconded to the entity by a staffing agency, then the staffing agency must not have any role in the work the individual performs other than to provide the individual for that work. The staffing agency also must not have access to any controlled “technology” or source code other than that authorized by the applicable regulations or a license.
Supplement No. 1 to Part 734 – Model Certification for Purposes of Advanced Computing FDP Rule
(a) General. This supplement is included in the EAR to assist exporters, reexporters, and transferors in determining whether the items being exported, reexported, or transferred (in-country) are subject to the EAR based on the advanced computing FDP rule under § 734.9(h). The model certificate provided by BIS in this supplement is not required under the EAR, but through its provision, the certificate may assist exporters, reexporters, and transferors with the process of resolving potential red flags regarding whether an item is subject to the EAR based on § 734.9(h). The model certificate provided in this supplement by BIS contemplates signature by an official or designated employee of the certifying company and inclusion of all the information described in paragraph (b) of this supplement. Any certification relied on for this part must be retained pursuant to part 762 of the EAR.
Obtaining the certification set forth in this supplement does not relieve exporters, reexporters, and transferors of their obligation to exercise due diligence in determining whether items are subject to the EAR, including by following the “Know Your Customer” guidance in supplement no. 3 to part 732 of the EAR.
(b) Model Criteria. A certification meets the criteria described in this supplement if it contains at least the following information:
(1) The certification must be signed by an organization official specifically authorized to certify the document as being accurate and complete. The undersigned certifies that the information herein supplied in response to this paragraph is complete and correct to the best of his/her knowledge. By signing the certification below, I attest that:
(2) My organization is aware that the items, [INSERT A DESCRIPTION OF THE ITEMS], provided to this exporter, reexporter, or transferor, [INSERT NAME OF EXPORTER, REEXPORTER, OR TRANSFEROR], could be subject to the U.S. Export Administration Regulations (EAR) (15 CFR 730-774) if future transactions are within the destination scope of § 734.9(h)(2)(i) or (ii) and exported or reexported to or transferred within the People’s Republic of China (China) or Macau;
(3) My organization has reviewed the criteria for the advanced computing Foreign Direct Product (FDP) rule under § 734.9(h) and attests that from my organization’s “knowledge” of the item, it would be subject to the EAR if the destination criteria are met in § 734.9(h)(2)(i) or (ii); and
(4) My organization affirms its commitment to apply with all applicable requirements under the EAR.
(c) Additional Information. Because this is only a model certification, exporters, reexporters, or transferors may add additional elements to the certification and/or use it for multiple purposes as part of their compliance program. For example, if a company has ten affiliated companies in a multi-step supply chain, instead of obtaining a model certification for each export, reexport, or transfer (in-country), the initial exporter, reexporter, or transferor may get all ten parties to sign the certification, which may further reduce the burden on parties participating in the supply chain.
Supplement No. 2 to Part 734 – Guidelines for De Minimis Rules
(a) Calculation of the value of controlled U.S.-origin content in foreign-made items is to be performed for the purposes of § 734.4 of this part, to determine whether the percentage of U.S.-origin content is de minimis. (Note that you do not need to make these calculations if the foreign made item does not require a license to the destination in question.) Use the following guidelines to perform such calculations:
(1) U.S.-origin controlled content. To identify U.S.-origin controlled content for purposes of the de minimis rules, you must determine the Export Control Classification Number (ECCN) of each U.S.-origin item incorporated into a foreign-made product. Then, you must identify which, if any, of those U.S.-origin items would require a license from BIS if they were to be exported or reexported (in the form in which you received them) to the foreign-made product’s country of destination. For purposes of identifying U.S.-origin controlled content, you should consult the Commerce Country Chart in supplement no. 1 to part 738 of the EAR and controls described in part 746 of the EAR (excluding U.S.-origin content that meets the criteria in §§ 746.7(a)(1)(v) and 746.8(a)(5)). Part 744 of the EAR should not be used to identify controlled U.S. content for purposes of determining the applicability of the de minimis rules. In identifying U.S.-origin controlled content, do not take account of commodities, software, or technology that could be exported or reexported to the country of destination without a license (designated as “NLR”) or under License Exception GBS (see part 740 of the EAR). Commodities subject only to short supply controls are not included in calculating U.S. content.
U.S.-origin controlled content is considered ‘incorporated’ for de minimis purposes if the U.S.-origin controlled item is: Essential to the functioning of the foreign equipment; customarily included in sales of the foreign equipment; and reexported with the foreign produced item. U.S.-origin software may be ‘bundled’ with foreign produced commodities; see § 734.4 of this part. For purposes of determining de minimis levels, technology and source code used to design or produce foreign-made commodities or software are not considered to be incorporated into such foreign-made commodities or software.
(2) Value of U.S.-origin controlled content. The value of the U.S.-origin controlled content shall reflect the fair market price of such content in the market where the foreign product is being produced. In most cases, this value will be the same as the actual cost to the foreign manufacturer of the U.S.-origin commodity, technology, or software. When the foreign manufacturer and the U.S. supplier are affiliated and have special arrangements that result in below-market pricing, the value of the U.S.-origin controlled content should reflect fair market prices that would normally be charged to unaffiliated customers in the same foreign market. If fair market value cannot be determined based upon actual arms-length transaction data for the U.S.-origin controlled content in question, then you must determine another reliable valuation method to calculate or derive the fair market value. Such methods may include the use of comparable market prices or costs of production and distribution. The EAR do not require calculations based upon any one accounting system or U.S. accounting standards. However, the method you use must be consistent with your business practice.
(3) Foreign-made product value – (i) General. The value of the foreign-made product shall reflect the fair market price of such product in the market where the foreign product is sold. In most cases, this value will be the same as the actual cost to a buyer of the foreign-made product. When the foreign manufacturer and the buyer of their product are affiliated and have special arrangements that result in below-market pricing, the value of the foreign-made product should reflect fair market prices that would normally be charged to unaffiliated customers in the same foreign market. If fair market value cannot be determined based upon actual arms-length transaction data for the foreign-made product in question, then you must determine another reliable valuation method to calculate or derive the fair market value. Such methods may include the use of comparable market prices or costs of production and distribution. The EAR do not require calculations based upon any one accounting system or U.S. accounting standards. However, the method you use must be consistent with your business practice.
(ii) Foreign-Made Software. In calculating the value of foreign-made software for purposes of the de minimis rules, you may make an estimate of future sales of that foreign software. The total value of foreign-made software will be the sum of: The value of actual sales of that software based on orders received at the time the foreign software incorporates U.S.-origin content and, if applicable; and an estimate of all future sales of that software.
Regardless of the accounting systems, standard, or conventions you use in the operation of your business, you may not depreciate reported fair market values or otherwise reduce fair market values through related accounting conventions. Values may be historic or projected. However, you may rely on projected values only to the extent that they remain consistent with your documentation.
(4) Calculating percentage value of U.S.-origin items. To determine the percentage value of U.S-origin controlled content incorporated in, commingled with, or “bundled” with the foreign produced item, divide the total value of the U.S.-origin controlled content by the foreign-made item value, then multiply the resulting number times 100. If the percentage value of incorporated U.S.-origin items is equal to or less than the de minimis level described in § 734.4 of the EAR, then the foreign-made item is not subject to the EAR.
(b) One-time report. As stated in paragraphs (c) and (d) of § 734.4, a one-time report is required before reliance on the de minimis rules for technology. The purpose of the report is solely to permit the U.S. Government to evaluate whether U.S. content calculations were performed correctly.
(1) Contents of report. You must include in your report a description of the scope and nature of the foreign technology that is the subject of the report and a description of its fair market value, along with the rationale and basis for the valuation of such foreign technology. Your report must indicate the country of destination for the foreign technology reexports when the U.S.-origin controlled content exceeds 10%, so that BIS can evaluate whether the U.S.-origin controlled content was correctly identified based on paragraph (a)(1) of this Supplement. The report does not require information regarding the end-use or end-users of the reexported foreign technology. You must include in your report the name, title, address, telephone number, E-mail address, and facsimile number of the person BIS may contact concerning your report.
(2) Submission of report. You must submit your report to BIS using one of the following methods:
(i) E-mail: [email protected];
(ii) Fax: (202) 482-3355; or
(iii) Mail or Hand Delivery/Courier: U.S. Department of Commerce, Bureau of Industry and Security, Regulatory Policy Division, 14th and Pennsylvania Avenue NW., Room 2099B, Washington, DC 20230.
(3) Report and wait. If you have not been contacted by BIS concerning your report within thirty days after filing the report with BIS, you may rely upon the calculations described in the report unless and until BIS contacts you and instructs you otherwise. BIS may contact you with questions concerning your report or to indicate that BIS does not accept the assumptions or rationale for your calculations. If you receive such a contact or communication from BIS within thirty days after filing the report with BIS, you may not rely upon the calculations described in the report, and may not use the de minimis rules for technology that are described in § 734.4 of this part, until BIS has indicated that such calculations were performed correctly.
PART 736 – GENERAL PROHIBITIONS
§ 736.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. A person may undertake transactions subject to the EAR without a license or other authorization, unless the regulations affirmatively state such a requirement. As such, if an export, reexport, or activity is subject to the EAR, the general prohibitions contained in this part and the License Exceptions specified in part 740 of the EAR must be reviewed to determine if a license is necessary. In the case of all exports from the United States, you must document your export as described in part 762 of the EAR regarding recordkeeping and clear your export through the U.S. Customs Service as described in part 758 of the EAR regarding export clearance requirements. Also note that for short supply controls all prohibitions and License Exceptions are in part 754 of the EAR.
(a) In this part we tell you:
(1) The facts that make your proposed export, reexport, or conduct subject to these general prohibitions, and
(2) The ten general prohibitions.
(b) Your obligations under the ten general prohibitions and under the EAR depend in large part upon the five types of information described in § 736.2(a) of this part and upon the general prohibitions described in § 736.2(b) of this part. The ten general prohibitions contain cross-references to other parts of the EAR that further define the breadth of the general prohibitions. For that reason, this part is not freestanding. In part 732, we provide certain steps you may follow in proper order to help you understand the general prohibitions and their relationship to other parts of the EAR.
(c) If you violate any of these ten general prohibitions, or engage in other conduct contrary to the Export Administration Act, the EAR, or any order, license, License Exception, or authorization issued thereunder, as described in part 764 of the EAR regarding enforcement, you will be subject to the sanctions described in that part.
§ 736.2 General prohibitions and determination of applicability.
(a) Information or facts that determine the applicability of the general prohibitions. The following five types of facts determine your obligations under the ten general prohibitions and the EAR generally (also see other parts of the EAR where the license requirements and other EAR restrictions are specified in greater detail):
(1) Classification of the item. The classification of the item on the Commerce Control List (see part 774 of the EAR) or description of the item in supplements no. 2, 4, or 6 to part 746 of the EAR. For guidance on classifying items, see the Commerce Control List Order of Review in supplement no. 4 to part 774 and for determining licensing requirements using the Commerce Control List in supplement no. 1 to part 774 and the Commerce Country Chart in supplement no. 1 to part 738, see § 738.4;
The description of items in supplements no. 2, 4, or 6 of part 746 are used for determining license requirements for Russia and Belarus under §§ 746.5 and 746.10. Items described in supplements no. 2, 4, or 6 in most cases are designated as EAR99 (subject to the EAR but not specifically listed on the Commerce Control List).
(2) Destination. The country of ultimate destination for an export, reexport, or transfer (in-country) (see parts 738 and 774 of the EAR concerning the Country Chart and the Commerce Control List for export and reexport license requirements and part 746 for additional license requirements based on embargoes and other special controls for exports, reexports, or certain transfers (in-country));
(3) End user or end use. The ultimate end user (see General Prohibition Four (paragraph (b)(4) of this section) and supplement no. 1 to part 764 of the EAR for references to persons with whom your transaction may not be permitted; see General Prohibition Five (Paragraph (b)(5) of this section) and part 744 for references to end users for whom you may need an export, reexport, or transfer (in-country) license). Certain EAR requirements (e.g., §§ 734.9(e), 744.11(a)), and 744.15(b)) extend to all parties to the transaction as described in § 748.5(c) through (f). Many of the end-use controls in part 744 specify destinations or Country Groups as part of the criteria for defining the scope of the end use controls.
(4) End-use. The ultimate end-use (see General Prohibition Five (paragraph (b)(5) of this section) and part 744 of the EAR for general end-use restrictions); and
(5) Conduct. Conduct such as contracting, financing, and freight forwarding in support of a proliferation project or a ‘military-intelligence end use’ or a ‘military-intelligence end user,’ as described in part 744 of the EAR.
(b) General prohibitions. The following ten general prohibitions describe certain exports, reexports, transfers (in-country), and other conduct, subject to the scope of the EAR, in which you may not engage unless you either have a license from the Bureau of Industry and Security (BIS) or qualify under part 740 of the EAR for a License Exception from each applicable general prohibition in this paragraph. The License Exceptions at part 740 of the EAR apply only to General Prohibitions One (Exports and Reexports in the Form Received), Two (Parts and Components Reexports), and Three (Foreign-Produced “Direct Product” Reexports); however, selected License Exceptions are specifically referenced and authorized in part 746 of the EAR concerning embargo destinations and in § 744.2(c) of the EAR regarding nuclear end-uses and in § 744.11 and in supplement no. 4 to part 744 – Entity List.
(1) General Prohibition One – Export and reexport of controlled items to listed countries (Exports and Reexports). You may not, without a license or License Exception, export any item subject to the EAR to another country or reexport any item of U.S.-origin if each of the following is true:
(i) The item is controlled for a reason indicated in the applicable Export Control Classification Number (ECCN), and
(ii) Export to the country of destination requires a license for the control reason as indicated on the Country Chart at part 738 of the EAR. (The scope of this prohibition is determined by the correct classification of your item and the ultimate destination as that combination is reflected on the Country Chart.)
(2) General Prohibition Two – Reexport and export from abroad of foreign-made items incorporating more than a de minimis amount of controlled U.S. content (U.S. Content Reexports). (i) You may not, without a license or license exception, reexport or export from abroad foreign-made commodities that incorporate controlled U.S.-origin commodities, foreign-made commodities that are “bundled” with controlled U.S.-origin software, foreign-made software that is commingled with controlled U.S.-origin software, or foreign-made technology that is commingled with controlled U.S.-origin technology if such items require a license according to any of the provisions in the EAR and incorporate or are commingled with more than a de minimis amount of controlled U.S. content, as defined in § 734.4 of the EAR concerning the scope of the EAR.
(A) It incorporates more than the de minimis amount of controlled U.S. content, as defined in § 734.4 of the EAR concerning the scope of the EAR;
(B) It is controlled for a reason indicated in the applicable ECCN; and
(C) Its export to the country of destination requires a license for that control reason as indicated on the Country Chart. (The scope of this prohibition is determined by the correct classification of your foreign-made item and the ultimate destination, as that combination is reflected on the Country Chart.)
(ii) Each License Exception described in part 740 of the EAR supersedes General Prohibition Two if all terms and conditions of a given License Exception are met by the exporter or reexporter.
(3) General Prohibition Three – Foreign-direct product (FDP) rules. (i) You may not, without a license or license exception, export from abroad, reexport, or transfer (in-country) foreign-“direct products” subject to the EAR pursuant to § 734.9 if such items are subject to a license requirement in part 736, 742, 744, 746, or 764 of the EAR.
(ii) Each license exception described in part 740 of the EAR supersedes General Prohibition Three if all terms and conditions of a given license exception are met and none of the restrictions of § 740.2 or § 744.11(a) apply.
(4) General Prohibition Four (Denial Orders) – Engaging in actions prohibited by a denial order. (i) You may not take any action that is prohibited by a denial order issued under part 766 of the EAR, Administrative Enforcement Proceedings. These orders prohibit many actions in addition to direct exports by the person denied export privileges, including some transfers within a single country, either in the United States or abroad, by other persons. You are responsible for ensuring that any of your transactions in which a person who is denied export privileges is involved do not violate the terms of the order. Orders denying export privileges are published in the
(ii) There are no License Exceptions described in part 740 of the EAR that authorize conduct prohibited by this General Prohibition Four.
(5) General Prohibition Five – Export, reexport, or transfer (in-country) to prohibited end-uses or end-users (End-Use End-User). You may not, without a license, knowingly export, reexport, or transfer (in-country) any item subject to the EAR to an end user or end use that is prohibited by part 744 of the EAR. Each section in part 744 specifies whether the license requirements extend to exports, reexports, and transfers (in-country).
(6) General Prohibition Six – Export, reexport, and transfer (in-country) to embargoed destinations (Embargo). (i) You may not, without a license or license exception or portion thereof that is specifically listed in the license exceptions paragraph pertaining to a particular sanctioned country or region in part 746 of the EAR, export, reexport, or transfer (in-country) any item subject to the EAR to a country or region (e.g., the Crimea region of Ukraine and covered regions of Ukraine) that is embargoed by the United States or otherwise made subject to controls under part 734 as both are described at part 746 of the EAR. Each section in part 746 specifies whether the license requirements extend to exports, reexports, and transfers (in-country).
(ii) License exceptions to General Prohibition Six are described in part 746 of the EAR, on Embargoes and Other Special Controls. Unless a license exception or other authorization is authorized in part 746 of the EAR, the license exceptions described in part 740 of the EAR are not available to overcome this general prohibition.
(7) General Prohibition Seven – Support of proliferation activities and certain military-intelligence end uses and end users (“U.S. person” activities).
(i) Support of proliferation activities and certain military-intelligence end uses and end users (“U.S. person” activities).
(A) If you are a “U.S. person,” as that term is defined in § 772.1 of the EAR, you may not engage in any activities prohibited by § 744.6(b) or (c) of the EAR, which prohibit, without a license from BIS, the shipment, transmission, or transfer (in-country) of items not subject to the EAR; facilitating such shipment, transmission, or transfer (in-country); or the performance of any contract, service, or employment (including, but not limited to: ordering, buying, removing, concealing, storing, using, selling, loaning, disposing, servicing, financing, or transporting, freight forwarding, or conducting negotiations in furtherance of) that you know or are informed by BIS will support:
(1) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of nuclear explosive devices in or by any country not listed in supplement no. 3 to part 744 of the EAR;
(2) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of “missiles” in or by a country listed in Country Groups D:4 or E:2;
(3) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons in or by any country or destination worldwide;
(4) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, refurbishing, shipment, or transfer (in-country) of a whole plant to make chemical weapons precursors identified in ECCN 1C350, in or by countries other than those listed in Country Group A:3 (Australia Group); or
(5) A ‘military-intelligence end use’ or a ‘military-intelligence end user,’ as defined in § 744.22(f) of the EAR, in Belarus, Burma, the People’s Republic of China, Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2.
(B) If you are a “U.S. person” as that term is defined in § 772.1 of the EAR, you may not export a Schedule 1 chemical listed in supplement no. 1 to part 745 without first complying with the provisions of §§ 742.18 and 745.1 of the EAR.
(C) If you are a “U.S. person” as that term is defined in § 772.1 of the EAR, you may not export a Schedule 3 chemical listed in supplement no. 1 to part 745 to a destination not listed in supplement no. 2 to part 745 without complying with the End-Use Certificate requirements in § 745.2 of the EAR that apply to Schedule 3 chemicals controlled for CW reasons in ECCN 1C350, ECCN 1C355, and ECCN 1C395.
(ii) [Reserved]
(8) General Prohibition Eight – In transit shipments and items to be unladen from vessels or aircraft (Intransit) – (i) Unlading and shipping in transit. You may not export or reexport an item through, or transit through a country listed in paragraph (b)(8)(ii) of this section, unless a license exception or license authorizes such an export or reexport directly to or transit through such a country of transit, or unless such an export or reexport is eligible to such a country of transit without a license.
(ii) Country scope. This General Prohibition Eight applies to Armenia, Azerbaijan, Belarus, Cambodia, Cuba, Georgia, Kazakhstan, Kyrgyzstan, Laos, Mongolia, North Korea, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, Vietnam.
(9) General Prohibition Nine – Violation of any order, terms, and conditions (Orders, Terms, and Conditions). You may not violate terms or conditions of a license or of a License Exception issued under or made a part of the EAR, and you may not violate any order issued under or made a part of the EAR. There are no License Exceptions to this General Prohibition Nine in part 740 of the EAR. Supplements Nos. 1 and 2 to this part provide for certain General Orders and Administrative Orders.
(10) General Prohibition Ten – Proceeding with transactions with knowledge that a violation has occurred or is about to occur (Knowledge Violation to Occur). You may not sell, transfer, export, reexport, finance, order, buy, remove, conceal, store, use, loan, dispose of, transport, forward, or otherwise service, in whole or in part, any item subject to the EAR and exported, reexported, or transferred (in-country) or to be exported, reexported, or transferred (in-country) with knowledge that a violation of the Export Administration Regulations, the Export Control Reform Act of 2018, or any order, license, license exception, or other authorization issued thereunder has occurred, is about to occur, or is intended to occur in connection with the item. Nor may you rely upon any license or license exception after notice to you of the suspension or revocation of that license or exception. There are no license exceptions to this General Prohibition Ten in part 740 of the EAR.
Supplement No. 1 to Part 736 – General Orders
(a) General Order No. 1:
General Order No. 1 of September 16, 1998; Establishing a 24-month validity period on reexport authorizations issued without a validity period and revoking those exceeding that period.
(1) Reexport authorizations issued within 24-months of the General Order. All reexport authorizations issued with no validity period within the 24-months preceding September 16, 1998 shall be deemed to have an expiration date which shall be the date 24-months from the date of issuance of the reexport authorization or November 16, 1998, whichever is longer.
(2) Reexport authorizations issued before the 24-month period preceding the General Order. For reexport authorizations issued with no validity period before the 24-month period preceding September 16, 1998:
(i) Effective September 16, 1998, all such outstanding reexport authorizations for terrorist-supporting countries (see parts 742 and 746 of the EAR) are revoked.
(ii) Effective November 16, 1998, all other such outstanding reexport authorizations are revoked.
(3) Extensions. If necessary, you may request extensions of such authorizations according to procedures set forth in § 750.7(g) of the EAR.
(4) Specific Notice from BIS. If you have received, or should you receive, specific notice from BIS with regard to a reexport authorization covered by this General Order, informing you of a revocation, suspension, or revision (including validity period) of any such reexport authorization, then the terms of that specific notice will be controlling.
(5) Definition of “authorization”. The term “authorization” as used in this General Order encompasses the range of reexport authorizations granted by BIS, which includes licenses, individual letters, and other types of notifications.
(b) General Order No. 2:
General Order No. 2; section 5(b) of the Syria Accountability and Lebanese Sovereignty Restoration Act of 2003 (SAA) gives the President authority to waive the application of certain prohibitions set forth in the SAA if the President determines that it is in the national security interest of the United States to do so. The President made such a determination in Executive Order 13338, finding that it was “in the national security interest of the United States to waive application of subsection 5(a)(1) and 5(a)(2)(A) of the SAA so as to permit the exportation or reexportation of certain items as specified in the Department of Commerce’s General Order No. 2.” The President’s reference to General Order No. 2 addresses applications to export and reexport the following items, which are considered on a case-by-case basis as opposed to the general policy of denial set forth in section 746.9 of the Regulations: Items in support of activities, diplomatic or otherwise, of the United States Government (to the extent that regulation of such exportation or reexportation would not fall within the President’s constitutional authority to conduct the nation’s foreign affairs); medicine (on the CCL) and medical devices (both as defined in part 772 of the EAR); parts and components intended to ensure the safety of civil aviation and the safe operation of commercial passenger aircraft; aircraft chartered by the Syrian Government for the transport of Syrian Government officials on official Syrian Government business; telecommunications equipment and associated computers, software and technology; items in support of United Nations operations in Syria; and items necessary for the support of the Syrian people, including, but not limited to, items related to water supply and sanitation, agricultural production and food processing, power generation, oil and gas production, construction and engineering, transportation, and educational infrastructure. The total dollar value of each approved license for aircraft parts for flight safety normally will be limited to no more than $2 million over the 24-month standard license term, except in the case of complete overhauls.
The controls for exports and reexports to Syria are set forth in § 746.9 of the EAR.
(c) General Order No. 3:
General Order No. 3 of July 22, 2015. Certain licenses issued by BIS prior to July 22, 2015 contain conditions that restrict the export, reexport, or transfer (in-country) to or within Country Group E:1 as specified in supplement no. 1 to part 740 of the EAR. At the time those license were issued, Cuba was in Country Group E:1. Many of those restrictions were intended to apply to Cuba, not only as a State Sponsor of Terrorism but also as a country subject to unilateral embargo. However, BIS did not always list both Country Groups E:1 and E:2 in license conditions because, at the time, doing so would have been redundant. However, with the rescission of Cuba’s designation as a State Sponsor of Terrorism and resultant removal from Country Group E:1, continuing those conditions with respect to Cuba is consistent with the embargo. Accordingly, all conditions that apply to Country Group E:1 on licenses issued prior to July 22, 2015 that are in effect on that date, are revised to apply to Country Groups E:1 and E:2 as specified in supplement no. 1 to part 740 of the EAR. Licensees who seek authorization for transactions that are affected by this General Order No. 3 may submit license applications that refer to General Order No. 3 and explain the reason for the request in Block 24 of the application. All license applications involving Cuba are reviewed pursuant to the licensing policy in § 746.2(b) of the EAR. The request should provide any available information in support of the argument that the transaction would be consistent with the licensing policy in § 746.2(b) of the EAR.
(d) General Order No. 4: The purpose of this General Order is to avoid disruption of supply chains for items specified in paragraph (d)(1) of this supplement that are ultimately destined to customers outside of People’s Republic of China (China) or Macau.
(1) Temporary General License (TGL). BIS authorizes, from October 21, 2022, through April 7, 2023, exports, reexports, in-country transfers, and exports from abroad destined to or within China or Macau by companies not headquartered in Country Groups D:1 or D:5 or E (see supplement no. 1 to part 740 of the EAR) to continue or engage in integration, assembly (mounting), inspection, testing, quality assurance, and distribution of items covered by ECCN 3A090, 4A090, and associated software and technology in ECCN 3D001, 3E001, 4D090, or 4E001; or any item that is a computer, integrated circuit, “electronic assembly” or “component” and associated software and technology, specified elsewhere on Commerce Control List (supplement no. 1 to part 774 of the EAR), which meets or exceeds the performance parameters of ECCN 3A090 or 4A090. This does not authorize the export, reexport, in-country transfer, or export from abroad to “end-users” or “ultimate consignees” in China or Macau. This TGL does not overcome the license requirements of §§ 744.11 or 744.21 when an entity listed in supplements no. 4 or 7 to part 744 is a party to the transaction as described in § 748.5(c) through (f) of the EAR, or when there is knowledge of any other prohibited end use or end user. This TGL is only for companies that engage in the specific activities authorized under this TGL.
(2) Recordkeeping requirement. Prior to any export, reexport, or transfer (in-country) to China or Macau pursuant to this TGL, the exporter, reexporter, or transferor, must retain the name of the entity receiving the item and the complete physical address of where the item is destined in China or Macau and the location of that company’s headquarters.
(e) General Order No. 5:
General Order No. 5 of April 16, 2013; Authorization for Items the President Determines No Longer Warrant Control under the United States Munitions List (USML).
(1) Continued use of DDTC approvals from the Department of State’s Directorate of Defense Trade Controls (DDTC) for items that become subject to the EAR. Items the President has determined no longer warrant control under the USML will become subject to the EAR as published final rules that transfer the items to the CCL become effective. DDTC licenses, agreements, or other approvals that contain items transitioning from the USML to the CCL and that are issued prior to the effective date of the final rule transferring such items to the CCL may continue to be used in accordance with the Department of State’s final rule, Amendments to the International Traffic in Arms Regulations: Initial Implementation of Export Control Reform, published on April 16, 2013 in the
(2) BIS authorization.
(i) Where continued use of DDTC authorization is not or is no longer an available option, or a holder of an existing DDTC authorization returns or terminates that authorization, any required authorization to export, reexport, or transfer (in-country) a transitioned item on or after the effective date of the applicable final rule must be obtained under the EAR. Following the publication date and prior to the effective date of a final rule moving an item from the USML to the CCL, applicants may submit license applications to BIS for authorization to export, reexport, or transfer (in-country) the transitioning item. BIS will process the license applications in accordance with § 750.4 of the EAR, hold the license application without action (HWA) if necessary, and issue a license, if approved, to the applicant no sooner than the effective date of the final rule transitioning the items to the CCL.
(ii) Following the effective date of a final rule moving items from the USML to the CCL, exporters, reexporters, and transferors of such items may return DDTC licenses in accordance with § 123.22 of the ITAR or terminate Technical Assistance Agreements, Manufacturing License Agreements, or Warehouse and Distribution Agreements in accordance with § 124.6 of the ITAR and thereafter export, reexport, or transfer (in-country) such items under applicable provisions of the EAR, including any applicable license requirements. No transfer (in-country) may be made of an item exported under a DDTC authorization containing provisos or other limitations without a license issued by BIS unless (i) the transfer (in-country) is authorized by an EAR license exception and the terms and conditions of the License Exception have been satisfied, or (ii) no license would otherwise be required under the EAR to export or reexport the item to the new end user.
(3) Prior commodity jurisdiction determinations. If the U.S. State Department has previously determined that an item is not subject to the jurisdiction of the ITAR and the item was not listed in a then existing “018” series ECCN (for purposes of the “600 series” ECCNs, or the 0x5zz ECCNs) or in a then existing ECCN 9A004.b or related software or technology ECCN (for purposes of the 9×515 ECCNs), then the item is per se not within the scope of a “600 series” ECCN, a 0x5zz ECCN, or a 9×515 ECCN. If the item was not listed elsewhere on the CCL at the time of such determination (i.e., the item was designated EAR99), the item shall remain designated as EAR99 unless specifically enumerated by BIS or DDTC in an amendment to the CCL or to the USML, respectively.
(4) Voluntary Self-Disclosure. Parties to transactions involving transitioning items are cautioned to monitor closely their compliance with the EAR and the ITAR. Should a possible or actual violation of the EAR, or of any license or authorization issued thereunder, be discovered, the person or persons involved are strongly encouraged to submit a Voluntary Self-Disclosure to the Office of Export Enforcement, in accordance with § 764.5 of the EAR. Permission from the Office of Exporter Services, in accordance with § 764.5(f) of the EAR, to engage in further activities in connection with that item may also be necessary. Should a possible or actual violation of the ITAR, or of any license or authorization issued thereunder, be discovered, the person or persons involved are strongly encouraged to submit a Voluntary Disclosure to DDTC, in accordance with § 127.12 of the ITAR. For possible or actual violations of both the EAR and ITAR, the person or persons involved are strongly encouraged to submit disclosures to both BIS and DDTC, indicating to each agency that they also have made a disclosure to the other agency.
Supplement No. 2 to Part 736 – Administrative Orders
Administrative Order One: Disclosure of License Issuance and Other Information. Consistent with section 12(c) of the Export Administrati on Act of 1979, as amended, information obtained by the U.S. Department of Commerce for the purpose of consideration of or concerning license applications, as well as related information, will not be publicly disclosed without the approval of the Secretary of Commerce. Electronic Export Information (EEI) filings via the Automated Export System (AES) are also exempt from public disclosure, except with the approval of the Secretary of Commerce, in accordance with § 301(g) of Title 13, United States Code.
Administrative Order Two: Conduct of Business and Practice in Connection with Export Control Matters.
(a) Exclusion of persons guilty of unethical conduct or not possessing required integrity and ethical standards.
(1) Who may be excluded. Any person, whether acting on his own behalf or on behalf of another, who shall be found guilty of engaging in any unethical activity or who shall be demonstrated not to possess the required integrity and ethical standards, may be excluded from (denied) export privileges on his own behalf, or may be excluded from practice before BIS on behalf of another, in connection with any export control matter, or both, as provided in part 764 of the EAR.
(2) Grounds for exclusion. Among the grounds for exclusion are the following:
(i) Inducing or attempting to induce by gifts, promises, bribes, or otherwise, any officer or employee of BIS or any customs or post office official, to take any action with respect to the issuance of licenses or any other aspects of the administration of the Export Administration Act, whether or not in violation of any regulation;
(ii) Offering or making gifts or promises thereof to any such officer or employee for any other reason;
(iii) Soliciting by advertisement or otherwise the handling of business before BIS on the representation, express or implied, that such person, through personal acquaintance or otherwise, possesses special influence over any officer or employee of BIS;
(iv) Charging, or proposing to charge, for any service performed in connection with the issuance of any license, any fee wholly contingent upon the granting of such license and the amount or value thereof. This provision will not be construed to prohibit the charge of any fee agreed to by the parties; provided that the out-of-pocket expenditures and the reasonable value of the services performed, whether or not the license is issued and regardless of the amount thereof, are fairly compensated; and
(v) Knowingly violating or participating in the violation of, or an attempt to violate, any regulation with respect to the export of commodities or technical data, including the making of or inducing another to make any false representations to facilitate any export in violation of the Export Administration Act or any order or regulation issued thereunder.
(3) Definition. As used in this Administrative Order, the terms “practice before BIS” and “appear before BIS” include:
(i) The submission on behalf of another of applications for export licenses or other documents required to be filed with BIS, or the execution of the same;
(ii) Conferences or other communications on behalf of another with officers or employees of BIS for the purpose of soliciting or expediting approval by BIS of applications for export licenses or other documents, or with respect to quotas, allocations, requirements or other export control actions, pertaining to matters within the jurisdiction of BIS;
(iii) Participating on behalf of another in any proceeding pending before BIS;
(iv) Submission on behalf of another of a license or other export control document to U.S. Customs and Border Protection (CBP); and
(v) Reporting on behalf of another Electronic Export Information via the Automated Export System (AES) to CBP.
(4) Proceedings. All proceedings under this Administrative Order shall be conducted in the same manner as provided in part 766 of the EAR.
(b) Employees and former employees. Persons who are or at any time have been employed on a full-time or part-time, compensated or uncompensated, basis by the U.S. Government are subject to the provisions of 18 U.S.C. 203, 205, and 207 (Pub. L. 87-849, 87th Congress) in connection with representing a private party or interest before the U.S. Department of Commerce in connection with any export control matter.
PART 738 – COMMERCE CONTROL LIST OVERVIEW AND THE COUNTRY CHART
§ 738.1 Introduction.
(a) Commerce Control List scope. (1) In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. The Bureau of Industry and Security (BIS) maintains the Commerce Control List (CCL) within the Export Administration Regulations (EAR), which includes items (i.e., commodities, software, and technology) subject to the export licensing authority of BIS. The CCL does not include those items exclusively controlled for export or reexport by another department or agency of the U.S. Government. In instances where agencies other than the Department of Commerce administer controls over related items, entries in the CCL contain a reference to these controls.
(2) The CCL is contained in supplement no. 1 to part 774 of the EAR. Supplement no. 2 to part 774 of the EAR contains the General Technology and Software Notes relevant to entries contained in the CCL.
(3) Items that warrant control for export or reexport but currently are not permanently classified on the CCL. Items subject to temporary CCL controls are classified under the ECCN 0Y521 series (i.e., 0A521, 0B521, 0C521, 0D521, and 0E521) pursuant to § 742.6(a)(8) of the EAR while a determination is made as to whether classification under a revised or new ECCN, or an EAR99 designation, is appropriate.
(b) Commerce Country Chart scope. BIS also maintains the Commerce Country Chart. The Commerce Country Chart, located in supplement no. 1 to part 738, contains licensing requirements based on destination and Reason for Control. In combination with the CCL, the Commerce Country Chart allows you to determine whether a license is required for items on the CCL to any country in the world.
§ 738.2 Commerce Control List (CCL) structure.
(a) Categories. The CCL is divided into 10 categories, numbered as follows:
(b) Groups. Within each category, items are arranged by group. Each category contains the same five groups. Each Group is identified by the letters A through E, as follows:
(c) Order of review. The CCL includes a supplement no. 4 to part 774 – Commerce Control List Order of Review. This supplement establishes the steps (i.e., the order of review) that should be followed in classifying items that are “subject to the EAR.”
(d) Entries – (1) Composition of an entry. Within each group, individual items are identified by an Export Control Classification Number (ECCN). Each number consists of a set of digits and a letter. The first digit identifies the general category within which the entry falls (e.g., 3A001). The letter immediately following this first digit identifies under which of the five groups the item is listed (e.g., 3 A001). The second digit differentiates individual entries by identifying the type of controls associated with the items contained in the entry (e.g., 3A001). Listed below are the Reasons for Control associated with this second digit.
(i) Since Reasons for Control are not mutually exclusive, numbers are assigned in order of precedence. As an example, if an item is controlled for both National Security and Missile Technology reasons, the entry’s third alphanumeric character will be a “0”. If the item is controlled only for Missile Technology the third alphanumeric character will be “1”.
(ii) The numbers in either the second or third digit (e.g., 3A001) serve to differentiate between multilateral and unilateral entries. An entry with the number “9” as the second digit, identifies the entire entry as controlled for a unilateral concern (e.g., 2B991 for anti-terrorism reasons). If the number “9” appears as the third digit, the item is controlled for unilateral purposes based on a proliferation concern (e.g., 2A290 is controlled for unilateral purposes based on nuclear nonproliferation concerns).
(iii) The last digit within each entry (e.g., 3A001) is used for the sequential numbering of ECCNs to differentiate between entries on the CCL.
(iv) Last two characters in a “600 series” ECCN. The last two characters of each “600 series” ECCN generally track the Wassenaar Arrangement Munitions List (WAML) categories for the types of items at issue. The WAML ML21 (“software”) and ML22 (“technology”) are, however, included in D (“software”) and E (“technology”) CCL product groups to remain consistent with the structure of the CCL.
(2) Reading an ECCN. An ECCN is made up of four sections, the “Heading,” “License Requirements,” “License Exceptions,” and “List of Items Controlled” sections. A brief description of each section and its use follows:
(i) Heading. A description of the items controlled is provided next to each ECCN. In certain ECCNs, the description is a summary and will direct you to “see List of Items Controlled” for a complete list of items classified under those respective ECCNs. The “Items” paragraph in the List of Items Controlled section will describe all of the items that the ECCN controls for the portions of the heading that precede the “see List of Items Controlled” phrase. Portions of the heading that follow the phrase are complete descriptions of the items controlled by that portion of the heading. If “see List of Items Controlled” appears at the end of the heading, the “Items” paragraph in the List of Items Controlled section is the exclusive, complete list of the items the ECCN controls.
(ii) License Requirements. This section contains a separate line identifying all possible Reasons for Control in order of precedence, and two columns entitled “Control(s)” and “Country Chart”.
(A) The “Controls” header identifies all applicable Reasons for Control, in order of restrictiveness, and to what extent each applies (e.g., to the entire entry or only to certain subparagraphs). Those requiring licenses for a larger number of countries and/or items are listed first. As you read down the list the number of countries and/or items requiring a license declines. Since Reasons for Control are not mutually exclusive, items controlled within a particular ECCN may be controlled for more than one reason. The following is a list of all possible Reasons for Control:
(B) The “Country Chart” header identifies, for each applicable Reason for Control, a column name and number (e.g., CB Column 1). These column identifiers are used to direct you from the CCL to the appropriate column identifying the countries requiring a license. Consult part 742 of the EAR for an indepth discussion of the licensing requirements and policies applicable to each Country Chart column.
(iii) License Exceptions. This section provides a brief eligibility statement for each ECCN-driven License Exception that may be applicable to your transaction, and should be consulted only AFTER you have determined a license is required based on an analysis of the entry and the Country Chart. The brief eligibility statement in this section is provided to assist you in deciding which ECCN-driven License Exception related to your particular item and destination you should explore prior to submitting an application. The term “Yes” (followed in some instances by the scope of Yes) appears next to each available ECCN-driven License Exception. Some ECCNs have License Exception STA exclusion paragraphs. These paragraphs identify items for which the License Exception STA provisions in § 740.20(c)(2) of the EAR may not be used, but do not otherwise affect License Exception STA availability. The term “N/A” will be noted for License Exceptions that are not available within a particular entry. In some “600 series” ECCNs, the STA license exception paragraph or a note to the License Exceptions section contains additional information on the availability of License Exception STA for that ECCN. If one or more License Exceptions appear to apply to your transaction, you must consult part 740 of the EAR to review the conditions and restrictions applicable to each available License Exception. The list of License Exceptions contained within each ECCN is not an all-exclusive list. Other License Exceptions, not based on particular ECCNs, may be available. Consult part 740 of the EAR to determine eligibility for non-ECCN-driven License Exceptions.
(iv) List of Items Controlled – (A) Related definitions. This header identifies, where appropriate, definitions or parameters that apply to all items controlled by the entry. The information provided in this section is unique to the entry, and hence not listed in the definitions contained in part 772 of the EAR.
(B) Related controls. If another U.S. government agency or department has export licensing authority over items related to those controlled by an entry, a statement is included identifying the agency or department along with the applicable regulatory cite. An additional cross-reference may be included in instances where the scope of controls differs between a CCL entry and its corresponding entry on list maintained by the European Union. This information is provided to assist readers who use both lists.
(C) Items. This paragraph describes the relationship between the “items” paragraph and ECCN headings and will assist your understanding as you classify items on the CCL. When the heading contains the phrase “see List of Items Controlled,” the portion of the heading preceding that phrase is only a summary of the items controlled by the ECCN and the “items” paragraph contains an exclusive list of items described in the heading. Paragraphs (d)(2)(iv)(C)(1), (2) and (3) of this section provide examples of the three different uses of the phrase “(see List of Items Controlled)” in ECCN headings. Each heading on the CCL uses one of these three structures. Understanding the relationship between the heading and the “items” paragraph is important when classifying items that are “subject to the EAR” on the CCL.
(1) “(See List of Items Controlled)” is at the end of the ECCN heading. An example of an ECCN where all of the heading text precedes the phrase “(see List of Items Controlled)” is ECCN 8A002 Marine systems, equipment, “parts” and “components,” as follows (see List of Items Controlled). ECCNs 1A001, 3A001, 6A001, 7A004 and 9A012 are other examples where all of the heading text precedes the phrase “(see List of Items Controlled).” In these types of headings, the items paragraphs must be reviewed to determine whether your item is contained within the heading and classified under that ECCN.
(2) “(See List of Items Controlled)” is in the middle of the ECCN heading. If the phrase “(see List of Items Controlled)” appears in the middle of the ECCN heading, then all portions of the heading that follow the phrase “(see List of Items Controlled)” will list items controlled in addition to the list in the “items” paragraph. An example of such a heading is ECCN 2B992 Non-“numerically controlled” machine tools for generating optical quality surfaces, (see List of Items Controlled) and “specially designed” “parts” and “components” therefor. Under the ECCN 2B992 example, the “items” paragraph must be reviewed to determine whether your item is contained within the first part of the heading (“non-‘numerically controlled’ machine tools for generating optical quality surfaces”) and classified under 2B992. The second part of the ECCN 2B992 heading (“and ‘specially designed’ ‘parts’ and ‘components’ therefor”) contains the exclusive list described in the heading. ECCNs 1A006, 3B992, 4A001, 6A006 and 7A001 are other examples where the phrase “(see List of Items Controlled)” appears in the middle of the ECCN heading.
(3) ECCNs that do not use the phrase “(see List of Items controlled).” When all items classified in the ECCN are listed in the heading, a sentence is generally included in the “items” paragraph to direct you to the heading. An example of such a heading is ECCN 4E980 “Technology” for the “development,” “production” or “use” of commodities controlled by 4A980. ECCNs 0A982, 5D101, 8D001 and 9A002 are other examples where the heading is the exclusive description of the items classified under those respective ECCNs.
§ 738.3 Commerce Country Chart structure.
(a) Scope. The Commerce Country Chart allows you to determine the Commerce Control List (CCL) export and reexport license requirements for most items listed on the CCL. Such license requirements are based on the Reasons for Control listed in the Export Control Classification Number (ECCN) that applies to the item. Some ECCNs, however, impose license requirements either without reference to a reason for control code that is listed on the Commerce Country Chart, or in addition to such a reference. Those ECCNs may state their license requirements in full in their “Reasons for Control” sections or they may refer the reader to another provision of the EAR for license requirement information. In addition, some ECCNs do not impose license requirements, but refer the reader to the regulations of another government agency that may impose license requirements on the items described in that ECCN.
(1) ECCNs 0A983, 5A001.f.1, 5A980, 5D001 (for 5A001.f.1, or for 5E001.a (for 5A001.f.1 or for 5D001.a (for 5A001.f.1))), 5D980, 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) and 5E980. A license is required for all destinations for items controlled under these entries. For items controlled by 0A983, 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) and 5E980, no license exceptions apply. For items controlled by 5A001.f.1, 5A980, 5D001 (for 5A001.f.1 or for 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1))) and 5D980, License Exception GOV may apply if your item is consigned to and for the official use of an agency of the U.S. Government (see § 740.2(a)(3)). If your item is controlled by 0A983, 5A001.f.1, 5A980, 5D001 (for 5A001.f.1 or for 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1))), 5D980, 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) or 5E980 you should proceed directly to part 748 of the EAR for license application instructions and § 742.11 or § 742.13 of the EAR for information on the licensing policy relevant to these types of applications.
(2) [Reserved]
(b) Countries. The first column of the Country Chart lists countries in alphabetical order. There are a number of destinations that are not listed in the Country Chart contained in supplement no. 1 to part 738. If your destination is not listed on the Country Chart and such destination is a territory, possession, dependency or department of a country included on the Country Chart, the EAR accords your destination the same licensing treatment as the country of which it is a territory, possession, dependency or department. For example, if your destination is the Cayman Islands, a dependent territory of the United Kingdom, refer to the United Kingdom on the Country Chart for licensing requirements. In addition, if your destination is Liechtenstein, which serves as one territory with Switzerland for purposes of the EAR, refer to Switzerland on the Country Chart for licensing requirements.
(c) Columns. Stretching out to the right are horizontal headers identifying the various Reasons for Control. Under each Reason for Control header are diagonal column identifiers capping individual columns. Each column identifier consists of the two letter Reason for Control and a column number. (e.g., CB Column 1). The column identifiers correspond to those listed in the “Country Chart” header within the “License Requirements” section of each ECCN.
(d) Cells. The symbol “X” is used to denote licensing requirements on the Country Chart. If an “X” appears in a particular cell, transactions subject to that particular Reason for Control/Destination combination require a license. There is a direct correlation between the number of “X”s applicable to your transaction and the number of licensing reviews your application will undergo.
§ 738.4 Determining whether a license is required.
(a) Using the CCL and the Country Chart – (1) Overview. Once you have determined that your item is classified under a specific ECCN, you must use information contained in the “License Requirements” section of that ECCN in combination with the Country Chart to decide whether a license is required. Note that not all license requirements set forth under the “License Requirements” section of an ECCN refer you to the Commerce Country Chart, but in some cases this section will contain references to a specific section in the EAR for license requirements. In such cases, this section would not apply.
(2) License decision making process. The following decision making process must be followed in order to determine whether a license is required to export or reexport a particular item to a specific destination:
(i) Examine the appropriate ECCN in the CCL. Is the item you intend to export or reexport controlled for a single Reason for Control?
(A) If yes, identify the single Reason for Control and the relevant Country Chart column identifier (e.g., CB Column 1).
(B) If no, identify the Country Chart column identifier for each applicable Reason for Control (e.g., NS Column 1, NP Column 1, etc.).
(ii) Review the Country Chart. With each of the applicable Country Chart Column identifiers noted, turn to the Country Chart (supplement no. 1 to part 738). Locate the correct Country Chart column identifier on the diagonal headings, and determine whether an “X” is marked in the cell next to the country in question for each Country Chart column identified in the applicable ECCN. If your item is subject to more than one reason for control, repeat this step using each unique Country Chart column identifier.
(A) If yes, a license application must be submitted based on the particular reason for control and destination, unless a License Exception applies. If “Yes” is noted next to any of the listed License Exceptions, you should consult part 740 of the EAR to determine whether you can use any of the available ECCN-driven License Exceptions to effect your shipment, rather than applying for a license. Each affirmative license requirement must be overcome by a License Exception. If you are unable to qualify for a License Exception based on each license requirement noted on the Country Chart, you must apply for a license. Note that other License Exceptions, not related to the CCL, may also apply to your transaction (See part 740 of the EAR).
(B) If no, a license is not required based on the particular Reason for Control and destination. Provided that General Prohibitions Four through Ten do not apply to your proposed transaction and the License Requirement section does not refer you to any other part of the EAR to determine license requirements. For example, any applicable encryption classification requirements described in § 740.17(b) of the EAR must be met for certain mass market encryption items to affect your shipment using the symbol “NLR.” Proceed to parts 758 and 762 of the EAR for information on export clearance procedures and recordkeeping requirements. Note that although you may stop after determining a license is required based on the first Reason for Control, it is best to work through each applicable Reason for Control. A full analysis of every possible licensing requirement based on each applicable Reason for Control is required to determine the most advantageous License Exception available for your particular transaction and, if a license is required, ascertain the scope of review conducted by BIS on your license application.
(b) Sample analysis using the CCL and Country Chart – (1) Scope. The following sample entry and related analysis is provided to illustrate the type of thought process you must complete in order to determine whether a license is required to export or reexport a particular item to a specific destination using the CCL in combination with the Country Chart.
(2) Sample CCL entry.
| NS applies to entire entry | NS Column 2. |
| NP applies to 2A000.b entire entry | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
a. Having x.
b. Having z.
(3) Sample analysis. After consulting the CCL, I determine my item, valued at $10,000, is classified under ECCN 2A000.a. I read that the entire entry is controlled for national security, and anti-terrorism reasons. Because my item is classified under paragraph .a, and not .b, I understand that though nuclear nonproliferation controls apply to a portion of the entry, they do not apply to my item. I note that the appropriate Country Chart column identifiers are NS Column 2 and AT Column 1. Turning to the Country Chart, I locate my specific destination, Chad, and see that an “X” appears in the NS Column 2 cell for Chad, but not in the AT Column 1 cell. I understand that a license is required, unless my transaction qualifies for a License Exception. From the License Exception LVS value listed in the entry, I know immediately that my proposed transaction exceeds the value limitation associated with LVS. Noting that License Exception GBS is “Yes” for this entry, I turn to part 740 of the EAR to review the provisions related to use of GBS.
Supplement No. 1 to Part 738 – Commerce Country Chart
[Reason for control]
| Countries | Chemical and biological weapons | Nuclear nonproliferation | National security | Missile tech | Regional stability | Firearms convention | Crime control | Anti-terrorism | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CB 1 | CB 2 | CB 3 | NP 1 | NP 2 | NS 1 | NS 2 | MT 1 | RS 1 | RS 2 | FC 1 | CC 1 | CC 2 | CC 3 | AT 1 | AT 2 | |
| Afghanistan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Albania 2 3 | X | X | X | X | X | X | X | X | ||||||||
| Algeria | X | X | X | X | X | X | X | X | X | X | ||||||
| Andorra | X | X | X | X | X | X | X | X | X | X | ||||||
| Angola | X | X | X | X | X | X | X | X | X | X | ||||||
| Antigua and Barbuda | X | X | X | X | X | X | X | X | X | X | X | |||||
| Argentina | X | X | X | X | X | X | X | |||||||||
| Armenia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Aruba | X | X | X | X | X | X | X | X | X | X | ||||||
| Australia 3 | X | X | X | X | ||||||||||||
| Austria 3 4 | X | X | X | X | X | X | ||||||||||
| Azerbaijan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Bahamas, The | X | X | X | X | X | X | X | X | X | X | X | |||||
| Bahrain | X | X | X | X | X | X | X | X | X | X | X | |||||
| Bangladesh | X | X | X | X | X | X | X | X | X | X | ||||||
| Barbados | X | X | X | X | X | X | X | X | X | X | X | |||||
| Belarus 6 | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Belgium 3 | X | X | X | X | ||||||||||||
| Belize | X | X | X | X | X | X | X | X | X | X | X | |||||
| Benin | X | X | X | X | X | X | X | X | X | X | ||||||
| Bhutan | X | X | X | X | X | X | X | X | X | X | ||||||
| Bolivia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Bosnia and Herzegovina | X | X | X | X | X | X | X | X | X | X | ||||||
| Botswana | X | X | X | X | X | X | X | X | X | X | ||||||
| Brazil | X | X | X | X | X | X | X | X | X | X | ||||||
| Brunei | X | X | X | X | X | X | X | X | X | X | ||||||
| Bulgaria 3 | X | X | X | X | ||||||||||||
| Burkina Faso | X | X | X | X | X | X | X | X | X | X | ||||||
| Burma | X | X | X | X | X | X | X | X | X | X | X | |||||
| Burundi | X | X | X | X | X | X | X | X | X | X | ||||||
| Cambodia | X | X | X | X | X | X | X | X | X | X | ||||||
| Cameroon | X | X | X | X | X | X | X | X | X | X | ||||||
| Canada | X | X | ||||||||||||||
| Cape Verde | X | X | X | X | X | X | X | X | X | X | ||||||
| Central African Republic | X | X | X | X | X | X | X | X | X | X | ||||||
| Chad | X | X | X | X | X | X | X | X | X | X | ||||||
| Chile | X | X | X | X | X | X | X | X | X | X | X | |||||
| China | X | X | X | X | X | X | X | X | X | X | X | |||||
| Colombia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Comoros | X | X | X | X | X | X | X | X | X | X | ||||||
| Congo (Democratic Republic of the) 1 | X | X | X | X | X | X | X | X | X | X | ||||||
| Congo (Republic of the) | X | X | X | X | X | X | X | X | X | X | ||||||
| Costa Rica | X | X | X | X | X | X | X | X | X | X | X | |||||
| Cote d’Ivoire | X | X | X | X | X | X | X | X | X | X | ||||||
| Croatia 3 | X | X | X | X | ||||||||||||
| Cuba | See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. | |||||||||||||||
| Curaçao | X | X | X | X | X | X | X | X | X | X | ||||||
| Cyprus 2 3 4 | X | X | X | X | X | X | X | X | ||||||||
| Czech Republic 3 | X | X | X | X | ||||||||||||
| Denmark 3 | X | X | X | X | ||||||||||||
| Djibouti | X | X | X | X | X | X | X | X | X | X | ||||||
| Dominica | X | X | X | X | X | X | X | X | X | X | X | |||||
| Dominican Republic | X | X | X | X | X | X | X | X | X | X | X | |||||
| Ecuador | X | X | X | X | X | X | X | X | X | X | X | |||||
| Egypt | X | X | X | X | X | X | X | X | X | X | X | |||||
| El Salvador | X | X | X | X | X | X | X | X | X | X | X | |||||
| Equatorial Guinea | X | X | X | X | X | X | X | X | X | X | ||||||
| Eritrea 1 | X | X | X | X | X | X | X | X | X | X | ||||||
| Estonia 3 | X | X | X | X | ||||||||||||
| Ethiopia | X | X | X | X | X | X | X | X | X | X | ||||||
| Fiji | X | X | X | X | X | X | X | X | X | X | X | |||||
| Finland 3 4 | X | X | X | X | X | X | ||||||||||
| France 3 | X | X | X | X | ||||||||||||
| Gabon | X | X | X | X | X | X | X | X | X | X | ||||||
| Gambia, The | X | X | X | X | X | X | X | X | X | X | ||||||
| Georgia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Germany 3 | X | X | X | X | ||||||||||||
| Ghana | X | X | X | X | X | X | X | X | X | X | ||||||
| Greece 3 | X | X | X | X | ||||||||||||
| Grenada | X | X | X | X | X | X | X | X | X | X | X | |||||
| Guatemala | X | X | X | X | X | X | X | X | X | X | X | |||||
| Guinea | X | X | X | X | X | X | X | X | X | X | ||||||
| Guinea-Bissau | X | X | X | X | X | X | X | X | X | X | ||||||
| Guyana | X | X | X | X | X | X | X | X | X | X | X | |||||
| Haiti | X | X | X | X | X | X | X | X | X | X | X | |||||
| Honduras | X | X | X | X | X | X | X | X | X | X | X | |||||
| Hungary 3 | X | X | X | X | ||||||||||||
| Iceland 3 | X | X | X | X | ||||||||||||
| India 7 | X | X | X | X | X | |||||||||||
| Indonesia | X | X | X | X | X | X | X | X | X | X | ||||||
| Iran 1 | See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. | |||||||||||||||
| Iraq 1 | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Ireland 3 4 | X | X | X | X | X | X | ||||||||||
| Israel | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Italy 3 | X | X | X | X | ||||||||||||
| Jamaica | X | X | X | X | X | X | X | X | X | X | X | |||||
| Japan 3 | X | X | X | X | ||||||||||||
| Jordan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Kazakhstan | X | X | X | X | X | X | X | X | X | X | ||||||
| Kenya | X | X | X | X | X | X | X | X | X | X | ||||||
| Kiribati | X | X | X | X | X | X | X | X | X | X | ||||||
| Korea, North 1 | See Sections 742.19 and 746.4 of the EAR to determine whether a license is required in order to export or reexport to this destination. | |||||||||||||||
| Korea, South 3 4 | X | X | X | X | X | X | ||||||||||
| Kosovo | X | X | X | X | X | X | X | X | X | X | X | |||||
| Kuwait | X | X | X | X | X | X | X | X | X | X | X | |||||
| Kyrgyzstan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Laos | X | X | X | X | X | X | X | X | X | X | ||||||
| Latvia 3 | X | X | X | X | ||||||||||||
| Lebanon 1 | X | X | X | X | X | X | X | X | X | X | X | |||||
| Lesotho | X | X | X | X | X | X | X | X | X | X | ||||||
| Liberia | X | X | X | X | X | X | X | X | X | X | ||||||
| Libya 1 | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Liechtenstein 5 | X | X | X | X | X | X | ||||||||||
| Lithuania 3 | X | X | X | X | ||||||||||||
| Luxembourg 3 | X | X | X | X | ||||||||||||
| Macau | X | X | X | X | X | X | X | X | X | X | X | |||||
| Macedonia (The Former Yugoslav Republic of) | X | X | X | X | X | X | X | X | X | X | ||||||
| Madagascar | X | X | X | X | X | X | X | X | X | X | ||||||
| Malawi | X | X | X | X | X | X | X | X | X | X | ||||||
| Malaysia | X | X | X | X | X | X | X | X | X | X | ||||||
| Maldives | X | X | X | X | X | X | X | X | X | X | ||||||
| Mali | X | X | X | X | X | X | X | X | X | X | ||||||
| Malta 2 3 4 | X | X | X | X | X | X | X | X | ||||||||
| Marshall Islands | X | X | X | X | X | X | X | X | X | X | ||||||
| Mauritania | X | X | X | X | X | X | X | X | X | X | ||||||
| Mauritius | X | X | X | X | X | X | X | X | X | X | ||||||
| Mexico | X | X | X | X | X | X | X | |||||||||
| Micronesia (Federated State of) | X | X | X | X | X | X | X | X | X | X | ||||||
| Moldova | X | X | X | X | X | X | X | X | X | X | X | |||||
| Monaco | X | X | X | X | X | X | X | X | X | X | ||||||
| Mongolia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Montenegro | X | X | X | X | X | X | X | X | X | X | X | |||||
| Morocco | X | X | X | X | X | X | X | X | X | X | ||||||
| Mozambique | X | X | X | X | X | X | X | X | X | X | ||||||
| Namibia | X | X | X | X | X | X | X | X | X | X | ||||||
| Nauru | X | X | X | X | X | X | X | X | X | X | ||||||
| Nepal | X | X | X | X | X | X | X | X | X | X | ||||||
| Netherlands 3 | X | X | X | X | ||||||||||||
| New Zealand 3 | X | X | X | X | ||||||||||||
| Nicaragua | X | X | X | X | X | X | X | X | X | X | X | |||||
| Niger | X | X | X | X | X | X | X | X | X | X | ||||||
| Nigeria | X | X | X | X | X | X | X | X | X | X | ||||||
| Norway 3 | X | X | X | X | ||||||||||||
| Oman | X | X | X | X | X | X | X | X | X | X | X | |||||
| Pakistan | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Palau | X | X | X | X | X | X | X | X | X | X | ||||||
| Panama | X | X | X | X | X | X | X | X | X | X | X | |||||
| Papua New Guinea | X | X | X | X | X | X | X | X | X | X | ||||||
| Paraguay | X | X | X | X | X | X | X | X | X | X | X | |||||
| Peru | X | X | X | X | X | X | X | X | X | X | X | |||||
| Philippines | X | X | X | X | X | X | X | X | X | X | ||||||
| Poland 3 | X | X | X | X | ||||||||||||
| Portugal 3 | X | X | X | X | ||||||||||||
| Qatar | X | X | X | X | X | X | X | X | X | X | X | |||||
| Romania 3 | X | X | X | X | ||||||||||||
| Russia 6 | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| Rwanda | X | X | X | X | X | X | X | X | X | X | X | |||||
| St. Kitts and Nevis | X | X | X | X | X | X | X | X | X | X | X | |||||
| St. Lucia | X | X | X | X | X | X | X | X | X | X | X | |||||
| St. Vincent and the Grenadines | X | X | X | X | X | X | X | X | X | X | X | |||||
| Samoa | X | X | X | X | X | X | X | X | X | X | ||||||
| San Marino | X | X | X | X | X | X | X | X | X | X | ||||||
| Sao Tome and Principe | X | X | X | X | X | X | X | X | X | X | ||||||
| Saudi Arabia | X | X | X | X | X | X | X | X | X | X | X | |||||
| Senegal | X | X | X | X | X | X | X | X | X | X | ||||||
| Serbia | X | X | X | X | X | X | X | X | X | X | ||||||
| Seycheles | X | X | X | X | X | X | X | X | X | X | ||||||
| Sierra Leone | X | X | X | X | X | X | X | X | X | X | ||||||
| Singapore | X | X | X | X | X | X | X | X | X | X | ||||||
| Sint Maarten (the Dutch two-fifths of the island of Saint Martin) | X | X | X | X | X | X | X | X | X | X | ||||||
| Slovakia 3 | X | X | X | X | ||||||||||||
| Slovenia 3 | X | X | X | X | ||||||||||||
| Solomon Islands | X | X | X | X | X | X | X | X | X | X | ||||||
| Somalia 1 | X | X | X | X | X | X | X | X | X | X | ||||||
| South Africa 2 3 4 | X | X | X | X | X | X | X | |||||||||
| South Sudan, Republic of | X | X | X | X | X | X | X | X | X | X | ||||||
| Spain 3 | X | X | X | X | ||||||||||||
| Sri Lanka | X | X | X | X | X | X | X | X | X | X | ||||||
| Sudan 1 | X | X | X | X | X | X | X | X | X | X | ||||||
| Suriname | X | X | X | X | X | X | X | X | X | X | X | |||||
| Swaziland | X | X | X | X | X | X | X | X | X | X | ||||||
| Sweden 3 4 | X | X | X | X | X | X | ||||||||||
| Switzerland 3 4 | X | X | X | X | X | X | ||||||||||
| Syria | See § 746.9 of the EAR to determine whether a license is required in order to export or reexport to this destination. | |||||||||||||||
| Taiwan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Tajikistan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Tanzania | X | X | X | X | X | X | X | X | X | X | ||||||
| Thailand | X | X | X | X | X | X | X | X | X | X | ||||||
| Timor-Leste | X | X | X | X | X | X | X | X | X | X | ||||||
| Togo | X | X | X | X | X | X | X | X | X | X | ||||||
| Tonga | X | X | X | X | X | X | X | X | X | X | ||||||
| Trinidad and Tobago | X | X | X | X | X | X | X | X | X | X | X | |||||
| Tunisia | X | X | X | X | X | X | X | X | X | X | ||||||
| Turkey 3 | X | X | X | X | ||||||||||||
| Turkmenistan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Tuvalu | X | X | X | X | X | X | X | X | X | X | ||||||
| Uganda | X | X | X | X | X | X | X | X | X | X | ||||||
| Ukraine 8 | X | X | X | X | X | X | X | X | ||||||||
| United Arab Emirates | X | X | X | X | X | X | X | X | X | X | X | |||||
| United Kingdom 3 | X | X | X | X | ||||||||||||
| Uruguay | X | X | X | X | X | X | X | X | X | X | X | |||||
| Uzbekistan | X | X | X | X | X | X | X | X | X | X | X | |||||
| Vanuatu | X | X | X | X | X | X | X | X | X | X | ||||||
| Vatican City | X | X | X | X | X | X | X | X | X | X | ||||||
| Venezuela | X | X | X | X | X | X | X | X | X | X | X | X | X | |||
| Vietnam | X | X | X | X | X | X | X | X | X | X | X | |||||
| Western Sahara | X | X | X | X | X | X | X | X | X | X | ||||||
| Yemen | X | X | X | X | X | X | X | X | X | X | X | |||||
| Zambia | X | X | X | X | X | X | X | X | X | X | ||||||
| Zimbabwe | X | X | X | X | X | X | X | X | X | X | ||||||
1 See § 746.1(b) for United Nations Security Council Sanctions under the EAR. See § 746.3 for United Nations Security Council-related license requirements for exports and reexports to Iraq or transfer within Iraq under the EAR, as well as regional stability licensing requirements not included in the Country Chart.
2 See § 742.4(a) for special provisions that apply to exports and reexports to these countries of certain thermal imaging cameras.
3 See § 742.6(a)(3) for special provisions that apply to military commodities that are subject to ECCN 0A919.
4 See § 742.6(a)(2) and (4)(ii) regarding special provisions for exports and reexports of certain thermal imaging cameras to these countries.
5 Refer to Switzerland for licensing requirements for Liechtenstein under the EAR.
6 See § 746.5 of the EAR for additional license requirements under the Russian Industry Sector Sanctions for ECCNs 0A998, 1C992, 3A229, 3A231, 3A232, 6A991, 8A992, and 8D999 and items identified in supplement no. 2 to part 746 of the EAR. See § 746.8 of the EAR for Sanctions against Russia and Belarus, including additional license requirements for items listed in any ECCN on the CCL.
7 Note that a license is still required for items controlled under ECCNs 6A003.b.4.b and 9A515.e for RS column 2 reasons when destined to India.
8 See § 746.6 of the EAR for additional license requirements for exports and reexports to the Crimea region of Ukraine and the so-called Donetsk People’s Republic (DNR) and Luhansk People’s Republic (LNR) regions of Ukraine and transfers (in-country) within the Crimea, DNR, and LNR regions of Ukraine for all items subject to the EAR, other than food and medicine designated as EAR99 and certain EAR99 or ECCN 5D992.c software for internet-based communications.
PART 740 – LICENSE EXCEPTIONS
§ 740.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C.
(a) Scope. A “License Exception” is an authorization contained in this part that allows you to export or reexport under stated conditions, items subject to the Export Administration Regulations (EAR) that would otherwise require a license under General Prohibition One, Two, Three, or Eight, as indicated under one or more of the Export Control Classification Numbers (ECCNs) in the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR and items subject to the EAR that would require a license based on the embargo policies described in part 746 of the EAR. If your export or reexport is subject to General Prohibition Six for embargoed destinations, refer to part 746 of the EAR to determine the availability of any License Exceptions. Special commodity controls apply to short supply items. License Exceptions for items listed on the CCL as controlled for Short Supply reasons are found in part 754 of the EAR. If your export or reexport is subject to General Prohibition Five, consult part 744 of the EAR. If your export or reexport is subject to General Prohibitions Four, Seven, Nine, or Ten, then no License Exceptions apply. Any license exception authorizing reexports also authorizes in-country transfers, provided the terms and conditions for reexports under that license exception are met.
(b) Certification. By using any of the License Exceptions you are certifying that the terms, provisions, and conditions for the use of the License Exception described in the EAR have been met. Please refer to part 758 of the EAR for clearance of shipments and documenting the use of License Exceptions.
(c) License Exception symbols. Each License Exception bears a three letter symbol that will be used for export clearance purposes (see paragraph (d) of this section).
(d) Electronic Export Information (EEI) filing. You must enter on any required EEI filing the correct License Code that corresponds to the appropriate license exception symbol (e.g., LVS, GBS, CIV) and the correct Export Control Classification Number (ECCN) (e.g., 4A003, 5A002) for all exports of items under a license exception. Items temporarily in the United States meeting the provisions of License Exception TMP, under § 740.9(b)(3), are excepted from this requirement. See § 758.1 of the EAR and 15 CFR part 30 of the FTR for EEI requirements.
(e) Destination Control Statement. You may be required to enter an appropriate Destination Control Statement on commercial documents in accordance with Destination Control Statement requirements of § 758.6 of the EAR.
(f) Recordkeeping. Records of transactions involving exports under any of the License Exceptions must be maintained in accordance with the recordkeeping requirements of part 762 of the EAR.
§ 740.2 Restrictions on all License Exceptions.
(a) You may not use any License Exception if any one or more of the following apply:
(1) Your authorization to use a License Exception has been suspended or revoked, or your intended export does not qualify for a License Exception.
(2) The export or reexport is subject to one of the ten General Prohibitions, is not eligible for a License Exception, and has not been authorized by BIS.
(3) The item is primarily useful for surreptitious interception of wire, oral, or electronic communications, or related software, controlled under ECCNs 5A001.f.1, 5A980, 5D001 (for 5A001.f.1 or for 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1))), or 5D980, unless the item is consigned to and for the official use of an agency of the U.S. Government (see § 740.11(b)(2)(ii) of this part, Governments (GOV)). No license exceptions apply for 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) or for 5E980.
(4) The item being exported or reexported is subject to the license requirements described in § 742.7 of the EAR and the export or reexport is not:
(i) Being made to Australia, India, Japan, New Zealand, or a NATO (North Atlantic Treaty Organization) member state (see NATO membership listing in § 772.1 of the EAR):
(ii) Authorized by § 740.11(b)(2)(ii) (official use by personnel and agencies of the U.S. government);
(iii) Authorized by § 740.14(e) of the EAR (certain shotguns and shotgun shells for personal use); or
(iv) Authorized by § 740.20 of the EAR (License Exception STA).
(5)(i) The item is controlled for missile technology (MT) reasons, except that the items described in ECCNs 6A008, 7A001, 7A002, 7A004, 7A101, 7A102, 7A103, 7A104, 7A105, 7B001, 7D001, 7D002, 7D003, 7D101, 7D102, 7E003, 7E101 or 9A515, may be exported as part of a spacecraft, manned aircraft, land vehicle or marine vehicle or in quantities appropriate for replacement parts for such applications under § 740.9(a)(4) (License Exception TMP for kits consisting of replacement parts), § 740.10 (License Exception RPL), § 740.13 (License Exception TSU), or § 740.15(b) (License Exception AVS for equipment and spare parts for permanent use on a vessel, aircraft or spacecraft).
(ii) MT controlled commodities described in ECCNs 2A001 or 2A101 may be exported or reexported under § 740.9(a)(4) (License Exception TMP) or § 740.10 (License Exception RPL) as one-for-one replacement for equipment previously legally exported or reexported.
(6) The export or reexport is to a sanctioned destination (Cuba, Iran, North Korea, Syria, Crimea region of Ukraine, and the so-called Donetsk People’s Republic (DNR) and Luhansk People’s Republic (LNR) regions of Ukraine) or a license is required based on a limited sanction (Russia or Belarus) unless a license exception or portion thereof is specifically listed in the license exceptions paragraph pertaining to a particular sanctioned country in part 746 of the EAR.
(7) With the exception of License Exception GOV (§ 740.11(b)(2)), license exceptions are not available for the following 6E001 or 6E002 technology:
(i) Technology required for the “development” or “production” of photon detector, microbolometer detector, pyroelectric, or multispectral detector, infrared focal plane arrays (IRFPAs), described in ECCN 6A002, having a peak response within the wavelength range exceeding 900 nm but not exceeding 30,000 nm, excluding lead sulfide or lead selenide IRFPAs having a peak response within the wavelength range exceeding 1,000 nm but not exceeding 5,000 nm and not exceeding 16 detector elements; or
(ii) Technology required for the “development” or “production” of third generation or greater (e.g., Electron Bombarded Active Pixel Sensor (EBAPS)) image intensifier tubes described in ECCN 6A002.
(8) The item is controlled under ECCNs 2A983, 2A984, 2D983, 2D984, 2E983 or 2E984 and the License Exception is other than:
(i) RPL, under the provisions of § 740.10, including § 740.10(a)(3)(v), which prohibits exports and reexports of replacement parts to countries in Country Group E:1 (see Supplement 1 to part 740));
(ii) GOV, restricted to eligibility under the provisions of § 740.11(b)(2)(ii); or
(iii) TSU, under the provisions of § 740.13(a) and (c).
(9) The item is identified in paragraphs (a)(9)(i) and (ii) of this section, being exported, reexported, or transferred (in-country) to or within the People’s Republic of China (PRC) or Macau, and the license exception is other than: RPL (excluding 3B090, 3D001 (for 3B090), and 3E001 (for 3B090)), under the provisions of § 740.10, including § 740.10(a)(3)(v), which prohibits exports and reexports of replacement parts to countries in Country Group E:1 (see supplement no. 1 to this part)); GOV, restricted to eligibility under the provisions of § 740.11(b)(2)(ii); or TSU (excluding 3B090, 3D001 (for 3B090), and 3E001 (for 3B090)), under the provisions of § 740.13(a) and (c). Items restricted to eligibility only for the foregoing license exceptions are:
(i) Controlled under ECCNs 3A090, 3B090, 4A090, or associated software and technology in 3D001, 3E001, 4D090, and 4E001; or
(ii) A computer, integrated circuit, “electronic assembly” or “component” specified elsewhere on the CCL which meets or exceeds the performance parameters of ECCN 3A090 or 4A090.
(10) The commodity being exported or reexported is subject to the license requirements of § 742.11 of the EAR.
(11) The item is a “military commodity” subject to ECCN 0A919, except that such military commodities may be reexported in accordance with § 740.11(b)(2)(ii) (official use by personnel and agencies of the U.S. Government).
(12) The item is described in a 9×515 or “600 series” ECCN and is destined to, shipped from, or was manufactured in a destination listed in Country Group D:5 or Hong Kong (see Supplement No. 1 to part 740 of the EAR), except that:
(i) 9×515 or “600 series” items destined to, or in, Country Group D:5 are eligible for License Exception GOV (§ 740.11(b)(2) of the EAR); and
(ii) 1A613.c or .d items destined to, or in, Country Group D:5 are eligible for License Exception TMP (§ 740.9(a)(11) of the EAR) or License Exception BAG (§ 740.14(h)(2) of the EAR).
(13) “600 series” items that are controlled for missile technology (MT) reasons may not be exported, reexported, or transferred (in-country) under License Exception STA (§ 740.20 of the EAR). Items controlled under ECCNs 9D610.b, 9D619.b, 9E610.b, or 9E619.b or .c are not eligible for license exceptions except for License Exception GOV (§ 740.11(b)(2) of the EAR). Only the following license exceptions may be used to export “600 series” items to destinations other than those identified in Country Group D:5 or Hong Kong (see Supplement No. 1 to part 740 of the EAR):
(i) License Exception LVS (§ 740.3 of the EAR);
(ii) License Exception TMP (§ 740.9 of the EAR);
(iii) License Exception RPL (§ 740.10 of the EAR);
(iv) License Exception TSU (§ 740.13(a), (b), (f) and (g) of the EAR);
(v) License Exception GOV (§ 740.11(b) or (c) of the EAR);
(vi) License Exception BAG (§ 740.14); and
(vii) License Exception STA under § 740.20(c)(1) of the EAR, provided all of the applicable terms and conditions, including those specific to the “600 series” are met.
(14) Items classified under ECCNs 0A521, 0B521, 0C521, 0D521 and 0E521 may only be authorized by License Exception GOV (§ 740.11(b)(2)(ii)) or an item-specific license exception identified in supplement no. 5 to part 774 for a particular ECCN 0Y521 item.
Item-specific license exception availability is specific to each ECCN 0Y521 entry in supplement no. 5 to part 774 and may not be used for any other ECCN 0Y521 entries in the supplement. The U.S. Government makes a determination at the time items are classified under ECCNs 0A521, 0B521, 0C521, 0D521 and 0E521 regarding whether any license exceptions will be available, in addition to License Exception GOV (§ 740.11(b)(2)(ii)).
(15) If they are sold under a contract that includes $14,000,000 or more of “600 Series Major Defense Equipment” (as defined in § 772.1), exports of “600 series” items to a country not listed in Country Group A:5 (see supplement no. 1 to part 740 of the EAR), are not eligible for any license exception except to U.S. Government end users under License Exception GOV (§ 740.11(b) of the EAR).
(16) If they are sold under a contract that includes $25,000,000 or more of “600 Series Major Defense Equipment” (as defined in § 772.1), exports of “600 series” items to a country listed in Country Group A:5 (see supplement no. 1 to part 740 of the EAR), are not eligible for any license exception except to U.S. Government end users under License Exception GOV (§ 740.11(b) of the EAR).
(17) A party to the transaction, as described in § 748.5 of the EAR, is listed on the Unverified List in supplement no. 6 to part 744, see § 744.15 of the EAR.
(18) 9×515 items that are controlled for missile technology (MT) reasons may not be exported, reexported, or transferred (in-country) under License Exception STA (§ 740.20 of the EAR).
(19) The exporter or reexporter to Hong Kong of any item subject to the EAR and controlled on the CCL for NS, MT, NP Column 1, or CB reasons has not received one of the following with respect to the item:
(i) A copy of an import license issued to the Hong Kong importer by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers all items to be exported or reexported pursuant to that license exception for which a Hong Kong import license is required and that is valid on the date of the export or reexport that is subject to the EAR; or
(ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no import license is required to import into Hong Kong the item(s) to be exported or reexported. The statement may have been issued directly to the Hong Kong importer or it may be a written statement available to the general public. The statement may be used for more than one export or reexport to Hong Kong so long as it remains an accurate statement of Hong Kong law.
(20) The reexporter from Hong Kong of any item subject to the EAR controlled on the CCL for NS, MT, NP column 1, or CB reasons has not received one of the following with respect to the item:
(i) An export license issued by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers all items to be reexported pursuant to that license exception for which a Hong Kong export license is required and that is valid on the date of the reexport that is subject to the EAR; or
(ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no Hong Kong export license is required for the item(s) to be rexported. The statement may have been issued directly to the Hong Kong reexporter or it may be a written statement available to the general public. The statement may be used for more than one reexport from Hong Kong so long as it remains an accurate statement of Hong Kong law.
(21) The reexport or transfer (in-country) of firearms classified under ECCNs 0A501 or 0A502 if a part or component that is not “subject to the ITAR,” but would otherwise meet the criteria in USML Category I(h)(2) (i.e., parts and components specially designed for conversion of a semiautomatic firearm to a fully automatic firearm) is incorporated into the firearm or is to be reexported or transferred (in-country) with the firearm with “knowledge” the part or component will be subsequently incorporated into the firearm. (See USML Category I(h)(2)). In such instances, no license exceptions are available except for License Exception GOV (§ 740.11(b)(2)(ii)).
(22) The export, reexport, or transfer (in-country) of any item classified under a 0x5zz ECCN when a party to the transaction is designated on the Department of the Treasury, Office of Foreign Assets Control (OFAC), Specially Designated Nationals and Blocked Persons (SDN) list under the designation [SDNT], pursuant to the Narcotics Trafficking Sanctions Regulations, 31 CFR part 536, or under the designation [SDNTK], pursuant to the Foreign Narcotics Kingpin Sanctions Regulations, 31 CFR part 598.
(23) Exports of semiautomatic firearms controlled by ECCN 0A501.a sold under a contract or otherwise part of an export that includes $4,000,000 or more of such items are not eligible for any license exceptions except to personnel and agencies of the U.S. Government under License Exception GOV (§ 740.11(b) of the EAR), for official use by an agency of NATO, or where a license exception would otherwise be available for the export of such items to a country listed in Country Groups A:5 or A:6 (see supplement no. 1 to part 740 of the EAR) except Mexico, South Africa, or Turkey.
Items subject to the exclusive export control jurisdiction of another agency of the U.S. Government may not be authorized by a license exception or any other authorization under the EAR. If your item is subject to the exclusive jurisdiction of another agency of the U.S. Government, you must determine your export licensing requirements pursuant to the other agency’s regulations. See § 734.3(b) and supplement no. 3 to part 730 of the EAR for other U.S. Government departments and agencies with export control responsibilities.
(b) All License Exceptions are subject to revision, suspension, or revocation, in whole or in part, without notice. It may be necessary for BIS to stop a shipment or an export transaction at any stage of its progress, e.g., in order to prevent an unauthorized export or reexport. If a shipment is already en route, it may be further necessary to order the return or unloading of the shipment at any port of call.
(c) BIS may by informing the exporter, suspend or revoke any License Exception in order to comply with U.S. Wassenaar obligations. In addition, BIS may inform an exporter, that before using any License Exception, a notice be submitted with BIS concerning the proposed export.
(d) See § 746.3 for restrictions on certain transfers within Iraq of items exported or reexported to Iraq pursuant to a License Exception.
§ 740.3 Shipments of limited value (LVS).
(a) Scope. License Exception LVS authorizes the export and reexport in a single shipment of eligible commodities as identified by “LVS – $(value limit)” on the CCL.
(b) Eligible destinations. This License Exception is available for all destinations in Country Group B (see supplement no. 1 to part 740), provided that the net value of the commodities included in the same order and controlled under the same ECCN entry on the CCL does not exceed the amount specified in the LVS paragraph for that entry.
(c) Definitions – (1) Order. The term order as used in this § 740.3 means a communication from a person in a foreign country, or that person’s representative, expressing an intent to import commodities from the exporter. Although all of the details of the order need not be finally determined at the time of export, terms relating to the kinds and quantities of the commodities to be exported, as well as the selling prices of these commodities, must be finalized before the goods can be exported under License Exception LVS.
(2) Net value: for LVS shipments. The actual selling price of the commodities that are included in the same order and are controlled under the same entry on the CCL, less shipping charges, or the current market price of the commodities to the same type of purchaser in the United States, whichever is the larger. In determining the actual selling price or the current market price of the commodity, the value of containers in which the commodity is being exported may be excluded. The value for LVS purposes is that of the controlled commodity that is being exported, and may not be reduced by subtracting the value of any content that would not, if shipped separately, be subject to licensing. Where the total value of the containers and their contents must be shown on Shipper’s Export Declarations under one Schedule B Number, the exporter, in effecting a shipment under this License Exception, must indicate the “net value” of the contained commodity immediately below the description of the commodity.
(3) Single shipment. All commodities moving at the same time from one exporter to one consignee or intermediate consignee on the same exporting carrier even though these commodities will be forwarded to one or more ultimate consignees. Commodities being transported in this manner will be treated as a single shipment even if the commodities represent more than one order or are in separate containers.
(d) Additional eligibility requirements and restrictions – (1) Eligible orders. To be eligible for this License Exception, orders must meet the following criteria:
(i) Orders must not exceed the applicable “LVS” dollar value limits. An order is eligible for shipment under LVS when the “net value” of the commodities controlled under the same entry on the CCL does not exceed the amount specified in the “LVS” paragraph for that entry. An LVS shipment may include more than one eligible order.
(ii) Orders may not be split to meet the applicable LVS dollar limits. An order that exceeds the applicable LVS dollar value limit may not be misrepresented as two or more orders, or split among two or more shipments, to give the appearance of meeting the applicable LVS dollar value limit. However an order that meets all the LVS eligibility requirements, including the applicable LVS dollar value limit, may be split among two or more shipments.
(iii) Orders must be legitimate. Exporters and consignees may not, either collectively or individually, structure or adjust orders to meet the applicable LVS dollar value limits.
(2) Restriction on annual value of LVS orders. The total value of exports per calendar year to the same ultimate or intermediate consignee of commodities classified under a single ECCN may not exceed 12 times the LVS value limit for that ECCN; however, there is no restriction on the number of shipments provided that value is not exceeded. This annual value limit applies to shipments to the same ultimate consignee even though the shipments are made through more than one intermediate consignee. There is no restriction on the number of orders that may be included in a shipment, except that the annual value limit per ECCN must not be exceeded.
(3) Orders where two or more LVS dollar value limits apply. An order may include commodities that are controlled under more than one entry on the CCL. In this case, the net value of the entire order may exceed the LVS dollar value for any single entry on the CCL. However, the net value of the commodities controlled under each ECCN entry shall not exceed the LVS dollar value limit specified for that entry.
(4) Prohibition against evasion of license requirements. Any activity involving the use of this License Exception to evade license requirements is prohibited. Such devices include, but are not limited to, the splitting or structuring of orders to meet applicable LVS dollar value limits, as prohibited by paragraphs (d)(1) (ii) and (iii) of this section.
(5) Exports and reexports of encryption components or spare parts. For components or spare parts controlled for “EI” reasons under ECCN 5A002, exports and reexports under this License Exception must be destined to support a commodity previously authorized for export or reexport.
(e) Reexports. Commodities may be reexported under this License Exception, provided that they could be exported from the United States to the new country of destination under LVS.
(f) Reporting requirements. See § 743.1 of the EAR for reporting requirements for exports of certain commodities under License Exception LVS.
§ 740.4 Shipments to Country Group B countries (GBS).
License Exception GBS authorizes exports and reexports to Country Group B (see Supplement No. 1 to part 740), except Sudan and Ukraine, of those commodities where the Commerce Country Chart (Supplement No. 1 to part 738 of the EAR) indicates a license requirement to the ultimate destination for national security reasons only and identified by “GBS – Yes” on the CCL. See § 743.1 of the EAR for reporting requirements for exports of certain commodities under License Exception GBS.
§ 740.5 [Reserved]
§ 740.6 Technology and software under restriction (TSR).
(a) Scope. License Exception TSR permits exports and reexports of technology and software where the Commerce Country Chart (Supplement No. 1 to part 738 of the EAR) indicates a license requirement to the ultimate destination for national security reasons only and identified by “TSR – Yes” in entries on the CCL, provided the software or technology is destined to Country Group B, except Sudan and Ukraine. (See Supplement No. 1 to part 740.) A written assurance is required from the consignee before exporting or reexporting under this License Exception.
(1) Required assurance for export of technology. You may not export or reexport technology under this License Exception until you have received from the importer a written assurance that, without a BIS license or License Exception, the importer will not:
(i) Reexport or release the technology to a national of a country in Country Groups D:1, E:1, or E:2; or
(ii) Export to Country Groups D:1, E:1, or E:2 the direct product of the technology, if such foreign produced direct product is subject to national security controls as identified on the CCL (See General Prohibition Three, § 736.2(b)(3) of the EAR); or
(iii) If the direct product of the technology is a complete plant or any major components of a plant, export to Country Groups D:1, E:1, or E:2 of the direct product of the plant or major components thereof, if such foreign produced direct product is subject to national security controls as identified on the CCL or is “subject to the ITAR” (see 22 CFR parts 120 through 130).
(2) Required assurance for export of software. You may not export or reexport software under this License Exception until you have received from the importer a written assurance that, without a BIS license or License Exception, the importer will neither:
(i) Reexport or release the software or the source code for the software to a national of a country in Country Groups D:1, E:1, or E:2; nor
(ii) Export to Country Groups D:1, E:1, or E:2 the direct product of the software, if such foreign produced direct product is subject to national security controls as identified on the CCL. (See General Prohibition Three, § 736.2(b)(3) of the EAR).
(3) Form of written assurance. The required assurance may be made in the form of a letter or any other written communication from the importer, including communications via facsimile, or the assurance may be incorporated into a licensing agreement that specifically includes the assurances. An assurance included in a licensing agreement is acceptable only if the agreement specifies that the assurance will be honored even after the expiration date of the licensing agreement. If such a written assurance is not received, License Exception TSR is not applicable and a license is required. The license application must include a statement explaining why assurances could not be obtained.
(4) Other License Exceptions. The requirements in this License Exception do not apply to the export of technology or software under other License Exceptions, or to the export of technology or software included in an application for the foreign filing of a patent, provided the filing is in accordance with the regulations of the U.S. Patent Office.
(b) Reporting requirements. See § 743.1 of the EAR for reporting requirements for exports of certain items under License Exception TSR. Note that reports are not required for release of technology or source code subject to the EAR to foreign nationals in the U.S. under the provisions of License Exception TSR.
§ 740.7 Computers (APP).
(a) Scope – (1) Commodities. License Exception APP authorizes exports, reexports and transfers (in-country) of computers, including “electronic assemblies” and specially designed components therefor controlled by ECCN 4A003 exported or reexported separately or as part of a system for consumption in Computer Tier countries as provided by this section. When evaluating your computer to determine License Exception APP eligibility, use the APP parameter to the exclusion of other technical parameters in ECCN 4A003.
(2) Technology and software. License Exception APP authorizes exports of technology and software controlled by ECCNs 4D001 and 4E001 specially designed or modified for the “development,” “production,” or “use” of computers, including “electronic assemblies” and specially designed components therefor classified in ECCN 4A003 to Computer Tier countries as provided by this section.
(b) Restrictions. (1) Related equipment controlled under ECCN 4A003.g may not be exported or reexported under this License Exception when exported or reexported separately from eligible computers authorized under this License Exception.
(2) Access and release restrictions. (i) [Reserved]
(ii) Technology and source code. Technology and source code eligible for License Exception APP may not be released to nationals of Cuba, Iran, North Korea, or Syria.
(3) Computers and software eligible for License Exception APP may not be reexported or transferred (in country) without prior authorization from BIS, i.e., a license, a permissive reexport, another License Exception, or “No License Required”. This restriction must be conveyed to the consignee, via the Destination Control Statement, see § 758.6 of the EAR. Additionally, the end-use and end-user restrictions in paragraph (b)(5) of this section must be conveyed to any consignee in Computer Tier 3.
(4) You may not use this License Exception to export or reexport items that you know will be used to enhance the APP beyond the eligibility limit allowed to your country of destination.
(5) License Exception APP does not authorize exports, reexports and transfers (in-country) for nuclear, chemical, biological, or missile end-users and end-uses subject to license requirements under §§ 744.2, 744.3, 744.4, and 744.5 of the EAR. Such exports, reexports and transfers (in-country) will continue to require a license and will be considered on a case-by-case basis. Reexports and transfers (in-country) to these end-users and end-uses in eligible countries are strictly prohibited without prior authorization.
(6) Foreign nationals in an expired visa status are not eligible to receive deemed exports of technology or source code under this License Exception. It is the responsibility of the exporter to ensure that, in the case of deemed exports, the foreign national maintains a valid U.S. visa, if required to hold a visa from the United States.
(c) Computer Tier 1 destinations – (1) Eligible destinations. The destinations that are eligible to receive exports and reexports under paragraph (c) of this section include: Albania, Antigua and Barbuda, Argentina, Aruba, Australia, Austria, Bahamas (The), Bangladesh, Barbados, Belgium, Belize, Benin, Bhutan, Bolivia, Botswana, Brazil, Brunei, Bulgaria, Burkina Faso, Burundi, Cameroon, Cape Verde, Central African Republic, Chad, Chile, Colombia, Congo (Democratic Republic of the), Congo (Republic of the), Costa Rica, Cote d’Ivoire, Croatia, Curaçao, Cyprus, Czech Republic, Denmark, Dominica, Dominican Republic, Ecuador, El Salvador, Equatorial Guinea, Eritrea, Estonia, Ethiopia, Fiji, Finland, France, Gabon, Gambia (The), Germany, Ghana, Greece, Grenada, Guatemala, Guinea, Guinea-Bissau, Guyana, Haiti, Honduras, Hungary, Iceland, Indonesia, Ireland, Italy, Jamaica, Japan, Kenya, Kiribati, Korea (Republic of), Latvia, Lesotho, Liberia, Lithuania, Luxembourg, Madagascar, Malawi, Malaysia, Maldives, Mali, Malta, Marshall Islands, Mauritius, Mexico, Micronesia (Federated States of), Monaco, Mozambique, Namibia, Nauru, Nepal, Netherlands, New Zealand, Nicaragua, Niger, Nigeria, Norway, Palau, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Poland, Portugal, Romania, Rwanda, St. Kitts & Nevis, St. Lucia, St. Vincent and the Grenadines, Sao Tome & Principe, Samoa, San Marino, Senegal, Seychelles, Sierra Leone, Singapore, Sint Maarten (the Dutch two-fifths of the island of Saint Martin), Slovakia, Slovenia, Solomon Islands, Somalia, South Africa, Spain, Sri Lanka, Surinam, Swaziland, Sweden, Switzerland, Taiwan, Tanzania, Togo, Tonga, Thailand, Timor-Leste, Trinidad and Tobago, Turkey, Tuvalu, Uganda, United Kingdom, Uruguay, Vatican City, Venezuela, Western Sahara, Zambia, and Zimbabwe.
(2) Eligible commodities. All computers, including electronic assemblies and specially designed components therefore are eligible for export or reexport under License Exception APP to Tier 1 destinations, subject to the restrictions in paragraph (b) of this section.
(3) Eligible technology and software. (i) Technology and software described in paragraph (a)(2) of this section for computers of unlimited APP are eligible for export, reexport, transfer (in-country) under License Exception APP to countries listed in Country Group A:5, see supplement no. 1 to this part; and
(ii) “Development” and “production” technology and source code described in paragraph (a)(2) of this section for computers with a APP less than or equal to 175 Weighted TeraFLOPS (WT) are eligible for deemed exports under License Exception APP to foreign nationals of Tier 1 destinations, other than the destinations that are listed in paragraph (c)(3)(i) of this section, subject to the restrictions in paragraph (b) of this section.
(iii) “Use” technology and source code described in paragraph (a)(2) of this section for computers with a APP less than or equal to 500 WT are eligible for deemed exports under License Exception APP to foreign nationals of Tier 1 destinations, other than the destinations that are listed in paragraph (c)(3)(i) of this section, subject to the restrictions in paragraph (b) of this section.
(d) Computer Tier 3 destinations – (1) Eligible destinations. Eligible destinations under paragraph (d) of this section are: Afghanistan, Algeria, Andorra, Angola, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia & Herzegovina, Burma, Cambodia, China (People’s Republic of), Comoros, Djibouti, Egypt, Georgia, India, Iraq, Israel, Jordan, Kazakhstan, Kosovo, Kuwait, Kyrgyzstan, Laos, Lebanon, Libya, Macau, Macedonia (The Former Yugoslav Republic of), Mauritania, Moldova, Mongolia, Montenegro, Morocco, Oman, Pakistan, Qatar, Russia, Saudi Arabia, Serbia, Sudan, Tajikistan, Tunisia, Turkmenistan, Ukraine, United Arab Emirates, Uzbekistan, Vanuatu, Vietnam, and Yemen.
(2) Eligible commodities. None.
(3) Eligible technology and source code. (i) “Development” and “production” technology and source code described in paragraph (a)(2) of this section for computers with an APP less than or equal to 50 Weighted TeraFLOPs (WT) are eligible for deemed exports under License Exception APP to foreign nationals of Tier 3 destinations as described in paragraph (d)(1) of this section, subject to the restrictions in paragraph (b) of this section.
(ii) “Use” technology and source code described in paragraph (a)(2) of this section for computers with an APP less than or equal to 140 WT are eligible for deemed exports under License Exception APP to foreign nationals of Tier 3 destinations as described in paragraph (d)(1) of this section, subject to the restrictions in paragraph (b) of this section.
(e) Reporting requirements. See § 743.1 of the EAR for reporting requirements of certain items under License Exception APP.
§ 740.8 [Reserved]
§ 740.9 Temporary imports, exports, reexports, and transfers (in-country) (TMP).
This License Exception authorizes various temporary exports and reexports; exports and reexports of items temporarily in the United States; and exports and reexports of beta test software.
(a) Temporary exports, reexports, and transfers (in-country). License Exception TMP authorizes exports, reexports, and transfers (in-country) of items for temporary use abroad (including use in or above international waters) subject to the conditions specified in this paragraph (a). No item may be exported, reexported, or transferred (in-country) under this paragraph (a) if an order to acquire the item, such as a purchase order, has been received before shipment; with prior knowledge that the item will stay abroad beyond the terms of this License Exception; or when the item is for subsequent lease or rental abroad. The references to various countries and country groups in these TMP-specific provisions do not limit or amend the prohibitions in § 740.2 of the EAR on the use of license exceptions generally, such as for exports of 9×515 or “600 series” items to destinations in Country Group D:5. This paragraph (a) does not authorize any export of a commodity controlled under ECCNs 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled under ECCN 0A502 to, or any export of such an item that was imported into the United States from, a country in Country Group D:5 (supplement no. 1 to this part), or from Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan. The only provisions of this paragraph (a) that are eligible for use to export such items are paragraph (a)(5) of this section (“Exhibition and demonstration”) and paragraph (a)(6) of this section (“Inspection, test, calibration, and repair”). In addition, this paragraph (a) may not be used to export more than 75 firearms per shipment. In accordance with the requirements in § 758.1(b)(9) and (g)(4) of the EAR, the exporter or its agent must provide documentation that includes the serial number, make, model, and caliber of each firearm being exported by filing these data elements in an EEI filing in AES. In accordance with the exclusions in License Exception TMP under paragraph (b)(5) of this section, the entry clearance requirements in § 758.1(b)(9) do not permit the temporary import of: Firearms controlled in ECCN 0A501.a or .b that are shipped from or manufactured in a Country Group D:5 country, or that are shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan (except for any firearm model designation (if assigned) controlled by 0A501 that is specified under annex A in supplement no. 4 to this part); or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that are shipped from or manufactured in a Country Group D:5 country, or from Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, because of the exclusions in License Exception TMP under paragraph (b)(5) of this section.
(1) Tools of trade. Exports, reexports, or transfers (in-country) of commodities and software as tools of trade for use by the exporter or employees of the exporter may be made only to destinations other than Country Group E:1. The tools of trade must remain under the “effective control” of the exporter or the exporter’s employee. Eligible items are usual and reasonable kinds and quantities of tools of trade for use in a lawful enterprise or undertaking of the exporter. Tools of trade include, but are not limited to, commodities and software as is necessary to commission or service items, provided that the commodity or software is appropriate for this purpose and that all items to be commissioned or serviced are of foreign origin, or if subject to the EAR, have been lawfully exported, reexported, or transferred. Tools of trade may accompany the individual departing from the United States or may be shipped unaccompanied within one month before the individual’s departure from the United States, or at any time after departure. Software used as a tool of trade must be protected against unauthorized access. Examples of security precautions to help prevent unauthorized access include the following:
(i) Use of secure connections, such as Virtual Private Network connections, when accessing IT networks for activities that involve the transmission and use of the software authorized under this license exception;
(ii) Use of password systems on electronic devices that store the software authorized under this license exception; and
(iii) Use of personal firewalls on electronic devices that store the software authorized under this license exception.
(2) [Reserved]
(3) “Technology,” regardless of media or format, may be exported, reexported, or transferred (in-country) by or to a U.S. person, or a foreign person employee of a U.S. person traveling or on temporary assignment abroad, subject to the following restrictions:
(i) Foreign persons may only export, reexport, transfer (in country) or receive such “technology” as they are authorized to receive through a license, license exception other than TMP or because no license is required.
(ii) “Technology” exported, reexported, or transferred under this authorization may only be possessed or used by a U.S. person or authorized foreign person. Sufficient security precautions must be taken to prevent the unauthorized release of the “technology.” Such security precautions may include encryption of the “technology,” the use of secure network connections, such as Virtual Private Networks, the use of passwords or other access restrictions on the electronic device or media on which the “technology” is stored, and the use of firewalls and other network security measures to prevent unauthorized access.
(iii) The individual is an employee of the U.S. Government or is directly employed by a U.S. person and not, e.g., by a foreign subsidiary.
(iv) “Technology” authorized under this exception may not be used for foreign production purposes or for technical assistance unless authorized through a license or license exception other than TMP.
(4) Kits consisting of replacement parts or components. Kits consisting of replacement parts or components may be exported, reexported, or transferred (in-country) to all destinations except Country Group E:1 (see supplement no. 1 to part 740 of the EAR), provided that:
(i) The parts and components would qualify for shipment under paragraph (a)(4)(iii) of this section if exported as one-for-one replacements;
(ii) The kits remain under effective control of the exporter or an employee of the exporter; and
(iii) All parts and components in the kit are returned, except that one-for-one replacements may be made in accordance with the requirements of License Exception RPL and the defective parts and components returned (see Parts, Components, Accessories and Attachments in § 740.10(a) of this part).
(5) Exhibition and demonstration. This paragraph (a)(5) authorizes exports, reexports, and transfers (in-country) of commodities and software for exhibition or demonstration in all destinations except Country Group E:1 (see supplement no. 1 to this part) provided that the exporter maintains ownership of the commodities and software while they are abroad and provided that the exporter, an employee of the exporter, or the exporter’s designated sales representative retains “effective control” over the commodities and software while they are abroad. The commodities and software may not be used when abroad for more than the minimum extent required for effective demonstration. The commodities and software may not be exhibited or demonstrated at any one site for longer than 120 days after installation and debugging, unless authorized by BIS. However, before or after an exhibition or demonstration, pending movement to another site, return to the United States or the foreign reexporter, or BIS approval for other disposition, the commodities and software may be placed in a bonded warehouse or a storage facility provided that the exporter retains “effective control” over their disposition. The export documentation for this type of transaction must show the exporter as ultimate consignee, in care of the person who will have control over the commodities and software abroad.
(6) Inspection, test, calibration, and repair. Commodities to be inspected, tested, calibrated, or repaired abroad may be exported, reexported, and transferred (in-country) under this paragraph (a)(6) to all destinations except Country Group E:1.
(7) Containers. Containers for which another license exception is not available and that are necessary for shipment of commodities may be exported, reexported, and transferred (in-country) under this paragraph (a)(7). However, this paragraph does not authorize the export of the container’s contents, which, if not exempt from licensing, must be separately authorized for export under either a license exception or a license.
(8) Assembly in Mexico. Commodities may be exported to Mexico under Customs entries that require return to the United States after processing, assembly, or incorporation into end products by companies, factories, or facilities participating in Mexico’s in-bond industrialization program (IMMEX) under this paragraph (a)(8), provided that all resulting end-products (or the commodities themselves) are returned to the United States as soon as practicable but no later than four years after the date of export or reexport.
(9) News media. (i) Commodities necessary for news-gathering purposes (and software necessary to use such commodities) may be temporarily exported, reexported, or transferred (in-county) for accredited news media personnel (i.e., persons with credentials from a news-gathering or reporting firm) to or within Belarus, Cuba, North Korea, Russia, and Syria (see supplement no. 1 to part 740), or the Crimea region of Ukraine and covered regions of Ukraine (as specified in § 746.6) if the commodities:
(A) Are retained under “effective control” of the exporting news-gathering firm in the country of destination;
(B) Remain in the physical possession of the news media personnel in the country of destination. The term physical possession for purposes of this paragraph (a)(9) means maintaining effective measures to prevent unauthorized access (e.g., securing equipment in locked facilities or hiring security guards to protect the equipment); and
(C) Are removed with the news media personnel at the end of the trip.
(ii) When exporting under this paragraph (a)(9) from the United States, the exporter must email a copy of the packing list or similar identification of the exported commodities, to [email protected] specifying the destination and estimated dates of departure and return. The Office of Export Enforcement (OEE) may check returns to assure that the provisions of this paragraph (a)(9) are being used properly.
(iii) Commodities or software necessary for news-gathering purposes that accompany news media personnel to all other destinations shall be exported, reexported, or transferred (in-country) under paragraph (a)(1), tools of trade, of this section if owned by the news gathering firm, or if they are personal property of the individual news media personnel. Note that paragraphs (a)(1), tools of trade, and (a)(9), news media, of this section do not preclude independent accredited contract personnel, who are under control of news-gathering firms while on assignment, from using these provisions, provided that the news gathering firm designates an employee of the contract firm to be responsible for the equipment.
(10) Temporary exports to a U.S. person’s foreign subsidiary, affiliate, or facility abroad. Components, parts, tools, accessories, or test equipment exported by a U.S. person to a subsidiary, affiliate, or facility owned or controlled by the U.S. person, if the components, parts, tools, accessories, or test equipment are to be used to manufacture, assemble, test, produce, or modify items, provided that such components, parts, tools, accessories or test equipment are not transferred (in-country) or reexported from such subsidiary, affiliate, or facility, alone or incorporated into another item, without prior authorization by BIS.
(11) Personal protective “equipment” classified under ECCN 1A613.c or .d and individual protection “equipment” classified under ECCN 1A607.f – (i) Temporary exports, reexports, or in-country transfers to countries not identified in Country Group D:5. U.S. persons may temporarily export or reexport one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to countries not identified in Country Group D:5, provided that:
(A) The items are with the U.S. person’s baggage or effects, whether accompanied or unaccompanied (but not mailed); and
(B) The items are for that U.S. person’s exclusive use and not for transfer of ownership unless reexported or transferred (in-country) to another U.S. person.
(ii) Temporary exports, reexports, or transfers (in-country) to countries identified in Country Group D:5 – (A) Iraq. U.S. persons may temporarily export or reexport one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to Iraq, for personal use, provided that the requirements in paragraph (a)(11)(i) of this section are met. In addition, the U.S. person must be affiliated with the U.S. Government and traveling on official business or traveling in support of a U.S. Government contract, or the U.S. person must be traveling to Iraq under a direct authorization by the Government of Iraq and engaging in activities for, on behalf of, or at the request of, the Government of Iraq. Documentation regarding direct authorization from the Government of Iraq shall include an English translation.
(B) Other countries in Country Group D:5. U.S. persons may temporarily export or reexport one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to countries in Country Group D:5 (except Iraq), for personal use, provided that the requirements in paragraph (a)(11)(i) of this section are met, and the U.S. person is affiliated with the U.S. Government traveling on official business or is traveling in support of a U.S. Government contract.
(iii) Items exported, reexported, or transferred (in-country) under this paragraph (a)(11), if not consumed or destroyed in the normal course of authorized temporary use abroad, must be returned to the United States or other country from which the items were so transferred as soon as practicable but no later than four years after the date of export, reexport or transfer (in-country).
(12) U.S. persons. For purposes of this § 740.9, a U.S. person is defined as follows: an individual who is a citizen of the United States, an individual who is a lawful permanent resident as defined by 8 U.S.C. 1101(a)(2) or an individual who is a protected individual as defined by 8 U.S.C. 1324b(a)(3). U.S. person also means any juridical person organized under the laws of the United States, or any jurisdiction within the United States (e.g., corporation, business association, partnership, society, trust, or any other entity, organization or group that is authorized to do business in the United States).
(13) Destinations. Destination restrictions apply to temporary exports, reexports, or transfers (in-country) to and for use on any vessel, aircraft or territory under ownership, control, lease, or charter by any country specified in any authorizing paragraph of this section, or any national thereof.
(14) Return or disposal of items. With the exception of items described in paragraphs (a)(8) and (11) of this section, all items exported, reexported, or transferred (in-country) under this section must, if not consumed or destroyed in the normal course of authorized temporary use abroad, be returned to the United States or other country from which the items were so transferred as soon as practicable but no later than one year after the date of export, reexport, or transfer (in-country). Items not returned shall be disposed of or retained in one of the following ways:
(i) Permanent export, reexport, or transfer (in-country). An exporter or reexporter who wants to sell or otherwise dispose of the items abroad, except as permitted by this or other applicable provision of the EAR, must apply for a license in accordance with §§ 748.1, 748.4 and 748.6 of the EAR. (Part 748 of the EAR contains more information about license applications.) The application must be supported by any documents that would be required in support of an application for export license for shipment of the same items directly from the United States to the proposed destination.
(ii) Use of a license. An outstanding license may also be used to dispose of items covered by the provisions of this paragraph (a), provided that the outstanding license authorizes direct shipment of the same items to the same new ultimate consignee or end-user.
(iii) Authorization to retain item abroad beyond one year. An exporter, reexporter or transferor who wants to retain an item at the temporary location beyond one year must apply for a license in accordance with §§ 748.1, 748.4 and 748.6 of the EAR to BIS at least 90 days prior to the expiration of the one-year period. The application must include the name and address of the exporter, the date the items were exported, a brief product description, and the justification for the extension. If BIS approves the extension, the applicant will receive authorization for an extension not to exceed four years from the date of initial export, reexport, or transfer. Any request for retaining the items abroad for a period exceeding four years must be made in accordance with the requirements of paragraph (a)(14)(i) of this section.
(b) Exports of items temporarily in the United States. No provision of this paragraph (b), other than paragraph (b)(3), (4), or (5), may be used to export firearms controlled by ECCN 0A501.a, .b, or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502.
(1) Items moving in transit through the United States. Subject to the following conditions, the provisions of this paragraph (b)(1) authorize export of items moving in transit through the United States under a Transportation and Exportation (T.&E.) customs entry or an Immediate Exportation (I.E.) customs entry made at a U.S. Customs and Border Protection Office.
(i) Items controlled for national security (NS) reasons, nuclear proliferation (NP) reasons, or chemical and biological weapons (CB) reasons may not be exported to Country Group D:1, D:2, or D:3 (see supplement no. 1 to part 740), respectively, under this paragraph (b)(1).
(ii) Items may not be exported to Country Group E:1 under this section.
(iii) The following may not be exported from the United States under this paragraph (b)(1):
(A) Commodities shipped to the United States under an International Import Certificate, Form BIS-645P;
(B) Chemicals controlled under ECCN 1C350; or
(C) Horses for export by sea (refer to short supply controls in part 754 of the EAR).
(iv) The authorization to export in paragraph (b)(1) shall apply to all shipments from Canada moving in transit through the United States to any foreign destination, regardless of the nature of the commodities or software or their origin, notwithstanding any other provision of this paragraph (b)(1).
(2) Items imported for marketing, or for display at U.S. exhibitions or trade fairs. Subject to the following conditions, the provisions of this paragraph (b)(2) authorize the export of items that were imported into the United States for marketing, or for display at an exhibition or trade fair and were either entered under bond or permitted temporary free import under bond providing for their export and are being exported in accordance with the terms of that bond.
(i) Items may be exported to the country from which imported into the United States. However, items originally imported from Cuba may not be exported unless the U.S. Government had licensed the import from that country.
(ii) Items may be exported to any destination other than the country from which imported except:
(A) Items imported into the United States under an International Import Certificate;
(B) Exports to Country Group E:1 (see supplement no. 1 to part 740); or
(C) Exports to Country Group D:1, D:2, or D:3 (see supplement no. 1 to part 740) of items controlled for national security (NS) reasons, nuclear nonproliferation (NP) reasons, or chemical and biological weapons (CB) reasons, respectively.
(3) Return of foreign-origin items. A foreign-origin item may be returned under this license exception to the country from which it was imported if its characteristics and capabilities have not been enhanced while in the United States, except that no foreign-origin items may be returned to Cuba.
(4) Return of shipments refused entry. Shipments of items refused entry by the U.S. Customs and Border Protection, the Food and Drug Administration, or other U.S. Government agency may be returned to the country of origin, except to:
(i) A destination in Cuba; or
(ii) A destination from which the shipment has been refused entry because of the Foreign Assets Control Regulations of the Treasury Department, unless such return is licensed or otherwise authorized by the Treasury Department, Office of Foreign Assets Control (31 CFR parts 500-599).
(5) Exports of firearms and certain shotguns temporarily in the United States. This paragraph (b)(5) authorizes the export of no more than 75 end item firearms per shipment controlled by ECCN 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that are temporarily in the United States for a period not exceeding one year, provided that:
(i) The firearms were not shipped from or manufactured in a U.S. arms embargoed country, i.e., destination listed in Country Group D:5 in supplement no. 1 to this part;
(ii) The firearms were not shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, except for any firearm model controlled by 0A501 that is specified under annex A in supplement no. 4 to this part; and
(iii) The firearms are not ultimately destined to a U.S. arms embargoed country, i.e., destination listed in Country Group D:5 in supplement no. 1 to this part, or to Russia;
(iv) When the firearms entered the U.S. as a temporary import, the temporary importer or its agent:
(A) Provided the following statement to U.S. Customs and Border Protection: “This shipment will be exported in accordance with and under the authority of License Exception TMP (15 CFR 740.9(b)(5))”;
(B) Provided to U.S. Customs and Border Protection an invoice or other appropriate import-related documentation (or electronic equivalents) that includes a complete list and description of the firearms being temporarily imported, including their model, make, caliber, serial numbers, quantity, and U.S. dollar value; and
(C) Provided (if temporarily imported for a trade show, exhibition, demonstration, or testing) to U.S. Customs and Border Protection the relevant invitation or registration documentation for the event and an accompanying letter that details the arrangements to maintain effective control of the firearms while they are in the United States; and
(v) In addition to the export clearance requirements of part 758 of the EAR, the exporter or its agent must provide the import documentation related to paragraph (b)(5)(iv)(B) of this section to U.S. Customs and Border Protection at the time of export.
In addition to complying with all applicable EAR requirements for the export of commodities described in paragraph (b)(5) of this section, exporters and temporary importers should contact U.S. Customs and Border Protection (CBP) at the port of temporary import or export, or at the CBP website, for the proper procedures for temporarily importing or exporting firearms controlled in ECCN 0A501.a or .b or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502, including regarding how to provide any data or documentation required by BIS.
A commodity withdrawn from a bonded warehouse in the United States under a ‘withdrawal for export’ customs entry is considered as ‘moving in transit’. It is not considered as ‘moving in transit’ if it is withdrawn from a bonded warehouse under any other type of customs entry or if its transit has been broken for a processing operation, regardless of the type of customs entry.
Items shipped on board a vessel or aircraft and passing through the United States from one foreign country to another may be exported without a license provided that (a) while passing in transit through the United States, they have not been unladen from the vessel or aircraft on which they entered, and (b) they are not originally manifested to the United States.
A shipment originating in Canada or Mexico that incidentally transits the United States en route to a delivery point in the same country does not require a license.
(c) Exports of beta test software – (1) Scope. The provisions of this paragraph (c) authorize exports and reexports to eligible countries of beta test software intended for distribution to the general public.
(2) Eligible countries. Encryption software controlled under ECCN 5D002 is not eligible for export or reexport to a country in Country Group E:1 under the provisions of this paragraph (c). All other beta test software is eligible for export or reexport to all destinations, except Cuba and Iran under the provisions of this paragraph (c).
(3) Eligible software. All software that is controlled by the Commerce Control List (supplement no.1 to part 774 of the EAR), and under Commerce licensing jurisdiction, is eligible for export and reexport, subject to the restrictions of this paragraph (c). Encryption software controlled for “EI” reasons under ECCN 5D002 is eligible for export and reexport under this paragraph (c), provided that the exporter has submitted the information described in paragraph (c)(8) of this section by the time of export. Final encryption products produced by the testing consignee are subject to any applicable provisions in § 742.15(b) of the EAR (for mass market encryption commodities and software with symmetric key length exceeding 64-bits) or § 740.17 of the EAR (License Exception ENC), including review and reporting requirements.
(4) Conditions for use. Exports or reexports of beta test software programs under the provisions of this paragraph (c) must meet all of the following conditions:
(i) The software producer intends to market the software to the general public after completion of the beta testing, as described in the General Software Note (see supplement no. 2 to part 774 of the EAR) or the Cryptography Note in Category 5, Part 2 (“Information Security”) of the Commerce Control List (see supplement no.1 to part 774 of the EAR);
(ii) The software producer provides the software to the testing consignee free-of-charge or at a price that does not exceed the cost of reproduction and distribution; and
(iii) The software is designed for installation by the end-user without further substantial support from the supplier.
(5) Importer Statement. Prior to exporting or reexporting any eligible software under this paragraph (c), the exporter or reexporter must obtain the following statement from the testing consignee, which may be included in a contract, non-disclosure agreement, or other document that identifies the importer, the software to be exported, the country of destination, and the testing consignee.
“We certify that this beta test software will only be used for beta testing purposes, and will not be rented, leased, sold, sublicensed, assigned, or otherwise transferred. Further, we certify that we will not transfer or export any product, process, or service that is the direct product of the beta test software.”
(6) Use limitations. Only testing consignees that provide the importer statement required by paragraph (c)(5) of this section may execute any beta test software that was exported or reexported to them under the provisions of this paragraph (c).
(7) Return or disposal of software. All beta test software exported must be destroyed abroad or returned to the exporter within 30 days of the end of the beta test period as defined by the software producer or, if the software producer does not define a test period, within 30 days of completion of the consignee’s role in the test. Among other methods, this requirement may be satisfied by a software module that will destroy the software and all its copies at or before the end of the beta test period.
(8) Notification of beta test encryption software implementing “non-standard cryptography.” For beta test encryption software eligible under this license exception that provides or performs “non-standard cryptography” as defined in part 772 of the EAR, by the time of export or reexport you must submit the information described in paragraphs (a) through (d) of supplement No. 6 to part 742 of the EAR by email to BIS at [email protected] and to the ENC Encryption Request Coordinator at [email protected].
§ 740.10 License Exception Servicing and replacement of parts and equipment (RPL).
License Exception RPL authorizes exports and reexports associated with one-for-one replacement of parts, components, accessories, and attachments. License Exception RPL also authorizes exports and reexports of certain items currently “subject to the EAR” to or for, or to replace, a defense article described in an export or reexport authorization issued under the authority of the Arms Export Control Act. It does not, however, authorize the export or reexport of defense articles subject to the ITAR, i.e., described on the United States Munitions List (22 CFR 121.1).
(a) Parts, components, accessories, and attachments – (1) Scope. The provisions of this paragraph (a) authorize the export and reexport of one-for-one replacement parts, components, accessories, and attachments for previously exported equipment or other end items.
(2) One-for-one replacement of parts, components, accessories, or attachments. (i) The terms replacement parts, components, accessories, or attachments as used in this section mean parts, components, accessories, or attachments needed for the immediate repair of equipment or other end items, including replacement of defective or worn parts or components. (These terms include ‘subassemblies,’ but do not include test instruments or operating supplies. The term ‘subassembly’ means a number of parts or components assembled to perform a specific function or functions within a commodity. One example would be printed circuit boards with components mounted thereon. This definition does not include major subsystems such as those composed of a number of ‘subassemblies.’) Items that improve or change the basic design characteristics, e.g., as to accuracy, capability, performance or productivity, of the equipment or other end item upon which they are installed, are not deemed to be replacement parts, components, accessories, or attachments. For kits consisting of replacement parts or components, consult § 740.9(a)(4) of this part.
(ii) Parts, components, accessories, and attachments may be exported only to replace, on a one-for-one basis, parts, components, accessories, or attachments, respectively, contained in commodities that were: Lawfully exported from the United States; lawfully reexported; or made in a foreign country incorporating authorized parts, components, accessories, or attachments “subject to the EAR” (see § 734.2(a) of the EAR). “600 series” parts, components, accessories and attachments may be exported only to replace, on a one-for-one basis, parts, components, accessories, or attachments that were: lawfully exported from the United States, or lawfully reexported. The conditions of the original U.S. authorization must not have been violated. Accordingly, the export of replacement parts, components, accessories, and attachments may be made only by the party who originally exported or reexported the commodity to be repaired, or by a party that has confirmed the existence of appropriate authority for the original transaction.
(iii) The parts, components, accessories, or attachments to be replaced must either be destroyed abroad or returned promptly to the person who supplied the replacements, or to a foreign firm that is under the effective control of that person.
(3) Exclusions to License Exception RPL. (i) No replacement parts, components, accessories, or attachments may be exported to repair a commodity exported under a license or other authorization if that license or other authorization included a condition that any subsequent replacements may be exported only under a license.
(ii) No parts, components, accessories, or attachments may be exported to be held abroad as spares for future use. Replacements may be exported to replace spares that were authorized to accompany the export of equipment or other end items as those spares are used in the repair of the equipment or other end item. This allows maintenance of the stock of spares at a consistent level as the parts, components, accessories, or attachments are used.
(iii) No parts, components, accessories, or attachments may be exported to any destination, except the countries listed in supplement no. 3 to part 744 of the EAR (Countries Not Subject to Certain Nuclear End Use Restrictions in § 744.2(a)), if the item is to be incorporated into or used in nuclear weapons, nuclear explosive devices, nuclear testing related to activities described in § 744.2(a) of the EAR, the chemical processing of irradiated special nuclear or source material, the production of heavy water, the separation of isotopes of source and special nuclear materials, or the fabrication of nuclear reactor fuel containing plutonium, as described in § 744.2(a) of the EAR.
(iv) No replacement parts, components, accessories, or attachments may be exported to countries in Country Group E:1 (see supplement no. 1 to this part) (countries designated by the Secretary of State as supporting acts of international terrorism) if the commodity to be repaired is an “aircraft” (as defined in § 772.1 of the EAR) or is controlled for national security (NS) reasons.
(v) No replacement parts, components, accessories, or attachments may be exported to countries in Country Group E:1 (see supplement no. 1 to this part) if the commodity to be repaired is explosives detection equipment classified under ECCN 2A983 or related software classified under ECCN 2D983.
(vi) No replacement parts, components, accessories, or attachments may be exported to countries in Country Group E:1 (see supplement no. 1 to this part) if the commodity to be repaired is concealed object detection equipment classified under ECCN 2A984 or related software classified under ECCN 2D984.
(vii) The conditions described in this paragraph (a)(3) relating to replacement of parts, components, accessories, or attachments do not apply to reexports to a foreign country of parts, components accessories, or attachments as replacements in foreign-origin products, if at the time the replacements are furnished, the foreign-origin product is eligible for export to such country under any of the license exceptions in this part or the exceptions in § 734.4 of the EAR (De minimis U.S. content).
(viii) “Parts,” “components,” “accessories,” and “attachments” classified in 9×515 or “600 series” ECCNs may not be exported or reexported to a destination listed in Country Group D:5 (see supplement no. 1 to this part).
(4) Reexports. (i) Parts, components, accessories, and attachments exported from the United States may be reexported to a new country of destination, provided that the conditions established in paragraphs (a)(2) and (3) of this section are met. A party reexporting one-for-one replacement parts, components, accessories, or attachments “subject to the EAR” shall ensure that the commodities being repaired were shipped to their present location in accordance with U.S. law and continue to be lawfully used, and that either before or promptly after reexport of the replacement parts, components, accessories, or attachments, the replaced commodities and software are either destroyed or returned to the United States, or to the foreign firm in Country Group B (see supplement no. 1 to this part) that shipped the replacement parts.
(ii) The conditions described in paragraph (a)(3) relating to replacement of “parts,” “components,” “accessories,” or “attachments” (excluding 9×515 and “600 series” ECCNs) do not apply to reexports to a foreign country of “parts,” “components,” “accessories,” or “attachments” as replacements in foreign-origin products, if at the time the replacements are furnished, the foreign-origin product is eligible for export to such country under any of the License Exceptions in this part or the foreign-origin product is not subject to the EAR pursuant to § 734.4.
(b) Servicing and replacement – (1) The provisions of this paragraph (b) authorize the export and reexport to any destination, except for 9×515 or “600 series” items to destinations identified in Country Group D:5 (see supplement no. 1 to this part) or otherwise prohibited under the EAR, of commodities and software that were sent to the United States or to a foreign party for servicing and replacement of commodities and software “subject to the EAR” (see § 734.2(a) of the EAR) that are defective or that an end user or ultimate consignee has found unacceptable. The export of firearms controlled by ECCN 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 temporarily in the United States for servicing and replacement may be exported under paragraph (b)(2) or (3) of this section only if the additional requirements in paragraph (b)(4) of this section are also met.
(2) Commodities and software sent to a United States or foreign party for servicing.
(i) Definition. “Servicing” as used in this section means inspection, testing, calibration or repair, including overhaul and reconditioning. The servicing shall not have improved or changed the basic characteristics (e.g., the accuracy, capability, performance, or productivity) of the commodity or software as originally authorized for export or reexport.
(ii) Return of serviced commodities and software. When the serviced commodity or software is returned, it may include any replacement or rebuilt parts, components, accessories, or attachments necessary to its repair and may be accompanied by any spare parts, components, tools, accessories, attachments or other items sent with it for servicing.
(iii) Commodities and software imported from Country Group D:1 except the People’s Republic of China (PRC). Commodities and software legally exported or reexported to a consignee in Country Group D:1 (except the People’s Republic of China (PRC)) (see supplement no. 1 to this part) that are sent to the United States or a foreign party for servicing may be returned to the country from which it was sent, provided that both of the following conditions are met:
(A) The exporter making the shipment is the same person or firm to whom the original license was issued; and
(B) The end use and the end user of the serviced commodities or software and other particulars of the transaction, as set forth in the application and supporting documentation that formed the basis for issuance of the license have not changed.
(iv) Terrorist supporting countries. No repaired commodity or software may be exported or reexported to countries in Country Group E:1 (see supplement no. 1 to this part).
(3) Replacements for defective or unacceptable equipment “subject to the EAR.”
(i) Subject to the following conditions, commodities or software may be exported or reexported to replace defective or otherwise unusable (e.g., erroneously supplied) items.
(A) The commodity or software is “subject to the EAR” (see § 734.2(a) of the EAR).
(B) The commodity or software to be replaced must have been previously exported or reexported in its present form under a license or authorization granted by BIS or an authorization, e.g., a license or exemption, issued under the authority of the Arms Export Control Act.
(C) No commodity or software may be exported or reexported to replace equipment that is worn out from normal use, nor may any commodity or software be exported to be held in stock abroad as spare equipment for future use.
(D) The replacement item may not improve the basic characteristic, e.g., as to accuracy, capability, performance, or productivity, of the equipment as originally authorized, e.g., under a license, license exception or an exemption, for export or reexport.
(E) No shipment may be made to countries in Country Group E:1 (see supplement no. 1 to this part), or to any other destination to replace defective or otherwise unusable equipment owned or controlled by, or leased or chartered to, a national of any of those countries.
(F) Commodities or “software” “subject to the EAR” and classified in 9×515 or “600 Series” ECCNs may not be exported or reexported to a destination identified in Country Group D:5 (see supplement no. 1 to this part).
(ii) In addition to the general conditions in paragraph (b)(3)(i) of this section, the following conditions apply to exports or reexports of replacements for defective or unacceptable commodities or software “subject to the EAR” (see § 734.2(a) of the EAR) to a destination in Country Group B or Country Group D:1 (see supplement no. 1 to this part):
(A) By making such an export or reexport, the exporter represents that all the requirements of this paragraph (b) have been met and undertakes to destroy or return the replaced parts as provided in paragraph (b)(3)(ii)(C) of this section.
(B) The defective or otherwise unusable equipment must be replaced free of charge, except for transportation and labor charges. If exporting to the countries listed in Country Group D:1 (except the PRC), the exporter shall replace the commodity or software within the warranty period or within 12 months of its shipment to the ultimate consignee in the country of destination, whichever is shorter.
(C) The commodity or software to be replaced must either be destroyed abroad or returned to the United States, or to a foreign firm in Country Group B that is under the effective control of the exporter, or to the foreign firm that is providing the replacement part or equipment. The destruction or return must be effected before, or promptly after, the replacement item is exported from the United States.
(D) A party reexporting replacements for defective or unacceptable U.S.-origin equipment must ensure that the commodities or software being replaced were shipped to their present location in accordance with U.S. law and continue to be legally used. See § 764.7 of the EAR for exports or reexports to the installed base in Libya.
(4) This paragraph (b)(4) authorizes the export of firearms controlled by ECCN 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that are temporarily in the United States for servicing or replacement for a period not exceeding one year or the time it takes to service or replace the commodity, whichever is shorter, provided that the requirements of paragraph (b)(2) or (3) of this section are met and:
(i) The firearms were not shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, except for any firearm model controlled by 0A501 that is specified under Annex A in Supplement No. 4 to this part;
(ii) When the firearms entered the U.S. as a temporary import, the temporary importer or its agent:
(A) Provided the following statement to U.S. Customs and Border Protection: “This shipment will be exported in accordance with and under the authority of License Exception RPL (15 CFR 740.10(b))”;
(B) Provided to U.S. Customs and Border Protection an invoice or other appropriate import-related documentation (or electronic equivalents) that includes a complete list and description of the firearms being temporarily imported, including their model, make, caliber, serial numbers, quantity, and U.S. dollar value; and
(C) Provided (if temporarily imported for servicing or replacement) to U.S. Customs and Border Protection the name, address and contact information (telephone number and/or email) of the organization or individual in the U.S. that will be receiving the item for servicing or replacement; and
(iii) In addition to the export clearance requirements of part 758 of the EAR, the exporter or its agent must provide the import documentation related to paragraph (b)(4)(iii)(B) of this section to U.S. Customs and Border Protection at the time of export.
In addition to complying with all applicable EAR requirements for the export of commodities described in paragraph (b)(4) of this section, exporters and temporary importers should contact U.S. Customs and Border Protection (CBP) at the port of temporary import or export, or at the CBP website, for the proper procedures for temporarily importing or exporting firearms controlled in ECCN 0A501.a or .b or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502, including regarding how to provide any data or documentation required by BIS.
(c) Special recordkeeping requirements: ECCNs 2A983, 2A984, 2D983 and 2D984, and “600 Series” ECCNs. (1) In addition to the other recordkeeping requirements set forth elsewhere in the EAR, exporters are required to maintain records, as specified in this section, for any items exported or reexported pursuant to License Exception RPL to repair, replace, or service previously lawfully exported or reexported items classified under ECCNs 2A983, 2A984, 2D983 and 2D984 or a “600 Series” ECCN. The following information must be maintained for each such export or reexport transaction:
(i) A description of the item replaced, repaired or serviced;
(ii) The type of repair or service;
(iii) Certification of the destruction or return of item replaced;
(iv) Location of the item replaced, repaired or serviced;
(v) The name and address of those who received the items for replacement, repair, or service;
(vi) Quantity of items shipped; and
(vii) Country of ultimate destination.
(2) Records maintained pursuant to this section may be requested at any time by an appropriate BIS official as set forth in § 762.7 of the EAR. Records that must be included in the annual or semi-annual reports of exports and reexports of “600 Series” items under the authority of License Exception RPL are described in §§ 743.4 and 762.2(b) of the EAR.
§ 740.11 Governments, international organizations, international inspections under the Chemical Weapons Convention, and the International Space Station (GOV).
This License Exception authorizes exports and reexports for international nuclear safeguards; U.S. government agencies or personnel; agencies of cooperating governments; international inspections under the Chemical Weapons Convention; and the International Space Station. Commodities listed in ECCN 0A501 are eligible only for transactions described in paragraphs (b)(2)(i) and (ii) of this section. Any item listed in a 0x5zz ECCN for export, reexport, or transfer (in-country) to an E:1 country is eligible only for transactions described in paragraphs (b)(2)(i) and (ii) solely for U.S. Government official use of this section.
(a) International safeguards – (1) Scope. The International Atomic Energy Agency (IAEA) is an international organization that establishes and administers safeguards, including Additional Protocols, designed to ensure that special nuclear materials and other related nuclear facilities, equipment, and material are not diverted from peaceful purposes to non-peaceful purposes. European Atomic Energy Community (Euratom) is an international organization of European countries with headquarters in Luxembourg. Euratom establishes and administers safeguards designed to ensure that special nuclear materials and other related nuclear facilities, equipment, and material are not diverted from peaceful purposes to non-peaceful purposes. This paragraph (a) authorizes exports and reexports of commodities or software to the IAEA and Euratom, and reexports by IAEA and Euratom for official international safeguard use, as follows:
(i) Commodities or software consigned to the IAEA at its headquarters in Vienna, Austria or its field offices in Toronto, Ontario, Canada or in Tokyo, Japan for official international safeguards use.
(ii) Commodities or software consigned to the Euratom Safeguards Directorate in Luxembourg, Luxembourg for official international safeguards use.
(iii) Commodities or software consigned to IAEA or Euratom may be reexported to any country for IAEA or Euratom international safeguards use provided that IAEA or Euratom maintains control of or otherwise safeguards the commodities or software and returns the commodities or software to the locations described in paragraphs (a)(1)(i) and (a)(1)(ii) of this section when they become obsolete, are no longer required, or are replaced.
(iv) Commodity or software shipments may be made by persons under direct contract with IAEA or Euratom, or by Department of Energy National Laboratories as directed by the Department of State or the Department of Energy.
(v) The monitoring functions of IAEA and Euratom are not subject to the restrictions on prohibited safeguarded nuclear activities described in § 744.2(a)(3) of the EAR.
(vi) When commodities or software originally consigned to IAEA or Euratom are no longer in IAEA or Euratom official safeguards use, such commodities may be disposed of by destruction or by reexport or transfer in accordance with the EAR.
(2) Restrictions. (i) Items on the Sensitive List (see supplement no. 6 to part 774 of the EAR) may not be exported, reexported, or transferred (in-country) under this paragraph (a), except to the countries listed in Country Group A:5 (See supplement no.1 to part 740 of the EAR).
(ii) Items on the Very Sensitive List (see supplement no. 7 to part 774 of the EAR) may not be exported, reexported, or transferred (in-country) under this paragraph (a).
(iii) Encryption items controlled for EI reasons under ECCNs 5A002, 5A004, 5D002, or 5E002 may not be exported, reexported, or transferred (in-country) under this paragraph (a). See § 740.17 of the EAR (License Exception ENC) for possible alternative license exception authorization.
(iv) Without prior authorization from the Bureau of Industry and Security, nationals of countries in Country Group E:1(see supplement no. 1 to this part) may not physically or computationally access computers that have been enhanced by “electronic assemblies,” which have been exported or reexported under License Exception GOV and have been used to enhance such computers by aggregation of processors so that the APP of the aggregation exceeds the APP parameter set forth in ECCN 4A003.b.
(v) “600 series” items may not be exported or reexported under this paragraph (a), except to the countries listed in Country Group A:5 (see supplement no.1 to this part).
(b) United States Government – (1) Scope. The provisions of this paragraph (b) authorize exports, reexports, and transfers (in-country) to personnel and agencies of the U.S. Government and certain exports by the Department of Defense. “Agency of the U.S. Government” includes all civilian and military departments, branches, missions, government-owned corporations, and other agencies of the U.S. Government, but does not include such national agencies as the American Red Cross or international organizations in which the United States participates such as the Organization of American States. Therefore, shipments may not be made to these non-governmental national or international agencies, except as provided in paragraph (b)(2)(i) of this section for U.S. representatives to these organizations.
(2) Eligibility – (i) Items for personal use by personnel and agencies of the U.S. Government. This provision is available for items in quantities sufficient only for the personal use of members of the U.S. Armed Forces or civilian personnel of the U.S. Government (including U.S. representatives to public international organizations), and their immediate families and household employees. Items for personal use include household effects, food, beverages, and other daily necessities.
(ii) Exports, reexports, and transfers (in-country) made by or consigned to a department or agency of the U.S. Government. This paragraph authorizes exports, reexports, and transfers of items when made by or consigned to a department or agency of the U.S. Government solely for its official use or for carrying out any U.S. Government program with foreign governments or international organizations that is authorized by law and subject to control by the President by other means. This paragraph does not authorize a department or agency of the U.S. Government to make any export, reexport, or transfer that is otherwise prohibited by other administrative provisions or by statute. Contractor support personnel of a department or agency of the U.S. Government are eligible for this authorization when in the performance of their duties pursuant to the applicable contract or other official duties. ‘Contractor support personnel’ for the purpose of this provision means those persons who provide administrative, managerial, scientific or technical support under contract to a U.S. Government department or agency (e.g., contractor employees of Federally Funded Research Facilities or Systems Engineering and Technical Assistance contractors). The term ‘contractor support personnel’ for purposes of this paragraph (b)(2)(ii) is limited to those individuals who are providing such support within a U.S. Government owned or operated facility or under the direct supervision of a U.S. government employee (i.e., an individual directly employed by the U.S. Government). Private security contractors are not ‘contractor support personnel’ for purposes of this paragraph (b)(2)(ii) because although they may work within a U.S. Government owned or operated facility, such contractors do not provide administrative, managerial, scientific or technical support under contract to the U.S. Government. This authorization is not available when a department or agency of the U.S. Government acts as a transmittal agent on behalf of a non-U.S. Government person, either as a convenience or in satisfaction of security requirements.
(iii) Exports, reexports, and transfers (in-country) made for or on behalf of a department or agency of the U.S. Government. (A) This paragraph authorizes exports, reexports, and transfers (in-country) of items solely for use by a department or agency of the U.S. Government, when:
(1) The items are destined to a U.S. person; and
(2) The item is exported, reexported, or transferred (in-country) pursuant to a contract between the exporter and a department or agency of the U.S. Government;
(B) This paragraph authorizes exports, reexports, and transfers (in-country) of items to implement or support any U.S. Government cooperative program, project, agreement, or arrangement with a foreign government or international organization or agency that is authorized by law and subject to control by the President by other means, when:
(1) The agreement is in force and in effect, or the arrangement is in operation;
(2) The exporter, reexporter, or transferor obtains a written authorization from the Secretary or agency head of the U.S. Government department or agency responsible for the program, agreement, or arrangement, or his or her designee, authorizing the exporter, reexporter, or transferor to use this license exception. The written authorization must include the scope of items to be shipped under this license exception; the end users and consignees of the items; and any restrictions on the export, reexport, or transfer (in-country) (including any restrictions on the foreign release of technology);
(3) The exporter, reexporter, or transferor has a contract with a department or agency of the U.S. Government for the provision of the items in furtherance of the agreement, or arrangement; and
(4) The items being exported, reexported, or transferred (in-country) are not controlled for Chemical Weapons Convention (CW) or proliferation of chemical and biological weapons (CB) reasons;
(C) This paragraph authorizes the ‘temporary’ export, reexport, or transfer (in-country) of an item in support of any foreign assistance or sales program authorized by law and subject to the control of the President by other means, when:
(1) The item is provided pursuant to a contract between the exporter, reexporter, or transferor and a department or agency of the U.S. Government; and
(2) The exporter, reexporter, or transferor obtains a written authorization from the Secretary or agency head of the U.S. Government department or agency responsible for the program, or his or her designee, authorizing the exporter, reexporter, or transferor to use this license exception. The written authorization must include the scope of items to be shipped under this license exception; the end users and consignees of the items; and any restrictions on the export, reexport, or transfer (in-country) (including any restrictions on the foreign release of technology);
‘Temporary,’ for purposes of paragraph (b)(2)(iii)(C) of this section, means that four years from the date of an item’s initial export, reexport, or transfer (in-country), it must be returned to the exporter, reexporter, or transferor or its disposition otherwise authorized (e.g., pursuant to a license or another license exception) in accordance with the EAR.
Items controlled for NS, MT, CB, NP, FC, or AT reasons may not be exported, reexported, or transferred (in-country) to, or for the use of military, police, intelligence entities, or other sensitive end users (e.g., contractors or other governmental parties performing functions on behalf of military, police, or intelligence entities) of a government in a Country Group E:1 or E:2 country.
(D) This paragraph authorizes the export, reexport, or transfer of commodities or software at the direction of the U.S. Department of Defense for an end use in support of an Acquisition and Cross Servicing Agreement (ACSA), when:
(1) The ACSA is between the U.S. Government and a foreign government or an international organization and is in force and in effect;
(2) The exporter, reexporter, or transferor has a contract with the department or agency of the U.S. government in furtherance of the ACSA; and
(3) The exporter, reexporter, or transferor obtains a written authorization from the Secretary or agency head of the U.S. Government department or agency responsible for the ACSA, or his or her designee, authorizing the exporter, reexporter, or transferor to use this license exception. The written authorization must include the scope of items to be shipped under this license exception; the end-users and consignees of the items; and any restrictions on the export, reexport, or transfer (in-country);
(E) This paragraph authorizes the export, reexport, or transfer (in-country) of Government Furnished Equipment (GFE) made by a U.S. Government contractor, when:
(1) The GFE will not be provided to any foreign person;
(2) The export, reexport, or transfer (in-country) is pursuant to a contract with a department or agency of the U.S. Government; and
(3) Shipment documents must include the following statement: “Property of [insert U.S. Government department, agency, or service]. Property may not enter the trade of the country to which it is shipped. Authorized under License Exception GOV. U.S. Government point of contact: [Insert name and telephone number].”
(F) Electronic Export Information. Electronic Export Information (EEI) must be filed in the Automated Export System (AES) for any export made pursuant to paragraph (b)(iii) of this section. The EEI must identify License Exception GOV as the authority for the export and indicate that the applicant has received the relevant documentation from the contracting U.S. Government department, agency, or service. The Internal Transaction Number assigned by AES must be properly annotated on shipping documents (bill of lading, airway bill, other transportation documents, or commercial invoice).
(G) The exporter, reexporter, or transferor must obtain an authorization, if required, before any item previously exported, reexported, or transferred (in-country) under this paragraph is resold, transferred, reexported, transshipped, or disposed of to an end user for any end use, or to any destination other than as authorized by this paragraph (e.g., property disposal of surplus items outside of the United States), unless:
(1) The transfer is pursuant to a grant, sale, lease, loan, or cooperative project under the Arms Export Control Act or the Foreign Assistance Act of 1961, as amended; or
(2) The item has been destroyed or rendered useless beyond the possibility of restoration.
(iv) Items exported at the direction of the U.S. Department of Defense. This paragraph authorizes items to be exported, reexported, or transferred (in-country) pursuant to an official written request or directive from the U.S. Department of Defense.
(v) This paragraph authorizes items sold, leased, or loaned by the U.S. Department of Defense to a foreign country or international organization pursuant to the Arms Export Control Act or the Foreign Assistance Act of 1961 when the items are delivered to representatives of such a country or organization in the United States and exported, reexported, or transferred on a military aircraft or naval vessel of that government or organization or via the Defense Transportation Service.
(vi) This paragraph authorizes transfer of technology in furtherance of a contract between the exporter and an agency of the U.S. Government, if the contract provides for such technology and the technology is not “development” or “production” technology for “600 series” items.
(c) Cooperating Governments and the North Atlantic Treaty Organization – (1) Scope. The provisions of this paragraph (c) authorize exports, reexports, and transfers (in-country) of the items listed in paragraph (c)(2) of this section to agencies of cooperating governments or agencies of the North Atlantic Treaty Organization (NATO). ‘Agency of a cooperating government’ includes all civilian and military departments, branches, missions, and other governmental agencies of a cooperating national government. ‘Cooperating governments’ are the national governments of countries listed in Country Group A:1 (see supplement no. 1 to this part) and the national governments of Singapore and Taiwan.
Civil intergovernmental organizations (such as the European Space Agency (ESA)) where the membership is limited to national governments that are ‘cooperating governments’ are also considered ‘cooperating governments’ for purposes of paragraph (c)(1) of this section. If the membership of the civil intergovernmental organization includes any national governments or other organizations that are not ‘cooperating governments,’ such civil intergovernmental organizations are not considered ‘cooperating governments’ for purposes of paragraph (c)(1) of this section. For example, civil intergovernmental organizations such as the European Aviation Safety Agency (EASA), the United Nations, and the World Bank do not fall within paragraph (c)(1) of this section because their membership includes governments that are not ‘cooperating governments.’
(2) Eligibility – (i) Items for official use within national territory by agencies of cooperating governments. This license exception is available for all items consigned to and for the official use of any ‘agency of a cooperating government’ within the territory of any cooperating government, except items excluded by paragraph (c)(3) of this section.
(ii) Items for official use by agencies of cooperating governments for military purposes or NATO. With the exception of items excluded by paragraph (c)(3) of this section, this license exception is available for all items consigned to and for the official use of:
(A) A military end user of or for the military end use of cooperating governments, or
(B) An agency of NATO.
(iii) Diplomatic and consular missions of a cooperating government. This license exception is available for all items consigned to and for the official use of a diplomatic or consular mission of a cooperating government located in any country in Country Group B (see supplement no. 1 to this part), except items excluded by paragraph (c)(3) of this section.
(3) Exclusions. The following items may not be exported, reexported, or transferred (in-country) under this paragraph (c):
(i) Items on the Sensitive List (see supplement no. 6 to part 774 of the EAR), except to or for the use by governments of countries listed in Country Group A:5 (see supplement no. 1 to this part) or an agency of NATO;
(ii) Items on the Very Sensitive List (see supplement no. 7 to part 774 of the EAR);
(iii) Encryption items controlled for EI reasons under ECCNs 5A002, 5A004, 5D002, or 5E002 (see § 740.17 of the EAR for License Exception ENC);
(iv) Regional stability items controlled under ECCNs 6A002.a.1.c, 6E001 “technology” according to the General Technology Note for the “development” of equipment in 6A002.a.1.c, and 6E002 “technology” according to the General Technology Note for the “production” of equipment in 6A002.a.1.c.;
(v) “600 series” items, except to or for the use by governments of countries listed in Country Group A:5 (see supplement no. 1 to this part) or an agency of NATO;
(vi) Items controlled for nuclear nonproliferation (NP) reasons;
(vii) Items listed as not eligible for License Exception STA in § 740.20(b)(2)(ii) of the EAR; or
(viii) Cybersecurity items as defined in § 740.22(b)(1) of the EAR.
(d) International inspections under the Chemical Weapons Convention (CWC or Convention). (1) The Organization for the Prohibition of Chemical Weapons (OPCW) is an international organization that establishes and administers an inspection and verification regime under the Convention designed to ensure that certain chemicals and related facilities are not diverted from peaceful purposes to non-peaceful purposes. This paragraph (d) authorizes exports and reexports to the OPCW and exports and reexports by the OPCW for official international inspection and verification use under the terms of the Convention as follows:
(i) Commodities and software consigned to the OPCW at its headquarters in The Hague for official international OPCW use for the monitoring and inspection functions set forth in the Convention, and technology relating to the maintenance, repair, and operation of such commodities and software. The OPCW must maintain “effective control” of such commodities, software and technology.
(ii) Controlled technology relating to the training of the OPCW inspectorate.
(iii) Controlled technology relating to a CWC inspection site, including technology released as a result of:
(A) Visual inspection of U.S.-origin equipment or facilities by foreign nationals of the inspection team;
(B) Oral communication of controlled technology to foreign nationals of the inspection team in the U.S. or abroad; and
(C) The application to situations abroad of personal knowledge or technical experience acquired in the U.S.
(2) Exclusions. The following items may not be exported or reexported under the provisions of this paragraph (d):
(i) Inspection samples collected in the U.S. pursuant to the Convention;
(ii) Commodities and software that are no longer in OPCW official use. Such items must be transferred in accordance with the EAR.
(iii) “600 series” items, except to the countries listed in Country Group A:5 (see supplement no. 1 to this part).
(3) Confidentiality. The application of the provisions of this paragraph (d) is subject to the condition that the confidentiality of business information is strictly protected in accordance with applicable provisions of the EAR and other U.S. laws regarding the use and transfer of U.S. goods and services.
(4) Restrictions. Without prior authorization from the Bureau of Industry and Security, nationals of countries in Country Group E:1 (see supplement no. 1 to this part) may not physically or computationally access computers that have been enhanced by “electronic assemblies,” which have been exported or reexported under License Exception GOV and have been used to enhance such computers by aggregation of processors so that the APP of the aggregation exceeds the APP parameter set forth in ECCN 4A003.b.
(e) International Space Station (ISS) – (1) Scope. The ISS is a research facility in a low-Earth orbit approximately 190 miles (350 km) above the surface of the Earth. The ISS is a joint project among the space agencies of the United States, Russia, Japan, Canada, Europe and Italy. This paragraph (e) authorizes exports and reexports required on short notice of certain commodities subject to the EAR that are classified under ECCN 9A004 to launch sites for supply missions to the ISS.
(2) Eligible commodities. Any commodity subject to the EAR that is classified under ECCN 9A004 and that is required for use on the ISS on short notice.
This license exception is not available for the export or reexport of “parts,” “components,” “accessories,” and “attachments” to overseas manufacturers for the purpose of incorporation into other items destined for the ISS.
For purposes of this paragraph (e), ‘short notice’ means the exporter is required to have a commodity manifested and at the scheduled launch site for hatch-closure (final stowage) no more than forty-five (45) days from the time the exporter or reexporter received complete documentation. ‘Complete documentation’ means the exporter or reexporter received the technical description of the commodity and purpose for use of the commodity on the ISS. ‘Hatch-closure (final stowage)’ means the final date specified by a launch provider by which items must be at a specified location in a launch country in order to be included on a mission to the ISS. The exporter or reexporter must receive the notification to supply the commodity for use on the ISS in writing. That notification must be kept in accordance with paragraph (e)(8) of this section and the Recordkeeping requirements in part 762 of the EAR.
(3) Eligible destinations. Eligible destinations are France, Japan, Kazakhstan, and Russia. To be eligible, a destination needs to have a launch for a supply mission to the ISS scheduled by a country participating in the ISS.
(4) Requirement for commodities to be launched on an eligible space launch vehicle (SLV). Only commodities that will be delivered to the ISS using United States, Russian, ESA (French), or Japanese space launch vehicles (SLVs) are eligible under this authorization. Commodities to be delivered to the ISS using SLVs from any other countries are excluded from this authorization.
(5) Authorizations – (i) Authorization to retain commodity at or near launch site for up to six months. If there are unexpected delays in a launch schedule for reasons such as mechanical failures in a launch vehicle or weather, commodities exported or reexported under this paragraph (e) may be retained at or near the launch site for a period of six (6) months from the time of initial export or reexport before the commodities must be destroyed, returned to the exporter or reexporter, or be the subject of an individually validated license request submitted to BIS to authorize further disposition of the commodities.
(ii) Authorization to retain commodity abroad at launch country beyond six months. If, after the commodity is exported or reexported under this authorization, a delay occurs in the launch schedule that would exceed the 6-month deadline in paragraph (e)(5)(i) of this section, the exporter or reexporter or the person in control of the commodities in the launch country may request a one-time 6-month extension by submitting written notification to BIS requesting a 6-month extension and noting the reason for the delay. If the requestor is not contacted by BIS within 30 days from the date of the postmark of the written notification and if the notification meets the requirements of this subparagraph, the request is deemed granted. The request must be sent to BIS at the address listed in part 748 of the EAR and should include the name and address of the exporter or reexporter, the name and address of the person who has control of the commodity, the date the commodities were exported or reexported, a brief product description, and the justification for the extension. To retain a commodity abroad beyond the 6-month extension period, the exporter, reexporter or person in control of the commodity must request authorization by submitting a license application in accordance with §§ 748.1, 748.4 and 748.6 of the EAR to BIS 90 days prior to the expiration of the 6-month extension period.
(iii) Items not delivered to the ISS because of a failed launch. If the commodities exported or reexported under this paragraph (e) of this section are not delivered to the ISS because a failed launch causes the destruction of the commodity prior to its being delivered, exporters and reexporters must make note of the destruction of the commodities in accordance with the recordkeeping requirements under paragraph (e)(8)(ii) of this section and part 762 of the EAR.
(6) Reexports to an alternate launch country. If a mechanical or weather related issue causes a change from the scheduled launch country to another foreign country after a commodity was exported or reexported, then that commodity may be subsequently reexported to the new scheduled launch country, provided all of the terms and conditions of paragraph (e) of this section are met, along with any other applicable EAR provisions. In such instances, the 6-month time limitation described in paragraph (e)(5)(i) of this section would start over again at the time of the subsequent reexport transaction. Note that if the subsequent reexport may be made under the designation No License Required (NLR) or pursuant to an authorization under the EAR, a reexporter does not need to rely on the provisions contained in this paragraph (e).
(7) Eligible recipients. Only persons involved in the launch of commodities to the ISS may receive and have access to commodities exported or reexported pursuant to this paragraph (e), except that:
(i) No commodities may be exported, reexported, or transferred (in-country) under paragraph (e) to any national of an E:1 country (see supplement no. 1 to this part), and
(ii) No person may receive commodities authorized under paragraph (e) of this section who is subject to an end-user or end-use control described in part 744 of the EAR, including the entity list in supplement no. 4 to part 744.
(8) Recordkeeping requirements. Exporters and reexporters must maintain records regarding exports or reexports made using this paragraph (e) of this section as well as any other applicable recordkeeping requirements under part 762 of the EAR.
(i) Exporters and reexporters must retain a record of the initial written notification they received requesting these commodities be supplied on short notice for a supply mission to the ISS, including the date the exporter or reexporter received complete documentation (i.e., the day on which the 45-day clock begins).
(ii) Exporters and reexporters must maintain records of the date of any exports or reexports made using this paragraph (e) and the date on which the commodities were launched into space for delivery to the ISS. If the commodities are not delivered to the ISS because of a failed launch whereby the item is destroyed prior to being delivered to the ISS, this must be noted for recordkeeping purposes.
(iii) The return or destruction of defective or worn out parts or components is not required. However, if defective or worn out parts or components originally exported or reexported pursuant to this paragraph (e) are returned from the ISS, then those parts and components may be either: returned to the original country of export or reexport; destroyed; or reexported or transferred (in-country) to a destination that has been designated by NASA for conducting a review and analysis of the defective or worn part or component. Documentation for this activity must be kept for recordkeeping purposes. No commodities that are subject to the EAR may be returned, under the provisions of this paragraph, to a country listed in Country Group E:1 (see supplement no. 1 to this part) or to any person if that person is subject to an end-user or end-use control described in part 744 of the EAR. For purposes of paragraph (e) of this section, a ‘defective or worn out’ part or component is a part or component that no longer performs its intended function.
§ 740.12 Gift parcels and humanitarian donations (GFT).
(a) Gift parcels – (1) Scope. The provisions of paragraph (a) authorize exports and reexports of gift parcels by an individual (donor) addressed to an individual, or a religious, charitable or educational organization (donee) located in any destination for the use of the donee or the donee’s immediate family (and not for resale). The gift parcel must be provided free of charge to the donee. However, payment by the donee of any handling charges or of any fees levied by the importing country (e.g., import duties, taxes, etc.) is not considered to be a cost to the donee for purposes of this definition of “gift parcel.”
(2) Commodity, value and other limitations – (i) Item limitations – (A) Prohibited items. (1) For Cuba no items listed on the Commerce Control List other than items listed in § 740.19(b) of the EAR may be included in a gift parcel.
(2) For all destinations, no items controlled for chemical and biological weapons (CB), missile technology (MT), national security (NS), nuclear proliferation (NP) or encryption items (EI) reasons on the Commerce Control List (supplement no. 1 to part 774 of the EAR) may be included in a gift parcel.
(3) Items prohibited for destinations in Country Group D:1 or E:2. For destinations in Country Group D:1 or E:2, military wearing apparel may not be included in a gift parcel regardless of whether all distinctive U.S. military insignia, buttons, and other markings are removed.
(4) Gold bullion, gold taels, and gold bars are prohibited as are items intended for resale or reexport.
(B) Eligible items. For all destinations, eligible items are food (including vitamins); medicines, medical supplies and devices (including hospital supplies and equipment and equipment for the handicapped); receive-only radio equipment for reception of commercial/civil AM/FM and short wave publicly available frequency bands, and batteries for such equipment; clothing; personal hygiene items; seeds; veterinary medicines and supplies; fishing equipment and supplies; soap-making equipment; as well as all other items of a type normally sent as gifts between individuals (including items listed in § 740.19(b) of the EAR) except for those items prohibited in paragraph (a)(2)(i)(A) of this section. Items in gift parcels must be in quantities normally given as gifts between individuals.
(ii) Import requirements. The commodities must be acceptable in type and quantity by the recipient country for import as gifts. Commodities exceeding the import limits may not be included in gift parcels.
(iii) Frequency. (A) Except for gift parcels of food to Cuba, not more than one gift parcel may be sent from the same donor to the same donee in any one calendar month.
(B) There is no frequency limit on gift parcels of food to Cuba.
(C) Parties seeking authorization to exceed the frequency limit due to compelling humanitarian concerns (e.g., for certain gifts of medicine) should submit a license application in accordance with §§ 748.1, 748.4 and 748.6 of the EAR to BIS with complete justification.
(iv) Value. The combined total domestic retail value of all commodities and software in a single gift parcel may not exceed $800. This limit does not apply to food sent in a gift parcel to Cuba.
(v) Ineligible recipients. (A) No gift parcel may be sent to any of the following officials of the Cuban government: Ministers and Vice-Ministers; members of the Council of State; members of the Council of Ministers; members and employees of the National Assembly of People’s Power; members of any provincial assembly; local sector chiefs of the Committees for the Defense of the Revolution; Director Generals and sub-Director Generals and higher of all Cuban ministries and state agencies; employees of the Ministry of the Interior (MININT); employees of the Ministry of Defense (MINFAR); secretaries and first secretaries of the Confederation of Labor of Cuba (CTC) and its component unions; chief editors, editors and deputy editors of Cuban state-run media organizations and programs, including newspapers, television, and radio; or members and employees of the Supreme Court (Tribuno Supremo Nacional).
(B) No gift parcel may be sent to any member of the Politburo.
(C) No gift parcel may be sent to organizations administered or controlled by the Cuban Government or the Cuban Communist Party.
(3) How to export gift parcels. (i) A gift parcel must be sent directly to the donee by the individual donor, or for such donor by a commercial or other gift-forwarding service or organization. Each gift parcel must show, on the outside wrapper, the name and address of the donor, as well as the name and address of the donee, regardless of whether sent by the donor or by a forwarding service.
(ii) Each parcel must have the notation “GIFT – Export License Not Required” written on the addressee side of the package and the symbol “GFT” written on any required customs declaration.
(b) Humanitarian donations – (1) Scope. The provisions of paragraph (b) authorize exports or reexports by groups or organizations of donations to meet basic human needs when those groups or organizations have experience in maintaining a verifiable system of distribution that ensures delivery to the intended beneficiaries.
(2) Basic human needs. Basic human needs are defined as those requirements essential to individual well-being: health, food, clothing, shelter, and education. These needs are considered to extend beyond those of an emergency nature and those that meet direct needs for mere subsistence.
(3) Eligible donors. Eligible donors are U.S. charitable organizations that have an established record of involvement in donative programs and experience in maintaining and verifying a system of distribution to ensure delivery of commodities and software to the intended beneficiaries. Eligible distribution arrangements may consist of any one or more of the following:
(i) A permanent staff maintained in the recipient country to monitor the receipt and distribution of the donations to the intended beneficiaries;
(ii) Periodic spot-checks in the recipient country by members of the exporter’s staff; or
(iii) An agreement to utilize the services of a charitable organization that has a monitoring system in place.
(4) Donations. To qualify for export under the provisions of this paragraph (b), the items must be provided free of charge to the beneficiary. The payment by the beneficiary, however, of normal handling charges or fees levied by the importing country (e.g., import duties, taxes, etc.) is not considered to be a cost to the beneficiary for purposes of this paragraph (b).
(5) Ineligible commodities and software. The following commodities and software are not eligible:
(i) Commodities and software controlled for national security, chemical or biological weapons, and nuclear nonproliferation, missile technology or crime control reasons (see supplement no. 1 to part 774 of the EAR);
(ii) Exports for large-scale projects of the kind associated with comprehensive economic growth, such as dams and hydroelectric plants; or
(iii) Exports to Cuba of medical items excluded by § 746.2(b)(1) of the EAR.
(6) Eligible items. Eligible commodities and software are those listed in supplement no. 2 to part 740.
(7) Additional recordkeeping requirements. In addition to the recordkeeping requirements in part 762 of the EAR, donors must keep records containing the following information:
(i) The donor organization’s identity and past experience as an exporter of goods to meet basic human needs;
(ii) Past and current countries to which the donative programs have been and are being directed, with particular reference to donative programs in embargoed destinations;
(iii) Types of projects and commodities involved in the donative programs;
(iv) Specific class(es) of beneficiaries of particular donated goods intended to be exported under this License Exception; and
(v) Information concerning the source of funding for the donative programs and the projected annual value of exports of humanitarian donations.
§ 740.13 Technology and software – unrestricted (TSU).
This license exception authorizes exports and reexports of operation technology and software; sales technology and software; software updates (bug fixes); “mass market” software subject to the General Software Note; and release of technology and source code in the United States by U.S. universities to their bona fide and full time regular employees. Note that encryption software subject to the EAR is not subject to the General Software Note (see paragraph (d)(2) of this section).
(a) Operation technology and software – (1) Scope. The provisions of paragraph (a) permit exports and reexports of operation technology and software. “Operation technology” is the minimum technology necessary for the installation, operation, maintenance (checking), or repair of those commodities or software that are lawfully exported or reexported under a license, a License Exception, or NLR. The “minimum necessary” operation technology does not include technology for development or production and includes use technology only to the extent required to ensure safe and efficient use of the commodity or software. Individual entries in the software and technology subcategories of the CCL may further restrict the export or reexport of operation technology. This paragraph (a) authorizes training, provided the training is limited to the operation, maintenance and repair technology identified in this paragraph.
(2) Provisions and destinations – (i) Provisions. Operation software may be exported or reexported provided that both of the following conditions are met:
(A) The operation software is the minimum necessary to operate equipment authorized for export or reexport; and
(B) The operation software is in object code.
(ii) Destinations. Operation software and technology may be exported or reexported to any destination to which the equipment for which it is required has been or is being legally exported or reexported.
(b) Sales technology – (1) Scope. The provisions of paragraph (b) authorize exports and reexports of sales technology. “Sales technology” is data supporting a prospective or actual quotation, bid, or offer to sell, lease, or otherwise supply any item.
(2) Provisions and destinations – (i) Provisions. Sales technology may be exported or reexported provided that:
(A) The technology is a type customarily transmitted with a prospective or actual quotation, bid, or offer in accordance with established business practice; and
(B) Neither the export nor the reexport will disclose the detailed design, production, or manufacture technology, or the means of reconstruction, of either the quoted item or its product. The purpose of this limitation is to prevent disclosure of technology so detailed that the consignee could reduce the technology to production.
(ii) Destinations. Sales technology may be exported or reexported to any destination.
Neither this section nor its use means that the U.S. Government intends, or is committed, to approve a license application for any commodity, plant, software, or technology that may be the subject of the transaction to which such quotation, bid, or offer relates. Exporters are advised to include in any quotations, bids, or offers, and in any contracts entered into pursuant to such quotations, bids, or offers, a provision relieving themselves of liability in the event that a license (when required) is not approved by the Bureau of Industry and Security.
(c) Software updates. The provisions of paragraph (c) authorize exports and reexports of software updates that are intended for and are limited to correction of errors (“fixes” to “bugs”) in software lawfully exported or reexported (original software). Such software updates may be exported or reexported only to the same consignee to whom the original software was exported or reexported, and such software updates may not enhance the functional capacities of the original software. Such software updates may be exported or reexported to any destination to which the software for which they are required has been legally exported or reexported.
(d) General Software Note: mass market software – (1) Scope. The provisions of paragraph (d) authorize exports and reexports of mass market software subject to the General Software Note (see supplement no. 2 to part 774 of the EAR; also referenced in this section).
(2) Exclusions. The provisions of this paragraph (d) are not available for encryption software controlled for “EI” reasons under ECCN 5D002 or for encryption software with symmetric key length exceeding 64-bits that qualifies as mass market encryption software under the criteria in the Cryptography Note (Note 3) of Category 5, Part 2, of the CCL (supplement No. 1 to part 774 of the EAR). (Once such mass market encryption software has been released from “EI” and “NS” controls pursuant to § 740.17(b) of the EAR, it is controlled under ECCN 5D992.c and is thus outside the scope of License Exception TSU.) See § 740.17(b) of the EAR for exports and reexports of mass market encryption products controlled under ECCN 5D992.c.
(3) Provisions and destinations – (i) Destinations. Mass market software is available to all destinations except destinations in Country Group E:1 (see supplement no. 1 to this part).
(ii) Provisions. Mass market treatment is available for software that is generally available to the public by being:
(A) Sold from stock at retail selling points, without restriction, by means of:
(1) Over the counter transactions;
(2) Mail order transactions; or
(3) Telephone call transactions; and
(B) Designed for installation by the user without further substantial support by the supplier.
(e) [Reserved]
(f) Release of technology and source code in the U.S. by U.S. universities to their bona fide and full time regular employees – (1) Scope. This paragraph authorizes the release in the United States of “technology” and source code that is subject to the EAR by U.S. universities to foreign nationals who are their bona fide and full time regular employees.
(2) Eligible foreign nationals (i.e., bona fide and full time regular employees of U.S. universities). This exception is only available if:
(i) The employee’s permanent residence throughout the period of employment is in the U.S.;
(ii) The employee is not a national of a destination listed in Country Group D:5 (see supplement no. 1 to part 740 of the EAR); and
(iii) The university informs the individual in writing that the “technology” or source code may not be transferred to other foreign nationals without prior U.S. Government authorization. The obligation not to transfer technology extends beyond the tenure of employment at the university.
(3) Regular employee. A regular employee means:
(i) An individual permanently and directly employed by the university; or
(ii) An individual in a long-term contractual relationship with the university where the individual works at the university’s facilities; works under the university’s direction and control; works full time and exclusively for the university; executes nondisclosure certifications for the university; and where the staffing agency that has seconded the individual has no role in the work the individual performs (other than providing that individual for that work) and the staffing agency would not have access to any controlled technology (other than where specifically authorized by a license or where a license exception is available).
(4) Exclusions. (i) No “technology” or source code may be released to a foreign national who is subject to a part 744 end-use or end-user control or where the release would otherwise be inconsistent with part 744; and
(ii) No “technology” controlled for “EI” (encryption) reasons or “technology” or source code controlled for “MT” (Missile Technology) reasons may be released under this paragraph (f).
(g) Copies of technology previously authorized for export to same recipient. This paragraph authorizes the export, reexport, or transfer (in-country) of copies of technology previously authorized for export, reexport, or transfer (in-country) to the same recipient. This paragraph also authorizes the export, reexport, or transfer (in-country) of revised copies of such technology provided the following three conditions are met:
(1) The item that the technology pertains to is the identical item;
(2) The revisions to the technology are solely editorial and do not add to the content of technology previously exported, reexported, or transferred (in-country) or authorized for export, reexport, or transfer (in-country) to the same recipient; and
(3) The exporter, reexporter, or transferor has no reason to believe the same recipient has used the technology in violation of the original authorization.
(h) Special recordkeeping requirements: ECCNs 2D983, 2D984, 2E983 and 2E984. In addition to any other recordkeeping requirements set forth elsewhere in the EAR, exporters are required to maintain records, as specified in this paragraph, when exporting operation software or technology controlled under ECCNs 2D983, 2D984, 2E983, and 2E984, respectively, under License Exception TSU. Records maintained pursuant to this section may be requested at any time by an appropriate BIS official as set forth in § 762.7 of the EAR. The following information must be specially maintained for each export or reexport transaction, under License Exception TSU, of operation software and technology controlled by ECCNs 2D983, 2D984, 2E983, and 2E984:
(1) A description of the software or technology exported or reexported, including the ECCN, as identified on the CCL;
(2) A description of the equipment for which the software or technology is intended to be used, including the ECCN, as indentified on the CCL;
(3) The intended end-use of the software or technology;
(4) The name and address of the end-user;
(5) The quantity of software shipped; and
(6) The location of the equipment for which the software or technology is intended to be used, including the country of destination.
§ 740.14 Baggage (BAG).
(a) Scope. This License Exception authorizes individuals leaving the United States either temporarily (i.e., traveling) or longer-term (i.e., moving) and crew members of exporting or reexporting carriers to take to any destination, as personal baggage, the classes of commodities, software and technology described in this section.
(b) Eligibility. Individuals leaving the United States may export or reexport any of the following commodities or software for personal use of the individuals or members of their immediate families traveling with them to any destination or series of destinations. Individuals leaving the United States who are U.S. persons, as defined in paragraph (b)(4)(i), may export or reexport technology as a tool of trade under paragraph (b)(4) for their personal use or for the personal use of members of their immediate families who are traveling or moving with them, provided they are also U.S. persons, as defined in paragraph (b)(4)(i), to any destination or series of destinations. Technology exports and reexports authorized under paragraph (b)(4) of this section may be made as actual shipments, transmissions, or releases. Individuals leaving the United States temporarily (i.e., traveling) must bring back items exported and reexported under this License Exception unless they consume the items abroad or are otherwise authorized to dispose of them under the EAR. Crew members may export or reexport only commodities and software described in paragraphs (b)(1) and (b)(2) of this section to any destination.
(1) Personal effects. Usual and reasonable kinds and quantities for personal use of wearing apparel, articles of personal adornment, toilet articles, medicinal supplies, food, souvenirs, games, and similar personal effects, and their containers.
(2) Household effects. Usual and reasonable kinds and quantities for personal use of furniture, household effects, household furnishings, and their containers.
(3) Vehicles. Usual and reasonable kinds and quantities of vehicles, such as passenger cars, station wagons, trucks, trailers, motorcycles, bicycles, tricycles, perambulators, and their containers.
(4) Tools of trade. Usual and reasonable kinds and quantities of tools, instruments, or equipment and their containers and also technology for use in the trade, occupation, employment, vocation, or hobby of the traveler or members of the household who are traveling or moving. For special provisions regarding firearms and ammunition, see paragraph (e) of this section. For special provisions regarding encryption commodities and software subject to EI controls, see paragraph (f) of this section. For a special provision that specifies restrictions regarding the export or reexport of technology under this paragraph (b)(4), see paragraph (g) of this section. For special provisions regarding personal protective equipment under ECCN 1A613.c or .d, see paragraph (h) of this section.
(i) For purposes of this paragraph (b), U.S. person is defined as follows: an individual who is a citizen of the United States, an individual who is a lawful permanent resident as defined by 8 U.S.C. 1101(a)(2) or an individual who is a protected individual as defined by 8 U.S.C. 1324b(a)(3).
(ii) [Reserved]
(c) Limits on eligibility. The export of any item is limited or prohibited, if the kind or quantity is in excess of the limits described in this section. In addition, the items must be:
(1) Owned by the individuals (or by members of their immediate families) or by crew members of exporting carriers on the dates they depart from the United States;
(2) Intended for and necessary and appropriate for the use of the individuals or members of their immediate families traveling with them, or by the crew members of exporting carriers;
(3) Not intended for sale or other disposal; and
(4) Not exported under a bill of lading as cargo if exported by crew members.
(d) Special provision: unaccompanied baggage. Individuals departing the United States may ship unaccompanied baggage, which is baggage sent from the United States on a carrier other than that on which an individual departs. Crew members of exporting carriers may not ship unaccompanied baggage. Unaccompanied shipments under this License Exception shall be clearly marked “BAGGAGE.” Shipments of unaccompanied baggage may be made at the time of, or within a reasonable time before or after departure of the consignee or owner from the United States. Personal baggage controlled for chemical and biological weapons (CB), missile technology (MT), national security (NS), encryption items (EI) or nuclear nonproliferation (NP) must be shipped within 3 months before or after the month in which the consignee or owner departs the United States. However, commodities controlled for CB, MT, NS, EI or NP may not be exported under this License Exception as unaccompanied baggage to Country Groups D:1, D:2, D:3, D:4, or E:1. (See supplement no. 1 of this part).
(e) Special provisions for firearms and ammunition. (1) A United States citizen or a permanent resident alien leaving the United States may export or reexport shotguns with a barrel length of 18 inches or over and shotgun shells under this License Exception, subject to the following limitations:
(i) Not more than three shotguns may be taken on any one trip.
(ii) The shotguns and shotgun shells must be with the person’s baggage but they may not be mailed.
(iii) The shotguns and shotgun shells must be for the person’s exclusive use for legitimate hunting or lawful sporting purposes, scientific purposes, or personal protection, and not for resale or other transfer of ownership or control. Accordingly, except as provided in (e)(2) of this section, shotguns may not be exported permanently under this License Exception. All shotguns and unused shotgun shells must be returned to the United States. Note that since certain countries may require an Import Certificate or a U.S. export license before allowing the import of a shotgun, you should determine the import requirements of your country of destination in advance.
(2) A nonresident alien leaving the United States may export or reexport under this License Exception only such shotguns and shotgun shells as he or she brought into the United States under the provisions of the Department of Justice Regulations (27 CFR 478.115(d)).
(3) A United States citizen or a permanent resident alien leaving the United States may export under this License Exception firearms, “parts,” “components,” “accessories,” or “attachments” controlled under ECCN 0A501 and ammunition controlled under ECCN 0A505.a, subject to the following limitations:
(i) Not more than three firearms and 1,000 rounds of ammunition may be taken on any one trip.
(ii) “Parts,” “components,” “accessories,” and “attachments” exported pursuant to this paragraph (e)(3) must be of a kind and limited to quantities that are reasonable for the activities described in paragraph (e)(3)(iv) of this section or that are necessary for routine maintenance of the firearms being exported.
(iii) The commodities must be with the person’s baggage.
(iv) The commodities must be for the person’s exclusive use and not for resale or other transfer of ownership or control. Accordingly, except as provided in paragraph (e)(4) of this section, firearms, “parts,” “components,” “accessories,” “attachments,” and ammunition, may not be exported permanently under this License Exception. All firearms, “parts,” “components,” “accessories,” or “attachments” controlled under ECCN 0A501 and all unused ammunition controlled under ECCN 0A505.a exported under this License Exception must be returned to the United States.
(v) Travelers leaving the United States temporarily are required to declare the firearms, “parts,” “components,” “accessories,” “attachments,” and ammunition being exported under this License Exception to a Customs and Border Protection (CBP) officer prior to departure from the United States and present such items to the CBP officer for inspection, confirming that the authority for the export is License Exception BAG and that the exporter is compliant with its terms.
(4) A nonimmigrant alien leaving the United States may export or reexport under this License Exception only such firearms controlled under ECCN 0A501 and ammunition controlled under ECCN 0A505 as he or she brought into the United States under the relevant provisions of Department of Justice regulations at 27 CFR part 478.
(f) Special provisions: encryption commodities and software subject to EI controls on the Commerce Control List. (1) A U.S. citizen or permanent resident alien of the United States as defined by 8 U.S.C. 1101(a)(20) may use this license exception to export or reexport encryption commodities and software to any destination not in Country Group E:1 of supplement no. 1 of this part.
(2) A person other than a U.S. citizen or permanent resident alien of the United States as defined by 8 U.S.C. 1101(a)(20) (except a national of a country listed in Country Group E:1 of supplement no. 1 of this part who is not a U.S. citizen or permanent resident alien of the United States) may also use this license exception to export or reexport encryption commodities and software to any destination not in Country Group E:1 of supplement no. 1 of this part.
(g) Special provision: restrictions for Export or Reexport of Technology. This authorization for the export or reexport of technology under the tools of trade provisions of paragraph (b)(4) of this section may be used only if:
(1) The technology is to be used overseas solely by individuals or members of their immediate families traveling with them provided they are U.S. persons as defined in paragraph (b)(4)(i).
(2) The exporting or reexporting party and the recipient take adequate security precautions to protect against unauthorized access to the technology while the technology is being transmitted and used overseas. Examples of security precautions to help prevent unauthorized access include the following:
(i) Use of secure connections, such as Virtual Private Network connections when accessing IT networks for e-mail and other business activities that involve the transmission and use of the technology authorized under this license exception;
(ii) Use of password systems on electronic devices that will store the technology authorized under this license exception; and
(iii) Use of personal firewalls on electronic devices that will store the technology authorized under this license exception.
(3) The technology authorized under these provisions may not be used for foreign production purposes or for technical assistance unless authorized by BIS;
(4) Any encryption item controlled under ECCN 5E002 is not exported or reexported to any destination listed in Country Group E:1 of supplement no. 1 of this part.
(h) Special provisions: personal protective equipment classified under ECCN 1A613.c or .d – (1) Exports, reexports, or in-country transfers to countries not identified in Country Group D:5. U.S. persons may export, reexport, or transfer (in-country) one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to countries not identified in Country Group D:5, provided that:
(i) The items are with the U.S. person’s baggage or effects, whether accompanied or unaccompanied (but not mailed); and
(ii) The items are for that person’s exclusive use and not for transfer of ownership unless reexported or transferred (in-country) to another U.S. person.
(2) Exports, reexports, or in-country transfers to countries identified in Country Group D:5 – (i) Iraq. U.S. persons may export, reexport, or transfer (in-country) one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to Iraq, for personal use, provided that the requirements in paragraph (h)(1) of this section are met. In addition, the U.S. person must be affiliated with the U.S. Government and traveling on official business or traveling in support of a U.S. Government contract, or the U.S. person must be traveling to Iraq under a direct authorization by the Government of Iraq and engaging in activities for, on behalf of, or at the request of, the Government of Iraq. Documentation regarding direct authorization from the Government of Iraq shall include an English translation.
(ii) Other countries in Country Group D:5. U.S. persons may export, reexport, or transfer (in-country) one set of body armor classified under ECCN 1A613.d (which may include one helmet classified under ECCN 1A613.c) or one set of chemical or biological agent protective gear classified under ECCN 1A607.f (which may include one additional filter canister classified under ECCN 1A607.x) to countries in Country Group D:5 (except Iraq), for personal use, provided that the requirements in paragraph (h)(1) of this section are met, and the U.S. person is affiliated with the U.S. Government traveling on official business or is traveling in support of a U.S. Government contract.
Body armor controlled under ECCN 1A005 is eligible for this License Exception under paragraph (b) of this section.
§ 740.15 Aircraft, vessels and spacecraft (AVS).
This License Exception authorizes departure from the United States of foreign registry civil aircraft on temporary sojourn in the United States and of U.S. civil aircraft for temporary sojourn abroad; the export of equipment and spare parts for permanent use on a vessel or aircraft; exports to vessels or planes of U.S. or Canadian registry and U.S. or Canadian Airlines’ installations or agents; the export or reexport of cargo that will transit Cuba on an aircraft or vessel on temporary sojourn; and the export of spacecraft and components for fundamental research. Generally, no License Exception symbol is necessary for export clearance purposes; however, when necessary, the symbol “AVS” may be used.
(a) Aircraft on temporary sojourn – (1) Foreign registered aircraft. An operating civil aircraft of foreign registry that has been in the United States on a temporary sojourn may depart from the United States under its own power for any destination, provided that:
(i) No sale or transfer of operational control of the aircraft to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part) has occurred while in the United States;
(ii) The aircraft is not departing for the purpose of sale or transfer of operational control to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part); and
(iii) It does not carry from the United States any item for which an export license is required and has not been granted by the U.S. Government.
(2) U.S. registered aircraft. (i) A civil aircraft of U.S. registry operating under an Air Carrier Operating Certificate, Commercial Operating Certificate, or Air Taxi Operating Certificate issued by the Federal Aviation Administration (FAA) or conducting flights under operating specifications approved by the FAA pursuant to 14 CFR part 129, or an air ambulance of U.S. registry operating under 14 CFR part 135, may depart from the United States under its own power for any destination, provided that:
(A) The aircraft does not depart for the purpose of sale, lease or other disposition of operational control of the aircraft, or its equipment, parts, accessories, or components to a foreign country or any national thereof;
(B) The aircraft’s U.S. registration will not be changed while abroad;
(C) The aircraft is not to be used in any foreign military activity while abroad; and
(D) The aircraft does not carry from the United States any item for which a license is required and has not been granted by the U.S. Government.
(ii) Any other operating civil aircraft of U.S. registry may depart from the United States under its own power for any destination, except to or a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part) (flights to these destinations require a license), provided that:
(A) The aircraft does not depart for the purpose of sale, lease or other disposition of operational control of the aircraft, or its equipment, parts, accessories, or components to a foreign country or any national thereof;
(B) The aircraft’s U.S. registration will not be changed while abroad;
(C) The aircraft is not to be used in any foreign military activity while abroad;
(D) The aircraft does not carry from the United States any item for which an export license is required and has not been granted by the U.S. Government; and
(E) The aircraft will be operated while abroad by a U.S. licensed pilot, except that during domestic flights within a foreign country, the aircraft may be operated by a pilot currently licensed by that foreign country.
(3) Criteria. The following ten criteria each must be met if the flight is to qualify as a temporary sojourn. To be considered a temporary sojourn, the flight must not be for the purpose of sale or transfer of operational control. An export is for the transfer of operational control unless the exporter retains each of the following indicia of control:
(i) Hiring of cockpit crew. Right to hire and fire the cockpit crew.
(ii) Dispatch of aircraft. Right to dispatch the aircraft.
(iii) Selection of routes. Right to determine the aircraft’s routes (except for contractual commitments entered into by the exporter for specifically designated routes).
(iv) Place of maintenance. Right to perform or obtain the principal maintenance on the aircraft, which principal maintenance is conducted outside a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part), under the control of a party who is not a national of any of these countries. (The minimum necessary in-transit maintenance may be performed in any country).
(v) Location of spares. Spares are not located in a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(vi) Place of registration. The place of registration is not changed to a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(vii) Transfer of technology. No technology is transferred to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part), except the minimum necessary for in-transit maintenance to perform flight line servicing required to depart safely.
(viii) Color and logos. The aircraft does not bear the livery, colors, or logos of a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(ix) Flight number. The aircraft does not fly under a flight number issued to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part) as such number appears in the Official Airline Guide.
(x) Lease or charter. The aircraft is not leased to or chartered by a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(4) Reexports. Civil aircraft legally exported from the United States may be reexported under this section, provided the restrictions described in this paragraph (a) are met.
An aircraft exported or reexported to a country pursuant to this paragraph (a) may not remain in that country for more than seven consecutive days before it departs for a country to which it may be exported without a license or the United States.
(b) Equipment and spare parts for permanent use on a vessel or aircraft, and ship and plane stores – (1) Vessel. Equipment and spare parts for permanent use on a vessel, when necessary for the proper operation of such vessel, may be exported or reexported for use on board a vessel of any registry, except a vessel registered in Country Group D:1 (see supplement no. 1 to part 740), Cuba, or owned or controlled by, or under charter or lease to any of these countries or their nationals. In addition, other equipment and services for necessary repair to fishing and fishery support vessels of Country Group D:1 may be exported for use on board such vessels when admitted into the United States under governing international fishery agreements.
(2) Aircraft. Equipment and spare parts for permanent use on an aircraft, when necessary for the proper operation of such aircraft, may be exported or reexported for use on board an aircraft of any registry, except an aircraft registered in, owned or controlled by, or under charter or lease to a country included in Country Group D:1, Cuba, or a national of any of these countries.
(3) Ship and plane stores. Usual and reasonable kinds and quantities of the following commodities may be exported for use or consumption on board an aircraft or vessel of any registry during the outgoing and immediate return flight or voyage.
(i) Deck, engine, and steward department stores, provisions, and supplies for both port and voyage requirements;
(ii) Medical and surgical supplies;
(iii) Food stores;
(iv) Slop chest articles;
(v) Saloon stores or supplies.
(4) Cuba. Only items designated as EAR99 or controlled on the Commerce Control List (CCL) (supplement no. 1 to part 774 of the EAR) only for anti-terrorism reasons (i.e., anti-terrorism must be the only reason for control that applies to the item as set forth in the Export Control Classification Number (ECCN) that controls the item) are eligible for export or reexport to Cuba pursuant to this paragraph (b).
(c) Shipments to U.S. or Canadian vessels, planes and airline installations or agents – (1) Exports to vessels or planes of U.S. or Canadian registry. Export may be made of the commodities set forth in paragraph (c)(3) of this section, for use by or on a specific vessel or plane of U.S. or Canadian registry located at any seaport or airport outside the United States or Canada except a port in Cuba or Country Group D:1 (excluding the PRC), (see supplement no. 1 to part 740) provided that such commodities are all of the following:
(i) Ordered by the person in command or the owner or agent of the vessel or plane to which they are consigned;
(ii) Intended to be used or consumed on board such vessel or plane and necessary for its proper operation;
(iii) In usual and reasonable kinds and quantities during times of extreme need; and
(iv) Shipped as cargo for which Electronic Export Information (EEI) is filed to the Automated Export System (AES) in accordance with the requirements of the Foreign Trade Regulations (FTR) (15 CFR part 30), except EEI is not required to be filed when any of the commodities, other than fuel, is exported by U.S. airlines to their own aircraft abroad for their own use, see 15 CFR 30.37(o) of the FTR.
(2) Exports to U.S. or Canadian airline’s installation or agent. Exports of the commodities set forth in paragraph (c)(3) of this section, except fuel, may be made to a U.S. or Canadian airline’s
(i) Ordered by a U.S. or Canadian airline and consigned to its own installation or agent abroad;
(ii) Intended for maintenance, repair, or operation of aircraft registered in either the United States or Canada, and necessary for the aircraft’s proper operation, except where such aircraft is located in, or owned, operated or controlled by, or leased or chartered to, Cuba or Country Group D:1 (excluding the PRC) (see supplement no. 1 to part 740) or a national of such country;
(iii) In usual and reasonable kinds and quantities; and
(iv) Shipped as cargo for which Electronic Export Information (EEI) is filed to the Automated Export System (AES) in accordance with the requirements of the Foreign Trade Regulations (FTR) (15 CFR part 30), except EEI is not required to be filed when any of these commodities is exported by U.S. airlines to their own installations and agents abroad for use in their aircraft operations, see 15 CFR 30.37(o) of the FTR.
(3) Applicable commodities. This paragraph (c) applies to the following commodities, subject to the provisions in paragraph (c)(1) and (c)(2) of this section:
(i) Deck, engine, and steward department stores, provisions, and supplies for both port and voyage requirements;
(ii) Medical and surgical supplies;
(iii) Food stores;
(iv) Slop chest articles;
(v) Saloon stores or supplies; and
(vi) Equipment and spare parts.
(d) Vessels on temporary sojourn – (1) Foreign flagged vessels. A foreign flagged vessel in the United States may depart from the United States under its own power for any destination, provided that:
(i) No sale or transfer of operational control of the vessel to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part) has occurred while in the United States;
(ii) The vessel is not departing for the purpose of sale or transfer of operational control to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part); and
(iii) The vessel does not carry from the United States any item for which a license is required and has not been granted by the U.S. Government.
(2) U.S. flagged vessels. A U.S. flagged vessel may depart from the United States under its own power for any destination, provided that:
(i) The vessel does not depart for the purpose of sale, lease, or transfer of operational control of the vessel, or its equipment, parts, accessories, or components, to a foreign country or any national thereof;
(ii) The vessel’s U.S. flag will not be changed while abroad;
(iii) The vessel will not be used in any foreign military activity while abroad;
(iv) The vessel will not carry from the United States any item for which a license is required and has not been granted by the U.S. Government;
(v) Spares for the vessel are not located in a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part);
(vi) Technology is not transferred to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part), except the minimum necessary in-transit maintenance to perform servicing required to depart and enter a port safely; and
(vii) The vessel does not bear the livery, colors, or logos of a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(3) Criteria for temporary sojourn of vessels. The following criteria must be met if a voyage is to be considered a temporary sojourn under this paragraph (d). To be considered a temporary sojourn, the voyage must not be for the purpose of sale or transfer of operational control. A transfer of operational control occurs unless the exporter or reexporter retains each of the following indicia of control:
(i) Hiring of crew. Right to hire and fire the crew.
(ii) Dispatch of vessel. Right to dispatch the vessel.
(iii) Selection of routes. Right to determine the vessel’s routes (except for contractual commitments entered into by the exporter for specifically designated routes).
(iv) Place of maintenance. Right to perform or obtain the principal maintenance on the vessel, which principal maintenance is conducted outside a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part), under the control of a party who is not a national of any of these countries. (The minimum necessary in-transit maintenance may be performed in any country).
(v) Lease or charter. The vessel is not leased to or chartered by a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(4) Reexports. Vessels subject to the EAR may be reexported under this section on temporary sojourn, provided that:
(i) The vessel does not depart for the purpose of sale, lease, or transfer of operational control of the vessel, or its equipment, parts, accessories, or components, to a foreign country or any national thereof;
(ii) The vessel’s flag will not be changed while abroad;
(iii) The vessel will not be used in any foreign military activity while abroad;
(iv) The vessel will not carry any item for which a license is required and has not been granted by the U.S. Government;
(v) Spares for the vessel are not located in a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part);
(vi) Technology is not transferred to a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part), except the minimum necessary in-transit maintenance to perform servicing required to depart and enter a port safely; and
(vii) The vessel does not bear the livery, colors, or logos of a national of a destination in Country Group E:1 or E:2 (see supplement no. 1 to this part).
(5) No vessels may be exported or reexported under this License Exception to a country in Country Group E:1.
(6) Cuba, eligible vessels and purposes. For Cuba, only cargo vessels for hire for use in the transportation of items are eligible for this paragraph (d).
A vessel exported or reexported to a country pursuant to this paragraph (d) may not remain in that country for more than 14 consecutive days before it departs for a country to which it may be exported without a license or the United States.
(e) Intransit cargo. Cargo laden on board an aircraft or vessel may transit Cuba provided:
(1) The aircraft or vessel is exported or reexported on temporary sojourn to Cuba pursuant to paragraph (a) or (d) of this section or a license from BIS; and
(2) The cargo departs with the aircraft or vessel at the end of its temporary sojourn to Cuba, is not removed from the aircraft or vessel for use in Cuba and is not transferred to another aircraft or vessel while in Cuba.
(f) Spacecraft for launch. This paragraph (e) authorizes the export by accredited U.S. institutions of higher learning of commodities subject to the EAR fabricated only for fundamental research purposes when all of the following conditions are met:
(1) The export is to an accredited institution of higher learning, a governmental research center, or an established government funded private research center located in a country other than Country Group D:5 (see supp. no. 1 to this part) and involves exclusively nationals of such countries;
(2) All the information about the commodity, including its design, and all of the resulting information obtained through fundamental research involving the commodity will be published and shared broadly within the scientific community, and is not restricted for proprietary reasons or specific U.S. government access and dissemination controls or other restrictions accepted by the institution or its researchers on publication of scientific and technical information resulting from the project or activity (see § 734.11 of the EAR); and
(3) If the commodity is for permanent export, the platform or system into which the commodity will be incorporated must be a scientific, research, or experimental satellite and must be exclusively concerned with fundamental research and may only be launched into space from countries and by nationals of countries not identified in Country Group D:5.
§ 740.16 Additional permissive reexports (APR).
This License Exception allows the following reexports:
(a) Reexports from Country Group A:1. Reexports may be made from countries in Country Group A:1, provided that:
(1) The reexport is made in accordance with the conditions of an export authorization from the government of the reexporting country;
(2) The commodities being reexported are not controlled for NP, CB, MT, SI, or CC reasons or described in ECCNs 0A919, 3A001.b.2 or b.3 (except those that are being reexported for use in civil telecommunications applications), 6A002, 6A003; or commodities classified under a 0x5zz ECCN; and
(3) The reexport is destined to either:
(i) A country in Country Group B that is not also included in Country Group D:2, D:3, or D:4; and the commodity being reexported is both controlled for national security reasons and not controlled for export to Country Group A:1; or
(ii) A country in Country Group D:1 (National Security) (see Supplement No. 1 to part 740), other than North Korea and the commodity being reexported is controlled for national security reasons.
(b) Reexports to and among specified countries. (1) Eligible commodities may be reexported to and among destinations in Country Group A:1 for use or consumption within a destination in Country Group A:1 (see supplement no. 1 to part 740), or for reexport from such country in accordance with other provisions of the EAR.
(2) Commodities not eligible for reexport under paragraph (b)(1) of this section are:
(i) Commodities controlled for nuclear nonproliferation or missile technology reasons;
(ii) Commodities in 3A001.b.2 or b.3 (except those that are being reexported for use in civil telecommunications applications);
(iii) “Military commodities” described in ECCN 0A919;
(iv) Commodities described in ECCN 0A504 that incorporate an image intensifier tube;
(v) Commodities described in ECCN 6A002; or
(vi) Commodities classified under a 0x5zz ECCN.
(3) Cameras described in ECCNs 6A003 may be exported or reexported to and among countries in Country Group A:1 (see supplement no. 1 to this part) if:
(i) Such cameras are fully packaged for use as consumer ready civil products; or
(ii) Such cameras with not more than 111,000 elements are to be embedded in civil products.
(c) Reexports to a destination to which direct shipment from the United States is authorized under an unused outstanding license may be made under the terms of that license. Such reexports shall be recorded in the same manner as exports are recorded, regardless of whether the license is partially or wholly used for reexport purposes. (See part 762 of the EAR for recordkeeping requirements.)
(d) Reexports of any item from Canada that, at the time of reexport, may be exported directly from the United States to the new country of destination under any License Exception.
(e) Reexports (return) to the United States of any item. If the reexporting party requests written authorization because the government of the country from which the reexport will take place requires formal U.S. Government approval, such authorization will generally be given.
(f) Reexports from a foreign destination to Canada of any item if the item could be exported to Canada without a license.
(g) [Reserved]
(h) Shipments of foreign-made products that incorporate U.S.-origin components may be accompanied by U.S.-origin controlled spare parts, provided that they do not exceed 10 percent of the value of the foreign-made product, subject to the restrictions in § 734.4 of the EAR.
(i) [Reserved]
(j) Reexports of items controlled by NP Column 1 (see supplement no. 1 to part 774 of the EAR) to, among, and from countries described in Country Group A:4 (see supplement no. 1 to part 740), except:
(1) Reexports from countries that are not identified in Country Group A:1 of items that are controlled for NS reasons to destinations in Country Group D:1; and
(2) Reexports to destinations in Country Group E:2 and Country Group D:2.
§ 740.17 Encryption commodities, software, and technology (ENC).
License Exception ENC authorizes export, reexport, and transfer (in-country) of systems, equipment, commodities, and components therefor that are classified under ECCN 5A002, 5B002, equivalent or related software and technology therefor classified under 5D002 or 5E002, and “cryptanalytic items” and digital forensics items (investigative tools) classified under ECCN 5A004, 5D002 or 5E002. This License Exception ENC does not authorize export or reexport to, transfer (in-country) in, or provision of any service in any country listed in Country Groups E:1 or E:2 in supplement no. 1 to part 740 of the EAR, or release of source code or technology to any national of a country listed in Country Groups E:1 or E:2. Reexports and transfers (in-country) under License Exception ENC are subject to the criteria set forth in paragraph (c) of this section. Paragraphs (b) and (d) of this section set forth information about classifications required by this section. Items described in paragraphs (b)(1) and (b)(3)(i), (ii), or (iv) of this section that meet the criteria set forth in Note 3 to Category 5 – Part 2 of the Commerce Control List (the “mass market” note) are classified under ECCN 5A992.c or 5D992.c following self-classification or classification by BIS and are no longer subject to “EI” and “NS” controls. Paragraph (e) sets forth reporting required by this section. For items exported under paragraphs (b)(1), (b)(3)(i), (ii), or (iv) of this section and therefore excluded from paragraph (e) reporting requirements, exporters are reminded of the recordkeeping requirements in part 762 of the EAR and that they may be required to make such records available upon request. All classification requests, and reports submitted to BIS pursuant to this section for encryption items will be reviewed by the ENC Encryption Request Coordinator, Ft. Meade, MD.
(a) No classification request or reporting required. License Exception ENC authorizes the export, reexport, or transfer (in-country) to the end users and for the end uses set forth in paragraphs (a)(1) through (3) of this section, without submission of a classification request, self-classification report or sales report to BIS.
(1) Certain exports, reexports, transfers (in-country) to ‘private sector end users’ – (i) Internal “development” or “production” of new products. License Exception ENC authorizes certain exports, reexports, and transfers (in-country) of items described in paragraph (a) of this section for the internal “development” or “production” of new products by ‘private sector end users,’ wherever located, that are headquartered in a country listed in supplement no. 3 of this part.
(ii) Certain exports, reexports, transfers (in-country) to related parties, not involving “development” or “production” of new products. For internal end uses among ‘private sector end users’ other than the “development” or “production” of new products, License Exception ENC authorizes exports, reexports, and transfers (in-country) of non-U.S.-origin items, described in paragraph (a) of this section, to ‘private sector end users’ wherever located provided that:
(A) That item became subject to the EAR after it was produced;
(B) All parties to the transaction are subsidiaries of the same parent company headquartered in a country listed in supplement no. 3 of this part; and
(C) The characteristics or capabilities of the existing item are not enhanced, unless otherwise authorized by license or license exception.
A ‘private sector end user’ is either: An individual who is not acting on behalf of any foreign government; or a commercial firm (including its subsidiary and parent firms, and other subsidiaries of the same parent) that is not wholly owned by, otherwise controlled by or acting on behalf of, any foreign government.
(2) Exports, reexports, transfers (in-country) to “U.S. Subsidiaries.” License Exception ENC authorizes export, reexport, and transfer (in-country) of items described in paragraph (a) of this section to any “U.S. subsidiary,” wherever located. License Exception ENC also authorizes export, reexport, transfer (in-country) of such items by a U.S. company and its subsidiaries to foreign nationals who are employees, individual contractors or interns of a U.S. company or its subsidiaries if the items are for internal company use, including the “development” or “production” of new products, without prior review by the U.S. Government.
All items produced or developed with items exported, reexported, or transferred (in-country) under paragraphs (a)(1) or (2) of this section are subject to the EAR. These items may require the submission of a classification request before sale, reexport or transfer to non-“U.S. subsidiaries,” unless otherwise authorized by license or license exception.
(3) Reexports and transfers (in-country) of non-U.S. products developed with or incorporating U.S.-origin encryption source code, components, or toolkits. License Exception ENC authorizes the reexport and transfer (in-country) of non-U.S. products developed with or incorporating U.S.-origin encryption source code, components or toolkits that are subject to the EAR, provided that the U.S.-origin encryption items have previously been classified or reported and authorized by BIS and the cryptographic functionality has not been changed. Such products include non-U.S. developed products that are designed to operate with U.S. products through a cryptographic interface.
This exception from classification and reporting requirements does not apply to non-U.S.-origin products exported from the United States.
(b) Classification request or self-classification. For certain products described in paragraph (b)(1) of this section that are self-classified, a self-classification report in accordance with paragraph (e)(3) of this section is required from specified exporters, reexporters and transferors; for products described in paragraph (b)(1) of this section that are classified by BIS via a CCATS, a self-classification report is not required. For products described in paragraphs (b)(2) and (3) of this section, a thirty-day (30-day) classification request is required in accordance with paragraph (d) of this section. An exporter, reexporter, or transferor may rely on the producer’s self-classification (for products described in (b)(1), only) or CCATS for an encryption item eligible for export or reexport under License Exception ENC under paragraph (b)(1), (2), or (3) of this section. Exporters are still required to comply with semi-annual sales reporting requirements under paragraph (e)(1) or (2) of this section, even if relying on a CCATS issued to a producer for specified encryption items described in paragraphs (b)(2) and (b)(3)(iii) of this section.
Mass market encryption software that would be considered publicly available under § 734.3(b)(3) of the EAR, and is authorized for export under this paragraph (b), remains subject to the EAR until all applicable classification or self-classification requirements set forth in this section are fulfilled.
(1) Immediate authorization. This paragraph (b)(1) authorizes the exports, reexports, and transfers (in-country) of the associated commodities self-classified under ECCNs 5A002.a or 5B002, and equivalent or related software therefor classified under 5D002, except any such commodities, software, or components described in (b)(2) or (3) of this section, subject to submission of a self-classification report in accordance with § 740.17(e)(3) of the EAR. Items described in this paragraph (b)(1) that meet the criteria set forth in Note 3 to Category 5 – Part 2 of the Commerce Control List (the “mass market” note) are classified as ECCN 5A992.c or 5D992.c following self-classification or classification by BIS and are removed from “EI” and “NS” controls.
(2) Classification request required. Thirty (30) days after the submission of a classification request with BIS in accordance with paragraph (d) of this section and subject to the reporting requirements in paragraph (e) of this section, this paragraph under License Exception ENC authorizes certain exports, reexports, and transfers (in-country) of the items specified in paragraph (b)(2) and submitted for classification.
Immediately after the classification request is submitted to BIS in accordance with paragraph (d) of this section and subject to the reporting requirements in paragraph (e) of this section, this paragraph also authorizes exports, reexports, and transfers (in-country) of:
1. All submitted encryption items described in this paragraph (b)(2), except “cryptanalytic items,” classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002, to any end user located or headquartered in a country listed in supplement no. 3 to this part;
2. Encryption source code as described in paragraph (b)(2)(i)(B) to non-“government end users” in any country;
3. “Cryptanalytic items,” classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002, to non-“government end users,” only, located or headquartered in a country listed in supplement no. 3 to this part; and
4. Items described in paragraphs (b)(2)(iii) and (b)(2)(iv)(A) of this section, to specified destinations and end users.
(i) Cryptographic commodities, software, and components. License Exception ENC authorizes exports, reexports, and transfers (in-country) of the items in paragraph (b)(2)(i)(A) of this section to “less sensitive government end users” and non- “government end users” located or headquartered in a country not listed in supplement no. 3 to this part, and the items in paragraphs (b)(2)(i)(B) through (H) to non “government end users” located or headquartered in a country not listed in supplement no. 3.
(A) ‘Network Infrastructure.’ ‘Network infrastructure’ commodities and software, and components therefor, meeting any of the following with key lengths exceeding 80-bits for symmetric algorithms:
(1) WAN, MAN, VPN, backhaul and long-haul. Aggregate encrypted WAN, MAN, VPN, backhaul or long-haul throughput (including communications through wireless network elements such as gateways, mobile switches, and controllers) equal to or greater than 250 Mbps;
(2) [Reserved]
(3) Satellite infrastructure. Transmission over satellite at data rates exceeding 10 Mbps;
(4) Media gateways and other unified communications (UC) infrastructure, including Voice-over-Internet Protocol (VoIP) services. Media (voice/video/data) encryption or encrypted signaling to more than 2,500 endpoints, including centralized key management therefor; or
(5) Terrestrial wireless infrastructure. Air interface coverage (e.g., through base stations, access points to mesh networks, and bridges) exceeding 1,000 meters, where any of the following applies:
(i) Maximum transmission data rates exceeding 10 Mbps (at operating ranges beyond 1,000 meters); or
(ii) Maximum number of concurrent full-duplex voice channels exceeding 30;
1. The License Exception ENC eligibility restrictions of paragraphs (b)(2)(i)(A)(3) (satellite infrastructure) and (b)(2)(i)(A)(5) (terrestrial wireless infrastructure) do not apply to satellite terminals or modems meeting all of the following:
a. The encryption of data over satellite is exclusively from the user terminal to the gateway earth station, and limited to the air interface; and
b. The items meet the requirements of the Cryptography Note (Note 3) in Category 5 – Part 2 of the Commerce Control List.
2. ‘Network infrastructure’ (as applied to encryption items). A ‘network infrastructure’ commodity or software is any “end item,” commodity or “software” for providing one or more of the following types of communications:”
(a) Wide Area Network (WAN);
(b) Metropolitan Area Network (MAN);
(c) Virtual Private Network (VPN);
(d) Satellite;
(e) Digital packet telephony/media (voice, video, data) over Internet protocol;
(f) Cellular; or
(g) Trunked.
‘Network infrastructure’ end items are typically operated by, or for, one or more of the following types of end users:
(1) Medium- or large- sized businesses or enterprises;
(2) Governments;
(3) Telecommunications service providers; or
(4) Internet service providers.
Commodities, software, and components for the “cryptographic activation” of a ‘network infrastructure’ item are also considered ‘network infrastructure’ items.
(B) Certain “encryption source code.” “Encryption source code” that is not publicly available as that term is used in § 742.15(b) of the EAR;
(C) Customized items. Encryption software, commodities and components therefor, where any of the following applies:
(1) Customized for government end users or end uses. The item has been designed, modified, adapted, or customized for “government end user(s);” or
(2) Custom or changeable cryptography. The cryptographic functionality of the item has been designed or modified to customer specification or can be easily changed by the user;
(D) Quantum cryptography. ECCN 5A002.c or 5D002 “quantum cryptography” commodities or software;
(E) [Reserved]
(F) Network penetration tools. Encryption commodities and software that provide penetration capabilities that are capable of attacking, denying, disrupting or otherwise impairing the use of cyber infrastructure or networks;
(G) Public safety/first responder radio (private mobile radio (PMR)). Public safety/first responder radio (e.g., implementing Terrestrial Trunked Radio (TETRA) and/or Association of Public-Safety Communications Officials International (APCO) Project 25 (P25) standards);
(H) Specified cryptographic ultra-wideband and “spread spectrum” items. Encryption commodities and components therefor, classified under ECCNs 5A002.d or .e, and equivalent or related software therefor classified under ECCN 5D002.
(ii) Cryptanalytic commodities and software. “Cryptanalytic items” classified in ECCN 5A004.a, 5D002.a.3.a, or 5D002.c.3.a, to non- “government end users” located or headquartered in countries not listed in supplement no. 3 to this part.
(iii) “Open cryptographic interface” items. Items that provide an “open cryptographic interface,” to any end user located or headquartered in a country listed in supplement no. 3 to this part.
(iv) Specific encryption technology. Specific encryption technology as follows:
(A) Technology for “non-standard cryptography.” Encryption technology classified under ECCN 5E002 for “non-standard cryptography,” to any end user located or headquartered in a country listed in supplement no. 3 to this part;
(B) Other technology. Encryption technology classified under ECCN 5E002 except technology for “cryptanalytic items” classified in ECCN 5A004.a, 5D002.a.3.a or 5D002.c.3.a, “non-standard cryptography” or any “open cryptographic interface,” to any non-“government end user” located in a country not listed in Country Group D:1, E:1, or E:2 of supplement no. 1 to part 740 of the EAR.
Commodities, components, and software classified under ECCNs 5A002.b or 5D002.b, for the “cryptographic activation” of commodities or software specified by this paragraph (b)(2) are also controlled under this paragraph (b)(2).
(3) Classification request required for specified commodities, software, and components. Thirty (30) days after a classification request is submitted to BIS in accordance with paragraph (d) of this section and subject to the reporting requirements in paragraph (e) of this section, this paragraph authorizes exports, reexports, and transfers (in-country) of the items submitted for classification, as further described in this paragraph (b)(3), to any end user, provided the item does not perform the functions, or otherwise meet the specifications, of any item described in paragraph (b)(2) of this section. Items described in paragraph (b)(3)(ii) or (iv) of this section that meet the criteria set forth in Note 3 to Category 5 – Part 2 of the CCL (the “mass market” note) are classified under ECCN 5A992.c or 5D992.c following classification by BIS.
Immediately after the classification request is submitted to BIS in accordance with paragraph (d) of this section and subject to the reporting requirements in paragraph (e) of this section, this paragraph also authorizes exports, reexports, transfers (in-country) of the items described in this paragraph (b)(3) to any end user located or headquartered in a country listed in supplement no. 3 to this part.
(i) Non-“mass market” “components,” toolsets, and toolkits. Specified components classified under ECCN 5A002.a and equivalent or related software classified under ECCN 5D002 that do not meet the criteria set forth in Note 3 to Category 5 – Part 2 of the CCL (the “mass market” note) and are not described by paragraph (b)(2) or (b)(3)(ii) of this section, as follows:
(A) Chips, chipsets, electronic assemblies and field programmable logic devices;
(B) Cryptographic libraries, modules, development kits and toolkits, including for operating systems and cryptographic service providers (CSPs).
(ii) “Non-standard cryptography” (by items not otherwise described in paragraph (b)(2) of this section.) Encryption commodities, software and components not described by paragraph (b)(2) of this section, that provide or perform “non-standard cryptography” as defined in part 772 of the EAR.
(iii) Advanced network vulnerability analysis and digital forensics. Encryption commodities and software not described by paragraph (b)(2) of this section, that provide or perform vulnerability analysis, network forensics, or computer forensics functions characterized by any of the following:
(A) Automated network vulnerability analysis and response. Automated network analysis, visualization, or packet inspection for profiling network flow, network user or client behavior, or network structure/topology and adapting in real-time to the operating environment; or
(B) Digital forensics and investigative tools. Items specified in ECCN 5A004.b, 5D002.a.3.b, or 5D002.c.3.b, see supplement no. 1 to part 774 Commerce Control List.
(iv) “Cryptographic activation” commodities, components, and software. Commodities, components, and software classified under ECCNs 5A002.b or 5D002.b where the product or cryptographic functionality is not otherwise described in paragraphs (b)(2) or (b)(3)(i) of this section.
(c) Reexport and transfer (in-country). Distributors, resellers or other entities who are not original manufacturers of encryption commodities and software are permitted to use License Exception ENC only in instances where the reexport or transfer (in-country) meets the applicable terms and conditions of this section. Transfers of encryption items listed in paragraph (b)(2) of this section to “government end users,” or for government end uses, within the same country are prohibited, unless otherwise authorized by license or license exception.
(d) Classification request procedures – (1) Submission requirements and instructions. To submit a classification request to BIS, you must submit an application to BIS in accordance with the procedures described in §§ 748.1 and 748.3 of the EAR and the instructions in paragraph (r) of supplement no. 2 to part 748 “Unique Application and Submission Requirements,” along with other required information as follows:
(i) [Reserved]
(ii) Technical information submission requirements. For all submissions of encryption classification requests for items described under paragraph (b)(2) or (b)(3) of this section, you must submit the applicable information described in paragraphs (a) through (d) of supplement no. 6 to part 742 of the EAR (Technical Questionnaire for Encryption Items). For items eligible for self-classification that are submitted to BIS for classification you may be required to provide BIS this supplement no. 6 to part 742 information on an as-needed basis, upon request by BIS.
(iii) Changes in encryption functionality following a previous classification. A new product encryption classification request (under paragraphs (b)(2) or (b)(3) of this section) is required if a change is made to the cryptographic functionality (e.g., algorithms) or other technical characteristics affecting License Exception ENC eligibility (e.g., encrypted throughput) of the originally classified product. However, a new product classification request is not required when a change involves: the subsequent bundling, patches, upgrades or releases of a product; name changes; or changes to a previously reviewed encryption product where the change is limited to updates of encryption software components where the product is otherwise unchanged.
(2) Action by BIS. (i) [Reserved]
(ii) For items requiring classification by BIS under paragraphs (b)(2) and (3) of this section. (A) For classifications that require a thirty (30-day) waiting period, if BIS has not, within thirty days (30 days) from registration in SNAP-R of your complete classification request, informed you that your item is not authorized for License Exception ENC, you may export, reexport, or transfer (in-country) under the applicable provisions of License Exception ENC.
(B) Upon completion of its classification, BIS will issue a Commodity Classification Automated Tracking System (CCATS) to you.
(C) Hold Without Action (HWA) for classification requests. BIS may hold your classification request without action if necessary to obtain additional information or for any other reason necessary to ensure an accurate classification. Time on such “hold without action” status shall not be counted towards fulfilling the thirty-day (30-day) processing period specified in this paragraph.
(iii) BIS may require you to supply additional relevant technical information about your encryption item(s) or information that pertains to their eligibility for License Exception ENC at any time, before or after the expiration of the thirty-day (30-day) processing period specified in this paragraph and in paragraphs (b)(2) and (3) of this section. If you do not supply such information within 14 days after receiving a request for it from BIS, BIS may return your classification request(s) without action or otherwise suspend or revoke your eligibility to use License Exception ENC for that item(s). At your request, BIS may grant you up to an additional 14 days to provide the requested information. Any request for such an additional number of days must be made prior to the date by which the information was otherwise due to be provided to BIS, and may be approved if BIS concludes that additional time is necessary.
(e) Reporting requirements – (1) Semiannual reporting requirement. Semiannual reporting is required for exports to all destinations other than Canada, and for reexports from Canada for items described under paragraphs (b)(2) and (b)(3)(iii) of this section. Certain encryption items and transactions are excluded from this reporting requirement, see paragraph (e)(1)(iii) of this section. For information about what must be included in the report and submission requirements, see paragraphs (e)(1)(i) and (ii) of this section respectively.
(i) Information required. Exporters must include for each item, the Commodity Classification Automated Tracking System (CCATS) number and the name of the item(s) exported (or reexported from Canada), and the following information in their reports:
(A) Distributors or resellers. For items exported (or reexported from Canada) to a distributor or other reseller, including subsidiaries of U.S. firms, the name and address of the distributor or reseller, the item and the quantity exported or reexported and, if collected by the exporter as part of the distribution process, the end user’s name and address;
(B) Direct sales. For items exported (or reexported from Canada) through direct sale, the name and address of the recipient, the item, and the quantity exported; or
(C) Foreign manufacturers and products that use encryption items. For exports (i.e., from the United States) or direct transfers (e.g., by a “U.S. subsidiary” located outside the United States) of encryption components, source code, general purpose toolkits, equipment controlled under ECCN 5B002, technology, or items that provide an “open cryptographic interface,” to a foreign developer or manufacturer headquartered in a country not listed in supplement no. 3 to this part when intended for use in foreign products developed for commercial sale, the names and addresses of the manufacturers using these encryption items and, if known, when the product is made available for commercial sale, a non-proprietary technical description of the foreign products for which these encryption items are being used (e.g., brochures, other documentation, descriptions or other identifiers of the final foreign product; the algorithm and key lengths used; general programming interfaces to the product, if known; any standards or protocols that the foreign product adheres to; and source code, if available).
(ii) Submission requirements. For exports occurring between January 1 and June 30, a report is due no later than August 1 of that year. For exports occurring between July 1 and December 31, a report is due no later than February 1 the following year. These reports must be provided in electronic form. Recommended file formats for electronic submission include spreadsheets, tabular text or structured text. Exporters may request other reporting arrangements with BIS to better reflect their business models. Reports may be sent electronically to BIS at [email protected] and to the ENC Encryption Request Coordinator at [email protected], or disks and CDs containing the reports may be sent to the following addresses:
(A) Department of Commerce, Bureau of Industry and Security, Office of National Security and Technology Transfer Controls, 14th Street and Pennsylvania Ave. NW., Room 2705, Washington, DC 20230, Attn: Encryption Reports, and
(B) Attn: ENC Encryption Request Coordinator, 9800 Savage Road, Suite 6940, Ft. Meade, MD 20755-6000.
(iii) Exclusions from reporting requirement. Reporting is not required for the following items and transactions:
(A) [Reserved]
(B) Encryption commodities or software with a symmetric key length not exceeding 64 bits;
(C) Encryption items exported (or reexported from Canada) via free and anonymous download;
(D) Encryption items from or to a U.S. bank, financial institution or its subsidiaries, affiliates, customers or contractors for banking or financial operations;
(E) [Reserved]
(F) Foreign products developed by bundling or compiling of source code.
(2) Key length increases. Reporting is required for commodities and software that, after having been classified and authorized for License Exception ENC in accordance with paragraphs (b)(2) or (3) of this section, are modified only to upgrade the key length used for confidentiality or key exchange algorithms. Such items may be exported, reexported or transferred (in-country) under the previously authorized provision of License Exception ENC without a classification resubmission.
(i) Information required. (A) A certification that no change to the encryption functionality has been made other than to upgrade the key length for confidentiality or key exchange algorithms.
(B) The original Commodity Classification Automated Tracking System (CCATS) authorization number issued by BIS and the date of issuance.
(C) The new key length.
(ii) Submission requirements. (A) The report must be received by BIS and the ENC Encryption Request Coordinator before the export, reexport or transfer (in-country) of the upgraded product; and
(B) The report must be emailed to [email protected] and [email protected].
(3) Self-classification reporting for certain encryption commodities, software, and components. This paragraph (e)(3) sets forth requirements for self-classification reporting to BIS and the ENC Encryption Request Coordinator (Ft. Meade, MD) of certain encryption commodities, software, and components exported or reexported meeting the criteria specified in paragraph (b)(1) of this section. Specifically, this reporting requirement applies to “mass market” encryption components and ‘executable software’ that meet the criteria of the Cryptography Note – Note 3 to Category 5 – Part 2 of the CCL (“mass market” note) and are classified under ECCN 5A992.c or 5D992.c following self-classification, as well as to non-“mass market” encryption commodities and software that remain classified in ECCN 5A002, 5B002 or 5D002 following self-classification, provided these items are not further described by paragraph (b)(2) or (3) of this section.
For the purposes of this paragraph (e)(3), ‘executable software’ means “software” in executable form, from an existing hardware component excluded from ECCN 5A002 by the Cryptography Note. ‘Executable software’ does not include complete binary images of the “software” running on an end item.
(i) When to report. Your self-classification report for applicable encryption commodities, software and components exported or reexported during a calendar year (January 1 through December 31) must be received by BIS and the ENC Encryption Request Coordinator no later than February 1 the following year.
(ii) How to report. Encryption self-classification reports must be sent to BIS and the ENC Encryption Request Coordinator via email or regular mail. In your submission, specify the timeframe that your report spans and identify points of contact to whom questions or other inquiries pertaining to the report should be directed. Follow these instructions for your submissions:
(A) Submissions via email. Submit your encryption self-classification report electronically to BIS at [email protected] and to the ENC Encryption Request Coordinator at [email protected], as an attachment to an email. Identify your email with subject “self-classification report.”
(B) Submissions on disks and CDs. The self-classification report may be sent to the following addresses, in lieu of email:
(1) Department of Commerce, Bureau of Industry and Security, Office of National Security and Technology Transfer Controls, 14th Street and Pennsylvania Ave. NW., Room 2099B, Washington, DC 20230, Attn: Encryption Reports, and
(2) Attn: ENC Encryption Request Coordinator, 9800 Savage Road, Suite 6940, Ft. Meade, MD 20755-6000.
(iii) Information to report. Your encryption self-classification report must include the information described in paragraph (a) of supplement no. 8 to part 742 for each applicable encryption commodity, software and component made eligible for export or reexport under § 740.17(b)(1) of the EAR. Each product must be included in a report only one time. However, if no new products are made eligible for export or reexport during a calendar year, you must send an email to the addresses listed in paragraph (e)(3)(ii)(A) of this section stating that nothing has changed since the previous report.
(iv) File format requirements. The information described in paragraph (a) of supplement no. 8 to part 742 must be provided to BIS and the ENC Encryption Request Coordinator in tabular or spreadsheet form, as an electronic file in comma separated values format (.csv) adhering to the specifications set forth in paragraph (b) of supplement no. 8 to part 742.
(f) End-use restrictions. Notwithstanding the other provisions and authorizations of this section, License Exception ENC is not authorized for any of the following items if the exporter, reexporter, or transferor “knows” or has “reason to know” at the time of export, reexport, or transfer (in-country), including deemed exports and reexports, that the item will be used to affect the confidentiality, integrity, or availability of information or information systems, without authorization by the owner, operator, or administrator of the information system (including the information and processes within such systems):
(1) “Cryptanalytic items,” classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002;
(2) Network penetration tools described in paragraph (b)(2)(i)(F) of this section, and ECCN 5E002 “technology” therefor; or
(3) Automated network vulnerability analysis and response tools described in paragraph (b)(3)(iii)(A) of this section, and ECCN 5E002 “technology” therefor.
See also § 740.22(c)(4).
§ 740.18 Agricultural commodities (AGR).
(a) Eligibility requirements. License Exception AGR permits the export of agricultural commodities to Cuba, as well as the reexport of U.S. origin agricultural commodities to Cuba, provided your transaction meets all of the following criteria:
(1) The commodity meets the definition of “agricultural commodities” in part 772 of the EAR;
(2) The commodity is EAR99. You must have an official commodity classification of EAR99 from BIS for fertilizers, western red cedar and live horses before you submit a notification under this license exception. See § 748.3 of the EAR for information on how to submit a commodity classification request;
(3) The export or reexport is made pursuant to a written contract, except for donations and commercial samples which are not subject to this contract requirement;
(4) The export or reexport is made within 12 months of the signing of the contract or within 12 months of notification that no objections were raised (if no contract is required). In the case of multiple partial shipments, all such shipments must be made within the 12 months of the signing of the contract or within 12 months of notification that no objections were raised (if no contract is required); and
(5) You notify BIS prior to exporting or reexporting according to the procedures set forth in paragraph (c) of this section. If you intend to engage in multiple shipments during the one-year period after the signing of the contract, you need only notify BIS prior to the first shipment.
(b) Restrictions. (1) No export or reexport to any individual or entity designated as a Specially Designated Terrorist or Foreign Terrorist Organization may be made under License Exception AGR (see part 744 of the EAR).
(2) No export or reexport to or for use in biological, chemical, nuclear warfare or missile proliferation activities may be made under License Exception AGR (see part 744 of the EAR).
(3) No U.S.-owned or controlled foreign firm may export from abroad to Cuba a foreign produced agricultural commodity containing more than 25% U.S.-origin content. Such U.S.-owned or controlled foreign firms require a specific license from BIS as well as the Department of the Treasury’s Office of Foreign Assets Control (OFAC). Transactions not subject to the EAR (under 25% U.S.-origin content) require a license from OFAC.
(c) Prior notification – (1) General requirement. You must notify BIS prior to any export or reexport (or prior to the first of multiple shipments) under License Exception AGR.
(2) Procedures. You must provide prior notification of exports and reexports under License Exception AGR by submitting a completed application in accordance with § 748.1 of the EAR. The following blocks must be completed, as appropriate: Blocks 1, 2, 3, 4, 5 (by marking box 5 “Other”), 14, 16, 17, 18, 19, 21, 22 (a), (e), (f), (g), (h), (i), (j), 23, and 25 according to the instructions described in supplement no. 1 to part 748 of the EAR. If your commodity is fertilizer, western red cedar or live horses, you must confirm that BIS has previously classified your commodity as EAR99 by placing the Commodity Classification Automatic Tracking System (CCATS) number in Block 22(d). BIS will not initiate the registration of an AGR notification unless the application is complete.
(3) Action by BIS. Within two business days of the registration of the AGR notification, BIS will refer the notification for interagency review, or if necessary return the notification without action (e.g., if the information provided is incomplete). Registration is defined as the point at which the notification is entered into BIS’s electronic system.
(4) Review by other departments or agencies. The Departments of Defense, State, and other agencies, as appropriate, may review the AGR notification. BIS must receive department or agency objections within nine business days of the referral. Unlike the provisions described in § 750.4(b) of the EAR, there are no provisions for stopping the processing time of the AGR notification. If, within 11 business days after the date of registration, any reviewing agency provides a written objection that the recipient may promote international terrorism or the transaction raises nonproliferation concerns, you may not use License Exception AGR. In such cases, BIS will notify you that a license is required for the export or reexport. BIS will then process the AGR notification as a license application in accordance with the provisions described in § 750.4 of the EAR, and the licensing policies set forth in the EAR. At this time, BIS may request additional information. When BIS confirms that no agency has raised an objection within eleven business days (as described in paragraph (c)(5) of this section), you may proceed with the transaction provided that you satisfy all other requirements of License Exception AGR, including the requirement to have a written contract prior to any shipment (unless a donation or commercial sample). (Note that the fact that you have been advised that no agency has objected to the transaction does not exempt you from other licensing requirements under the EAR, such as those based on knowledge of a prohibited end-use or end-user as referenced in general prohibition five (part 736 of the EAR) and set forth in part 744 of the EAR.)
(5) Status of pending AGR notification requests. You must contact BIS’s System for Tracking Export License Applications (STELA) (https://snapr.bis.doc.gov/stela) for status of your pending AGR notification or verify the status in BIS’s Simplified Network Applications Processing Redesign (SNAP-R) System. STELA will provide the date of registration of the AGR notification. If no department or agency objection is raised within 11 business days, STELA will, on the twelfth business day following the date of registration, provide you with confirmation of that fact. You may not proceed with your shipment unless you confirm with either STELA or SNAP-R that no objection has been raised. If an objection is raised, STELA and SNAP-R will indicate that a license is required. The AGR notification will then be processed as a license application. In addition, BIS may provide notice of an objection by telephone, fax, courier service, or other means.
(d) Donations. (1) Donations of agricultural commodities are eligible for export and reexport to Cuba under License Exception AGR, provided the transaction meets the requirements and procedures of this license exception (except the written contract requirement).
(2) Donations of food items to non-governmental organizations (NGOs) and individuals in Cuba may also be eligible for License Exception GFT. See § 740.12 for eligibility requirements of gift parcels and humanitarian donations under License Exception GFT.
§ 740.19 Consumer Communications Devices (CCD).
(a) Authorizations. This section authorizes the export, reexport, or transfer (in-country) of commodities and software to Cuba, Russia, and Belarus subject to the requirements stated in this section. This section does not authorize U.S. owned or controlled entities in third countries to engage in reexports of foreign produced commodities to Cuba for which no license would be issued by the Department of the Treasury pursuant to 31 CFR 515.559.
(b) Eligible commodities and software. Commodities and software in paragraphs (b)(1) through (16) of this section are eligible for export, reexport, or transfer (in-country) under this section to and within Cuba, Russia, and Belarus.
(1) Consumer computers, tablets, and peripherals including microphones, speakers, and headphones designated EAR99 or classified under Export Control Classification Numbers (ECCN) 5A992.c or 4A994.b;
(2) Consumer disk drives and solid-state storage equipment classified under ECCN 5A992 or designated EAR99;
(3) Graphics accelerators and graphics coprocessors designated EAR99;
(4) Monitors classified under ECCN 5A992.c or designated EAR99;
(5) Printers, including multifunctional printers, classified under ECCN 5A992.c or designated EAR99;
(6) Modems, network interface cards, routers, switches, and WiFi access points, designated EAR99 or classified under ECCNs 5A992.c or 5A991; drivers, communications, and connectivity software for such hardware designated EAR99 or classified under ECCN 5D992.c;
(7) Network access controllers and communications channel controllers classified under ECCN 5A991.b.4, 5A992.c, or designated EAR99;
(8) Keyboards, mice and similar devices designated EAR99;
(9) Mobile phones, including cellular and satellite telephones, personal digital assistants, and subscriber information module (SIM) cards, accessories for such devices and similar devices classified under ECCNs 5A992.c or 5A991 or designated EAR99; drivers and connectivity software for such hardware designated EAR99 or classified under ECCN 5D992.c;
(10) Memory devices classified under ECCN 5A992.c or designated EAR99;
(11) Consumer “information security” equipment, “software” (except “encryption source code”), such as firewalls, virtual private network clients, antivirus, user authentication, password managers, identification verification and peripherals classified under ECCNs 5A992.c or 5D992.c or designated EAR99;
(12) Digital cameras (including webcams) and memory cards classified under ECCN 5A992 or designated EAR99;
(13) Television and radio receivers, set top boxes, video decoders and antennas, classified under ECCNs 5A991, 5A992, or designated EAR99;
(14) Recording devices classified under ECCN 5A992 or designated EAR99;
(15) Batteries, chargers, carrying cases and accessories for the equipment described in paragraphs (b)(1) through (15) of this section that are designated EAR99;
(16) Consumer “software” (except “encryption source code”) classified under ECCNs 4D994, 5D991 or 5D992.c or designated EAR99 to be used for equipment described in paragraphs (b)(1) through (16) of this section.
In this paragraph, the term “consumer” refers to items that are:
1. Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:
a. Over-the-counter transactions;
b. Mail order transactions;
c. Electronic transactions; or
d. Telephone call transactions; and
2. Designed for installation by the user without further substantial support by the supplier.
(c) Eligible and ineligible end users – (1) Organizations. (i) The license exception in this section may be used to export, reexport, or transfer (in-country) eligible commodities and software to and for the use of independent non-governmental organizations in Cuba, Russia, or Belarus.
(ii) The Cuban Government, the Cuban Communist Party, the Russian Government, the Belarusian Government, and organizations administered or controlled by the Cuban Government, the Cuban Communist Party, the Russian Government, or the Belarusian Government are not eligible end users.
(iii) [Reserved]
(2) Individuals. The license exception in this section may be used to export, reexport, or transfer (in-country) eligible commodities and software to and for the use of individuals other than the following:
(i) Ineligible Cuban Government officials. Ministers and Vice-Ministers; members of the Council of State; members of the Council of Ministers; members and employees of the National Assembly of People’s Power; members of any provincial assembly; local sector chiefs of the Committees for the Defense of the Revolution; Director Generals and sub-Director Generals and higher of all Cuban ministries and state agencies; employees of the Ministry of the Interior (MININT); employees of the Ministry of Defense (MINFAR); secretaries and first secretaries of the Confederation of Labor of Cuba (CTC) and its component unions; chief editors, editors and deputy editors of Cuban state-run media organizations and programs, including newspapers, television, and radio; or members and employees of the Supreme Court (Tribuno Supremo Nacional).
(ii) Ineligible Cuban Communist Party officials. Members of the Politburo.
(iii) Ineligible Russian Government officials. The President, Prime Minister, and Deputy Prime Ministers; Federal Ministers; Chairman, Deputy Chairman, and Secretary of the Security Council; members and employees of the Federal Assembly (the State Duma and the Federation Council); members and employees of the Supreme Court and the Constitutional Court; Chief and all employees of the General Staff of the armed forces; employees of the Ministry of Defence; Director and employees of the Federal Security Service, Director and employees of the Foreign Intelligence Service; employees of the Ministry of the Interior; employees of state committees, chief editors, editors and deputy editors of Russian state-run media organizations and programs, including newspapers, television, and radio; offices, services, agencies and other entities organized under or reporting to the federal government.
(iv) Ineligible Belarusian Government officials. Alyaksandr Lukashenko; Prime Minister and Deputy Prime Ministers; members of the Council of Ministers; members of the Security Council of Belarus; members and employees of the National Assembly of the Republic of Belarus; members and employees of the Supreme Court and the Constitutional Court; Chief and all employees of the General Staff of the armed forces; employees of the Ministry of Defence, including the National Armed Services (Army and Air Force), the National Guard and National Police; and employees of Government Intelligence or Reconnaissance Organizations of the Republic of Belarus, including the Director and employees of the State Security Committee (BKGB); employees of the Ministry of Internal Affairs; employees of state committees; employees of the State Authority for the Military Industry; employees of the Border Control Committee of the Republic of Belarus; chief editors, editors and deputy editors of Belarusian state-run media organizations and programs, including newspapers, television, and radio; offices, services, agencies and other entities organized under or reporting to the federal government.
§ 740.20 License Exception Strategic Trade Authorization (STA).
(a) Introduction. This section authorizes exports, reexports, and transfers (in-country), including releases within a single country of software source code and technology to foreign nationals, in lieu of a license that would otherwise be required pursuant to part 742 of the EAR.
License Exception STA authorizes transfers (in-country) but is only needed to authorize a transfer (in-country) when an EAR authorization is required. If a transfer (in-country) is not being made under STA, the requirements specified in this section do not apply (see Note 1 to paragraphs (b)(2) and (b)(3) of this section for requirements specific to staying within the scope of the original License Exception STA authorization and the concept of ‘completing the chain’ for purposes of “600 series” items originally authorized under License Exception STA).
(b) Requirements and Limitations – (1) Requirements for Using License Exception STA. (i) All of the reasons for control that impose a part 742 license requirement on the export, reexport or in country transfer must be addressed in at least one authorizing paragraph of this section.
(ii) The party using License Exception STA must comply with all of the requirements in paragraph (d) of this section.
(2) Limitations on Use of License Exception STA. The prohibitions and limits of this paragraph (b)(2) apply notwithstanding the authorizations in paragraph (c) of this section.
(i) License Exception STA may not be used in lieu of any license requirement imposed by “Part 744 – Control Policy: End User and End Use Based” or by “Part 746 – Embargoes and Other Special Controls” of the EAR.
(ii) License Exception STA may not be used for:
(A) Any item controlled in ECCNs 0A501.a, .b, .c, .d, or .e; 0A981; 0A982; 0A983; 0A503; 0E504; 0E982; or
(B) Shotguns with barrel length less than 18 inches controlled in 0A502.
(iii) License Exception STA may not be used for any item that is controlled for reason of encryption items (EI), short supply (SS), surreptitious listening (SL), missile technology (MT) or chemical weapons (CW).
(iv) License Exception STA may not be used for any item identified on the CCL as being subject to the exclusive export control jurisdiction of another agency, such as the Department of State, the Department of Energy, or the Nuclear Regulatory Commission.
(v) License Exception STA may not be used for any item controlled by ECCN 1C351.a, .b, .c, .d.14, .d.15 or .e, ECCNs 1C353, 1C354, 1E001 (i.e., for technology, as specified in ECCN 1E001, for items controlled by ECCN 1C351.a, .b, .c, .d.14, .d.15 or .e or ECCNs 1C353 or 1C354) or ECCN 1E351.
(vi) Toxins controlled by ECCN 1C351.d.1 through 1C351.d.13 and 1C351.d.16 through 1C351.d.21 are authorized under License Exception STA to destinations indicated in Country Group A:5 (See supplement no. 1 to this part 740), subject to the following limits. For purposes of this paragraph (b)(2)(vi), all such toxins that are sent from one exporter, reexporter or transferor to a single end-user, on the same day, constitute one shipment.
(A) The maximum amount of any one toxin in any one shipment may not exceed 100 milligrams.
(B) No exporter, reexporter or transferor may send more than six shipments of any one toxin to any one end user in a single calendar year.
(vii) Commerce Control List Category 7 limitation on use of License Exception STA. License Exception STA may not be used for 7E004 “technology,” except for “technology” controlled under 7E004.a.7.
(viii) Commerce Control List Category 9 limitations on use of License Exception STA.
(A) License Exception STA may not be used for 9B001 when destined to a country in Country Group A:6.
(B) License Exception STA may not be used for 9D001 or 9D002 “software” that is specially designed or modified for the “development” or “production” of:
(1) Components of engines controlled by ECCN 9A001 if such components incorporate any of the “technologies” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other than technology for fan or power turbines), 9E003.h; or
(2) Equipment controlled by 9B001.
(C) License Exception STA may not be used for 9D001 “software” that is specially designed or modified for the “development” of “technology” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other than technology for fan or power turbines) or 9E003.h.
(D) License Exception STA may not be used for 9D004.f or 9D004.g “software”.
(E) License Exception STA may not be used for 9E001 “technology” according to the General Technology Note for the “development” of 9A001.b engines or components of engines controlled by 9A001.b if such components incorporate:
(1) Any of the “technologies” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other than technology for fan or power turbines) or 9E003.h;
(2) Any of the 9D001 or 9D002 software in paragraphs (b)(2)(viii)(A) or (B) of this section.
(F) License Exception STA may not be used for 9E002 “technology” according to the General Technology Note for the “production” of components of engines controlled by 9A001.b if such components incorporate any of the “technologies” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other than technology for fan or power turbines) 9E003.h.
(G) License Exception STA may not be used for “technology” in 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other than technology for fan or power turbines) 9E003.h.
(ix) [Reserved]
(x) License Exception STA may not be used for items controlled by ECCN 6A002; 6D002 (software “specially designed” for the “use” of commodities controlled under 6A002.b); 6D003.c; 6D991 (software “specially designed” for the “development,” “production,” or “use” of commodities controlled under 6A002 or 6A003); 6E001 (“technology” for the “development” of commodities controlled under ECCN 6A002 or 6A003); or 6E002 “technology” (for the “production” of commodities controlled under ECCN 6A002 or 6A003).
(xi) License Exception STA may not be used for any commodity controlled by ECCN 3A001.b.2 or b.3 (except those that are being exported or reexported for use in civil telecommunications applications), or any “technology” controlled by 3E001 for the “production” or “development” of commodities controlled by 3A001.b.2 or b.3.
(3) Limitations on the Use of STA that are Specific to “600 series” Items. (i) License Exception STA may not be used for any “600 series” items identified in the relevant ECCN as not being eligible for STA.
(ii) License Exception STA may be used to export, reexport, and transfer (in-country) “600 series” items to persons, whether non-governmental or governmental, if they are in and, for natural persons, nationals of a country listed in Country Group A:5 (See supplement no. 1 to part 740 of the EAR) or the United States and if:
(A) The ultimate end user for such items is the armed forces, police, paramilitary, law enforcement, customs, correctional, fire, or a search and rescue agency of a government of one of the countries listed in Country Group A:5, or the United States Government;
(B) For the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of an item in one of the countries listed in Country Group A:5 or the United States that will be for one, or more, of the following purposes:
(1) Ultimately to be used by any such government agencies in one of the countries listed in Country Group A:5 or the United States Government; or
(2) Sent to a person in the United States and not for subsequent export under § 740.9(b)(1) (License Exception TMP for items moving in transit through the United States); or
(C) The United States Government has otherwise authorized the ultimate end use, the license or other authorization is in effect, and the consignee verifies in writing that such authorization exists and has provided the license or other approval identifier to the exporter, reexporter or transferor (as applicable).
(iii) License Exception STA may not be used to export, reexport, or transfer (in-country) end items described in ECCN 0A606.a, ECCN 8A609.a, ECCN 8A620.a or .b, or ECCN 9A610.a until after BIS has approved their export under STA under the procedures set out in § 740.20(g).
(iv) License Exception STA may not be used to export, reexport, or transfer (in-country) “600 series” items if they are “600 Series Major Defense Equipment” and the value of such items in the contract requiring their export exceeds $25,000,000.
Any export, reexport, or transfer (in-country) originally authorized under License Exception STA must stay within the scope of the original authorization. For example, for “600 series” items authorized under License Exception STA, such items must be provided to an eligible ultimate end user, such as a Country Group A:5 military, to stay in compliance with the original authorization. This requirement for the “600 series” is referred to as ‘completing the chain,’ meaning regardless of how many times the “600 series” item is transferred (in-country) or whether the “600 series” item is incorporated into higher level assemblies or other items, the “600 series” item must ultimately be provided to an eligible ultimate end user, or be otherwise authorized under the EAR. This applies regardless of whether the “600 series” item has been incorporated into a foreign-made item that may no longer be “subject to the EAR.” Because the other items eligible for authorization under License Exception STA (9×515 and other non-600 series ECCNs) do not include the “600 series” requirements specific to ultimate end user, this ‘completing the chain’ concept does not apply to 9×515 and other non-600 series ECCNs authorized under License Exception STA. However, the original export, reexport, or transfer (in-country) made under License Exception STA for 9×515 and other non-600 series ECCNs still must comply with the original authorization – meaning the terms and conditions of License Exception STA.
(c) Authorizing paragraphs – (1) Multiple reasons for control. Exports, reexports, and transfers (in-country) in which the only applicable reason(s) for control is (are) national security (NS); chemical or biological weapons (CB); nuclear nonproliferation (NP); regional stability (RS); crime control (CC), and/or significant items (SI) are authorized for destinations in or nationals of Country Group A:5 (See supplement no.1 to part 740 of the EAR).
License Exception STA under § 740.20(c)(1) may be used to authorize the export, reexport, or transfer (in-country) of “600 series” items only if the purchaser, intermediate consignee, ultimate consignee, and end user have previously been approved on a license or other approval, i.e., Directorate of Defense Trade Controls (DDTC) Manufacturing License Agreement (MLA), Technical Assistance Agreement (TAA), Warehouse Distribution Agreement (WDA), or General Correspondence approval (GC) issued by BIS or DDTC at the U.S. Department of State.
(2) Controls of lesser sensitivity. Exports, reexports and transfers (in-country) in which the only applicable reason for control is national security (NS) and the item being exported, reexported or transferred (in-country) is not designated in the STA paragraph in the License Exception section of the ECCN that lists the item are authorized for destinations in or nationals of Country Group A:6 (See supplement no. 1 to this part).
(d) Conditions – (1) Requirement to furnish Export Control Classification Number. (i) The exporter must furnish to the consignee the ECCN of each item to be exported pursuant to this section. Once furnished to a particular consignee, the ECCN that applies to any item need not be refurnished to that consignee at the time the same exporter makes an additional export of the same item, if the information remains accurate at the time of the additional export.
(ii) A reexporter or transferor must furnish to subsequent consignees the ECCN, provided by the exporter or a prior reexporter or transferor, of each item to be reexported or transferred (in-country) pursuant to this section. Once furnished to a particular consignee, the ECCN that applies to any item need not be refurnished to that consignee at the time the same reexporter or transferor makes an additional reexport or transfer (in-country) of the same item, if the information remains accurate at the time of the additional reexport or transfer (in-country).
(iii) For purposes of determining reexport or transfer eligibility under this section, the consignee may rely on the ECCN provided to it by the party required to furnish the ECCN under paragraph (d)(1)(i) or (ii) of this section unless the consignee knows that the ECCN is incorrect or has changed. The word “knows” has the same meaning as the term “knowledge” in § 772.1 of the EAR.
(2) Prior Consignee Statement. The requirements in this paragraph (d)(2) apply to each party using License Exception STA to export, reexport, or transfer (in-country), including reexporters and transferors of items previously received under License Exception STA. The exporter, reexporter, or transferor must obtain the following statement in writing from its consignee(s) prior to exporting, reexporting, or transferring (in-country) the item and must retain the statement in accordance with part 762 of the EAR. One statement may be used for multiple exports, reexports, or transfers (in-country) of the same items between the same parties so long as the party names, the description(s) of the item(s) and the ECCNs are correct. The exporter, reexporter, or transferor must maintain a log or other record (such as documents created in the ordinary course of business) that identifies each shipment made pursuant to this section and the specific consignee statement that is associated with each shipment. For purposes of this paragraph (d)(2), a log or other record is not required for intangible (i.e., electronic or in an otherwise intangible form) exports, reexports, or transfers (in-country) made under License Exception STA, but an exporter, reexporter, or transferor is required, prior to making any export, reexport, or transfer (in-country), to ensure that a prior consignee statement has been obtained pursuant to the requirements of this paragraph (d)(2). (See Note 1 to paragraph (d)(3) of this section for additional guidance on intangible exports, reexports, and transfers (in-country), including best practices). Paragraphs (d)(2)(i) through (vi) of this section are required for all transactions. In addition, paragraph (d)(2)(vii) is required for all transactions in “600 series” items and paragraph (viii) of this section is required for transactions in “600 series” items if the consignee is not the government of a country listed in Country Group A:5 (See supplement no. 1 to part 740 of the EAR). Paragraph (d)(2)(viii) is also required for transactions including 9×515 items.
(i) Is aware that [INSERT GENERAL DESCRIPTION AND APPLICABLE ECCN(S) OF ITEMS TO BE SHIPPED (e.g., aircraft parts and components classified under ECCN 9A610)] will be shipped pursuant to License Exception Strategic Trade Authorization (STA) in § 740.20 of the United States Export Administration Regulations (15 CFR 740.20);
(ii) Has been informed of the ECCN(s) noted above by [INSERT NAME OF EXPORTER, REEXPORTER OR TRANSFEROR];
(iii) Understands that items shipped pursuant to License Exception STA may not subsequently be reexported pursuant to paragraphs (a) or (b) of License Exception APR (15 CFR 740.16(a) or (b));
(iv) Agrees to obtain a prior consignee statement when using License Exception STA for any reexport or transfer (in-country) of items previously received under License Exception STA;
(v) Agrees not to export, reexport, or transfer these items to any destination, use or user prohibited by the United States’ Export Administration Regulations;
(vi) Agrees to provide copies of this document and all other export, reexport, or transfer records (i.e., the documents described in 15 CFR part 762) relevant to the items referenced in this statement to the U.S. Government as set forth in 15 CFR 762.7;
(vii) Understands that License Exception STA may be used to export, reexport, and transfer (in-country) “600 series” items to persons, whether non-governmental or governmental, only if they are in and, for natural persons, nationals of a country listed in Country Group A:5 (See supplement no. 1 to part 740 of the EAR) or the United States and if:
(A) The ultimate end user for such items is the armed forces, police, paramilitary, law enforcement, customs, correctional, fire, or a search and rescue agency of a government of one of the countries listed in Country Group A:5 or the United States Government;
(B) For the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of an item in one of the countries listed in Country Group A:5 or the United States that will be for one, or more, of the following purposes:
(1) Ultimately to be used by any such government agencies in one of the countries listed in Country Group A:5 or the United States Government; or
(2) Sent to a person in the United States and not for subsequent export under § 740.9(b)(1) (License Exception TMP for items moving in transit through the United States); or
(C) The United States Government has otherwise authorized the ultimate end use, the license or other authorization is in effect, and the consignee verifies in writing that such authorization exists and has provided the license or other approval identifier to the exporter, reexporter or transferor (as applicable).
(viii) Agrees to permit a U.S. Government end-use check with respect to the items.
[INSERT NAME(S) AND TITLE(S) OF PERSON(S) SIGNING THIS DOCUMENT, AND DATE(S) DOCUMENT IS SIGNED].
When multiple consignees who form a network engaged in a production process (or other type of collaborative activity, such as joint development) will be receiving items under License Exception STA, a single prior consignee statement for multiple consignees may be used for any item eligible for export, reexport, or transfer (in-country) under License Exception STA, provided all of the applicable requirements of License Exception STA are met, including those specified in paragraph (d)(2).
Country Group A:5 and A:6 government consignees are not required to sign or provide a prior consignee statement.
(3) Notification to consignee of STA shipment. With each shipment under License Exception STA, the exporter (or reexporter or transferor as applicable), must notify the consignee in writing that the shipment is made pursuant to License Exception STA. The notice must either specify which items are subject to License Exception STA or state that the entire shipment is made pursuant to License Exception STA. The notice must clearly identify the shipment to which it applies. The written notice may be conveyed by paper documents or by electronic methods such as facsimile or email.
While the exporter, reexporter, and transferor must furnish the applicable ECCN and obtain a consignee statement prior to export, reexport or transfer (in-country) made under License Exception STA in accordance with the requirements of paragraphs (d)(1) and (d)(2) of this section, intangible (i.e., electronic or in an otherwise intangible form) exports, reexports, and transfers (in-country) made under License Exception STA are not subject to the notification requirements of paragraph (d)(3) of this section. However, any export, reexport, or transfer (in-country) made under STA must stay within the scope of the original authorization.
(4) Requirements for releases of software source code or technology within a single country. Instead of the requirement of paragraphs (d)(1) through (d)(3) of this section, the party releasing software source code or technology to a national of a country listed in Country Group A:5 or A:6 (See supplement no. 1 to this part) must notify the recipient of the software source code or technology of the restrictions upon further release of the software source code or technology. The notification must either expressly inform the recipient that the EAR impose limits on further disclosure or must be in the form of an agreement in which the recipient agrees to limits on further disclosure. Any such agreement must impose limits that are equivalent to or more restrictive than all limits on further disclosure that are imposed by the EAR. The notification must be in writing and a copy of it must be retained by the party making the release and the recipient of the release. The notification may be in a separate document or included in a document such as a contract or a nondisclosure agreement. If the document has an expiration date, it must provide that the restrictions on disclosure do not expire.
(e) Limitation on subsequent exports, reexports or in country transfers. If a commodity has been exported, reexported or transferred in-country pursuant to this section, it may not be subsequently exported, reexported or transferred in-country pursuant to paragraphs (a) or (b) of License Exception APR (§ 740.16(a) or (b) of the EAR). Paragraphs (a) and (b) of License Exception APR do not authorize exports of software or technology.
(f) Applicability of Wassenaar Arrangement reporting requirements. See § 743.1 of the EAR for special reporting requirements that apply to some exports made pursuant to this section.
(g) License Exception STA eligibility requests for 9×515 and “600 series” items – (1) Applicability. Any person may request License Exception STA eligibility for end items described in ECCN 0A606.a, ECCN 8A609.a, ECCNs 8A620.a or .b, “spacecraft” in ECCNs 9A515.a.1, .a.2, .a.3, or .a.4, “sub-orbital craft,” or items in 9A515.g, 9A610.a, or technology ECCNs 9E515.b, .d, .e, or .f.
(2) Required information and manner of requests. Requests for License Exception STA eligibility must be made via the BIS Simplified Network Application Process-Redesign(SNAP-R) system unless BIS authorizes submission via the paper BIS-748-P Multipurpose Application form. For situations in which BIS 748-P submissions may be authorized, see § 748.1(d)(1). For required information specific to License Exception STA eligibility requests, see supplement no. 1 to part 748, Blocks 5 and 6 and supplement no. 2 to part 748, paragraph (w). In SNAP-R the work type for these applications is “Export.”
(3) Timeline for USG review. The Departments of Commerce, Defense and State will review License Exception STA eligibility requests in accordance with the timelines set forth in Executive Order 12981 and § 750.4. If the License Exception STA request is approved, the process outlined in paragraph (g)(5)(i) of this section is followed.
(4) Review criteria. The Departments of Commerce, Defense and State will determine whether the “end item” is eligible for this license exception based on an assessment of whether it provides a critical military or intelligence advantage to the United States or is otherwise available in countries that are not regime partners or close allies. If the “end item” does not provide a critical military or intelligence advantage to the United States or is otherwise available in countries that are not regime partners or close allies, the Departments will determine that License Exception STA is available unless an overarching foreign policy rationale for restricting STA availability can be articulated. Consensus among the Departments is required in order for an “end item” to be eligible for License Exception STA. Such determinations are made by the departments’ representatives to the Advisory Committee on Export Policy (ACEP), or their designees.
(5) Disposition of License Exception STA eligibility requests – (i) Approvals. If the request for STA eligibility is approved, the applicant will receive notification from BIS authorizing the use of the additional License Exception STA for the specific end items requested. This will be in the form of a notice generated by SNAP-R to the applicant. Applicants who receive an approval notification may share it with companies affiliated with them, such as a branch or distributor, and may also take steps to make it public (e.g., on their Web site) if the applicants so wish. In addition, BIS will add a description of the approved end item in the relevant ECCN and in an online table posted on the BIS Web site, which removes the restriction on the use of License Exception STA for the end item identified in the approved request. BIS will publish, as needed, a final rule adding this license exception eligibility to the EAR for that ECCN entry or end item.
(ii) Denials. If the STA eligibility request is not approved, the applicant will receive written notification from BIS. This will be in the form of a notice generated by SNAP-R to the applicant. Applicants may re-submit STA eligibility requests at any time.
§ 740.21 Support for the Cuban People (SCP).
(a) Introduction. This License Exception authorizes certain exports and reexports to Cuba that are intended to support the Cuban people by improving their living conditions and supporting independent economic activity; strengthening civil society in Cuba; and improving the free flow of information to, from, and among the Cuban people.
(b) Improving living conditions and supporting independent economic activity. This paragraph authorizes the export or reexport to Cuba of items designated as EAR99, or controlled on the Commerce Control List (CCL) (supplement no. 1 to part 774 of the EAR) only for anti-terrorism reasons (i.e., anti-terrorism must be the only reason for control that applies to the item as set forth in the Export Control Classification Number (ECCN) that controls the item). If any other reason for control applies to the item, it is not authorized for export or reexport by this paragraph. The item must be within one or more of the following categories:
(1) Items for use by the Cuban private sector for private sector economic activities, except for items that would be used to:
(i) Primarily generate revenue for the state; or
(ii) Contribute to the operation of the state, including through the construction or renovation of state-owned buildings.
(2) Items sold directly to individuals in Cuba for their personal use or their immediate family’s personal use, other than officials identified in paragraphs (d)(4)(ii) or (iii) of this section.
(2) Items sold directly to individuals in Cuba for their personal use or their immediate family’s personal use, other than officials identified in paragraphs (d)(4)(ii) or (iii) of this section.
(c) Strengthening civil society. This paragraph authorizes the export or reexport to Cuba of certain items for use in specified activities that can strengthen civil society. The items authorized pursuant this paragraph are limited to those designated as EAR99 or controlled only for anti-terrorism reasons on the CCL (i.e., anti-terrorism must be the only reason for control that applies to the item as set forth in the ECCN that controls the item). If any other reason for control applies to the item, it is not authorized for export or reexport by this paragraph. The export or reexport must be within one or more of the following categories:
(1) The export or reexport to Cuba of donated items for use in scientific, archaeological, cultural, ecological, educational, historic preservation, or sporting activities. The items may not be donated to organizations administered or controlled by the Cuban government or communist party, and must support eligible activities independent of the Cuban government and communist party. The activities may not relate to the “development,” “production,” “use,” operation, installation, maintenance, repair, overhaul or refurbishing of any item enumerated or otherwise described on the United States Munitions List (22 CFR part 121) or of any item enumerated or otherwise described on the Commerce Control List (supplement no. 1 to part 774 of the EAR) unless the only reason for control that applies to that item, as set forth in the ECCN that controls that item, is anti-terrorism.
(2) The temporary export or reexport to Cuba of items by travelers to Cuba for the travelers’ use in scientific, archeological, cultural, ecological, educational, historic preservation, or sporting activities, or professional meetings or research. The following requirements apply:
(i) The research must be directly related to traveler’s profession, professional background or area of expertise, including area of graduate-level full-time study.
(ii) The activities or research may not relate to the “development,” “production,” “use,” operation, installation, maintenance, repair, overhaul or refurbishing of any item enumerated or otherwise described on the United States Munitions List (22 CFR part 121) or of any item enumerated or otherwise described on the Commerce Control List (supplement no. 1 to part 774 of the EAR) unless the only reason for control that applies to that item as set forth in the ECCN that controls that item is anti-terrorism.
(iii) The items must remain under the traveler’s “effective control” while in Cuba.
(iv) Items authorized for temporary export by this paragraph must be returned to the United States within two years of the date of export from the United States unless:
(A) The items are consumed in Cuba; or
(B) The exporter applies for and receives a license from BIS, prior to the expiration of the two year period, authorizing the items to remain in Cuba for longer than two years.
(v) Paragraph (c)(2) of this section does not authorize exports if, at the time of the export, the exporter has “knowledge” that the item exported will remain in Cuba for more than two years.
(3) The export or reexport to Cuba of items to human rights organizations, individuals or non-governmental organizations that promote independent activity intended to strengthen civil society.
(d) Improving communications. This paragraph authorizes the export or reexport to Cuba of certain items intended to improve the free flow of information to, from, and among the Cuban people. The items authorized pursuant to this paragraph are limited to those designated as EAR99 or controlled only for anti-terrorism reasons on the CCL (i.e., anti-terrorism must be the only reason for control that applies to the item as set forth in the ECCN that controls the item). If any other reason for control applies to the item, it is not authorized for export or reexport by this paragraph. The export or reexport must be within one or more of the following categories:
(1) The export or reexport to Cuba of items for the creation and upgrade of telecommunications infrastructure to improve the free flow of information to, from, and among the Cuban people, including infrastructure that enables access to the internet and use of internet services. For infrastructure items that would be used to connect specific end users, those items may be used to connect individual Cubans or the Cuban private sector only (e.g., not Cuban government ministries or state-owned enterprises).
(2) The export or reexport to Cuba of items for use by news media personnel engaged in the gathering and dissemination of news to the general public and who are:
(i) Regularly employed as journalists by a news reporting organization;
(ii) Regularly employed as supporting broadcast or technical personnel;
(iii) Freelance journalists with a record of previous journalistic experience working on a freelance journalistic project; or
(iv) Broadcast or technical personnel with a record of previous broadcast or technical experience who are supporting a freelance journalist working on a freelance journalistic project.
(3) The export or reexport to Cuba of items for use by U.S. news bureaus engaged in the gathering and dissemination of news to the general public.
(4) The export or reexport to Cuba of commodities or software that will be used by individuals or private sector entities to develop software that will improve the free flow of information or that will support the private sector activities described in paragraph (b) of this section. The following are ineligible end-users:
(i) The Cuban Government or the Cuban Communist Party and organizations they administer or control;
(ii) Ministers and Vice-Ministers; members of the Council of State; members of the Council of Ministers; members and employees of the National Assembly of People’s Power; members of any provincial assembly; local sector chiefs of the Committees for the Defense of the Revolution; Director Generals and sub-Director Generals and higher of all Cuban ministries and state agencies; employees of the Ministry of the Interior (MININT); employees of the Ministry of Defense (MINFAR); secretaries and first secretaries of the Confederation of Labor of Cuba (CTC) and its component unions; chief editors, editors and deputy editors of Cuban state-run media organizations and programs, including newspapers, television, and radio; or members and employees of the Supreme Court (Tribuno Supremo Nacional); and
(iii) Members of the Politburo.
(e) Facilitating engagement, communications, and commerce. This paragraph (e) authorizes the export or reexport to Cuba of certain items intended to facilitate engagement between the U.S. and Cuban people; the free flow of information to, from, and among the Cuban people; and independent economic activity in Cuba. The export or reexport must be within one or more of the following categories:
(1) The export or reexport to Cuba of items for use by persons authorized by the Department of the Treasury, Office of Foreign Assets Control (OFAC) to establish and maintain a physical or business presence in Cuba pursuant to 31 CFR 515.573 or pursuant to a specific license issued by OFAC. The items authorized pursuant to this paragraph (e)(1) are limited to those designated as EAR99 (i.e., items subject to the EAR but not specified in any ECCN) or controlled on the CCL only for anti-terrorism reasons.
(2) [Reserved]
Any resulting payments associated with establishing or maintaining a physical or business presence in Cuba, such as lease payments, are permitted only to the extent authorized by 31 CFR 515.573 or a specific license issued by OFAC.
(f) Temporary exports and reexports to Cuba. This paragraph (f) authorizes the export or reexport to Cuba, for periods not exceeding one year, of certain items designated as EAR99 or controlled only for anti-terrorism reasons on the CCL (i.e., anti-terrorism must be the only reason for control that applies to the item as set forth in the ECCN that controls the item). If any other reason for control applies to the item, it is not authorized for export or reexport by this paragraph. This paragraph does not authorize any transaction if the exporter or reexporter has “knowledge” that the item is intended to remain in Cuba for more than one year; if an order to acquire the item, such as a purchase order, has been received before shipment; or when the item is for subsequent lease or rental. The export or reexport must be within one or more of the following categories.
(1) Tools of trade – commodities and software. Commodities or software to be used by the exporter or reexporter or its employees for the installation, servicing or repair of items that are subject to the EAR and that have been exported or reexported to Cuba under a license or license exception, or foreign-origin items that are not subject to the EAR that are owned and used exclusively by private sector entities in Cuba, may be exported or reexported under this paragraph (f). The commodities or software must remain under the “effective control” of the exporter or reexporter or its employees. Examples of security precautions to help prevent unauthorized access include the following:
(i) Use of secure connections, such as Virtual Private Network connections, when accessing IT networks for activities that involve the transmission and use of the software authorized under this license exception;
(ii) Use of password systems on electronic devices that store the software authorized under this license exception; and
(iii) Use of personal firewalls on electronic devices that store the software authorized under this license exception.
(2) Tools of trade – technology. Technology to be used by a ‘U.S. person’ exporter or reexporter or its employees who are traveling to or on temporary assignment in Cuba for the installation, servicing or repair of items that are subject to the EAR and that have been exported or reexported to Cuba under a license or license exception, or foreign-origin items that are not subject to the EAR that are owned and used exclusively by private sector entities in Cuba, may be exported or reexported under this paragraph (f). For purposes of this paragraph (f)(2), a ‘U.S. person’ is: an individual who is a citizen of the United States, an individual who is “lawfully admitted for permanent residence” in the United States as defined by 8 U.S.C. 1101(a)(20) or an individual who is a protected individual as defined by 8 U.S.C. 1324b(a)(3). ‘U.S. person’ also means any juridical person organized under the laws of the United States, or any jurisdiction within the United States (e.g., corporation, business association, partnership, society, trust, or any other entity, organization or group that is authorized to do business in the United States). If the employee who will use the technology is not a ‘U.S. person,’ the release of that technology to that employee must either not require a license or be authorized by a license or a license exception other than this section before it may be exported or reexported to that employee under this paragraph. The exporter or reexporter and the recipient of the technology must take security precautions to protect against unauthorized release of the technology while the technology is being shipped or transmitted and used overseas. Examples of security precautions to help prevent unauthorized access include the following:
(i) Use of secure connections, such as Virtual Private Network connections, when accessing IT networks for email and other business activities that involve the transmission and use of the technology authorized under this license exception;
(ii) Use of password systems on electronic devices that will store the technology authorized under this license exception; and
(iii) Use of personal firewalls on electronic devices that will store the technology authorized under this license exception.
(3) Kits of replacement “parts” or “components.” Kits consisting of replacement “parts” or “components” for items that have been exported or reexported to Cuba under a license or license exception, or foreign-origin items that are not subject to the EAR that are owned and used exclusively by private sector entities in Cuba, may be exported or reexported under this paragraph (f)(3) provided:
(i) The kits remain under “effective control” of the exporter or reexporter or its employees; and
(ii) All parts and components in the kit are returned, except that one-for-one replacements may be made in accordance with the requirements of License Exception Servicing and Replacement of Parts and Equipment (RPL) and the defective parts and components returned (see Parts, Components, Accessories and Attachments in § 740.10(a)).
(4) Exhibition and demonstration. Commodities or software for exhibition or demonstration at trade shows, or to any entity that would be eligible to receive the commodities or software under paragraphs (a) through (e) of this section, may be exported or reexported under this paragraph (f). The commodities or software must remain under the “effective control” of the exporter or reexporter or its private sector agent, may not be exhibited or demonstrated at any one location for more than 30 days and may not be used for more than the minimum extent required for effective exhibition or demonstration.
(5) Containers. Containers that would require a license for export or reexport to Cuba but that are necessary for shipment of commodities being exported to Cuba under a license or license exception may be exported or reexported to Cuba. However, this paragraph (f) does not authorize the export of the container’s contents, which, if not exempt from licensing, must be separately authorized for export or reexport under either a license or a license exception.
§ 740.22 Authorized Cybersecurity Exports (ACE).
(a) Scope. License Exception ACE authorizes export, reexport, and transfer (in-country), including deemed exports and reexports, of ‘cybersecurity items,’ as set forth in paragraph (b) of this section, subject to the restrictions set forth in paragraph (c) of this section. Deemed exports and reexports are authorized under this license exception, except for deemed exports or reexports to E:1 and E:2 nationals as described in paragraph (c)(1) of this section, to certain ‘government end users’ as described in paragraph (c)(2) of this section, and subject to the end use restrictions described in paragraph (c)(4) of this section. Even if License Exception ACE is not available for a particular transaction, other license exceptions may be available. For example, License Exception GOV (§ 740.11) authorizes certain exports to U.S. Government agencies and personnel. License Exception TMP (§ 740.9(a)(1)) authorizes the export, reexport, and transfer (in country) of tools of the trade in certain situations.
(b) Definitions. The following terms and definitions are for the purpose of License Exception ACE only.
(1) ‘Cybersecurity Items’ are ECCNs 4A005, 4D001.a (for 4A005 or 4D004), 4D004, 4E001.a (for 4A005, 4D001.a (for 4A005 or 4D004) or 4D004), 4E001.c, 5A001.j, 5B001.a (for 5A001.j), 5D001.a (for 5A001.j), 5D001.c (for 5A001.j or 5B001.a (for 5A001.j)), and 5E001.a (for 5A001.j or 5D001.a (for 5A001.j)).
(2) ‘Digital artifacts’ are items (e.g., “software” or “technology”) found or discovered on an information system that show past or present activity pertaining to the use or compromise of, or other effects on, that information system.
(3) ‘Favorable treatment cybersecurity end user’ is any of the following:
(i) A “U.S. subsidiary”;
(ii) Providers of banking and other financial services;
(iii) Insurance companies; or
(iv) Civil health and medical institutions providing medical treatment or otherwise conducting the practice of medicine, including medical research.
(4) ‘Government end user,’ for the purpose of this section, is a national, regional, or local department, agency, or entity that provides any governmental function or service, including entities or individuals who are acting on behalf of such an entity. This term does not include any ‘favorable treatment cybersecurity end user’ listed in paragraph (b)(3) of this section. This term includes, but is not limited to:
(i) International governmental organizations;
(ii) Government operated research institutions;
(iii) “More-sensitive government end users”;
(iv) “Less-sensitive government end users”;
(v) Utilities (including telecommunications service providers and internet service providers) that are wholly operated or owned by a government or governmental authority or ‘partially operated or owned by a government or governmental authority’;
(vi) Transportation hubs and services (e.g., airlines and airports; ships and ports; railways and rail stations; buses, trucking and highways) that are wholly operated or owned by a government or governmental authority or ‘partially operated or owned by a government or governmental authority’; and
(vii) Retail or wholesale firms that are wholly operated or owned by a government or governmental authority or ‘partially operated or owned by a government or by a governmental authority’, engaged in the manufacture, distribution, or provision of items or services specified in the Wassenaar Arrangement Munitions List.
(5) For the purposes of this section, ‘partially operated or owned by a government or governmental authority’ means that a foreign government or governmental authority beneficially owns or controls (whether directly or indirectly) 25 percent or more of the voting securities of the foreign entity, or a foreign government or governmental authority has the authority to appoint a majority of the members of the board of directors of the foreign entity.
(c) Restrictions. License Exception ACE does not authorize deemed exports and reexports, exports, reexports, or transfers (in-country) of ‘cybersecurity items’ as follows:
(1) To a destination that is listed in Country Group E:1 or E:2 in supplement no.1 to this part.
(2) To a ‘government end user’, as defined in this section, of any country listed in Country Group D:1, D:2, D:3, D:4 or D:5 in supplement no. 1 to this part, except:
(i) ‘Digital artifacts’ (that are related to a cybersecurity incident involving information systems owned or operated by a ‘favorable treatment cybersecurity end user’) to police or judicial bodies in Country Group D countries that are also listed in Country Group A:6 for purposes of criminal or civil investigations or prosecutions of such cybersecurity incidents; or
(ii) To national computer security incident response teams in Country Group D countries that are also listed in Country Group A:6 of ‘cybersecurity items’ for purposes of responding to cybersecurity incidents, for purposes of “vulnerability disclosure”, or for purposes of criminal or civil investigations or prosecutions of such cybersecurity incidents.
(3) The restrictions in paragraphs (c)(1) and (2) of this section also apply to activities, including exports, reexports, and transfers (in-country), related to “vulnerability disclosure” and “cyber incident response”.
For paragraphs (c)(1) and (2) of this section, see Note 1 to ECCN 4E001 in the CCL (supplement no. 1 to part 774 of the EAR) excluding “vulnerability disclosure” and “cyber incident response” from control under 4E001.a or .c.
(4) To a non-‘government end user’ located in any country listed in Country Group D:1 or D:5 of supplement no. 1 to this part, except:
(i) Cybersecurity items classified under ECCNs 4A005, 4D001.a (for 4A005 or 4D004), 4D004, 4E001.a (for 4A005, 4D001.a (for 4A005 or 4D004) or 4D004) and 4E001.c, to any ‘favorable treatment cybersecurity end user’.
(ii) “Vulnerability disclosure” or “cyber incident response”.
(iii) Deemed exports.
(5) If the exporter, reexporter, or transferor “knows” or has “reason to know” at the time of export, reexport, or transfer (in-country), including deemed exports and reexports, that the ‘cybersecurity item’ will be used to affect the confidentiality, integrity, or availability of information or information systems, without authorization by the owner, operator, or administrator of the information system (including the information and processes within such systems).
Supplement No. 1 to Part 740 – Country Groups
Country Group A
| Country | [A:1] Wassenaar participating states 1 | [A:2] Missile technology control regime 2 | [A:3] Australia group | [A:4] Nuclear suppliers group 3 | [A:5] | [A:6] |
|---|---|---|---|---|---|---|
| Albania | X | |||||
| Argentina | X | X | X | X | X | |
| Australia | X | X | X | X | X | |
| Austria | X | X | X | X | X | |
| Belgium | X | X | X | X | X | |
| Brazil | X | X | ||||
| Bulgaria | X | X | X | X | X | |
| Canada | X | X | X | X | X | |
| Croatia | X | X | X | X | ||
| Cyprus | X | X | X | |||
| Czech Republic | X | X | X | X | X | |
| Denmark | X | X | X | X | X | |
| Estonia | X | X | X | X | ||
| Finland | X | X | X | X | X | |
| France | X | X | X | X | X | |
| Germany | X | X | X | X | X | |
| Greece | X | X | X | X | X | |
| Hungary | X | X | X | X | X | |
| Iceland | X | X | X | X | X | |
| India | X | X | X | X | ||
| Ireland | X | X | X | X | X | |
| Israel | X | |||||
| Italy | X | X | X | X | X | |
| Japan | X | X | X | X | X | |
| Kazakhstan | X | |||||
| Korea, South | X | X | X | X | X | |
| Latvia | X | X | X | X | ||
| Lithuania | X | X | X | X | ||
| Luxembourg | X | X | X | X | X | |
| Malta | X | X | X | |||
| Mexico | X | X | X | X | ||
| Netherlands | X | X | X | X | X | |
| New Zealand | X | X | X | X | X | |
| Norway | X | X | X | X | X | |
| Poland | X | X | X | X | X | |
| Portugal | X | X | X | X | X | |
| Romania | X | X | X | X | ||
| Serbia | X | |||||
| Singapore | X | |||||
| Slovakia | X | X | X | X | ||
| Slovenia | X | X | X | X | ||
| South Africa | X | X | X | X | ||
| Spain | X | X | X | X | X | |
| Sweden | X | X | X | X | X | |
| Switzerland | X | X | X | X | X | |
| Taiwan | X | |||||
| Turkey | X | X | X | X | X | |
| Ukraine 4 | X | X | X | |||
| United Kingdom | X | X | X | X | X | |
| United States | X | X | X | X |
1 Country Group A:1 is a list of the Wassenaar Arrangement Participating States, except for Malta, Russia and Ukraine.
2 Country Group A:2 is a list of the Missile Technology Control Regime countries, except for Russia.
3 Country Group A:4 is a list of the Nuclear Suppliers Group countries, except for the People’s Republic of China (PRC), Russia, and Belarus.
4 For purposes of this supplement, as well as any other EAR provision that references the Country Groups, the designations for Ukraine also apply to the Crimea region of Ukraine. See § 746.6(c) of the EAR for an exhaustive listing of license exceptions that are available for the Crimea region of Ukraine. No other EAR license exceptions are available for the Crimea region of Ukraine. The Crimea region of Ukraine includes the land territory in that region as well as any maritime area over which sovereignty, sovereign rights, or jurisdiction is claimed based on purported annexation of that land territory.
Country Group D
| Country | [D: 1] National Security | [D: 2] Nuclear | [D: 3] Chemical & Biological | [D: 4] Missile Technology | [D: 5] U.S. Arms Embargoed Countries 1 |
|---|---|---|---|---|---|
| Afghanistan | X | X | |||
| Armenia | X | X | |||
| Azerbaijan | X | X | |||
| Bahrain | X | X | |||
| Belarus | X | X | X | X | X |
| Burma | X | X | X | ||
| Cambodia | X | X | |||
| Central African Republic | X | ||||
| China (PRC) | X | X | X | X | |
| Congo (Democratic Republic of) | X | ||||
| Cuba | X | X | X | ||
| Cyprus | X | ||||
| Egypt | X | X | |||
| Eritrea | X | ||||
| Georgia | X | X | |||
| Haiti | X | ||||
| Iran | X | X | X | X | |
| Iraq | X | X | X | X | X |
| Israel | X | X | X | ||
| Jordan | X | X | |||
| Kazakhstan | X | X | |||
| Korea, North | X | X | X | X | X |
| Kuwait | X | X | |||
| Kyrgyzstan | X | X | |||
| Laos | X | ||||
| Lebanon | X | X | X | ||
| Libya | X | X | X | X | X |
| Macau | X | X | X | ||
| Moldova | X | X | |||
| Mongolia | X | X | |||
| Oman | X | X | |||
| Pakistan | X | X | X | ||
| Qatar | X | X | |||
| Russia | X | X | X | X | X |
| Saudi Arabia | X | X | |||
| Somalia | X | ||||
| South Sudan, Republic of | X | ||||
| Sudan | X | ||||
| Syria | X | X | X | ||
| Taiwan | X | ||||
| Tajikistan | X | X | |||
| Turkmenistan | X | X | |||
| United Arab Emirates | X | X | |||
| Uzbekistan | X | X | |||
| Venezuela | X | X | X | X | X |
| Vietnam | X | X | |||
| Yemen | X | X | X | ||
| Zimbabwe | X |
1
Country Group E
1
| Country | [E:1] Terrorist supporting countries 2 | [E:2] Unilateral embargo |
|---|---|---|
| Cuba | X | |
| Iran | X | |
| Korea, North | X | |
| Syria | X |
1 In addition to the controls maintained by the Bureau of Industry and Security pursuant to the EAR, note that the Department of the Treasury administers:
(a) A
(b) An
2 The President made inapplicable with respect to Iraq provisions of law that apply to countries that have supported terrorism.
Supplement No. 2 to Part 740 – Items That May Be Donated To Meet Basic Human Needs Under the Humanitarian License Exception
(a) Health
(b) Food
(c) Clothes and Household Goods
(d) Shelter
(e) Education
(f) Basic Support Equipment and Supplies Necessary To Operate and Administer the Donative Program
Supplement No. 3 to Part 740 – License Exception ENC Favorable Treatment Countries
Supplement No. 4 to Part 740 – Annex A Firearm Models
(a) Pistols/revolvers.
(1) German Model P08 Pistol = SMCR.
(2) IZH 34M, .22 Target pistol.
(3) IZH 35M, .22 caliber Target pistol.
(4) Mauser Model 1896 pistol = SMCR.
(5) MC-57-1 pistol.
(6) MC-1-5 pistol.
(7) Polish Vis Model 35 pistol = SMCR.
(8) Soviet Nagant revolver = SMCR.
(9) TOZ 35, .22 caliber Target pistol.
(10) MTs 440.
(11) MTs 57-1.
(12) MTs 59-1.
(13) MTs 1-5.
(14) TOZ-35M (starter pistol).
(15) Biathlon-7K.
(b) Rifles.
(1) BARS-4 Bolt Action carbine.
(2) Biathlon target rifle, .22.
(3) British Enfield rifle = SMCR.
(4) CM2, .22 target rifle (also known as SM2, .22).
(5) German model 98K = SMCR.
(6) German model G41 = SMCR.
(7) German model G43 = SMCR.
(8) IZH-94.
(9) LOS-7, bolt action.
(10) MC-7-07.
(11) MC-18-3.
(12) MC-19-07.
(13) MC-105-01.
(14) MC-112-02.
(15) MC-113-02.
(16) MC-115-1.
(17) MC-125/127.
(18) MC-126.
(19) MC-128.
(20) Saiga.
(21) Soviet Model 38 carbine = SMCR.
(22) Soviet Model 44 carbine = SMCR.
(23) Soviet Model 91/30 rifle = SMCR.
(24) TOZ 18, .22 bolt action.
(25) TOZ 55.
(26) TOZ 78.
(27) Ural Target, .22lr.
(28) VEPR rifle.
(29) Winchester Model 1895, Russian Model rifle = SMCR.
(30) Sever – double barrel.
(31) IZH18MH single barrel break action.
(32) MP-251 over/under rifle.
(33) MP-221 double barrel rifle.
(34) MP-141K.
(35) MP-161K.
(36) MTs 116-1.
(37) MTs 116M.
(38) MTs 112-02.
(39) MTs 115-1.
(40) MTs 113-02.
(41) MTs 105-01.
(42) MTs 105-05.
(43) MTs 7-17 combination gun.
(44) MTs 7-12-07 rifle/shotgun.
(45) MTs 7-07.
(46) MTs 109-12-07 rifle.
(47) MTs 109-07 rifle.
(48) MTs 106-07 combination.
(49) MTs 19-97.
(50) MTs 19-09.
(51) MTs 18-3M.
(52) MTs 125.
(53) MTs 126.
(54) MTs 127.
(55) Berkut-2.
(56) Berkut-2M1.
(57) Berkut-3.
(58) Berkut-2-1.
(59) Berkut-2M2.
(60) Berkut-3-1.
(61) Ots-25.
(62) MTs 20-07.
(63) LOS-7-1.
(64) LOS-7-2.
(65) LOS-9-1.
(66) Sobol (Sable).
(67) Rekord.
(68) Bars-4-1.
(69) Saiga.
(70) Saiga-M.
(71) Saiga 308.
(72) Saiga-308-1.
(73) Saiga 308-2.
(74) Saiga-9.
(75) Korshun.
(76) Ural-5-1.
(77) Ural 6-1.
(78) Ural-6-2.
(79) SM-2.
(80) Biatlon-7-3.
(81) Biatlon-7-4.
(82) Rekord-1.
(83) Rekord-2.
(84) Rekord-CISM.
(85) Rekord-1-308.
(86) Rekord-2-308.
(87) Rekord-1-308-CISM.
(88) VEPR.
(89) VEPR Super.
(90) VEPR Pioneer.
(91) VEPR Safari.
(92) TOZ 109.
(93) KO 44-1.
(94) TOZ 78-01.
(95) KO 44.
(96) TOZ 99.
(97) TOZ 99-01.
(98) TOZ 55-01 Zubr.
(99) TOZ 55-2 Zubr.
(100) TOZ 120 Zubr.
(101) MTs 111.
(102) MTs 109.
(103) TOZ 122.
(104) TOZ 125.
(105) TOZ 28.
(106) TOZ 300.
PART 742 – CONTROL POLICY – CCL BASED CONTROLS
§ 742.1 Introduction.
In this part, references to the Export Administration Regulations (EAR) are references to 15 CFR chapter VII, subchapter C.
(a) Scope. This part describes all the reasons for control reflected in the Country Chart in supplement no. 1 to part 738 of the EAR. In addition, it includes licensing requirements and licensing policies for the following items that are not reflected on the Country Chart: specially designed implements of torture, high performance computers, and communications intercepting devices. In addition to describing the reasons for control and licensing requirements and policies, this part describes any applicable contract sanctity provisions that may apply to specific controls and includes a description of any multilateral regime under which specific controls are maintained.
(b) Reasons for control listed on the CCL not covered by this part. This part describes the license requirements and the licensing policies for all the “Reasons for Control” that are listed on the Commerce Control List (CCL) except “Short Supply” and “U.N. Sanctions,” which do not appear on the Country Chart.
(1) Short supply. ECCNs containing items subject to short supply controls (“SS”) refer the exporter to part 754 of the EAR. These ECCNs are: 0A980 (Horses for export by sea); 1C980 (certain inorganic chemicals); 1C982 (certain other petroleum products); 1C983 (certain natural gas liquids and other natural gas derivatives); 1C984 (certain manufactured gas and synthetic natural gas (except when commingled with natural gas and thus subject to export authorization from the Department of Energy); and 1C988 (Unprocessed western red cedar (thuja plicata) logs and timber, and rough, dressed and worked lumber containing wane).
(2) U.N. Sanctions. The United Nations imposes sanctions, short of complete embargoes, against certain countries which may result in controls that supplement those otherwise maintained under the EAR for that particular country. This part does not address license requirements and licensing policies for controls implementing U.N. sanctions. CCL entries containing items subject to U.N. sanctions will refer the exporter to part 746 of the EAR, Embargoes and Other Special Controls, for any supplemental controls that may apply to exports and reexports involving these countries.
(c) Exports and reexports involving Cuba and Iran. This part does not cover license requirements and licensing policies that apply to exports and reexports to embargoed destinations (Cuba and Iran). These comprehensive embargoes cover a broader range of items than those reflected in the CCL. If you are exporting or reexporting to any of these destinations, you should first review part 746 of the EAR, Embargoes and Other Special Controls.
(d) Anti-terrorism Controls on Iran, North Korea, and Syria. Commerce maintains anti-terrorism controls on Iran, North Korea, and Syria under section 6(a) of the Export Administration Act. Items controlled under section 6(a) to Iran, Syria, and North Korea are described in §§ 742.8, 742.9, 742.10, and 742.19, respectively, and in Supplement No. 2 to part 742. Commerce also maintains controls under section 6(j) of the EAA to Iran, North Korea, and Syria. Items controlled to these countries under EAA section 6(j) are also described in Supplement 2 to part 742. The Secretaries of Commerce and State are required to notify appropriate Committees of the Congress 30 days before issuing a license for an item controlled under section 6(j) to North Korea, Iran, or Syria. If you are exporting or reexporting to Iran, North Korea, or Syria, you should review part 746 of the EAR, Embargoes and Other Special Controls.
(e) End-user and end-use based controls. This part does not cover prohibitions and licensing requirements for exports of items not included on the CCL that are subject to end-use and end-user controls: certain nuclear end-uses; certain missile end-uses; certain chemical and biological weapons end-uses; certain naval nuclear propulsion end-uses; certain activities of U.S. persons; and certain exports to and for the use of certain foreign vessels and aircraft. Licensing requirements and policies for these exports are contained in part 744 of the EAR.
(f) Overlapping license policies. Many items on the CCL are subject to more than one type of control (e.g., national security (NS), missile technology (MT), nuclear nonproliferation (NP), regional stability (RS)). In addition, applications for all items on the CCL, other than those controlled for short supply reasons, may be reviewed for missile technology (see § 742.5(b)(3) of this part), nuclear nonproliferation (see § 742.3(b)(2) of this part), or chemical and biological weapons (see § 742.2(b)(3) of this part), if the end-use or end-user may be involved in certain proliferation activities. Finally, many multilaterally controlled items are reviewed for anti-terrorism reasons if they are destined for a terrorism-supporting country (see paragraph (d) of this section). Your application for a license will be reviewed under all applicable licensing policies. A license will be issued only if an application can be approved under all applicable licensing policies.
§ 742.2 Proliferation of chemical and biological weapons.
(a) License requirements. The following controls are maintained in support of the U.S. foreign policy of opposing the proliferation and illegal use of chemical and biological weapons. (See also § 742.18 of this part for license requirements pursuant to the Chemical Weapons Convention).
(1) If CB Column 1 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the appropriate ECCN, a license is required to all destinations, including Canada, for the following:
(i) Human pathogens, zoonoses, toxins, animal pathogens, genetically modified microorganisms and plant pathogens identified in ECCNs 1C351, 1C353, and 1C354; and
(ii) Technology (ECCNs 1E001 and 1E351) for the production and/or disposal of microbiological commodities described in paragraph (a)(1)(i) of this section.
(2) If CB Column 2 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the appropriate ECCN, a license is required to all destinations except countries in Country Group A:3 (see supplement no. 1 to part 740 of the EAR) (Australia Group members) for the following:
(i) Chemicals identified in ECCN 1C350 (precursor and intermediate chemicals used in the production of chemical warfare agents).
(A) This license requirement includes chemical mixtures identified in ECCN 1C350.b, .c, or .d, except as specified in License Requirements Note 2 to that ECCN.
(B) This licensing requirement does not include chemical compounds created with any chemicals identified in ECCN 1C350, unless those compounds are also identified in ECCN 1C350.
(C) This licensing requirement does not apply to any of the following medical, analytical, diagnostic, and food testing kits that consist of pre-packaged materials of defined composition that are specifically developed, packaged, and marketed for diagnostic, analytical, or public health purposes:
(1) Test kits containing no more than 300 grams of any chemical controlled by ECCN 1C350.b or .c (CB-controlled chemicals also identified as Schedule 2 or 3 chemicals under the CWC) that are destined for export or reexport to CWC States Parties (destinations listed in supplement no. 2 to part 745 of the EAR). Such test kits are controlled by ECCN 1C395 for CB and CW reasons, to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR), and for AT reasons.
(2) Test kits that contain no more than 300 grams of any chemical controlled by ECCN 1C350.d (CB-controlled chemicals not also identified as Schedule 1, 2, or 3 chemicals under the CWC). Such test kits are controlled by ECCN 1C995 for AT reasons.
(ii) Software (ECCN 1D390) for process control that is specifically configured to control or initiate production of the chemical precursors controlled by ECCN 1C350.
(iii) Technology (ECCN 1E001) for the development or production of chemical detection systems and dedicated detectors therefore, controlled by ECCN 1A004.c, that also have the technical characteristics described in ECCN 2B351.a.
(iv) Technology (ECCNs 1E001 and 1E350) involving the following for facilities designed or intended to produce chemicals described in 1C350:
(A) Overall plant design;
(B) Design, specification, or procurement of equipment;
(C) Supervision of construction, installation, or operation of complete plant or components thereof;
(D) Training of personnel; or
(E) Consultation on specific problems involving such facilities.
(v) Technology (ECCNs 1E001 and 1E351) for the production and/or disposal of chemical precursors described in ECCN 1C350;
(vi) Equipment and materials identified in ECCN 2B350 or 2B351 on the CCL, chemical detection systems controlled by 1A004.c for detecting chemical warfare agents and having the characteristics of toxic gas monitoring systems described in 2B351.a, and valves controlled by ECCN 2A226 having the characteristics of those described in 2B350.g, which can be used in the production of chemical weapons precursors or chemical warfare agents.
(vii) Equipment and materials identified in ECCN 2B352, which can be used in the production of biological agents.
(viii) Software identified in ECCN 2D351 or 2D352, as follows:
(A) Dedicated software identified in ECCN 2D351 for the “use” of toxic gas monitoring systems and their dedicated detecting components controlled by ECCN 2B351;
(B) Software designed for nucleic acid assemblers and synthesizers controlled by 2B352.j that is capable of designing and building functional genetic elements from digital sequence data.
(ix) Technology identified in ECCN 2E001 for the “development” of software controlled by ECCN 2D351 or 2D352.
(x) Technology identified in ECCN 2E001, 2E002, or 2E301 for:
(A) The development, production, or use of items controlled by ECCN 2B350, 2B351, or 2B352; or
(B) The development or production of valves controlled by ECCN 2A226 having the characteristics of those described in ECCN 2B350.g.
(xi) Technology identified in ECCN 2E201 or 2E290 for the use of valves controlled by ECCN 2A226 having the characteristics of those described in 2B350.g.
(3) If CB Column 3 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the appropriate ECCN, a license is required to Country Group D:3 (see supplement no. 1 to part 740 of the EAR) for medical products identified in ECCN 1C991.c.
(4) A license is required, to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR), for mixtures controlled by 1C395.a and test kits controlled by 1C395.b.
(b) Licensing policy. (1) License applications for the items described in paragraph (a) of this section will be considered on a case-by-case basis to determine whether the export or reexport would make a material contribution to the design, development, production, stockpiling or use of chemical or biological weapons. When an export or reexport is deemed to make such a material contribution, the license will be denied. When an export or reexport is intended to be used in a chemical weapons or biological weapons program, or for chemical or biological weapons terrorism purposes, it is deemed to make a material contribution. The factors listed in paragraph (b)(2) of this section are among those that will be considered to determine what action should be taken on license applications for these items.
(2) The following factors are among those that will be considered to determine what action should be taken on license applications for the items described in paragraph (a) of this section:
(i) The specific nature of the end-use, including the appropriateness of the stated end-use;
(ii) The significance of the export and reexport in terms of its potential contribution to the design, development, production, stockpiling, or use of chemical or biological weapons;
(iii) The nonproliferation credentials of the importing country, including the importing country’s chemical and biological capabilities and objectives;
(iv) The extent and effectiveness of the export control system in the importing country and in any intermediary country through which the items being exported or reexported will transit or be transshipped en route to the importing country;
(v) The risk that the items will be diverted for use in a chemical weapons or biological weapons program, or for chemical weapons or biological weapons terrorism purposes;
(vi) The reliability of the parties to the transaction, including whether:
(A) An export or reexport license application involving any such parties has previously been denied;
(B) Any such parties have been engaged in clandestine or illegal procurement activities;
(C) The end-user is capable of securely handling and storing the items to be exported or reexported;
(vii) Relevant information about proliferation and terrorism activities, including activities involving the design, development, production, stockpiling, or use of chemical or biological weapons by any parties to the transaction;
(viii) The types of assurances or guarantees against the design, development, production, stockpiling, or use of chemical or biological weapons that are given in a particular case, including any relevant assurances provided by the importing country or the end-user;
(ix) The applicability of other multilateral export control or nonproliferation agreements (e.g., the Chemical Weapons Convention and the Biological and Toxin Weapons Convention) to the transaction; and
(x) The existence of a pre-existing contract.
(3) BIS will review license applications in accordance with the licensing policy described in paragraph (b)(1) of this section for items not described in paragraph (a) of this section that:
(i) Require a license for reasons other than short supply; and
(ii) Could be destined for the design, development, production, stockpiling, or use of chemical or biological weapons, or for a facility engaged in such activities.
(4) License applications for items described in paragraph (a) of this section, when destined for the People’s Republic of China will be reviewed in accordance with the licensing policies in both paragraph (b) of this section and § 742.4(b)(7). When such items are destined to Russia or Belarus, license applications will be reviewed under a policy of denial. However, exports and reexports of items to Russia or Belarus in support of U.S.-Russia or U.S.-Belarus civil space cooperation activities-will be reviewed on a case-by-case basis, as well as certain other certain specified activities specified in § 746.8 of the EAR. See § 746.8(b).
(c) Contract sanctity. Contract sanctity dates are set forth in supplement no. 1 to part 742. Applicants who wish that a preexisting contract be considered in reviewing their license applications must submit documentation sufficient to establish the existence of such a contract.
(d) Australia Group. The Australia Group, a multilateral body that works to halt the spread of chemical and biological weapons, has developed common control lists of items specifically related to chemical and biological weapons. Australia Group members are listed in Country Group A:3 (see supplement no. 1 to part 740 of the EAR). Controls on items listed in paragraph (a) of this section are consistent with lists agreed to in the Australia Group.
(e) License application requirements and instructions. Unique application and submission requirements for chemicals, medicinals, and pharmaceuticals are described in paragraph (a) of supplement no. 2 to part 748 of the EAR.
§ 742.3 Nuclear nonproliferation.
(a) License requirements. Section 309(c) of the Nuclear Non-Proliferation Act of 1978 requires BIS to identify items subject to the EAR that could be of significance for nuclear explosive purposes if used for activities other than those authorized at the time of export or reexport. ECCNs on the CCL that include the symbol “NP 1” or “NP 2” in the “Country Chart” column of the “License Requirements” section identify items that could be of significance for nuclear explosive purposes and are therefore subject to licensing requirements under this part and under section 309(c) of the Nuclear Non-Proliferation Act of 1978. These items are referred to as “The Nuclear Referral List” and are subject to the following licensing requirements:
(1) If NP Column 1 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the appropriate ECCN, a license is required to all destinations, except those Nuclear Suppliers Group (NSG) member countries that are listed under Country Group A:4 in supplement no. 1 to part 740 of the EAR.
(2) If NP Column 2 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the applicable ECCN, a license is required to Country Group D:2 (see supplement no. 1 to part 740 of the EAR).
(3) Other nuclear-related license requirements are described in §§ 744.2 and 744.5 of the EAR.
(b) Licensing policy. (1) To implement the controls in paragraph (a) of this section, the following factors are among those used to determine what action should be taken on individual applications:
(i) Whether the items to be transferred are appropriate for the stated end-use and whether that stated end-use is appropriate for the end-user;
(ii) The significance for nuclear purposes of the particular item;
(iii) Whether the items to be exported or reexported are to be used in research on, or for the development, design, manufacture, construction, operation, or maintenance of, any reprocessing or enrichment facility;
(iv) The types of assurances or guarantees given against use for nuclear explosive purposes or proliferation in the particular case;
(v) Whether any party to the transaction has been engaged in clandestine or illegal procurement activities;
(vi) Whether an application for a license to export or reexport to the end-user has previously been denied, or whether the end-user has previously diverted items received under a general license, a License Exception, or a validated license to unauthorized activities;
(vii) Whether the export or reexport would present an unacceptable risk of diversion to a nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity described in § 744.2(a) of the EAR;
(viii) The nonproliferation credentials of the importing country, based on consideration of the following factors:
(A) Whether the importing country is a party to the Nuclear Non-Proliferation Treaty (NPT) or to the Treaty for the Prohibition of Nuclear Weapons in Latin America (Treaty of Tlatelolco) or to a similar international legally-binding nuclear nonproliferation agreement;
(B) Whether the importing country has all of its nuclear activities, facilities, or installations that are operational, being designed, or under construction under International Atomic Energy Agency (IAEA) safeguards or equivalent full scope safeguards;
(C) Whether there is an agreement for cooperation in the civil uses of atomic energy between the U.S. and the importing country;
(D) Whether the actions, statements, and policies of the government of the importing country are in support of nuclear nonproliferation and whether that government is in compliance with its international obligations in the field of non-proliferation;
(E) The degree to which the government of the importing country cooperates in non-proliferation policy generally (e.g., willingness to consult on international nonproliferation issues); and
(F) Information on the importing country’s nuclear intentions and activities; and
(ix) Whether the recipient state has sufficient national export controls (as described in paragraph 3 of United Nations Security Council Resolution 1540 (2004)) to prevent an unacceptable risk of retransfer or diversion to a nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity described in § 744.2(a) of the EAR.
(2) In addition, BIS will review license applications in accordance with the licensing policy described in paragraph (b) of this section for items not on the Nuclear Referral List that:
(i) Require a license on the CCL for reasons other than “short supply;” and
(ii) Are intended for a nuclear related end-use or end-user.
(3) For the People’s Republic of China, the general licensing policy for applications for those items that would make a direct and significant contribution to nuclear weapons and their delivery systems is extended review or denial.
(4) License applications for items described in paragraph (a) of this section, when destined for the People’s Republic of China will be reviewed in accordance with the licensing policies in both paragraph (b) of this section and § 742.4(b)(7). When such items are destined to Russia or Belarus, license applications will be reviewed under a policy of denial. However, exports and reexports of items to Russia or Belarus in support of U.S.-Russia or U.S.-Belarus civil space cooperation activities or in support of Russian manufactured nuclear power plants in Russia or other destinations will be reviewed on a case-by-case basis. See § 746.8(b) of the EAR.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
(d) Nuclear Suppliers Group. Most items on the Nuclear Referral List that require a license under NP Column No. 1 on the Country Chart (see supplement no. 1 to part 738 of the EAR) are contained in the Annex to the “Guidelines for Transfers of Nuclear-Related Dual-Use Equipment, Material, and Related Technology” (the Annex), as published by the International Atomic Energy Agency in INFCIRC/254/Revision 1/Part 2. The adherents to INFCIRC/254/Revision 1/Part 2, which includes the Nuclear Suppliers Guidelines, have agreed to establish export licensing procedures for the transfer of items identified in the Annex. Items that are listed as requiring a license under NP Column No. 2 on the Country Chart (see supplement no. 1 to part 738 of the EAR) are not included in the Annex and are controlled only by the United States.
§ 742.4 National security.
(a) License requirements. It is the policy of the United States to restrict the export and reexport of items that would make a significant contribution to the military potential of any other country or combination of countries that would prove detrimental to the national security of the United States. Accordingly, a license is required for exports and reexports to all destinations, except Canada, for all items in ECCNs on the CCL that include NS Column 1 in the Country Chart column of the “License Requirements” section. A license is required to all destinations except those in Country Group A:1 (see supplement no. 1 to part 740 of the EAR), for all items in ECCNs on the CCL that include NS column 2 in the Commerce Country Chart column of the “License Requirements” section except those cameras in ECCN 6A003.b.4.b that have a focal plane array with 111,000 or fewer elements and a frame rate of 60 Hz or less. A license is required to all destinations except those in Country Group A:1 (see supplement no. 1 to part 740) for those cameras in ECCN 6A003.b.4.b that have a focal plane array with 111,000 or fewer elements and a frame rate of 60 Hz or less and for cameras being exported or reexported pursuant to an authorization described in § 742.6(a)(2)(iii) or (v) of the EAR. The purpose of the controls is to ensure that these items do not make a contribution to the military potential of countries in Country Group D:1 (see supplement no. 1 to part 740 of the EAR) that would prove detrimental to the national security of the United States. License Exception GBS is available for the export and reexport of certain national security controlled items to Country Group B (see § 740.4 and supplement no. 1 to part 740 of the EAR).
(b) Licensing policy. (1)(i) The policy for national security controlled items exported or reexported to any country except a country in Country Group D:1 (see supplement no. 1 to part 740 of the EAR) is to approve applications unless there is a significant risk that the items will be diverted to a country in Country Group D:1.
(ii) When destined to a country listed in Country Group D:5 in supplement no. 1 to part 740 of the EAR, however, items classified under 9×515 or “600 series” ECCNs will be reviewed consistent with United States arms embargo policies in § 126.1 of the ITAR.
(iii) When destined to the People’s Republic of China or a country listed in Country Group E:1 in supplement no. 1 to part 740 of the EAR, items classified under any 9×515 ECCN will be subject to a policy of denial.
(2) Except for those countries described in paragraphs (b)(5) through (b)(7) of this section, the general policy for exports and reexports of items to Country Group D:1 (see supplement no. 1 to part 740 of the EAR) is to approve applications when BIS determines, on a case-by-case basis, that the items are for civilian use or would otherwise not make a significant contribution to the military potential of the country of destination that would prove detrimental to the national security of the United States.
(3) To permit such policy judgments to be made, each application is reviewed in the light of prevailing policies with full consideration of all aspects of the proposed transaction. The review generally includes:
(i) An analysis of the kinds and quantities of items to be shipped;
(ii) Their military or civilian uses;
(iii) The unrestricted availability abroad of the same or comparable items;
(iv) The country of destination;
(v) The ultimate end-users in the country of destination; and
(vi) The intended end-use.
(4) Although each proposed transaction is considered individually, items described in Advisory Notes on the Commerce Control List are more likely to be approved than others.
(5) In recognition of efforts made to adopt safeguard measures for exports and reexports, Kazakhstan and Mongolia are accorded enhanced favorable consideration licensing treatment.
(6) The general policy for Laos is to approve license applications when BIS determines, on a case-by-case basis, that the items are for an authorized use in Laos and are not likely to be diverted to another country or use contrary to the national security or foreign policy controls of the Unied States.
(7)(i) For Burma, Cambodia, the People’s Republic of China (China), and Venezuela, all applications will be reviewed to determine the risk of diversion to a military end user or military end use. There is a general policy of approval for license applications to export, reexport, or transfer items determined to be for civil end users for civil end uses. There is a presumption of denial for license applications to export reexport, or transfer items that would make a material contribution to the “development,” “production,” maintenance, repair, or operation of weapons systems, subsystems, and assemblies, such as, but not limited to, those described in supplement no. 7 to this part, of Burma, Cambodia, China, or Venezuela.
(ii) The following factors are among those that will be considered in reviewing license applications described in paragraph (b)(7)(i) of this section:
(A) The appropriateness of the export, reexport, or transfer for the stated end use;
(B) The significance of the item for the weapon systems capabilities of the importing country;
(C) Whether any party is a ‘military end user’ as defined in § 744.21(g) of the EAR;
(D) The reliability of the parties to the transaction, including whether:
(1) An export or reexport license application has previously been denied;
(2) Any parties are or have been engaged in unlawful procurement or diversion activities;
(3) The parties are capable of securely handling and storing the items; and
(4) End-use checks have been and may be conducted by BIS or another U.S. Government agency on parties to the transaction;
(E) The involvement of any party to the transaction in military activities, including activities involving the “development,” “production,” maintenance, repair, or operation of weapons systems, subsystems, and assemblies;
(F) Government strategies and policies that support the diversion of exports from their stated civil end use and redirection towards military end use; and
(G) The scope and effectiveness of the export control system in the importing country.
(iii) The review will also include an assessment of the impact of a proposed export of an item on the United States defense industrial base and the denial of an application for a license that would have a significant negative impact, as defined in section 1756(d)(3) of the Export Control Reform Act of 2018 (50 U.S.C. 4815(d)(3)), on such defense industrial base.
(8) For India, there is a general policy of approval for license applications to export, reexport, or transfer items, including “600 series” items, for civil or military end uses in India, for ultimate end use by the Government of India, for reexport to countries in Country Group A:5, or for return to the United States, so long as such items are not for use in nuclear, “missile,” or chemical or biological weapons activities.
(9) For the Russian Federation and Belarus, all applications will be reviewed in accordance with the licensing policy set forth in § 746.8(b) of the EAR.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
(d) [Reserved]
§ 742.5 Missile technology.
(a) License requirements. (1) In support of U.S. foreign policy to limit the proliferation of missiles, a license is required to export and reexport items related to the design, development, production, or use of missiles. These items are identified in ECCNs on the CCL as MT Column No. 1 in the Country Chart column of the “License Requirements” section. Licenses for these items are required to all destinations, except Canada, as indicated by MT Column 1 of the Country Chart (see supplement no. 1 to part 738 of the EAR).
(2) The term “missiles” is defined as rocket systems (including ballistic missiles, space launch vehicles, and sounding rockets) and unmanned aerial vehicle systems (including cruise missiles, target drones, and reconnaissance drones) capable of delivering at least 500 kilograms (kg) payload to a range of at least 300 kilometers (km). See § 746.3 of the EAR for definition of a “ballistic missile” to be exported or reexported to Iraq.
(b) Licensing policy. (1) Applications to export and reexport items identified in ECCNs on the CCL as MT Column No. 1 in the Country Chart column of the “License Requirements” section will be considered on a case-by-case basis to determine whether the export or reexport would make a material contribution to the proliferation of missiles. Applications for exports and reexports of such items contained in Category 7A or described by ECCN 9A101 on the CCL will be considered favorably if such exports or reexports are destined to a manned aircraft, satellite, land vehicle, or marine vessel, in quantities appropriate for replacement “parts” and “components” for such applications. When an export or reexport is deemed to make a material contribution to the proliferation of missiles, the license will be denied.
Applications to export and reexport an Unmanned Aerial Vehicle (UAV) that has a range and payload capability equal to or greater than 300 km/500 kg but a maximum true airspeed of less than 800 km/hr, and items controlled for Missile Technology reasons for the design, development, production, or use of UAV systems that meet these parameters, will not be subject to a policy of denial but will instead be reviewed on a case-by-case basis to determine whether the export or reexport will be used in support of WMD activities or military activities contrary to U.S. national security, or whether there is a risk of diversion to support such activities.
(2) The following factors are among those that will be considered in reviewing individual applications.
(i) The specific nature of the end-use;
(ii) The significance of the export and reexport in terms of its contribution to the design, development, production, or use of missiles;
(iii) The capabilities and objectives of the missile and space programs of the recipient country;
(iv) The nonproliferation credentials of the importing country;
(v) The types of assurances or guarantees against design, development, production, or use of missiles that are given in a particular case; and
(vi) The existence of a preexisting contract.
(3)(i) Consistent with the MTCR Annex General Minimum Software Note, MTCR Annex General Technology Note and § 750.7(c)(1)(x) of the EAR, the approval of any item controlled for MT reasons on a BIS license also authorizes the export, reexport, or transfer (in-country) to the same ultimate consignee(s) and end user(s) specified on the license of the minimum “software,” excluding source code, controlled for MT reasons that is required for the installation, operation, maintenance or repair of the item and the “technology” required for the installation, operation, maintenance, or repair of the item in order to ensure the item’s safe operation as originally intended. The approval of any item controlled for MT reasons on a BIS license also authorizes the later export, reexport, or transfer (in-country) of “software” controlled for MT reasons intended to correct defects (bug fixes) in a previously legally exported item under a BIS license to the same ultimate consignee(s) and end user(s) specified on the license, provided that the capability and/or performance of the item are not otherwise enhanced. This MT licensing policy is implemented concurrent with § 750.7(c)(1)(x) because it applies to all MT licenses, except when a condition is placed on the license which excludes the use of § 750.7(c)(1)(x), as described in paragraph (b)(3)(ii) of this section.
(ii) Applicants are not required to identify or provide any support documentation for such minimum “software” or “technology” on a license application for MT controlled items because such minimum “software” or “technology” is authorized within the scope of the license, consistent with § 750.7(c)(1)(x). Applicants will be informed when such minimum “software” and/or “technology” in § 750.7(c)(1)(x) is excluded from the license by a BIS condition on the license, which will state the following: “This license does not authorize the export, reexport or transfer (in-country) of the minimum “software” and/or “technology” specified in paragraph (c)(1)(x) of § 750.7 (See paragraph (b)(3) of § 742.5).”
License Exception TSU under § 740.13 of the EAR is available for the ECCNs controlled for MT reasons specified in paragraph (a)(5) in § 740.2, provided the software or technology is for an end use specified in that paragraph and meets the requirements of License Exception TSU. (See §§ 740.2(a)(5) and 740.13). The licensing policy in paragraph (b)(3) is only available for licensed exports (or reexports, or transfers (in-country)).
(4) Controls on other items. BIS will review license applications, in accordance with the licensing policy described in paragraph (b)(1) of this section, for items not described in paragraph (a) of this section that:
(i) Require a validated license for reasons other than short supply; and
(ii) Could be destined for the design, development, production, or use of missiles, or for a facility engaged in such activities.
(5) License applications for items described in paragraph (a) of this section, when destined for the People’s Republic of China, will be reviewed in accordance with the licensing policies in both paragraph (b) of this section and § 742.4(b)(7). When such items are destined to Russia or Belarus, license applications will be reviewed under a policy of denial. However, exports and reexports of items to Russia or Belarus in support of U.S.-Russia or U.S.-Belarus civil space cooperation activities-will be reviewed on a case-by-case basis. See § 746.8(b) of the EAR.
(c) Contract sanctity. The following contract sanctity dates have been established:
(1) License applications for batch mixers specified in ECCN 1B117 involving contracts that were entered into prior to January 19, 1990, will be considered on a case-by-case basis.
(2) License applications subject to ECCN 1B115.b or .c that involve a contract entered into prior to March 7, 1991, will be considered on a case-by-case basis.
(3) Applicants who wish that a pre-existing contract be considered in reviewing their license applications must submit documentation sufficient to establish the existence of a contract.
(d) Missile Technology Control Regime. Missile Technology Control Regime (MTCR) members are listed in Country Group A:2 (see supplement no. 1 to part 740 of the EAR). Controls on items identified in paragraph (a) of this section are consistent with the list agreed to in the MTCR and included in the MTCR Annex.
§ 742.6 Regional stability.
(a) License requirements. The following controls are maintained in support of U.S. foreign policy to maintain regional stability:
(1) RS Column 1 license requirements in general. A license is required for exports and reexports to all destinations, except Canada, for all items in ECCNs on the CCL that include RS Column 1 in the Country Chart column of the “License Requirements” section. Transactions described in paragraph (a)(2), (3), or (9) of this section are subject to the RS Column 1 license requirements set forth in those paragraphs rather than the license requirements set forth in this paragraph (a)(1).
(2) Special RS Column 1 license requirements applicable to certain thermal imaging cameras. (i) As indicated in the CCL and in RS Column 1 of the Commerce Country Chart, cameras described in 6A003 b.4.b require a license to all destinations other than Canada if such cameras have a frame rate greater than 60 Hz.
(ii) Except as noted in paragraph (a)(2)(iii) of this section, as indicated in the CCL and in RS Column 1 of the Commerce Country Chart, cameras described in 6A003 b.4.b require a license to all destinations other than Canada if such cameras incorporate a focal plane array with more than 111,000 elements and a frame rate of 60 Hz or less, or cameras described in 6A003 b.4.b that are being exported or reexported to be embedded in a civil product.
(iii) BIS may issue licenses for cameras subject to the license requirement of paragraph (a)(2)(ii) of this section that are fully-packaged for use as consumer-ready civil products that, in addition to the specific transactions authorized by such license, authorize exports and reexports of such cameras without a license to any civil end-user to whom such exports or reexport are not otherwise prohibited by U.S. law in a destination in Country Group A:1 (see supplement no. 1 to part 740 of the EAR). The license requirements of this paragraph (a)(2) shall not apply to exports or reexports so authorized. In this paragraph, the term “civil end-user” means any entity that is not a national armed service (army, navy, marine, air force, or coast guard), national guard, national police, government intelligence organization or government reconnaissance organization, or any person or entity whose actions or functions are intended to support “military end-uses” as defined in § 744.17(d) of the EAR.
(iv) Except as noted in paragraph (a)(2)(v) of this section, as indicated in the CCL and in RS Column 1 of the Commerce Country Chart, cameras described in 6A003 b.4.b require a license to all destinations other than Canada if such cameras incorporate a focal plane array with 111,000 elements or less and a frame rate of 60 Hz or less and are being exported or reexported to be embedded in a civil product.
(v) BIS may also issue licenses for the cameras described in paragraph (a)(2)(iv) of this section that, in addition to the specific transactions authorized by such license, authorize exports and reexports to authorized companies described in the license for the purpose of embedding such cameras into a completed product that will be distributed only in countries in Country Group A:1 (see supplement no. 1 to part 740 of the EAR). The license requirements of this paragraph (a)(2) shall not apply to exports or reexports so authorized. In this paragraph, the term “authorized companies” means companies that have been previously licensed for export, are not the subject of relevant negative intelligence or open source information, have not been the subject of a Department of Commerce or Department of State enforcement action within the past two years, have demonstrable production capacity, and do not pose an unacceptable risk of diversion.
(3) Special RS Column 1 license requirement applicable to military commodities. A license is required for reexports to all destinations except Canada for items classified under ECCN 0A919 except when such items are being reexported as part of a military deployment by a unit of the government of a country in Country Group A:1 (see supplement no. 1 to part 740 of the EAR) or the United States.
(4) RS Column 2 license requirements – (i) License requirements applicable to most RS Column 2 items. As indicated in the CCL and in RS Column 2 of the Commerce Country Chart (see supplement no. 1 to part 738 of the EAR), a license is required to any destination except those in Country Group A:1 (see supplement no. 1 to part 740 of the EAR) and India for all items in ECCNs on the CCL that include RS Column 2 in the Country Chart column of the “License Requirements” section. A license continues to be required for items controlled under ECCNs 6A003.b.4.b and 9A515.e for RS Column 2 reasons when destined to India.
(ii) Special RS Column 2 license requirements applicable only to certain cameras. As indicated by the CCL, and RS column 2 and footnote number 4 to the Commerce Country Chart, a license is required to any destination except a country in Country Group A:1 (see supplement no. 1 to part 740 of the EAR) for fully-packaged thermal imaging cameras for use as consumer-ready civil products controlled by 6A003.b.4.b when incorporating “focal plane arrays” that have not more than 111,000 elements and a frame rate of 60Hz or less and that are not being exported or reexported to be embedded in a civil product.
(5) RS requirements that apply to Iraq. As indicated on the CCL, a license is required for the export or reexport to Iraq or transfer within Iraq of the following items controlled for RS reasons on the CCL: 0B999, 0D999, 1B999, 1C992, 1C995, 1C997, 1C999 and 6A992. The Commerce Country Chart is not designed to determine RS licensing requirements for these ECCNs.
(6) RS requirement that applies to the People’s Republic of China (China) and Macau for advanced computing and semiconductor manufacturing items – (i) Exports, reexports, transfers (in-country). A license is required for items specified in ECCNs 3A090, 3B090, 4A090, 5A992 (that meet or exceed the performance parameters of ECCNs 3A090 or 4A090) and associated software and technology in 3D001 (for 3A090 or 3B090), 3E001 (for 3A090 or 3B090), 3B090, or 3D001 (for 3A090 or 3B090), 4D090, 4E001 (for 4A090 and 4D090), and 5D992 (that meet or exceed the performance parameters of ECCNs 3A090 or 4A090) being exported, reexported, or transferred (in-country) to or within China or Macau. A license is also required for the export from China or Macau to any destination worldwide of 3E001 (for 3A090) technology developed by an entity headquartered in China or Macau that is the direct product of software subject to the EAR and is for the “production” of commodities identified in ECCNs 3A090, 4A090, or identified elsewhere on the CCL that meet or exceed the performance parameters of ECCNs 3A090 or 4A090, consistent with § 734.9(h)(1)(i)(B)(1) and (h)(2)(ii) of the EAR.
(ii) Deemed exports. The license requirements in this paragraph (a)(6) do not apply to deemed exports or deemed reexports.
(7) RS requirement that applies to the People’s Republic of China (China), Russia, or Venezuela. A license is required to export or reexport to China, Russia, or Venezuela any item described in a .y paragraph of a 9×515 or “600 series” ECCN, except for exports or reexports to Russia for use in, with, or for the International Space Station (ISS), including launch to the ISS. (See § 740.11(e)(1) of the EAR for a definition of the ISS.)
(8) RS Column 1 license requirements and related policies for ECCN 0Y521 items – (i) Scope. This paragraph (a)(8) supplements the information in the 0Y521 ECCNs and in Supplement No. 5 to part 774 (Items Classified Under ECCNs 0A521, 0B521, 0C521, 0D521 and 0E521). This paragraph alerts exporters, reexporters and transferors to the procedures that apply to items classified under the 0Y521 ECCNs.
(ii) 0Y521 Items. Items subject to the EAR that are not listed elsewhere in the CCL, but which the Department of Commerce, with the concurrence of the Departments of Defense and State, has determined should be controlled for export because the items provide at least a significant military or intelligence advantage to the United States or for foreign policy reasons are classified under ECCNs 0A521, 0B521, 0C521, 0D521 and 0E521. These items are typically emerging technologies (including emerging commodities, software and technology) that are not yet included in the CCL, so such items are listed on the CCL in 0Y521 ECCNs while the U.S. Government determines whether classification under a revised or new ECCN, or an EAR 99 designation, is appropriate. The list of items classified under a 0Y521 ECCN is limited to those listed in supplement no. 5 to part 774.
(iii) Requirement to be classified under another ECCN within one calendar year of classification under ECCN 0Y521. Items classified under an ECCN 0Y521 entry must be re-classified under another ECCN within one calendar year from the date they are listed in supplement no. 5 to part 774 of the EAR. If such re-classification does not occur within that period, classification under an ECCN 0Y521 entry expires, and such items are designated as EAR99 items unless either the CCL is amended to impose a control on such items under another ECCN or the ECCN 0Y521 classification is extended. BIS may extend an item’s ECCN 0Y521 classification for two one-year periods, provided that the U.S. Government has submitted a proposal to the relevant multilateral regime(s) to obtain multilateral controls over the item. Further extension beyond three years may occur only if the Under Secretary for Industry and Security makes a determination that such extension is in the national security or foreign policy interests of the United States. Any extension or re-extension of control of an ECCN 0Y521 item, including the determination by the Under Secretary, shall be published in the
(9) Special RS Column 1 license requirement applicable to certain spacecraft and related items. A license is required for all destinations, including Canada, for spacecraft and related items classified under ECCN 9A515.a.1, .a.2., .a.3., .a.4., .g, and ECCN 9E515.f.
(b) Licensing policy – (1) Licensing policy for RS Column 1 items. (i) Applications for exports and reexports of ECCN 0A501, 0A504, 0A505, 0B501, 0B505, 0D501, 0D505, 0E501, 0E504, and 0E505 items; 9×515 and “600 series” items will be reviewed on a case-by-case basis to determine whether the transaction is contrary to the national security or foreign policy interests of the United States, including the foreign policy interest of promoting the observance of human rights throughout the world. Other applications for exports and reexports described in paragraph (a)(1), (2), (6), or (8) of this section will be reviewed on a case-by-case basis to determine whether the export or reexport could contribute directly or indirectly to any country’s military capabilities in a manner that would alter or destabilize a region’s military balance contrary to the foreign policy interests of the United States. Applications for reexports of items described in paragraph (a)(3) of this section will be reviewed applying the policies for similar commodities that are subject to the ITAR. Applications for export or reexport of items classified under any 9×515 or “600 series” ECCN requiring a license in accordance with paragraph (a)(1) or (9) of this section will also be reviewed consistent with United States arms embargo policies in § 126.1 of the ITAR (22 CFR 126.1) if destined to a country set forth in Country Group D:5 in Supplement No. 1 to part 740 of the EAR. Applications for export or reexport of “parts,” “components,” “accessories,” “attachments,” “software,” or “technology” “specially designed” or otherwise required for the F-14 aircraft will generally be denied. When destined to China or a country listed in Country Group E:1 in Supplement No. 1 to part 740 of the EAR, items classified under ECCN 0A501, 0A505, 0B501, 0B505, 0D501, 0D505, 0E501, 0E504, and 0E505 or any 9×515 ECCN will be subject to a policy of denial. In addition, applications for exports and reexports of ECCN 0A501, 0A505, 0B501, 0B505, 0D501, 0D505, 0E501, 0E504, and 0E505 items when there is reason to believe the transaction involves criminal organizations, rebel groups, street gangs, or other similar groups or individuals, that may be disruptive to regional stability, including within individual countries, will be subject to a policy of denial.
(ii) Applications for exports and reexports to a country listed in Country Group D:5 (in supplement no. 1 to part 740 of the EAR) of technology controlled under 6E001 for the development of focal plane arrays, read-out integrated circuits (ROICs) or image intensifier tubes described in 6A002 or technology controlled under 6E002 for the production of focal plane arrays, read-out integrated circuits (ROICs) or image intensifier tubes described in 6A002 will be reviewed with a presumption of denial.
(2) Licensing policy for RS Column 2 items. (i) Except as described in paragraph (b)(2)(ii), applications to export and reexport commodities described in paragraph (a)(4) of this section will generally be considered favorably on a case-by-case basis unless there is evidence that the export or reexport would contribute significantly to the destabilization of the region to which the equipment is destined.
(ii) Applications to export and reexport items controlled under ECCNs 2A984, 2D984 and 2E984 will be reviewed under a presumption of approval when exported or reexported to Austria, Cyprus, Finland, Ireland, Israel, Malta, Mexico, Singapore or Sweden, provided the items to be exported or reexported are being made to a government end-user or to a person designated by the government end-user pursuant to contract. License applications to export to a designated person must include a statement from the government end-user that the person is so designated. See supplement no. 2 to part 748, paragraph (k)(2).
(3) For terrorist-designated countries, the applicable licensing policies are found in parts 742 and 746 of the EAR.
(4) See § 746.3(b) of the EAR for the applicable licensing policies for items controlled for RS reasons to Iraq.
(5) Spacecraft for launch. (i) Applications to export or reexport a “spacecraft” controlled under ECCN 9A515.a for launch in or by a country that is not a member of the North Atlantic Treaty Organization (NATO) or a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), will require a technology transfer control plan approved by the Department of Defense, an encryption technology control plan approved by the National Security Agency, and Department of Defense monitoring of all launch activities.
(ii) Applications to export or reexport a “spacecraft” controlled under ECCN 9A515.a for launch in or by a country that is a member of the North Atlantic Treaty Organization (NATO) or a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), may require a technology transfer control plan approved by the Department of Defense, an encryption technology control plan approved by the National Security Agency, or Department of Defense monitoring of launch activities.
(6) Remote sensing spacecraft. Applications to export or reexport a “spacecraft” described in ECCN 9A515.a.1,.a.2, a.3, or .a.4, sensitive remote sensing components described in 9A515.g, or “technology” described in ECCN 9E515.f may require a government-to-government agreement at the discretion of the U.S. Government.
(7) For India, there is a general policy of approval for license applications to export, reexport, or transfer items, including “600 series” items, for civil or military end uses in India, for ultimate end use by the Government of India, for reexport to countries in Country Group A:5, or for return to the United States, so long as such items are not for use in nuclear, “missile,” or chemical or biological weapons activities.
(8) China or Venezuela. Applications to export or reexport items described in paragraph (a)(7) of this section to China or Venezuela will be reviewed on a case-by-case basis to determine whether the transaction is contrary to the national security or foreign policy interests of the United States, including the foreign policy interest of promoting the observance of human rights throughout the world. Such applications will also be reviewed consistent with United States arms embargo policies in § 126.1 of the ITAR (22 CFR 126.1). When destined to China, items classified under any 9×515.y ECCN will be subject to a policy of denial consistent with paragraph (b)(1) of this section.
(9) Russia or Belarus. Applications to export or reexport items described in paragraph (a)(7) of this section will be reviewed pursuant to the licensing policy set forth in § 746.8(b) of the EAR, as well as the foreign policy interest of promoting the observance of human rights throughout the world and consistent with United States arms embargo policies in § 126.1 of the ITAR (22 CFR 126.1).
(10) Advanced computing and semiconductor manufacturing items when destined to China or Macau. There is a presumption of denial for applications for items specified in paragraph (a)(6) of this section being exported, reexported, or transferred (in-country) to or within China or Macau. See § 744.11(a)(2)(ii) of the EAR for license requirements, license review policy, and license exceptions applicable to specific entities. License applications for semiconductor manufacturing items, such as semiconductor equipment, destined to end users in China or Macau that are headquartered in the United States or in a country in Country Group A:5 or A:6 will be considered on a case-by-case basis, taking into account factors including technology level, customers and compliance plans.
(c)(1) Contract sanctity date: March 21, 2003. This contract sanctity date applies only to items controlled under ECCNs 2A983, 2D983 and 2E983 destined for countries not listed in Country Group E (supplement 1 to part 740). See parts 742 and 746 for the contract sanctity requirements applicable to exports and reexports to countries listed in Country Group E.
(2) Contract sanctity date: March 19, 2010. This contract sanctity date applies only to items controlled under ECCNs 2A984, 2D984 and 2E984 destined for countries not listed in Country Group E (supplement 1 to part 740). See parts 742 and 746 for the contract sanctity requirements applicable to exports and reexports to countries listed in Country Group E.
(d) U.S. controls. Although the United States seeks cooperation from like-minded countries in maintaining regional stability controls, at this time these controls are maintained only by the United States.
§ 742.7 Crime control and detection.
(a) License requirements. In support of U.S. foreign policy to promote the observance of human rights throughout the world, a license is required to export and reexport crime control and detection equipment, related technology and software as follows:
(1) Crime control and detection instruments and equipment and related “technology” and “software” identified in the appropriate ECCNs on the CCL under CC Column 1 in the Country Chart column of the “License Requirements” section. A license is required to countries listed in CC Column 1 (Supplement No. 1 to part 738 of the EAR). Items affected by this requirement are identified on the CCL under the following ECCNs: 0A502, 0A504, 0A505.b, 0A977, 0A978, 0A979, 0D977, 0E502, 0E505 (“technology” for “development” or for “production” of buckshot shotgun shells controlled under ECCN 0A505.b), 0E977, 1A984, 1A985, 3A980, 3A981, 3D980, 3E980, 4A003 (for fingerprint computers only), 4A980, 4D001 (for fingerprint computers only), 4D980, 4E001 (for fingerprint computers only), 4E980, 6A002 (for police-model infrared viewers only), 6E001 (for police-model infrared viewers only), 6E002 (for police-model infrared viewers only), and 9A980.
(2) Shotguns with a barrel length greater than or equal to 24 inches, identified in ECCN 0A502 on the CCL under CC Column 2 in the Country Chart column of the “License Requirements” section regardless of end user to countries listed in CC Column 2 (supplement no. 1 to part 738 of the EAR).
(3) Shotguns with barrel length greater than or equal to 24 inches, identified in ECCN 0A502 on the CCL under CC Column 3 in the Country Chart column of the “License Requirements” section only if for sale or resale to police or law enforcement entities in countries listed in CC Column 3 (supplement no. 1 to part 738 of the EAR).
(4) Certain crime control items require a license to all destinations, except Canada. These items are identified under ECCNs 0A982, 0A503, and 0E982. Controls for these items appear in each ECCN; a column specific to these controls does not appear in the Country Chart (supplement no. 1 to part 738 of the EAR).
(5) Items designed for the execution of human beings as identified in ECCN 0A981 require a license to all destinations including Canada.
(6) See § 742.11 of the EAR for further information on items controlled under ECCN 0A983, which require a license to all destinations, including Canada.
(b) Licensing policy. (1) Applications for items controlled under this section will generally be considered favorably on a case-by-case basis, unless there is civil disorder in the country or region or unless there is a risk that the items will be used to violate or abuse human rights. The judicious use of export controls is intended to deter human rights violations and abuses, distance the United States from such violations and abuses, and avoid contributing to civil disorder in a country or region.
(2) BIS will review license applications in accordance with the licensing policy in paragraph (b)(1) of this section for items that are not controlled under this section but that require a license pursuant to another section for any reason other than short supply and could be used by the recipient Government or other end user specifically to violate or abuse human rights.
(c) Contract sanctity. Contract sanctity date: August 22, 2000. Contract sanctity applies only to items controlled under ECCNs 0A982, 0A503, and 0E982 destined for countries not listed in CC Column 1 of the Country Chart (supplement no. 1 to part 738 of the EAR).
(d) U.S. controls. In maintaining its controls on crime control and detection items, the United States considers international norms regarding human rights and the practices of other countries that control exports to promote the observance of human rights. However, these controls are not based on the decisions of any multinational export control regime and may differ from controls imposed by other countries.
§ 742.8 Anti-terrorism: Iran.
(a) License requirements. (1) A license is required for anti-terrorism purposes to export or reexport to Iran any item for which AT column 1 or AT column 2 is indicated in the Country Chart column of the applicable ECCN or any item described in ECCNs 1C350, 1C355, 1C395, 2A994, 2D994 and 2E994. See paragraph (a)(5) of this section for controls maintained by the Department of the Treasury. See § 746.7 of the EAR for additional EAR license requirements that apply to Iran.
(2) [Reserved]
(3) The Secretary of State has designated Iran as a country whose Government has repeatedly provided support for acts of international terrorism.
(4) In support of U.S. foreign policy applicable to terrorism-supporting countries, the EAR imposes anti-terrorism license requirements on exports and reexports to Iran pursuant to sections 6(j) and 6(a) of the Export Administration Act.
(i) Section 6(j) anti-terrorism controls. Section 6(j) requirements apply to all exports and reexports destined to the police, military or other sensitive end-users of items listed on the Commerce Control List (supp. no. 1 to part 774 of the EAR) for which any listed reason for control in the applicable ECCN is NS (national security), CB (chemical or biological weapons proliferation), MT (missile proliferation), NP (nuclear weapons proliferation) or an Export Control Classification Number ending in “18” (military related items). BIS may not issue a license for a transaction subject to section 6(j) controls until 30 days after the notification described in Section 6(j)(2) of the Export Administration Act is delivered to the committees of Congress specified in that section. License applications for all other items controlled under section 6(a) are also reviewed to determine whether section 6(j) applies.
(ii) Section 6(a) anti-terrorism controls. Section 6(a) requirements apply to all exports and reexports regardless of the end user of items described in paragraph (a)(1) of this section.
(5) Exports and certain reexports to Iran are subject to a comprehensive embargo administered by the Department of the Treasury’s Office of Foreign Assets Control (OFAC). If you wish to export or reexport to Iran, the Government of Iran or any entity owned or controlled by that Government, you should review part 746 of the EAR and consult with OFAC. Please note that authorization from OFAC constitutes authorization under the EAR and no separate license or authorization from BIS is required.
(b) Licensing policy. (1) The Iran-Iraq Arms Non-Proliferation Act of October 23, 1992, requires BIS to deny licenses for items controlled to Iran for national security (section 5 of the 1979 EAA) or foreign policy reasons (section 6 of the 1979 EAA), absent contract sanctity or a Presidential waiver. License applications for which contract sanctity is established may be considered under policies in effect prior to the enactment of that Act. Otherwise, licenses for such items to Iran are subject to a general policy of denial.
(2) License applications for items controlled under section 6(a) of the EAA will also be reviewed to determine whether requirements of section 6(j) apply. Whenever the Secretary of State determines that an export or reexport could make a significant contribution to the military potential of Iran, including its military logistics capability, or could enhance Iran’s ability to support acts of international terrorism, the Secretaries of State and Commerce will notify the Congress 30 days prior to the issuance of a license.
(c) Contract Sanctity. Section 6(f) of the Export Administration Act requires that a report be delivered to Congress before foreign policy based export controls are imposed, expanded or extended. Consistent with section 6(p) of the Export Administration Act, certain exports or reexports in fulfillment of contracts entered into before such delivery of the report applicable to a particular license requirement or licensing policy may be subject to the license requirements and licensing policy that were in force before the report was delivered. License applicants who wish to have their application considered under such pre-existing requirements or policy must include evidence of the pre-existing contract with their license applications.
(d) U.S. controls. Although the United States seeks cooperation from like-minded countries in maintaining anti-terrorism controls, at this time these controls are maintained only by the United States.
§ 742.9 Anti-terrorism: Syria.
(a) License requirements. (1) If AT Column 1 of the Country Chart (supplement no. 1 to part 738 of the EAR) is indicated in the appropriate ECCN, a license is required for export and reexport to Syria for anti-terrorism purposes.
(2) The Secretary of State has designated Syria as a country whose government has repeatedly provided support for acts of international terrorism.
(3) In support of U.S. foreign policy against terrorism, BIS maintains two types of anti-terrorism controls on the export and reexport to Syria of items described in supplement no. 2 to part 742.
(i) Items described in paragraphs (c)(1) through (c)(5) of supplement no. 2 to part 742, if destined to military, police, intelligence or other end-users in Syria, are controlled under section 6(j) of the Export Administration Act, as amended (EAA).
(ii) Items listed in paragraphs (c)(1) through (c)(5) of supplement no. 2 to part 742 destined to other end-users in Syria, as well as items to all end-users listed in (c)(6) through (c)(8), (c)(10) through (c)(14), (c)(16) through (c)(19), and (c)(22) through (c)(44) of supplement no. 2 to part 742, are controlled to Syria under section 6(a) of the EAA.
(b) Licensing policy. (1) Applications for export and reexport to all end-users in Syria of the following items will generally be denied:
(i) Items that are controlled for chemical and biological weapons proliferation reasons to any destination. These are items that contain CB Column 1, CB Column 2, or CB Column 3 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(ii) Military-related items controlled for national security reasons to any destination. These are items that contain NS Column 1 in the Country Chart column of the “License Requirements” section in an ECCN on the CCL and are controlled by equipment or material entries ending in the number “18.”
(iii) Items that are controlled for missile proliferation reasons to any destination. These are items that have an MT Column 1 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(iv) All aircraft (powered and unpowered), helicopters, engines, and related spare parts and components, except that parts and components intended to ensure the safety of civil aviation and the safe operation of commercial passenger aircraft will be reviewed on a case-by-case basis, with a presumption of approval. These are items controlled to any destination for national security and missile technology reasons and items controlled to Syria for anti-terrorism purposes. Such items contain an NS Column 1, NS Column 2, MT Column 1, or AT Column 1 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL. Note that, consistent with the general rule that applies to computing U.S. parts and components content incorporated into foreign made products, all aircraft-related items that require a license to Syria will be included as controlled U.S. content, except for ECCNs 6A998, 7A994, and 9A991.d, for purposes of such licensing requirements.
(v) Cryptographic, cryptoanalytic, and cryptologic items controlled to any destination for national security reasons. Such items contain an AT Column 1 and an NS Column 1 or NS Column 2 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(vi) Explosives detection equipment controlled under ECCN 2A983.
(vii) “Software” (ECCN 2D983) specially designed or modified for the “development”, “production” or “use” of explosives detection equipment controlled by 2A983.
(viii) “Technology” (ECCN 2E983) specially designed or modified for the “development”, “production” or “use” of explosives detection equipment controlled by 2A983.
(ix) Commercial charges and devices controlled under ECCN 1C992.
(x) Ammonium nitrate, including certain fertilizers containing ammonium nitrate, controlled under ECCN 1C997.
(xi) Technology for the production of Chemical Weapons Convention (CWC) Schedule 2 and 3 chemicals controlled under ECCN 1E355.
(xii) Concealed object detection equipment controlled under ECCN 2A984.
(xiii) “Software” (ECCN 2D984) “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984.
(xiv) “Technology” (ECCN 2E984) “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984, or the “development” of “software” controlled by 2D984.
(2) Applications for export and reexport to Syria of all other items described in paragraph (a) of this section, and not described by paragraph (b)(1) of this section, will generally be denied if the export or reexport is destined to a military end-user or for military end-use. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(3) Notwithstanding the provisions of paragraphs (b)(1) and (b)(2), of this section, applications for Syria will be considered on a case-by-case basis if:
(i) The transaction involves the reexport to Syria of items where Syria was not the intended ultimate destination at the time of original export from the United States, provided that the exports from the U.S. occurred prior to the applicable contract sanctity date (or, where the contract sanctity date is December 16, 1986, prior to June 18, 1987).
(ii) The U.S. content of foreign-produced commodities is 20% or less by value; or
(iii) The commodities are medical items.
Applicants who wish any of the factors described in paragraph (b) of this section to be considered in reviewing their license applications must submit adequate documentation demonstrating the value of the U.S. content, the specifications and medical use of the equipment, or the date of export from the United States.
(4) License applications for items reviewed under 6(a) controls will also be reviewed to determine the applicability of 6(j) controls to the transaction. When it is determined that an export or reexport could make a significant contribution to the military potential of Syria, including its military logistics capability, or could enhance Syria’s ability to support acts of international terrorism, the Secretaries of State and Commerce will notify the Congress 30 days prior to issuance of a license.
(c) Contract sanctity. Contract sanctity dates and related licensing policies for Syria are set forth in supplement no. 2 to part 742. Applicants who wish a pre-existing contract to be considered must submit sufficient documentation to establish the existence of a contract.
(d) U.S. controls. Although the United States seeks cooperation from like-minded countries in maintaining anti-terrorism controls, at this time these controls are maintained only by the United States.
(e) Section 746.9 (Syria) of the EAR sets forth the export and reexport controls for Syria. Section 746.9 supersedes the provisions of paragraphs (a) through (d) of this section.
§ 742.10 [Reserved]
§ 742.11 Specially designed implements of torture, including thumbscrews, thumbcuffs, fingercuffs, spiked batons, and parts and accessories, n.e.s.
(a) License Requirements. In support of U.S. foreign policy to promote the observance of human rights throughout the world, a license is required to export any commodity controlled by ECCN 0A983 to all destinations including Canada.
(b) Licensing policy. Applications for such licenses will generally be denied to all destinations.
(c) Contract sanctity. The contract sanctity date is November 9, 1995. Contract sanctity will be a factor in considering only applications for export to the NATO countries, Japan, Australia, and New Zealand.
(d) U.S. controls. In maintaining its controls on specially designed instruments of torture the United States considers international norms regarding human rights and the practices of other countries that control exports to promote the observance of human rights. However, these controls are not based on the decisions of any multinational export control regime and may differ from controls imposed by other countries.
§ 742.12 [Reserved]
§ 742.13 Communications intercepting devices; software and technology for communications intercepting devices.
(a) License requirement. (1) In support of U.S. foreign policy to prohibit the export of items that may be used for the surreptitious interception of wire, oral, or electronic communications, a license is required for all destinations, including Canada, for ECCNs having an “SL” under the “Reason for Control” paragraph. These items include any electronic, mechanical, or other device primarily useful for the surreptitious interception of wire, oral, or electronic communications (ECCNs 5A001.f.1 and 5A980); and for related “software” primarily useful for the surreptitious interception of wire, oral, or electronic communications (ECCN 5D001.c and 5D980.a); and “software” primarily useful for the “development”, “production”, or “use” of devices controlled under ECCNs 5A001.f.1 and 5A980 (ECCNs 5D001.a and 5D980.b); and for “technology” primarily useful for the “development”, “production”, or “use” of items controlled by ECCNs 5A001.f.1, 5D001.a (for 5A001.f.1), 5A980 and 5D980 (ECCNs 5E001.a and 5E980); and for “software” primarily useful to support such ECCN 5E001.a “development”, “production”, or “use” “technology” for 5A001.f.1 equipment and certain 5D001.a “software” (ECCN 5D001.b). These licensing requirements do not supersede the requirements contained in the Omnibus Crime Control and Safe Streets Act of 1968, as amended (18 U.S.C. 2512). This license requirement is not reflected on the Commerce Country Chart (supplement no. 1 to part 738 of the EAR).
(2) “Communications intercepting devices” are electronic, mechanical, or other devices that can be used for interception of wire, oral, or electronic communications if their design renders them primarily useful for surreptitious listening even though they may also have innocent uses. A device is not restricted merely because it is small or may be adapted to wiretapping or eavesdropping. Some examples of devices to which these restrictions apply are: the martini olive transmitter; the infinity transmitter; the spike mike; and the disguised microphone appearing as a wristwatch, cufflink, or cigarette pack; etc. The restrictions do not apply to devices such as the parabolic microphone or other directional microphones ordinarily used by broadcasters at sports events, since these devices are not primarily useful for surreptitious listening.
(b) Licensing policy. (1) License applications, except for those applications for which a license is required for both SL and AT reasons, will generally be approved for exports or reexports requiring a license for SL reasons when the exporter or reexporter is:
(i) A provider of wire or electronic communication services or an officer, agent, or employee of, or person under contract with such a provider, in the normal course of the business of providing that wire or electronic communication service; or
(ii) An officer, agent, or employee of, or a person under contract with, the United States, one of the 50 States, or a political subdivision thereof, when engaged in the normal course of government activities.
For SL reasons, license applications will generally be denied to countries that are subject to controls for AT reasons.
The normal course of the business of providing a wire or electronic communications service includes any activity which is a necessary incident to the rendition of the service or to the protection of the rights and property of the provider of that service.
(2) Other license applications will generally be denied for exports or reexports requiring a license for SL reasons.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications involving exports and reexports of communications interception devices.
(d) U.S. controls. Controls on items classified under ECCNs 5A980, 5D980, and 5E980 are maintained by the United States government for foreign policy purposes.
§ 742.14 Significant items: hot section technology for the development, production or overhaul of commercial aircraft engines, components, and systems.
(a) License requirement. Licenses are required for all destinations, except Canada, for ECCNs having an “SI” under the “Reason for Control” paragraph. These items include hot section technology for the development, production or overhaul of commercial aircraft engines controlled under ECCN 9E003.a.1 through a.8, .h, .i and .k, and related controls.
(b) Licensing policy. Pursuant to section 6 of the Export Administration Act of 1979, as amended, foreign policy controls apply to technology required for the development, production or overhaul of commercial aircraft engines controlled by ECCN 9E003a.1 through a.8, .h, .i, and .k, and related controls. These controls supplement the national security controls that apply to these items. Applications for export and reexport to all destinations will be reviewed on a case-by-case basis to determine whether the export or reexport is consistent with U.S. national security and foreign policy interests. The following factors are among those that will be considered to determine what action will be taken on license applications:
(1) The country of destination;
(2) The ultimate end-user(s);
(3) The technology involved;
(4) The specific nature of the end-use(s); and
(5) The types of assurance against unauthorized use or diversion that are given in a particular case.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this § 742.14.
(d) [Reserved]
§ 742.15 Encryption items.
Encryption items can be used to maintain the secrecy of information, and thereby may be used by persons abroad to harm U.S. national security, foreign policy and law enforcement interests. The United States has a critical interest in ensuring that important and sensitive information of the public and private sector is protected. Consistent with our international obligations as a member of the Wassenaar Arrangement, the United States has a responsibility to maintain control over the export and reexport of encryption items. As the President indicated in Executive Order 13026 and in his Memorandum of November 15, 1996, exports and reexports of encryption software, like exports and reexports of encryption hardware, are controlled because of this functional capacity to encrypt information, and not because of any informational or theoretical value that such software may reflect, contain, or represent, or that its export or reexport may convey to others abroad. For this reason, export controls on encryption software are distinguished from controls on other software regulated under the EAR.
(a) Licensing requirements and policy – (1) Licensing requirements. A license is required to export or reexport encryption items (“EI”) classified under ECCN 5A002, 5A004, 5D002.a, .c.1 or .d (for equipment and “software” in ECCNs 5A002 or 5A004, 5D002.c.1); or 5E002 for “technology” for the “development,” “production,” or “use” of commodities or “software” controlled for EI reasons in ECCNs 5A002, 5A004 or 5D002, and “technology” classified under 5E002.b to all destinations, except Canada. Refer to part 740 of the EAR, for license exceptions that apply to certain encryption items, and to § 772.1 of the EAR for definitions of encryption items and terms. Most encryption items may be exported under the provisions of License Exception ENC set forth in § 740.17 of the EAR. Following classification or self-classification, items that meet the criteria of Note 3 to Category 5 – Part 2 of the Commerce Control List (the “mass market” note), are classified ECCN 5A992.c or 5D992.c and are no longer subject to this Section (see § 740.17 of the EAR). Before submitting a license application, please review License Exception ENC to determine whether this license exception is available for your item or transaction. For exports, reexports, or transfers (in-country) of encryption items that are not eligible for a license exception, you must submit an application to obtain authorization under a license or an Encryption Licensing Arrangement.
(2) Licensing policy. Applications will be reviewed on a case-by-case basis by BIS, in conjunction with other agencies, to determine whether the export, reexport, or transfer (in-country) is consistent with U.S. national security and foreign policy interests. Encryption Licensing Arrangements (ELAs) may be authorized for exports, reexports, or transfers (in-country) of unlimited quantities of encryption commodities and software described in § 740.17 (b)(2)(i)(A) that have been classified by BIS to “more sensitive government end users,” in all destinations, except countries listed in Country Groups E:1 or E:2 of supplement no. 1 to part 740. ELAs for “more sensitive government end users” may be authorized for encryption commodities and software described in § 740.17(b)(2)(ii) through (iv) under certain circumstances. ELAs are valid for four years and may require pre-shipment notification. Applicants seeking authorization for Encryption Licensing Arrangements must specify the sales territory on their license applications.
(b) Publicly available encryption source code – (1) Scope and eligibility. Subject to the notification requirements of paragraph (b)(2) of this section, publicly available (see § 734.3(b)(3) of the EAR) encryption source code classified under ECCN 5D002 is not subject to the EAR. Such source code is publicly available even if it is subject to an express agreement for the payment of a licensing fee or royalty for commercial production or sale of any product developed using the source code.
(2) Notification requirement for “non-standard cryptography.” For publicly available encryption source code classified under ECCN 5D002 that provides or performs “non-standard cryptography” as defined in part 772 of the EAR, you must notify BIS and the ENC Encryption Request Coordinator via email of the internet location (e.g., URL or internet address) of the source code or provide each of them a copy of the publicly available encryption source code. If you update or modify the source code, you must also provide additional copies to each of them each time the cryptographic functionality of the source code is updated or modified. In addition, if you posted the source code on the internet, you must notify BIS and the ENC Encryption Request Coordinator each time the internet location is changed, but you are not required to notify them of updates or modifications made to the encryption source code at the previously notified location. In all instances, submit the notification or copy to [email protected] and to [email protected].
§ 742.16 [Reserved]
§ 742.17 Exports of firearms to OAS member countries.
(a) License requirements. BIS maintains a licensing system for the export of firearms and related items to all OAS member countries. This action is based on the Organization of American States (OAS) Model Regulations for the Control of the International Movement of Firearms, their Parts and Components and Munitions (OAS Model Regulations) which were developed to assist OAS member countries to implement the Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials (Firearms Convention).
(b) Licensing policy. Applications supported by an FC Import Certificate or equivalent official document issued by the government of the importing country for such items will generally be approved, except there is a policy of denial for applications to export items linked to such activities as drug trafficking, terrorism, and transnational organized crime.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications under this § 742.17.
(d) OAS Model Regulations. The OAS Model Regulations on which regulations are based are designed by OAS member countries to combat illicit manufacturing of and trafficking in firearms, ammunition, explosives, and other related materials in North and South America because of their links to such activities as drug trafficking, terrorism, and transnational organized crime.
(e) OAS member countries to which firearms controls under this section apply. The OAS member countries include: Antigua and Barbuda, Argentina, the Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru, St. Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, the United States, Uruguay, and Venezuela.
(f) Items/Commodities. Items requiring a license under this section are ECCNs 0A501 (except 0A501.y), 0A502, 0A504 (except 0A504.f), and 0A505 (except 0A505.d). (See supplement no. 1 to part 774 of the EAR).
(g) Validity period for licenses. Although licenses generally will be valid for a period of four years, your ability to ship items that require an FC Import Certificate or equivalent official document under this section may be affected by the validity of the FC Import Certificate or equivalent official document (see § 748.12(d)(3) of the EAR).
§ 742.18 Chemical Weapons Convention (CWC or Convention).
States that are parties to the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction, also known as the Chemical Weapons Convention (CWC or Convention), undertake never to develop, produce, acquire, stockpile, transfer, or use chemical weapons. As a State Party to the Convention, the United States is subjecting certain toxic chemicals and their precursors listed in Schedules within the Convention to trade restrictions. Trade restrictions include: a prohibition on the export of Schedule 1 chemicals to States not Party to the CWC; a prohibition on the reexport of Schedule 1 chemicals to all destinations (both States Parties to the CWC and States not Party to the CWC); license requirements for the export of Schedule 1 chemicals to all States Parties; a prohibition on the export of Schedule 2 chemicals to States not Party to the CWC; and an End-Use Certificate requirement for exports of Schedule 3 chemicals to States not Party to the CWC. Exports of CWC chemicals that do not require a license for CW reasons (e.g., exports and reexports of Schedule 2 and Schedule 3 chemicals to States Parties to the CWC) may require a license for other reasons set forth in the EAR. (See, in particular, the license requirements in § 742.2 of the EAR that apply to exports and reexports of precursor chemicals controlled by ECCN 1C350, for CB reasons. Also note the end-use and end-user restrictions in part 744 of the EAR and the restrictions that apply to embargoed countries in part 746 of the EAR.)
(a) License requirements (1) Schedule 1 chemicals and mixtures controlled under ECCN 1C351. A license is required for CW reasons to export or reexport Schedule 1 chemicals controlled under ECCN 1C351.d.14 or .d.15 to all destinations including Canada. CW applies to 1C351.d.14 for ricin in the form of Ricinus Communis AgglutininII (RCA
(2) Schedule 2 and 3 chemicals and mixtures controlled under ECCN 1C350, ECCN 1C355, or ECCN 1C395 – (i) States Parties to the CWC. Neither a license nor an End-Use Certificate is required for CW reasons to export or reexport Schedule 2 or 3 chemicals and mixtures controlled under ECCN 1C350, ECCN 1C355, or ECCN 1C395 to States Parties to the CWC (destinations listed in supplement no. 2 to part 745 of the EAR).
(ii) States not Party to the CWC – (A) Schedule 2 chemicals. A license is required for CW reasons to export or reexport Schedule 2 chemicals and mixtures controlled under ECCN 1C350.b, ECCN 1C355.a, or ECCN 1C395 to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR).
(B) Schedule 3 chemicals – (1) Exports. A license is required for CW reasons to export Schedule 3 chemicals and mixtures controlled under ECCN 1C350.c, ECCN 1C355.b, or ECCN 1C395.b to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR), unless the exporter obtains from the consignee an End-Use Certificate (issued by the government of the importing country) prior to exporting the Schedule 3 chemicals and submits it to BIS in accordance with the procedures described in § 745.2 of the EAR. Note, however, that obtaining an End-Use Certificate does not relieve the exporter from the responsibility of complying with other license requirements set forth elsewhere in the EAR.
(2) Reexports – (i) Reexports from States Parties to the CWC. Neither a license nor an End-Use Certificate is required for CW reasons to reexport Schedule 3 chemicals and mixtures controlled under ECCN 1C350.c, ECCN 1C355.b, or ECCN 1C395.b from States Parties to the CWC (destinations listed in supplement no. 2 to part 745 of the EAR) to States not Party to the CWC. However, a license may be required for other reasons set forth elsewhere in the EAR. In addition, reexports of Schedule 3 chemicals may be subject to an End-Use Certificate requirement by governments of other countries when the chemicals are destined for States not Party to the CWC.
(ii) Reexports from States not Party to the CWC. A license is required for CW reasons to reexport Schedule 3 chemicals and mixtures controlled under ECCN 1C350.c, ECCN 1C355.b, or ECCN 1C395.b from a State not Party to the CWC (a destination not listed in supplement no. 2 to part 745 of the EAR) to any other State not Party to the CWC.
(C) Technology controlled under ECCN 1E355. A license is required for CW reasons to export or reexport technology controlled under ECCN 1E355 to all States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR), except for Israel and Taiwan.
(b) Licensing Policy – (1) Schedule 1 chemicals and mixtures – (i) Exports to States Parties to the CWC. Applications to export Schedule 1 Chemicals controlled under ECCN 1C351.d.14 or .d.15 to States Parties to the CWC (destinations listed in supplement no. 2 to part 745 of the EAR) generally will be denied, unless all of the following conditions are met:
(A) The chemicals are destined only for purposes not prohibited under the CWC (i.e., research, medical, pharmaceutical, or protective purposes);
(B) The types and quantities of chemicals are strictly limited to those that can be justified for those purposes;
(C) The Schedule 1 chemicals were not previously imported into the United States (this does not apply to Schedule 1 chemicals imported into the United States prior to April 29, 1997, or imported into the United States directly from the same State Party to which they now are to be returned, i.e., exported); and
(D) The aggregate amount of Schedule 1 chemicals in the country of destination at any given time is equal to or less than one metric ton and receipt of the proposed export will not cause the country of destination to acquire or to have acquired one metric ton or more of Schedule 1 chemicals in any calendar year.
(ii) Exports to States not party to the CWC. Applications to export Schedule 1 chemicals controlled under ECCN 1C351.d.14 or .d.15 to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR) generally will be denied, consistent with U.S. obligations under the CWC to prohibit exports of these chemicals to States not Party to the CWC.
(iii) Reexports. Applications to reexport Schedule 1 chemicals controlled under ECCN 1C351.d.14 or .d.15 generally will be denied to all destinations (including both States Parties to the CWC and States not Party to the CWC).
(2) Schedule 2 chemicals and mixtures. Applications to export or reexport Schedule 2 chemicals and mixtures controlled under ECCN 1C350.b, ECCN 1C355.a, or ECCN 1C395 to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR) generally will be denied, consistent with U.S. obligations under the CWC to prohibit exports of these chemicals to States not Party to the CWC.
(3) Schedule 3 chemicals and mixtures – (i) Exports. Applications to export Schedule 3 chemicals and mixtures controlled under ECCN 1C350.c, ECCN 1C355.b, or ECCN 1C395.b to States not Party to the CWC (destinations not listed in supplement no. 2 to part 745 of the EAR) generally will be denied.
(ii) Reexports from States not Party to the CWC. Applications to reexport Schedule 3 chemicals and mixtures controlled under ECCN 1C350.c, ECCN 1C355.b, or ECCN 1C395.b from a State not Party to the CWC (a destination not listed in supplement no. 2 to part 745 of the EAR) to any other State not Party to the CWC generally will be denied.
(4) Technology controlled under ECCN 1E355. Exports and reexports of technology controlled under ECCN 1E355 will be reviewed on a case-by-case basis.
(c) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
§ 742.19 Anti-terrorism: North Korea.
(a) License requirements. (1) All items on the Commerce Control List (CCL) (i.e., with a designation other than EAR99) that are controlled for anti-terrorism reasons require a license for export or reexport to North Korea. This includes all items on the CCL containing AT column 1 or AT column 2 in the Country Chart column of the License requirements section of an ECCN; and ECCNs 0A505.c, 0A988, 0A999, 0B505.c, 0B999, 0D999, 1A999, 1B999, 1C995, 1C999, 1D999, 2A994, 2A999, 2B999, 2D994, 2E994, 3A999, and 6A999. See also part 746 of the EAR.
(2) The Secretary of State has designated North Korea as a country whose Government has repeatedly provided support for acts of international terrorism.
(3) In support of U.S. foreign policy on terrorism-supporting countries, BIS maintains two types of anti-terrorism controls on the export and reexport of items described in supplement 2 to part 742.
(i) Items described in paragraphs (c)(1) through (c)(5) of supplement so. 2 to part 742 are controlled under section 6(j) of the Export Administration Act, as amended (EAA), if destined to military, police, intelligence or other sensitive end-users.
(ii) Items described in paragraphs (c)(1) through (c)(5) of supplement no. 2 to part 742 destined to non-sensitive end-users, as well as items described in paragraph (c)(6) through (c)(45) to all end-users, are controlled to North Korea under section 6(a) of the EAA. License applications for items reviewed under section 6(a) controls will also be reviewed to determine the applicability of section 6(j) controls to the transaction. When it is determined that an export or reexport could make a significant contribution to the military potential of North Korea, including its military logistics capability, or could enhance North Korea’s ability to support acts of international terrorism, the Secretaries of State and Commerce will notify the Congress 30 days prior to issuance of a license. (See supplement no. 2 to part 742 for more information on items controlled under sections 6(a) and 6(j) of the EAA and § 750.6 of the EAR for procedures for processing license applications for items controlled under EAA section 6(j).)
(b) Licensing policy. (1) Applications for export and reexport to all end-users in North Korea of the following items will generally be denied:
(i) Items controlled for chemical and biological weapons proliferation reasons to any destination. These items contain CB Column 1, CB Column 2, or CB Column 3 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(ii) Items controlled for missile proliferation reasons to any destination. These items have an MT Column 1 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(iii) Items controlled for nuclear weapons proliferation reasons to any destination. These items contain NP Column 1 or NP Column 2 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(iv) Items controlled for national security reasons to any destination. These items contain NS Column 1 or NS Column 2 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(v) Military-related items controlled for national security reasons to any destination. These items contain NS Column 1 in the Country Chart column of the “License Requirements” section in an ECCN on the CCL and are controlled by equipment or material entries ending in the number “18.”
(vi) All aircraft (powered and unpowered), helicopters, engines, and related spare parts and components. Such items contain an NS Column 1, NS Column 2, MT Column 1, or AT Column 1 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL. (Not including parts and components for safety-of-flight, which will be reviewed on a case-by-case basis in accordance with paragraph (b)(2) of this section).
(vii) Cryptographic, cryptoanalytic, and crypto-logic items controlled any destination. These are items that contain an NS Column 1, NS Column 2, AT Column 1 or AT Column 2 in the Country Chart column of the “License Requirements” section of an ECCN on the CCL.
(viii) Submersible systems controlled under ECCN 8A992.
(ix) Scuba gear and related equipment controlled under ECCN 8A992.
(x) Pressurized aircraft breathing equipment controlled under ECCN 9A991.
(xi) Explosives detection equipment controlled under ECCN 2A983.
(xii) “Software” (ECCN 2D983) specially designed or modified for the “development”, “production” or “use” of explosives detection equipment controlled by 2A983.
(xiii) “Technology” (ECCN 2E983) specially designed or modified for the “development”, “production” or “use” of explosives detection equipment controlled by 2A983.
(xiv) Commercial charges and devices controlled under ECCN 1C992.
(xv) Computer numerically controlled machine tools controlled under ECCN 2B991.
(xvi) Aircraft skin and spar milling machines controlled under ECCN 2B991.
(xvii) Semiconductor manufacturing equipment controlled under ECCN 3B991.
(xviii) Digital computers with an Adjusted Peak Performance (APP) exceeding 0.0004 Weighted TeraFLOPS (WT).
(xix) Microprocessors with a processing speed of 0.5 GFLOPS or above .
(xx) Ammonium nitrate, including certain fertilizers containing ammonium nitrate, controlled under ECCN 1C997.
(xxi) Technology for the production of Chemical Weapons Convention (CWC) Schedule 2 and 3 Chemicals controlled under ECCN 1E355.
(xxii) Concealed object detection equipment controlled under ECCN 2A984.
(xxiii) “Software” (ECCN 2D984) “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984.
(xxiv) “Technology” (ECCN 2E984) “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984, or the “development” of “software” controlled by 2D984.
(2) Applications for export and reexport to North Korea of all other items described in paragraph (a) of this section, and not described by paragraph (b)(1) of this section, will generally be denied if the export or reexport is destined to a military end-user or for military end-use. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis. Applications to export or reexport humanitarian items intended for the benefit of the North Korean people; items in support of United Nations humanitarian efforts; and agricultural commodities and medical devices will generally be approved.
(3) Applications for export and reexport to North Korea of items described in paragraphs (c)(12), (c)(24), (c)(34), (c)(37), (c)(38), and (c)(45) of supplement no. 2 to part 742 will generally be denied if the export or reexport is destined to nuclear end-users or nuclear end-uses. Applications for non-nuclear end-users or for non-nuclear end-uses, excluding items described in (c)(24)(iv)(A) of supplement no. 2 to part 742, will be considered on a case-by-case basis.
(4) License applications for items reviewed under section 6(a) controls will also be reviewed to determine the applicability of section 6(j) controls to the transaction. When it is determined that an export or reexport could make a significant contribution to the military potential of North Korea, including its military logistics capability, or could enhance North Korea’s ability to support acts of international terrorism, the Secretaries of State and Commerce will notify the Congress 30 days prior to issuance of a license.
Supplement No. 1 to Part 742 – Nonproliferation of Chemical and Biological Weapons
Exports and reexports of items in performance of contracts entered into before the applicable contract sanctity date(s) will be eligible for review on a case-by-case basis or other applicable licensing policies that were in effect prior to the contract sanctity date. The contract sanctity dates set forth in this supplement are for the guidance of exporters. Contract sanctity dates are established in the course of the imposition of foreign policy controls on specific items and are the relevant dates for the purpose of licensing determinations involving such items. If you believe that a specific contract sanctity date is applicable to your transaction, you should include all relevant information with your license application.
(1) The contract sanctity date for exports to Iran or Syria of dimethyl methylphosphonate, phosphorous oxychloride, thiodiglycol, dimethylamine hydrochloride, dimethylamine, ethylene chlorohydrin (2-chloroethanol), and potassium fluoride is April 28, 1986.
(2) The contract sanctity date for exports to Iran or Syria of dimethyl phosphite (dimethyl hydrogen phosphite), methyl phosphonyldichloride, 3-quinuclidinol, N,N-diisopropylamino-ethane-2-thiol, N,N-diisopropylaminoethyl-2-chloride, 3-hydroxy-1-methylpiperidine, trimethyl phosphite, phosphorous trichloride, and thionyl chloride is July 6, 1987.
(3) The contract sanctity date for exports to Iran or Syria of items in ECCNs 1C351, 1C353 and 1C354 is February 22, 1989.
(4) The contract sanctity date for exports to Iran of dimethyl methylphosphonate, phosphorus oxychloride, and thiodiglycol is February 22, 1989.
(5) The contract sanctity date for exports to Iran or Syria of potassium hydrogen fluoride, ammonium hydrogen fluoride, sodium fluoride, sodium bifluoride, phosphorus pentasulfide, sodium cyanide, triethanolamine, diisopropylamine, sodium sulfide, and N,N-diethylethanolamine is December 12, 1989.
(6) The contract sanctity date for exports to all destinations (except Iran or Syria) of phosphorus trichloride, trimethyl phosphite, and thionyl chloride is December 12, 1989. For exports to Iran or Syria, paragraph (2) of this supplement applies.
(7) The contract sanctity date for exports to all destinations (except Iran or Syria) of 2-chloroethanol and triethanolamine is January 15, 1991. For exports of 2-chloroethanol to Iran or Syria, paragraph (1) of this Supplement applies. For exports of triethanolamine to Iran or Syria, paragraph (5) of this Supplement applies.
(8) The contract sanctity date for exports to all destinations (except Iran or Syria) of chemicals controlled by ECCN 1C350 is March 7, 1991, except for applications to export the following chemicals: 2-chloroethanol, dimethyl methylphosphonate, dimethyl phosphite (dimethyl hydrogen phosphite), phosphorus oxychloride, phosphorous trichloride, thiodiglycol, thionyl chloride triethanolamine, and trimethyl phosphite. (See also paragraphs (6) and (7) of this Supplement.) For exports to Iran or Syria, see paragraphs (1) through (6) of this Supplement.
(9) The contract sanctity date for exports and reexports of the following commodities and technical data is March 7, 1991:
(i) Equipment (for producing chemical weapon precursors and chemical warfare agents) described in ECCNs 2B350 and 2B351;
(ii) Equipment and materials (for producing biological agents) described in ECCNs 1C351, 1C353, 1C354, and 2B352; and
(iii) Technology (for the development, production, and use of equipment described in ECCNs 1C351, 1C353, 1C354, 2B350, 2B351, and 2B352) described in ECCNs 2E001, 2E002, and 2E301.
(10) The contract sanctity date for license applications subject to § 742.2(b)(3) of this part is March 7, 1991.
(11) The contract sanctity date for reexports of chemicals controlled under ECCN 1C350 is March 7, 1991, except that the contract sanctity date for reexports of these chemicals to Iran or Syria is December 12, 1989.
(12) The contract sanctity date for reexports of human pathogens, zoonoses, toxins, animal pathogens, genetically modified microorganisms and plant pathogens controlled by ECCNs 1C351, 1C353 and 1C354 is March 7, 1991.
Supplement No. 2 to Part 742 – Anti-Terrorism Controls: North Korea, Syria Contract Sanctity Dates and Related Policies
Exports and reexports of items in performance of contracts entered into before the applicable contract sanctity date(s) will be eligible for review on a case-by-case basis or other applicable licensing policies that were in effect prior to the contract sanctity date. The contract sanctity dates set forth in this Supplement are for the guidance of exporters. Contract sanctity dates are established in the course of the imposition of foreign policy controls on specific items and are the relevant dates for the purpose of licensing determinations involving such items. If you believe that a specific contract sanctity date is applicable to your transaction, you should include all relevant information with your license application. BIS will determine any applicable contract sanctity date at the time an application with relevant supporting documents is submitted.
(a) Terrorist-supporting countries. The Secretary of State has designated North Korea, and Syria as countries whose governments have repeatedly provided support for acts of international terrorism under section 6(j) of the Export Administration Act (EAA).
(b) Items controlled under EAA sections 6(j) and 6(a). Whenever the Secretary of State determines that an export or reexport to any of these countries could make a significant contribution to the military potential of such country, including its military logistics capability, or could enhance the ability of such country to support acts of international terrorism, the item is subject to mandatory control under EAA section 6(j) and the Secretaries of Commerce and State are required to notify appropriate Committees of the Congress 30 days before a license for such an item may be issued.
(1) On December 28, 1993, the Secretary of State determined that the export to North Korea, or Syria of items described in paragraphs (c)(1) through (c)(5) of this Supplement, if destined to military, police, intelligence or other sensitive end-users, are controlled under EAA section 6(j). Therefore, the 30-day advance Congressional notification requirement applies to the export or reexport of these items to sensitive end-users in any of these countries.
(2) License applications for items controlled to designated terrorist-supporting countries under EAA section 6(a) will also be reviewed to determine whether the Congressional notification requirements of EAA section 6(j) apply.
(3) Items controlled for anti-terrorism reasons under section 6(a) to North Korea, and Syria are:
(i) Items described in paragraphs (c)(1) through (c)(5) to non-sensitive end-users, and
(ii) The following items to all end-users: for North Korea, items in paragraph (c)(6) through (c)(45) of this Supplement; and for Syria, items in paragraphs (c)(6) through (c)(8), (c)(10) through (c)(14), (c)(16) through (c)(19), and (c)(22) through (c)(44) of this Supplement.
(c) The license requirements and licensing policies for items controlled for anti-terrorism reasons to Syria and North Korea are generally described in §§ 742.9 and 742.19 of this part, respectively. This Supplement provides guidance on licensing policies for North Korea and Syria and related contract sanctity dates that may be available for transactions benefiting from pre-existing contracts involving Syria.
(1) All items subject to national security controls.
(i) [Reserved]
(ii) Syria. Applications for military end-users or military end-uses in Syria will generally be denied. Applications for non-military end-users or end-uses will be considered on a case-by-case basis, unless otherwise specified in paragraphs (c)(2) through (c)(42) of this Supplement. No contract sanctity date is available for items valued at $7 million or more to military end-users or end-uses. The contract sanctity date for all other items for all end-users: December 16, 1986.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(2) All items subject to chemical and biological weapons proliferation controls. Applications for all end-users in North Korea and Syria of these items will generally be denied. See Supplement No. 1 to part 742 for contract sanctity dates for Syria.
(3) All items subject to missile proliferation controls (MTCR). Applications for all end-users in North Korea and Syria will generally be denied. Contract sanctity provisions for Syria are not available.
(4) All items subject to nuclear weapons proliferation controls (NRL). (i) [Reserved]
(ii) Syria. Applications for military end-users or end-uses to Syria will generally be denied. Applications for non-military end-users or end-uses will be considered on a case-by-case basis unless otherwise specified in paragraphs (c)(2) through (c)(42) of this Supplement. No contract sanctity date is available.
(iii) Sudan. Applications for military end-users or end-uses in Sudan will generally be denied. Applications for export and reexport to non-military end-users or end-uses will be considered on a case-by-case basis unless otherwise specified in paragraphs (c)(2) through (c)(42) of this Supplement. No contract sanctity date is available.
(iv) North Korea. Applications for all end-users in North Korea will generally be denied.
(5) All military-related items, i.e., applications for export and reexport of items controlled by CCL entries ending with the number “18”.
(i) [Reserved]
(ii) Syria. Applications for all end-users in Syria will generally be denied. Contract sanctity date: see paragraph (c)(1)(ii) of this Supplement.
(iii) Sudan. Applications for all end-users in Sudan will generally be denied. Contract sanctity date for Sudan: January 19, 1996, unless a prior contract sanctity date applies (e.g., items first controlled to Sudan for foreign policy reasons under EAA section 6(j) have a contract sanctity date of December 28, 1993).
(iv) North Korea. Applications for all end-users in North Korea will generally be denied.
(6) All aircraft (powered and unpowered), helicopters, engines, and related spare parts and components. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria will generally be denied.
(A) There is no contract sanctity for helicopters exceeding 10,000 lbs. empty weight or fixed wing aircraft valued at $3 million or more; except that passenger aircraft, regardless of value, have a contract sanctity date of December 16, 1986, if destined for a regularly scheduled airline with assurance against military use.
(B) Contract sanctity date for helicopters with 10,000 lbs. empty weight or less: April 28, 1986.
(C) Contract sanctity date for other aircraft and gas turbine engines therefor: December 16, 1986.
(D) Contract sanctity date for helicopter or aircraft parts and components controlled by ECCN 9A991.d: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea will generally be denied.
(7) Heavy duty, on-highway tractors (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis. Contract sanctity date: August 28, 1991.
(iii) Sudan. Applications for military end-users or for military end-uses in Sudan will generally be denied. Applications for non-military end-users or for non-military end-uses in Sudan will be considered on a case-by-case basis. Contract sanctity date: January 19, 1996.
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea will be considered on a case-by-case basis.
(8) Off-highway wheel tractors of carriage capacity 9t (10 tons) or more. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis. Contract sanctity date: August 28, 1991.
(iii) Sudan. Applications for military end-users or for military end-uses in Sudan will generally be denied. Applications for non-military end-users or for non-military end-uses in Sudan will be considered on a case-by-case basis. Contract sanctity date: January 19, 1996.
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea will be considered on a case-by-case basis.
(9) Large diesel engines (greater than 400 horsepower) and parts to power tank transporters. (i) [Reserved]
(ii) Sudan. Applications for military end-users or for military end-uses in Sudan will generally be denied. Applications for non-military end-users or for non-military end-uses in Sudan will be considered on a case-by-case basis. Contract sanctity date: January 19, 1996.
(iii) North Korea. Applications for military end-users or for military end-uses in North Korea will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea will be considered on a case-by-case basis.
(10) Cryptographic, cryptoanalytic, and cryptologic equipment. (i) [Reserved]
(ii) Syria. A license is required for all national security-controlled cryptographic, cryptoanalytic, and cryptologic equipment to all end-users. Applications for all end-users in Syria will generally be denied. Contract sanctity date for cryptographic, cryptoanalytic, and cryptologic equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of any such equipment will generally be denied.
(11) Navigation, direction finding, and radar equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for exports of navigation, direction finding, and radar equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other navigation, direction finding, and radar equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea will be considered on a case-by-case basis.
(12) Electronic test equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for electronic test equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other electronic test equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, in North Korea will be considered on a case-by-case basis.
(13) Mobile communications equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for mobile communications equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other mobile communications equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea will be considered on a case-by-case basis.
(14) Acoustic underwater detection equipment. (i) [Reserved]
(ii) Syria. A license is required for acoustic underwater detection equipment that was subject to national security controls on August 28, 1991, to all end-users. Applications for military end-users or for military end-uses in Syria will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis. Contract sanctity date for acoustic underwater detection equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of such equipment of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea of such equipment will be considered on a case-by-case basis.
(15) Portable electric power generator. (i) [Reserved]
(ii) North Korea. Applications for military end-users or for military end-uses in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea of such equipment will be considered on a case-by-case basis.
(16) Vessels and boats, including inflatable boats. (i) [Reserved]
(ii) Syria. A license is required for national security-controlled vessels and boats. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis. Contract sanctity date for vessels and boats that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea of these items will be considered on a case-by-case basis.
(17) Marine and submarine engines (outboard/inboard, regardless of horsepower). (i) [Reserved]
(ii) Syria. A license is required for all marine and submarine engines subject to national security controls to all end-users. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis. Contract sanctity date for marine and submarine engines that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in North Korea of these items will be considered on a case-by-case basis.
(18) Underwater photographic equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for underwater photographic equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other underwater photographic equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(19) Submersible systems. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such systems will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for submersible systems that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other submersible systems: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(20) Scuba gear and related equipment. (i) [Reserved]
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(21) Pressurized aircraft breathing equipment. (i) [Reserved]
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(22) Computer numerically controlled machine tools. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for computer numerically controlled machine tools that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other computer numerically controlled machine tools: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(23) Vibration test equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for vibration test equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other vibration test equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(24) Digital computers with an APP of .00001 WT or above, assemblies, related equipment, equipment for development or production of magnetic and optical storage equipment, and materials for fabrication of head/disk assemblies. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity dates for items that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other items: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. (A) Computers with an APP exceeding 0.0004 WT: Applications for all end-users will generally be denied.
(B) Computers with an APP equal to or less than 0.0004 WT: Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, will be considered on a case-by-case basis.
(25) Telecommunications equipment. (i) A license is required for the following telecommunications equipment:
(A) Radio relay systems or equipment operating at a frequency equal to or greater than 19.7 GHz or “spectral efficiency” greater than 3 bit/s/Hz; (B) Fiber optic systems or equipment operating at a wavelength greater than 1000 nm; (C) “Telecommunications transmission systems” or equipment with a “digital transfer rate” at the highest multiplex level exceeding 45 Mb/s.
(ii) [Reserved]
(iii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for exports of telecommunications equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other telecommunications equipment: August 28, 1991.
(iv) [Reserved]
(v) North Korea. Applications for military end-users or for military end-uses in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(26) Microprocessors – (i) Operating at a clock speed over 25 MHz.
(A) [Reserved]
(B) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(1) Contract sanctity date for microprocessors that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this supplement.
(2) Contract sanctity date for all other microprocessors: August 28, 1991.
(ii) With a processing speed of 0.5 GFLOPS or above.
(A) North Korea. Applications for all end-users in North Korea of these items will generally be denied.
(B) [Reserved]
(27) Semiconductor manufacturing equipment. For Syria, Sudan, or North Korea, a license is required for all such equipment described in ECCNs 3B001 and 3B991.
(i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for semiconductor manufacturing equipment that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other semiconductor manufacturing equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(28) Software specially designed for the computer-aided design and manufacture of integrated circuits. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such software will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such software that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such software: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of such software will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(29) Packet switches. Equipment described in ECCN 5A991.c. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for packet switches that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other packet switches: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(30) Specially designed software for air traffic control applications that uses any digital signal processing techniques for automatic target tracking or that has a facility for electronic tracking. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such software will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such software that was subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other such software: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of such software will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(31) Gravity meters having static accuracy of less (better) than 100 microgal, or gravity meters of the quartz element (worden) type. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for gravity meters that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other such gravity meters: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(32) Magnetometers with a sensitivity lower (better) than 1.0 nt rms per square root Hertz. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such magnetometers that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such magnetometers: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(33) Fluorocarbon compounds described in ECCN 1C006.d for cooling fluids for radar. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such compounds will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such fluorocarbon compounds that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such fluorocarbon compounds: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(34) High strength organic and inorganic fibers (kevlar) described in ECCN 1C210. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of such fibers will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for high strength organic and inorganic fibers (kevlar) described in ECCN 1C210 that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other high strength organic and inorganic fibers (kevlar) described in ECCN 1C210: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, in North Korea will be considered on a case-by-case basis.
(35) Machines described in ECCNs 2B003 and 2B993 for cutting gears up to 1.25 meters in diameter. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for machines that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other machines: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(36) Aircraft skin and spar milling machines. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for aircraft skin and spar milling machines that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other aircraft skin and spar milling machines: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of such equipment will generally be denied.
(37) Manual dimensional inspection machines described in ECCN 2B996. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for such manual dimensional inspection machines that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such manual dimensional inspection machines: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, in North Korea will be considered on a case-by-case basis.
(38) Robots capable of employing feedback information in real time processing to generate or modify programs. (i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by case basis.
(A) Contract sanctity date for such robots that were subject to national security controls on August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such robots: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, in North Korea will be considered on a case-by-case basis.
(39) Explosives detection equipment described in ECCN 2A983 – (i) Explosives detection equipment described in ECCN 2A983, controlled prior to April 3, 2003 under ECCN 2A993.
(A) [Reserved]
(B) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: January 19, 1996.
(C) [Reserved]
(D) North Korea. Applications for all end-users in North Korea of these items will generally be denied.
(ii) Explosives detection equipment described in ECCN 2A983, not controlled prior to April 3, 2003 under ECCN 2A993.
(A) [Reserved]
(B) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: March 21, 2003.
(C) Sudan. Applications for all end-users in Sudan of these items will generally be denied. Contract sanctity date for reexports by non-U.S. persons: March 21, 2003.
(D) North Korea. Applications for all end-users in North Korea of these items will generally be denied. Contract sanctity date: March 21, 2003.
(40) “Software” described in ECCN 2D983 specially designed or modified for the “development”, “production” or “use” of explosives detection equipment. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: March 21, 2003.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of these items will generally be denied. Contract sanctity date: March 21, 2003.
(41) “Technology” described in ECCN 2E983 specially designed or modified for the “development”, “production” or “use” of explosives detection equipment. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: March 21, 2003.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of these items will generally be denied. Contract sanctity date: March 21, 2003.
(42) Production technology controlled under ECCN 1C355 on the CCL –
(i) [Reserved]
(ii) Syria. Applications for military end-users or for military end-uses in Syria of these items will generally be denied. Applications for non-military end-users or for non-military end-uses in Syria will be considered on a case-by-case basis.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or for military end-uses in North Korea of these items will generally be denied. Applications for non-military end-users or for non-military end-uses will be considered on a case-by-case basis.
(43) Commercial Charges and devices controlled under ECCN 1C992 on the CCL. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of these items will generally be denied.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of these items will generally be denied.
(44) Ammonium nitrate, including certain fertilizers containing ammonium nitrate, under ECCN 1C997 on the CCL (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: June 15, 2001.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North Korea of these items will generally be denied. Contract sanctity date: June 15, 2001.
(45) Specific processing equipment, materials and software controlled under ECCNs 0A999, 0B999, 0D999, 1A999, 1C999, 1D999, 2A999, 2B999, 3A999, and 6A999 on the CCL. (i) North Korea. Applications for military end-users or for military end-uses, or for nuclear end-users or nuclear end-uses, in North Korea of such equipment will generally be denied. Applications for non-military end-users or for non-military end-uses, or for non-nuclear end-users or non-nuclear end-uses, in North Korea will be considered on a case-by-case basis.
(ii) [Reserved]
(46) Concealed object detection equipment described in ECCN 2A984. (i) Syria. Applications for all end-users in Syria of these commodities will generally be denied. Contract sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in North Korea of these commodities will generally be denied. Contract sanctity date: March 19, 2010.
(47) “Software” described in ECCN 2D984 “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984. (i) Syria. Applications for all end-users in Syria of these software will generally be denied. Contract sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in North Korea of these software will generally be denied. Contract sanctity date: March 19, 2010.
(48) “Technology” described in ECCN 2E984 “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by 2A984, or the “development” of “software” controlled by 2D984. (i) Syria. Applications for all end-users in Syria of these items will generally be denied. Contract sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in North Korea of these items will generally be denied. Contract sanctity date: March 19, 2010.
Supplement Nos. 3-5 to Part 742 [Reserved]
Supplement No. 6 to Part 742 – Technical Questionnaire for Encryption and Other “Information Security” Items
(a) For all items:
(1) State the name(s) of each product being submitted for classification or other consideration (as a result of a request by BIS) and provide a brief non-technical description of the type of product (e.g., routers, disk drives, cell phones, and chips) being submitted, and provide brochures, data sheets, technical specifications or other information that describes the item(s).
(2) Indicate whether there have been any prior classifications of the product(s), if they are applicable to the current submission. For products with minor changes in encryption functionality, you must include a cover sheet with complete reference to the previous review (Commodity Classification Automated Tracking System (CCATS) number, Export Control Classification Number (ECCN), authorization paragraph) along with a clear description of the changes.
(3) Describe how encryption is used in the product and the categories of encrypted data (e.g., stored data, communications, management data, and internal data).
(4) For ‘mass market’ encryption products, describe specifically to whom and how the product is being marketed and state how this method of marketing and other relevant information (e.g., cost of product and volume of sales) are described by the Cryptography Note (Note 3 to Category 5, Part 2).
(5) Is any “encryption source code” being provided (shipped or bundled) as part of this offering? If yes, is this source code publicly available source code, unchanged from the code obtained from an open source Web site, or is it proprietary “encryption source code?”
(b) For classification requests and other submissions, provide the following information
(1) Description of all the symmetric and asymmetric encryption algorithms and key lengths and how the algorithms are used, including relevant parameters, inputs and settings. Specify which encryption modes are supported (e.g., cipher feedback mode or cipher block chaining mode).
(2) Describe how encryption keys are generated or managed by your product, including algorithms and modulus sizes supported.
(3) Describe whether the products incorporate or use “non-standard cryptography” defined as incorporating or using proprietary, unpublished cryptographic functionality, including encryption algorithms or protocols that have not been adopted or approved by a duly recognized international standards body. Provide a textual description and the source code of the algorithm.
(4) Describe the pre-processing methods (e.g., data compression or data interleaving) that are applied to the plaintext data prior to encryption.
(5) Describe the post-processing methods (e.g., packetization, encapsulation) that are applied to the cipher text data after encryption.
(6) State all communication protocols (e.g., X.25, Telnet, TCP, IEEE 802.11, IEEE 802.16, SIP . . .) and cryptographic protocols and methods (e.g., SSL, TLS, SSH, IPSEC, IKE, SRTP, ECC, MD5, SHA, X.509, PKCS standards . . .), including application programming interfaces (APIs), that are supported and describe how they are used.
(7) State how the product is written to preclude user modification of the encryption algorithms, key management and key space.
(8) Describe the cryptographic functionality that is provided by third-party hardware or software encryption components (if any). Identify the manufacturers of the hardware or software components, including specific part numbers and version information as needed to describe the product. Describe whether the encryption software components (if any) are statically or dynamically linked.
(9) Identify the version(s) and type(s) of compilers, runtime interpreters or code assemblers used, as applicable.
(10) With respect to your company’s encryption products, are any of the products (or its encryption components) manufactured outside the United States? If yes, provide manufacturing locations (city and country).
(11) See § 740.17(b)(2) of the EAR. Describe whether the item meets any of the § 740.17(b)(2) criteria. Provide a comparison of your item against the criteria listed in each paragraph of § 740.17(b)(2). Give specific data for each of the parameters listed, as applicable (e.g., maximum aggregate encrypted throughput, maximum number of encrypted endpoints, maximum satellite or terrestrial wireless transmission rates, terrestrial wireless operating range, customized cryptography, network penetration capability, cryptanalytic capability and “non-standard cryptography”).
(12) See § 740.17(b)(3) of the EAR. Describe whether the product meets any of the criteria described under each of the paragraphs in § 740.17(b)(3) (e.g., chip, chipset, electronic assembly, programmable logic device, cryptographic library, cryptographic development kit, “non-standard cryptography,” digital forensics, and “cryptographic activation”).
(13) See § 740.17(b)(2)(iii) of the EAR. For products which incorporate an “open cryptographic interface” as defined in part 772 of the EAR, describe the cryptographic interface.
(14) For products with IPsec capabilities:
(i) Please describe your product’s implementation of IKE vendor IDs, including vendor specific and capability IDs; and
(ii) Please specify which version of IKE you use (IKEv1 or IKEv2).
(c) For classification requests for hardware or software “encryption components” other than source code (i.e., chips, toolkits, executable or linkable modules intended for use in or production of another encryption item) provide the following additional information:
(1) Reference the application for which the components are used in, if known;
(2) State if there is a general programming interface to the component;
(3) State whether the component is constrained by function; and
(4) Identify the encryption component and include the name of the manufacturer, component model number or other identifier.
(d) For classification requests for “encryption source code” provide the following information:
(1) If applicable, reference the executable (object code) product that was previously classified by BIS;
(2) Include whether the source code has been modified, and the technical details on how the source code was modified; and
(3) Upon request, include a copy of the sections of the source code that contain the encryption algorithm, key management routines and their related calls.
Supplement No. 7 to Part 742 – Description of Major Weapons Systems
(1) Battle Tanks: Tracked or wheeled self-propelled armored fighting vehicles with high cross-country mobility and a high-level of self protection, weighing at least 16.5 metric tons unladen weight, with a high muzzle velocity direct fire main gun of at least 75 millimeters caliber.
(2) Armored Combat Vehicles: Tracked, semi-tracked, or wheeled self-propelled vehicles, with armored protection and cross-country capability, either designed and equipped to transport a squad of four or more infantrymen, or armed with an integral or organic weapon of a least 12.5 millimeters caliber or a missile launcher.
(3) Large-Caliber Artillery Systems: Guns, howitzers, artillery pieces combining the characteristics of a gun or a howitzer, mortars or multiple-launch rocket systems, capable of engaging surface targets by delivering primarily indirect fire, with a caliber of 75 millimeters and above.
(4) Combat Aircraft: Fixed-wing or variable-geometry wing aircraft designed, equipped, or modified to engage targets by employing guided missiles, unguided rockets, bombs, guns, cannons, or other weapons of destruction, including versions of these aircraft which perform specialized electronic warfare, suppression of air defense or reconnaissance missions. The term “combat aircraft” does not include primary trainer aircraft, unless designed, equipped, or modified as described above.
(5) Attack Helicopters: Rotary-wing aircraft designed, equipped or modified to engage targets by employing guided or unguided anti-armor, air-to-surface, air-to-subsurface, or air-to-air weapons and equipped with an integrated fire control and aiming system for these weapons, including versions of these aircraft that perform specialized reconnaissance or electronic warfare missions.
(6) Warships: Vessels or submarines armed and equipped for military use with a standard displacement of 750 metric tons or above, and those with a standard displacement of less than 750 metric tons that are equipped for launching missiles with a range of at least 25 kilometers or torpedoes with a similar range.
(7) Missiles and Missile Launchers:
(a) Guided or unguided rockets, or ballistic, or cruise missiles capable of delivering a warhead or weapon of destruction to a range of at least 25 kilometers, and those items that are designed or modified specifically for launching such missiles or rockets, if not covered by systems identified in paragraphs (1) through (6) of this Supplement. For purposes of this rule, systems in this paragraph include remotely piloted vehicles with the characteristics for missiles as defined in this paragraph but do not include ground-to-air missiles;
(b) Man-Portable Air-Defense Systems (MANPADS); or
(c) Unmanned Aerial Vehicles (UAVs) of any type, including sensors for guidance and control of these systems, except model airplanes.
(8) Offensive Space Weapons: Systems or capabilities that can deny freedom of action in space for the United States and its allies or hinder the United States and its allies from denying an adversary the ability to take action in space. This includes systems such as anti-satellite missiles, or other systems designed to defeat or destroy assets in space.
(9) Command, Control, Communications, Computer, Intelligence, Surveillance, and Reconnaissance (C4ISR): Systems that support military commanders in the exercise of authority and direction over assigned forces across the range of military operations; collect, process, integrate, analyze, evaluate, or interpret information concerning foreign countries or areas; systematically observe aerospace, surface or subsurface areas, places, persons, or things by visual, aural, electronic, photographic, or other means; and obtain, by visual observation or other detection methods, information about the activities and resources of an enemy or potential enemy, or secure data concerning the meteorological, hydrographic, or geographic characteristics of a particular area, including Undersea communications. Also includes sensor technologies.
(10) Precision Guided Munitions (PGMs), including “smart bombs”: Weapons used in precision bombing missions such as specially designed weapons, or bombs fitted with kits to allow them to be guided to their target.
(11) Night vision equipment: Any electro-optical device that is used to detect visible and infrared energy and to provide an image. This includes night vision goggles, forward-looking infrared systems, thermal sights, and low-light level systems that are night vision devices, as well as infrared focal plane array detectors and cameras specifically designed, developed, modified, or configured for military use; image intensification and other night sighting equipment or systems specifically designed, modified or configured for military use; second generation and above military image intensification tubes specifically designed, developed, modified, or configured for military use, and infrared, visible and ultraviolet devices specifically designed, developed, modified, or configured for military application.
Supplement No. 8 to Part 742 – Self-Classification Report for Encryption Items
This supplement provides certain instructions and requirements for self-classification reporting to BIS and the ENC Encryption Request Coordinator (Ft. Meade, MD) of encryption commodities, software and components exported or reexported pursuant to § 740.17(b)(1) of the EAR. See § 740.17(e)(3) of the EAR for additional instructions and requirements pertaining to this supplement, including when to report and how to report.
(a) Information to report. The following information is required in the file format as described in paragraph (b) of this supplement, for each encryption item subject to the requirements of this supplement and §§ 740.17(b)(1) and 740.17(e)(3) of the EAR:
(1) Name of product (50 characters or less).
(2) Model/series/part number (50 characters or less.) If necessary, enter ‘NONE’ or ‘N/A’.
(3) Primary manufacturer (50 characters or less). Enter ‘SELF’ if you are the primary manufacturer of the item. If there are multiple manufacturers for the item but none is clearly primary, either enter the name of one of the manufacturers or else enter ‘MULTIPLE’. If necessary, enter ‘NONE’ or ‘N/A’.
(4) Export Control Classification Number (ECCN), selected from one of the following:
(i) 5A002
(ii) 5B002
(iii) 5D002
(iv) 5A992
(v) 5D992
(5) Encryption authorization type identifier, selected from one of the following, which denote eligibility under License Exception ENC § 740.17(b)(1):
(i) ENC
(ii) MMKT
(6) Item type descriptor, selected from one of the following:
(i) Access point;
(ii) Cellular;
(iii) Computer or computing platforms;
(iv) Computer forensics;
(v) Cryptographic accelerator;
(vi) Data backup and recovery;
(vii) Database;
(viii) Disk/drive encryption;
(ix) Distributed computing;
(x) Email communications;
(xi) Fax communications;
(xii) File encryption;
(xiii) Firewall;
(xiv) Gateway;
(xv) Intrusion detection;
(xvi) Identity management;
(xvii) Key exchange;
(xviii) Key management;
(xix) Key storage;
(xx) Link encryption;
(xxi) Local area networking (LAN);
(xxii) Metropolitan area networking (MAN);
(xxiii) Mobility and mobile applications n.e.s.;
(xxiv) Modem;
(xxv) Multimedia n.e.s.;
(xxvi) Network convergence or infrastructure n.e.s.;
(xxvii) Network forensics;
(xxviii) Network intelligence;
(xxix) Network or systems management (OAM/OAM&P);
(xxx) Network security monitoring;
(xxxi) Network vulnerability and penetration testing;
(xxxii) Operating system;
(xxxiii) Optical networking;
(xxxiv) Radio communications;
(xxxv) Router;
(xxxvi) Satellite communications;
(xxxvii) Short range wireless n.e.s.;
(xxxviii) Storage Area Networking (SAN);
(xxxix) 3G/4G/5G/LTE/WiMAX;
(xl) Trusted computing;
(xli) Videoconferencing;
(xlii) Virtual private networking (VPN);
(xliii) Voice communications n.e.s.;
(xliv) Voice over Internet Protocol (VoIP);
(xlv) Wide Area Networking (WAN);
(xlvi) Wireless Local Area Networking (WLAN);
(xlvii) Wireless Personal Area Networking (WPAN);
(xlviii) Test equipment n.e.s.; or
(xlix) Other (please specify).
(7) Name of company or individual submitting the report (50 characters or less).
(8) Telephone number (50 characters or less).
(9) Email address (50 characters or less).
(10) Mailing address (50 characters or less).
(11) With respect to your company’s encryption products, do they incorporate encryption components produced or furnished by non-U.S. sources or vendors? Enter ‘YES’, ‘NO’, or if necessary, ‘N/A’ (250 characters or less).
(12) With respect to your company’s encryption products, are any of them manufactured in non-U.S. locations?” If yes, list the non-U.S. manufacturing locations by city and country. If necessary, enter ‘NONE’ or ‘N/A’ (250 characters or less).
(b) File format requirements. (1) The information described in paragraph (a) of this supplement must be provided in tabular or spreadsheet form, as an electronic file in comma separated values format (.csv), only. No file formats other than .csv will be accepted, as your encryption self-classification report must be directly convertible to tabular or spreadsheet format, where each row (and all entries within a row) properly correspond to the appropriate encryption item.
An encryption self-classification report data table created and stored in spreadsheet format (e.g., file extension .xls, .numbers, .qpw, .wb*, .wrk, and .wks) can be converted and saved into a comma delimited file format directly from the spreadsheet program. This .csv file is then ready for submission.
(2) Each line of your encryption self-classification report (.csv file) must consist of twelve entries as further described in this supplement.
(3) The first line of the .csv file must consist of the following twelve entries (i.e., match the following) without alteration or variation: PRODUCT NAME, MODEL NUMBER, MANUFACTURER, ECCN, AUTHORIZATION TYPE, ITEM TYPE, SUBMITTER NAME, TELEPHONE NUMBER, E-MAIL ADDRESS, MAILING ADDRESS, NON-U.S. COMPONENTS, NON-U.S. MANUFACTURING LOCATIONS.
These first twelve entries (i.e., first row) of an encryption self-classification report in .csv format correspond to the twelve column headers of a spreadsheet data file. The responses provided under column headers 7 through 12 (SUBMITTER NAME through NON-U.S. MANUFACTURING LOCATIONS) relate to the company as a whole, and thus should be entered the same for each product (i.e., only one point of contact, one ‘YES’ or ‘NO’ answer to whether any of the reported products incorporate non-U.S. sourced encryption components, and one list of non-U.S. manufacturing locations, is required for the report). However, even though the information is the same for each product, please duplicate this information into each row of the spreadsheet, leaving no entry blank, so each product has the same identifying company information.
(4) Each subsequent line of the .csv file must correspond to a single encryption item (or a distinguished series of products) as described in paragraph (c) of this supplement.
(5) Each line must consist of six entries as described in paragraph (a)(1), (a)(2), (a)(3), (a)(4), (a)(5), and (a)(6) of this supplement. No entries may be left blank. Each entry must be separated by a comma (,). Certain additional instructions are as follows:
(i) Line entries (a)(1) (‘PRODUCT NAME’) and (a)(4) (‘ECCN’) must be completed with relevant information.
(ii) For entries (a)(2) (‘MODEL NUMBER’) and (a)(3) (‘MANUFACTURER’), if these entries do not apply to your item or situation you may enter ‘NONE’ or ‘N/A’.
(iii) For entries (a)(5) (‘AUTHORIZATION TYPE’), if none of the provided choices apply to your situation, you may enter ‘OTHER’.
(6) Because of .csv file format requirements, the only permitted use of a comma is as the necessary separator between line entries. You may not use a comma for any other reason in your encryption self-classification report.
(c) Other instructions. (1) The information provided in accordance with this supplement and §§ 740.17(b)(1) and 740.17(e)(3) of the EAR must identify product offerings as they are typically distinguished in inventory, catalogs, marketing brochures and other promotional materials.
(2) For families of products where all the information described in paragraph (a) of this supplement is identical except for the model/series/part number (entry (a)(2)), you may list and describe these products with a single line in your .csv file using an appropriate model/series/part number identifier (e.g., ‘300’ or ‘3xx’) for entry (a)(2), provided each line in your .csv file corresponds to a single product series (or product type) within an overall product family.
(3) For example, if Company A produces, markets and sells both a ‘100’ (‘1xx’) and a ‘300’ (‘3xx’) series of product, in its encryption self-classification report (.csv file) Company A must list the ‘100’ product series in one line (with entry (a)(2) completed as ‘100’ or ‘1xx’) and the ‘300’ product series in another line (with entry (a)(2) completed as ‘300’ or ‘3xx’), even if the other required information is common to all products in the ‘100’ and ‘300’ series.
(4) Only products self-classified by the exporter or reexporter must be reported. Products submitted for classification by the Bureau of Industry and Security for which a CCATS is issued do not need to be reported.
PART 743 – SPECIAL REPORTING AND NOTIFICATION
§ 743.1 Wassenaar Arrangement.
(a) Scope. This section outlines special reporting requirements for exports of certain commodities, software and technology controlled under the Wassenaar Arrangement. Such reports must be submitted to BIS semiannually in accordance with the provisions of paragraph (f) of this section, and records of all exports subject to the reporting requirements of this section must be kept in accordance with part 762 of the EAR. This section does not require reports for reexports. This section is limited to the Wassenaar Arrangement reporting requirements for items listed on the Wassenaar Arrangement’s Dual-Use list. For reporting requirements for conventional arms listed on the Wassenaar Arrangement Munitions List that are subject to the EAR (i.e., “600 series” ECCNs), see § 743.4 of this part for Wassenaar Arrangement and United Nations reporting requirements.
For purposes of part 743, the term “you” has the same meaning as the term “exporter”, as defined in part 772 of the EAR.
(b) Requirements. You must submit two (2) copies of each report required under the provisions of this section and maintain accurate supporting records (see § 762.2(b) of the EAR) for all exports of items specified in paragraph (c) of this section for the following:
(1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS, APP, and the cooperating government portions (§ 740.11(c) of the EAR) of GOV (see part 740 of the EAR). Note that exports of technology and source code under License Exception TSR to foreign nationals located in the U.S. should not be reported; and
(2) [Reserved]
(3) Exports authorized under the Validated End-User authorization (see § 748.15 of the EAR).
(4) Exports authorized under License Exception STA (See § 740.20 of the EAR).
(c) Items for which reports are required. You must submit reports to BIS under the provisions of this section only for exports of items on the Sensitive List (see supplement no. 6 to part 774 of the EAR).
(d) Country Exceptions. You must report each export subject to the provisions of this section, except for exports to Wassenaar member countries, as identified in supplement no. 1 to part 743.
(e) Information that must be included in each report. (1) Each report submitted to BIS for items other than those identified in paragraph (e)(2) of this section must include the following information for each export during the time periods specified in paragraph (f) of this section:
(i) Export Control Classification Number and paragraph reference as identified on the Commerce Control List;
(ii) Number of units in the shipment; and
For exports of technology for which reports are required under § 743.1(c) of this section, the number of units in the shipment should be reported as one (1) for the initial export of the technology to a single ultimate consignee. Additional exports of the technology must be reported only when the type or scope of technology changes or exports are made to other ultimate consignees. Additionally, do not report the release of technology or source code subject to the EAR to foreign nationals in the U.S.
(iii) Country of ultimate destination.
(2) [Reserved]
(f) Frequency and timing of reports. You must submit reports subject to the provisions of this section semiannually. The reports must be labeled with the exporting company’s name and address at the top of each page and must include for each such export all the information specified in paragraph (e) of this section. The reports shall cover exports made during six month time periods spanning from January 1 through June 30 and July 1 through December 31.
(1) The first report must be submitted to and received by BIS no later than August 1, 1998 for the partial reporting period beginning January 15, 1998 and ending June 30, 1998. Thereafter, reports are due according to the provisions of paragraphs (f)(2) and (f)(3) of this section.
(2) Reports for the reporting period ending June 30 must be submitted to and received by BIS no later than August 1.
(3) Reports for the reporting period ending December 31 must be submitted to and received by BIS no later than February 1.
(g) Where to submit Wassenaar reports – (1) Email. Reports may be Emailed to [email protected].
(2) Mail. If mailed, two (2) copies of reports are required to be delivered via courier to: Bureau of Industry and Security, U.S. Department of Commerce, Attn: “Wassenaar Reports”, Room 2099B, 14th Street and Pennsylvania Ave. NW., Washington, DC 20230. BIS will not accept reports sent C.O.D.
(3) Facsimile. Reports may also be sent by facsimile to: (202) 482-3345 or 202-482-1373, Attn: “Wassenaar Reports”.
(h) Contacts. General information concerning the Wassenaar Arrangement and reporting obligations thereof is available from the Office of National Security and Technology Transfer Controls, Tel. (202) 482-4479, Fax: (202) 482-3345 or (202) 482-1373, or Email: [email protected].
§ 743.2 High performance computers: Post shipment verification reporting.
(a) Scope. This section outlines special post-shipment reporting requirements for exports of certain computers to destinations in Computer Tier 3, see § 740.7(d) for a list of these destinations. Post-shipment reports must be submitted in accordance with the provisions of this section, and all relevant records of such exports must be kept in accordance with part 762 of the EAR.
(b) Requirement. Exporters must file post-shipment reports and keep records in accordance with recordkeeping requirements in part 762 of the EAR for high performance computer exports to destinations in Computer Tier 3, as well as, exports of commodities used to enhance computers previously exported or reexported to Computer Tier 3 destinations, where the “Adjusted Peak Performance” (“APP”) is greater than that listed in ECCN 4A003.b in the Commerce Control List, supplement no. 1 to part 774 of the EAR.
(c) Information that must be included in each post-shipment report. No later than the last day of the month following the month in which the export takes place, the exporter must submit the following information to BIS at the address listed in paragraph (d) of this section:
(1) Exporter name, address, and telephone number;
(2) License number;
(3) Date of export;
(4) End-user name, point of contact, address, telephone number;
(5) Carrier;
(6) Air waybill or bill of lading number;
(7) Commodity description, quantities – listed by model numbers, serial numbers, and APP level in WT; and
(8) Certification line for exporters to sign and date. The exporter must certify that the information contained in the report is accurate to the best of his or her knowledge.
Exporters are required to provide the PRC End-User Certificate Number to BIS as part of their post-shipment report. When providing the PRC End-User Certificate Number to BIS, you must identify the transaction in the post shipment report to which that PRC End-User Certificate Number applies.
(d) Address. A copy of the post-shipment report(s) required under paragraph (b) of this section shall be delivered, via courier, to: U.S. Department of Commerce, Office of Enforcement Analysis, HPC Team, 14th Street and Constitution Ave., NW., Room 4065, Washington, DC 20230. Note that BIS will not accept reports sent C.O.D.
§ 743.3 Thermal imaging camera reporting.
(a) General requirement. Exports of thermal imaging cameras must be reported to BIS as provided in this section.
(b) Transactions to be reported. Exports that are not authorized by an individually validated license of more than 100 thermal imaging cameras in a monocular, biocular or binocular configuration controlled by ECCN 6A003.b.4.b to a destination in Country Group A:1 (see supplement no. 1 to part 740 of the EAR), except Canada, must be reported to BIS.
(c) Party responsible for reporting. The exporter as defined in § 772.1 of the EAR must ensure the reports required by this section are submitted to BIS.
(d) Information to be included in the reports. For each export described in paragraph (b) of this section, the report must identify: the name, address, and telephone number of the exporter; the date of each export; the name, address and telephone number of the consignee or end user; the model number(s) of each camera exported; the serial number of each exported camera that has a serial number; and the quantity of each model number of camera exported. (
(e) Where to submit reports. Submit the reports via e-mail to [email protected].
(f) Reporting periods and due dates. This reporting requirement applies to exports made on or after May 22, 2009. Exports must be reported within one month of the reporting period in which the export takes place. The first reporting period begins on May 22, 2009 and runs through June 30, 2009. Subsequent reporting periods shall begin on January 1 and July 1 of each year, and shall run through June 30, and December 31 respectively. Exports in each reporting period must be reported to BIS no later than the last day of the month following the month in which the reporting period ends.
§ 743.4 Conventional arms reporting.
(a) Scope. This section outlines special reporting requirements for exports of certain items listed on the Wassenaar Arrangement Munitions List and the UN Register of Conventional Arms. Participating States of the Wassenaar Arrangement exchange information every six months on deliveries to non-participating states of conventional arms set forth in the Wassenaar Arrangement’s Basic Documents under Part II Guideline and Procedures, including the Initial Elements, Appendix 3: Specific Information Exchange on Arms Content by Category (at www.wassenaar.org), derived from the categories of the UN Register of Conventional Arms (at www.un.org/disarmament/convarms/Register/). Similar, although not identical, information is also reported by the U.S. Government to the United Nations on an annual basis. The reported information should include the quantity and the name of the recipient state and, except in the category of missiles and missile launchers, details of model and type. Such reports must be submitted to BIS semi-annually in accordance with the provisions of paragraph (f) of this section for items identified in paragraph (c)(1) of this section and annually for items identified in paragraph (c)(2) of this section, and records of all exports subject to the reporting requirements of this section must be kept in accordance with part 762 of the EAR. This section does not require reports for reexports or transfers (in-country). This section does not require reports when the exporter uses the alternative submission method described under paragraph (h) of this section. The alternative submission method under paragraph (h) requires the exporter to submit the information required for conventional arms reporting in this section as part of the required EEI submission in AES, pursuant to § 758.1(b)(9) of the EAR. The Department of Commerce leaves standard method for submitting reports in place in case any additional items are moved from the USML to the CCL, that may require conventional arms reporting.
For purposes of this section, the term “you” has the same meaning as the term “exporter”, as defined in part 772 of the EAR.
(b) Requirements. You must submit one electronic copy of each report required under the provisions of this section, or submit this information using the alternative submission method specified in paragraph (h) of this section, and maintain accurate supporting records (see § 762.2(b) of the EAR) for all exports of items specified in paragraph (c) of this section for the following:
(1) Exports authorized under License Exceptions LVS, TMP, RPL, STA, or GOV (see part 740 of the EAR);
(2) [Reserved]
(3) Exports authorized under the Validated End User authorization (see § 748.15 of the EAR).
(c) Items for which reports are required – (1) Wassenaar Arrangement reporting. You must submit reports to BIS under the provisions of this section only for exports of items classified under the following ECCNs:
(i) ECCN 0A501.a and .b.
(ii) [Reserved]
(2) United Nations reporting. You must submit reports to BIS under the provisions of this section only for exports of items classified under the following ECCNs:
(i) ECCN 0A501.a and .b.
(ii) [Reserved]
(d) Country Exceptions for Wassenaar Arrangement reporting. You must report each export subject to the provisions of this section, except for exports to Wassenaar member countries, identified in supplement no. 1 to part 743 for reports required under paragraph (c)(1) of this section.
(e) Information that must be included in each report. (1) Each report submitted to BIS for items other than those identified in paragraph (e)(2) of this section must include the following information for each export during the time periods specified in paragraph (f) of this section:
(i) Export Control Classification Number and paragraph reference as identified on the Commerce Control List;
(ii) Number of units in the shipment; and
For exports of technology for which reports are required under § 743.1(c) of this section, the number of units in the shipment should be reported as one (1) for the initial export of the technology to a single ultimate consignee. Additional exports of the technology must be reported only when the type or scope of technology changes or exports are made to other ultimate consignees.
(iii) Country of ultimate destination.
(f) Frequency and timing of reports – (1) Semi-annual reports for items identified in paragraph (c)(1) of this section. You must submit reports subject to the provisions of this section semiannually. The reports must be labeled with the exporting company’s name and address at the top of each page and must include for each such export all the information specified in paragraph (e) of this section. The reports shall cover exports made during six-month time periods from January 1 through June 30 and July 1 through December 31.
(i) The first report must be submitted to and received by BIS no later than 180 days after the effective date of the rule that revises paragraph (c)(1) of this section to add the ECCN for the item being reported. Thereafter, reports are due according to the provisions of paragraphs (f)(2) and (f)(3) of this section.
(ii) Reports for the reporting period ending June 30 must be submitted to and received by BIS no later than August 1.
(iii) Reports for the reporting period ending December 31 must be submitted to and received by BIS no later than February 1.
(2) Annual reports for items identified in paragraph (c)(2) of this section. You must submit reports subject to the provisions of this section annually. The reports must be labeled with the exporting company’s name and address at the top of each page and must include for each such export all the information specified in paragraph (e) of this section. The reports shall cover exports made during twelve month time periods from January 1 through December 31.
(i) The first report must be submitted to and received by BIS no later than 180 days after the effective date of the rule that revises paragraph (c)(1) of this section to add the ECCN for the item being reported. Thereafter, reports are due according to the provisions of paragraph (f)(2) of this section.
(ii) Reports for the reporting period ending December 31 must be submitted to and received by BIS no later than February 1.
(g) Submission of reports. Information should be submitted in the form of a spreadsheet and emailed to [email protected] or [email protected].
(h) Alternative submission method. This paragraph (h) describes an alternative submission method for meeting the conventional arms reporting requirements of this section. The alternative submission method requires the exporter, when filing the required EEI submission in AES, pursuant to § 758.1(b)(9) of the EAR, to include the items paragraph classification (i.e., .a, or .b) for ECCN 0A501 as the first text to appear in the Commodity description block. If the exporter properly includes this information in the EEI filing in AES, the Department of Commerce will be able to obtain that export information directly from AES to meet the U.S. Government’s commitments to the Wassenaar Arrangement and United Nations for conventional arms reporting. An exporter that complies with the requirements in § 758.1(g)(4)(ii) of the EAR does not have to submit separate annual and semi-annual reports to the Department of Commerce pursuant to this section.
(i) Contacts. General information concerning the Wassenaar Arrangement and reporting obligations thereof is available from the Office of National Security and Technology Transfer Controls, Tel.: (202) 482-0092, Fax: (202) 482-4094. Information concerning the reporting requirements for items identified in paragraphs (c)(1) and (2) of this section is available from the Office of Nonproliferation and Treaty Compliance (NPTC), Tel.: (202) 482-4188, Fax: (202) 482-4145.
§ 743.5 Prior notifications to Congress of Exports of “600 Series Major Defense Equipment.”
(a) General requirement. Applications to export items on the Commerce Control List that are “600 Series Major Defense Equipment” will be notified to Congress as provided in this section before licenses for such items are issued.
(1) Exports of “600 Series Major Defense Equipment” to U.S. Government end users under License Exception GOV (§ 740.11(b) of the EAR) do not require such notification.
(2) Exports of “600 Series Major Defense Equipment” that have been or will be described in a notification filed by the U.S. State Department under the Arms Export Control Act do not require such notification by BIS.
(b) BIS will notify Congress prior to issuing a license authorizing the export of items to a country outside the countries listed in Country Group A:5 (see supplement no. 1 to part 740 of the EAR) that are sold under a contract that includes $14,000,000 or more of “600 Series Major Defense Equipment.”
(c) BIS will notify Congress prior to issuing a license authorizing the export of items to a country listed in Country Group A:5 (see supplement no. 1 to part 740 of the EAR) that are sold under a contract that includes $25,000,000 or more of “600 Series Major Defense Equipment.”
(d) In addition to information required on the application, the exporter must include a copy of the signed contract (including a statement of the value of the “600 Series Major Defense Equipment” items to be exported under the contract) for any proposed export described in paragraphs (b) or (c) of this section.
(e) Address. Munitions Control Division at [email protected].
§ 743.6 Prior notifications to Congress of exports of certain semiautomatic firearms.
(a) General requirement. Applications to export semiautomatic firearms controlled by ECCN 0A501.a will be notified to Congress as provided in this section before licenses for such items are issued, except as specified in paragraphs (a)(1) to (2) of this section.
(1) Exports of semiautomatic firearms controlled by ECCN 0A501.a to personnel and agencies of the U.S. Government under License Exception GOV (§ 740.11(b) of the EAR) do not require such notification.
(2) Exports of semiautomatic firearms controlled by ECCN 0A501.a for official use by an agency of NATO do not require such notification.
(b) Notification criteria. Unless excluded in paragraphs (a)(1) to (2) of this section, BIS will notify Congress prior to issuing a license authorizing the export of items to Mexico, South Africa, or Turkey or any other country not listed in Country Group A:5 or A:6 (see supplement no.1 to part 740 of the EAR) if the items are sold under a contract or are otherwise part of an export transaction that includes $4,000,000 or more of semiautomatic firearms controlled by ECCN 0A501.a.
(c) License application information. In addition to information required on the application, the exporter must include a copy of the signed contract or, if there is no contract, a written explanation from the applicant (including a statement of the value of the firearms controlled by ECCN 0A501.a to be exported) for any proposed export described in paragraph (b) of this section. License applications for semiautomatic firearms controlled by ECCN 0A501.a may include other nonautomatic firearms, shotguns, other 0x5zz items, or other items subject to the EAR, but the applicant must clearly identify the semiautomatic firearms controlled by ECCN 0A501.a. The applicant clearly distinguishing the semiautomatic firearms controlled by ECCN 0A501.a from any other items on the license application will assist BIS in assessing whether the license application requires congressional notification under this section and identifying the information that will need to be reported to Congress. Any activity intended to circumvent notification requirements is prohibited. Such devices include, but are not limited to, the splitting or structuring of contracts to avoid exceeding applicable notification dollar value limits described in paragraph (a) of this section.
(d) Additional information. For questions on this section, you may contact the Nuclear and Missile Technology Controls Division, Guns and Ammunition licensing group at [email protected].
Supplement No. 1 to Part 743 – Wassenaar Arrangement Participating States
PART 744 – CONTROL POLICY: END-USER AND END-USE BASED
§ 744.1 General provisions.
(a)(1) Introduction. In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part contains prohibitions against exports, reexports, and selected transfers to certain end users and end uses as introduced under General Prohibitions Five (End use/End users) and Nine (Orders, Terms, and Conditions), unless authorized by BIS. Sections 744.2, 744.3, and 744.4 prohibit exports, reexports, and transfers (in-country) of items subject to the EAR to defined nuclear, missile, and chemical and biological weapons proliferation activities. Section 744.5 prohibits exports, reexports, and transfers (in-country) of items subject to the EAR to defined nuclear maritime end-uses. Consistent with General Prohibition Seven (Support of Proliferation Activities and certain Military-Intelligence End Uses and End Users (“U.S. person” activities)), § 744.6 prohibits specific activities by U.S. persons in support of certain nuclear, missile, chemical and biological weapons end uses, and whole plants for chemical weapons precursors, as well as certain military-intelligence end uses and military-intelligence end users. Section 744.7 prohibits exports and reexports of certain items for certain aircraft and vessels. Section 744.8 prohibits exports and reexports without authorization to certain parties who have been designated as proliferators of weapons of mass destruction or as supporters of such proliferators pursuant to Executive Order 13382. Section 744.9 sets forth restrictions on exports, reexports, and transfers (in-country) of certain cameras, systems, or related components. Section 744.10 prohibits exports and reexports of any item subject to the EAR to Russian entities, included in supplement no. 4 of this part. Section 744.11 imposes license requirements, to the extent specified in supplement no. 4 to this part on entities listed in supplement no. 4 to this part for activities contrary to the national security or foreign policy interests of the United States. Sections 744.12, 744.13, and 744.14 prohibit exports and reexports of any item subject to the EAR to persons designated as Specially Designated Global Terrorists, Specially Designated Terrorists, or Foreign Terrorist Organizations, respectively. Section 744.15 sets forth the conditions for exports, reexports, and transfers (in-country) to persons listed on the Unverified List (UVL) in supplement no. 6 to this part, the criteria for revising the UVL, as well as procedures for requesting removal or modification of a listing on the UVL. Section 744.16 sets forth the license requirements, policies and procedures for the Entity List. Section 744.17 sets forth restrictions on exports, reexports, and transfers (in-country) of microprocessors and associated “software” and “technology” for military end uses and to military end users. Section 744.18 sets forth restrictions on exports, reexports, and transfers to persons designated in or pursuant to Executive Order 13315. Section 744.19 sets forth BIS’s licensing policy for applications for exports or reexports when a party to the transaction is an entity that has been sanctioned pursuant to any of three specified statutes that require certain license applications to be denied. Section 744.20 requires a license, to the extent specified in supplement no. 4 to this part, for exports and reexports of items subject to the EAR destined to certain sanctioned entities listed in supplement no. 4 to this part. In addition, these sections include license review standards for export license applications submitted as required by these sections. It should also be noted that part 764 of the EAR prohibits exports, reexports and certain transfers of items subject to the EAR to denied parties. Section 744.21 imposes restrictions for exports, reexports and transfers (in-country) of items on the CCL for a military end use or military end user in Burma, the People’s Republic of China (PRC or China), Russia, or Venezuela. Section 744.22 imposes restrictions on exports, reexports, and transfers (in-country) for a military-intelligence end use or military-intelligence end user in Burma, China, Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2 (see supplement no. 1 to part 740 of the EAR). Section 744.23 sets forth restrictions on exports, reexports, and transfers (in-country) for certain “supercomputer” and semiconductor manufacturing end use.
(2) If controls set forth under more than one section of part 744 apply to a person, the license requirements for such a person will be determined based on the requirements of all applicable sections of part 744, and license applications will be reviewed under all applicable licensing policies.
(b) Steps. The following are steps you should follow in using the provisions of this part:
(1) Review end-use and end-user prohibitions. First, review each end-use and end-user prohibition described in this part to learn the scope of these prohibitions.
(2) Determine applicability. Second, determine whether any of the end-use and end-user prohibitions described in this part are applicable to your planned export, reexport, shipment, transmission, transfer (in-country) or other activity. See supplement no. 1 to part 732 for guidance. For exports, reexports, shipments, transmissions, or transfers (in-country) that are in transit at the time you are informed by BIS that a license is required in accordance with §§ 744.2(b), 744.3(b), 744.4(b), 744.6(c), 744.9(b), 744.11(c), 744.17(b), 744.21(b), or 744.22(b) of the EAR, you may not proceed any further with the transaction unless you first obtain a license from BIS (see part 748 of the EAR for instructions on how to apply for a license). The provisions of § 748.4(d)(2) of the EAR shall not apply to license applications submitted pursuant to a notification from BIS that occurs while an export, reexport, or transfer (in-country) is in transit.
§ 744.2 Restrictions on certain nuclear end-uses.
(a) General prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) to any destination, other than countries in supplement no. 3 to this part, an item subject to the EAR without a license if, at the time of export, reexport, or transfer (in-country) you know
(1) Nuclear explosive activities. Nuclear explosive activities, including research on or development, design, manufacture, construction, testing or maintenance of any nuclear explosive device, or components or subsystems of such a device.
(2) Unsafeguarded nuclear activities. Activities including research on, or development, design, manufacture, construction, operation, or maintenance of any nuclear reactor, critical facility, facility for the fabrication of nuclear fuel, facility for the conversion of nuclear material from one chemical form to another, or separate storage installation, where there is no obligation to accept International Atomic Energy Agency (IAEA) safeguards at the relevant facility or installation when it contains any source or special fissionable material (regardless of whether or not it contains such material at the time of export), or where any such obligation is not met.
(3) Safeguarded and unsafeguarded nuclear activities. Safeguarded and unsafeguarded nuclear fuel cycle activities, including research on or development, design, manufacture, construction, operation or maintenance of any of the following facilities, or components for such facilities:
(i) Facilities for the chemical processing of irradiated special nuclear or source material;
(ii) Facilities for the production of heavy water;
(iii) Facilities for the separation of isotopes of source and special nuclear material; or
(iv) Facilities for the fabrication of nuclear reactor fuel containing plutonium.
(b) Additional prohibition on persons informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for a specific export, reexport, or transfer (in-country), or for the export, reexport, or transfer (in-country) of specified items to a certain end-user, because there is an unacceptable risk of use in, or diversion to, the activities specified in paragraph (a) of this section. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. However, the absence of any such notification does not excuse persons from compliance with the license requirements of paragraph (a) of this section.
(c) Exceptions. Despite the prohibitions described in paragraphs (a) and (b) of this section, you may export technology subject to the EAR under the operation technology and software or sales technology and software provisions of License Exception TSU (see § 740.13(a) and (b)), but only to and for use in countries listed in supplement no. 3 to part 744 of the EAR (Countries Not Subject to Certain Nuclear End-Use Restrictions in § 744.2(a)). Notwithstanding the provisions of part 740 of the EAR, the provisions of § 740.13(a) and (b) will only overcome General Prohibition Five for countries listed in supplement no. 3 to part 744 of the EAR.
(d) License review standards. The following factors are among those used by the United States to determine whether to grant or deny license applications required under this section:
(1) Whether the commodities, software, or technology to be transferred are appropriate for the stated end-use and whether that stated end-use is appropriate for the end-user;
(2) The significance for nuclear purposes of the particular commodity, software, or technology;
(3) Whether the commodities, software, or technology to be exported are to be used in research on or for the development, design, manufacture, construction, operation, or maintenance of any reprocessing or enrichment facility;
(4) The types of assurances or guarantees given against use for nuclear explosive purposes or proliferation in the particular case;
(5) Whether the end-user has been engaged in clandestine or illegal procurement activities;
(6) Whether an application for a license to export to the end-user has previously been denied, or whether the end-use has previously diverted items received under a license, License Exception, or NLR to unauthorized activities;
(7) Whether the export would present an unacceptable risk of diversion to a nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity described in § 744.2(a) of the EAR;
(8) The nonproliferation credentials of the importing country, based on consideration of the following factors:
(i) Whether the importing country is a party to the Nuclear Non-Proliferation Treaty (NPT) or to the Treaty for the Prohibition of Nuclear Weapons in Latin America (Treaty of Tlatelolco) (see supplement no. 2 to part 742 of the EAR), or to a similar international legally-binding nuclear nonproliferation agreement;
(ii) Whether the importing country has all of its nuclear activities, facilities or installations that are operational, being designed, or under construction, under International Atomic Energy Agency (IAEA) safeguards or equivalent full scope safeguards;
(iii) Whether there is an agreement for cooperation in the civil uses of atomic energy between the U.S. and the importing country;
(iv) Whether the actions, statements, and policies of the government of the importing country are in support of nuclear nonproliferation and whether that government is in compliance with its international obligations in the field of nonproliferation;
(v) The degree to which the government of the importing country cooperates in nonproliferation policy generally (e.g., willingness to consult on international nonproliferation issues);
(vi) Intelligence data on the importing country’s nuclear intentions and activities; and
(9) Whether the recipient state has sufficient national export controls (as described in paragraph 3 of United Nations Security Council Resolution 1540 (2004)) to prevent an unacceptable risk of retransfer or diversion to a nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity described in § 744.2(a) of the EAR.
§ 744.3 Restrictions on certain rocket systems (including ballistic missiles, space launch vehicles and sounding rockets) and unmanned aerial vehicles (including cruise missiles, target drones and reconnaissance drones) end-uses.
(a) General prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) an item subject to the EAR without a license if, at the time of export, reexport or transfer (in-country) you know that the item:
(1) Will be used in the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of rocket systems or unmanned aerial vehicles capable of a range of at least 300 kilometers in or by a country listed in Country Group D:4 of supplement no. 1 to part 740 of the EAR.
(2) Will be used anywhere in the world except by governmental programs for nuclear weapons delivery of NPT Nuclear Weapons States that are also members of NATO, in the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of rocket systems or unmanned aerial vehicles, regardless of range capabilities, for the delivery of chemical, biological, or nuclear weapons; or
(3) Will be used in the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of any rocket systems or unmanned aerial vehicles in or by a country listed in Country Group D:4, but you are unable to determine:
(i) The characteristics (i.e., range capabilities) of the rocket systems or unmanned aerial vehicles, or
(ii) Whether the rocket systems or unmanned aerial vehicles, regardless of range capabilities, will be used in a manner prohibited under paragraph (a)(2) of this section.
For the purposes of this section, “Rocket Systems” include, but are not limited to, ballistic missiles, space launch vehicles, and sounding rockets. Also, for the purposes of this section, “unmanned aerial vehicles” include, but are not limited to, cruise missiles, target drones and reconnaissance drones.
(b) Additional prohibition on persons informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for a specific export, reexport or transfer (in-country) or for the export, reexport, or transfer (in-country) of specified items to a certain end-user, because there is an unacceptable risk of use in, or diversion to, the activities specified in paragraphs (a)(1) or (a)(2) of this section. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. However, the absence of any such notification does not excuse persons from compliance with the license requirements of paragraphs (a)(1), (a)(2), or (a)(3) of this section.
(c) Exceptions. No License Exceptions apply to the prohibitions described in paragraph (a) and (b) of this section.
(d) License review standards. (1) Applications to export, reexport or transfer (in-country) the items subject to this section will be considered on a case-by-case basis to determine whether the export, reexport or transfer (in-country) would make a material contribution to the proliferation of certain rocket systems, or unmanned aerial vehicles. When an export, reexport or transfer (in-country) is deemed to make a material contribution, the license will be denied.
(2) The following factors are among those that will be considered to determine what action should be taken on an application required by this section:
(i) The specific nature of the end use;
(ii) The significance of the export, reexport or transfer in terms of its contribution to the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of certain rocket systems or unmanned aerial vehicles;
(iii) The capabilities and objectives of the rocket systems or unmanned aerial vehicles of the recipient country;
(iv) The nonproliferation credentials of the importing country;
(v) The types of assurances or guarantees against design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing for certain rocket system or unmanned aerial vehicle delivery purposes that are given in a particular case; and
(vi) The existence of a pre-existing contract.
§ 744.4 Restrictions on certain chemical and biological weapons end-uses.
(a) General prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) an item subject to the EAR without a license if, at the time of export, reexport, or transfer (in-country) you know that the item will be used in the design, “development,” “production,” stockpiling, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons in or by any country or destination, worldwide; or in the design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of a whole plant to make chemical weapons precursors specified in ECCN 1C350 in or by countries other than those listed in Country Group A:3 (Australia Group) (see supplement no. 1 to part 740 of the EAR).
(b) Additional prohibition on persons informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for a specific export, reexport, or transfer (in-country), or for the export, reexport, or transfer (in-country) of specified items to a certain end-user, because there is an unacceptable risk of use in or diversion to the activities specified in paragraph (a) of this section, anywhere in the world. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. However, the absence of any such notification does not excuse persons from compliance with the license requirements of paragraph (a) of this section.
(c) Exceptions. No License Exceptions apply to the prohibitions described in paragraphs (a) and (b) of this section.
(d) License review standards. (1) Applications to export, reexport, or transfer (in-country) items subject to this section will be considered on a case-by-case basis to determine whether the export, reexport, or transfer (in-country) would make a material contribution to the design, “development,” “production,” stockpiling, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons. When an export, reexport, or transfer (in-country) is deemed to make such a contribution, the license will be denied.
(2) The following factors are among those that will be considered to determine what action should be taken on an application required under this section:
(i) The specific nature of the end-use;
(ii) The significance of the export, reexport, or transfer in terms of its contribution to the design, “development,” “production,” stockpiling, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons;
(iii) The nonproliferation credentials of the importing country or the country in which the transfer would take place;
(iv) The types of assurances or guarantees against the design, “development,” “production,” stockpiling, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons; and
(v) The existence of a pre-existing contract. See supplement no. 1 to part 742 of the EAR for relevant contract sanctity dates.
§ 744.5 Restrictions on certain maritime nuclear propulsion end-uses.
(a) General prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) certain technology subject to the EAR without a license if at the time of the export, reexport or transfer (in-country) you know the item is for use in connection with a foreign maritime nuclear propulsion project. This prohibition applies to any technology relating to maritime nuclear propulsion plants, their land prototypes, and special facilities for their construction, support, or maintenance, including any machinery, devices, components, or equipment specifically developed or designed for use in such plants or facilities.
(b) Exceptions. The exceptions provided in part 740 of the EAR do not apply to the prohibitions described in paragraph (a) of this section.
(c) License review standards. It is the policy of the United States Government not to participate in and not to authorize United States firms or individuals to participate in foreign naval nuclear propulsion plant projects, except under an Agreement for Cooperation on naval nuclear propulsion executed in accordance with § 123(d) of the Atomic Energy Act of 1954. However, it is the policy of the United States Government to encourage United States firms and individuals to participate in maritime (civil) nuclear propulsion plant projects in friendly foreign countries provided that United States naval nuclear propulsion information is not disclosed.
§ 744.6 Restrictions on specific activities of “U.S. persons.”
(a) Scope. The general prohibitions in this section apply only to the extent that the underlying activities are not subject to a license requirement or general prohibition administered by another federal department or agency, see, for example, Assistance to Foreign Atomic Energy Activities regulations (10 CFR part 810), administered by the Department of Energy; International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130), administered by the Department of State; and certain sanctions regulations (to include, but not limited to, 31 CFR parts 500 through 599), administered by the Department of the Treasury. Accordingly, “U.S. persons” are required to seek a license from BIS only for the activities described in this section that are not subject to a license requirement or general prohibition administered by the Department of Energy, Department of State, Department of the Treasury, or other federal department or agency. The issuance of a license by BIS, or any other federal department or agency, does not authorize “U.S. persons” to engage in any activity that is otherwise prohibited by law, including criminal statutes.
(b) General prohibitions. No “U.S. person” may, without a license from BIS, ‘support’:
(1) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of nuclear explosive devices in or by any country not listed in supplement no. 3 to this part;
(2) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of “missiles” in or by a country listed in Country Groups D:4 or E:2;
(3) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons in or by any country or destination worldwide;
(4) The design, “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, refurbishing, shipment, or transfer (in-country) of a whole plant to make chemical weapons precursors identified in ECCN 1C350, in or by countries other than those listed in Country Group A:3 (Australia Group); or
(5) A ‘military-intelligence end use’ or a ‘military-intelligence end user,’ as defined in § 744.22(f), in Belarus, Burma, Cambodia, the People’s Republic of China, Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2 (see supplement no. 1 to part 740 of the EAR).
(6) ‘Support’ means:
(i) Shipping or transmitting from one foreign country to another foreign country any item not subject to the EAR you know will be used in or by any of the end uses or end users described in paragraphs (b)(1) through (5) of this section, including the sending or taking of such item to or from foreign countries in any manner;
(ii) Transferring (in-country) any item not subject to the EAR you know will be used in or by any of the end uses or end users described in paragraphs (b)(1) through (5) of this section;
(iii) Facilitating such shipment, transmission, or transfer (in-country); or
(iv) Performing any contract, service, or employment you know may assist or benefit any of the end uses or end users described in paragraphs (b)(1) through (5) of this section, including, but not limited to: Ordering, buying, removing, concealing, storing, using, selling, loaning, disposing, servicing, financing, transporting, freight forwarding, or conducting negotiations in furtherance of.
(c) Additional prohibitions on “U.S. persons” informed by BIS. (1) BIS may inform “U.S. persons,” either individually by specific notice, through amendment to the EAR published in the
(2) Consistent with paragraph (c)(1) of this section, BIS is hereby informing “U.S. persons” that a license is required for the following activities, which could involve ‘support’ for the weapons of mass destruction-related end uses set forth in paragraph (b) of this section.
(i) Shipping, transmitting, or transferring (in-country) to or within the PRC or Macau any item not subject to the EAR that you know will be used in the “development” or “production” of integrated circuits at a semiconductor fabrication “facility” located in the PRC or Macau that fabricates integrated circuits meeting any of the following criteria:
(A) Logic integrated circuits using a non-planar architecture or with a “production” technology node of 16/14 nanometers or less;
(B) NOT-AND (NAND) memory integrated circuits with 128 layers or more; or
(C) Dynamic random-access memory (DRAM) integrated circuits using a “production” technology node of 18 nanometer half-pitch or less; or
(ii) Facilitating the shipment, transmission, or transfer (in-country) of any item not subject to the EAR that you know will be used in the “development” or “production” of integrated circuits at a semiconductor fabrication “facility” located in the PRC or Macau that fabricates integrated circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) through (C) of this section;
(iii) Servicing any item not subject to the EAR that you know will be used in the “development” or “production” of integrated circuits at a semiconductor fabrication “facility” located in the PRC or Macau that fabricates integrated circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) through (C) of this section;
(iv) Shipping, transmitting, or transferring (in-country) to or within the PRC or Macau any item not subject to the EAR and meeting the parameters of any ECCN in Product Groups B, C, D, or E in Category 3 of the CCL that you know will be used in the “development” or “production” of integrated circuits at any semiconductor fabrication “facility” located in the PRC or Macau, but you do not know whether such semiconductor fabrication “facility” fabricates integrated circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) through (C) of this section;
(v) Facilitating the shipment, transmission, or transfer (in-country) to or within the PRC or Macau of any item not subject to the EAR and meeting the parameters of any ECCN in Product Groups B, C, D, or E in Category 3 of the CCL that you know will be used in the “development” or “production,” of integrated circuits at any semiconductor fabrication “facility” located in the PRC or Macau, but you do not know whether such semiconductor fabrication “facility” fabricates integrated circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) through (C) of this section;
(vi) Servicing any item not subject to the EAR and meeting the parameters of any ECCN in Product Groups B, C, D, or E in Category 3 of the CCL that you know will be used in the “development” or “production” of integrated circuits at any semiconductor fabrication “facility” located in the PRC or Macau, but you do not know whether such semiconductor fabrication “facility” fabricates integrated circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) through (C) of this section;
(vii) Shipping, transmitting, or transferring (in-country) to or within the PRC or Macau any item not subject to the EAR and meeting the parameters of ECCN 3B090, 3D001 (for 3B090), or 3E001 (for 3B090) regardless of end use or end user;
(viii) Facilitating the shipment, transmission, or transfer (in-country) to or within the PRC or Macau of any item not subject to the EAR and meeting the parameters of ECCN 3B090, 3D001 (for 3B090), or 3E001 (for 3B090), regardless of end use or end user; or
(ix) Servicing any item not subject to the EAR located in the PRC or Macau and meeting the parameters of ECCN 3B090, 3D001 (for 3B090), or 3E001 (for 3B090), regardless of end use or end user.
(d) Exceptions. (1) No License Exceptions apply to the prohibitions described in paragraphs (b)(1) through (4) and (c)(2)(i) through (vi) of this section.
(2) Notwithstanding the prohibitions in paragraphs (b)(5) and (c)(2)(vii) through (ix) of this section, “U.S. persons” who are employees of a department or agency of the U.S. Government may ‘support’ a ‘military-intelligence end use’ or a ‘military-intelligence end user,’ as described in paragraph (b)(5) of this section, or engage in the activities described in paragraphs (c)(2)(vii) through (ix) of this section, if the ‘support’ is provided in the performance of official duties in furtherance of a U.S. Government program that is authorized by law and subject to control by the President by other means. This paragraph (d)(2) does not authorize a department or agency of the U.S. Government to provide ‘support’ that is otherwise prohibited by other administrative provisions or by statute. ‘Contractor support personnel’ of a department or agency of the U.S. Government are eligible for this authorization when in the performance of their duties pursuant to the applicable contract or other official duties. ‘Contractor support personnel’ for the purposes of this paragraph (d)(2) has the same meaning given to that term in § 740.11(b)(2)(ii) of the EAR. This authorization is not available when a department or agency of the U.S. Government acts as an agent on behalf of a non-U.S. Government person.
(e) License review standards. (1) Applications for a “U.S. person” to ‘support’ (as defined in paragraph (b)(6) of this section) any of the end uses or end users described in paragraphs (b)(1) through (4) of this section will be denied if such support would make a material contribution to the end uses and end users described in paragraphs (b)(1) through (4) of this section.
(2) Applications for a “U.S. person” to ‘support’ (as defined in paragraph (b)(6) of this section) a ‘military-intelligence end use’ or a ‘military-intelligence end user’ as described in paragraph (b)(5) of this section will be reviewed with a presumption of denial.
(3) Applications for licenses submitted pursuant to the notice of a license requirement set forth in paragraph (c)(2) of this section will be reviewed with a presumption of denial, except for end users in the PRC or Macau headquartered in the United States or a country in Country Group A:5 or A:6, which will be considered on a case-by-case basis taking into account factors including technology level, customers, and compliance plans.
§ 744.7 Restrictions on certain exports to and for the use of certain foreign vessels or aircraft.
(a) General end-use prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) an item subject to the EAR to, or for the use of, a foreign vessel or aircraft, whether an operating vessel or aircraft or one under construction, located in any port including a Canadian port, unless a License Exception or NLR permits the shipment to be made:
(1) To the country in which the vessel or aircraft is located, and
(2) To the country in which the vessel or aircraft is registered, or will be registered in the case of a vessel or aircraft under construction, and
(3) To the country, including a national thereof, which is currently controlling, leasing, or chartering the vessel or aircraft.
(b) Exception for U.S. and Canadian carriers. (1) Exception to general end-use prohibition. Notwithstanding the general end-use prohibition in paragraph (a) of this section, export, reexport, and transfer (in-country) may be made of the commodities described in paragraph (b)(3) of this section, for use by or on a specific vessel or plane of U.S. or Canadian registry located at any seaport or airport outside the United States or Canada except a port in Country Group D:1 (excluding the PRC), (see supplement no. 1 to part 740) provided that such commodities are all of the following:
(i) Ordered by the person in command or the owner or agent of the vessel or plane to which they are consigned;
(ii) Intended to be used or consumed on board such vessel or plane and necessary for its proper operation;
(iii) In usual and reasonable kinds and quantities during times of extreme need, except that usual and reasonable quantities of ship’s bunkers or aviation fuel are considered to be only that quantity necessary for a single onward voyage or flight; and
(iv) Shipped as cargo for which Electronic Export Information (EEI) is filed to the Automated Export System (AES) in accordance with the requirements of the Foreign Trade Regulations (FTR) (15 CFR part 30), except EEI is not required to be filed when any of the commodities, other than fuel, is exported by U.S. airlines to their own aircraft abroad for their own use, see 15 CFR 30.37(o) of the FTR.
(2) Exports to U.S. or Canadian Airline’s Installation or Agent. Exports, reexports, and transfers (in-country) of the commodities described in paragraph (e) of this section, except fuel, may be made to a U.S. or Canadian airline’s installation or agent in any foreign destination except Country Group D:1 (excluding the PRC), (see supplement no. 1 to part 740) provided such commodities are all of the following:
(i) Ordered by a U.S. or Canadian airline and consigned to its own installation or agent abroad;
(ii) Intended for maintenance, repair, or operation of aircraft registered in either the United States or Canada, and necessary for the aircraft’s proper operation, except where such aircraft is located in, or owned, operated or controlled by, or leased or chartered to, Country Group D:1 (excluding the PRC) (see supplement no. 1 to part 740) or a national of such country;
(iii) In usual and reasonable kinds and quantities; and
(iv) Shipped as cargo for which Electronic Export Information (EEI) is filed to the Automated Export System (AES) in accordance with the requirements of the Foreign Trade Regulations (FTR) (15 CFR part 30), except EEI is not required to be filed when any of these commodities is exported by U.S. airlines to their own installations and agents abroad for use in their aircraft operations, see 15 CFR 30.37(o) of the FTR.
(3) Applicable commodities. This § 744.7 applies to the commodities listed subject to the provisions in paragraph (b) of this section:
(i) Fuel, including crude oil, petroleum products other than crude oil that are of non-Naval Petroleum Reserves origin or derivation (see § 754.3 of the EAR), and blends of crude oil with such petroleum products;
(ii) Deck, engine, and steward department stores, provisions, and supplies for both port and voyage requirements, provided that any petroleum products other than crude oil which are listed in supplement no. 1 to part 754 of the EAR are of non-Naval Petroleum Reserves origin or derivation (see § 754.3 of the EAR);
(iii) Medical and surgical supplies;
(iv) Food stores;
(v) Slop chest articles;
(vi) Saloon stores or supplies; and
(vii) Equipment and spare parts.
§ 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.
BIS maintains restrictions on exports and reexports to persons designated in or pursuant to Executive Order 13382 of June 28, 2005 (Weapons of Mass Destruction Proliferators and their Supporters). Executive Order 13382 blocks the property and interests in property of persons named in or designated pursuant to Executive Order 13382 in the United States or that comes within the United States or within the possession or control of United States persons. The parties whose property or interests in property are blocked pursuant to Executive Order 13382 are identified by the Department of the Treasury, Office of Foreign Assets Control (OFAC) in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD]. This section imposes export and reexport license requirements for items subject to the EAR on those same parties to further the objectives of Executive Order 13382.
(a) License requirement(s) and authorization – (1) EAR license requirement. A license is required for the export or reexport of any item subject to the EAR to any party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD].
(2) BIS authorization. (i) To avoid duplication, U.S. persons are not required to seek separate authorization from BIS for an export or reexport to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD] of an item subject to the EAR. If OFAC authorizes an export from the United States or an export or reexport by a U.S. person to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD], such authorization constitutes authorization for purposes of the EAR as well.
(ii) U.S. persons must seek authorization from BIS for the export or reexport to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD] of any item subject to the EAR that is not subject to OFAC’s regulatory authority pursuant to Executive Order 13382.
(iii) Non-U.S. persons must seek authorization from BIS for any export from abroad or reexport to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD] of any item subject to the EAR.
(iv) Any export or reexport to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD] of any item subject to the EAR and not authorized by OFAC is a violation of the EAR.
(v) Any export or reexport by a U.S. person to a party listed in appendix A to 31 CFR chapter V with the bracketed suffix [NPWMD] of any item subject to the EAR that is not subject to regulation by OFAC and not authorized by BIS is a violation of the EAR. Any export from abroad or reexport by a non-U.S. person to a party listed in Appendix A to 31 CFR Chapter V with the bracketed suffix [NPWMD] of any item subject to the EAR and not authorized by BIS is a violation of the EAR.
(3) Relation to other EAR license requirements. The license requirements in this section supplement any other requirements set forth elsewhere in the EAR.
(b) License exceptions. No license exceptions are available for the EAR license requirements imposed in this section.
(c) Licensing policy. Applications for EAR licenses required by this section generally will be denied. You should consult with OFAC concerning transactions subject to OFAC licensing requirements.
(d) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
(a) General prohibitions. (1) In addition to the applicable license requirements for national security, regional stability, anti-terrorism and United Nations embargo reasons in §§ 742.4, 742.6, 742.8, 746.1(b), and 746.3 of the EAR, a license is required to export, reexport, or transfer (in-country) to any destination other than Canada commodities described in ECCNs 0A504 (incorporating commodities controlled by ECCNs 6A002 or 6A003, or commodities controlled by 6A993.a that meet the criterion of Note 3.a to 6A003.b.4), 6A002, 6A003, or 6A993.a (having a maximum frame rate equal to or less than 9 Hz and thus meeting the criteria of Note 3.a to 6A003.b.4), or 8A002.d if at the time of export, reexport, or transfer, the exporter, reexporter, or transferor knows or is informed that the item will be or is intended to be:
(i) Used by a “military end-user,” as defined in paragraph (d) of this section; or
(ii) Incorporated into a “military commodity” controlled by ECCN 0A919.
(2) The license requirement described in paragraph (a)(1) of this section does not apply to exports, reexports, or transfers (in-country) of items described in that paragraph when such items are being reexported or transferred as part of a military deployment by a unit of the government of a country in Country Group A:1 (see Supplement No. 1 to part 740).
(b) Additional prohibition on exporters, reexporters, or transferors informed by BIS. BIS may inform an exporter, reexporter, or transferor, either individually by specific notice or through amendment to the EAR, that a license is required for the export, reexport, or transfer of commodities described in ECCNs 0A504 (incorporating commodities controlled by ECCNs 6A002 or 6A003, or commodities controlled by 6A993.a that meet the criterion of Note 3.a to 6A003.b.4), 6A002, 6A003, or 6A993.a (having a maximum frame rate equal to or less than 9 Hz and thus meeting the criteria of Note 3.a to 6A003.b.4), or 8A002.d to specified end users, because BIS has determined that there is an unacceptable risk of diversion to the users or unauthorized incorporation into the “military commodities” described in paragraph (a) of this section. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration.
(c) License review standard. Applications for licenses required by this section will be reviewed by applying the policies that would be applied under the International Traffic in Arms Regulations (22 CFR Parts 120-130).
(d) Military end-user. In this section, the term “military end-user” means the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations, or any person or entity whose actions or functions are intended to support “military end-uses” as defined in § 744.17(d).
(e) Exception. Shipments subject to the prohibitions in paragraphs (a) and (b) of this section that are consigned to and for the official use of the U.S. Government authorized pursuant to § 740.11(b)(2)(ii) of the EAR may be made under License Exception GOV. No other license exceptions apply to the prohibitions described in paragraphs (a) and (b) of this section.
§ 744.10 Restrictions on certain entities in Russia.
(a) General prohibition. Certain entities in Russia are included in supplement no. 4 to this part 744 (Entity List). (See also § 744.1(c) of the EAR.) A license is required, to the extent specified on the Entity List, to export, reexport, or transfer (in-country) any item subject to the EAR to such entities.
(b) Exceptions. No License Exceptions apply to the prohibition described in paragraph (a) of this section.
(c) License review standard. Applications to export, reexport, or transfer (in-country) items subject to the EAR to these entities will be reviewed with a presumption of denial.
§ 744.11 License requirements that apply to entities acting or at significant risk of acting contrary to the national security or foreign policy interests of the United States.
BIS may impose foreign policy export, re-export, and transfer (in-country) license requirements, limitations on availability of license exceptions, and set license application review policy based on the criteria in this section. Such requirements, limitations and policy are in addition to those set forth elsewhere in the EAR. License requirements, limitations on use of license exceptions, and license application review policies will be imposed under this section by adding an entity to the Entity List (supplement no. 4 to this part) with a reference to this section and by stating on the Entity List the license requirements and license application review policies that apply to that entity, or by informing an exporter, re-exporter, or transferor pursuant to paragraph (c) of this section that a specific entity is subject to a license requirement, limitations on use of license exceptions and license application review policies as specified in a specific notice provided to an exporter, re-exporter, or transferor. BIS may remove an entity from the Entity List if it is no longer engaged in the activities described in paragraph (b) of this section and is unlikely to engage in such activities in the future, or if it is no longer at significant risk of acting contrary to the national security or foreign policy interests of the United States as described therein. BIS may modify the license exception limitations and license application review policies that apply to a particular entity to implement the policies of this section. BIS will implement the provisions of this section in accordance with the decisions of the End-User Review Committee or, if appropriate in a particular case, in accordance with the decisions of the body to which the End-User Review Committee decision is escalated. The End-User Review Committee will follow the procedures set forth in supplement no. 5 to this part.
(a) License requirement, availability of license exceptions, and license application review policy. A license is required, to the extent specified on the Entity List, to export, reexport, or transfer (in-country) any item subject to the EAR when an entity that is listed on the Entity List is a party to the transaction as described in § 748.5(c) through (f) of the EAR unless otherwise authorized or excluded in this section. License exceptions may not be used unless authorized in the Entity List entry for the entity that is party to the transaction. Applications for licenses required by this section will be evaluated as stated in the Entity List entry for the entity that is party to the transaction, in addition to any other applicable review policy stated elsewhere in the EAR.
(1) Standards related activity. A license is not required for the release of “technology” or “software” designated EAR99 or controlled on the CCL for anti-terrorism reasons only, when such a release is for a “standards-related activity.” In addition, a license is not required for the release of the following ECCN “items” level paragraphs of “technology” or “software” specifically for the “development,” “production,” or “use” of cryptographic functionality when such a release is for a “standards-related activity:” “software” that is classified under ECCN 5D002.b or 5D002.c.1 (for equipment specified in ECCN 5A002.a and 5A002.c only); “technology” that is classified under ECCN 5E002 (for equipment specified in ECCN 5A002.a, .b and .c); and “technology” for software controlled under ECCN 5D002.b or .c.1 (for equipment specified in ECCN 5A002.a and .c only).
(2) Entity List foreign-“direct product” (FDP) license requirements, review policy, and license exceptions – (i) Footnote 1 entities. You may not, without a license or license exception, reexport, export from abroad, or transfer (in-country) any foreign-produced item subject to the EAR pursuant to § 734.9(e)(1)(i) of the EAR when an entity designated with footnote 1 on the Entity List in supplement. no. 4 to this part is a party to the transaction. All license exceptions described in part 740 of the EAR are available for foreign-produced items that are subject to this license requirement if all terms and conditions of the applicable license exception are met and the restrictions in § 740.2 of this EAR do not apply. The sophistication and capabilities of technology in items is a factor in license application review; license applications for foreign-produced items subject to a license requirement by this paragraph (a)(2) that are capable of supporting the “development” or “production” of telecom systems, equipment, and devices below the 5G level (e.g., 4G, 3G) will be reviewed on a case-by-case basis.
(ii) Footnote 4 entities. You may not, without a license, reexport, export from abroad, or transfer (in-country) any foreign-produced item subject to the EAR pursuant to § 734.9(e)(2) of the EAR when an entity designated with footnote 4 on the Entity List in supp. no. 4 to this part is a party to the transaction, or that will be used in the “development” or “production” of any “part,” “component,” or “equipment” produced, purchased, or ordered by any such entity. See § 744.23 for additional license requirements that may apply to these entities. The license review policy for foreign-produced items subject to this license requirement is set forth in the entry in supplement no. 4 to this part for each entity with a footnote 4 designation.
(b) Criteria for revising the Entity List. Entities for which there is reasonable cause to believe, based on specific and articulable facts, that the entity has been involved, is involved, or poses a significant risk of being or becoming involved in activities that are contrary to the national security or foreign policy interests of the United States and those acting on behalf of such entities may be added to the Entity List pursuant to this section. An entity may pose a significant risk through certain circumstances that may be outside of its own control. Such circumstances that may place an entity at significant risk include situations involving a sustained lack of cooperation by a host government authority, for example, by preventing an end-use check from being conducted, that effectively prevents BIS from determining compliance with the EAR. This section may not be used to place on the Entity List any party to which exports or reexports require a license pursuant to § 744.8, § 744.12, § 744.13, § 744.14, or § 744.18. This section may not be used to place any U.S. person, as defined in § 772.1 of the EAR, on the Entity List. Paragraphs (b)(1) through (5) of this section provide an illustrative list of activities that could be or represent a significant risk of being contrary to the national security or foreign policy interests of the United States.
(1) Supporting persons engaged in acts of terror.
(2) Actions that could enhance the military capability of, or the ability to support terrorism of governments that have been designated by the Secretary of State as having repeatedly provided support for acts of international terrorism.
(3) Transferring, developing, servicing, repairing or producing conventional weapons in a manner that is contrary to United States national security or foreign policy interests or enabling such transfer, service, repair, development, or production by supplying parts, components, technology, or financing for such activity.
(4) Prevention of the accomplishment of an end use check conducted by or on behalf of BIS or the Directorate of Defense Trade Controls of the Department of State by:
(i) The entity precluding access to; refusing to provide information about; or providing false or misleading information about parties to the transaction or the item to be checked. The conduct in this example includes: expressly refusing to permit a check; providing false or misleading information; or engaging in dilatory or evasive conduct that effectively prevents the check from occurring or makes the check inaccurate or useless. A nexus between the conduct of the party to be listed and the failure to produce a complete, accurate and useful check is required, even though an express refusal by the party to be listed is not required; or
(ii) A sustained lack of cooperation by the host government to schedule and facilitate the completion of an end-use check of entities identified on the Unverified List pursuant to § 744.15, resulting in sufficient concern such that the End-User Review Committee believes that prior review of exports, reexports, or transfers (in-country) involving the entity and the possible imposition of license conditions or license denial enhance BIS’s ability to prevent violations of the EAR.
(5) Engaging in conduct that poses a risk of violating the EAR when such conduct raises sufficient concern that the End-User Review Committee believes that prior review of exports, reexports, or transfers (in-country) involving the party and the possible imposition of license conditions or license denial enhances BIS’s ability to prevent violations of the EAR.
(c) Additional prohibition on persons informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for:
(1) A specific export, reexport, or transfer (in-country) because there is an unacceptable risk that the export, reexport, or transfer (in-country) is intended to circumvent the license requirement imposed on an entity listed in supplement no. 4 to this part; or
(2) The export, reexport, or transfer (in-country) of specified items to a certain party because there is an unacceptable risk that the party is acting as an agent, front, or shell company for an entity listed in supplement no. 4 to this part, or is otherwise assisting that listed entity in circumventing the license requirement set forth in that entity’s entry in supplement no. 4 to this part; or
(3) The export, reexport, or transfer (in-country) of specified items to a certain party because there is reasonable cause to believe, based on specific and articulable facts, that the entity has been involved, is involved, or poses a significant risk of being or becoming involved in activities that are contrary to the national security or foreign policy interests of the United States and those acting on behalf of such entity. Specific notice will be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by written notice within two working days signed by the Deputy Assistant Secretary for Export Administration or the Deputy Assistant Secretary’s designee. The specific notice will include the license requirement, limitations on use of license exceptions, and license application review policy with which that exporter, re-exporter, or transferor must comply pursuant to this paragraph (c)(3). The ERC may add such entities to the Entity List in supplement no. 4 to this part.
§ 744.12 Restrictions on exports and reexports to persons designated in or pursuant to Executive Order 13224 (Specially Designated Global Terrorist) (SDGT).
BIS maintains restrictions on exports and reexports to persons designated in or pursuant to Executive Order 13224 of September 23, 2001 (Blocking Property and Prohibiting Transactions with Persons Who Commit, Threaten to Commit, or Support Terrorism). These persons include individuals and entities listed in the Annex to Executive Order 13224, as well as persons subsequently designated by the Secretary of State or Secretary of the Treasury pursuant to criteria set forth in the Order. Pursuant to Executive Order 13224, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) maintains 31 CFR part 594, the Global Terrorism Sanctions Regulations. OFAC announces the names of persons designated pursuant to Executive Order 13224 in the
(a) License requirement(s). (1) A license requirement applies to the export or reexport to an SDGT of any item subject to the EAR.
(2) To avoid duplication, U.S. persons are not required to seek separate authorization for an export or reexport to an SDGT of an item subject to both the EAR and OFAC’s regulatory authority pursuant to Executive Order 13224. Therefore, if OFAC authorizes an export from the United States or an export or reexport by a U.S. person to an SDGT, no separate authorization from BIS is necessary.
(3) U.S. persons must seek authorization from BIS for the export or reexport to an SDGT of any item subject to the EAR that is not subject to OFAC’s Global Terrorism Sanctions Regulations in 31 CFR part 594.
(4) Non-U.S. persons must seek authorization from BIS for any export from abroad or reexport to an SDGT of any item subject to the EAR.
(5) Any export or reexport to an SDGT of any item subject to both the EAR and OFAC’s regulatory authority pursuant to Executive Order 13224 and not authorized by OFAC is a violation of the EAR.
(6) Any export or reexport by a U.S. person to an SDGT of any item subject to the EAR that is not subject to regulation by OFAC and not authorized by BIS is a violation of the EAR. Any export from abroad or reexport by a non-U.S. person to an SDGT of any item subject to the EAR and not authorized by BIS is a violation of the EAR.
(7) These licensing requirements supplement any other requirements set forth elsewhere in the EAR.
(b) Exceptions. No License Exceptions or other BIS authorization are available for any export or reexport to an SDGT of any item subject to the EAR.
(c) Licensing policy. Applications for licenses for the export or reexport to an SDGT of any item subject to the EAR generally will be denied. You should consult with OFAC concerning transactions subject to OFAC licensing requirements.
(d) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
This section does not implement, construe, or limit the scope of any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 2339A, and does not excuse any person from complying with any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 18 U.S.C. 2339A.
§ 744.13 Restrictions on exports and reexports to persons designated pursuant to Executive Order 12947 (Specially Designated Terrorist) (SDT).
Consistent with the purpose of Executive Order 12947 of January 23, 1995, BIS maintains restrictions on exports and reexports to Specially Designated Terrorists (SDTs). Executive Order 12947 prohibits transactions by U.S. persons with terrorists who threaten to disrupt the Middle East peace process. Pursuant to the Executive Order, the Department of the Treasury, Office of Foreign Assets Control (OFAC), maintains 31 CFR part 595, the Terrorism Sanctions Regulations. In Appendix A to 31 CFR Chapter V, pursuant to 31 CFR part 595, these Specially Designated Terrorists are identified by the bracketed suffix initials [SDT]. The requirements set forth below further the objectives of Executive Order 12947.
(a) License requirement(s). (1) A license requirement applies to the export or reexport to an SDT of any item subject to the EAR.
(2) To avoid duplication, U.S. persons are not required to seek separate authorization for an export or reexport to an SDT of an item subject both to the EAR and to OFAC’s Terrorism Sanctions Regulations in 31 CFR part 595. Therefore, if OFAC authorizes an export or reexport of an item by a U.S. person to a SDT, no separate authorization from BIS is necessary.
(3) U.S. persons must seek authorization from BIS for the export or reexport to an SDT of an item subject to the EAR but not subject to OFAC’s Terrorism Sanctions Regulations in 31 CFR part 595.
(4) Non-U.S. persons must seek authorization from BIS for the export from abroad or reexport to an SDT of any item subject to the EAR.
(5) Any export or reexport to an SDT by a U.S. person of any item subject both to the EAR and OFAC’s Terrorism Sanctions Regulations in 31 CFR part 595 and not authorized by OFAC is a violation of the EAR.
(6) Any export or reexport by a U.S. person to an SDT of any item subject to the EAR that is not subject to OFAC’s Terrorism Sanctions Regulations in 31 CFR part 595 and not authorized by BIS is a violation of the EAR. Any export from abroad or reexport by a non-U.S. person to an SDT of any item subject to the EAR and not authorized by BIS is a violation of the EAR.
(7) These licensing requirements supplement any other requirements set forth elsewhere in the EAR.
(b) Exceptions. No License Exceptions or other BIS authorization are available for export or reexport to an SDT of any item subject to the EAR.
(c) Licensing policy. Applications for licenses for the export or reexport to an SDT of any item subject to the EAR generally will be denied. You should consult with OFAC concerning transactions subject to OFAC licensing requirements.
(d) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
This section does not implement, construe, or limit the scope of any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 2339A, and does not excuse any person from complying with any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 18 U.S.C. 2339A.
§ 744.14 Restrictions on exports and reexports to designated Foreign Terrorist Organizations (FTOs).
Consistent with the objectives of section 219 of the Immigration and Nationality Act, as amended (INA) (8 U.S.C. 1189), and section 303 of the Antiterrorism and Effective Death Penalty Act 1996, as amended (Anti-Terrorism Act) (18 U.S.C. 2339B) (Public Law 104-132. 110 Stat. 1214-1319), BIS maintains restrictions on exports and reexports to organizations designated as Foreign Terrorist Organizations (FTOs) pursuant to section 219 of the INA. The Department of the Treasury, Office of Foreign Assets Control, maintains 31 CFR part 597, the Foreign Terrorist Organizations Sanctions Regulations, requiring U.S. financial institutions to block all financial transactions involving assets of designated FTOs within the possession or control of such U.S. financial institutions. Section 303 of the Anti-Terrorism Act prohibits persons within the United States or subject to U.S. jurisdiction from knowingly providing material support or resources to a designated FTO and makes violations punishable by criminal penalties under title 18, United States Code. These designated FTOs are listed in Appendix A to 31 CFR Chapter V and identified by the bracketed initials [FTO]. A designation of a foreign organization determined to meet the criteria of section 219 of the INA takes effect upon publication in the
(a) License requirement(s). (1) A license requirement applies to the export or reexport to an FTO of any item subject to the EAR.
(2) U.S. persons must seek authorization from BIS for the export or reexport to an FTO of any item subject to the EAR.
(3) Non-U.S. persons must seek authorization from BIS for the export from abroad or reexport to an FTO of any item subject to the EAR.
(4) Any export or reexport to an FTO by any person of any item subject to the EAR and not authorized by BIS is a violation of the EAR.
(5) These licensing requirements supplement any other requirements set forth elsewhere in the EAR.
(b) Exceptions. No License Exceptions or other BIS authorization for items described by paragraph (a) of this section are available for exports or reexports to FTOs.
(c) Licensing policy. Applications for exports and reexports to FTOs of all items identified by paragraph (a) of this section will generally be denied, to the extent they constitute material support or resources, as defined in 18 U.S.C. 2339A(b).
(d) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
(e) FTOs also designated as SDTs or SDGTs. In cases in which an FTO is also an SDT, as described in § 744.13, or an SDGT, as described in § 744.12, the license requirements and licensing policy set forth in § 744.13 or § 744.12 will apply.
This section does not implement, construe, or limit the scope of any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 2339A, and does not excuse any person from complying with any criminal statute, including (but not limited to) 18 U.S.C. 2339B(a)(1) and 18 U.S.C. 2339A.
§ 744.15 Restrictions on exports, reexports and transfers (in-country) to persons listed on the unverified list.
(a) General requirement. In addition to the requirements set forth elsewhere in the EAR, exports, reexports, or transfers (in-country) subject to the EAR involving parties to the transaction who are listed on the Unverified List (UVL) must be made in accordance with paragraph (b) of this section. The names and addresses of foreign persons subject to end-user controls based on the criteria described in paragraph (c) of this section are identified in the Unverified List found in supplement no. 6 to this part. Requirements found elsewhere in the EAR also apply, including but not limited to any license requirements, the record filing requirements pursuant to § 758.1(b)(8), and the restrictions on license exceptions described in § 740.2(a)(17) of the EAR.
(b) UVL statement. Before proceeding with any export, reexport, or transfer (in-country) subject to the EAR that is not subject to a license requirement, involving a person listed on the Unverified List as a party described in § 748.5 of the EAR, an exporter, reexporter, or transferor (in-country) must obtain a UVL statement from such person, according to the provisions set forth in this section. The statement must be retained in accordance with part 762 of the EAR.
(1) One UVL statement may be used for multiple exports, reexports, and transfers (in-country) of the same items between the same parties, so long as the party names, the description(s) of the items and the ECCNs are correct. If one UVL statement is used for multiple exports, reexports, and transfers (in-country), the exporter, reexporter, and transferor must maintain a log or other record that identifies each export, reexport, and transfer (in-country) made pursuant to this section and the specific UVL statement that is associated with each. The log or record must be retained in accordance with Part 762 of the EAR.
(2) The UVL statement must be in writing, signed and dated by an individual of sufficient authority to legally bind the UVL party, and state the following:
(i) Name of UVL party; complete physical address, to include shipping, corporate, and end user addresses, if different (simply listing a post office box is insufficient); telephone number; fax number; email address; Web site (if available); and name and title of individual signing the UVL statement.
(ii) Agrees not to use the item(s) for any use prohibited by the United States Export Administration Regulations (EAR), 15 CFR Parts 730-772, and agrees not to reexport or transfer (in-country) the item(s) to any destination, use or user prohibited by the EAR.
(iii) Declares that the end use, end user, and country of ultimate destination of the item(s) subject to the EAR are as follows: [INSERT END USE, END USER, AND COUNTRY OF ULTIMATE DESTINATION].
(iv) Agrees to cooperate with end-use checks, including a Post-Shipment Verification, conducted by or on behalf of the Bureau of Industry and Security, U.S. Department of Commerce, for any item subject to the EAR in transactions to which they were a party in the last five years. This cooperation includes facilitating the timely conduct of the check and providing full and accurate information concerning the disposition of items subject to the EAR.
(v) Agrees to provide copies of this document and all other export, reexport or transfer (in-country) records required to be retained in part 762 of the EAR.
(vi) Certifies that the individual signing the UVL statement has sufficient authority to legally bind the party.
(c) Criteria for revising the Unverified List. (1) Foreign persons who are parties to an export, reexport, and transfer (in-country) subject to the EAR may be added to the Unverified List if BIS or federal officials acting on BIS’s behalf cannot verify the bona fides (i.e., legitimacy and reliability relating to the end use and end user of items subject to the EAR) of such persons because an end-use check, such as a pre-license check (PLC) or a post-shipment verification (PSV), cannot be completed satisfactorily for reasons outside of the U.S. Government’s control. Examples in paragraphs (c)(1)(i) through (iii) of this section provide an illustrative list of those circumstances.
(i) During the conduct of an end-use check, the subject of the check is unable to demonstrate the disposition of items subject to the EAR.
(ii) The existence or authenticity of the subject of an end-use check cannot be verified (e.g., the subject of the check cannot be located or contacted).
(iii) Lack of cooperation by the host government authority prevents an end-use check from being conducted.
(2) BIS will remove a person from the Unverified List when BIS is able to verify the bona fides of the listed person as an end user, consignee, or other party to exports, reexports, or transfers (in-country) involving items subject to the EAR by completing a PLC or PSV. In the limited circumstance involving a PLC or PSV that cannot be completed due to lack of host government cooperation, an alternative bona fides verification process may be determined by BIS to be sufficient. A determination to remove a person from the Unverified List based on the criteria in this paragraph is separate from any determination made by BIS pursuant to § 744.11(b) of the EAR, and must be requested through paragraph (d) of this section.
(d) Procedure for requesting removal of a person on the Unverified List. Any person listed on the Unverified List may request that its listing be amended or removed.
(1) All such requests, including reasons therefor and information that verifies the bona fides, i.e., legitimacy and reliability of the person listed on the Unverified List as an end user, consignee or other party to exports, reexports, and transfers (in-country) of items subject to the EAR, must be in writing and sent to: Director, Office of Enforcement Analysis, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue NW., Room 4065, Washington, DC 20230, via fax to (202) 482-0971, or by email to [email protected].
(2) The Deputy Assistant Secretary for Export Enforcement will review such requests and will convey the decision on the request to the requester in writing based on an assessment of the listed person’s bona fides as a party to exports, reexports, and transfers (in-country) subject to the EAR. That decision will be the final agency action on the request.
§ 744.16 Entity List.
The Entity List (supplement no. 4 to part 744) identifies persons reasonably believed to be involved, or to pose a significant risk of being or becoming involved, in activities contrary to the national security or foreign policy interests of the United States. The entities are added to the Entity List pursuant to sections of part 744 (Control Policy: End-User and End-Use Based) and part 746 (Embargoes and Other Special Controls) of the EAR.
(a) License requirements. In addition to the license requirements for items specified on the CCL, you may not, without a license from BIS, export, reexport, or transfer (in-country) any items included in the License Requirement column of an entity’s entry on the Entity List (supplement no. 4 to this part) when that entity is a party to a transaction as described in § 748.5(c) through (f) of the EAR. The specific license requirement for each listed entity is identified in the license requirement column on the Entity List in supplement no. 4 to this part. A license is not required for the release of certain “technology” or “software” when such a release is for a “standards-related activity,” as described in §§ 744.11(a)(1) and 772.1 of the EAR.
(b) License exceptions. No license exceptions are available for exports, reexports or transfers (in-country) to listed entities of specified items, except license exceptions for items listed in § 740.2(a)(5) of the EAR destined to listed Indian or Pakistani entities to ensure the safety of civil aviation and safe operation of commercial passenger aircraft, and in the case of entities added to the Entity List pursuant to § 744.20, to the extent specified on the Entity List.
(c) License review policy – (1) General review policy. The license review policy for each listed entity is identified in the License Review Policy column on the Entity List.
(2) [Reserved]
(d) The End-User Review Committee (ERC). The End-User Review Committee (ERC), composed of representatives of the Departments of Commerce (Chair), State, Defense, Energy and, where appropriate, the Treasury, generally makes decisions regarding additions to, removals from, or other modifications to the Entity List.
(e) Removal or modification requests. Any entity listed on the Entity List may request that its listing be removed or modified. All such requests, including reasons therefor, must be in writing and sent to: Chair, End-User Review Committee, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue NW., Room 3886, Washington, DC 20230.
(1) Review. The ERC will review such requests in accordance with the procedures set forth in Supplement No. 5 to this part.
(2) BIS action. The Deputy Assistant Secretary for Export Administration will convey the decision on the request to the requester in writing. That decision will be the final agency action on the request.
§ 744.17 Restrictions on certain exports, reexports and transfers (in-country) of microprocessors and associated “software” and “technology” for “military end uses” and to “military end users.”
(a) General prohibition. In addition to the license requirements set forth elsewhere in the EAR, you may not export, reexport or transfer (in-country) microprocessors (“microprocessor microcircuits,” “microcomputer microcircuits,” and microcontroller microcircuits having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality), or associated “software” and “technology” for the “production” or “development” of such microprocessors without a license if, at the time of the export, reexport or transfer (in-country), you know, have reason to know, or are informed by BIS that the item will be or is intended to be used for a ‘military end use,’ as defined in paragraph (d) of this section, in a destination listed in Country Group D:1 (see supplement No. 1 to part 740 of the EAR); or by a ‘military end user,’ as defined in paragraph (e) of this section, in a destination listed in Country Group D:1.
(b) Additional prohibition on exporters or reexporters informed by BIS. BIS may inform an exporter, reexporter or transferor, either individually by specific notice or through amendment to the EAR, that a license is required for export, reexport or transfer (in-country) of items described in paragraph (a) of this section to specified end users, because BIS has determined that there is an unacceptable risk of diversion to the end uses or end users described in paragraph (a) of this section. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. The absence of any such notification does not excuse the exporter, reexporter or transferor from compliance with the license requirements of paragraph (a) of this section.
(c) License review standards. There is a presumption of denial for applications to export, reexport or transfer (in-country) items subject to this section.
(d) Military end-use. In this section, the phrase `military end use’ means incorporation into: a military item described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations) or the Wassenaar Arrangement Munitions List (as set out on the Wassenaar Arrangement Web site at http://www.wassenaar.org); commodities classified under ECCNs ending in “A018” or under “600 series” ECCNs; or any commodity that is designed for the “use,” “development,” “production,” or deployment of military items described on the USML, the Wassenaar Arrangement Munitions List or classified under ECCNs ending in “A018” or under “600 series” ECCNs. supplement No. 1 of this part lists examples of ‘military end use.’
(e) Military end user. In this section, the term ‘military end user’ means the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations, or any person or entity whose actions or functions are intended to support ‘military end uses’ as defined in paragraph (d) of this section.
(f) Exceptions. The prohibitions described in paragraphs (a) and (b) of this section supersede any license exception or No License Required (NLR) designation that would otherwise apply to a transaction subject to the EAR, except that this license requirement does not apply to exports, reexports or transfers (in-country) of items for or on behalf of the official use by personnel and agencies of the U.S. Government or to agencies of a cooperating government authorized by License Exception GOV pursuant to § 740.11 of the EAR. See § 740.11(b)(1) of the EAR for the definition of ‘agency of the U.S. Government’ and § 740.11(c)(1) for the definition of ‘agency of a cooperating government.’
§ 744.18 Restrictions on exports, reexports, and transfers to persons designated in or pursuant to Executive Order 13315.
Consistent with Executive Order (E.O.) 13315 of August 28, 2003 (“Blocking Property of the Former Iraqi Regime, Its Senior Officials and Their Family Members, and Taking Certain Other Actions”), BIS maintains restrictions on exports, reexports, and transfers to persons designated in or pursuant to E.O. 13315. These persons include individuals and entities listed in the Annex to Executive Order 13315, as well as persons subsequently designated pursuant to criteria set forth in the order. OFAC includes the names of persons designated pursuant to E.O. 13315 in appendix A to 31 CFR chapter V, which lists persons subject to various sanctions programs administered by OFAC. All persons designated in or pursuant to E.O. 13315 are identified in appendix A by the bracketed initials [IRAQ2].
(a) License requirements. (1) A license requirement applies to the export, reexport, or transfer of any item subject to the EAR to –
(i) Persons listed in the Annex to E.O. 13315 of August 28, 2003; or
(ii) Persons determined to be subject to E.O. 13315.
(2) To avoid duplication, U.S. persons are not required to seek separate BIS authorization for an export, reexport, or transfer to a person identified in paragraph (a) of this section of any item subject to both the EAR and regulations maintained by OFAC. Therefore, if OFAC authorizes an export from the United States or an export, reexport, or transfer by a U.S. person to a person identified in paragraph (a) of this section, no separate authorization from BIS is necessary.
(3) U.S. persons must seek authorization from BIS for the export, reexport, or transfer to a person identified in paragraph (a) of this section of any item subject to the EAR but not subject to regulations maintained by OFAC.
(4) Non-U.S. persons must seek authorization from BIS for the export from abroad, reexport, or transfer to a person identified in paragraph (a) of this section of any item subject to the EAR.
(5) Any export, reexport, or transfer to a person identified in paragraph (a) of this section by a U.S. person of any item subject both to the EAR and regulations maintained by OFAC and not authorized by OFAC is a violation of the EAR.
(6) Any export, reexport, or transfer by a U.S. person to a person identified in paragraph (a) of this section of any item subject to the EAR that is not subject to regulations maintained by OFAC and not authorized by BIS is a violation of the EAR. Any export from abroad, reexport, or transfer by a non-U.S. person to a person identified in paragraph (a) of this section of any item subject to the EAR and not authorized by BIS is a violation of the EAR.
(7) These licensing requirements supplement any other requirements set forth elsewhere in the EAR.
(b) Exceptions. No License Exceptions or other BIS authorizations are available for export, reexport, or transfer to a person identified in paragraph (a) of this section of any item subject to the EAR.
(c) Licensing policy. Applications for licenses for the export, reexport, or transfer to a person identified in paragraph (a) of this section of any item subject to the EAR will generally be denied. You should consult with OFAC concerning transactions subject to OFAC licensing requirements.
(d) Contract sanctity. Contract sanctity provisions are not available for license applications reviewed under this section.
§ 744.19 Licensing policy regarding persons sanctioned pursuant to specified statutes.
Notwithstanding any other licensing policy elsewhere in the EAR, BIS will deny any export or reexport license application if any person who is a party to the transaction (i.e., the applicant, other party authorized to receive a license, purchaser, intermediate consignee, ultimate consignee, or end-user) is subject to one or more of the sanctions described in paragraphs (a), (b), (c), and (e) of this section and will deny any export or reexport license application for an item listed on the Commerce Control List with a reason for control of MT if a person who is a party to the transaction is subject to a sanction described in paragraph (d) of this section.
(a) A sanction issued pursuant to the Iran-Iraq Arms Nonproliferation Act of 1992 (50 U.S.C. 1701 note) that prohibits the issuance of any license to or by the sanctioned person.
(b) A sanction issued pursuant to the Iran, North Korea, and Syria Nonproliferation Act (50 U.S.C. 1701 note) that prohibits the granting of a license and requires the suspension of an existing license for the transfer to foreign persons of items, the export of which is controlled under the Export Administration Act of 1979, as amended (50 U.S.C. app. 2401-2420), or the Export Administration Regulations.
(c) A sanction issued pursuant to section 11B(b)(1)(B)(ii) of the Export Administration Act of 1979, as amended (50 U.S.C. app. 2401-2420), that prohibits the issuance of new licenses for exports to the sanctioned person of items controlled pursuant to the Export Administration Act of 1979, as amended.
(d) A sanction issued pursuant to section 11B(b)(1)(B)(i) of the Export Administration Act of 1979, as amended (50 U.S.C. app. 2401-2420), that prohibits the issuance of new licenses for exports to the sanctioned person of MTCR Annex equipment or technology controlled pursuant to the Export Administration Act of 1979, as amended.
(e) A sanction issued pursuant to the Iran Sanctions Act of 1996 (50 U.S.C. 1701 note) that prohibits the issuance of a specific license or grant of any other specific permission or authority to export any goods or technology to a sanctioned person under the Export Administration Act of 1979, as amended (50 U.S.C. app. 2401-2420).
§ 744.20 License requirements that apply to certain sanctioned entities.
BIS may impose, as foreign policy controls, export, reexport, and transfer (in-country) license requirements and set licensing policy with respect to certain entities that have been sanctioned by the State Department. Such license requirements and policy are in addition to those imposed elsewhere in the EAR. License requirements and licensing policy may be imposed pursuant to this section even when the sanction and the legal authority under which the State Department imposed the sanction do not require or authorize the imposition of any license requirement or licensing policy. License requirements and licensing policy will be imposed pursuant to this section by adding an entity to the Entity List in accordance with paragraphs (a), (b), and (c) of this section.
(a) General requirement. Certain entities that have been sanctioned by the State Department are listed in supplement no. 4 to this part (the Entity List) with a reference to this section. A license is required, to the extent specified on the Entity List, to export, reexport, or transfer (in-country) any item to such entities.
(b) License Exceptions. No license exception may be used to export, reexport, or transfer (in-country) to such entities unless specifically authorized on the Entity List.
(c) Licensing policy. Applications to export, reexport, or transfer (in-country) to such entities will be reviewed according to the licensing policy set forth on the Entity List.
§ 744.21 Restrictions on certain ‘military end uses’ or ‘military end users’.
(a) General prohibition. In addition to the license requirements for items specified on the Commerce Control List (CCL) (supplement no. 1 to part 774), you may not export, reexport, or transfer (in-country):
(1) Any item subject to the EAR listed in supplement no. 2 to this part without a license if, at the time of the export, reexport, or transfer (in-country), you have “knowledge,” as defined in § 772.1 of the EAR, that the item is intended, entirely or in part, for a ‘military end use,’ as defined in paragraph (f) of this section, in Burma, Cambodia, the People’s Republic of China (China), or Venezuela, or a Burmese, Cambodian, Chinese, or Venezuelan ‘military end user,’ as defined in paragraph (g) of this section, wherever located. ‘Military end users’ located outside of Burma, Cambodia, China, or Venezuela are limited to entities identified on the ‘Military End-User’ (MEU) List under supplement no. 7 to this part.
(2) Any item subject to the EAR without a license if, at the time of the export, reexport, or transfer (in-country), you have “knowledge,” as defined in § 772.1 of the EAR that the item is intended, entirely or in part, for a ‘military end use,’ as defined in paragraph (f) of this section, in Belarus or Russia, or a Belarusian or Russian ‘military end user,’ as defined in paragraph (g) of this section, wherever located. Belarusian or Russian ‘military end users’ located outside of Belarus or Russia are limited to entities identified on the Entity List under supplement no. 4 to this part 744 with a footnote 3 designation.
An entity anywhere in the world, including in Burma, Cambodia, China, or Venezuela, may be listed on the Entity List as a Belarusian or Russian ‘military end user’ with a footnote 3 designation. If the entity is not a Belarusian or Russian ‘military end user,’ but has otherwise been identified by the End User Review Committee (ERC) as a ‘military end user,’ that entity may be identified under the ‘Military End-User’ (MEU) List under supplement no. 7 to this part. As noted in paragraph (a)(1) of this section, exporters, reexporters, and transferors, even in the absence of any such notification, are not excused from compliance with the license requirements of this paragraph (a) for all entities in Burma, Cambodia, China, or Venezuela to determine whether the entity is a ‘military end user’ for purposes of paragraph (g) of this section because supplement no. 7 is not an exhaustive listing of ‘military end users’ in those countries. As noted in paragraph (a)(2) of this section, exporters, reexporters, and transferors, even in the absence of any such notification, are not excused from compliance with the license requirements of this paragraph (a) for all entities in Belarus or Russia to determine whether the entity is a ‘military end user’ for purposes of paragraph (g) of this section because supplement no. 4 under this part is not an exhaustive listing of ‘military end users’ in those countries.
(b) Additional prohibition on those informed by BIS. BIS may inform you either individually by specific notice, through amendment to the EAR published in the
(1) ‘Military End-User’ (MEU) List. BIS may inform and provide notice to the public that certain entities are subject to the additional prohibition described under this paragraph (b) following a determination by the End-User Review Committee (ERC) that a specific entity is a ‘military end user’ pursuant to this section and therefore any exports, reexports, or transfers (in-country) to that entity represent an unacceptable risk of use in or diversion to a ‘military end use’ in Belarus, Burma, Cambodia, China, the Russian Federation, or Venezuela, or for a Belarusian, Burmese, Cambodian, Chinese, Russian, or Venezuelan ‘military end user,’ wherever located. Such Burmese, Cambodian, Chinese, or Venezuelan ‘military end users’ may be added to supplement no. 7 to this part – ‘Military End-User’ (MEU) List. Such Belarusian or Russian ‘military end users’ may also be added to supplement no. 4 to this part – Entity List and will be listed with a footnote 3 designation. License requirements for listed MEU are described in paragraph (b)(1)(ii) of this section. The listing of entities under supplements no. 7 or 4 to this part is not an exhaustive listing of ‘military end users’ for purposes of this section, except for ‘military end users’ of a country identified in this section (Belarus, Burma, Cambodia, China, the Russian Federation, or Venezuela) not located in that same country. As specified in paragraphs (a)(1) and (2) of this section, ‘military end users’ of a country identified in this section not located in that same country are exhaustively listed on either the Entity List with a footnote 3 designation or on the Military End-User (MEU) List under supplement no. 7 this part. Exporters, reexporters, and transferors are responsible for determining whether transactions with entities not listed on supplement no. 7 or 4 to this part are subject to a license requirement under paragraph (a) of this section. The process in this paragraph (b)(1) for placing entities on the MEU List and Entity List is only one method BIS may use to inform exporters, reexporters, and transferors of license requirements under this section.
(i) End-User Review Committee (ERC). The End-User Review Committee (ERC), composed of representatives of the Departments of Commerce (Chair), State, Defense, Energy and, where appropriate, the Treasury, makes all decisions regarding additions to, removals from, or other modifications to the MEU List and Entity List. Decisions by the ERC for purposes of the MEU List and Entity List will be made following the procedures identified in this section and in supplement no. 5 to this part – Procedures for End-User Review Committee Entity List and ‘Military End User’ (MEU) List Decisions.
(ii) License requirement for parties to the transaction. Consistent with paragraph (a) of this section, a license is required for the export, reexport, or transfer (in-country) of any item subject to the EAR listed in supplement no. 2 to this part when an entity that is listed on the MEU List as a Burmese, Cambodian, Chinese, or Venezuelan ‘military end user’ is a party to the transaction as described in § 748.5(c) through (f) of the EAR. Consistent with paragraph (a) of this section, a license is required for the export, reexport, or transfer (in-country) of any item subject to the EAR when a Belarusian or Russian ‘military end user’ that is listed on the Entity List pursuant to this section is a party to the transaction as described in § 748.5(c) through (f) of the EAR.
(2) Requests for removal from or modification of ‘Military End User’ (MEU) List and Entity List. Any entity listed on the MEU List or Entity List pursuant to this section may request that its listing be removed or modified. All such requests, including reasons therefor, must be in writing and sent to: Chair, End-User Review Committee, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue NW, Room 3886, Washington, DC 20230; or by email at [email protected]. In order for an entity listed on the MEU List or the Entity List pursuant to this section to petition BIS for their removal or modification, as applicable, the entity must address why the entity is not a ‘military end user’ for purposes of this section.
(i) Review. The ERC will review such requests for removal or modification in accordance with the procedures set forth in supplement no. 5 to this part.
(ii) BIS action. The Deputy Assistant Secretary for Export Administration will convey the decision on the request to the requester in writing. That decision will be the final agency action on the request.
(c) License exception. Despite the prohibitions described in paragraphs (a) and (b) of this section, you may export, reexport, or transfer (in-country) items subject to the EAR under the provisions of License Exception GOV set forth in § 740.11(b)(2)(i) and (ii) of the EAR.
(d) License application procedure. When submitting a license application pursuant to this section, you must state in the “additional information” block of the application that “this application is submitted because of the license requirement in this section (Restrictions on certain ‘military end uses’ or ‘military end users’).” In addition, either in the additional information block of the application or in an attachment to the application, you must include all known information concerning the ‘military end use’ and ‘military end user(s)’ of the item(s). If you submit an attachment with your license application, you must reference the attachment in the “additional information” block of the application.
(e) License review standards. (1) Applications to export, reexport, or transfer (in-country) items described in paragraph (a)(1) of this section will be reviewed with a presumption of denial. Applications to export, reexport, or transfer (in-country) items described in paragraph (a)(2) of this section will be reviewed with a policy of denial except for food and medicine designated as EAR99, which will be reviewed under a case-by-case review policy, unless otherwise stated in the license review policy column on the Entity List (supplement no. 4 to this part).
(2) Applications may be reviewed under chemical and biological weapons, nuclear nonproliferation, or missile technology review policies, as set forth in §§ 742.2(b)(4), 742.3(b)(4), and 742.5(b)(4) of the EAR, if the end use may involve certain proliferation activities.
(3) Applications for items requiring a license for any reason that are destined for a ‘military end use’ in Belarus, Burma, Cambodia, China, the Russian Federation, or Venezuela or for a Belarusian, Burmese, Cambodian, Chinese, Russian, or Venezuelan ‘military end user,’ wherever located, also will be subject to the review policy stated in paragraph (e)(1) of this section.
(f) Military end use. In this section, ‘military end use’ means: Incorporation into a military item described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations); incorporation into items classified under Export Control Classification Numbers (ECCNs) ending in “A018” or under “600 series” ECCNs; or any item that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, “development,” or “production,” of military items described on the USML, or items classified under ECCNs ending in “A018” or under “600 series” ECCNs.
(g) Military end user. In this section, the term ‘military end user’ means the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations (excluding those described in § 744.22(f)(2)), or any person or entity whose actions or functions are intended to support ‘military end uses’ as defined in paragraph (f) of this section.
(h) Effects on contracts. Transactions involving the export, reexport, or transfer (in country) of items to or within Venezuela are not subject to the provisions of this section if the contracts for such transactions were signed prior to November 7, 2014.
§ 744.22 Restrictions on exports, reexports, and transfers (in-country) to certain military-intelligence end uses or end users.
(a) General prohibition. In addition to the license requirements for items specified on the Commerce Control List (CCL) (supplement no. 1 to part 774 of the EAR), you may not export, reexport, or transfer (in-country) any item subject to the EAR without a license from BIS if, at the time of the export, reexport, or transfer (in-country), you have “knowledge” that the item is intended, entirely or in part, for a ‘military-intelligence end use’ in Belarus, Burma, Cambodia, the People’s Republic of China (China), Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2 (see supplement no. 1 to part 740 of the EAR), or for a Belarusian, Burmese, Cambodian, Chinese, Russian, or Venezuelan ‘military-intelligence end user’ or a ‘military-intelligence end user’ of a country listed in Country Group E:1 or E:2, wherever located. ‘Military intelligence end-users’ located outside of Belarus, Burma, Cambodia, the People’s Republic of China (China), Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2, are limited to entities identified under paragraph (f)(2) of this section.
(b) Additional prohibition on those informed by BIS. BIS may inform you either individually by specific notice, through amendment to the EAR published in the
(c) License exception. Notwithstanding the prohibitions described in paragraphs (a) and (b) of this section, you may export, reexport, or transfer (in-country) items subject to the EAR under the provision of License Exception GOV set forth in § 740.11(b)(2)(ii) of the EAR.
(d) License application procedure. When submitting a license application pursuant to this section, you must state in the “additional information” block of the application that “this application is submitted because of the license requirement in § 744.22 of the EAR (Restrictions on exports, reexports, and transfers (in-country) to certain military-intelligence end uses or end users).” In addition, either in the additional information block of the application or in an attachment to the application, you must include all known information concerning the military-intelligence end use(s) or end user(s) of the item(s). If you submit an attachment with your license application, you must reference the attachment in the “additional information” block of the application.
(e) License review policy. Applications to export, reexport, or transfer (in-country) items requiring a license pursuant to paragraph (a) or (b) of this section will be reviewed with a presumption of denial.
(f) Definitions. (1) ‘Military-intelligence end use’ means the “development,” “production,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of, or incorporation into, items described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations), or classified under ECCNs ending in “A018” or under “600 series” ECCNs, which are intended to support the actions or functions of a ‘military-intelligence end user,’ as defined in this section.
(2) ‘Military-intelligence end user’ means any intelligence or reconnaissance organization of the armed services (army, navy, marine, air force, or coast guard); or national guard. For license requirements applicable to other government intelligence or reconnaissance organizations of these countries, see § 744.21. ‘Military-intelligence end users’ subject to the license requirements set forth in this section located in Belarus, Burma, Cambodia, China, Russia, or Venezuela; or a country listed in Country Groups E:1 or E:2 (see supplement no. 1 to part 740 of the EAR) include, but are not limited to, the ‘military-intelligence end users’ identified in this paragraph (f)(2). For ‘military-intelligence end users’ located in all other countries this paragraph (f)(2) is an exhaustive listing.
(i) Burma. Office of Chief of Military Security Affairs (OCMSA) and the Directorate of Signal.
(ii) Cambodia. General Department of Research and Intelligence (GDRI).
(iii) Cuba. Directorate of Military Intelligence (DIM) and Directorate of Military Counterintelligence (CIM).
(iv) China, People’s Republic of. Intelligence Bureau of the Joint Staff Department.
(v) Iran. Islamic Revolutionary Guard Corps Intelligence Organization (IRGC-IO) and Artesh Directorate for Intelligence (J2).
(vi) Korea, North. Reconnaissance General Bureau (RGB).
(vii) Russia. Main Intelligence Directorate (GRU).
(viii) Syria. Military Intelligence Service.
(ix) Venezuela. General Directorate of Military Counterintelligence (DGCIM).
(x) Belarus. The Main Intelligence Directorate of the General Staff of the Armed Forces of Belarus.
(xi) Other countries. Paragraph (f)(2)(ix) of this section identifies ‘military-intelligence end users’ located in all countries other than those identified in paragraphs (f)(2)(i) through (x) of this section.
§ 744.23 “Supercomputer” and semiconductor manufacturing end use.
(a) General prohibition. In addition to the license requirements for items specified on the CCL, you may not export, reexport, or transfer (in-country) without a license any item subject to the EAR meeting the product scope in paragraph (a)(1) of this section when you have “knowledge” at the time of export, reexport, or transfer (in-country) that the item is destined for the end-use described in paragraph (a)(2) of this section.
(1) Product scope. Any of the following items meet the product scope of the prohibition in this section:
(i) An integrated circuit (IC) subject to the EAR and specified in ECCN 3A001, 3A991, 4A994, 5A002, 5A004, or 5A992 when you know the item will be used in an end use described under paragraph (a)(2)(i) or (ii) of this section;
(ii) A computer, “electronic assembly,” or “component” subject to the EAR and specified in ECCN 4A003, 4A004, 4A994, 5A002, 5A004, or 5A992 when you know the item will be used in an end use described under paragraph (a)(2)(i) or (ii) of this section;
(iii) Any items subject to the EAR when you know the items will be used in an end use described in paragraphs (a)(2)(iii)(A) through (C) of this section;
(iv) Any items subject to the EAR and classified in an ECCN in Product Groups B, C, D, or E in Category 3 of the CCL when you know the items will be used in an end use described in paragraph (a)(2)(iv) of this section; or
(v) Any item subject to the EAR when you know the item will be used in an end use described in paragraph (a)(2)(v) of this section.
(2) End-use scope. The following activities meet the end-use scope of the prohibition in this section:
(i) The “development,” “production,” “use,” operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of a “supercomputer” located in or destined to the PRC or Macau;
(ii) The incorporation into, or the “development” or “production” of any “component” or “equipment” that will be used in a “supercomputer” located in or destined to the PRC or Macau; or
(iii) The “development” or “production,” of integrated circuits at a semiconductor fabrication “facility” located in the PRC or Macau that fabricates integrated circuits meeting any of the following criteria:
(A) Logic integrated circuits using a non-planar transistor architecture or with a “production” technology node of 16/14 nanometers or less;
(B) NOT AND (NAND) memory integrated circuits with 128 layers or more; or
(C) Dynamic random-access memory (DRAM) integrated circuits using a “production” technology node of 18 nanometer half-pitch or less; or
(iv) The “development” or “production” of integrated circuits at any semiconductor fabrication “facility” located in the PRC or Macau, but you do not know whether such semiconductor fabrication “facility” fabricates integrated circuits that meet any of the criteria in paragraphs (a)(2)(iii)(A) through (C) of this section; or
(v) The “development” or “production” in the PRC or Macau of any “parts,” “components,” or “equipment” specified under ECCN 3B001, 3B002, 3B090, 3B611, 3B991, or 3B992.
(b) Additional prohibition on persons informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR published in the
(c) License exceptions. No license exceptions may overcome the prohibition described in paragraph (a) of this section.
(d) License review standards. There is a presumption of denial for applications to export, reexport, or transfer (in-country) items described in paragraph (a)(1) of this section that are for end uses described in paragraph (a)(2) of this section, except for items controlled under paragraph (a)(2)(iii) of this section for end users in China or Macau that are headquartered in the United States or in a Country Group A:5 or A:6 country, which will be considered on a case-by-case basis taking into account factors including technology level, customers and compliance plans.
Supplement No. 1 to Part 744 – Military End-Use Examples for § 744.17
(a) Examples of military end-uses (as described in § 744.17 (d) of this part) of general-purpose microprocessors classified as ECCN 3A991.a.1 includes employing such microprocessors in the “use”, “development”, “production”, or deployment of:
(1) Cruise missiles;
(2) Electronic suites of military aircraft and helicopters;
(3) Radar for searching, targeting, or tracking systems;
(4) Command/control/communications or navigation systems;
(5) Unmanned aerial vehicles capable of performing military reconnaissance, surveillance, or combat support;
(6) Rocket or missile systems;
(7) Electronic or information warfare systems; or
(8) Intelligence, reconnaissance, or surveillance systems suitable for supporting military operations.
(b) [Reserved]
Supplement No. 2 to Part 744 – List of Items Subject to the Military End Use or End User License Requirement of § 744.21
The following items, as described, are subject to the military end use or end user license requirement in § 744.21.
(1) Category 1 Materials, Chemicals, Microorganisms, and Toxins
(i) 1A290 Depleted uranium (any uranium containing less than 0.711% of the isotope U 235) in shipments of more than 1,000 kilograms in the form of shielding contained in X ray units, radiographic exposure or teletherapy devices, radioactive thermoelectric generators, or packaging for the transportation of radioactive materials.
(ii) 1C990 Fibrous and filamentary materials, not controlled by 1C010 or 1C210, for use in “composite” structures and with a specific modulus of 3.18×10
(iii) 1C996 Hydraulic fluids containing synthetic hydrocarbon oils, having all the characteristics in the List of Items Controlled.
(iv) 1D993 “Software” specially designed for the “development”, “production”, or “use” of equipment or materials controlled by 1C210.b, or 1C990.
(v) 1D999 Limited to specific software controlled by 1D999.b for equipment controlled by 1B999.e that is specially designed for the production of prepregs controlled in Category 1, n.e.s.
(vi) 1E994 Limited to “technology” for the “development”, “production”, or “use” of fibrous and filamentary materials other than glass, aramid or polyethylene controlled by 1C990.
(2) Category 2 Materials Processing
(i) 2A290 Generators and other equipment “specially designed,” prepared, or intended for use with nuclear plants.
(ii) 2A291 Equipment, except items controlled by 2A290, related to nuclear material handling and processing and to nuclear reactors, and “parts,” “components” and “accessories” therefor (see List of Items Controlled).
(iii) 2A991 Limited to bearings and bearing systems not controlled by 2A001 and with operating temperatures above 573 K (300 °C).
(iv) 2B991 Limited to “numerically controlled” machine tools having “positioning accuracies”, with all compensations available, less (better) than 9 µm along any linear axis; and machine tools controlled under 2B991.d.1.a.
(v) 2B992 Non “numerically controlled” machine tools for generating optical quality surfaces, and specially designed components therefor.
(vi) 2B996 Limited to dimensional inspection or measuring systems or equipment not controlled by 2B006 with measurement uncertainty equal to or less (better) than (1.7 + L/1000) micrometers in any axes (L measured Length in mm).
(vii) 2B999 Specific processing equipment, n.e.s. (see List of Items Controlled).
(viii) 2D290 “Software” “specially designed” or modified for the “development,” “production,” or “use” of items controlled by 2A290 or 2A291.
(3) Category 3 Electronics Design, Development and Production
(i) 3A991 Electronic devices, and “components” not controlled by 3A001.
(ii) 3A992 General purpose electronic equipment not controlled by 3A002.
(iii) 3A999 Specific processing equipment, n.e.s. (see List of Items Controlled).
(iv) 3B991 Equipment not controlled by 3B001 for the manufacture of electronic “parts,” “components” and materials, and “specially designed” “parts,” “components” and “accessories” therefor.
(v) 3B992 Equipment not controlled by 3B002 for the inspection or testing of electronic “components” and materials, and “specially designed” “parts,” “components” and “accessories” therefor.
(vi) 3C992 Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 245 nm.
(vii) 3D991 “Software” “specially designed” for the “development”, “production”, or “use” of electronic devices, “parts” or “components” controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 and 3B992; or “software” “specially designed” for the “use” of equipment controlled by 3B001.g and .h.
(viii) 3E991 Limited to “technology” according to the General Technology Note for the “development,” “production,” or “use” of digital oscilloscopes and transient recorders using analog-to-digital conversion techniques, capable of storing transients by sequentially sampling single-shot inputs at successive intervals of less than 1 ns (greater than 1 giga-sample per second), digitizing to 8 bits or greater resolution and storing 256 or more samples.
(4) Category 4 Computers
(i) 4A994 Limited to computers not controlled by 4A001 or 4A003, with an Adjusted Peak Performance (“APP”) exceeding 0.5 Weighted TeraFLOPS (WT).
(ii) 4D993 “Program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for real time processing equipment.
(iii) 4D994 Limited to “software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 4A101.
(5) Category 5 (Part 1) Telecommunications and Category 5 (Part 2) Information Security
(i) 5A991 Limited to telecommunications equipment designed to operate outside the temperature range from 219K (-54 °C) to 397K (124 °C), which is controlled by 5A991.a., radio equipment using Quadrature-amplitude-modulation (QAM) techniques, which is controlled by 5A991.b.7., and phased array antennae, operating above 10.5 Ghz, except landing systems meeting ICAO standards (MLS), which are controlled by 5A991.f.
(ii) 5B991 Telecommunications test equipment, n.e.s.
(iii) 5D991 Limited to “software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991.a., 5A991.b.7., and 5A991.f., or of “software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991.a., 5A991.b.7., and 5A991.f.
(iv) 5E991 Limited to “technology” for the “development”, “production” or “use” of equipment controlled by 5A991.a., 5A991.b.7., or 5A991.f., or of “software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991.a., 5A991.b.7., and 5A991.f.
(v) 5A992 Equipment not controlled by 5A002 (see List of Items Controlled).
(vi) 5D992 “Information Security” “software” not controlled by 5D002 (see List of Items Controlled).
(6) Category 6 Sensors and Lasers
(i) 6A991 Marine or terrestrial acoustic equipment, n.e.s., capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and “specially designed” “parts” and “components,” n.e.s.
(ii) 6A993 Cameras, not controlled by 6A003 or 6A203 (see List of Items Controlled).
(iii) 6A995 “Lasers”, not controlled by 6A005 or 6A205.
(iv) 6A996 “Magnetometers” not controlled by ECCN 6A006, “Superconductive” electromagnetic sensors, and “specially designed” “components” therefor, as follows (see List of Items Controlled).
(v) 6C992 Optical sensing fibers not controlled by 6A002.d.3 which are modified structurally to have a “beat length” of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b and having a zinc content of equal to or more than 6% by “mole fraction.”
(7) Category 7 Navigation and Avionics
(i) 7A994 Other navigation direction finding equipment, airborne communication equipment, all aircraft inertial navigation systems not controlled under 7A003 or 7A103, and other avionic equipment, including parts and components, n.e.s.
(ii) 7B994 Other equipment for the test, inspection, or “production” of navigation and avionics equipment.
(iii) 7D994 “Software”, n.e.s., for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.
(iv) 7E994 “Technology”, n.e.s., for the “development”, “production”, or “use” of navigation, airborne communication, and other avionics equipment.
(8) Category 8 Marine
(i) 8A992 Vessels, marine systems or equipment, not controlled by 8A001 or 8A002, and “specially designed” “parts” and “components” therefor, and marine boilers and “parts,” “components,” “accessories,” and “attachments” therefor (see List of Items Controlled).
(ii) 8D992 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 8A992.
(iii) 8E992 “Technology” for the “development”, “production” or “use” of equipment controlled by 8A992.
(9) Category 9 Propulsion Systems, Space Vehicles and Related Equipment
(i) 9A991 “Aircraft”, n.e.s., and gas turbine engines not controlled by 9A001 or 9A101 and “parts” and “components,” n.e.s. (see List of Items Controlled).
(ii) 9B990 Vibration test equipment and “specially designed” “parts” and “components,” n.e.s.
(iii) 9D991 “Software”, for the “development” or “production” of equipment controlled by 9A991 or 9B991.
(iv) 9E991 “Technology”, for the “development”, “production” or “use” of equipment controlled by 9A991 or 9B991.
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
This Supplement lists certain entities subject to license requirements for specified items under this parts 744 and 746 of the EAR. License requirements for these entities include exports, reexports, and transfers (in-country) unless otherwise stated. A license is required, to the extent specified on the Entity List, to export, reexport, or transfer (in-country) any item subject to the EAR when an entity that is listed on the Entity List is a party to the transaction as described in § 748.5(c) through (f) of the EAR. See § 744.11 for licensing requirements in the context of a “standards-related activity”. This list of entities is revised and updated on a periodic basis in this Supplement by adding new or amended notifications and deleting notifications no longer in effect.
| Country | Entity | License requirement | License review policy | ||
|---|---|---|---|---|---|
| AFGHANISTAN | Abdul Satar Ghoura, 501, 5th Floor, Amanullah Sancharaki Market Opp Chaman E Huzuri, Kabul, Afghanistan; and Flat No. 41 Block No. 24 Macroyan 3, Kabul, Afghanistan. (See alternate addresses under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | |
| Afghan-German Construction Company, Golaye Park, Shari Naw, Kabul, Afghanistan, | For all items subject to the EAR. (See § 744.11 of the EAR). | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Assadullah Majed, 42S WD 18476 22167 Kabul, Afghanistan; and A2 Ground Floor, City Computer Plaza, Shar-e-Naw, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Emal Bilal Construction Company (EBCC), a.k.a., the following two aliases: – Imal Bilal Road Construction Company; – Aimal and Balal Company. Kolola Pushta, Charahi Gul-e-Surkh, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Emal Bilal Mangal, a.k.a., the following three aliases: – Imal Bilal; – Aimal Balal; – Bellal Mangal. Kolola Pushta, Charahi Gul-e-Surkh, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Fazal Rahim Farid, a.k.a., the following three aliases: – Fazel Rahim Farid; – Farid; and – Engineer Idris. Microrayan 3rd Apt. 45, block #21, Kabul, Afghanistan; and A2 Ground Floor, City Computer Plaza, Shar-e-Naw, Kabul, Afghanistan. (See alternate addresses under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Gulf Gate Sea Cargo LLC, Gulzaad Market Building, 4th Floor, Room 2, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Habib ur Rahman, a.k.a., the following two aliases: – Hanif; and – Habib Rahman. Ghazni City, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Haji Khalil Construction Company, Wazir Akbar Khan, Road Number 10, In front of National Bank, District 10, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Hanif Computer Zone (HCZ), Ghazni City, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Heim German Afghan Khalil Company, Wazir Akbar Khan, District 10, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Ibrahim Haqqani, a.k.a., the following two aliases: – Hajji Sahib; – Maulawi Haji Ibrahim Haqqani Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Iqra Computer Products, a.k.a., the following two aliases: – Iqra IT solutions; and – Iqra Computer Store. A2 Ground Floor, City Computer Plaza, Shar-e-Naw, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Khalil Zadran, a.k.a., the following eight aliases: – Samar Gul Khalil; – Khalil Samar Gul; – Samer Khalil; – Samer Gul Khalil; – Khlil Khalil; – Kalil Khalil; – Khalil Khualil; – Haji Khalil. Shahreno, Kabul, Afghanistan. (See alternate address in Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Khalil Zadran Company, a.k.a., the following alias: – Khalil Construction. Afghanistan (See alternate address in Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Kurshid Ghoura, a.k.a., the following two aliases: – Kurshed Ghoura; and – Kursheed Ghoura. 501, 5th Floor, Amanullah Sancharaki Market Opp Chaman E Huzuri, Kabul, Afghanistan; and Flat No. 41 Block No. 24 Macroyan 3, Kabul, Afghanistan. (See alternate addresses under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Lapcom Computer Stores, A2 Ground Floor, City Computer Plaza, Shar-e-Naw, Kabul, Afghanistan. (See alternate address under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Mohammad Jan Khan Mangal, Kolola Pushta, Charahi Gul-e-Surkh, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Mohammad Jan Mangal Construction Company (MMCC), Kolola Pushta, Charahi Gul-e-Surkh, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Muhammad Halim Ghoura, 501, 5th Floor, Amanullah Sancharaki Market Opp Chaman E Huzuri, Kabul, Afghanistan; and Flat No. 41 Block No. 24 Macroyan 3, Kabul, Afghanistan. (See alternate addresses under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Ologh Beg International Forwarders Ltd., 501, 5th Floor, Amanullah Sancharaki Market Opp Chaman E Huzuri, Kabul, Afghanistan. (See alternate address under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Onyx Construction Company, Shahr-e-Now, Charahi Haji Yaqoub, In front of the AIB Bank, District 10, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Qazi Abdallah, a.k.a., the following four aliases: – Khan Dilawar; – Ibrahim Valid Javaid; – Jawid, Sa’id Jan ‘Abd-al-Salam; and – Ibrahim Walid Microrayan 3rd Apt. 45, Block No. 21, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Shan Mahmoud Khan Mangal, Kolola Pushta, Charahi Gul-e-Surkh, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Triangle Technologies, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Wahab Karwan Construction Company (WKCC), Qabel Boy, Jalalabad Road, District 9, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Zurmat Construction Company offices, House No. 319, 10th Street Wazeer Akbar Khan, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Zurmat Foundation, House No. 319, 10th Street Wazeer Akbar Khan, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Zurmat Group of Companies, House No. 319, 10th Street Wazeer Akbar Khan, Kabul, Afghanistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Zurmat Material Testing Laboratory, House 01, Street 01, Kart-e-3 (opposite of Habibia High School), Dar-ul-Aman Road, Kabul, Afghanistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| ARGENTINA | Huawei Cloud Argentina, Buenos Aires, Argentina. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Huawei Tech Investment Co., Ltd., Argentina, Av. Leandro N. Alem 815, C1054 CABA, Argentina. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| ARMENIA | Bold Bridge International, LLC, a.k.a. the following alias: – BB Bold Bridge International. Room 463, H. Hakobyan 3, Yerevan, Armenia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 77 FR 24590, 4/25/12. | |
| Markel Closed Joint Stock Company (Markel CJSC),
17, Apt 31, Mashtoc Avenue, Yerevan, Armenia, 375002; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Vertir Airlines, 8/3 D Angaght Street, 376009, Yerevan, Armenia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Veteran Avia LLC a.k.a., the following alias: – Veteran Airline. 64, Baghramyam Avenue, Apt 16, Yerevan 0033, Armenia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. 81 FR 8829, 2/23/16. 82 FR 2887, 1/10/17. | ||
| Yerevan Telecommunications Research Institute (YETRI) Closed Joint Stock Company (CJSC), 26, Dzorapy Street, 0015, Yerevan, Armenia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| AUSTRALIA | Huawei Technologies (Australia) Pty Ltd., L6 799 Pacific Hwy, Chatswood, New South Wales, 2067, Australia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| AUSTRIA | Gulf Gate Spedition GmbH, A-1040 Argentinierstrasse 35/6, Vienna, Austria. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | |
| BAHRAIN | Huawei Technologies Bahrain, Building 647 2811 Road 2811, Block 428, Muharraq, Bahrain. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Marzoghi Ltd., 12-20 Albaba Building 119 Road 1507, Manama, Bahrain. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Mohammed Marzoghi, 12-20 Albaba Building 119 Road 1507, Manama, Bahrain. (See also addresses in the United Arab (Emirates). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| BELARUS | 140 Repair Plant JSC, a.k.a., the following two aliases: – Open Joint Stock Company 140 Repair Plant; – JSC 140 Repair Plant. 19 Luysi Chalovskoy St., Borisov, 222512, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | |
| 558 Aircraft Repair Plant JSC, a.k.a., the following one alias: – JSC 558 ARP. 7 50 Years VLKSM St., Baranovichi, Brest region, 225320, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| 2566 Radioelectronic Armament Repair Plant JSC, a.k.a., the following one alias: – JSC 2566 ZRREV. 54 Gagarina St., Borisov, 222511, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| AGAT – Control Systems – Managing Company of Geoinformation Control Systems Holding JSC, a.k.a., the following one alias: – AGAT – Control Systems. 117/1 Nezavisimosti Ave., Minsk, 220114, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Agat-Electromechanical Plant OJSC, a.k.a., the following two aliases: – JSC Agat Electromechanical Plant; – Agat-Elektromekhanicheski Zavod. 6 Volgogradskaya St., Minsk, 220012, Belarus; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| AGAT-SYSTEM, 51B Francyska Skaryna St., Minsk, 220141, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| ATE-Engineering LLC, 15A Smolenskaya St., Minsk, 220088, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Bel Huawei Technologies LLC, a.k.a., the following one alias, – BellHuawei Technologies LLC. 5 Dzerzhinsky Ave., Minsk, 220036, Belarus. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Belmicrosystems Research and Design Center, Office 313, 12 Korzhenevsky Street, 20108 Minsk, Republic of Belarus; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| BelOMO Holding, a.k.a., the following one alias: – The Belarusian Optical and Mechanical Association. 23 Makaenka St., Minsk, 220114, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Belspetsyneshtechnika SFTUE, a.k.a., the following two aliases: – State-Owned Foreign Trade Unitary Enterprise Belspetsvneshtechnika; – BSVT. 8 Kalinovsky St., Minsk, 220103, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Beltechexport, CJSC, 86-B Nezavisimosti Ave., Minsk, 220012, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| BSVT-New Technologies, 187 Soltysa Street, Minsk, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Department of Internal Affairs of the Gomel Region Executive Committee, a.k.a., the following one alias: – UVD of the Gomel Region Executive Committee. 3 Kommunarov Street, Gomel, 246050, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| DMT Trading LLC, 89/2 Pobediteley Ave., 220020 Minsk, Belarus. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 13675, 3/6/23. | ||
| Internal Troops of The Ministry of Internal Affairs of the Republic of Belarus, a.k.a., the following one alias: – MVD Internal Troops. 4 Gorodskoi Val, Minsk, 220030, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Joint Stock Company Eleron, a.k.a., the following two aliases: – JSC FCS&HT “SNPO “Eleron”; – SNPO Eleron. 11 Kalinina Per., Minsk, 220012, Belarus. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| JSC Integral, a.k.a., the following two aliases: – OAO Integral; – Joint-Stock Company Integral – Holding Managing Company. 121A, Kazintsa I.P. Str., Minsk, 220108, Belarus; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. 87 FR 38925, 6/30/22. | ||
| KGB Alpha, a.k.a., the following three aliases: – the State Security Committee Alpha; – Alpha Group; – Group A. Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Kidma Tech OJSC, a.k.a., the following two aliases: – BSVT-New Technologies; – BSVT-NT. 187 Soltysa Street, Minsk, 220070, Belarus; | All items subject to the EAR. See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Minotor-Service, a.k.a., the following one alias: – Industrial-Commercial Private Unitary Enterprise Minotor-Service. 40 Radialnaya St., Minsk, 220070, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Minsk Wheeled Tractor Plant, a.k.a., the following two aliases: – MZKT; – Production Republican Unitary Enterprise Minsk Wheeled Tractor Plant. 150 Partizansky Avenue, Minsk, 220021, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Mohammad Ghassem Najafi, Unit 705, No. 103, Potbediteley Ave., Minsk, Belarus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Nilco Group, a.k.a., the following one alias: – Nilfam Khazar Co. Unit 705, No. 103, Potbediteley Ave., Minsk, Belarus (see alternate addresses under Iran and Russia.) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Oboronnye Initsiativy LLC, a.k.a., the following one alias: – LLC Defense Initiatives. 18 1st lane F. Skaryna, Minsk, 220070, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| OJS KB Radar Managing Company, a.k.a., the following two aliases: – JSC KB Radar; – KB Radar. 64A Partizanskyi Prospect, Minsk, 220026, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Peleng JSC, 25 Makaenka St., Minsk, 220114, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| SOE Semiconductor Devices Factory, Office 313, 12 Korzhenevsky Street, 20108 Minsk, Republic of Belarus; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| State Authority for Military Industry of the Republic of Belarus, 115 Nezavisimosti Avenue, Minsk, 220114, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| State Security Committee of the Republic of Belarus, 17 Nezavisimosti Avenue, Minsk, 220030, Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| The Ministry of Defence of the Republic of Belarus, including the Armed Forces of Belarus and all operating units wherever located. This includes the national armed services (army and air force), as well as the national guard and national police, government intelligence or reconnaissance organizations of the Republic of Belarus. All addresses located in Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Transaviaexport Airlines JSC, 44 Zakhariva Street, Minsk, 220034, Republic of Belarus. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Vasili Kuntsevich, Office 313, 12 Korzhenevsky Street, 20108 Minsk, Republic of Belarus; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| Volatavto OJSC, a.k.a., the following one alias: – NPP VOLATauto. 2/1 Kulman St., office 1-143, Minsk, 220013, Belarus; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| BELGIUM | Huawei Technologies Research & Development Belgium NV, Technologiepark 19, 9052 Zwijnaarde Belgium. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Industrial Metals and Commodities,
Goffarstraad 16, B-1050, Brussels, Belgium. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Nicolas Kaiga, a.k.a., the following one alias: Nicholas Kaiga
Goffarstraad 16, B-1050, Brussels, Belgium. (See alternate addresses under Netherlands and United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| BELIZE | Ecotherm-Cryo Limited, 1 | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | |
| Experian Holdings, Inc., N Eyre Str, Blake Bldg, Suite 302, Belize City, Belize 99008; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| BOLIVIA | Huawei Technologies (Bolivia) S.R.L., La Paz, Bolivia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| BRAZIL | Huawei Cloud Brazil, Sau Paulo, Brazil. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 8182, 2/14/22. 87 FR 21012, 4/11/22. 87 FR 55250, 9/9/22. | |
| Huawei do Brasil Telecomunicacões Ltda, Sao Paulo, Brazil; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 84 FR 43495, 8/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| BULGARIA | Dimitar Milanov Dimitrov,
G.K. Dianabad, BL.57, ET.11, AP.74. Sofia, Bulgaria. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | |
| Iskren Georgiev, 51 Aleksandar Malinov Blvd., Sofia 1712, Bulgaria. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Lyubka Hristova, 51 Aleksandar Malinov Blvd., Sofia 1712, Bulgaria. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Mariana Marinova Gargova, G.K. Dianabad, BL. 32, VH. V, AP. 53, 1172 Sofia, Bulgaria; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Mihaela Nenova, a.k.a., the following one alias: Mihaela Nenova-Muhy, 51 Aleksandar Malinov Blvd., Sofia 1712, Bulgaria. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Milan Dimitrov, UL.132, NO.14, ET.2, AP.11, Sofia, Bulgaria. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Multi Technology Integration Group EOOD (MTIG), G.K. Dianabad, BL. 32, VH. V, AP. 53, 1172 Sofia, Bulgaria; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Zhelyaz Andreev, 51 Aleksandar Malinov Blvd., Sofia 1712, Bulgaria. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| BURMA | FISCA Security & Communication Co., Ltd., No-1/B, FISCA Building, 9 Miles, Pyay Road, Mayangone Township, Yangon City, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for telecommunications infrastructure items described in Category 5 Part 1 or Category 5 Part 2 and consumer communications devices identified in § 740.19; Presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | |
| Huawei Technologies (Yangon) Co., Ltd., Yangon, Burma. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| King Royal Technologies Co., Ltd., a.k.a., the following one alias: – KRT. 4, Min Dhama Rd., Shwe Gabar 6th St, Shwe Gabar Housing, Mayangone, Yangon , Burma; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 35391, 7/6/21. | ||
| Ministry of Defence, a.k.a., the following two aliases: – Ministry of Defense; – MoD. Building 24, Nay Pyi Taw, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 13180, 3/8/21. | ||
| Ministry of Home Affairs, a.k.a., the following one alias: – MOHA. Building 10, Nay Pyi Taw, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 13180, 3/8/21. | ||
| Ministry of Transport and Communications, Office No. 2, Kyidaunggan, Naypidaw, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for telecommunications infrastructure items described in Category 5 Part 1 or Category 5 Part 2 and consumer communications devices identified in § 740.19; Presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | ||
| Myanmar Economic Corporation, a.k.a., the following one alias: – MEC. Corner of Ahlone Road and Strand Road, Ahlone Township, Yangon, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 13180, 3/8/21. 86 FR 35391, 7/6/21. | ||
| Myanmar Economic Holdings Limited, a.k.a., the following eight aliases: – MEHL; – Myanma Economic Holdings Limited; – Myanma Economic Holdings Public Company Limited; – Myanmar Business Holdings Public Company Limited; – Myanmar Economic Holdings Public Company Limited; – UMEH; – Union of Myanmar Economic Holdings Company Limited; – Union of Myanmar Economic Holdings Limited. 189-191 Maha Bandoola Road, Botahtaung Township, Yangon, Burma. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 13180, 3/8/21. | ||
| Myanmar Wanbao Mining Copper, Ltd., Yangon Office 70 (I)Bo Chein Street Pyay Road, Hlaing Township, Yangon, Burma. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 35391, 7/6/21. | ||
| Myanmar Yang Tse Copper, Ltd., 70/I, Bo Chein St., Ward (11), Hlaing, Yangon, Burma. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 35391, 7/6/21. | ||
| Naung Yoe Technologies Co., Ltd., No. 92, Thiri Yadanar Shopping Complex Nay Pyi Taw,Zabuthiri Tsp, Nay Pyi Taw, Burma; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for telecommunications infrastructure items described in Category 5 Part 1 or Category 5 Part 2 and consumer communications devices identified in § 740.19; Presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | ||
| Wanbao Mining, Ltd., 70 Bo Chain Ln, Yangon, Burma. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 35391, 7/6/21. | ||
| CANADA | Abou El-Khir Al Joundi, a.k.a., the following six aliases: – Abou El Kheir Joundi; – Abou Elkhir Al Joundi; – Abou Joundi Et Kheir; – Al Joundi; – Al Jundi; – Elkheir Aljoundi Abou. 2706 Carre Denise Pelletier, Montreal, Quebec, H4R 2T5 Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 23116 4/18/12. | |
| Alex Woolf, 2021 Atwater Street, Suite 216, Montreal, Quebec, Canada H3H2P2. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexandre Ivjenko, a.k.a., the following one alias: – Alexander Ivjenko, 7150 Rue Chouinard, Montreal, QC, H8N 2Z6 Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Ali Bakhshien, 909-4005 Bayview Ave., Toronto, Canada M2M 3Z9; and HSBC Tower, Suite 502, 3601 Highway 7 East, Markham, Ontario, L3R 0M3, Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54504, 9/22/08. 76 FR 71869, 11/21/11. | ||
| Anastasiya Ivjenko, 7150 Rue Chouinard, Montreal, QC, H8N 2Z6, Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Anastassia Voronkevitch, 7150 Rue Chouinard, Montreal, QC H8N 2Z6 Canada | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61249, 10/9/12, 78 FR 75463, 12/12/13. | ||
| Canada Lab Instruments, a.k.a., the following alias: SCO North America
5995 Gouin Ouest, #212, Montreal, Quebec, H4J 2P8 Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 23116 4/18/12. | ||
| CPUNTO Inc., a.k.a., the following one alias:
– CPUNTO. 5929 Route Transcanadienne Ste 130 St. Laurent, Quebec H4T 1Z6 Canada. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| EKT 2, Inc., 371 Renforth Drive, Etobicoke M9C 2L8, Toronto, Ontario, Canada | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 24590, 4/25/12. | ||
| Electronic Network Inc., a.k.a., the following six aliases:
– Electronic Network; – Electronic Network Holdings; – Electronic Network Holdings Inc.; – Electronic Network Incorporated; – Electronic Network Products Inc.; – Electronic’s Network & Technology Corp. 145 Montee De Liesse Ste 10 St. Laurent, Quebec H4T 1T9 Canada. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Enterprise Chips Hunter (ECH), 2021 Atwater Street, Suite 216, Montreal, Quebec, Canada H3H2P2. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Huawei Technologies Canada Co., Ltd., Markham, ON, Canada. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Ibrahim Nasir, 1902-1155 High Street, Coquitlam, BC, Canada V3B 7W4. (See alternate address in UAE). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Karim Daadaa, a.k.a., the following one alias: – Karim Hamdi Mohd El Daadaa. 235 Rue Maisonneuve, Laval, Canada. (See alternate addresses under Lebanon). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Kelvo Inc
6600 21st Avenue, Laval, Quebec H7R3G8, Canada; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Kitro Corporation, 909-4005 Bayview Ave., Toronto, Canada M2M 3Z9; and HSBC Tower, Suite 502, 3601 Highway 7 East, Markham, Ontario, L3R 0M3, Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54504, 9/22/08. 76 FR 71869, 11/21/11. | ||
| Liubov “Luba” Skvortsova, a.k.a., the following one alias: – Lubov Skvortsova, 7150 Rue Chouinard, Montreal, QC, H8N 2Z6 Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Magtech, a.k.a., the following one alias: – M.A.G. Tech, 5762 Royalmount Ave, Montreal, QC, H4P 1K5, Canada; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Maria Pashovkina, 7150 Rue Chouinard, Montreal, QC, H8N 2Z6, Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mercury Electronic Solutions, a.k.a., the following one alias: – Mercury Group International, 380 Vansickle Rd Unit 660, St. Catharines, ON L2126P7, Canada; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Modern Agropharmaceuticals & Trade Establishment, 235 Rue Maisonneuve, Laval, Canada. (See alternate addresses under Lebanon). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Natalie Sobolev, 5762 Royalmount Ave, Montreal, QC H4P 1K5, Canada; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Saeed Talebi, a.k.a., the following one alias: – Allen Talebi. P.O. Box 626, Gormley, ONT LOH 1G0 Canada (See alternate addresses under Iran and U.A.E.). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463 12/12/13. 85 FR 52901, 8/27/20. | ||
| Satco Corporation, P.O. Box 626, Gormley, ONT L0H 1G0 Canada | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Sputnik E, 7150 Rue Chouinard, Montreal, QC H8N 2Z6 Canada. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Zurab Kartvelishvili, a.k.a., the following one alias: George Kartveli. 7380 Vansickle Rd. Unit 660, St. Catharines, ON L2126P7, Canada; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61249, 10/9/12. 78 FR 75463, 12/12/13. | ||
| CHILE | Huawei Chile S.A., Santiago, Chile. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Huawei Cloud Chile, Santiago, Chile. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| CHINA, PEOPLE’S REPUBLIC OF | 4Paradigm Technology Co., Ltd., a.k.a., the following three aliases:
– 4Paradigm; – 4th Paradigm; – Fourth Paradigm. Building 1, No. 66 Qinghe Middle Street, Haidian District, Beijing, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | |
| 32Group China Ltd., Room 1905, 19/F, Nam Wo Hong Bldg., 148 Wing Lok Street, Sheung Wang, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. | ||
| 54th Research Institute of China, a.k.a., the following three aliases: – China Electronics Technology Group Corp. (CETC) 54th Research Institute; – Communication, Telemetry and Telecontrol Research Institute (CTI); – Shijiazhuang Communication Observation and Control Technology Institute. | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. | ||
| A.C. International, Room 1104, North Tower Yueziu City Plaza, No. 445 Dong Feng Zhong Rd., Guangzhou, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Academy of Military Medical Sciences, a.k.a., the following one alias: – AMMS. 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Field Blood Transfusion Institution, 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Basic Medicine, 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Bioengineering, 20 East Street, Fengtai District, Beijing, China 100071. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Disease Control and Prevention, a.k.a., the following one alias: – Disease Control and Prevention Institute. 20 East Street, Fengtai District, Beijing, China 100071. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Health Service and Medical Information, 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Hygiene and Environmental Medicine, No. 1 Dali Road, Heping District, Tianjin, 300050, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Medical Equipment, 106 Wandong Road, Hedong District, Tianjin, 300162, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Microbiology and Epidemiology, a.k.a, the following one alias: – Institute of Microbial Epidemiology. 20 East Street, Fengtai District, Beijing, 100071, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Radiation and Radiation Medicine, a.k.a., the following two aliases: – Institute of Radiation Medicine; – Institute of Electromagnetic and Particle Radiation Medicine. 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Institute of Toxicology and Pharmacology, a.k.a., the following one alias: – Institute of Toxicology and Drugs. 27 Taiping Road, Haidian District, Beijing, 100850, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Academy of Military Medical Sciences, Military Veterinary Research Institute, 666 Liuying West Road, Changchun City, 130122, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| ACTeam Logistics Ltd., Unit B1-B3, 21/F, Block B, Kong Nam Industrial Building, 603-609 Castle Peak Road, Tsuen Wan, N.T., Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. 85 FR 83769, 12/23/20. | ||
| Action Global, a.k.a., the following one alias: – Action Global Co., Limited. C/O Win Sino Flat 12, 9/F, PO Hong Centre, 2 Wang Tung Street, Kowloon Bay, KLN, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Aerosun Corporation, No. 188, Tianyuan Middle Road, Jiangning Economic and Technological Development Zone, Nanjing City, Jiangsu Province 211100; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| AGCU Scientech, a.k.a. the following two aliases: – AGCU ScienTech Incorporation; – Wuxi Zhongde Meilian Biotechnology Co., Ltd. No. 18-1, Wenhui Road, Huishan Economic Development Zone, Wuxi City, 214000 China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for items necessary to detect, identify and treat infectious disease; Presumption of denial for all other items subject to the EAR | 85 FR 83420, 12/22/20. | ||
| AIF Global Logistics Co., Ltd., 21FL, Room 2110 Number 122 Tiyu East Guangzhou, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Aispeed Industry Ltd., Number 5 Langshan Er Road Hi-Tech Zone, Nanshan, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Aksu District Public Security Bureau, a.k.a., the following one alias: – Aqsu District Public Security Bureau. Yingbin Rd., Akesu City XUAR 843000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Aksu Huafu Textiles Co., a.k.a., the following two aliases: – Akesu Huafu; – Aksu Huafu Dyed Melange Yarn. 992 Kilometers Place Wuka Road, Akesu, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| Altay Municipality Public Security Bureau, North West Rd., Altay City, XUAR, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Amaze International, Flat/Rm D, 11/F 8 Hart Avenue 8-10 Hart Avenue, Tsim Sha Tsui KL, Hong Kong (See alternate address under Singapore). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Anhui Cambricon Information Technology Co., Ltd., a.k.a., the following three aliases: – Anhui Cambrian; – Anhui Cambrian Information Technology; – Anhui Cambricon. No. 3333 Xiyou Road, High-tech Zone, Hefei City, Anhui Province, China Room 611-194, R&D Center Building, International Intelligent Voice Industrial Park. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Anvik Technologies Sdn. Bhd., a.k.a., the following eight aliases: – Anvik Technologies; – Cason Technologies; – Henan Electronics; – Hixton Technologies; – Hudson Technologies, Ltd.; – Hudson Engineering (Hong Kong) Ltd.; – Madison Engineering Ltd.; – Montana Advanced Engineering. Level 19, Two International Finance Centre, 8 Finance Street, Central, Hong Kong (See alternate addresses under Iran and Malaysia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| AOOK Technology Ltd., a.k.a., the following two aliases:
– AOOK; – AOOK Electronics. Rm 803 Chevalier Building 45-51 Chatham Rd S Tsim Sha Tsui Hong Kong, China. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Armyfly, a.k.a., the following three aliases: – Beijing Dongtu Junyue Technology; – Beijing Junyue Faixiang Technology; – Beijing Kyland Junyue Technology. 2nd Floor, Chongxin Creative Building, No. 18 Shixing East Street, Shijingshan Park, Zhongguancun Science Park, Shijingshan District, Beijing, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Arttronix International (HK) Ltd., a.k.a., the following one alias:
– Aderal Industrial (HK) Limited. Room 3A 25 Builidng A Zhihui Innovation Center Huashenghui 2nd Qianjin Road, Baoan District, Guangdong, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Asia International Trading Company, Room 1104, North Tower Yueziu City Plaza, No. 445 Dong Feng Zhong Rd., Guangzhou, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| At One Electronics, Unit 614, 6/F Block A, Po Lung Center, No. 11 Wang Chiu Road, Kowloon Bay, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| AVIC Research Institute for Special Structures of Aeronautical Composites, a.k.a., the following two aliases:
– AVIC RISAC; – AVIC 637th Research Institute. No. 19, Jiqi Road, Jinan, Shandong, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Avin Electronics Technology Co., Ltd. (AETC), Room 401, Yuepeng Building, Jiabin Road, Luohu District, Shenzhen, Guangdong, China; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 84 FR 21236, 5/14/19. 85 FR 83769, 12/23/20. | ||
| AZUP International Group Co., Ltd., a.k.a., the following one alias:
– Beijing AZUP Scientific Co., Ltd. Rm7-1-1, Langchao Xinxi Building, No. 2 Xinxi Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Babak Jafarpour, a.k.a., the following five aliases: – Bob Jefferson; – Peter Jay; – Sam Lee; – Samson Lee; – David Lee. Unit 501, 5/F, Global Gateway, 168 Yeung HK Road, Tsuen Wan, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Bako Cheung, Unit 803, Fourseas Building, 208-212 Nathan Road, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Baoding Giant Import and Export Co., Ltd., Room 905 Fubaoxiuyu Business Building A, No. 77 Fuxing Road, Baoding City, Hebei, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Baoding Shimaotong Enterprises Services Co., Ltd., 35 Baihua West Road, New Urban District, Baoding City, Hebei, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Baotou Guanghua Chemical Industrial Corporation (Parent Organization: China National Nuclear Group Corporation (CNNC)), a.k.a., the following five aliases: – 202 Plant, Baotou Nuclear Energy Facility; – Baotou Guanghua Chemical Industrial Corporation; – Baotou Guanghua Chemical Industry Company; – Baotou Nuclear Fuel Element Plant; – China Nuclear Baotou Guanghua Chemical Industry Company. 202 Factory Baotou, Inner Mongolia. | For all items subject to the EAR | See § 744.2(d) of this part | 66 FR 24266, 5/14/01 75 FR 78883, 12/17/10. 81 FR 64696, 9/20/16. | ||
| Bayingolin Mongolian Autonomous Prefecture Public Security Bureau, Yingxia Rd., Korla City, XUAR 841000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Beijing 8 Star International Co., Unit 601, 6th Floor, Tower 1, Prosper Center, No. 5, Guanghua Road, Chaoyang District, Beijing, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 12006, 3/8/16. | ||
| Beijing Aeronautical Manufacturing Technology Research Institute, a.k.a., the following two aliases: – BAMTRI; – Aviation Industry Corporation of China’s (AVIC) Institute 625. No. 1 East Military Village, North Baliqiao Station, Chaoyang District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of approval for EAR99; case-by-case review for all items on the CCL | 79 FR 24566, 5/1/14. 83 FR 3580, 1/26/18. | ||
| Beijing Aeronautics Yangpu Technology Investment Company (BAYTIC), a.k.a., the following three aliases: – Beijing Aerospace Yangpu Technology Investment Company; – Tian Hang Yang Pu Technology Investment Limited Company; – Bei Jing Tian Hang Yang Pu Technology Investment Limited Company. No. 27 Xiaoyun Road, Chaoyang District, Beijing 100027, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Beijing Cloudmind Technology Co., Ltd., a.k.a., the following two aliases: – Cloudminds Technologies Co., Ltd.; – Daxie Technology. Room 601-602, 4A Block, Baiziwan, Chaoyang District, Beijing 100022 China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Beijing Computational Science Research Center, a.k.a., the following three aliases: – BCSRC; – Beijing Computing Science Research Center; – CSRC. Bldg. 9 East Zone, ZPark II No. 10 East Xibeiwang Road, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Beijing E-science Co., Ltd., a.k.a, the following alias: – Beijing Yanjing Electronics Co., Ltd. No. 9 Jiuxianqiao East Rd, Chaoyang, Beijing, China 100015; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Beijing FJR Optoelectronic Technology Company Ltd, a.k.a, the following three aliases: – FJIR Optoelectronic Technology Company Ltd.; – Beijing Fu Jerry; – Fu Jirui. No. 2A Zhonghuan South Road, Wangjing, Chaoyang District, Beijing, China, 100102; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Beijing Geling Shentong Information Technology Co., Ltd., a.k.a., the following two aliases: – DeepGlint; – Deep Glint International. 1A025, 101, 1st Floor, No. 1, Wangjing East Road, Chaoyang District, Beijing, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Beijing HiFar Technology Co., Ltd., a.k.a., the following one alias:
– Beijing Huatian Haifeng Technology Co., Ltd. 10F, Unit 3 (Block C), 9th Floor, Building 2, Jinyuan Times Business Center, Landianchang East Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Beijing Highlander Digital Technology Co. Ltd, Bldg. 10, No. 7 yard, Dijin Rd., Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Beijing Hileed Solutions Co., Ltd., a.k.a, the following three aliases: Beijing Alite Technologies Co.; – ALCO; – Beijing Haili Lianhe Keji Youxian Gongsi. A36-2 Xisanqi Huanyuan Haidian District, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Beijing Huanjia Telecommunication Co., Ltd., a.k.a., the following one alias: – Beijing Huanjia Communication Co., Ltd. No. 2A Shuangquanpu, Deshengmenwai, Chaoyang District, Beijing, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Beijing Huawei Digital Technologies Co., Ltd., Beijing, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Beijing Institute of Technology, a.k.a., the following nine aliases:
– Beijing Institute of Technology, Advanced Technology Institute; – Beijing Institute of Technology, Chongqing Innovation Center; – Beijing Institute of Technology, Chongqing Microelectronics Research Institute; – Beijing Institute of Technology, Lunan Research Institute; – Beijing Institute of Technology, Shenzhen Automotive Research Institute; – Beijing Institute of Technology, Shenzhen Research Institute; – Beijing Institute of Technology, Southeast Research Institute; – Beijing Institute of Technology, Suzhou Research Institute; – Beijing Institute of Technology, Tangshan Research Institute. No. 5 South Zhongguancun Street, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83421 12/22/20. 87 FR 62202, 10/13/22. 88 FR 13675, 3/6/23. | ||
| Beijing Jincheng Huanyu Electronics Co., Ltd., Room 303, Building 7, No. 69, North Third Ring Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Beijing Lion Heart International Trading Company, a.k.a., the following one alias: – Wei Lai Xi Tong Ltd. Suite number 1819, The International Center of Times, Number 101, Shoa Yao Ju BeiLi, Chaoyang District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Beijing Liuhe BGI, a.k.a., the following one alias: – Beijing Liuhe Huada Gene Technology. Room 106, Building 1, No. 25, North Taipingzhuang Road, Haidian District, Beijing. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Beijing Machinery Industry Automation Research Institute Co., Ltd., a.k.a., the following three aliases:
– Beijing Research Institute of Automation for Machinery Industry; – RAIMB; – Beizi Institute. No. 113, Xinlong Road, Zhonglou District, Changzhou City, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Beijing Nanjiang Aerospace Technology Co., Ltd., Room 1104-2, Floor 11, Building 2, No. 19-1, Haidian Road, Haidian District, Beijing, China; and Room 813, Floor 8, Building 2, No. 19-1 Haidian Road, Haidian District, Beijing, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| Beijing Opto-Electronics Technology Company, a.k.a., the following one alias: – BOET No. 4, Jiuxianqiao Road, Chaoyang District, Beijing, China, 100015. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Beijing Sensetime Technology Development Co., Ltd., a.k.a., the following two aliases:
– Beijing Shangtang Technology Development Co., Ltd.; – Sense Time. 5F Block B, Science and Technology Building, Tsing-hua Science Park, Haidian District, Beijing, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19.
85 FR 34505, 6/5/20. 85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| Beijing Sinonet Science & Technology Co., Ltd., Building 5, Courtyard No. 7, Dijin Road, Haidian District, Beijing, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Beijing Ti-Tech Science and Technology Development Co., a.k.a., the following two aliases:
– Beijing Ti-Tech; – China Ti-Tech Development Co. Ltd. 5F, Building 5 Science and Technology Park, A-2 North Xisanhuan Road, Beijing 100081 China. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Beijing Tianhua, a.k.a., the following seventeen aliases: – Beijing Tianhua International Co., Ltd.; – Beijing BUAA Tianhua Technology Company; – Beijing BUAA Tianhua Technology Co., Ltd.; – Beijing Aerospace Technology Limited Liability Company; – Beihang Tenfine Industry Group; – Beijing Beihang Assets Management Co., Ltd.; – Beijing Beihang Science & Technology Co., Ltd.; – Beijing Aerospace Technology LLC; – Beijing North China Aerospace Science & Technology Ltd., Co.; – Beijing North Space Technology Co., Ltd.; – Beijing the Tianhua Easytouch International Trade Co., Ltd.; – North and Astronautics, Beijing China Times Technology Co., Ltd.; – Beijing Beihang Haier Software Co., Ltd.; – Red Technology; – TRW Navigation Communication Technology Co., Ltd.; – Beijing North Aerospace Co-Technology Co., Ltd.; and – Beijing Full Three Dimensional Power Engineering Co., Ltd. 37 Xue Yuan Rd., Beijing, China; and | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463 12/12/13. 87 FR 51877, 8/24/22. | ||
| Beijing UniStrong Science & Technology Co., Ltd.,
Courtyard 8, Kechuang 12th Street, Daxing District Beijing, Beijing, 100176 China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Beijing University of Aeronautics and Astronautics (BUAA), a.k.a., the following eleven aliases:
– Beihang University; – Beihang University Dongying Research Institute; – Beihang University Hangzhou Innovation Institute; – Beihang University Hefei Innovation Institute; – Beihang University Jiangxi Research Institute; – Beihang University Ningbo Innovation Institute; – Beihang University Qingdao Research Institute; – Beihang University Shenzhen Research Institute; – Beihang University Suzhou Innovation Institute; – Beihang University Taizhou Research Institute; – Beihang University Yunnan Innovation Institute. 37 Xueyuan Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 66 FR 24266, 5/14/01. 70 FR 54629, 9/16/05. 75 FR 78877, 12/17/10. 88 FR 13675, 3/6/23. | ||
| Beijing University of Posts and Telecommunications (BUPT), a.k.a., the following two aliases:
– Beijing University of Posts and Telecommunications, Hangzhou Research Institute; – Beijing University of Posts and Telecommunications, Shenzhen Research Institute. No. 10 Xitucheng Rd., Haidian District Beijing 100876, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. 88 FR 13675, 3/6/23. | ||
| Beijing Vision Strategy Technology Co., Ltd., a.k.a., the following one alias:
– BVST. Room 509-1, 5th Floor, Building 23, Shangdi Jiayuan, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Beijing Yunze Technology Co., Ltd., a.k.a., the following three aliases:
– Beijing Yunze; – Beijing Yunze Technology Company; – Yunze Beijing. West of Floor 1, Building 7, Jiajia Garden Courtyard 15, Fengtai Beijing 100000 China; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Beijing Zhengyuan Chuangshi Consulting Co., Ltd., Room 410, 4th floor, Building 3, No. 9 Guang’an Road, Fengtai District, Beijing, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) | 88 FR 13675, 3/6/23. | ||
| BGI Research, a.k.a., the following four aliases:
– BGI Genomics Institute; – Shenzhen BGI Life Science Research Institute; – Shenzhen Huada Gene Research Inst.; – Shenzhen Huada Gene Research Institute. Building 11 Beishan Industrial Zone Yantian District, Shenzhen, China, 518085. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | ||
| BGI Tech Solutions (Hongkong) Co., Ltd., a.k.a., the following three aliases:
– BGI Tech Solutions (Hongkong) Co., Ltd.; – Hong Kong Huada Gene Technology Service Co., Ltd.; – Hong Kong Huada Laboratory Co., Ltd. Tai Po Industrial Estate, 16 Dai Fu St Tai Po, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | ||
| Bing Lu, Room 804 Sino Center, 582-592 Sino Center Road, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 85 FR 83769, 12/23/20. | ||
| Biznest, LTD, Room 927 9/F Far East Consortium Building, 121 Des Voeux Road C, Central District, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44259, 7/25/11. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Blueschip Company Limited, R1811 B Building, Jiahe Tower, No. 3006 Shennan Middle Road, Shenzhen, China 518031; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Boertala Mongolian Autonomous Prefecture Public Security Bureau, a.k.a., the following one alias: – Bortala Mongolian Autonomous Prefecture Public Security Bureau. Qingdeli St., Bole City, XUAR, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| BOP Opto-Electronics Technology Company, a.k.a., the following one alias: – Beijing BOP Electro-Optics. No. 10, Jiuxianqiao North Road, Chaoyang District, Beijing, China, 100016; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| BVI Electronics, B28 10/F Nanfang Da Sha, XIDI Ernalu GangZhou, China 511486; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 85 FR 83769, 12/23/20. | ||
| Calvin Law, Flat 2808, 28/F, Asia Trade Centre, 79 Lei Muk Road, Kwai Chung, N.T., Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 84 FR 40241, 8/14/19. 85 FR 83769, 12/23/20. | ||
| Cambricon (Hong Kong) Co., Ltd., a.k.a., the following five aliases:
– Cambrian Hong Kong; – Cambrian (Hong Kong) Co., Ltd.; – Cambricon Hong Kong; – Hong Kong Cambrian; – Hong Kong Cambricon. RM19C Lockhart CTR 301-307, Lockhart Rd. Wan Chai, Hong Kong. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Cambricon Jixingge (Nanjing) Technology Co., Ltd., a.k.a., the following three aliases:
– Cambrian Jixingge (Nanjing) Technology Co., Ltd.; – Cambricon Xingge; – Cambrian Xingge. 100 Tianjiao Road, Qilin Science and Technology Innovation Park, Nanjing, Room 201, 11th Floor, Building A, Qiaomengyuan, Nanjing, Jiangsu, China | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Cambricon (Kunshan) Information Technology Co., Ltd., a.k.a., the following seven aliases:
– Cambrian (Kunshan) Information Technology Co., Ltd.; – Cambricon Kunshan IT; – Cambrian Kunshan IT; – Cambricon Kunshan; – Cambrian Kunshan; – Kunshan Cambricon; – Kunshan Cambrian. Room 5, No. 232 Yuanfeng Road, Yushan Town, Kunshan City, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Cambricon (Nanjing) Information Technology Co., Ltd., a.k.a., the following five aliases:
– Cambrian Nanjing Information Technology Co., Ltd.; – Cambricon Nanjing IT; – Cambrian Nanjing IT; – Nanjing Cambricon; – Nanjing Cambrian. Room 201, 11th Floor, Building A, Qiaomengyuan, Nanjing, Jiangsu, China, | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Cambricon Technologies Corporation Limited, a.k.a., the following four aliases:
– Cambrian; – Cambrian Technologies Corporation; – Cambricon; – Zhongke Cambricon Technology. Room 1601, 16th Floor, Block D, Zhizhen Building, No. 7 Zhichun Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Cambricon (Xi’an) Integrated Circuit Co., Ltd., a.k.a., the following five aliases:
– Cambrian (Xi’an) Integrated Circuit; – Cambricon (Xi’an) IC; – Cambrian (Xi’an) IC; – Xi’an Cambricon; – Xi’an Cambrian. Xi’an, Fengdong New Town, Xi’an City, Shaanxi Province, 24th Floor, | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Caprice Group Ltd., Room 1119, 11/F, Block B1, Yau Tong Industrial City, 17 Ko Fai Road, Yau Tong, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Center for High Pressure Science and Technology Advanced Research, a.k.a., the following two aliases: – HPSTAR; – Beijing High Voltage Science Research Center. No. 1690 Cailun Rd. Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Centre Bright Electronics Company Limited, Unit 7A, Nathan Commercial Building 430-436 Nathan Road, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| CETC Cloud (Beijing) Technology Co., Ltd., a.k.a., the following five aliases:
– CETC Cloud Technology Co., Ltd.; – Dianke Cloud (Beijing) Technology Co., Ltd.; – Dianke Cloud Technology Co., Ltd.; – China Electronic Technology Cloud Corporation; – CEC Cloud. 4th Floor, Building 3, Yard 30, Jinfu Road, Shijingshan District, Beijing, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| CETC LES Information System Group Co., Ltd., a.k.a., the following six aliases:
– CLP LES Information System Group Co., Ltd.; – CLP Rice Information System Group Co., Ltd.; – CLP Rice Information System Co., Ltd.; – Electric LES; – CETC LES; – Electric Coles. No. 1 Alfalfa Garden East Street, Qinhuai District, Nanjing, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Changji Esquel Textile Co. Ltd., a.k.a., the following one alias: – Changji Yida Textile. No. 12 Oasis South Road, Changji City, Changji State, Xinjiang (District 55, 2 Hills); | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Changji Hui Autonomous Prefecture Public Security Bureau,
56 Yan’an N Rd., Changji City, XUAR 831100, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Changsha Jingjia Microelectronics Co., Ltd.,902, Building B1, Lugu Science and Technology Innovation Pioneer Park, 1698 Yuelu West Ave., Changsha High-tech Development Zone; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 71560, 12/17/21.
87 FR 62202, 10/13/22. | ||
| Changzhou Guoguang Data Communications Co., Ltd.,
Block C, No. 52 Songtao Rd, Zhonglou Economic Development Zone, Changzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Channel Rich Electronics Company Limited, Unit 803, Fourseas Building, 208-212 Nathan Road, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Chen Qu, a.k.a., the following one alias: – Chen Choo
No. 4 Nanhuan Road, Jinzhou City, Hubei Province, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 84 FR 40241, 8/14/19. | ||
| Chen Zhouqian, a.k.a., the following one alias: – Zhou Qian. Room 1811, B Bldg., Jiahe Tower, No. 3006 Shennan Middle Rd., Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Chengdu Fine Optical Engineering Research Center,
No 3 Keyuan, 1st Road, Chengdu Hi-Tech Zone, Chengdu, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Chengdu GaStone Technology Co., Ltd. (CGTC), a.k.a., the following four aliases: – Chengdu Jiashi Technology Co.; – Chengdu HiWafer Semiconductor; – Chengdu Haiwei Technology; – Chengdu Zenith. 31F, A Tower, Yanlord Square, No. 1, Section 2, Renmind South Road, Chengdu China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. 81 FR 14958, 3/21/16. 83 FR 37427, 8/1/18. | ||
| Chengdu Haiguang Integrated Circuit, a.k.a., the following two aliases:
– Hygon; – Chengdu Haiguang Jincheng Dianlu Sheji. China (Sichuan) Free Trade Zone, No. 22-31, 11th Floor, E5, Tianfu Software Park, No. 1366, Middle Section of Tianfu Avenue, Chengdu High-tech Zone, Chengdu, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 29373, 6/24/19.
87 FR 62202, 10/13/22. | ||
| Chengdu Haiguang Microelectronics Technology, a.k.a., the following two aliases:
– HMC; – Chengdu Haiguang Wei Dianzi Jishu. China (Sichuan) Free Trade Zone, No. 23-32, 12th Floor, E5, Tianfu Software Park, No. 1366, Middle Section of Tianfu Avenue, Chengdu High-tech Zone, Chengdu, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 29373, 6/24/19.
87 FR 62202, 10/13/22. | ||
| Chengdu Huawei High-Tech Investment Co., Ltd., Chengdu, Sichuan, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Chengdu Huawei Technologies Co., Ltd., Chengdu, Sichuan, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Chengdu Latest Electronics Technology Company, No. 2069 West Yuanda Road, Pixian Modern Industry Harbor South District, Chengdu, Sichuan, China 611730; Suite 1-6-1702, West Diaoyu Yaijia Garden, Haidian District, Beijing, China 100142; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Chengdu Spaceon Technology Co., Ltd., a.k.a., the following one alias: – Tianao Electronics Co., Ltd. No. 88 Xinye Road, West High Tech Zone, Chengdu, China; | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Chengdu Xiwu Security System Alliance Co., Ltd., a.k.a., the following two aliases: – Chengdu Xiwuxinan Intelligent System Co., Ltd.; – XWSESA No. 7, Section 4, Renmin South Road, Wuhou District, Chengdu, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| China Academy of Electronics and Information Technology, a.k.a., the following two aliases: – CAEIT; – CETC CAEIT. 11 Shuangyuan Road, Badachu High-Tech Park, Shijingshan District, Beijing, China. (See alternative address under United Kingdom.) | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| China Academy of Science – Shenyang Institute of Automation, No. 114 Nanta Street, Shenyang, Liaoning, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| China Academy of Space Technology 502 Research Institute, a.k.a., the following three aliases: – 502 Research Institute; – Beijing Institute of Control Engineering; – BICE. No. 31 Zhongguancun Nan Street, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| China Academy of Space Technology 513 Research Institute, a.k.a., the following three aliases: – 513 Research Institute; – Shandong Institute of Space Electronic Technology; – SISET. No. 513 Spaceflight Road, High-Tech Zone, Shandong, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| China Aerodynamics Research and Development Center (CARDC).
Sichuan Province. | For all items subject to the EAR | See § 744.3 of this part | 64 FR 28910, 5/28/99. 81 FR 64696, 9/20/16. | ||
| China Aerospace Science and Industry Corporation Second Academy, a.k.a., the following eight aliases, and thirteen subordinate institutions: – China Changfeng Mechanics and Electronics Technology Academy; – China Chang Feng Mechano-Electronic Engineering Academy; – CASIC Second Academy; – China Chang Feng Mechano-Electronic Engineering Company; – CASIC Academy of Defense Technology; – Second Research Academy of CASIC; – Changfeng Electromechanical Technology Design Institute; – China Chang Feng Mechanics and Electronics Technology Academy. Second Design Department, a.k.a., the following two aliases: – Beijing Institute of Electronics Systems Engineering; – Second Planning Department. 23rd Research Institute, a.k.a., the following two aliases: – Beijing Institute of Radio Measurement; – BIRM. 25th Research Institute, a.k.a., the following one alias: – Beijing Institute of Remote Sensing Equipment. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. | ||
201 Research Institute, a.k.a., the following one alias: – Aerospace Science and Technology Defense Technology Research and Experimental Center. 203rd Research Institute, a.k.a., the following two aliases: – Beijing Radio Measurement and Testing Institute; – Beijing Institute of Radio Metrology and Measurement. 204th Research Institute, a.k.a., the following two aliases: – Beijing Institute of Computer Applications and Simulation Technology; – 706th Research Institute. 206th Research Institute, a.k.a., the following two aliases: – Beijing Institute of Mechanical Equipment; – Beijing Institute of Machinery and Equipment. 207th Research Institute, a.k.a., the following three aliases: – Beijing Guangda Optoelectronics; – Beijing Institute of Environmental Features; – Beijing Institute of Environmental Characteristics. | |||||
208th Research Institute, a.k.a., the following one alias: – Beijing Electronic Document Service Center. 210th Research Institute, a.k.a., the following one alias: – Xian Changfeng Electromechanical Institute. 283 Factory, a.k.a., the following one alias: – Beijing Xinfeng Machinery Factory. 284 Factory, a.k.a., the following two aliases: – Beijing Changfeng Machinery Factory; – Beijing Changfeng Xinlian Project Management. 699 Factory, a.k.a., the following one alias: – Beijing Xinli Machinery Factory. | |||||
| The following addresses apply to the entity and to the thirteen subordinate institutions:
50 Yongding Road, Haidian District, Beijing, China; | |||||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy, a.k.a., the following three aliases: – China Haiying Electro-Mechanical Technology Academy (CHETA); – HiWING Mechanical & Electrical Technology Corporation; – Beijing HY Electronic Tech Co No. 1 Haiying Rd, Fengtai Technology District, Tower 1, 7/F, Beijing; | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy’s 159 Factory, a.k.a., the following two aliases: – 159th Factory; – Beijing Xinghang Electromechanical Equipment Factory No. 9, DongWangzuo North Road, Yungang, Fengtai District, Beijing, 100074 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy’s 239 Factory, a.k.a., the following two aliases: – 239th Factory; – Beijing Hangxing Machinery Manufacturing Corporation., Ltd No. 11 Hepingli East Street, Dongcheng District, Beijing 100013 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy, 31 Research Institute, a.k.a., the following two aliases: – 31st Institute; – Beijing Power Machinery Institute. No. 17, Yungang West Road, Fengtai District, Beijing | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24266, 5/14/01. 75 FR 78877, 12/17/10. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy, 33 Research Institute, a.k.a., the following two aliases: – 33rd Institute; – Beijing Automation Control Equipment Institute (BACEI) No. 1, Yungang Beili, Fengtai District, Beijing 100074 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Industry Corporation (CASIC) 3rd Academy, 35 Research Institute, a.k.a, the following two aliases: – 35th Institute; – Huahang Institute of Radio Measurement No. 3 South Street, Hepingli East Road, Dongcheng, Beijing, 100013 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 1st Academy 12 Research Institute, a.k.a., the following two aliases: – Beijing Aerospace Automatic Control Institute (BICD); – 12th Institute 51 Yong Ding Road, Beijing; | For all items subject to the EAR | See § 744.3 of this part | 64 FR 28909, 5/28/99. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 1st Academy 702 Research Institute, a.k.a., the following two aliases: – 702nd Institute; – Beijing Institute of Structure and Environmental Engineering (BISE) No. 30 Wanyuan Road, Beijing | For all items subject to the EAR | See § 744.3 of this part | 64 FR 28909, 5/28/99. 75 FR 78877, 12/17/10. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 1st Academy First Design Department, a.k.a., the following one alias: – 1st General Design Department 1 South Dahongmen Road, Fengtai District, Beijing 100076 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 8th Academy, and the following three aliases: – Shanghai Academy of Spaceflight Technology (SAST); – Shanghai Institute of Space; – MOA#8 Academy Shanghai Spaceflight Tower, 222 Cao Xi Road, Shanghai, 200233; | For all items subject to the EAR | See § 744.3 of this part | 64 FR 28909, 5/28/99. 75 FR 78877, 12/17/10. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 8th Academy 811 Research Institute, and the following two aliases: – 811th Institute; – Shanghai Institute of Space Power Sources 388 Cang Wu Road, Shanghai; | For all items subject to the EAR | See § 744.3 of this part | 64 FR 28909, 5/28/99. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 9th Academy 13 Research Institute, a.k.a., the following four aliases: – 13th Institute; – Beijing Institute of Aerospace Control Devices (BIACD); – 230 Factory; – Beijing Aerospace Times Optical-Electronic Technology Co., Ltd No. 1 Fengying East Road, Haidian District, Beijing 100094 | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24265, 5/14/01. 75 FR 78877, 12/17/10. 84 FR 40241, 8/14/19. | ||
| China Aerospace Science and Technology Corporation (CASC) 9th Academy 771 Research Institute, a.k.a., the following five aliases: – Xi’an Institute of Microelectronics; – Xi’an Microelectronics Technology Institute; – XMTI; – 771 Research Institute; – Lishan Microelectronics Company. No. 198 Taibai South Road, Shaanxi, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| China Aerospace Science and Technology Corporation (CASC) 9th Academy 772 Research Institute, a.k.a., the following four aliases:
– 772 Research Institute; – Beijing Institute of Microelectronics Technology; – Beijing Microelectronics Technology Institute; – BMTI. No. 2, Siyingmen North Road, Donggaodi, Fengtai District, Beijing, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 51877, 8/24/22.
87 FR 62202, 10/13/22. | ||
| China Communications Construction Company Dredging Group Co. Ltd., a.k.a., the following two aliases: – CCCC Dredging (Group); – CCCC Dredging. Zhongjiao Building, Block A Desheng, International Beijing, 100088 China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Communications Construction Company Guangzhou Waterway Bureau, a.k.a., the following two aliases: – CCCC Guangzhou Waterway Bureau; – CCCC Guangzhou Dredging Company. 29th Floor, No. 298 Lijiao Road, Haizhu District, Guangzhou, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Communications Construction Company Ltd., No. 85 Deshengmenwai St. Xicheng District, Beijing 100088, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China Communications Construction Company Second Navigation Engineering Bureau, a.k.a., the following three aliases: – CCCC Second Navigation Engineering Bureau; – China Communications Second Navigation Engineering Bureau; – CCCC Second Aviation Engineering Bureau. 11 Jinyinhu Road, Dongxihu District, Wuhan City, Hubei Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Communications Construction Company Shanghai Waterway Bureau, a.k.a., the following two aliases: – CCCC Shanghai Waterway Bureau; – CCCC Shanghai Dredging Company. No. 13, Zhongshan East First Road, Huangpu District, Shanghai, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Communications Construction Company Tianjin Waterway Bureau, a.k.a., the following two aliases: – CCCC Tianjin Waterway Bureau; – CCCC Tianjin Dredging Company. Building 9, Shipping Service Center, Yuejin Road, Tianjin Port Free; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Electronics Technology Group Corporation, 7th Research Institute (CETC-7), a.k.a., the following one alias: – Guangzhou Institute of Communications. No. 381, Xingang Middle Road, Haizhu District, Guangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Electronic Technology Group Corporation No. 11 Research Institute, a.k.a, the following three aliases, – North China Research Institute of Electro-Optics (NCRIEO); – China North Research Institute of Electro-Optics; – CETC 11th Research Institute (CETC 11th RI). – Beijing North China Lai Yin Opto-Electronics Technology Company. – CETC Infrared or CETC IR. No. 10, Jiuxianqiao North Road, Chaoyang District, Beijing, China, 100016; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13), a.k.a., the following six aliases:
– Hebei Semiconductor Research Institute; – HSRI; – Hebei Institute of Semiconductors; – Hebei Semiconductor Institute; – Hebei Semiconductor; – CETC Research Institute 13. 113 Hezuo Road, Shijiazhuang, Hebei, China; and 21 Changsheng Street, Shijiazhuang, Hebei, China; and 21 Changsheng Road, Shijiazhuang, Hebei, China. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e). | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Bowei Integrated Circuits – Hebei Bowei Integrated; – Hebei Bowel Technology; – Shijuang Bowei. 113 Hezuo Road, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Envoltek, a.k.a., the following one alias:
– Hebei Envoltek Electronics. 21 Changsheng Street, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution:
– Hebei Brightway International, 21 Changsheng Street, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Hebei Medicines Health, 113 Hezuo Road, Shijiazhuang, Hebei, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Hebei Poshing Electronics, a.k.a., the following three aliases:
– Hebei Poshing Electronics – Hebei Poshing Elec.; – Hubei Poshing Electronics. 113 Hezuo Road, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Hebei Puxing Electronic 113 Hezuo Road, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Hebei Sinopack Electronics, a.k.a., the following one alias:
– Hebei Sinapack Elec. 113 Hezuo Road, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Micro Electronic Technology, a.k.a., the following three aliases:
– Micro Electronic Technology Development Application Corp; – METDA; – METDAC. 113 Hezuo Road, Shijiazhuang, Hebei, China. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e). | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: MT Microsystems,
113 Hezuo Road, Shijiazhuang, Hebei, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: North China Integrated Circuit Corporation 21 Changsheng Road, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Shijiazhuang Development Zone Maiteda Microelectronics Technology Development and Application Corporation,
21 Changsheng Street, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 13th Research Institute (CETC 13) subordinate institution: Tonghui Electronics, a.k.a., the following one alias:
– Tonghui Electronics Technology. 21 Changsheng Street, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 87 FR 77508, 12/19/22. | ||
| China Electronics Technology Group Corporation 14th Research Institute (CETC 14), a.k.a., the following seven aliases, and two subordinate institutions: – Nanjing Research Institute of Electronics Technology; – NRIET; – Nanjing Electronics Technology Institute; – Ministry of Information Industry Electronics; – No 14 Research Institute; – Research Institute 14; – CETC Research Institute 14. Nanjing SunSea Industry Corporation. Nanjing Institute of Radio Technology. The following addresses apply to the entity and the two subordinate institutions: No 1 Dinghuaimen, Nanjing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. | ||
| China Electronics Technology Group Corporation 29 (CETC 29) Research Institute, a.k.a., the following ten aliases: – CETC 29th Research Institute; – China Southwest Electronic Equipment Research Institute (SWIEE); – 29 (SIWEI Co) Institute; – SIWI Electronics Corporation; – Chengdu SIWI Electronics Inc.; – Chengdu SIWEI Electronics Company; – Chengdu 29 Institute; – Si Wei Company 29th Institute; – SIWI Group; – Southwest China Institute of Electronics No. 496 West Yingkang Road, Chengdu, Sichuan Province 610036, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44680, 8/1/14. 80 FR 69856, 11/12/15. | ||
| China Electronics Technology Group Corporation, 30th Research Institute (CETC-30), a.k.a., the following one alias: – Southwest Communication Research Institute. No. 6, Chuangyue Road, High-Tech Zone of Xiaojiahe Street, Chengdu, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| China Electronics Technology Group Corporation 38th Research Institute (CETC 38), a.k.a., the following seven aliases, and seven subordinate institutions: – Hefei Institute of Electronic Engineering; – Southwest China Research Institute of Radar Technology; – East China Research Institute of Electronic Engineering; – ECRIEE; – No 38 Research Institute; – Research Institute 38; – CETC Research Institute 38. Anhui Sun-Create Electronics. Anhui Bowei Chang An Electronics. ECU Electronic Industrial. Hefei ECU-TAMURA Electric. Anhui Bowei Guangcheng Information Technology. Anhui Bowei Ruida Electronics Technology. The following addresses apply to the entity and to the seven subordinate institutions: 199 Xiangzhang Ave., Hefei, Anhui, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 85 FR 34497, 6/5/20. | ||
| China Electronics Technology Group Corporation 43 Research Institute, a.k.a., the following three aliases: – East China Research Institute of Microelectronics; – ECRIM; – CETC 43. No. 19, Hehuan Road, High-tech Zone, Hefei City, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| China Electronics Technology Group Corporation 48th Research Institute, a.k.a., the following one alias:
– CETC 48 Institute. No. 1025, Xinkaipu Road, Tianxin District, Changsha City, Hunan, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| China Electronics Technology Group Corporation 52nd Research Institute, a.k.a., the following three aliases: – CETC 52; – CETHIK Group; – China Electronics Technology HIK Group Co., Ltd. 198 Aicheng Street, Wuchang Avenue, Yuhang District, Hangzhou; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| China Electronics Technology Group Corporation 55th Research Institute (CETC55), a.k.a., the following three aliases, and three subordinate institutions: – Nanjing Electronic Devices Institute; – CETC Research Institute 55; – NEDI. 524 Zhongzhan East Road, Nanjing, Jiangsu, China; 2nd Floor, B4 Block, Jiulonghui Park, No. 19 Suyuan Avenue, Nanjing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. 85 FR 34497, 6/5/20. | ||
| China Electronics Technology Group Corporation 58 Research Institute, a.k.a., the following two aliases: – Wuxi Microelectronics Research Center; – CETC 58. No. 777 Jianzhu West Road, Wuxi City, China, | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| China Electronics Technology Group Corporation No. 28 Institute, a.k.a., the following eight aliases:
– The 28th Research Institute of China Electronics Technology Group Corporation; – 28th Research Institute of China Electronics Technology Group Corporation; – CETC 28; – CETC28; – The 28th Institute; – Nanjing Institute of Electronic Engineering; – NRIEE; – NIEE. Houbiaoying Rd., Bai Xia Qu, Nanjing, Jiangsu, China, 210095; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| China General Nuclear Power Corporation (CGNPC), a.k.a., the following one alias: – China Guangdong Nuclear Power Corporation South Building, CGN Tower, 2002 Shennan Boulevard, Futian District, Shenzhen, Guangdong Province, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| China General Nuclear Power Group, South Building, CGN Tower, 2002 Shennan Boulevard, Futian District, Shenzhen, Guangdong Province, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| China HEAD Aerospace Technology Co., a.k.a., the following seven aliases:
– China HEAD; – China HEAD Technology Co; – HEAD Aerospace; – HEAD Aerospace Group; – HEAD Aerospace Netherlands; – HEAD France; – HEAD Technology France. 5F, Bldg 5, Science and Technology Park, A-2 North Xisanhuan Road, Haidian District, Beijing 100081, P.R. China; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| China Jiuyuan Trading Corporation, a.k.a., the following three aliases: – China Long Term Material Trading Company; – China Long-Standing Material Trading Company; – China Jiuyuan High-Tech Equipment Company. 64 Mianshan Road, Mianyang City, Sichuan, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| China National Scientific Instruments and Materials (CNSIM), a.k.a. the following four aliases: – CSIMC; – China National Scientific Instruments and Materials Corporation; – China Scientific Equipment Co., Ltd.; – Sinopharm Equipment. Building 1, No. 19, Taiyanggong Road, Chaoyang District, Beijing, 100028, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for items necessary to detect, identify and treat infectious disease; Presumption of denial for all other items subject to the EAR | 85 FR 83420, 12/22/20. | ||
| China Nuclear Power Technology Research Institute Co. Ltd.,
47 F/A Jiangsu Building, Yitian Road, Futian District, Shenzhen, 518026, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| China State Shipbuilding Corp. – Systems Engineering Research Institute, No. 16 Cuiwei Rd., Haidian Dist, Beijing 100036; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 7th Research Academy, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 7th Research Academy; – China Ship Research and Development Academy. No. 2 Shuangquan Baojia, Chaoyang District, Beijing, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 12th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 12th Research Institute; – Thermal Processing Technology Research Institute, a.k.a., Hot Working Technology Research Institute. Xicheng District, Xiping, Shaanxi Province; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 701st Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 701st Research Institute; – China Ship Design and Research Center. No. 268 Ziyang Road, Wuchang District, Wuhan, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 702nd Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 702nd Research Institute; – China Ship Scientific Research Center (CSSRC). No. 222 Shanshui East Road, Binhu District, Wuxi, Jiangsu Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 703rd Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 703rd Research Institute; – Harbin Marine Boiler and Turbine Research Institute. No. 35 Honghu Road, Daoli District, Harbin; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 704th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 704th Research Institute; – Shanghai Marine Equipment Research Institute (SMERI). No. 10 Hengshan Road, Xuhui District, Shanghai, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 705th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 705th Research Institute; – Xi ‘an Precision Machinery Research Institute. No. 18, Gaoxin 1st Road, High-tech Development Zone, Xi’an, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 707th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 707th Research Institute; – Tianjin Navigational Instrument Research Institute. No. 268, Dingzigu 1st Road, Hongqiao District, Tianjin, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 709th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 709th Research Institute; and – Wuhan Digital Engineering Institute. No. 718, Luoyu Road, Hongshan District, Wuhan, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 710th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 710th Research Institute; – Yichang Testing Technology Research Institute a.k.a. Yichang Institute of Testing Technology. No. 58 Shengli 3rd Road, Yichang, Hubei Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 711th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 711th Research Institute; – Shanghai Marine Diesel Engine Research Institute. No. 3111 Huaning Road, Minhang District, Shanghai, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 712th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 712th Research Institute; – Wuhan Marine Electric Propulsion Equipment Research Institute. Nanhu Garden City, Hongshan District, Wuhan City, Hubei Province; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 713th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 713th Research Institute; – Zhengzhou Institute of Mechanical and Electrical Engineering. No. 126 Jingguang Middle Road, Zhengzhou, Henan Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 714th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 714th Research Institute; – Ship Information Research Center. No. 2, Shuangquan Baojia, Chaoyang District, Beijing, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 715th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 715th Research Institute; – Hangzhou Institute of Applied Acoustics. No. 715, Pingfeng Street, Xihu District, Hangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 716th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 716th Research Institute; – Jiangsu Institute of Automation. No. 18, Shenghu Road, Lianyungang, Jiangsu Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 717th Research Institute, a.k.a., the following three aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 717th Research Institute; – Huazhong Institute of Optoelectronics Technology; – Huazhong Photoelectric Technology Research Institute. No. 981, Xiongchu Street, Hongshan District, Wuhan, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 718th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 718th Research Institute; – Handan Purification Equipment Research Institute. No. 17 Zhanhan Road, Handan, Hebei Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 719th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 719th Research Institute; – Wuhan Second Ship Design Research Institute. No. 19, Yangqiaohu Avenue, Zanglong Island Development Zone, Jiangxia District, Wuhan, Hubei Province; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited. (CSSC) 722nd Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Limited. (CSIC) 722 Institute; – Wuhan Ship Communication Research Institute. No. 312 Luoyu Road, Hongshan District, Wuhan, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 08/27/20. 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 723rd Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 723rd Research Institute; – Yangzhou Marine Electronic Instrument Research Institute. No. 26, Nanhexia, Guangling District, Yangzhou, Jiangsu Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 724th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 724th Research Institute; and – Nanjing Ship Radar Research Institute. No. 30, Changqing Street, Jiangning District, Nanjing, Jiangsu Province, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 725th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 725th Research Institute; – Luoyang Institute of Ship Materials. No.169, Binhe South Road, Luolong District, Luoyang, Henan Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 726th Research Institute, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 726th Research Institute; – Shanghai Ship Electronic Equipment Research Institute. No. 5200 Jindu Road, Minhang District, Shanghai, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 750th Test Center, a.k.a., the following two aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 750th Test Center; – Kunming Marine Equipment Research and Test Center. No. 3, Renmin East Road, Panlong District, Kunming, Yunnan Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. 86 FR 29193, 6/1/21. | ||
| China State Shipbuilding Corporation, Limited (CSSC) 760th Research Institute, a.k.a., the following three aliases: – China Shipbuilding Industry Group Co., Ltd. (CSIC) 760th Research Institute; – Dalian Institute of Measurement and Control Technology; – Dalian Scientific Test and Control Institute. No. 16 Binhai Street, Zhongshan District, Dalian, Liaoning Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| China Tech Hi Industry Import and Export Corporation, a.k.a., the following two aliases: – CTHC; – Tianhang Industry Import and Export Company. 30 Haidian Road, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. | ||
| China Volant Industry a.k.a., the following two aliases: – Volinco; – China Huateng Industry. 30 Haidian Road, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. | ||
| China Xinshidai Company, a.k.a., the following one alias: -China New Era Group
Xinshidai Plaza, Plaza No. 7 Huayuan Rd., Beijing, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 36202, 6/26/14. | ||
| Chinese Academy of Engineering Physics, a.k.a., the following seventeen aliases: – Ninth Academy; – Southwest Computing Center; – Southwest Institute of Applied Electronics; – Southwest Institute of Chemical Materials; – Southwest Institute of Electronic Engineering; – Southwest Institute of Environmental Testing; – Southwest Institute of Explosives and Chemical Engineering; – Southwest Institute of Fluid Physics; – Southwest Institute of General Designing and Assembly; – Southwest Institute of Machining Technology; – Southwest Institute of Materials; – Southwest Institute of Nuclear Physics and Chemistry (a.k.a., China Academy of Engineering Physics (CAEP)’s 902 Institute); – Southwest Institute of Research and Applications of Special Materials Factory; – Southwest Institute of Structural Mechanics; (all of preceding located in or near Mianyang, Sichuan Province) – The High Power Laser Laboratory, Shanghai; – The Institute of Applied Physics and Computational Mathematics, Beijing. 901 Institute (P.O. Box 523 Chengdu, 610003) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 62 FR 35334, 6/30/97. 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 76 FR 21628, 4/18/11. 76 FR 50407, 8/15/11. 77 FR 58006, 9/19/12. 85 FR 34497, 6/5/20. | ||
| Chinese Academy of Sciences Institute of Computing Technology, a.k.a., the following four aliases:
– Institute of Computing Technology Chinese Academy of Sciences; – Institute of Computing Technology; – CAS ICT; – ICT CAS. No. 6, South Academy of Sciences Road, Zhongguancun, Haidian District, Beijing, China | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Chipwinone Electronics Co., Limited, R1618, B Building, Jiahe Tower, No. 3006 Shennan Middle Road, Shenzhen, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Chitron Electronics Company Ltd, a.k.a., the following one alias: – Chi-Chuang Electronics Company Ltd (Chitron-Shenzhen). 2127 Sungang Rd, Huatong Bldg, 19/F, Louhu Dist, Shenzhen, China 518001; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Cho-Man Wong, Room 2608, Technology Plaza 29-35 Sha Tsui Road Tsuen Wan, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 63184, 10/12/11. 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Chong Zhou, Room 602, Building No. 4, Jimen East, Haidian District, Beijing 100081. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Chongqing Chuandong Shipbuilding Industry Co Ltd., Shuanghekou, Lidu Town, Fuling District, Chongqing, China 408102. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Chongxin Bada Technology Development Co., Ltd.,
No. 13 Hangfeng Road, Science City, Fengtai, Beijing, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Chuangxinda Electronics-Tech Co., Ltd., a.k.a., the following two aliases: – CXDA; – Chuangxinda Electronics Company Limited. R1811 B Building, Jiahe Tower, No. 3006 Shennan Middle Road, Shenzhen, China 518031; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| CLC Holdings Limited, a.k.a., the following one alias: – CLC Xpress. Flat 2808, 28/F, Asia Trade Centre, 79 Lei Muk Road, Kwai Chung, N.T., Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 84 FR 40241, 8/14/19. 85 FR 83769, 12/23/20. | ||
| Cloudminds (Hong Kong) Limited, 10/F Massmutual Twr 33, Lockhart Rd, Wan Chai, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. 85 FR 83769, 12/23/20. | ||
| CloudWalk Technology, a.k.a., the following four aliases: – Chongqing Cloudwalk Technology Co., Ltd.; – Guangzhou Yunshang Information Technology Co., Ltd.; – Yun Cong Information Technology Co. Ltd.; – Yun Cong Technology. 1306 Room, No. 26, Jinlong Road, Nansha District, Guangzhou, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| CNOOC Limited (a subsidiary of China National Offshore Oil Corporation), No. 25 Chaoyangmen North Street, Dongcheng District, Beijing, 100010, China; and 65th Floor, Bank of China Tower, 1 Garden Road, Hong Kong. | All items subject to the EAR except for: – crude oil, condensates, aromatics, natural gas liquids, hydrocarbon gas liquids, natural gas plant liquids, refined petroleum products, liquefied natural gas, natural gas, synthetic natural gas, and compressed natural gas under the following Harmonized System (HS) codes: 271111, 2711210000, 2711210000, 2709, 2709002010, 2707, 27075000, 2710, 271019, 271112, 271113, 271114, 271119, 27111990, 271311, 271312, 271012250, 2901, 290511, 2701, 29109020, 29151310, 29155020, 29156050, 29159020, 29161210, 29280025, 29321910, 29362920, 29419030, 2909300000, 2917194500, 2922504500, 2924296000, 2925294500, 2928002500, 2933194350; – items required for the continued operation of joint ventures with persons from countries in Country Group A:1 in supplement no. 1 to part 740 of the EAR not operating in any body of water, or the airspace above any body of water, within the following coordinates: Upper Left: 26°4′48.931″ N 104°31′41.383″ E Upper Right: 26°4′48.931″ N 123°19′22.225″ E Lower Right: 0°0′0.00″ N 123°19′22.225″ E Lower Left: 0°0′0.00″ N 104°31′41.383″ E | Presumption of denial | 86 FR 4864, 1/14/21. 87 FR 38925, 6/30/22. | ||
| Comsum Technologies (Group) Ltd., Room 408, Unit 6, Xin Qi Dian Jia Yan, 5 Chang Qiao Road, Beijing, 100089, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Comtel Technology Limited, Building A2-3, Haufeng Industrial Park, Shiyan, Baoan District, Shenzhen, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Connec Electronic Ltd., a.k.a., the following two aliases: – Suzhou Konecot Electronics; – Suzhou Ke Nai Ke Te Dianzi Youxian Gongsi. Room 1110, No 168, Fenjiang Road, Mudu Town, Wuzhong District, Suzhou City, China; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Corad Technology Limited, a.k.a., the following one alias: – Corad Technology (China) Limited. Unit 1306, 13/F, Nanyang Plaza 57 Hung To Road Kwun Tong, Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19, 85 FR 83769, 12/23/20. 86 FR 67319, 11/26/21. | ||
| Corad Technology (Shenzhen) Ltd., a.k.a., the following one alias: – Corad Technology Ltd. (Shenzhen). Rm 0919 1# Xinye Bldg, NO388 Tianlin Road, Shanghai, China 518033. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Corezing International, a.k.a., the following five aliases: – CoreZing Electronics; – Corezing International Group Company; – Corezing International Pte Ltd; – Corezing Technology Pte Ltd; – Core Zing. Room 1007, Block C2, Galaxy Century Bldg., CaiTian Rd., FuTian District, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| CSSC Electronic Technology, 40 South Fangcun Main Rd., Liwan District, Guangzhou, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| CSSC Huangpu Wenchong Shipbuilding Co., Ltd., No. 188 Changzhou Road, Huangpu District, Guangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Dahua Technology, 807, Block A, Meike Building No. 506, Beijing South Road, New City, Urumqi, Xinjiang, China; 1199 Bin’an Road, Binjiang High-tech Zone, Hangzhou, China; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 54004, 10/9/19.
85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| Dalian Ligong Safety Equipment Company Limited,
No. 26 Liaohe East Road, Double D Port, Economic and Technological Development Zone, Dalian, China 116620. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Dick Kuo, Ltd., Room 9-11, 5/F, Block B, Hoplite Industrial Centre, 3-5 Wang Tai Road, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. 85 FR 83769, 12/23/20. | ||
| Dick Leung, GF Seapower Industrial Building 177, Hoi Bun Road, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. 85 FR 83769, 12/23/20. | ||
| DJI, a.k.a., the following four aliases: – Shenzhen DJI Innovation Technology Co., Ltd.; – SZ DJI Technology Co., Ltd.; – Shenzhen DJI Sciences and Technologies Ltd.; – Da-Jiang Innovations. 14 Floor, West Wing, Skyworth Semiconductor Design Building, No.18 Gaoxin South 4th Ave., Nanshan District, Shenzhen, China, 518057. | All items subject to the EAR. (See § 744.11 of the EAR), except for EAR99-designated technology for the operation, maintenance, or repair of unmanned aerial vehicles (UAV) released to this entity by the operator of the UAV | Case-by-case review for items necessary to detect, identify and treat infectious disease; Presumption of denial for all other items subject to the EAR | 85 FR 83420, 12/22/20. 86 FR 29193, 6/1/21. | ||
| Dongguan Huawei Service Co., Ltd., Dongguan, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Dongguan Lingkong Remote Sensing Technology Co., Ltd., a.k.a., the following one alias:
– Dongguan Lingkong Yaogan Technology Co., Ltd. Building 6, Dongfeng Science and Technology Park, Songshan Lake, Dongguan City, Guangdong Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| Dongguan Lvyuan Industry Investment Co., Ltd., Dongguan, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Eagles Men Aviation Science and Technology Group Co., Ltd., a.k.a., the following two aliases:
– Beijing Yige Siman Aviation Technology Group Co., Ltd.; – EMAST. Room 1113, No. 1 Zhichun Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| Edward Fan,
Hucun, Huafeng Town, Ningyang County, Tai’an City, Shandong Province, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 84 FR 40241, 8/14/19. | ||
| Ehang International Trade Limited, Flat/Room 32, 11/F Lee Ka Industrial Building 8NK Fong Street San Po Kong, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Exodus Microelectronics Company Limited, Unit 9B, Nathan Commercial Building 430-436 Nathan Road, Kowloon, Hong Kong; and Unit 6B, Block 1, International Centre 2-8 Kwei Tei Street, Shatin, New Territories, Hong Kong; and Unit 6B, Block 1, International Industrial Centre, 2-8 Kwei Tei Street, Shatin, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Fang Yu, 16 Gaoxin 4th Road, Xian High Tech Industrial Development Zone, Xian, China | For all items subject to the EAR. (See 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| FiberHome Technologies Group, a.k.a., the following eight aliases: – FiberHome; – FiberHome International Technology Co., Ltd.; – FiberHome Networks; – FiberHome Networks Co. Ltd.; – FiberHome Telecommunication Technologies Co., Ltd.; – Haohuo Xiangyun Network Technology Co., Ltd; – Wuhan Fiberhome International; – Wuhan Institute of Posts and Telecommunications. No. 6, Gaoxinsilu, East Lake High-Tech Development Zone, Wuhan, Hubei Province, 430205, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| Foang Tech Inc., a.k.a., the following one alias: – Ofogh Electronics Co. 52F, Shun Hing Square, Unit 1-8 Di Wang Commercial Center, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| FOC (HK) Technology Co., Ltd., Room 8, 6/F, Shun On Commercial Building, 112-114 Des Voeux Road, Central, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Forensic Genomics International, a.k.a., the following five aliases:
– BGI Forensic Technology (Shenzhen) Co., Ltd; – BGI Judicial; – FGI; – Huada Judicial; – Shenzhen Huada Forensic Technology Co., Ltd. Building 11, Beishan Industrial Zone, Yantian District, Shenzhen City, Guangdong, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 88 FR 13675, 3/6/23. | ||
| Fortune Source Electronics Co. Ltd., Unit A, 7/F Capri Building, 130 Austin Road, KLN, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Fujian Jinhua Integrated Circuit Company, Ltd., a.k.a., the following one alias: – JHICC Sanchuang Park, Century Avenue, Jinjiang City, Fujian Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 54521, 10/30/18. | ||
| Fujian Torch Electron Technology Co., Ltd., No.4 Zihua Rd., Quanzhou Hi-Tech Industries Park (Jiang Nan Park) Licheng District, Quanzhou, Fujian; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Fushun Jinly Petrochemical Carbon Co., Ltd.,
Room 2104, Jinhui Plaza, No. 16 Dongsi Road, Xinfu District, Fushun, Liaoning, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Fuyuan Huang, No. 2A Zhonghuan South Road, Wangjing, Chaoyang District, Beijing, China, 100102; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Gala Wang, Room 2506, Hengchang Building, No. 288, Hing Si Road, Jinan City, Shandong, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Galaxy Electronics, Unit 3-4 on 5/F, 26-28 Au Pui Wan Street, Futian Industrial Centre, Fo Tan Shatin, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Gaobeidian Kaituo Precise Instrument Co., Ltd., a.k.a., the following three aliases:
– Baoding Kaituo Precision Instrument Manufacturing Co., Ltd.; – Kaituo Precise; – Kaituo Precise Instrument. Industrial CT Machine Industrial Zone, Youyi East Road, Baigou Town, Gaobeidian City, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Gaohui HK Electronics, Room 1608, B Building, Jiahe Tower, No. 3006 Shennan Middle Road, Shenzhen, China 518031; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Giant Base Asia Limited, Room 2205, 22/F, Kowloon Building, 555 Nathan Road, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18808, 03/28/13. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Giovan Ltd., Suite 1505-6, Albion Plaza, 2-6 Granville Road, TsimShatSui, Kowloon, Hong Kong (See alternate address under India). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. 85 FR 83769, 12/23/20. | ||
| Guangdong Qinzhi Technology Research Institute Co., Ltd., a.k.a., the following four aliases:
– Qinzhi Technology; – Qinzhi Tech; – Qinzhi Institute; – GD Qinzhi. 2nd Floor, Block C, Building 20, Hengqin Creative Valley, Hangqin New District, Guangdong Province Zhuhai City, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Guangxin Shipbuilding and Heavy Industry Co., Ltd., Comprehensive Office, No. 32 Cuizhu Road, Cuiheng New District, Zhongshan City, Guangdong Province, China 528437. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Guangzhou Guangyou Communications Equipment Co., Ltd., a.k.a., the following one alias: – Guangzhou Guangyou Communication Technology Co., Ltd. No. 13 Yiyuan Road, Haizhu District, Guangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Guangzhou Haige Communication Group Co., Ltd., a.k.a., the following three aliases: – Haige Communications; – Guangzhou Radio Factory; – State-owned 750 Factory. No. 88 Nan Yun Er Road, Guangzhou, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Guangzhou Hongyu Technology Co., Ltd. (a subordinate institute of CETC-7),
Building 1, No. 381, Xingang Middle Road, Haizhu District, Guangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Guangzhou Taicheng Shipbuilding Industry Co., Ltd., Dongdao Village, Dongyong Town, Nansha District, Guangzhou. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Guangzhou Tian-Hai-Xiang Aviation Technology Co., Ltd., a.k.a., the following two aliases:
– Guangzhou Tianhaixiang Aviation Technology Co., Ltd.; – THX Aviation. 1st Floor, Building 6, No. 4, Erheng Road, Second District, Jiangnan Industrial Zone, Nancun Town, Panyu District, Guangzhou, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| Guangzhou Tongguang Communication Technology Co., Ltd. (a subordinate institute of CETC-7),
No. 381, Xingang Middle Road, Haizhu District, Guangzhou, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Gui’an New District Huawei Investment Co., Ltd., Guiyang, Guizhou, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Guilin Changhai Development Co., Ltd., a.k.a., the following two aliases: – Changhai Machinery Factory; – State-owned 722 Factory. No. 3 Changhai Road, Guilin, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Hami Municipality Public Security Bureau, a.k.a., the following two aliases: – Kumul Municipality Public Security Bureau, – Qumul Municipality Public Security Bureau. Huancheng Rd., Hami District, Hami City, XUAR, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Hang Tat Electronics Enterprises Co., Room 2608, Technology Plaza 29-35 Sha Tsui Road, Tsuen Wan, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 63186, 10/12/11. 85 FR 83769, 12/23/20. | ||
| Hangzhou Hikmicro Sensing Technology Co., Ltd., a.k.a., the following one alias: – Hikmicro. Building A1, No. 299, Qiushi Road, Tonglu Economic Development Zone, Tonglu County, Hangzhou City, Zhejiang Province; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Hangzhou Hikvision Digital Technology Co., Ltd., a.k.a., the following one alias: – Hikvision. No. 555 Qianmo Road, Binjiang District, Hangzhou 310052, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| Hangzhou Hualan Microelectronics Co., Ltd., a.k.a., the following five aliases: – Hangzhou Hualan Microelectronique Co., Ltd.; – Hualan Micro; – Sage Microelectronics Corporation; – Sage Micro; – Hangzhou Huasheng Microelectronics. 22nd Floor, Building 1, Huarui Center, No. 66 Jianshe 1st Road, Xiaoshan District, Hangzhou, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Hangzhou Huawei Digital Technology Co., Ltd., Hangzhou, Zhejiang, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Hangzhou Zhongke Microelectronics Co., Ltd., 10th Floor, Chuangxin Building, No. 3850 Jiangnan Ave., High-Tech Binjiang District, Hangzhou City, Zhejiang Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Hansen Technologies Limited, Unit 501, 5/F, Global Gateway, 168 Yeung HK Road, Tsuen Wan, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Harbin Chuangyue Technology Co. Ltd., Room 10l, Building 221, No. 8 Campus Street, Nangang District, Harbin, Heilongjiang, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Harbin Engineering University, a.k.a., the following two aliases:
– Harbin Engineering University, Rugao Research Institute – Harbin Engineering University, Yantai Research Institute. No. 145 South Tongda Street, Harbin, Hellongjiang Province, China 150001. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34501, 6/5/20. 88 FR 13675, 3/6/23. | ||
| Harbin Institute of Technology, a.k.a., the following nine aliases:
– Harbin Engineering University, Anshan Industrial & Technology Research Institute; – Harbin Engineering University, Chongqing Research Institute; – Harbin Engineering University, Huizhou Institute of International Innovation; – Harbin Engineering University, Shenzhen Research Institute; – Harbin Engineering University, Weihai Institute of Industrial Technology; – Harbin Engineering University, Wuhu Robot Industry & Technology Research Institute; – Harbin Engineering University, Wuxi Institute of New Materials; – Harbin Engineering University, Yibi Industrial Technology Research Institute; – Harbin Engineering University, Yixing Environmental Protection Research Institute. No. 92 Xidazhi Street, Nangang District, Harbin, Heilongjiang, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. 87 FR 62202, 10/13/22. 88 FR 13675, 3/6/23. | ||
| Harbin Yun Li Da Technology and Development Co., Ltd., Building 7, No. 92 West Dazhi Street, Nangang District, Harbin, Heilongjiang, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Hebei Far East Communication System Engineering, a.k.a., the following two aliases: – Hebei Far East Comm.; – HBFEC. 21 Changsheng Street, Shijiazhuang, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 37427, 8/1/18. | ||
| Hefei Bitland Information Technology Co. Ltd., a.k.a., the following three aliases: – Anhui Hefei Baolongda Information Technology; – Hefei Baolongda Information Technology Co., Ltd.; – Hefei Bitland Optoelectronic Technology Co., Ltd. No. 4088 Jinxiu Avenue, Economic and Technological Development Zone, Hefei City, Anhui Province. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Hefei Core Storage Electronic Ltd., a.k.a., the following three aliases:
– HF CoreStorage; – CoreStorage; – Hefei Zhaoxin. 13th Floor, Building F3, Phase II, Innovation Industrial Park, High-tech Zone, Anhui Province, Hefei City, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Hefei Meiling Co. Ltd., a.k.a., the following one alias: – Hefei Meiling Group Holdings Limited. Main Factory Building No. 2 East of Lianhua Road, South of Tangkou Road, Economic | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Hefei National Laboratory for Physical Sciences at Microscale, a.k.a., the following two aliases: – National Research Center for Microscale; – Microscale National Research Center. No. 96, Jinzhai Road, Hefei National Laboratory for Physical Sciences at the Microscale, University of Science & Technology of China, Hefei, Anhui, 230026 China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Hetian Haolin Hair Accessories Co. Ltd., a.k.a., the following two aliases: – Hotan Haolin Hair Accessories; – Hollin Hair Accessories. No. 4 Yulongwan Road, Beijing Industrial Park, Luopu County, Hotan District, Xinjiang; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Hetian Prefecture Public Security Bureau, a.k.a., the following one alias: – Hotan Prefecture Public Security Bureau. 92 Beijing W Rd., Heitan City, Hetian Prefecture, XUAR 848000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Hetian Taida Apparel Co., Ltd., a.k.a., the following one alias: – Hetian TEDA Garment. No. 2 Jingdong Road, Hetian City, Hetian District, Xinjiang | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Highlander (Hong Kong) Maritime Navigation Science and Technology LLC, a.k.a., the following one alias: – Highlandson (Hong Kong) Navigation Technology Co. Ltd. 48 Des Voeux Rd. Central, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Higon, a.k.a., the following five aliases:
– Higon Information Technology; – Haiguang Xinxi Jishu Youxian Gongsi; – THATIC; – Tianjing Haiguang Advanced Technology Investment; – Tianjing Haiguang Xianjin Jishu Touzi Youxian Gongsi. Industrial Incubation-3-8, North 2-204, 18 Haitai West Road, Huayuan Industrial Zone, Tianjin, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 29373, 6/24/19.
87 FR 62202, 10/13/22. | ||
| HiSilicon Optoelectronics Co., Ltd., Wuhan, Hubei, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| HiSilicon Technologies Co., Ltd (HiSilicon), Bantian Longgang District, Shenzhen, 518129, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| HiSilicon Tech (Suzhou) Co., Ltd., Suzhou, Jiangsu, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29852, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| HMN International Co., Ltd., a.k.a. the following one alias: – Huahai Communication International Co., Ltd. Room 08, 43/F., Far East Finance Centre, No. 16 Harcourt Road, Admiralty, Hong Kong. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Hong Chun Tai, Unit 27B, Block 8, Monte Vista, 9 Sha On Street, Ma On Shan New Territories, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Hong Kong Cheung Wah Electronics Technology Company Limited, Flat D, 14/F., On Fook Ind. Bldg. 41-45 Kwai Fung Crescent, Kwai Chung, N.T., Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Hong Kong Fung Tak Enterprise, FLAT/RM A 30, 9/F Silvercorp International Tower, 707-713, Nathan Road, Mongkok, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. 85 FR 83769, 12/23/20. | ||
| Hongtai Electric Ltd., Room Number 2002, 20th Floor, Building B, Jinsha Winera Plaza, Number 1, Shujin Road, Qingyang District, Chengdu, Sichuan, 610091, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) | 88 FR 13675, 3/6/23. | ||
| Hoshine Silicon Industry (Shanshan) Co., Ltd., a.k.a., the following one alias: – Hesheng Silicon Industry (Shanshan) Co., Ltd. Xinjiang East: West of Kekeya Road, Stone Industrial Park, Shanshan County, Turpan City, Xinjiang (Hesheng Industrial Park), China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 33120, 6/24/21. | ||
| HSJ Electronics, a.k.a., the following two aliases:
– HSJ Electronic Hong Kong Limited; – Shenzhen HSJ Electronics Co. Ltd. Room 803, Chevalier House 45-51, Chatham Road South, Tsim Sha Tsui, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21.
87 FR 77508, 12/19/22. | ||
| Hua Ying Management Co. Limited, Tsim Sha Tsui, Kowloon, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 85 FR 83769, 12/23/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Beijing, Beijing, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Computing Technology, Huawei Cloud Data Center, Xinggong Road, Qianzhong Avenue, Gui’an New District, Guizhou Province, China; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Dalian, Dalian, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Guangzhou, Guangzhou, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Guiyang, Guiyang, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Hong Kong, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 85 FR 52901, 8/27/20. 86 FR 12531, 3/4/21. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Shanghai, Shanghai, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Cloud Shenzhen, Shenzhen, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Device Co., Ltd., a.k.a., the following two aliases: – Huawei Device; – Songshan Lake Southern Factory. Dongguan, Guangdong, China | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Device (Dongguan) Co., Ltd., Dongguan, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Device (Hong Kong) Co., Limited, Tsim Sha Tsui, Kowloon, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 85 FR 83769, 12/23/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Device (Shenzhen) Co., Ltd., Shenzhen, Guangdong, China | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei International Co., Limited, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 85 FR 83769, 12/23/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Machine Co., Ltd., Dongguan, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab Suzhou, a.k.a., the following one alias: – Huawei Suzhou OpenLab, Suzhou, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Software Technologies Co., Ltd., Nanjing, Jiangsu, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Tech. Investment Co., Limited, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 85 FR 83769, 12/23/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technical Service Co., Ltd., China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies Co., Ltd., a.k.a., the following two aliases: – Shenzhen Huawei Technologies; – Huawei Technology, and to include the following addresses and the following 22 affiliated entities: Addresses for Huawei Technologies Co., Ltd.: Bantian Huawei Base, Longgang District, Shenzhen, 518129, China; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 86 FR 71559, 12/17/21. 87 FR 6026, 2/3/22. 87 FR 8182, 2/14/22. 87 FR 21012, 4/11/22. 87 FR 55250, 9/9/22. | ||
| Affiliated entities: – Beijing Huawei Longshine, to include the following subordinate. Q80-3-25R, 3rd Floor, No. 3, Shangdi Information Road, Haidian District, Beijing, China. – Huawei Marine; HMN Technologies; Huahai Zhihui Technology Co., Ltd.; HMN Tech. Building R4, No. 2 City Avenue, Songshan Lake Science & Tech Industry Park, Dongguan, 523808, – Shenzhen Huawei Agisson Electric Co., Ltd. Building 2, Area B, Putian Huawei Base, Longgang District, Shenzhen, China; | |||||
| Huawei Technologies Service Co., Ltd., Langfang, Hebei, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Training (Dongguan) Co., Ltd., Dongguan, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huayi Internet Information Service Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Hubei Guangxing Communications Technology Co., Ltd., a.k.a., the following one alias: – State-owned 711 Factory. No. 287 Jiangjin West Road, Jingzhou City, Hubei, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Hui Tong Business Ltd., Huawei Base, Electrical Research Center, Shenzhen, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huisui Zhang, Room 204, Building 25, FuRen Ming Yuan, ShengGu Bei Li, ChaoYang District, Beijing, China 100029. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Hunan Goke Microelectronics, a.k.a., the following two aliases: – Hunan Guoke Microelectronics; – Guokewei. No. 9, South Section of Dongshi Road, Quantang Street, Changsha Economic and, Technological Development Zone, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| HWA Create, 5/F, Xinshidai Building/New Era Mansion, 7 Huayuan Rd., Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 36202, 6/26/14. 85 FR 83769, 12/23/20. | ||
| Hyper Systems Union Limited, Unit A1 7/F Cheuk Nang Plaza, 250 Hennessy Road, Wan Chai, Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| ICSOSO Electronics Co. Ltd., a.k.a., the following one alias: – IC Soso Electronics Co. Ltd. Unit 614, 6/F, Block A, Po Lung Ctr, 11 Wang Chiu Road, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| IFLYTEK, National Intelligent Speech High-tech Industrialization Base, No. 666, Wangjiang Road West, Hefei City, Anhui Province, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19.
85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| Infinity Wise Technology Limited, 7/F One Kowloon, 1 Wang Yuen Street, Kowloon Bay, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Info Rank Technologies, Flat/Rm 1021, 10/F Ocean Centre, Harbour City, 5 Canton Road, TST Kowloon, Hong Kong, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Inner Mongolia First Machinery Group Co., Ltd. a.k.a. the following three aliases: – China North Industries Group Corporation Limited (NORINCO) 617 Factory; – FIRMACO; – Inner Mongolia One Machine. North Minzhu Road, Qingshan District, Baotou City, Inner Mongolia Autonomous Region, 014032 China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Inspur Group Co., Ltd., a.k.a., the following two aliases:
– Inspur Group; – IGL. No. 1036 Langchao Road, Jinan City, Shandong, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Integrated Scientific Microwave Technology, a.k.a., the following one alias: – ISM Tech. Rm. 1014 Favor Industrial Centre, 2-6 Kin Hong Street Kwai Chung Hong Kong (see alternate address under Malaysia). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Intellifusion, a.k.a., the following two aliases:
– Shenzhen Yuntian Lifei Technology Co., Ltd.; – Yuntian Lifei. 1st Floor, Building 17, Shenzhen Dayun Software Town, 8288 Longgang Avenue, Yuanshan District, Longgang District, Shenzhen, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20.
85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| IS’Vision, a.k.a., the following six aliases: – Chengdu Yinchen Netcom Technology Co., Ltd; – Isvision Tech; – Isvision Technologies Co., Ltd.; – Shanghai Is’vision Co.; – Shanghai Isvision Technologies Co., Ltd.; – Yinchen Technology. Building 3, No. 498, Guoshoujing Road, Pudong, Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| Jadeshine, R1102 B Tainyuangang Center, Dong San Bei Lu Bing 2, Chaoyang District, Beijing, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Jadeshine Engineering (HK) Co., Room 702, Boss Commercial Centre, Ferry Street 38, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18808, 03/28/13. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Jadeshine Engineering HK Co., Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 03/28/13. 85 FR 83769, 12/23/20. | ||
| Jalal Rohollahnejad, a.k.a., the following two aliases: – Jalal Nejad; – Jia Yuntao. 1329, Unit 2, Building 1, Xin Shangdu, Block B, Optics Valley World City Plaza, Luoyu Road, Wuhan, Hubei, China 430000. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Jason Shuai, a.k.a., the following one alias: – Jason Shine. Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. 85 FR 83769, 12/23/20. | ||
| JCN (HK) Technology Co., Ltd., Room 8D Block A, Guanghao International Center, Meilong Road, Longhua District, Shenzhen, Guangdong, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. 85 FR 83769, 12/23/20. | ||
| Jiangsu Hengtong Marine Cable Systems Co., Ltd., a.k.a., the following two aliases: – Jiangsu Hengtong Ocean Optical Network System Co., Ltd.; – Smart Ocean System. No. 8, Tonga Road, Changshu Economic and Technological Development Zone, Suzhou City, Jiangsu Province. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Jiangsu Hengtong Optic-Electric Co., Ltd., a.k.a., the following three aliases: – Jiangsu Hengtong Photoelectric Co., Ltd.; – Hengtong Optoelectronics Co., Ltd.; – HTGD. 88 Hengtong Avenue, Qidu Town, Wujiang District, Suzhou City, Jiangsu Province; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Jiangsu Hengxiang Science and Education Equipment Co., Ltd., a.k.a., the following one alias: – Jiangsu Southern Airlines Hengxiang Co., Ltd. Ground Floor, Building 67, No. 29 Yudao Street, Nanjing, Jiangsu. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Jiangsu Leidian Technology Company (JLTC), 88 Luyuan Road, Yixing Environmental Sciences Park, Jiangsu Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Jiangsu Tianyuan Metal Powder Co. Ltd., No. 50, Jummin East Road, Yunhe, Lvcheng Town, Danyang City, Jiangsu Province, China 212352; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 8182, 2/14/22. | ||
| Jinan Tongbaolai Oilfield Equipment Co. Ltd, Room 2506, Hengchang Building, No. 288, Hing Si Road, Jinan City, Shandong, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Jinping Chen, No. 92 Weijin Road, Tianjin, China 300072; and 3rd Floor, Room 316, A2 Building, Tianjin University Science Park, No. 80, 4th Avenue, Tianjin Economic Development Area (TEDA), Tianjin, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| JLD Technology, Hong Kong Co., Ltd., Room 1237, Pacific Trade Centre, No. 2 Kai Hing Road, Kowloon Bay, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32441, 6/5/14. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Joe Shih, Room 9-11, 5/F, Block B, Hoplite Industrial Centre, 3-5 Wang Tai Road, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. 85 FR 83769, 12/23/20. | ||
| Joinus Freight Systems HK Ltd, a.k.a., the following two aliases: – JFS Global Logistics; – Joinus Freight Systems Global Logistics Limited. Unit 07-07, 25F, Tower B, Regent Centre, 63 Wo Yi Hop Road, Kwai Chung, N.T. Hong Kong | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 83 FR 44824, 9/4/18. 85 FR 83769, 12/23/20. | ||
| Jotrin Electronics Ltd., 3018 Shennan Mid-Road Unit 3901, Shenzhen, 518031, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| K Logistics (China) Limited, a.k.a., the following one alias: – K Logistics Hong Kong. Unit A, 4/F., China Fen Hin Building, No. 5 Cheung Yue St., Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. 85 FR 83769, 12/23/20. | ||
| Kashgar Prefecture Public Security Bureau, a.k.a., the following one alias: – Kashi Prefecture Public Security Bureau. Youmulake Xiehai’er Rd., Kashgar (“Kashi”) City, XUAR 844000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Kelamayi Municipality Public Security Bureau, a.k.a, the following two aliases: – Karamay Municipality Public Security Bureau; – Qaramay Municipality Public Security Bureau. 52 Yingbin Rd., Kelamayi City, Kelamayi District, XUAR 834000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Key Laboratory of Information Systems Engineering, a.k.a., the following two aliases:
– KLISE; and – Key Laboratory of Information Systems Engineering. Science and Technology Building of the National University of Defense Technology. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Kezilesu Kyrgyz Autonomous Prefecture Public Security Bureau, a.k.a., the following one alias: – Kizilsu Autonomous Prefecture Public Security Bureau. Guangming Rd., Atushi City, XUAR 845350, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| Kindroid, a.k.a., the following two aliases: – Jinzhuo Network Technology; – Shanghai Jinzhou Technology. Room 802, Building 5, No. 3000 Longdong Avenue, Pudong New Area, Shanghai, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| King Pai Technology Co., Ltd., a.k.a., the following four aliases: – King-Pai Technology (HK) Co., Limited; – KingPai Technology Int’l Co., Limited; – KingPai Technology Group Co., Limited; – Jinpai Technology (Hong Kong) Co., Ltd. No 13 4/F., Flourish Industrial Building, No. 33 Sheung Yee Road, Kowloon Bay, Kowloon, Hong Kong; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Kinglead Electronics Co., Ltd., a.k.a., the following four aliases: – Kinglead International Trading; – Kinglead International Trading Limited; – Kinglead Trading; – Phonide Electronics Limited. 15H Office Building Buji, Central Plaza, Jihua Road, Buji, Longgang, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Kitronix Display, Unit B1, G/F, Pioneer Building, 213 Wai Yip St., Kwun Tong, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Kong Fat Electronic Trading Limited, Unit 5, 1/F, Block A, Hoplite Industrial Centre, 3-5 Wang Tai Rd., Kowloon Bay, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. 85 FR 83769, 12/23/20. | ||
| Korchina Logistics (HK) Ltd., 1/F Metex House 24-32 Fui Yiukok Street Tsuen Wan New Territories, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| KTK Group, a.k.a., the following three aliases: – Jiangsu Jinchuang Group; – Jiangsu Jinchuang Holding Group; – KTK Holding. No. 88, Jinchuang Road, Yaoguan Town, Wujin District, Changzhou City. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Kuang-Chi Group; a.k.a. the following one alias: – Shenzhen Guangqi Group. Software Building, No. 9, Gaoxinzhong Road, Nanshan District, Shenzhen, 518057, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for items necessary to detect, identify and treat infectious disease; Presumption of denial for all other items subject to the EAR | 85 FR 83420, 12/22/20. 86 FR 36499, 7/12/21. | ||
| Kunhai (Yanjiao) Innovation Research Institute, a.k.a., the following two aliases: – Kunhai Academy for Innovative Research and Data Technologies Co.; – Kunhai Innovation Engineering Research Institute. 17th Floor, Block A, Building 5, Zhongguancun National Defense Science and Technology Park, Haidian District, Beijing, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Kyland Technology Co., Ltd., a.k.a., the following three aliases: – Dongtu Technology; – Beijing Dongtu Technology; – Beijing Yibeite Technology. Floor 9-15, Building 2, Xishanhui, Shixing Street, Shijingshan District, Beijing, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Landa Ariya Electronic Co., a.k.a., the following three aliases: – Landa Ariya Electronic Co. Ltd.; – Landa Electronic; – Landa Electronics. Building B, No. 20J, Huaqiang Plaza, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Laurel Technologies Co. Ltd., a.k.a., the following one alias: – Laurel Industrial Co. Suite 1807-1810, KunTai International Mansion, No. 12 B, Chaowai St., Beijing, 100020, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Leon Technology Co., Ltd., a.k.a., the following four aliases: – Liang Technology; – Lion Technology; – Xinjiang Leon Telecom; – LAJS. No. 518 Yanshan Street, Urumqi Economic and Technological Development Zone, Xinjiang Uyhgur Autonomous Region, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| LHI Technology (H.K.) Company Limited, Units 801-803 and 805, Park Sun Building, No. 97-107 Wo Yi Hop Road, Kwai Chung, N.T., Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 84 FR 40241, 8/14/19. 85 FR 83769, 12/23/20. | ||
| Liang Ping Huang, a.k.a., the following one alias:
– Sana Wong. Unit A10, 8/F, Block A, Proficient Industrial Centre, No. 6 Wang Kwun Road, Kowloon Bay, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Liaoyang Carbon Co., Ltd.,
No. 688 Liuan Road, Liuerpu Economic Development Zone, Liaoyang City, Liaoning, China 11212. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Lim Kow Seng, a.k.a., the following five aliases: – Alvin Stanley; – Eric Lim; – James Wong; – Mike Knight; – Seng Lim Kow. Flat/Rm 3208 32/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Lim Yong Nam, (a.k.a. Lin Rongnan, Steven Lim and Yong Nam Lim), YuJingHuaCheng Huaqiang South Road Futian, Shenzhen, China 518033; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Longkui Qu, Gucheng, Linhai, Zhejiang, China 317000; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Longtek Company, Ltd., a.k.a., the following one alias: Beijing Landuyt Feng Technology Co., Ltd. Room 1105, TianZuo International Center A, No, 12, Zhongguncun South Street, Haidan District, Beijing 100081, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Loongson Technology, a.k.a., the following four aliases:
– Loongson Technology Corporation Limited; – Loongson Zhongke Technology Co., Ltd; – Loongson Zhongke; – Godson Zhongke. Room 101, 1st Floor, Building 4, Yard 7, Dijin Road, Haidian District, Beijing, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Luo Dingwen, Room 905 Fubaoxiuyu Business Building A, No. 77 Fuxing Road, Baoding City, Hebei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Luo Jie, a.k.a., the following three aliases: – Cherry; – Ivy Luo; – Jie Luo. Room 1007, Block C2, Galaxy Century Bldg., CaiTian Rd., FuTian District, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Ma Yunong, a.k.a., the following one alias: – George Ma. B-804 SOHO New Town, 88 Jianguo Road, Chaoyang District, Beijing, 100022, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Megvii Technology,
3rd Floor, Block A, Rongke Information Center, No. 2 South Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19.
85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| Ministry of Public Security’s Institute of Forensic Science of China, a.k.a., the following two aliases: – Forensic Identification Center of the Ministry of Public Security of the People’s Republic of China; – Material Identification Center of the Ministry of Public Security of the People’s Republic of China. No. 18 West Dongbeiwang Road, Haidian District, China; and Ministry of Public Security, Xicheng District, Beijing, China; and No. 17 Mulidi South Lane, Xicheng District, Beijing, China; and Tumushuke Municipal Public Security Bureau, Qian Hai West Road, Tumushuke City, Xinjiang Uyghur Autonomous Region. | For all items subject to the EAR. (See § 744.11 of the EAR). | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44161, 7/22/20. | ||
| MTech Industrial Limited, 1802, No. 26 Building, TianSheng Garden, Longwangshan Road, Huzhou, Zhejiang, China. | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Multi-Mart Electronics Technology Co, Ltd., 5/F Blk 37A, 3 Qiaogao Road, Nanhai, Guangdong, Foshan, China; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 84 FR 21236, 5/14/19. 85 FR 83769, 12/23/20. | ||
| Nanjing Aixi Information Technology Co., Ltd., a.k.a., the following alias:
– Nanjing Aixi IT. No. 18, Xianlin Avenue, Maqun Street, Qixia District, Nanjing, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Nanjing Asset Management Co., Ltd.,
No. 29 Yudao Street, Nanjing, Jiangsu. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Nanjing FiberHome Starrysky Communication Development Co., a.k.a., the following two aliases: – Nanjing Fenghuo Xingkong Communication Development Co.; and – Fiberhome StarrySky Co., Ltd. 88 Yunlongshan Road, Jianye District, Nanjing China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44159, 7/22/20. 86 FR 12531, 3/4/21. | ||
| Nanjing colpak Mechanical Equipment Co., Ltd., Office No. 1-128, Front Bungalow, 21 Lanqi Street, Qinhuai District, Najing, Jiangsu, 21000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) | 88 FR 13675, 3/6/23. | ||
| Nanjing Jiuding Refrigeration & Air-conditioning Equipment Co., Ltd., No. 8, West Longzhong Road, Luhe Economic Development Zone, Nanjing, Jiangsu 211500, China. (See alternate address under Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) | 88 FR 13675, 3/6/23. | ||
| Nanjing LES Cybersecurity and Information Technology Research Institute Co., Ltd., a.k.a., the following six aliases:
– Nanjing Laisi Netcom Technology Research Institute Co., Ltd.; – Nanjing Laisi Network Information Technology Research Institute Co., Ltd.; – Nanjing LES Network Information Technology Research Institute Co., Ltd.; – Nanjing LES Netcom Technology Research Institute Co., Ltd.; – Laisi Netcom; – LES Netcom. Building 05, Tianan Digital City, No. 36 Yongfeng Avenue, Qinhuai District, Nanjing, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Nanjing LES Electronic Equipment Co., Ltd., a.k.a., the following five aliases:
– Nanjing Rice Electronic Equipment Co., Ltd.; – LES Electronics; – Rice Electronics; – LES Electronic; – Rice Electronic. No. 1 Alfalfa Garden East Street, Qinhuai District, Nanjing, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Nanjing LES Information Technology Co., Ltd., a.k.a. the following alias:
– Nanjing Rice Information Technology Co., Ltd. No. 8 Yongzhi Road, Qinhuai District, Nanjing, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Nanjing Synergy Textiles Co. Ltd., a.k.a., the following two aliases: – Nanjing Xinyi Cotton Textile Printing and Dyeing; – Nanjing Xinyi Cotton Textile. No. 2 Shengan Avenue, Binjiang Economic Development Zone, Jiangning, Nanjing. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Nanjing University of Aeronautics and Astronautics, a.k.a., the following five aliases:
– Nanjing University of Aeronautics and Astronautics, Aerospace Engineering Research Institute; – Nanjing University of Aeronautics and Astronautics, Qinhuai Innovation Research Institute; – Nanjing University of Aeronautics and Astronautics, Shenzhen Research Institute; – Nanjing University of Aeronautics and Astronautics, Suzhou Research Institute; – Nanjing University of Aeronautics and Astronautics, Wuxi Research Institute. No. 29 Yudao Street, Nanjing, Jiangsu, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/2020. 88 FR 13675, 3/6/23. | ||
| Nanjing University of Science and Technology, a.k.a., the following five aliases:
– Nanjing University of Science and Technology, Donghai Silicon Material Technology Research Institute; – Nanjing University of Science and Technology, Lianyungang Research Institute; – Nanjing University of Science and Technology, North China Institute; – Nanjing University of Science and Technology, Shuyang Industrial Design and Creative Industry Research Institute; – Nanjing University of Science and Technology, Taizhou Research Institute. No. 200 Xiaolingwei Street, Xuanwu District, Nanjing, Jiangsu, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. 88 FR 13675, 3/6/23. | ||
| National Research Center for Parallel Computer Engineering and Technology, a.k.a., the following one alias:
– NRCPC. No. 1 Yinbai Road, Binhu District, Wuxi City, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| National Supercomputing Center Changsha (NSCC-CS),
Changsha City, Hunan Province, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 80 FR 8527, 2/18/15.
87 FR 62202, 10/13/22. | ||
| National Supercomputing Center Guangzhou (NSCC-GZ),
Sun Yat-Sen University, University City, Guangzhou, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 80 FR 8527, 2/18/15.
87 FR 62202, 10/13/22. | ||
| National Supercomputing Center Jinan, a.k.a., the following two aliases:
– Shandong Computing Center; – NSCC-JN. No. 1768, Xinluo Street, High-tech Development Zone, Jinan City, Shandong Province, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| National Supercomputing Center Shenzhen, a.k.a., the following three aliases:
– The National Supercomputing Shenzhen Center; – Shenzhen Cloud Computing Center; – NSCC-SZ. No. 9 Duxue Road, University Town Community, Taoyuan Street, Nanshan District, Shenzhen, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| National Supercomputing Center Tianjin (NSCC-TJ),
7th Street, Binhai New Area, Tianjin, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 80 FR 8527, 2/18/15.
87 FR 62202, 10/13/22. | ||
| National Supercomputing Center Wuxi, a.k.a., the following one alias:
– NSCC-WX. No. 1, Yinbai Road, Binhu District, Wuxi City, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| National Supercomputer Center Zhengzhou, a.k.a., the following one alias:
– NSCC-ZZ. Southeast of the intersection of Fengyang Street and Changchun Road, Zhongyuan District, Zhengzhou City, China; 1st Floor, Building 18, Zhengzhou University (South Campus), Zhengzhou City, China; Room 213, Institute of Drug Research, Zhengzhou University, Changchun Road, High-tech Zone, Zhengzhou City, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| National University of Defense Technology (NUDT), a.k.a., the following three aliases:
– Central South CAD Center; – CSCC; – Hunan Guofang Keji University. Garden Road (Metro West), Changsha City, Kaifu District, Hunan Province, China; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 80 FR 8527, 2/18/15.
84 FR 29373, 6/24/19, 87 FR 38925, 6/30/22. 87 FR 62202, 10/13/22. | ||
| NEL Electronics, (a.k.a., NEL Electronics Pte Ltd), 14K Block 2 YuJingHuaCheng Huaqiang South Road FuTian, Shenzhen, China 518033; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| NetPosa, a.k.a., the following three aliases: – Dongfang Netpower Technology Co.; – Dongfang Wangli Technology; and – NetPosa Technologies Ltd. Room 408, 4th Floor, Shining Xueyuan Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR). | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44159, 7/22/20. | ||
| New H3C Semiconductor Technologies Co., Ltd.,
No. 1, Floor 1, Unit 1, Building 4, No. 219, Tianhua 2nd Rd., Chengdu High-Tech Zone, China (Sichuan) Pilot Free Trade Zone, China; Beijing Branch – Room 401, 4th Floor, Building 1, No. 8 Yard, Yongjia North Road, Haidian District, Beijing, China; Shanghai Branch – No. 666 Shengxia Rd., 122 Yindong Rd., China (Shanghai) Pilot Free Trade Zone, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 67319. 11/26/21.
87 FR 62202, 10/13/22. | ||
| Ninehead Bird Semiconductor, RM 15, Jufu Ge, Caifu Bld, Caitian Road, Futian Qu, Shenzhen, Guangdong, 518033, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Ningbo Semiconductor International Corporation (NSI), No. 331-335 Anju Road, Xiaogang Street, Beilun District, Ningbo, Zhejiang; 1MC07, Jiuzhou Center, No. 95, Lane 85, Cailun Road, Pudong New Area, Shanghai. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| North Huawei Communication Technology Co., Ltd., Beijing, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Northwest Institute of Nuclear Technology in the Science Research (NINTF), Xi’an, Shanxi; | For all items subject to the EAR. | See § 744.2 of this part | 64 FR 28909, 5/28/99. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. | ||
| Northwestern Polytechnical University, a.k.a. the following ten aliases:
– Northwest Polytechnic University; – Northwest Polytechnical University; – Northwestern Polytechnic University; – Northwestern Polytechnical University, Beijing Research Institute; – Northwestern Polytechnical University, Chongqing Innovation Center; – Northwestern Polytechnical University, Collaborative Innovation Center; – Northwestern Polytechnical University, Ningbo Research Institute; – Northwestern Polytechnical University, Qingdao Research Institute; – Northwestern Polytechnical University, Shenzhen Research Institute; – Northwestern Polytechnical University, Yangtze River Delta Research Institute. 127 Yonyi Xilu, Xi’an 71002 Shaanxi, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 66 FR 24266, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/9/12. 81 FR 64696, 9/20/16. 84 FR 40241, 8/14/19. 87 FR 62202, 10/13/22. 88 FR 13675, 3/6/23. | ||
| OEM Hub Co Ltd, Rm 3208 32/F Central Plaza, 18 Harbour Road, Wanchai, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| OnTime Electronics Technology Company, Room 609-610 6/F Boss Commercial Center, 28 Ferry Street, Jordon, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. 85 FR 83769, 12/23/20. | ||
| Oriental Logistics Group LTD, a.k.a., the following one alias: – Oriental Air Transport Service Ltd. Room 2114, 21/F., Shenhua Commercial, Bldg., No. 2018 Jiabin Rd., Luo Hu District, Shenzhen, China 418001; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. 85 FR 83769, 12/23/20. 87 FR 38925, 6/30/22. | ||
| Panda International Information Technology Company, Ltd., 7/F, B Tower, Yingwu Conference Center, No. 6. Huayuan Road, Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 36202, 6/26/14. | ||
| Panda Semiconductor, Room 2, Unit A 14/F Shun on Commercial building, 112-114 Des Voeux Road, Central, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Peac Institute of Multiscale Science, a.k.a., the following two aliases: – Peak Multiscale Science Institute; – Peak Multi-Scale Scientific Research Institute. 111, 1st Section, Northern 2nd Ring Road, Chengdu, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Peaceful Vision (Lianyungang) Electronic Co., Ltd., a.k.a., the following two aliases: – Hangxing Electronics (Lianyungang) Co., Ltd; – Peaceful Vision Co., Ltd. No. 1 Changxing Road, Song Economic High-tech Zone, Lianyungang, Jiangsu, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. 85 FR 83769, 12/23/20. | ||
| Peaktek Company Ltd., Room 803, Chevalier Building, 45-51 Chatham Road, South Kowloon, Hong Kong. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Pinky Trading Co., Ltd., 338 Queen’s Road, Central, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Poly Asia Pacific Ltd., (PAPL), a.k.a., the following alias: – Beijing Oriental Vision Petroleum Technology Company Limited (OVTEK-P). Room 1103, Hang Seng Mongkok Building, 677 Nathan Road, Mongkok, Kowloon Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Poly Technologies Inc., 11F Poly Plaza, 14 Dongzhimen Nandajie, Beijing China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 36202, 6/26/14. | ||
| PRC Lode Technology Company, a.k.a., the following the following five aliases: – Lode International Limited; – Lode Technology Company; – Beijing Lode Technology Company, Ltd.; – Beijing Nuodian Keji Youxian Gongsi; – Beijing Nuodian Technology. Room 8306 Kelun Building, 12A Guanghua Road, Chaoyang, Beijing 100020, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. 80 FR 69856, 11/12/15. 81 FR 14958, 3/21/16. 85 FR 83769, 12/23/20. | ||
| PXW Semiconductor Manufactory Co., Ltd., a.k.a., the following seven aliases:
– Peng Chip; – Shenzhen Peng Xin Wei IC Manufacturing; – Shenzhen Pengxin Micro Integrated Circuit Manufacturing Co., Ltd.; – PengXinWei; – PXW; – PXWSemi; – Pengxin Micro. Room 727, Shanxia Building, No. 160, Xinxia Avenue, Shanxia Community, Pinghu Street, Longgang District, Shenzhen, 518111, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Qihoo 360 Technology Company, No. 6 Jiuxianqiao Rd., Building No. 2, 3/F, Chaoyang District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Qing’an International Trading Group, a.k.a., the following three aliases: – Qing’an International Trading Group Company; – Qing’an Company Shenzhen Station; – China Qing’an International Trading Group. No. 27 Xiaoyun Road, Chaoyang District, Beijing 100027, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Qingdao National Laboratory of Marine Science and Technology, a.k.a., the following one alias:
– QNLM. 168 Wenhai Middle Rd., Aoshanwei, Jimo District, Qingdao, Shangdong, China, 266237. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| QuantumCTek Co., Ltd., a.k.a., the following four aliases: – HKUST National Shield Quantum Technology Co., Ltd.; – HKUST Guodun Quantum Technology Co., Ltd.; – National Shield Quantum; – Anhui Quantum Communication Technology Co., Ltd. Floor 1, 3, 4, 5, 6, 7 of Building D3, 800 Wangjiang West Road, High-tech Zone, Hefei, Anhui, 230088, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Ray Hui, Units 801-803 and 805, Park Sun Building, No. 97-107 Wo Yi Hop Road, Kwai Chung, N.T., Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 85 FR 83769, 12/23/20. | ||
| Rayscience Optoelectronics Innovation Co., Ltd., 3rd Floor, Building 47, No. 2338, Duhui Road, Minhang District, Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Reekay Technology Ltd., a.k.a., the following one alias: – Reekay Technology. Suite 502, 5th Floor Arion Commercial Centre, No. 2-12 Queens Road West, Sheung Wan, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| ROFS Microsystems, No. 92 Weijin Road, Tianjin, China 300072; 3rd Floor, Room 316, A2 Building, Tianjin University Science Park, No. 80, 4th Avenue, Tianjin Economic Development Area (TEDA), Tianjin, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Roin Luo, Room 2114, 21/F., Shenhua Commercial, Bldg, No. 2018 Jiabin Rd, Luo Hu District, Shenzhen, China 518001. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| ROV Solutions, Rm. 1014 Favour Industrial Centre, 2-6 Kin Hong Street Kwai Chung Hong Kong. (see alternate address under Georgia). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Sansha Highlander Marine Information Technology Co. Ltd., a.k.a., the following two aliases: – Sansha Highlander Ocean Information Science and Technology Co. Ltd.; – Sansha Highlander Ocean Information Technology Co. Ltd. Sansha City, Hainan Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Sanya Highlander Huanyu Ocean Information Technology Corporation, a.k.a., the following one alias: – Sanya Highlander Information Technology Co. Ltd. C1902, SP Tower, Tsinghua Science Park, Beijing, China 100084. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Sau Luen Chan, Unit 803, Fourseas Building, 208-212 Nathan Road, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 85 FR 83769, 12/23/20. | ||
| Seajet Company Limited, a.k.a., the following three aliases: – Hisiang Logistics Company Limited; – Beijing Haixiang International Transport Agency Co., Ltd.; – GDL Company Limited B-804 SOHO New Town, 88 Jianguo Road, Chaoyang District, Beijing, 100022, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 86 FR 29193, 6/1/21. | ||
| Semiconductor Manufacturing International (Beijing) Corporation, a.k.a., the following one alias: – SMIC Beijing. No. 18 Wen Chang Road, Beijing Economic-Technological Development Area, Beijing 100176. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Semiconductor Manufacturing International Corporation (SMIC), a.k.a., the following three aliases: – Semiconductor Manufacturing International (Shanghai) Corporation; – SMIC Shanghai; – Semiconductor Mfg International Corp. No. 18 Zhang Jiang Road, Pudong New Area, Shanghai 201203. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Semiconductor Manufacturing International (Shenzhen) Corporation, a.k.a., the following one alias: – SMIC Shenzhen. No. 18 Gaoxin Road, Export Processing Zone, Pingshan New Area, Shenzhen 518118; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Semiconductor Manufacturing International (Tianjin) Corporation, a.k.a., the following one alias: – SMIC Tianjin. No. 19 Xing Hua Avenue, Xiqing Economic Development Area, Tianjin 300385. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Semiconductor Manufacturing South China Corporation, a.k.a., the following four aliases: – SMSC; – SMIC Southern Integrated Circuit Manufacturing Co., Ltd.; – SMIC South; – SMIC Southern. 5th Floor, Building 3, No.18 Zhang Jiang Road, China (Shanghai) Pilot Free Trade Zone. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| SenseNets, a.k.a., the following six aliases: – Deep Net Vision; – Deep Network Vision; – Sensenets Corporation; – Shenzhen Net Vision; – Shenzhen Shenwang Vision Technology Co., Ltd.; – Shenzhen Vision. 8th Floor, East Tower, Skyworth Semiconductor Design Building, No. 18 Gaoxin South 4th Road, Yuehai Street, Nanshan District, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 34505, 6/5/20. 85 FR 44159, 7/22/20. | ||
| Sergey Koynov, a.k.a., the following one alias: – Sergey V. Coyne. Room 704 7/F, Landwide Commercial Building, 118-120 Austin Rd, Tsim Sha Tsui, Hong Kong (See alternate address in Russia). | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. 85 FR 83769, 12/23/20. | ||
| Serko Limited, Room 704 7/F, Landwide Commercial Building, 118-120 Austin Rd, Tsim Sha Tsui, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61249, 10/9/12. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Shaanxi Changling Electronic Technology Co., Ltd., a.k.a., the following one alias: – State-owned 782 Factory. No.75 Qingjiang Road, Weibin District, Baoji City, Shaanxi Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Shaanxi Reactor Microelectronics Co., Ltd., Room 301, Block A, Hanyun Tower, Xi’an Software Park, No. 68, Keji 2nd Rd., High-Tech Zone, Xi’an, Shaanxi; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Shaanxi Zhi En Electromechanical Technology Co., Ltd., Room 11905, Floor 19, Building 1, Daminggong, Wanda Plaza, Taihua North Road, Weiyang District, Xian City, Shaanxi Province, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Shandong Sheenrun Optics & Electronics Co., Ltd., a.k.a., the following two aliases: – China Sheenrun Optics and Electronics Co. Ltd.; – Jinan Sheenrun Electronics Company Ltd. Room A312, Tower F1 Qilu Software Park, Hi-tech Zone, Jinan, China 250101. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Shanghai Aisinochip Electronics Technology Co., Ltd., a.k.a., the following two aliases: – Shanghai Aixinnuohangxin Electronic Technology Co., Ltd.; – Aisino Chip. Building 702, Building 102, Phase 3, Science and Technology Oasis, No. 2570, Hechuan Rd., Minhang District, Shanghai. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Shanghai Aoshi Control Technology Co., Ltd., a.k.a. the following two aliases: – Shanghai Hengtong Optic-Electric Technology Co., Ltd.; – Shanghai Hengtong Photoelectric Technology Co. Ltd. Building 1, No. 618 Chengliu Middle Road, Jiading District, Shanghai; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Shanghai Cable Offshore Engineering Co., Ltd.,
Room 910, 9th/10th Floor, No. 825 Yingkou Road, Yangpu District, Shanghai, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Shanghai Cambricon Information Technology Co., Ltd., a.k.a. the following eight aliases:
– Shanghai Cambrian Information Technology; – Shanghai Cambricon IT; – Shanghai Cambrian IT; – Shanghai Cambricon Info Tech; – Shanghai Cambrian Info Tech; – Shanghai Cambricon Information; – Shanghai Cambricon; – Shanghai Cambrian. No. 888, Huanhu West 2nd Road, Lingang New Area, China (Shanghai) Pilot Free Trade Zone | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Shanghai Fengjin Electronic Technology Co., Ltd.,
Room 301-331, 3/F, Building 1, No. 400 Fangchun Road, China (Shanghai) Pilot Free Trade Zone, Shanghai, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Shanghai Haisi Technology Co., Ltd., Shanghai, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shanghai High-Performance Integrated Circuit Design Center, a.k.a., the following two aliases:
– Shenwei Micro; – Shanghai High-Performance IC Design Center. No. 399, Bi sheng Road, Zhangjiang Hi-Tech Park, Pudong New Area, Shanghai, China; 428 Zhanghen Rd, Zhangjiang High Tech Park, Pudong District, Shanghai, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| Shanghai HiSilicon Technologies Co., Ltd., Room 101, No. 318, Shuixiu Road, Jinze Town (Xiqi), Qingpu District, Shanghai, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shanghai Integrated Circuit Research and Development Center, a.k.a., the following two aliases:
– Shanghai IC R&D Center; – ICRD. No. 497, Goasi Road, Zhangjiang Hi-Tech Park, Pudong New Area, Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Shanghai Micro Electronics Equipment (Group) Co., Ltd., a.k.a., the following four aliases:
– Shanghai Microelectronics (Group) Co., Ltd.; – Shanghai Micro Electronics Equipment Company; – Shanghai Microelectronics Equipment Company; – SMEE. No. 1525 Zhangdong Road, Pilot Free Trade Zone, Shanghai, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Shanghai Mossel Trade Co., Ltd., Shanghai, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shanghai Nova Instruments Co., Ltd., a.k.a., the following four aliases: – Shanghai Weiyi Electromechanical Equipment Co.; – Shanghai Weiyi Mechanical and Electrical Equipment Co., Ltd.; – Shanghai Weiyi Measurement and Control Technology Co., Ltd.; – Nova Instruments. Rm. 408 Bldg. 3 No 911-11 Hulan Rd., Boashan District, Shanghai, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Shanghai QuantumCTek Co., Ltd., a.k.a., the following one alias: – Shanghai Guodun Quantum Information Technology Co., Ltd., 3rd Floor, Building 10, 2388 Xiupu Road, Pudong New Area, Shanghai, 201315, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Shanghai Suowei Information Technology Co., Ltd., a.k.a., the following two aliases:
– Beijing Suowei System Technology Co., Ltd.; – Sysware. Room 516, Building 20, Lane 8633, Zhongchun Road, Minhang District, Shanghai, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Shanxi Eagles Men Aviation Science and Technology Group Co., Ltd., a.k.a., the following two aliases:
– Shanxi Yige Siman Aviation Technology Group Co., Ltd.; – Shanxi EMAST. Zhaidian Industrial Park, Changzhi High-tech Zone, Shanxi Province, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 9390, 2/14/23. | ||
| Sharon Yang,
No. 96 Haining Road, Zhifu District, Yantai City, Shandong Province, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 84 FR 40241, 8/14/19. | ||
| Shenzhen Avanlane, a.k.a., the following one alias: – Avanlane Inc. Unit C, D 10/F Shenmao Building News Road, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Shenzhen Cobber Information Technology Co., Ltd., a.k.a., the following six aliases: – X-Face; – XFaceTech; – Shenzhen Kehao Information Technology Co., Ltd.; – Shenzhen Kepa Information Technology; – Kezhen; – Cobber. 6th Floor, Block B, Shenzhen Production and Research Base, Huazhong University of Science and Technology, No. 9 Yuexing 3rd Road, Nanshan District, Shenzhen, Shenzhen, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. 86 FR 67319, 11/26/21. | ||
| Shenzhen HiSilicon Technologies Co., Electrical Research Center, Huawei Base, Shenzhen, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Hua’antai Intelligent Technology Co., Ltd., a.k.a., the following alias: – Vikor. South of the third floor of U-shaped factory building, Beijing Railway Technology Industrial Park, No. 49 Changjiangpu Road, Henggang Street, Longgang District, Shenzhen, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Shenzhen Huawei Technical Services Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Huawei Terminal Commercial Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Huawei Training School Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Huayi Loan Small Loan Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Iprogift Technology Co., Ltd, a.k.a., the following three aliases: – Iprogift Shenzhen Technology Co., Ltd.; – Shenzhen Iprogift Technology; – Iprogift Shenzhen Technology. New North Door 25H Shenhua Commercial Building, Jiabin Road 2018, Luohu District, Shenzhen, China, 518000; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Shenzhen Legrit Technology Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shenzhen Rion Technology, 4/F Block 1. Fuan Second Industrial Park, D Yang Tian, Da Yang Road, Ruyo, Shenzhen, China | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Shenzhen Shunjinxin Import & Export Co. Ltd., a.k.a., the following one alias: – Shenzhen Shunjinxin IMP&Export Co. Ltd. 25H North Door Shenhua Comm. Build., Jiabin Road 2018, Luohu District, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Shenzhen Smartcom Business Co., Ltd., Shenzhen, Guangdong, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Shi Lirong, Yuanzhong Garden Tower A, Room 26A, Futian, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 15461, 3/29/17. | ||
| Shihezi Municipality Public Security Bureau, 209 N Fourth Rd., Shihezi City, XUAR 832000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44159, 7/22/20. | ||
| Sichuan Dingcheng Material Trade Co., Ltd., No. 64 Mianshan Road, Mianyang City, Sichuan, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Sichuan Haitian New Technology Group Co., Ltd., a.k.a., the following two aliases: – Haitian Group; – Sichuan Haitian Hi-Tech Group. 64 Mianshan Road, Mianyang City, Sichuan, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Sichuan University, a.k.a., the following five aliases:
– Sichuan University, Institute of Advanced Polymer Materials; – Sichuan University, Luzhou Industrial Technology Research Institute; – Sichuan University, Qingdao Research Institute; – Sichuan University, Suzhou Research Institute; – Sichuan University, Yibin Industrial Technology Research Institute. No. 24 South Section 1, Yihuan Road, Chengdu, China, 610065; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case basis | 77 FR 58006, 9/19/12. 88 FR 13675, 3/6/23. | ||
| Signet Express Co., Ltd., Room 9-11, 5/F, Block B, Hoplite Industrial Centre, 3-5 Wang Tai Road, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. 85 FR 83769, 12/23/20. | ||
| Sik Yin Ngai, a.k.a., the following one alias: – Spencer Ngai. Unit 401, Harbour Ctr., Tower 2, 8 Hok Cheung Street, Hung Hom, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. 85 FR 83769, 12/23/20. | ||
| Sinno Electronics Co., Ltd., a.k.a., the following one alias: – Xinnuo Electronic Technology. Rm 2408 Dynamic World Building, Zhonghang Rd, Futian District, Shenzhen, China; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Sinovac Technology Limited, Rm 804 Sino Center, 582-592 Sino Center Road, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 85 FR 83769, 12/23/20. | ||
| Siu Ching Ngai, a.k.a. the following one alias: – Terry Ngai. Unit C, 9/F Neich Tower, 128 Gloucester Road, Wanchai, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. 85 FR 83769, 12/23/20. | ||
| SJ Semiconductor, a.k.a., the following two aliases: – SJ Semiconductor (Jiangyin) Corp.; – SJ Jiangyin. 6 Dongsheng West Road, Building A8-4, Jiangyin City, Jiangsu Province 214437. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Sky Rise Technology Ltd., a.k.a., the following one alias: – Sky Rise Tech. 4-4-2301 Xinyi Jiayuan, Chongwenmen, Dongcheng, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Skyeye Laser Technology Limited, a.k.a., the following one alias: – Mianyang Tianyan Laser Technology, 237 Chuangye Road Zhongduan, Mianyang, Sichuan, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Skylinks FZC, a.k.a., the following two aliases: – Skylinks; – Skylinks Satellite Comm. RM 1905, 19/F, Nam Wo Hong Bldg., 148 Wing Lok Street, Sheung Wang, Hong Kong (See alternate addresses under U.A.E.). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 85 FR 83769, 12/23/20. | ||
| Smartcom (Hong Kong) Co., Limited, Sheung Wan, Hong Kong. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 85 FR 83769, 12/23/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| SMIC Holdings Limited, Building 1, No. 1059 Dangui Road, China (Shanghai) Pilot Free Trade Zone, Shanghai. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| SMIC Hong Kong International Company Limited, a.k.a., the following one alias: – SMIC Hong Kong. Suite 3003, 30th Floor, No. 9 Queen’s Road Central Hong Kong. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. 85 FR 83765, 12/23/20. 86 FR 12531, 3/4/21. | ||
| SMIC Northern Integrated Circuit Manufacturing (Beijing) Co., Ltd., a.k.a., the following two aliases: – Semiconductor Manufacturing North China (Beijing) Corporation; – SMIC North. Building 9, No. 18 Wenchang Avenue, Beijing Economic and Technological Development Zone, Beijing. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| SMIC Semiconductor Manufacturing (Shanghai) Co., Ltd., a.k.a., the following one alias: – Suzhou Design Center. Room 602, Building 1, No.158 Suya Road, Suzhou Industrial Park. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial for items uniquely required for production of semiconductors at advanced technology nodes (10 nanometers and below, including extreme ultraviolet technology); Case by case for all other items | 85 FR 83420, 12/22/20. | ||
| Southwest Research Institute of Electronics Technology, a.k.a., the following three aliases: – 10th Research Institute of China Electronic Technology Group Corp (CETC); – CETC 10th Research Institute; – Southwest Institute of Electronic Technology (SWIET); No. 6 Yong Xin Street, Chengdu; | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. | ||
| Spacety Co., Ltd., a.k.a., the following three aliases:
– Changsha Tianyi Space Science and Technology Research Institute; – Spacety; – Spacety Luxembourg S.A. 9 Dengzhuang South Rd Beijing, Beijing China; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Su Bin, a.k.a., the following two aliases: – Stephen Subin; and – Steve Su. Room 8306 Kelun Building, 12A Guanghua Road, Chaoyang, Beijing 100020, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. 85 FR 83768, 12/23/20. 86 FR 12531, 3/4/21. | ||
| Sugon, a.k.a., the following nine aliases:
– Dawning; – Dawning Information Industry; – Sugon Information Industry; – Shuguang; – Shuguang Information Industry; – Zhongke Dawn; – Zhongke Shuguang; – Dawning Company; – Tianjin Shuguang Computer Industry. Sugon Building, No. 36 Zhongguancun Software Park, No. 8 Dongbeiwang West Road, Haidian District, Beijing; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 29373, 6/24/19.
87 FR 62202, 10/13/22. | ||
| Suki Zhan, Room 2114, 21/FL Shenhua Commercial Bldg, Luohu District Shenzhen, China, 518001; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Sunton Tech Hong Kong Ltd., a.k.a., the following two aliases:
– Sunton Tech (HK) Limited; – Shenzhen Unicom Electronic Technology Limited. Unit A10, 8/F, Block A, Proficient Industrial Centre, No. 6 Wang Kwun Road, Kowloon Bay, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Suntric Company Limited, a.k.a., the following one alias: – IC.CN Company Limited. Rm. 311, 3/F, Genplas Industrial Building 56 Hoi Yuen Road, Kwun Tong, Kowloon, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Sunway Microelectronics, a.k.a., the following two aliases:
– Chengdu Shenwei Technology; – Chengdu Sunway Technology. Building D22, Electronic Science and Technology Park, Section 4, Huafu Avenue, Chengdu, China; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| Suzhou Cambricon Information Technology Co., Ltd., a.k.a., the following five aliases:
– Suzhou Cambrian Information Technology Co., Ltd.; – Suzhou Cambricon IT; – Suzhou Cambrian IT; – Suzhou Cambricon; – Suzhou Cambrian. Unit E502-3, International Science and Technology Park, No. 1355 Jinjihu Avenue, Suzhou Industrial Park, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Suzhou Centec Communications Co., Ltd., a.k.a., the following one alias:
– Centec Networks (Suzhou) Co., Ltd. Unit 13/16, 4th Floor, Building B, No. 5 Xinghan St., Suzhou Industrial Park, Jiangsu, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Suzhou Centec Technology Co., Ltd., Room 201, Building 6, No. 5, Xinghan St., Suzhou Industrial Park, Suzhou, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Suzhou Huawei Investment Co., Ltd., Suzhou, Jiangsu, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following one alias: – Kedacom. No. 131, Jinshan Road, High-tech Zone, Suzhou City, Jiangsu Province, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Suzhou Nuclear Power Research Institute Co. Ltd.,
1788 Xihuan Road, Suzhou, 215000, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Synergy Express Ltd., Room 1237, Pacific Trade Centre, No. 2 Kai Hing Road, Kowloon Bay, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 85 FR 83769, 12/23/20. | ||
| Sysdynamic Limited, Unit 716A, 7/F Enterprise Place (Building 9), No. 5 Science Park West Avenue, Hong Kong Science Park, Shatin, New Territories, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. 85 FR 83769, 12/23/20. | ||
| System Equipment Co., Ltd. of the 28th Research Institute (Liyang), a.k.a. the following three aliases:
– Liyang No. 28 System Equipment Co., Ltd.; – Liyang 28th System Equipment Co., Ltd.; – CEV. No. 26 Yongsheng Road, Kunlun Street, Liyang City, China; | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Tacheng Prefecture Public Security Bureau,
Tuanjie Rd. Tacheng City, XUAR 834700, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Taihe Electric (Hong Kong) Limited, Room No. 2002, 20th Floor, Building B, Jinsha Winera Plaza, No. 1, Shujin Road, Qingyang District, Chengdu, Sichuan, 610091, P.R. China; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. 85 FR 83769, 12/23/20. | ||
| Taizhou CBM-Future New Material Science and Technology Co., Ltd., a.k.a., the following one alias: – CBM Future. China Jincheon Tung Cheng Jin Road, Linhai City, Zhejiang Province #431, 317005, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Tam Shue Ngai, Unit C, 9/F Neich Tower, 128 Gloucester Road, Wanchai, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. 85 FR 83769, 12/23/20. | ||
| Tam Wai Tak, a.k.a., the following one alias: – Thomsom Tam. Room 609-610 6/F, Boss Commercial Center, 28 Ferry Street, Jordon, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. 85 FR 83769, 12/23/20. | ||
| TanWei, a.k.a., the following one alias: – Terry Tan No. 288, Fuhai Road, Fushan District, Yantai City, Shandong Province, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 84 FR 40241, 8/14/19. | ||
| Tanyuan Technology Co. Ltd., a.k.a., the following five aliases: – Carbon Yuan Technology; – Changzhou Carbon Yuan Technology Development; – Carbon Element Technology – Jiangsu Carbon Element Technology; – Tanyuan Technology Development. No. 7 Lanxiang Road, Wujin Economic Development Zone, Jiangsu. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Technopole Ltd., Suite 1505-6, Albion Plaza, 2-6 Granville Road, TsimShatSui, Kowloon, Hong Kong (See alternate address under India). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. 85 FR 83769, 12/23/20. | ||
| Telixin Electronics Technology Co., Ltd.,
Building 1, Jianxiang Garden, No., 209 North Fourth Ring Middle Road, Haidian, Beijing, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Tenco Technology Company Ltd., a.k.a., the following four aliases:
– Redd Forest Technology Company Limited; – Shenzhen Shengfaweiye Electronic Co., Ltd.; – Shenzhen Tenco Technology Co., Ltd.; – Tenco International Co., Ltd. Room 2709, Block A, Jiahe Huaqiang Building, Shennan Middle Rd., F Shenzhen, Guangdong 518007, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19.
85 FR 83769, 12/23/20. 87 FR 77508, 12/19/22. | ||
| Tenfine Ltd., a.k.a., the following two aliases: – Beijing Beihang Assets Management Co. Ltd.; and – Tenfine Limited Company. No 37 Xue Yuan Lu, Haidian, Beijing, China; and | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463 12/12/13. 87 FR 51877, 8/24/22. | ||
| Tex-Co Logistics Ltd., a.k.a., the following one alias: – Tex-Co Hongxin Logistics Limited. GF Seapower Industrial Building 177, Hoi Bun Road, Kowloon, Hong Kong, | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7358, 2/19/10. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Thundsea Electric Limited, Rm. 1014 Favour Industrial Centre, 2-6 Kin Hong Street Kwai Chung Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Tianjin 764 Avionics Technology Co., Ltd.,
Room 1002-2, No. 88 Haibin 8th Road, Tianjin Pilot Free Trade Zone (Tianjin Port Free Trade Zone), China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Tianjin 764 Communication and Navigation Technology Co., Ltd.,
Room 401, Door 1, Block F, No. 6 Erwei Road, Huayuan Industrial Zone, Tianjin, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Tianjin Broadcasting Equipment Co., Ltd., a.k.a., the following two aliases: – Tianjin Communications and Guidance Technology Co., Ltd.; – State-owned 764 Factory. No. 882 Dagu South Road, Hexi District, Tianjin. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Tianjin Micro Nano Manufacturing (MNMT), 3rd Floor, Room 316, A2 Building, Tianjin University Science Park, No. 80, 4th Avenue, Tianjin Economic Development Area (TEDA), Tianjin, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Tianjin Phytium Information Technology, a.k.a., the following three aliases:
– Phytium; – Phytium Technology; – Tianjin Feiteng Information Technology. Bldg 5 Xin’an Venture Plaza 1 Haiyuan M Rd Binhai New Area Tianjin, 300450 China; | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 86 FR 18438, 4/9/21.
87 FR 62202, 10/13/22. | ||
| Tianjin Tiandi Weiye Technologies Co., Ltd., a.k.a., the following one alias:
– Tiandy Technologies. No. 8, Huake 2nd Road, Binhai High-tech Zone (Huayuan), Tianjin, China 300384. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Tianjin University, a.k.a., the following thirteen aliases:
– Tianjin University, Binhai Industrial Research Institute; – Tianjin University, Hefei Institute for Innovation and Development; – Tianjin University, Institute of Medical Robots and Intelligent Systems; – Tianjin University, Jinnan Innovation Research Institute; – Tianjin University, Qingdao Ocean Engineering Research Institute; – Tianjin University, Quanzhou Integrated Circuit and Artificial Intelligence Research Institute; – Tianjin University, Shandong Research Institute; – Tianjin University, Shenzhen Research Institute; – Tianjin University, Sichuan Innovation Research Institute; – Tianjin University, Urban Planning and Design Institute; – Tianjin University, Wuqing Institute of Frontier Technology; – Tianjin University, Zhejiang Research Institute; – Tianjin University, Zhejiang Shaoxing Research Institute; – Tianjin University, Zhongyuan Advanced Technology Research Institute. No. 92 Weijin Road, Tianjin, China 300072; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. 88 FR 13675, 3/6/23. | ||
| TiMi Technologies Co., Ltd., a.k.a., the following two aliases: – TiMi Technology Co. Ltd.; – TiMi Tech. F/10, A-Tower, Nongke Building, 11/Shu Guang Hua Yuan Zhong Lu, Haidian District, Beijing, China, 100097; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Tongfang NucTech Technology Ltd., a.k.a. the following alias: – NucTech. Second Floor, Building A, Tongfang Skyscraper, Shuangqing Road, Haidian District, Beijing, China | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Tongfang R.I.A. Co., Ltd., 23F, Block A, Tsinghua Tongfang Technology Building, Wangzhuang Road, Haidian District, Beijing, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Toptics, Inc., Chuangye Building 7/1F, 1197 Bin’An Road, Binjiang, Hangzhou, Zhejiang 310052, China | For all items subject to the EAR. (See 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Tumushuke Municipal Public Security Bureau, a.k.a., the following one alias: – Tumxuk Municipal Public Security Bureau. Qian Hai West Rd., Tumushuke City, XUAR S21866, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Turfan Municipality Public Security Bureau, a.k.a., the following one alias: – Turpan Municipality Public Security Bureau. 2447 Gaochang N Rd., Turfan City, Gaocheng District, XUAR 838000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| University of Electronic Science and Technology of China, No. 4, 2nd Section, North Jianshe Road, Chengdu, 610054. | For all items subject to the EAR | Case-by-case basis. | 77 FR 58006, 9/19/12. | ||
| Urumqi Municipal Public Security Bureau,
339 Hebei East Rd., Urumqi XUAR, China and New China North Road, XUAR, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Urumqi Tianyao Weiye Information Technology Service Co., Ltd., 25th Floor, Block A, Chuangzhi Building, Software Park, North Kanas Road, Economic and Technological Development Zone, Urumqi, Xinjiang, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Victory Wave Holdings Limited, Unit 2401 A, Park-In Commercial Centre, 56 Dundas Street, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Wang Wei, a.k.a., the following one alias: – Jack Wang. 4-4-2301 Xinyi Jiayuan, Chongwenmen, Dongcheng, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Wavelet Electronics, Room 605, 6/F, Corporation Park, No. 11 on Lai Street, Shatin, New Territories, Hong Kong; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71560, 12/17/21. 87 FR 8182, 2/14/22. | ||
| Wayne Weipeng, the following one alias: – Wang Wayne. Room 1811, B Bldg., Jiahe Tower, No. 3006 Shennan Middle Rd., Shenzhen, China; | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Wei Pang, No. 92 Weijin Road, Tianjin, China 300072; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Well Smart (HK) Technology, Room 604, Kalok Building, 720 Nathan Road, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Wingel Zhang, No. 9 Jiuxianqiao East Rd, Chaoyang, Beijing, China 100015; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Winninc Electronic, Gaokede Building, Huaqiang North, Shenzhen, China; | For all items subject to the EAR (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Wise Smart (HK) Electronics Limited, Room 1213, Chui King House, Choi Hung Estate, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Wong Wai Chung, a.k.a., the following one alias: – David Wong. Unit 27B, Block 8, Monte Vista, 9 Sha On Street, Ma On Shan, New Territories, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Wong Yung Fai, a.k.a., the following one alias: – Tonny Wong. Unit 27B, Block 8, Monte Vista, 9 Sha On Street, Ma On Shan, New Territories, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. 85 FR 83769, 12/23/20. | ||
| Wong Yung Fai, a.k.a., Tonny Wong, Unit 12B, Block 11, East Pacific Garden, Xiang Lin Road, Futian District, Shenzhen, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| World Jetta (H.K.) Logistics Limited, a.k.a., the following one alias: – Hong Kong Shijieda Logistics. 1017 Building B Jiahe Huangqiang Block, Futian District, Shenzhen, China. | For all items subject to the EAR (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Wuhan Huawei Investment Co., Ltd., Wuhan, Hubei, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Wuhan IRCEN Technology, 1329, Unit 2, Building 1, Xin Shangdu, Block B, Optics Valley World City Plaza, Luoyu Road, Wuhan, Hubei, China 430000. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Wuhan Mailite Communication Co., Ltd., a.k.a., the following three aliases: – Mailite Communications Co., Ltd.; – Wuhan Melite Communication Co. Ltd.; – Wuhan Melit Communication Co. Ltd. No. 999 Gaoxin Avenue, Wuhan, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Wuhan Raycus Fiber Laser Technologies Co., Ltd., Building 10, Innovation Base of Hus, Tangxunhu North Road 33 East LA, Wuhan, Hubei, China 430223; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Wujiaqu Municipality Public Security Bureau,
676 Changan W Rd., Wujiaqu City, XUAR 831300, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Wulanchabu Huawei Cloud Computing Technology, a.k.a., the following one alias: – Ulan Qab Huawei Cloud Computing Technology. Huawei Cloud Data Center at the Intersection of Manda Road and Jingqi Road, Jining District, Wulanchabu City, Inner Mongolia Autonomous Region, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Wuxi Institute of Advanced Technology, Building 2, K-Park Business Center, No. 50 Xiuxi Road, Binhu District, Wuxi City, Jiangsu Province, China. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 88 FR 13675, 3/6/23. | ||
| Wuxi Jiangnan Institute of Computing Technology, a.k.a., the following two aliases:
– Jiangnan Institute of Computing Technology; – JICT. No. 699, Shanshui East Road, Binhu District, Wuxi City, China, | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Presumption of denial | 84 FR 29373, 6/24/19.
87 FR 62202, 10/13/22. | ||
| Xi’an Aerospace Huaxun Technology, a.k.a., the following one alias: – Aerospace Huaxun. 10th Floor, Block C, Xi’an National Digital Publishing Base, No. 996 Tiangu 7th Road, Yuhua Street Office, High-Tech Zone, Xi’an, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Xi’an Huawei Technologies Co., Ltd., Xi’an, Shaanxi, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Xi’an Overland Science and Technology Co., Ltd., a.k.a., the following one alias: – Xi’an Wolan Science and Technology Co., Ltd. No. 127 Youyi Xi Road, Xi’an, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Xi’an Research Institute of Navigation Technology, a.k.a., the following two aliases: – 20th Research Institute of China Electronic Technology Group Corp (CETC); – CETC 20th Research Institute 1 Baisha Rd., Xi’an, Shaanxi. | For all items subject to the EAR | See § 744.3(d) of this part | 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 77 FR 58006, 9/19/12. 81 FR 64696, 9/20/16. | ||
| Xi’an Ruixin Investment Co., Ltd., Xi’an, Shaanxi, China. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Xi’an Xiangyu Aviation Technology Group, a.k.a., Xi’an Xiangyu Aviation Technology Company, 16 Gaoxin 4th Road, Xian High Tech Industrial Development Zone, Xian, China | For all items subject to the EAR. (See 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Xiamen Meiya Pico Information Co. Ltd.,
No. 131, Unit 1, Building 1, Tuman Road Construction Company, Kashi City, Xinjiang; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Xian Semi Electronic Co., Ltd., a.k.a., the following three aliases: – Semi Electronics Co.; – Semi Electronics International Co. Limited; – Exodus Microelectronics Co., Ltd. Room 24F, Duhui 100 Building Block B, ZhongHang Road, Futian District, Shenzhen City GuangDong Province, China; Room 1810 Lang Chen Building, No. 13 Gaoxin Road, High Technology Development Zone, Xian, China; Room 24F-27E Duhui B, Zhonghang Road, Futian District, Shenzhen City, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. 85 FR 83769, 12/23/20. | ||
| Xianfa Lin, a.k.a., the following one alias: – Alpha Lam. 15H Office Building, Buji Central Plaza, Jihua Road, Buji Longgang, Shenzhen, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. 82 FR 24245, 5/26/17. 85 FR 83769, 12/23/20. | ||
| Xinghe Xingyong Carbon Co., Ltd., Xicheng Wai, Chengguan Town, Xinghe County, Inner Mongolia, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Xinjiang Beidou Tongchuang Information Technology Co., Ltd., Room 101-102, Unit 1, Building 12, No. 989, Xinhuan North Road, Urumqi, Xinjiang, China; Room 217-3, Information Technology Innovation Park, Xinjiang University, No. 499 Northwest Road, Shayibake District, Urumqi, Xinjiang, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Xinjiang Daqo New Energy, Co. Ltd., a.k.a., the following three aliases: – Xinjiang Great New Energy Co., Ltd.; – Xinjiang Daxin Energy Co., Ltd.; – Xinjiang Daqin Energy Co., Ltd. Shihezi Development Zone Chemical New Material Industrial Park; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 33120, 6/24/21. | ||
| Xinjiang East Hope Nonferrous Metals Co. Ltd., a.k.a., the following one alias: – Xinjiang Nonferrous. Wucaiwan Industrial Park, Zhundong Economic and Technological Development Zone, Changji Prefecture, Xinjiang (Cainan Community); | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 33120, 6/24/21. | ||
| Xinjiang GCL New Energy Material Technology, Co. Ltd., a.k.a., the following one alias: – Xinjiang GCL New Energy Materials Technology Co., Ltd. East Section of Hengsi Road, Quanbei Industrial Zone, Hongsha, Zhundong Economic and Technological Development Zone, Changji Prefecture, Xinjiang (Jijihu Community); | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 33120, 6/24/21. | ||
| Xinjiang Lianhai Chuangzhi Information Technology Co., Ltd., a.k.a., the following alias: – Xinjiang Lianhai Chuangzhi Xinxi Keji Youxian Gongsi. Room 908-5, Floor 9, Shumagang Tower, No. 258 Gaoxin Street, High-Tech Industrial Zone (New City), Urumqi, Xinjiang, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Xinjiang Police College,
Xinshi District, Changsha Road, No. 1108, Urumqi, Xinjiang, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Xinjiang Production and Construction Corps (XPCC), a.k.a., the following three aliases: – XPCC; – Xinjiang Corps; – Bingtuan. Urumqi, Xinjiang Uyghur Autonomous Region, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 33120, 6/24/21. | ||
| Xinjiang Production and Construction Corps (XPCC) Public Security Bureau,
106 Guangming Rd., Urumqi, Tianshan, XUAR, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Xinjiang Sailing Information Technology Co., Ltd., a.k.a., the following two aliases: – Xi Ling Information; – Xinjiang Xiling Information Technology 10th Floor, Dacheng International Building, No. 358 Beijing South Road, High-tech Zone (New City), Urumqi, Xinjiang, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Xinjiang Silk Road BGI, a.k.a., the following one alias: – Xinjiang Silk Road Huada Gene Technology. Xinjiang Urumqi High-tech Industrial Development Zone (New Urban District) No.258 Gaoxin Street Cyberport Building 2015-891. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 85 FR 44161, 7/22/20. | ||
| Xinjiang Tangli Technology Co., Ltd., Room 601, Leon Technology R&D Service Center, Building 1, No. 518, Yanshan Street, Urumqi Economic and Technological Development Zone, Xinjiang, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Xinjiang Uyghur Autonomous Region (XUAR) People’s Government Public Security Bureau,
28 Qiantangjiang Rd., Shayibake District, Urumqi, XUAR, 830006, China. | For all items subject to the EAR (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Xiong’an Cambricon Technology Co., Ltd., a.k.a. the following three aliases:
– Xiong’an Cambrian Technology Co., Ltd.; – Xiong’an Cambricon; – Xiong’an Cambrian. Leader Jin Street A-, Rongcheng County, Baoding City, Hebei Province, China No. 72-1. | For all items subject to the EAR. (See §§ 734.9(e)(2) and 744.11 of the EAR) 4 | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Y-Sing Components Limited, Unit 401, Harbour Ctr., Tower 2, 8 Hok Cheung Street, Hung Hom, Kowloon, Hong Kong. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. 85 FR 83769, 12/23/20. | ||
| Yangtze Memory Technologies Co., Ltd., a.k.a., the following three aliases:
– Changjiang Cunchu; – YMTC; – Changjiang Storage Technology. 88 Weilai 3rd Road, East Lake High-tech Development Zone, Wuhan, Hubei, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Yeraz, LTD, a.k.a., the following one alias: – Mikrocity HK Limited. Room 927 9/F Far East Consortium Building, 121 Des Voeux Road C, Central District, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44259, 7/25/11. 80 FR 69856, 11/12/15. 85 FR 83769, 12/23/20. | ||
| Yili Kazakh Autonomous Prefecture Public Security Bureau, a.k.a., the following one alias: – Ili Kazakh Autonomous Prefecture Public Security Bureau. Sidalin W Rd., Yining City, XUAR 835000, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Yin Zhao, No. 2A Zhonghuan South Road, Wangjing, Chaoyang District, Beijing, China, 100102; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Yiru Zhuang, Room 1811, B Bldg., Jiahe Tower, No. 3006 Shennan Middle Rd., Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Yitu Technologies,
23F, Shanghai Arch Tower I, 523 Loushanguan Rd, Changning District, Shanghai, China. | For all items subject to the EAR. (See §§ 734.9(e) and 744.11 of the EAR) 4 | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19.
85 FR 44159, 7/22/20. 87 FR 62202, 10/13/22. | ||
| Yiwu Tianying Optical Instrument Company, Room 301, 1 Unit, 18 Building, Houcheng Yi Qu, Jiangdong Street, Yiwu City, Zhejiang, China, 322000. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Yixin Science and Technology Co. Ltd., a.k.a., the following four aliases: – Yixin Technology; – Yuxin Technology; – Yuxin Science and Technology; – Ecguard. 216 Qiantangjiang Rd., Urumqi, Xinjiang, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 84 FR 54004, 10/9/19. 85 FR 44161, 7/22/20. | ||
| Yunchip Microelectronics, a.k.a., the following one alias: – Suzhou Yunxin Microelectronics Technology. Kunshan Huaqiao town double International Business Center, Building 40 Room 7-8, chamber 41, chamber 42, China; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Yutron Technology Co. Ltd., Room 201-203, Building 7B, International Business Center, 1001 Honghua Road, Futian Free Trade Zone, Shenzhen, China; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 84 FR 21236, 5/14/19. 85 FR 83769, 12/23/20. | ||
| Zhao Gang, No. 92 Weijin Road, Tianjin, China 300072; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Zhongke Xinliang (Beijing) Technology Co., Ltd., a.k.a., the following two aliases:
– Xinlian Technology Co., Ltd.; – Sinoinfoun. Room 131, 1st Floor, Building 3, No. 6, Fufeng Road, Science City, Fengtai District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| Zhongtian Technology Submarine Cable Co., Ltd., a.k.a., the following one alias: – ZTT Cable. No. 1, Xinkai South Road, Nantong Economic and Technological Development Zone, China. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Zhou Zhenyong, a.k.a., the following two aliases: – Benny Zhou; – Zhenyong Zhou. Room 1007, Block C2, Galaxy Century Bldg., CaiTian Rd., FuTian District, Shenzhen, China; and Room 1702, Tower B, Honesty Building, Humen, Dongguan, Guangdong, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Zhu Jiejin, a.k.a., the following one alias: – Anna Zhu. Rm 408 Bldg. 3 No 911-11 Hulan Rd., Boashan District, Shanghai, China. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Zhu Kuibao,
No. 51 Yongding Rd., Haidian District, Beijing, China; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24565, 5/1/14. | ||
| Zhuhai Orbita Control Systems, a.k.a., the following three aliases: – Zhuhai Orbita Control Engineering; – Zhuhai Orbita Aerospace Science and Technology; – Orbita. Orbita Tech Park, No.1, Baisha Road, Tangjia Dongan, Zhuhai, China | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 51877, 8/24/22. | ||
| ZM International Company Ltd., 4/F Enterprise Bldg 228-238, Queen’s Road Central, Hong Kong; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 84 FR 40241, 8/14/19. 85 FR 83769, 12/23/20. | ||
| COSTA RICA | Huawei Technologies Costa Rica SA, a.k.a., the following one alias: – Huawei Technologies Costa Rica Sociedad Anonima. S.J, Sabana Norte, Detras De Burger King, Edif Gru, Po Nueva, San Jose, Costa Rica. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| CRIMEA REGION OF UKRAINE | Aktsionernoe Obschestvo ‘Yaltinskaya Kinodstudiya,’ a.k.a., the following eight aliases: – CJSC Yalta-Film; – Film Studio Yalta-Film; – Joint Stock Company Yalta Film Studio; – JSC Yalta Film Studio; – Kinostudiya Yalta-Film; – Oao Yaltinskaya Kinostudiya; – Yalta Film Studio; – Yalta Film Studios Ulitsa Mukhina, Building 3, Yalta, Crimea 298063, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | |
| Chernomorneftegaz,a.k.a., the following two aliases: – Chornomornaftogaz, – NJSC Chornomornaftogaz. Kirova/per. Sovnarkomovskaya, 52/1, Simferopol, Crimea, 95000, Ukraine. (See Ukraine). | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 79 FR 21396, 4/16/14. | ||
| Crimean Enterprise Azov Distillery Plant, a.k.a., the following five aliases: – Azovsky Likerogorilchany Zavod, Krymske Respublikanske Pidpryemstvo; – Azovsky Likerovo-Dochny Zavod; – Crimean Republican Enterprise Azov Distillery; – Crimean Republican Enterprise Azovsky Likerovodochny Zavod; – Krymske Respublikanske Pidpryemstvo Azovsky Likerogorilchany Zavod Bud. 40 vul. Zaliznychna, Smt Azovske, Dzhankoisky R-N, Crimea 96178, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Crimean Ports, a.k.a., the following three aliases: – State Unitary Enterprise of the Republic of Crimea ‘Crimean Ports’; – Sue RC ‘KMP’; – Sue RK ‘Crimean Ports’ 28 Kirov Street, Kerch, Crimea Region of Ukraine 98312. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Crimean Railway, a.k.a., the following three aliases: – Federal State Unitary Enterprise ‘Crimean Railway’; – Krymzhd; – The Railways of Crimea 34 Pavlenko Street, Simferopol, Crimea Region of Ukraine 95006. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| FAU ‘Glavgosekspertiza Rossii’, a.k.a., the following three aliases: – Federal Autonomous Institution ‘Main Directorate of State Examination’; – General Board of State Expert Review; – Glavgosekspertiza. 13 Demidova Street, Sevastopol, Crimea, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Federal SUE Shipyard ‘Morye’, a.k.a., the following four aliases: – Federal State Unitary Enterprise SZ Morye; – FSUE SZ ‘Morye’; – Morye Shipyard; – More Shipyard. 1 Desantnikov Street, Feodosia, Crimea 98176, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Feodosiya Enterprise, a.k.a., the following four aliases: – Feodosia Oil Products Supply Co.; – Feodosiya Enterprise on Providing Oil Products; – Feodosiyske Company for the Oil; – Theodosiya Oil Terminal. Feodosiya, Geologicheskaya str. 2, Crimea 98107, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| KPSK, OOO, a.k.a., the following two aliases: – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Krymskaya Pervaya Strakhovaya Kompaniya’; – OOO ‘Krymskaya Pervaya Strakhovaya Kompaniya’ 29 ul. Karla Marksa, Simferopol, Crimea 295006, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| OAO ‘Uranis-Radiosistemy’, a.k.a., the following three aliases: – OJSC ‘Uranis Radio Systems’; – OJSC Uranis-Radiosistemy; – Uranis-Radiosistemy OAO. 33 G, Vakulenchuk Street, Sevastopol, Crimea 99053, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OAO Ship Repair Center ‘Zvezdochka’, a.k.a., the following four aliases: – ‘Zvezdochka’ Shipyard; – AO Ship Repair Center ‘Zvezdochka’; – Joint Stock Company Ship Repair Center ‘Zvezdochka;’ – Ship Repair Center Zvezdochka. 13 Geroyev Sevastopolya Street, Sevastopol, Crimea 99001, Ukraine (See alternate address in Russia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OOO Shipyard ‘Zaliv’ (f.k.a., AO Shipyard ‘Zaliv’; JSC Shipyard ‘Zaliv;’ JSC Zaliv Shipyard; – LLC Shipyard ‘Zaliv’; – Zaliv Shipyard LLC. 4 Tankistov Street, Kerch, Crimea 98310, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Resort Nizhnyaya Oreanda (f.k.a., Federalnoe Gosudarstvennoe Byudzhetnoe Uchrezhdenie Sanatori Nizhnyaya Oreanda Upravleniya), a.k.a., the following three aliases: – Federalnoe Gosudarstvennoe Byudzhetnoe Uchrezhdenie Sanatori Nizhnyaya Oreanda Upravleniya Delami Prezidenta Rossiskoi Fe; – FGBU Sanatori Nizhnyaya Oreanda; – Sanatorium Nizhnyaya Oreanda Pgt Oreanda, Dom 12, Yalta, Crimea 298658, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Riviera Sunrise Resort & Spa, a.k.a. the following one alias: – Riviera Sunrise Resort and Spa Lenin St. 2, Alushta, Crimea 29850, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| SMT-K, a.k.a., the following six aliases: – Krym SMT OOO LLC; – LLC CMT Crimea; – OOO ‘CMT-K’; – OOO ‘SMT-K’; – SMT-Crimea; – Sovmortrans-Crimea. ul. Zoi Zhiltsovoy, d. 15, office 51, Simferopol, Crimea, Ukraine. (See Alternate address under Russia) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| State Concern National Production and Agricultural Association Massandra, a.k.a., the following four aliases: – Massandra National Industrial Agrarian Association of Wine Industry; – Massandra State Concern, National Production and Agrarian Union, OJSC; – Nacionalnoye Proiz-Vodstvenno Agrarnoye Obyedinenye Massandra; – State Concern National Association of Producers Massandra 6, str. Mira, Massandra, Yalta 98600, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| State Enterprise Evpatoria Sea Commercial Port, a.k.a., the following eight aliases: – Port of Evpatoria; – Port of Yevpatoria; – Seaport of Yevpatoriya; – Yevpatoria Commercial Seaport; – Yevpatoria Merchant Sea Port; – Yevpatoria Sea Port; – Yevpatoriya Commercial Sea Port; – Yevpatoriya Sea Port Mariners Square 1, Evpatoria, Crimea 97416, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| State Enterprise Factory of Sparkling Wine Novy Svet, a.k.a., the following six aliases: – Derzhavne Pidpryemstvo Zavod Shampanskykh Vyn Novy Svit; – Gosudarstvenoye Predpriyatiye Zavod Shampanskykh Vin Novy Svet; – Novy Svet Winery; – Novy Svet Winery State Enterprise; – State Enterprise Factory of Sparkling Wines New World; – Zavod Shampanskykh Vyn Novy Svit, DP 1 Shaliapin Street, Novy Svet Village, Sudak, Crimea 98032, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| State Enterprise Feodosia Sea Trading Port, a.k.a., the following five aliases: – Port of Feodosia; – Seaport of Feodosiya; – Theodosia Commercial Seaport; – Theodosia Merchant Sea Port; – Theodosia Sea Port 14 Gorky Street, Theodosia 98100, Ukraine,; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| State Enterprise Kerch Sea Commercial Port, a.k.a., the following six aliases: – Kerch Commercial Seaport; – Kerch Merchant Sea Port; – Kerch Sea Port; – Port of Kerch; – Seaport of Kerch; – State Enterprise Kerch Commercial Sea Port Kirova Street 28, Kerch, Crimea 98312, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| State Enterprise Magarach of the National Institute of Wine, a.k.a., the following five aliases: – Agrofirma Magarach Natsionalnogo Instytutu Vynogradu I Vyna Magarach, DP; – Derzhavne Pidpryemstvo Agrofirma Magarach Natsionalnogo Instytutu Vynogradu I Vyna Magarach; – Gosudarstvenoye Predpriyatiye Agro-Firma Magarach Nacionalnogo Instituta Vinograda I Vina Magarach; – Magarach Agricultural Company Of National Institute Of Wine And Grapes Magarach; – State Enterprise Agricultural Company Magarach National Institute of Vine and Wine Magarach Bud. 9 vul. Chapaeva, S.Viline, Bakhchysaraisky R-N, Crimea 98433, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| State Enterprise Sevastopol Sea Trading Port, a.k.a., the following seven aliases: – Port of Sevastopol; – Seaport of Sevastopol; – Sevastopol Commercial Seaport; – Sevastopol Merchant Sea Port; – Sevastopol Sea Port; – Sevastopol Sea Trade Port; – State Enterprise Sevastopol Commercial Seaport 3 Place Nakhimova, Sevastopol 99011, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| State Enterprise Universal-Avia, a.k.a., the following six aliases: – Crimean State Aviation Enterprise Universal-Avia; – Gosudarstvennoe Unitarnoe Predpriyatie Respubliki Krym Universal; – Gosudarstvennoe Unitarnoe Predpriyatie Respubliki Krym Universal-Avia; – Gosudarstvenoye Predpriyatiye Universal-Avia; – Universal-Avia, Crimea State Aviation Enterprise; – Universal-Avia, Gup RK 5, Aeroflotskaya Street, Simferopol, Crimea 95024, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| State Enterprise Yalta Sea Trading Port, a.k.a., the following five aliases: – Port of Yalta; – Seaport of Yalta; – Yalta Commercial Seaport; – Yalta Merchant Sea Port; – Yalta Sea Port Roosevelt Street 3, Yalta, Crimea 98600, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| State Shipping Company Kerch Sea Ferry, a.k.a., the following one alias: – State Ferry Enterprise Kerch Ferry. Tselimbernaya Street 16, Kerch, Crimea, 98307, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Subsidiary Sevastopol Naval Plant of Zvezdochka Shipyard, a.k.a., the following two aliases:
– Sevastopol Naval Plant; – Sevastopol Naval Plant N.A. Sergo Ordzhonikidze. 13 Geroyev Sevastopolya Street, Sevastopol, Crimea, 299001, Ukraine. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Sue RC ‘Feodosia Optical Plant’, a.k.a., the following two aliases: – Feodosia State Optical Plant; – State Optical Plant – Feodosia. Feodosia State Optical Plant, 11 Moskovskaya Street, Feodosia, Crimea 98100, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| CUBA | Huawei Cuba, Cuba. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| CYPRUS | Didessar Limited, Archbishop Makarios III Ave, Nicosia, Cyprus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | |
| IPP Oil Products (Cyprus) Limited, 12 Esperidon Street, 4th Floor, Nicosia 1087, Cyprus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Leondica Holding Ltd, 25 Kolonakiou Str, Za Vos Kolonakioy Center, Limassol, Cyprus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Niki Panteli Kyriakou, 91, Evgeniou Voulgareous, Limassol 4153, Cyprus. (See alternate address under United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Rosneft Trade Limited, f.k.a., TNK Trade Limited. Elenion Building 5 Themistokli Dervi, 2nd floor, Lefkosia, Nicosia 1066, Cyprus. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| Southport Management Services Limited, Nicosia, Cyprus. (See also address under United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Stroytransgaz Holding, a.k.a., the following four aliases: – STG Holding Limited, – STG Holdings Limited, – Stroytransgaz Holding Limited, – STGH. 33 Stasinou Street, Office 2 2003, Nicosia Strovolos, Cyprus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| White Seal Holdings Limited, 115 Spyrou Kyprianou Avenue, Limassol 3077, Cyprus. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| DENMARK | Huawei Denmark, Vestre Teglgade 9, Kobenhavn Sv, Hovedstaden, 2450, Denmark. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| EGYPT | AL-AMIR ELECTRONICS, 46 Falaki St. BabLouk Area, Cairo, Egypt. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 24590, 4/25/12. | |
| Huawei OpenLab Cairo, a.k.a., the following one alias: – Huawei Cairo OpenLab. Cairo-Alex Desert Rd, Al Giza Desert, Giza Governorate, Egypt. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technology, Cairo, Egypt. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| ESTONIA | Adimir OU, Akadeemia Tee 21E, 12618 Tallinn, Estonia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | |
| Andrey Shevlyakov, Kalevipoja 12A, 13625 Tallinn, Estonia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61249, 10/9/12. 78 FR 75463, 12/12/13. | ||
| Eastline Technologies OU, Akadeemia Tee 21E, 12618 Tallinn, Estonia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Valery Kosmachov Akadeemia Tee 21E, 12618 Tallinn, Estonia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Yaxart OU, Kalevipoja 12A, 13625 Tallinn, Estonia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| FINLAND | Airfix Aviation Oy, Tullimiehentie 4-6, Vantaa 01530, Finland. (See also address under Switzerland) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | |
| Aleksei Kolominen, 20 Nuolitie, Vantaa, Finland 01740. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Andrey Kirievski, Lastaajanvayla 22, Lappeenranta, Finland 53420. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Eliron Logistics Oy, Vanha Porvoontie 229, Vantaa, Finland 01380. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Irina Pavlova, Lastaajanvayla 22, Lappeenranta, Finland 53420. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Kuusiaaren Sarnetex & Ter Oy, Kaasuntintie 8A, Helsinski, Finland 00770. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Lemon LLC Oy, Peltoinlahdentie 19, FI-54800 Savitaipale. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olkebor Oy, 231B Vanha Porvoontie, Vantaa, Finland 01380. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. 78 FR 3319, 1/16/13. 81 FR 40178, 6/21/16. | ||
| Russian Cargo Oy, 22 Lastaajanvayla, Lappeenranta, Finland 53420. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Set Petrochemicals Oy, Ukonvaaja 2 A, Espoo 02130, Finland. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| SM Way Oy, Lastaajanvayla 22, Lappeenranta, Finland 53420. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Southeast Trading Oy, a.k.a., the following one alias: – Southeast Trading LTD. Espoo, Finland; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Transsphere Oy, a.k.a., the following two aliases: – Transsphere Limited Oy; – Transsphere Oy Ltd., 20 Nuolitie, Vantaa, Finland 01740. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vitaliy Dankov, Vanha Porvoontie 231B, Vantaa, Finland 01380. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| FRANCE | Aerotechnic France SAS, 8 Rue de la Bruyere, 31120 Pinsaguel, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | |
| China HEAD Aerospace Technology Co., a.k.a., the following seven aliases:
– China HEAD; – China HEAD Technology Co; – HEAD Aerospace; – HEAD Aerospace Group; – HEAD Aerospace Netherlands; – HEAD France; – HEAD Technology France. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) 71 Boulevard national, 92250 La Garenne-Colombes Paris, France. (See alternate address under China and Netherlands). | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Dart Aviation, a.k.a., the following four aliases: – Dart Aviation Technics; – Dart Aviation Marlbrine S.A.R.L.; – MBP Trading Ltd.; – SARL IEAS. 3, rue de la Janaie – ZA Yves Burgot, 35400 Saint Malo I&V, France. (See alternate addresses under Iran, Senegal and the United Kingdom). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. 85 FR 14796, 3/16/20. | ||
| France Tech Services, a.k.a., the following one alias: – France Technology Services. 73 Rue Jean Jaures 92800 Puteaux, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Huawei Cloud France, Paris, France. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei France, a.k.a., the following one alias: – Huawei Technologies France SASU. 36-38, quai du Point du Jour, 92659 Boulogne-Billancourt cedex, France. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab Paris, a.k.a., the following one alias: – Huawei Paris OpenLab. 101 Boulevard Murat, 75016 Paris, France. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| IKCO France, 147 Avenue Charles de Gaulle, 92200, Neuilly-Sur-Seine, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 24590, 4/25/12. | ||
| Kish Motor Jahan Technic, a.k.a., the following one alias: – Kisk Motor Jahan Technic. 3, Route De Cessey Road, 25440 Charnay, Franche-Comte, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Luc Teuly, 8 Rue de la Bruyere, 31120 Pinsaguel, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Philippe Sanchez, 8 Rue de la Bruyere, 31120 Pinsaguel, France. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| GEORGIA | Gensis Engineering, a.k.a., the following one alias: – Gensis Muhendislik Danismanlik. No. 2 Flat Loselianis Ave. Tbilisi, Georgia. (see alternate address under Turkey). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | |
| Georgia Petrochemical and Aviatech,
No. 35 Bldg. V Moscow Avenue, Tbilisi, Georgia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| ROV Solutions, 12A Tahkenti Street, Tbilisi, Georgia. (see alternate address under China). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| SAEROS Safety ERO Company,
No. 2 Flat Loselianis Ave. Tbilisi, Georgia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| ZAO Vneshtorgservis, 1 Geroyev Street, Tskhinval, South Ossetia, Georgia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| GERMANY | Albrecht Import-Export, a.k.a., the following one alias: – Elena Albrecht Import-Export, Gmunder Str. 25, Heubach, Germany 73540. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | |
| Alexander Brovarenko, Fasanenweg 9L, Kelsterbach, Germany D-65451; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Chimconnect GmbH, Reichenauestrasse 1a, DE-78467, Konstanz, Germany. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Christof Schneider, Margaretenweg #10, 42929 Wermelskirchen, Germany; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35797 7/21/09. 78 FR 18811, 3/28/13. | ||
| Djamshid Nezhad, a.k.a. the following alias: – Nezhad Djamshid. Poppentrade 25, D-24148 Kiel, Germany; and Moesemann 2, 24144, Hamburg, Germany. | Presumption of denial | For all items subject to the EAR. (See § 744.11 of the EAR) | 73 FR 54504, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Elena Albrecht, a.k.a., the following one alias: – Elena Grinenko, Gmunder Str. 25, Heubach, Germany 73540. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Hans Werner Schneider, Bertha von Suttner Weg #1, 42929 Wermelskirchen, Germany | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| Huawei Cloud Berlin, Berlin Germany. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab Munich, a.k.a., the following one alias: – Huawei Munich OpenLab. Huawei Germany Region R&D Centre Riesstr. 22 80992 Munich, Germany; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 85 FR 52901, 8/27/20. 86 FR 12531, 3/4/2021. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies Deutschland GmbH, Germany. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies Dusseldorf GmbH, Huawei Germany Region R&D Centre Riesstr. 25, 80992 Munich, Germany, | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| IKCO Trading GmbH, Schadowplatz 5, 40212 Dusseldorf, Germany; and Kaiserswerther Str. 117, 40474, Düsseldorf, Germany | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54504, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Manufacturers Equipment Organization (MEO), a.k.a. the following one alias: -MEO GMBH P.O Box 501168, D-42904, Wermelskirchen, Germany; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| MRS GmbH, a.k.a., the following one alias: – MRS International. Wiener Strasse 23 A Regensburg, Germany 93065; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Nezhad Enterprise Company, a.k.a. the following three aliases: – Nezhad Co.; – Nezhad Enterprise; and – Nezhad Trading Poppentrade 25, D-24148 Kiel, Germany; and Moesemann 2, 24144, Hamburg, Germany. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54504, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Pharmcontract GmbH., a.k.a., the following one alias: – Farmkontract GmbH. Goethestrasse 4-8 D-60313 Frankfurt am Main, Germany. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Riol-Chemie, Gobelstrasse 21, Lilienthal, Germany. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Russ Cargo Service GMBH, Fasanenweg 9L, Kelsterbach, Germany D-65451; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Schneider GMBH, Thomas Mann Str. 35-37, 42929 Wermelskirchen, Germany; and P.O. Box 1523, Wermelskirchen, 42908 DE; and Thomas Mann Str., 35-37, P.O. Box 1523, Wermelskirchen, 42908 DE | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| Sergey Grinenko, a.k.a., the following one alias: – Sergey Albrecht, Gmunder Str. 25, Heubach, Germany 73540. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| GREECE | Aeolian Airlines, 551 Mesogeion Ave, Agia Paraskevi, 15343A, Athens, Greece; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | |
| Aerospace One, S.A., 24 Andrea Koumpi Str. Markopoulo19003 Attica, Greece. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Sergei (Sergi) Ivanovich Tomchani, a.k.a., Sergey Ivanovich Tomchani, 58, Vouliagmenis Ave Voula, 16673, Athens, Greece (See alternate addresses under Ukraine and United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Seyyed Abdolreza Mousavi, 551 Mesogeion Ave, Agia Paraskevi, 15343A, Athens, Greece; (See alternate address under Turkey) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Sky Wings Airlines SA, 58, Vouliagmenis Ave Voula, 16673, Athens, Greece. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Socrates Vasilakis, 58, Vouliagmenis Ave Voula, 16673, Athens, Greece. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Veteran Avia LLC a.k.a., the following alias: – Veteran Airline. 24, A. Koumbi Street, Markopoulo 190 03, Attika, Greece (See also addresses under Armenia, Pakistan, and U.K.) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 81 FR 8829, 2/23/16. 82 FR 2887, 1/10/17. | ||
| INDIA | The following Department of Atomic Energy entities: – Bhabha Atomic Research Center (BARC); – Indira Gandhi Atomic Research Center (IGCAR); – Indian Rare Earths; – Nuclear reactors (including power plants) not under International Atomic Energy Agency (IAEA) safeguards, (excluding Kundankulam 1 and 2) fuel reprocessing and enrichment facilities, heavy water production facilities and their collocated ammonia plants | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98 65 FR 14444, 3/17/00 66 FR 50090, 10/1/01 69 FR 56694, 9/22/04. | |
| Giovan Ltd., C-16A, New Multan Nagar, Surya Enclave, New Rohtak Road 099 Paschim Vihar, New Delhi, India 110056 (See alternate address under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. 85 FR 83769, 12/23/20. | ||
| Huawei OpenLab Delhi, a.k.a., the following one alias: – Huawei Delhi OpenLab. Delhi, India. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies India Private Limited, a.k.a., the following one alias: – Huawei Technologies India Pvt., Ltd. Level-3/4, Leela Galleria, The Leela Palace, No. 23, Airport Road, Bengaluru, 560008, India; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Technopole Ltd., D-79, New Multan Nagar, Surya Enclave, New Rohtak Road 099 Paschim Vihar, New Delhi, India 110056 (See alternate address under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. 85 FR 83769, 12/23/20. | ||
| INDONESIA | Huawei Tech Investment, PT, Bri Ii Building 20Th Floor, Suite 2005, Jl. Jend., Sudirman Kav. 44-46, Jakarta, 10210, Indonesia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| PT. Kuantum Tekno Kreatif,
JI. Sarirasa No. 113 Blok 4 Sanijadi, Kec. Sukasari, Bandung, Indonesia, 40151. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| IRAN | Abbas Goldoozan, No. 86 Negin Tower, Farmaniyeh St., 1937944633 Tehran, Iran (See also alternate address under Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | |
| Aflak Micro Electronics, Tehranno 14, Golkade St., Arash Mehr Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Ahmad Nozad Gholik, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Ahmad Rahzad, a.k.a., Saeb Karim, 29, 1st Floor, Amjad Bldg., Jomhoori Ave., Tehran, Iran (See alternate address under Malaysia) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Ali Basati, No. 2, 5th floor, Abbasian Bld., Jomhoori Ave., Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Ali Mehdipour Omrani. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Ali Reza Seif, 34 Mansour Street, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Amir Hosein Atabaki, 5 Yaas St, Unit 4, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Anvik Technologies Sdn. Bhd., a.k.a., the following eight aliases: – Anvik Technologies; – Cason Technologies; – Henan Electronics; – Hixton Technologies; – Hudson Technologies, Ltd.; – Hudson Engineering (Hong Kong) Ltd.; – Madison Engineering Ltd.; – Montana Advanced Engineering. F10, No. 21, 9th Alley, Vozara Ave., Tehran, Iran (See alternate addresses under China and Malaysia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Arash Servatian, 12 Kandovan Alley Enghelab Ave., Opp. Villa (Ostad Nejatollahi) 1131834914 Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Aref Bali Lashak. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Atomic Energy Organization of Iran (AEOI), a.k.a. the following two aliases: – Sazeman-e Energy Atomi; and – Sazeman-e Enerji-e Atomi. P.O. Box 14144-1339, End of North Karegar Avenue, Tehran; and P.O. Box 14155-4494, Tehran, Iran; and all locations in Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 72 FR 38008, 7/12/07. 77 FR 24590, 4/25/12. | ||
| Babak Jafarpour, a.k.a., the following five aliases: – Bob Jefferson; – Peter Jay; – Sam Lee; – Samson Lee; – David Lee. F10, No. 21, 9th Alley, Vozara Ave., Tehran, Iran (See alternate addresses under China and Malaysia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Bahman Ghandi, a.k.a., Brian Ghandi, No. 14, Golkadeh St., Arashmehr St., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Behnam Pouremadi, Tehran Hakimi Gelayol Alley Number 19 100 Tehran 1438371659 24 Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Behnaz Moazen, No. 2, 5th floor, Abbasian Bld., Jomhoori Ave., Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Blue Lines Company, Unit 3, 13th Floor, Negar Tower, Vansk Square, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Dart Aviation, a.k.a., the following four aliases: – Dart Aviation Technics; – Dart Aviation Marlbrine S.A.R.L.; – MBP Trading Ltd.; – SARL IEAS. East Unit, 1st Floor – Building No. 1, Solhparvar Dead End – Bimeh 5th, Karaj Makhsous Avenue, Tehran, Iran. (See alternate addresses under France, Senegal and the United Kingdom). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. 85 FR 14796, 3/16/20. | ||
| Design and Manufacturing of Aircraft Engines (DAMA), a.k.a., the following four aliases:
– DAMA; – Design and Manufacturing of Aero-Engine Company; – Iranian Turbine Manufacturing Industries; – Turbine Engine Manufacturing Co. Shishesh Mina Street, Karaj Special Road, Tehran, Iran. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Elaheh Siahpoush, 12 Kandovan Alley Enghelab Ave., Opp. Villa (Ostad Nejatollahi) 1131834914 Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Elecomponents, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Fadjr Marine Industries, a.k.a., SADAF, 169 Malekloo Ave., Farjam Ave., Tehran Pars, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Faradis Production, No. 33, Second Floor, Amjad Electronic Center, Jomhouri Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Faratel Company, 12 Kandovan Alley Enghelab Ave., Opp. Villa (Ostad Nejatollahi) 1131834914 Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Farhad Maani, 67, 1st Floor, No. 3, Ebn-E Sina St., Mr. ValiAsr Ave., W. of Beheshti, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| FARSCO Aviation MRO Centre, Sanaye Havapeymaei Blvd., Karaj Makhsous Road 13976-13511, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| GBNTT, No. 34 Mansour Street, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Golza Engineering Company, No. 80/1, Fourth Floor, North Sindokht St., Dr. Fatemi Ave., Tehran, 14118, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| H. Farahani, Ground Floor – No. 31, Alborz Alley, EnghelabSt, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Hamid Reza Ansarian, P.O. Box 19575-354, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Hamid Reza Simchi, P.O. Box 19575-354, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Hamid Sepehrian, Jaber Ibn Hayan Research Institute, AEOI, P.O. Box 11365/8486, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Hassan Seifi, Unit #23, Eighth Floor, No. 193 West Sarve Boulevard Kaj Square, Saadat Abad, 19987-14434, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Hossein Ahmad Larijani, No 3 Mirza Kochak Ave., Jomhori Street, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Iraj Najmi, No. 80/1, Fourth Floor, North Sindokht St., Dr. Fatemi Ave., Tehran, 14118, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Iran Air, Iran Air Building, Mehrabad Airport, P.O. Box 13185-775, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-Case review for licenses for the safety of civil aviation and the safe operation of aircraft; Presumption of Denial for all others | 85 FR 14796, 3/16/20. | ||
| Islamic Revolutionary Guard Corps Aerospace Force, a.k.a., the following ten aliases:
– IRGC-ASF; – Aerospace Division of IRGC; – Aerospace Force of the Army of the Guardians of the Islamic Revolution; – AFAGIR; – Air Force, IRGC; – IRGC Aerospace Force; – IRGC Air Force; IRGCAF; – IRGCASF; Islamic Revolution Guards Corps Air Force; – Islamic Revolutionary Guards Corps Air Force; – Sepah Pasdaran Air Force. Damavand Tehran Highway, Tehran Province, Iran | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Islamic Revolutionary Guard Corps Research and Self-Sufficiency Jihad Organization, a.k.a., the following 13 aliases:
– IRGC SSJO; – Islamic Revolutionary Guard Corps Self-Sufficiency Jehad Organization; – IRGC Research and Self Sufficiency Jehad Organization; – Self-Sufficiency Jihad Organization; – IRGC’s Arms and Military Equipment Self-Sufficiency Program; – IRGC Jihad Self-Sufficiency Organization; – Jihad Self-Sufficiency Organization of Islamic Revolution Iranian Revolutionary Guards; – Self Sufficiency Jihad Organization; – IRGC’s Self-Sufficiency and Industrial Research Center; – IRGC’s Self-Sufficiency and Industrial Research Centre; – IRGC Missile Research Center; – IRGC Self-Sufficiency Organization; – IRGC’s Research and Self-Sufficiency Organization. Tehran and Isfahan, Iran | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Kalaye Electric Company, a.k.a. the following four aliases: – Kala Electric Company; – Kalia; – Kala Electric; and – Kola Electric Company. 33 Fifteenth (15th) Street, Seyed-Jamal-Eddin-Assad Abadi Avenue, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 72 FR 38008, 07/12/07. 77 FR 24590, 4/25/12. | ||
| Kamran Daneshjou. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Kish Airlines, Headquarters, No. 21 Ekbatan Main Blvd., P.O. Box 19395/4639, Tehran, 13938, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Landa Ariya Electronic Co., a.k.a., the following three aliases: – Landa Ariya Electronic Co. Ltd.; – Landa Electronic; – Landa Electronics. No. 2, 5th floor, Abbasian Bld., Jomhoori Ave., Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mahdi Electronics, a.k.a. the following alias: – Mahdi Electronic Trading Co. Ltd. Ground Floor – No. 31 Alborz Alley, Enghelab St., Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. 77 FR 24590, 4/25/12. | ||
| Mahdi Keivan Bahari, a.k.a., the following three aliases: – Mehdi Keivan; – M. Aziz; – Aziz Bahari. Unit 3, 13th Floor, Negar Tower, Vansk Square, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mahmood Akbari, a.k.a., the following alias: – John Wassermann. No. 34, Arash Blvd., Farid Afshar St., Zafar Ave., Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Mahsa Keivan Bahari, a.k.a., the following three aliases: – Katrina Smich; – Katrina Smitch; – K.A. Smich. Unit 3, 13th Floor, Negar Tower, Vansk Square, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Maryan Jahanshahi, 34 Mansour St., Motahari-ValiAsr Street Junction, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mehdi Teranchi. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Mehrdad Rueen Foomanie, a.k.a., the following four aliases: – Frank Foomanie; – Mark Foomanie; – Mark Averin; – Max Xian. No. 35 Abaas Abaad Street, Daryosh Street Andesheh 2 Street (Hamid Qods), Iran – Tehran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Mesbah Energy Company (a.k.a. “MEC”), 77 Armaghan Gharbi Street, Valiasr Blve,Tehran, Iran | For all items subject to the EAR. (See § 744.2 of the EAR) | Presumption of denial | 72 FR 38010, 7/12/07. | ||
| Mohammed Narjespour, 34 Mansour St., ValiAsr-Motahari Crossing, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mohsen Asraftaba, No. 2, 5th floor, Abbasian Bld., Jomhoori Ave., Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mojtaba Farhadi Ganjeh, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Morvarid Sanat Co. Ltd., Sohrivardi Shomah Street, Andesheh 2 Street, after Daryosh Crossroad, No. 35 Floor 5, No. 8, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Morvarid Shargh Co. Ltd., Sohrivardi Street No. 35, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Moslem Nasiri, 34 Mansour St., ValiAsr-Motahari Crossing, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mostafa Oveici, a.k.a., the following one alias: Mosi Oveici. Mehrabad Airport, Tehran, Iran, (See alternate address under Thailand) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| M.R. Ahmadi, P.O. Box 19575/199, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Naser Golshekan, Ground Floor – No. 31, Alborz Alley, EnghelabSt, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| NBC Navegan Bar Co. Ltd., a.k.a. the following alias: – NBC Navegan Bar International Transport Co. Ltd. #135 Khorramshahr Ave., Tehran 1533864163; and 101, Kohrramshahr Ave., Tehran 1533864163. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54507, 9/22/08. 76 FR 21628, 4/18/11. 77 FR 24590, 4/25/12. | ||
| Neda Industrial Group, No. 10 and 12, 64th St. Jamalodin Asadabadi Avenue, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Nedayeh Micron Electronics, No. 34 Mansour St., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Niasan Century Industry, Unit 2, GF, No.:1, Marzban Name Alley, Mofateh St., Motahari Ave., 1588875333, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Nilco Group, a.k.a., the following one alias: – Nilfam Khazar Co. Unit 6, No. 1, Mehr Alley, Gilan St., Boostan 2, Pasdaran Ave., Tehran, Iran (see alternate addresses under Belarus and Russia) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Oje Parvaz Mado Nafar Company, a.k.a., the following three aliases:
– Mado; – Owj Parvaz Mado Nafar Company LLC; – Mado Company No. 1106, 11 Hemmat Corner, Hemmat Square, Hemmat Boulevard, Shokuhieh Industrial Town, Qom, Qom Province, 3718116354, Iran | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Pakgostar Company, Appt 501 & 502, Borje Sefid Bldg, Pasadaran Avenue, Tehran 1946963651, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Paravar Pars Company, a.k.a., the following six aliases:
– Paravar Pars Aerospace Research and Engineering Services; – Paravar Pars Aerospace Research Institute; – Paravar Pars Engineering and Services Aerospace Research Company; – Paravar Pars; – ParavarPars; – Pravarpars Engineering Research and Design Company 13 km of Shahid Babaei Highway, after Imam Hossein University, next to Telo Road, Tehran, Iran | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Parto System Tehran, (a.k.a., Rayan Parto System Tehran and Rayane Parto System Tehran), Unit 7, Floor 4 No. 51 around Golestan Alley End of Shahaneghi Ave., Sheikh Bahaee Str., Molasadra, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Paya Electronics Complex, (a.k.a., Paya Complex), No 3 Mirza Kochak Ave. Jomhori Street, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Payam Nabavi, Unit 2, 2 Golriz Ave, Qaem Maqam Farahani Hafte-e Tir Sq, Tehran, Iran; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Qods Aviation Industry, a.k.a., the following eight aliases:
– Qods Aviation Industries; – Qoods Aviation Industries; – Qhods Aviation Industries; – Qods Aviation Industry; – Qods Air Industries; – Ghods Aviation Industries; – Qods Research Center; – Qods Aeronautics Industries. Unit (or Suite) 207, Saleh Blvd, Tehran, Iran; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Rad Tavan Afza Company, 3rd Floor, No. 210, W. Fatemi, Tehran, Iran, P.O. Box 14185-387; and 1st Pars Bldg., Beg. Pars Alley, Betw Khosh & Behboudi St., Azadi Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54507, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Raht Aseman Co. Ltd., No. 1.2, Mosque Alley, Mohammadi St., North Bahar Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. 77 FR 24590, 4/25/12. | ||
| Reza Hajigholamali, No. 34, Arash Blvd., Farid Afshar St., Zafar Ave., Tehran, Iran (See alternate addresses under U.A.E.). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Reza Seifi, Unit #23, Eighth Floor, No. 193 West Sarve Boulevard Kaj Square, Saadat Abad, 19987-14434, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Reza Zahedi Pour, 5 Yaas St., Unit 4, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. 77 FR 24590, 4/25/12. | ||
| Rouhollah Abdollahi, Sanaye Havapeymaei Blvd. Karaj Makhsous Road 13976-13511, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| S.M. Mirbagheri, Sanaye Havapeymaei Blvd. Karaj Makhsous Road 13976-13511, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Sabanican Company (a.k.a., Sabanican Pad Co.), Unit #23, Eighth Floor, No. 193 West Sarve Boulevard Kaj Square, Saadat Abad, 19987-14434, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Saeed Talebi, a.k.a., the following one alias: – Allen Talebi. No. 27, Zarif Nia, Pesyan Valley, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 52901, 8/27/20. | ||
| Safir Electronics, Ground floor No. 31 Alborz Alley, EnghelabSt. Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Sahab Phase, 5 Yaas St, Unit 4 Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Sahand Airlines, Sahand Airport, Bonab/Sahand, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Sanaye Electronic Arman Ertebat Nemad Company (SAEN CO.), 67, 1st Floor, No. 3, Ebn-E Sina St., Mr. ValiAsr Ave., W. of Beheshti, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Satco, No. 3, West Saeb Tabrizi Lane, North Sheikh Bahaee Street, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Sayyed Javad Ahmadi, Nuclear Science and Technology Research Institute, End of North Karegar Avenue, P.O. Box 1439951113, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Sayyed Mohammad Mehdi Hadavi. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Sazgan Ertebat Co. Ltd., a.k.a., the following one alias: – Sazgan Ertebat Poya Co. Ltd. No. 40-Hoveizeh St. Sohrevardi St., Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Seyed Mahdi Mousavi, BLK 6, No. 12 Beside Gilan Street, Rodstar Street, Under Hafez Bridge, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Seyed Mousavi Trading, a.k.a., the following two aliases: – Hitech Computer Peripherals; – Hitech Corporation. BLK 6, No. 12 Beside Gilan Street, Rodstar Street, Under Hafez Bridge, Tehran, Iran; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Shahed Aviation Industries, a.k.a., the following five aliases:
– Shahed Aviation Industries Research Center; – Shahed Aviation; – Shahed Aviation Industries Research; – Shahed Aviation Industries Research Centre; – SAIRC. Shahid Lavi Street, Sajad Street, Isfahan, Iran | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 6622, 2/1/23. | ||
| Shahid Bakeri Industrial Group, a.k.a. the following nine aliases: – SBIG; – Shahid Baheri Industries Group; – Shahid Bagheri Industries Group; – Shahid Bagheri Industrial Group; – MEHR Trading Company; – Department 140/14; – Mahtab Technical Engineering Company; – Composite Propellant Missile Industry; and – Sanaye Sokhte Morakab (SSM). Pasdaran Ave., Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 72 FR 38008, 7/12/07. 77 FR 24590, 4/25/12. | ||
| Shahid Hemmat Industrial Group, a.k.a. the following six aliases: – SHIG; – Shahid Hemat Industrial Group; – Chahid Hemmat Industrial Group; – Shahid Hemmat Industrial Complex (SHIC); – Shahid Hemmat Industrial Factories (SHIF); and – Hemmat Missile Industries Factory. Damavand Tehran Highway, Tehran, Iran; Damavand Tehran Highway, Tehran, Iran; and Damavand Road 2, Abali Road, Tehran, Iran. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 72 FR 38008, 7/12/07. 77 FR 24590, 4/25/12. | ||
| Simin Neda Industrial and Electrical Parts, a.k.a., the following alias: – TTSN No. 22, Second Floor, Amjad Bldg., Jomhoori Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54507, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Sina Biomedical Chemistry Company, a.k.a., the following two aliases: – Shimi Tebe Sina; – SBMC. Unit 2, 2 Golriz Ave, Qaem Maqam Farahani Hafte-e Tir Sq, Tehran, Iran; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Tadbir Sanaat Sharif Technology Development Center (TSS), First Floor, No. 25 Shahid Siadat Boulevard, North Zanjan Street, Yadegar Emam Highway, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Toos Electronics, 29, 1st Floor, Amjad Bldg., Jomhoori Ave., Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Ukraine Mediterranean Airlines, a.k.a., UM Airlines, UM Air, Building Negin Sai app. 105, Valiasr Str., Tehran, Iran (See alternate addresses under Ukraine and Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Vizneh Trading Company, 34 Mansour St., Motahari and ValiAsr Junction, Tehran, Iran, 1595747764 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Zagros Airlines, Abadan Airport, Abadan, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| ZTE Parsian, No. 100, Africa Ave., Mirdamad Entersection, Tehran, Iran | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 12006, 3/8/16. | ||
| IRAQ | Abd Al Hakim Luqman Jasim Muhammad, Al Faysaliyah, Mosul, Iraq. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | |
| Ag Yildiz Insaat Gayrimenkul Tasimacilik Pazarlama lthalat Ihracat ve Ticaret Ltd. Sirketi, a.k.a. the following four aliases: – Ag Yildiz Cargo; – Ag Yildiz Gayrimenkul; – Yildiz Company; – Yildiz Shipping Company. Irbil, Iraq; and Mosul, Iraq (See alternate addresses under Syria and Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Sekirin Tekstil Ithalat Ihracat le ve Dis Ticaret Limited Sirketi, a.k.a., the following seven aliases: – Sekirin Textiles Export Import Limited Company; – Al Shakirin International Transport Company; – Shakirin Company; – Shakrin Company; – Sekirin Ticaret; – Al Shakirin Company; – Sekirin Company. Al Faysaliyah, Mosul, Iraq (See alternate addresses under Syria and Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| IRELAND | Mac Aviation Group, a.k.a. Mac Aviation Limited, Cloonmull House, Drumcliffe, County Sligo, Ireland | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | |
| Mac Aviation Nigeria, Cloonmull House, Drumcliffe, County Sligo, Ireland | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| Sean Byrne, Cloonmull House, Drumcliffe, County Sligo, Ireland | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| Sean McGuinn, Cloonmull House, Drumcliffe, County Sligo, Ireland | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| Thomas McGuinn a.k.a. Tom McGuinn, Cloonmull House, Drumcliffe, County Sligo, Ireland | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 74 FR 35799, 7/21/09. | ||
| ISRAEL | A. Leib Ltd.; HA’Assif 19, Binyamina, Israel. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | |
| AVS (Armored Vehicle Spares), a.k.a., the following one alias: – Armored Vehicle Service. 42 Hamesilla Street, Binyamina, Israel. | For all items subject to the EAR. (See § 744.11 of the EAR). | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Candiru, a.k.a., the following seven aliases: – Candiru Ltd.; – DF Associates Ltd.; – Grindavik Solutions Ltd.; – Taveta Ltd.; – Saito Tech Ltd.; – Greenwick Solutions; – Tabatha Ltd. 21 Haarbaa, Tel Aviv-Yafo, Israel 6473921. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 60760, 11/4/21. | ||
| Eliyahu Cohen, a.k.a., the following six aliases: – Arie Cohen; – Eli Cohen; – Eliyahu Ari Cohen; – Eliyahu Arie Cohen; – Eric Cohen; – Ari Kohan. Binyamina, Israel. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| M&P Trading Inc., P.O. Box 161, Caesarea, Israel 3088903. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| NSO Group, 22 Galgalei Haplada, Herzliya, Tel Aviv-Yafo, Israel 4672222. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 60760, 11/4/21. | ||
| Nuclear Research Center at Negev Dimona, Israel | For all items subject to the EAR | Case-by-case basis | 62 FR 35334, 6/30/97. | ||
| P.AD Ltd., 42 Hamesilla Street, Binyamina, Israel. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| QPS Ltd., a.k.a., the following two aliases: – Quality Parts and Spares; – Quality Parts and Services. 5 Ner Halayla Street, Caesarea, Israel; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| RSP Ltd., a.k.a., the following one alias: – Rebuilt Spare Parts. HA’Assif 19, Binyamina, Israel 30550. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Toga Networks, 4 Haharash St., Hod Hasharon, Israel. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Wheels Incorporated, HA’Assif 43, Binyamina, Israel 30551 (See alternate address under Panama). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| ITALY | Huawei Italia, Via Lorenteggio, 240, Tower A, 20147 Milan, Italy. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Huawei Milan Research Institute, Milan, Italy. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Zigma Aviation, a.k.a., the following one alias: – Zigma Aviation Services. Viasalettuol, No. 12 Venezia Mestre, Italy. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| JAMAICA | Huawei Technologies Jamaica Company Limited, Kingston, Jamaica. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| JAPAN | Corad Technology Japan K.K., 1-1 Tsunaskimakamicho, Kohoku-Ku, Yokohama 223-0055 Japan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | |
| Huawei Technologies Japan K.K., Japan. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Yangtze Memory Technologies (Japan) Inc., a.k.a., the following one alias:
– JYM Technology Co., Ltd. New Tokyo Building 2F, 3-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 77508, 12/19/22. | ||
| JORDAN | Huawei Technologies Investment Co. Ltd., Amman, Jordan. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| The Jordanian Lebanese Company for Laboratory Instruments S.A.L., Shmesani, Bldg. No 16 ground floor, Amman, 63 Jordan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| KAZAKHSTAN | Abtronics, 21 Solodovnikova Street, Almaty 50046, Kazakhstan (See alternate address under Russia). | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | |
| APEX Kazakhstan, 126 Jarokova Str, Almaty, Kazakhstan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Huawei Technologies LLC Kazakhstan, 191 Zheltoksan St., 5th floor, 050013, Bostandyk, District of Almaty, Republic of Kazakhstan. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Serniya Engineering, a.k.a., the following one alias: – Sernia Engineering. 164 Islam Karimov Street, Offic 311, Almaty, 050007, Kazakhstan. (See alternate address under Russia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Timofey Telegin | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| LATVIA | Ecotherm-Cryo Limited, 31B Riga, Latvia 1004. (See alternate address under Belize). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | |
| Fiber Optic Solutions, a.k.a., the following one alias:
– Fiber Optical Solutions. Podraga Street 2a, LV-1007, Riga, Latvia. | For all items subject to the EAR. (See
§§ 734.9(g), | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| LEBANON | al Tawasul al Arabi Net Systems, Beirut, Lebanon (See alternate addresses under U.A.E.). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | |
| EDO-ELEMED, a.k.a., the following two aliases: – EDO ELEMED; – EDO/ELEMED. St. Nicolas Street, Bldg. #5 – Ba’abda, Beirut, Lebanon; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. 85 FR 14796, 3/16/20. | ||
| EKT Electronics, a.k.a. the following four aliases: – Katrangi Electronics; – Katrangi Trading; – Katranji Labs; and – Electronics Systems. 1st floor, Hujij Building, Korniche Street, P.O. Box 817 No. 3, Beirut, Lebanon; P.O. Box: 8173, Beirut, Lebanon; and #1 fl., Grand Hills Bldg., Said Khansa St., Jnah (BHV), Beirut, Lebanon. (See alternate addresses under Syria.) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54507, 9/22/08. 77 FR 24590, 4/25/12. | ||
| Elemed Liban, St. Nicolas Street, Bldg. #5 – Ba’abda, Beirut, Lebanon. (See also addresses under Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Huawei Technologies Lebanon, Beirut, Lebanon. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Husayn Fa’ur, a.k.a., the following one alias: – Hussein Faour. Beirut Hadath, Morjan Bldg near Sfeir Bridge, Lebanon (See alternate address under U.A.E.). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Karim Daadaa, a.k.a., the following one alias: – Karim Hamdi Mohd El Daadaa. Corniche El-Mazraa, Rihani Center, Arab Bank Bldg, 6th Floor, Office #1, Beirut, Lebanon; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Micro Power Engineering Group, a.k.a., MPEG, Anwar Street, Abou Karam Building, 1st Floor, Jdeidet El Metn, Beirut, Lebanon | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44261, 7/25/11. | ||
| Modern Agropharmaceuticals & Trade Establishment, Corniche El-Mazraa, Rihani Center
Arab Bank Bldg 6th Floor, Office #1, Beirut, Lebanon; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Mohammed Katranji, 1st floor, Hujij Building, Korniche Street, P.O. Box 817 No. 3, Beirut, Lebanon (See alternate address under Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Narinco Micro Sarl, Dedeyan Center, Dora Boulevard Street, Bauchrieh Metn. Lebanon | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44261, 7/25/11. | ||
| New Intelcom, Manchieh St, Garden Place Blvd, Hariet Hreik, Beirut, Lebanon; Al-Hadath, Gallery Semann, Behind KFC, Jordan Bldg, 1st Floor, Beirut, Lebanon. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Power S.A.L., Al-Hadath, Gallery Semann, Behind KFC, Jordan Bldg, 1st Floor, Beirut, Lebanon. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Rahal Corporation for Technology and Medical Supplies, St. Nicolas Street, Bldg. #5 – Ba’abda, Beirut, Lebanon. (See also addresses under Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Rahal Establishment, St. Nicolas Street, Bldg. #5 – Ba’abda, Beirut, Lebanon. (See also addresses under Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Serop Elmayan and Sons Lebanon, Ground Floor, Aramouni Building, Property Number 1731, Fleuve Street, Mar Mekhael Sector, Beirut, Lebanon | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44261, 7/25/11. | ||
| Serpico Offshore Sarl, Ground Floor, Aramouni Building, Property Number 1731 Fleuve Street, Mar Mekhael Sector, Beirut, Lebanon | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 44261, 7/25/11. | ||
| Wave Tech, Riad El Sulh Square, Shaker & Oweini Bldg, 4th Floor, Beirut, Lebanon. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Zener Lebanon, Beirut Hadath, Morjan Bldg near Sfeir Bridge, Lebanon. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| LITHUANIA | Sinno Electronics, Kirtimu G 41, Vilnius, Lithuania. (See alternate address under China). | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | |
| LUXEMBOURG | Maples SA, Boulevard Royal 25/B 2449, Luxembourg | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | |
| Spacety Co., Ltd., a.k.a., the following three aliases:
– Changsha Tianyi Space Science and Technology Research Institute; – Spacety; – Spacety Luxembourg S.A. 9, Avenue des Hauts-Fourneaux, L-4362 Esch-Sur-Alzette, Luxembourg. (See alternate address under China). | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Volga Group, a.k.a., the following three aliases: – Volga Group Investments, – Volga Resources, – Volga Resources Group. 3, rue de la Reine L-2418 Luxembourg (See alternate address under Russia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| MADAGASCAR | Huawei Technologies Madagascar Sarl, Antananarivo, Madagascar. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| MALAYSIA | Ace Hub System, No. 15, Jalan PJS 11/16, Taman Bandar Sunway, 46150 Petaling Jaya, Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | |
| Ahmad Rahzad, a.k.a., Saeb Karim, 27-06, Amcorp Bldg., Jalan 18, Persiaran Barat, Petaling Jaya, 46050 Selangor, Malaysia (See alternate address under Iran) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Albin Technologies Sdn Bhd., M-3-19 Plaza Damas, Sri Hartamas, Kuala Lumpur, Malaysia 50480; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Alex Ramzi, Suite 33-01, Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia 55100 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Amir Ghasemi, Suite 33-01, Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia 55100 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Analytical Solutions, #GB (Ground Floor), Pearl Tower, O.G. Heights, Jalan Awan Cina, 58200 Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508 9/22/08 73 FR 74001, 12/5/08. | ||
| Ann Teck Tong, 97C, Jalan Kenari 23, Puchong Jaya, Puchong, Selangor, Malaysia Suite D23, Tkt. 2, Plaza Pekeliling, Jalan Tun Razak, Kuala Lumpur, Wilayah, Peresekkutuan, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Antcorp System, 5-02 Wisma Pantai, Jalan Wisma Pantai 12200 Butterworth, Penang, Malaysia; 27-G Lorong Kelasah 2, Tamen Kelasah 13700 Seberang Jaya, Penang, Malaysia; and No. 9 Jalan 3/4C Desa Melawati 53100 Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508. 9/22/08. 74 FR 8184. 2/24/09. | ||
| Anvik Technologies Sdn. Bhd., a.k.a., the following eight aliases: – Anvik Technologies; – Cason Technologies, – Henan Electronics; – Hixton Technologies; – Hudson Technologies, Ltd.; – Hudson Engineering (Hong Kong) Ltd.; – Madison Engineering Ltd.; – Montana Advanced Engineering. Level 36, Menara Citibank, 165 Jalan Ampang, Kuala Lumpur, Malaysia, 50450; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Austral Aero-Marine Corp. Sdn Bhd, 10A Jalan 2/137B, Resource Industrial Centre Off Jalan Kelang Lama 58000, Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Austral Aviation Corp., 10A Jalan 2/137B, Resource Industrial Centre Off Jalan Kelang Lama 58000, Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Babak Jafarpour, a.k.a., the following five aliases: – Bob Jefferson; – Peter Jay; – Sam Lee; – Samson Lee; – David Lee. Level 36, Menara Citibank, 165 Jalan Ampang, Kuala Lumpur, Malaysia, 50450; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 83769, 12/23/20. | ||
| Brian Kaam, a.k.a., Kaam Chee Mun, No. 15, Jalan PJS 11/16, Taman Bandar Sunway, 46150 Petaling Jaya, Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Donny Lee,
34 Sultan Ismael, Kuala Lumpur, Malaysia 50350. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| East Tech, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Eco Biochem Sdn Bhd, No. 15, Jalan PJS 11/16, Taman Bandar Sunway, 46150 Petaling Jaya, Selangor D.E., Malaysia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508, 9/22/08. 77 FR 58006, 9/19/12. | ||
| EEZ SDN, a.k.a., the following one alias: – Electronic Engineering Zone SDN BHD. 33-88 Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Evertop Services Sdn Bhd, Suite 33-01, Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia 55100 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Festsco Marketing Sdn Bhd, 97C, Jalan Kenari 23, Puchong Jaya, Puchong, Selangor, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508, 9/22/08. 77 FR 58006, 9/19/12. | ||
| HAT Logistics SDN BHD,
Lot Fl-37, Block A, Klas Cargo Complex, Sepang, Sengalor, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review | 85 FR 52901, 8/27/20. | ||
| Integrated Scientific Microwave Technology, a.k.a., the following one alias: – ISM Tech. 1-11 1st floor, Jalan Padan Perdana 2, Dataran Pandan Prima, 55100, Kuala Lumpur, Malaysia. (see alternate address under China). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Jimmy Tok, 10A Jalan 2/137B, Resource Industrial Centre Off Jalan Kelang Lama 58000, Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| John Tan,
Menara City One Condominium, Jalan Munshi Abdullah, City Centre, 50100 Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Majid Kakavand, Suite 33-01, Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia 55100 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Majid Seif, a.k.a., Mark Ong and Matti Chong, 27-06 Amcorp Building, Jalan 18, Persiaran Barat 46050 Petaling Jaya, Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Maxwell Prima-Ventures SDN BHD,
No. 12-20, Level 12, Duple Office, Plaza Azalea, Persiaran Bandaraya, Seksyen 14, 40000 Shah Alam, Selangor, Malaysia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| MKB Pacific Air SDN BHD, No. 214, 2nd Floor, Wisma MPL, Jalan Raja Chulan, 50200, Kuala Lumpur, Malaysia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mohamad Sadeghi, 33-88 Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Mohd Ansari, 5-02 Wisma Pantai, Jalan Wisma Pantai 12200 Butterworth, Penang, Malaysia; 27-G Lorong Kelasah 2, Tamen Kelasah 13700 Seberang Jaya, Penang Malaysia; and No. 9 Jalan 3/4C Desa Melawati 53100 Kuala Lumpur Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508 9/22/08. 73 FR 74001 12/5/08. 74 FR 8184. 2/24/09. | ||
| Mohd Zamri bin Mazleh,
No 55, Jalan USJ 11/4M UEP Subang Jaya 47620 Subang Jaya, Selangor, Malaysia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Mohsen Torabi, a.k.a., the following one alias: – Moha Torab. 2nd Floor, Jalan 9A, Berangan, Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Mok Chin Fan, a.k.a., Chong Chen Fah, 10A Jalan 2/137B, Resource Industrial Centre Off Jalan Kelang Lama 58000, Kuala Lumpur, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| Montana Advanced Engineering Sdn Bhd., Level 26, Tower 2, Etiqa Twins 11, Jalan Pinang, Kuala Lumpur, Malaysia 50450; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Muhamad Fazil bin Khalid, 33-88 Menara Keck Seng, 203 Jalan Bukit Bintang, Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| NBH Industries,
No. 154, Persiaran Raja Muda, Klang Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 83 FR 44824, 9/4/18. 84 FR 40241, 8/14/19. | ||
| Nexus Empire, a.k.a., Vast Solution 2706, Amcorp Bldg., Jalan Persiaran Barat, Petaling Jaya, Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Nur Rochman Achmad,
No. 12-20, Level 12, Duple Office, Plaza Azalea, Persiaran Bandaraya, Seksyen 14, 40000 Shah Alam, | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| PNPI Group SDN BHD,
Menara City One Condominium, Jalan Munshi Abdullah, City Centre, 50100 Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Quantum Aviation and Supply SDN BHD,
No. 12-20, Level 12, Duple Office, Plaza Azalea, Persiaran Bandaraya, Seksyen 14, 40000 Shah Alam, Selangor, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Sam Johnson,
Menara City One Condominium, Jalan Munshi Abdullah, City Centre, 50100 Kuala Lumpur, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Sky Marine and Oil SDN BHD, a.k.a., the following three aliases: – Sky Marine & Oil SDN BHD; – Sky Marine and Oil; – Sky Marine & Oil. Lot 210, 2nd Floor CSC Building, Klas, Sepang, Selangor, Malaysia 64000; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Syarikat Penghantaran TWW Sdn Bhd, Lot C-7, Block C Mas Advance Cargo Centre KLIA Cargo Village Southern Support Zone 64000, Sepang Selangor Darul Ehsan, Malaysia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Vast Solution Sdn Bhd., 27-06 Amcorp Building, Jalan 18, Persiaran Barat, 46050 Petaling Jaya, Selangor, Malaysia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| VTE Industrial Automation Sdn Bhd, 97C, Jalan Kenari 23, Puchong Jaya, Puchong, Selangor, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508, 9/22/08. 76 FR 78146, 12/16/11. 77 FR 58006, 9/19/12. | ||
| Zulkefli bin Yusuf, a.k.a., the following one alias: – Zulkefli Yusof. No. 12-20, Level 12, Duple Office, Plaza Azalea, Persiaran Bandaraya, Seksyen 14, 40000 Shah Alam, Selangor, Malaysia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| MALTA | Djeco Group LP, a.k.a., the following one alias: – Djeco Group Holding LTD. Phoenix Business Centre, The Penthouse Old Railway Track, Santa Venera, Malta. (See alternate address under United Kingdom). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | |
| Feroz Ahmed Akbar, 116/8 San Juan St., Georges Road, St. Julians, STJ 3203, Malta. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Malberg Limited, a.k.a., the following one alias: – Malberg LTD. C1, Depiro Point, Depiro Street, Sliema, SLM 2033 Malta; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Sparx Air Ltd.,
116/8 San Juan St Georges Road, | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| MEXICO | Huawei Cloud Mexico, Mexico City, Mexico. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Huawei OpenLab Mexico City, a.k.a., the following one alias: – Huawei Mexico City OpenLab. Mexico City, Mexico. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies De Mexico S.A., Avenida Santa Fé No. 440, Torre Century Plaza Piso 15, Colonia Santa Fe, Delegación Cuajimalpa de Morelos, C.P. 05348, Distrito Federal, CDMX, Mexico; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| MOROCCO | Huawei Technologies Morocco, Immeuble High Tech, 4eme Etage, Plateaux N 11, 12 Et 13, Hay Riad – Rabat, Morocco. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| NETHERLANDS | All Industrial International, Knobbelswaansingel 19, 2496 LN, The Hague, Netherlands; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | |
| China HEAD Aerospace Technology Co., a.k.a., the following seven aliases:
– China HEAD; – China HEAD Technology Co; – HEAD Aerospace; – HEAD Aerospace Group; – HEAD Aerospace Netherlands; – HEAD France; – HEAD Technology France. Kapteynstraat 1 2201 BB Noordwijk ZH, Netherlands. (See alternate address under China and France). | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Huawei Cloud Netherlands, Amsterdam, Netherlands. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies Coöperatief U.A., Netherlands. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Nicolas Kaiga, a.k.a., the following one alias: – Nicholas Kaiga 32 Disneystrook, 2726CT Zoetemeer, Netherlands. (See alternate addresses under Belgium and United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following alias: – Kedacom. Groenhof 344, Amstelveen, 1186GK, The Netherlands. (See alternate addresses under China, Pakistan, Singapore, South Korea, and Turkey). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| NEW ZEALAND | Huawei Technologies (New Zealand) Company Limited, 80 Queen Street, Auckland Central, Auckland, 1010, New Zealand. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| NORWAY | Gunther Migeotte, Titangata 1, N-1630 Gamle, Fredrikstad, Norway; and H. Evjes vei 8A, Gressvik, Norway; and Holsneset 19, 6030 Langevag, Norway; and Titangata 1, 1630 Fredrikstad, Norway. (See alternate address under South Africa) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | |
| Icarus Design AS, Titangata 1 N-1630 Gamle, Fredrikstad, Norway | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36519, 6/28/10. | ||
| OMAN | Airborne Logistics LLC, C.R. No 1/79103/6, 112 Ruwi, Sultanate of Oman. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | |
| Hejaif Alhadeetha Trading Company,
P.O. Box 997 PC512, Oman. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Huawei Tech Investment Oman LLC, Muscat, Oman. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| PAKISTAN | Abdul Qader Khan Research Laboratories (AQKRL), a.k.a., the following seven aliases: – Abdul Qadeer Khan Research Laboratories; – Dr. A.Q. Khan Research Laboratories; – Engineering Research Laboratories (ERL); – Institute of Industrial Control Systems (IICS); – Kahuta Nuclear Facility; – Kahuta Research Facility; – Khan Research Laboratories (KRL). Dhoke Nusah, Dakhli Gangal, Near Chatri Chowk, P.O. Box 1398, Rawalpindi 46000, Pakistan; | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | |
| Abdul Razaq Asim, Unit 6, 1/F, Munawar Centre, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Abdul Satar Ghoura, 127-128, Times Center, Saddar Road, Peshawar, Pakistan; and House Number 32, F-2, Khusal Khan Khattak Road, University Town, Peshawar, Pakistan. (See alternate addresses under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Add-On Technology, Unit 6, 1/F, Munawar Centre, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| Advance Multicom, F-1, 1st Floor, Rizwan Arcade, 109-C Adamjee Road, Saddar, Rawalpindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 14796, 3/16/20. | ||
| Advanced Engineering Research Organization (AERO), a.k.a., the following one alias: – Integrated Solutions. Lub Thatoo Hazara Road, The Taxila District, Rawalpindi, Pakistan; | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 83 FR 3580, 1/26/18. | ||
| Affiliated Supply and Consultancy Services, Office 208, R.A. Bazar, Rawalpindi, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Ahad International, Suite #5-6, 2nd Floor, Empress Tower, Empress Road, Lahore-54000, Pakistan; 11-12-13, 2nd Floor, Nomro Center, Badami Bagh, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| Air Weapons Complex (AWC), AWC: E-5, Officers Colony, Wah Cantt, Punjab, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| Akhtar & Munir, Hussain Plaza 60-B No. 3, Adamjee Road, Punjab 46000, Pakistan | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Al-Qertas, 794 Park Lane, Chaklala Scheme-III, Rawalpindi, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Al Technique Corporation of Pakistan, Ltd. (ATCOP),
4th Floor, Dodhy Plaza, 52 Jinnah Avenue, P.O. Box 1878, Islamabad, Pakistan. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| Allied Trading Co., a.k.a., the following alias: – UCB Arcade. 2, Wazir Mansion, main Aiwan-e-tijarat Road, Boulton Market, Karachi-74000, Karachi, Pakistan (See alternate address under UCB Arcade in Uganda). | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090 10/1/01. 77 FR 58006, 9/19/12. | ||
| Allied Trading Co | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50092, 10/1/01. | ||
| ANZ Importers and Exporters, Islamabad | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50092, 10/1/01. | ||
| Asay Trade & Supplies, 6, Nafees Market, A-87 Road, Rawalpindi, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Azad Motors Property Choice, a.k.a., the following four aliases: – Peshawar Master Azad Motors; – Peshawar Motors Complex; – Karakoram Azad Motors; – Azad Cars. Main GT Road, Hajji Camp, Peshawar, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Azam Electronics, a.k.a., the following two aliases: – Mohammad Azam Electronics, – Akram Dish TV Satellite Center, Chaman, Killa, Abdullah District, Baluchistan Province, Pakistan | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 71098, 11/29/12. | ||
| Blue Chip International, House No. 19 Central Avenue, Fazaia Housing, Rawalpindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Broad Engineering (Pakistan), House 130, Street No. 109, G-11/3, Islamabad, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Busan International, No. 2 2nd Floor Plaza 6, Upper Banl Al-Falah, DHA2, Commercial Sector E, Jinnah Boulevard, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Business Empire International, a.k.a., the following one alias: – Drillage Trading FZE LLC. H-9, Block-9, Sector-F, Business Bay, DHA-1, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Chemtech International (Private) Limited, B-35, Block-15, Gulsha-e-Iqbal, Karachi, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. | ||
| Creative Dynamics Engineering, a.k.a., the following one alias: – Creative Dynamics. 66/1-M Block 6, PECHS, Karachi, Sindh 75400, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Defense Science and Technology Organization (DESTO), a.k.a., the following two aliases: – Defense Science and Technology Center; – Chaklala Defense Science and Technology Organization. 182 Sir Syed Road, Chaklala Cantt, Rawalpindi 46200, Pakistan; | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| Dynamic Engineering Corporation, a.k.a., the following three aliases:
– DEC; – Diagnostic Engineering Corporation; – Scientific Engineering Corporation. Unit No. 312, Al-Amin Tower, NIPA Chowrangi, Main University Road, Karachi, 74000, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 75174, 12/8/22. | ||
| Dynamic Engineers, 1/F, Sh. Rehmat Ullah Market, 16 Hall Road, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) of the EAR | 88 FR 13675, 3/6/23. | ||
| EnerQuip Private, Ltd., Suite 2, 2nd Floor, Nasim Arcade, 1-9, Markaz, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of the EAR | 87 FR 75174, 12/8/22. | ||
| Engineering and Commercial Services (ECS), 204, 2nd Floor, Capital Business Center, F-10 Markaz, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Engineering Equipment (Private) Limited, 26-D Kashmir Plaza, Jinnah Avenue, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Engineering Materials and Equipment Co., a.k.a., the following one alias:
– EMEC, Suite 7, Floor 6, Shaheen Complex, Egerton Road, Lahore 54010, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. | ||
| Engineering Solutions Pvt. Ltd., 726, G-11/2. Ibne-Sina Road, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| Fabcon International, 359 G-4, Johar Town, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| FACO Trading,
204, Bank & Business Centre Near Duty Free Shop off Shahrah-e-Faisal, Karachi, Sindh, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Farzad Fazil Karim, a.k.a., the following one alias: – Ahmad Farzad. E3 Gul market Street 8, Hayatabad, Pakistan; and 122, First floor, Gul Haji Plaza, Peshawar, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Fazal Rahim Farid, a.k.a., the following three aliases: – Fazel Rahim Farid; – Farid; and – Engineer Idris. 122, First Floor, Gul Haji Plaza, Peshawar, Pakistan; and House Number 32, F-2, Khusal Khan Khattak Road, University Town, Peshawar, Pakistan. (See alternate addresses under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Future Systems Pvt. Ltd., 10 Main Double Road F11/3, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Geo Research, 136-B Faisal Town, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 83420, 12/22/20. | ||
| Global Tech Engineers, Office Number 1, 1st Floor, Al Mairaj Center Street Number 1, Sector G-11/1, Islamabad, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Hakim Noor, a.k.a., the following one alias: – Hakim Nur. Sarafa Shop #10, Noor Muhammad Market, Miram Shaw, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Hakim Nur Sarafa, a.k.a., the following two aliases: – Noor Muhammad Market; – Haji Hakim Noor Saraf. Sarafa Shop #10, Noor Muhammad Market, Miram Shaw, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Hassan Scientific Corporation, a.k.a., the following one alias: – Hasan Scientific Corporation. 50 Akbari Road, New Anarkali, Lahore, Pakistan. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| High Technologies, Ltd. (HTL), a.k.a., the following alias: – High Technology, Ltd. Islamabad. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| Huawei Technologies Pakistan (Private) Limited, Islamabad, Pakistan. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Iman Group, a.k.a., the following one
alias: Plot No. 227, St. No. 7, Sector I-9/2, Industrial Area, Near Dry Port, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. 82 FR 44516, 9/25/17. | ||
| IMCO Technology and Services, a.k.a., including the following alias: – IMCO. No. 9, 2nd Floor, Royal Inn Plaza, Kohistan Road, F-8 Mar kaz, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| IMPEX Trade & Services, 455/A Adamjee Road, Saddar, Rawalpuindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Industrial Process Automation, No. 12, 11 Nishter Road, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Inspectech, Office Number 947, Block C, Faisal Town, Lahore, 54000, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. | ||
| Interscan, Sattar Villa B, 32/1-C-1 Block-6, P.E.C.H.S., Karachi 75400i, Sindh, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. 82 FR 44516, 9/25/17. | ||
| Iqbal Enterprises, 14 Nishter Road, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Irum Mehboob Raja, Pakistan Institute of Nuclear Science and Technology (PINSTECH), Nilore, Islamabad, Pakistan. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 79 FR 56003, 9/18/14. | ||
| Jade Machinery Pvt. Ltd., 109-A, St # 4 Cavalry Ground, Lahore, Punjab 54000, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Jalaluddin Haqqani, a.k.a., the following seven aliases: – General Jalaluddin; – Haqqani Sahib; – Maulama Jalaluddin; – Maulawi Haqqani; – Molvi Sahib; – Mulawi Jalaluddin; – Mullah Jalaluddin. Miram Shah, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25055, 4/27/12. | ||
| Jim Corporation, 11 Nishter Road, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Jiuding Refrigeration & Air-conditioning Equipment Co (Pvt) Ltd.,
107 Sughra Tower, F-11 Markaz Islamabad, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| K-SOFT Enterprises, Office No. 10, First Floor, Al-Hafeez Tower, MM Alam Road, Gulberg, Lahore, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Kepler Corporation, Office No. 13, 2nd Floor, Jannat Arcade, G-11 Markaz, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Khalil Zadran, a.k.a., the following eight aliases: – Samar Gul Khalil; – Khalil Samar Gul; – Samer Khalil; – Samer Gul Khalil; – Khlil Khalil; – Kalil Khalil; – Khalil Khualil; – Haji Khalil. House 14, Street 13, Sector F-7/2, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| Khalil Zadran Company, a.k.a., the following alias: – Khalil Construction. Pakistan (See alternate address in Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| KK International Traders (KKIT), House No. 19 Central Avenue, Fazaia Housing, Rawalpindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| KMA International Import and Export Co.,
Sector I-8/4, House No. 460, Street No. 105, Islamabad 44000, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| KTK Engineering (PVT) LTD, 29-M, Civic Centre, Model Town Ext., Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Kurshid Ghoura, a.k.a., the following two aliases: – Kurshed Ghoura; and – Kursheed Ghoura. 127-128, Times Center, Saddar Road, Peshawar, Pakistan; and House Number 32, F-2, Khusal Khan Khattak Road, University Town, Peshawar, Pakistan. (See alternate addresses under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Lapcom Computer Stores, 122, First Floor, Gul Haji Plaza, Peshawar, Pakistan. (See alternate address under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Lastech Associates, Islamabad | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50092, 10/1/01. | ||
| Link Lines (Pvt.) Limited, a.k.a., the following one alias: – Link Lines. 1st Floor, Flat B, 11 Main Gulberg, Ghaus-Ul-Azam Road, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 83420, 12/22/20. | ||
| LT Engineering and Trade Services (Pvt) Ltd. (LTE), Lub Thatoo, Abbotabad Road, Hasan Abdal, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Machinery Master Enterprises Ltd. (MME), Islamabad. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| Maira Trade International, No. 1 Rahman Street, Office No. 15, Nishter Road, Lahore; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Makkays Hi-Tech Systems, a.k.a., the following one alias: – Zaib Electronics. Block 14 Civic Centre, G-6 Markaz, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. 82 FR 44516, 9/25/17. | ||
| Maple Engineering Pvt. Ltd. Consultants, Importers and Exporters, Islamabad. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| Marine Systems Pvt. Ltd., 2nd Floor, Kashmir Plaza, Blue Area, G-6/F-6 Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Maritime Technology Complex (MTC), MTC: Plot 94, Karachi, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| Mecatech (Private) Limited, a.k.a., the following one alias: – Mecatech. 402, 4th Floor, Chena Centre, Plot #104-E, Jinnah Avenue, Blue Area, Islamabad, Pakistan. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| Micado, 40-C, Block-6, P.E.C.H.S., Shahrah-e-Faisal, Karachi, Sindh, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. 82 FR 44516, 9/25/17. | ||
| Middle East Automation & Controls Services, a.k.a., the following one alias: – MACS; – MEACS. 274-A, Canal View Housing Society, Lahore, Pakistan. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| Mirza and Co., a.k.a., the following one alias: – Mirza. Office #343 3rd floor, Landmark Plaza | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| Mohammad Azam, a.k.a, – Mohammad Akram, Chaman, Killa, Abdullah District, Baluchistan Province, Pakistan | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 71098, 11/29/12. | ||
| MSN International,
Office No. 32/37, 1st Floor, Behind NBP, Aslam Market, Wah Cantt, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Muhammad Ashraf, Office No. 11, 1st., Floor MICCOP Center, 1-Mozang Road, Lahore-54000, Pakistan; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Muhammad Farrukh, Office No. 11, 1st., Floor MICCOP Center, 1-Mozang Road, Lahore-54000, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Muhammad Halim Ghoura, 127-128, Times Center, Saddar Road, Peshawar, Pakistan, and House Number 32, F-2, Khusal Khan Khattak Road, University Town, Peshawar, Pakistan. (See alternate addresses under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Muhandis Corporation, No. 283, Kahuta Triangle Industrial Area, Islamabad 44000 Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Nanjing Jiuding Refrigeration & Air-conditioning Equipment Co., Ltd., 107 Sughra Tower, F-11 Markaz Islamabad Pakistan. (See alternate address under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d) and 744.3(d) | 88 FR 13675, 3/6/23. | ||
| NAR Technologies General Trading LLC, a.k.a., the following two aliases:
– NAR Technologies; and – Nartechnologies. Plot. 33 Islamabad City Center, Services Housing Society E-11/2, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of the EAR | 87 FR 75174, 12/8/22. | ||
| National Engineering and Scientific Commission (NESCOM), NESCOM Head Quarter, Plot #94, Sector H-11/4, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| National Engineering Service Trading and Consultancy Company, 3rd Floor, Suite 01, Khyber Plaza, Fazul-ul-Haq Road, Blue Area Islamabad, Pakistan 46000. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 14796, 3/16/20. | ||
| Nazir and Sons International, 2nd Floor, Pracha Plaza, Near Municipal Committee Office Road, Taxila, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| New Auto Engineering (NAE), NAE: 72, Industrial Area, Peshawar Road, Rawalpindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 90714, 12/15/16. | ||
| Ologh Beg International Forwarders Ltd., 127-128, Times Center, Saddar Road, Peshawar, Pakistan; and House Number 32, F-2, Khusal Khan Khattak Road, University Town, Peshawar, Pakistan. (See alternate address under Afghanistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 71869, 11/21/11. | ||
| Orient Importers and Exporters, Islamabad | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50092, 10/1/01. | ||
| Oriental Engineers, a.k.a., the following four aliases: – Oriental Engineers Pvt. Ltd.; – Oriental Engineers Services; – Advance Technologies; – Advanced Technologies. 11-B Main Gulberg, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. 85 FR 83420, 12/22/20. | ||
| Pakistan Atomic Energy Commission (PAEC), a.k.a., the following one alias: – Power Plant Workshops, P.O. Box 1114, Islamabad; – National Development Complex (NDC), a.k.a., the following two aliases: – National Development Centre; – National Defense Complex. Fateh Jang, Punjab, Rawalpindi, Pakistan; Lethrar Road, Islamabad, 45650, Pakistan; | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. 79 FR 56003, 9/18/14. | ||
| Paktech Engineers, Suite 8-A-2 2nd Floor Islam Plaza G-9 Merkaz, Islamabad, Pakistan 44000. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| People’s Steel Mills, Javedan Nagar, Manghopir Road, Karachi 75890, Pakistan. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| People’s Steel Mills, Karachi | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50093, 10/1/01. | ||
| Pervaiz Commercial Trading Co. (PCTC), PCTC House, 36-B Model Town, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Premier International, a.k.a., the following one alias: – Align Impex. Suite E-2, E-Market, DHA EME Sector, Multan Road, Lahore-54500, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Prime International | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50093, 10/1/01. | ||
| Prime Tech, Office No. 11, 1st., Floor MICCOP Center, 1-Mozang Road, Lahore-54000, Pakistan; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Proficient Engineers, Tariq Block, 437 New Garen Town, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Q&N Traders, Office 1, Flat 2, Anjum Plaza, Near TCS Centre, New Mall Chowk, Bahria Enclave Road, Islamabad, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| QTech, West Land Trade Centre, Suite 615-B, 6th Floor C/5, Block 7 & 8, Commercial Area, KCHS, Shaheed-e-Millat Road, Karachi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Rainbow Solutions, GS Plaza No. 220, 3rd Floor, Hotel View Park, Spring North Commercial, Phase-7, Bahria Town, Islamabad 44000, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of the EAR | 87 FR 75174, 12/8/22. | ||
| Rohtas Enterprises, Flat No. 8, Third Floor, Green Valley Apartments, Behind Faiz ul ]slam Complex, Faizabad-Rawalpindi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Samina Pvt. Ltd., 203 Hotel Imperial Building, #2M.T. Kahn Road, Karachi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| SANCO Pakistan, Office No. 11, First Floor, City Center Plaza, D-12 Markaz, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Sayyed Brothers Engineering Co. (SBEC), House No. 805, Street No. 80-C, I-8/4, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Sci-Tech Global, House No. 533, Street 66, Pakistan Town Phase-I, Islamabad 45720, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Seljuk Traders (SMC-Private) Limited, Ch. Zakir House, Main Tamma Road, Next to Jinnah Muslim Law College, P.O. Tarlai Kalan Islamabad, 45550, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Sher Qadir, Darpa Khel Village, Mirim Shaw, Pakistan. | For all items subject to the EAR | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Skytech Global Pvt. Ltd., House No. 46A, Street 27, F-6/2, Islamabad, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| SNTS Tech, Plot #C-750, First Floor, Lane #14, Lala Rukh, Wah Cantt, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Solutions Engineering Pvt. Ltd., a.k.a., the following two aliases: – Solutronix Engineering Pvt. Ltd. and – Solutronix Pvt. Ltd. 95A Solutions Tower, DHA Phase 8 Commercial Broadway, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Space and Upper Atmosphere Research Commission (SUPARCO), a.k.a., the following alias: – Space and Upper Atmospheric Research Commission, Sector 28, Gulzar-e-Hijiri, Off University Road, P.O. Box 8402, Karachi 75270. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 03/17/00. 66 FR 50090, 10/01/01. 77 FR 58006, 9/19/12. | ||
| Sumico Technologies,
185-J-1, Muhammad Ali Johar Town, Lahore, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following one alias: – Kedacom. 4/A1, Plot # 4E-II, 6th Jami Commercial St., Phase VII, Near Khayaban-e-Ittehad, DHA, Karachi, Pakistan. (See alternate addresses under China, Netherlands, Singapore, South Korea, and Turkey). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Techlink Communications, 111B Block No. 2, Mezzanine Floor, Khalid bin Waleed Road, P.E.C.H.S., Karachi, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 83 FR 61541, 11/13/19. | ||
| Techlinks, Suite 3, 2nd Floor, Kashmir Center, 632/G-1 Market Johar Town, Lahore, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. 84 FR 61541, 11/13/19. | ||
| Technical Services, Islamabad | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50093, 10/1/01. | ||
| Techno-Commercial, a.k.a., the following two aliases: – TCL; – Techserve. 8-22-24 Farid Plaza, 65 Shadman, Lahore, Pakistan. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| TELEC Electronics & Machinery (Pvt) Ltd., a.k.a., the following one alias: – TELEC. 415 Mehboob Chambers, Abdullah Haroon Road, Saddar, Karachi, 74400; | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| The Tempest Trading Company, Islamabad | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50093, 10/1/01. | ||
| Triton Educational Equipment & Consultancy Co., Number 9, 4th floor, Khyber Plaza, Fazal-ul-Haq Road, Blue Area, Islamabad, Pakistan 46000. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 14796, 3/16/20. | ||
| TROJANS, a.k.a., the following three aliases:
– TROJANS Solutions; – TROJANS Pakistan Ltd; – M/S TROJANS. House No. 271-A-Street No. 55 Sector F-11/4, Islamabad, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of the EAR | 87 FR 75174, 12/8/22. | ||
| UEC (Pvt.) Ltd.,
29-M, Civic Centre, Model Town Ext. Lahore-43700, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| U.H.L. Company, 8/35 Arkay Square, Sharah-e-Liaquat, New Chali, Karachi, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Unique Technical Promoters | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50093, 10/1/01. | ||
| United Engineering, Office No. 5, Royal Centre, Peshawar Road, Rawalpindi, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Universal Drilling Engineers, 6-Main Water Land Park Road, Melad Chowk Near Saggian Ravi Bridge, Lahore, Pakistan. | For all items subject to the EAR (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of this part | 87 FR 75174, 12/8/22. | ||
| Universal Tooling Services, a.k.a., the following three aliases: – Forward Design and Manufacturing; – MSM Enterprises; – Technopak Engineering. Deen Plaza, 68/62, Adamjee Road, Saddar P.O. Box 1640, GPO Rawalpindi, Pakistan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial. | 81 FR 90714, 12/15/16. | ||
| Value Additions (Pvt) Ltd., 392-C, Qadeer Road, Rawalpindi, Pakistan. | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. | ||
| Veteran Avia LLC, a.k.a., the following one alias: – Veteran Airline. Room No. 1, ALC Building, PIA Cargo Complex Jiap, Karachi, Pakistan (See also addresses under Armenia, Greece, and U.K.) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 81 FR 8829, 2/23/16. 82 FR 2887, 1/10/17. | ||
| Wah Chemical Product Plant, a.k.a., the following alias: – Wah Nobel Chemicals Limited, Wah Cantonment, Rawalpindi, Pakistan. | For all items subject to the EAR | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 66 FR 50090, 10/01/01. 77 FR 58006, 9/19/12. | ||
| Wah Munitions Plant, Wah Cantonment, Rawalpindi, Pakistan. | For all items subject to the EAR. | Case-by-case for all items listed on the CCL. Presumption of approval for EAR99 items. | 63 FR 64322, 11/19/98. 65 FR 14444, 3/17/00. 66 FR 50090, 10/1/01. 77 FR 58006, 9/19/12. | ||
| X-Cilent Engineering, 642, Afshan Colony, Rawalpindi Cantt, 46000, Pakistan. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. 87 FR 38925, 6/30/22. | ||
| PANAMA | Huawei Technologies Cr Panama S.A, Ave. Paseo del Mar, Costa del Este Torre MMG, Piso 17 Ciudad de Panamá, Panama. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Lerma Trading S.A., Calle 53a, Este, Panama | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Wheels Incorporated, P.O. Box 6 – 2875, El Dorado, Panama (See alternate address under Israel). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| PARAGUAY | Huawei Technologies Paraguay S.A., Asuncion, Paraguay. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| PERU | Huawei Cloud Peru, Lima, Peru. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| PHILIPPINES | Warren Sumaylo, 053 E Luna Street, Bgry Sikatuna, Butuan City, Philippines. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | |
| POLAND | Doncoaltrade SP Z O O, Ul. Barbary 21, Katowice, woj. Slaskie, pow. M. Katowice 40-053, Poland. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | |
| PORTUGAL | Huawei Technology Portugal, Avenida Dom João II, 51B-11°.A 1990-085 Lisboa, Portugal. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| QATAR | Huawei Tech Investment Limited, Doha, Qatar. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| ROMANIA | Huawei Technologies Romania Co., Ltd., Ion Mihalache Blvd, No. 15-17, 1st District, 9th Floor of Bucharest Tower center, Bucharest, Romania. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Southeast Trading Oy, a.k.a., the following one alias: – Southeast Trading LTD. Bucharest, Romania. (See also addresses under Finland and Russia) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| RUSSIA | 3DiVi OOO, a.k.a., the following one alias:
– Tridivi LLC. 64-d Lenin Ave., 6th floor, Chelyabinsk, 454080, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 12158, 2/27/23. | |
| 5th Shipyard, a.k.a., the following three aliases: – 5-y Sudoremontnyy Zavod; – 5 SRZ; – JSC GF 5 SRZ JSC TsS Zvezdochka. 67 Lenina Street, Port, Temryuk, Krasnodarskiy Kray, 353500, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| 27th Scientific Center of the Russian Ministry of Defense, a.k.a., the following one alias: – 27th NTs. Birgadirskiy pereulok 13, 105005, Moscow, Russia. | All items subject to the EAR | See § 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| 33rd Scientific Research and Testing Institute, a.k.a., the following one alias: – 33rd TsNIII. 1 Ulitsa Krasnoznamennaya, Volsk-18/Shikhany, Saratov Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| 46th TSNII Central Scientific Research Institute, a.k.a., the following two aliases: – 46 TsNII; – 46 TsNII MO RF. 10 Chukotskiy Proyezd, Moscow, 129327, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| 48th Central Scientific Research Institute, Kirov, a.k.a., the following three aliases: – 48th TsNII Kirov; – Scientific Research Institute of Microbiology; – Scientific Research Institute of Epidemiology and Hygiene. 119 Oktyabrsky Prospekt, Kirov, Kirov Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| 48th Central Scientific Research Institute, Sergiev Posad, a.k.a., the following four aliases: – 48th TsNII Sergiev Posad; – Zargorsk Institute; – Scientific Research Institute of Medicine; – The Virology Center. 11 Ulitsa Oktyabrskaya, Sergiev Posad, Moscow Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| 48th Central Scientific Research Institute, Yekaterinburg, a.k.a., the following three aliases: – 48th TsNII Yekaterinburg; – Military Technical Scientific Research Institute; – Center for Military Technical Problems of Biological Defense. 1 Ulitsa Zvezdnaya, Yekaterinburg, Sverdlovsk Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| A.A. Kharkevich Institute for Information Transmission Problems (IITP), Russian Academy of Sciences (RAS), a.k.a., the following two aliases: – Institute for Information Transmission Problems; – Institut Problem Peredachi Informatsii RAN. | For all items subject to the EAR (See § 744.11 of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. | ||
| A. Lyulki Experimental-Design Bureau, a.k.a., the following three aliases:
– A. Lyulki OKB; – FL A. Lyulki OKB; – A. Lyulki Experimental-Design Bureau Branch of UEC-UMPO. 8 Kasatkin Street, Building 8, Moscow 129301, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| A. Lyulki Science and Technology Center, a.k.a., the following two aliases:
– FL NTTs A. Lyulki; – Branch of UEC-Saturn A. Lyulki Science and Technology Center. 13 Kasatkin Street, Moscow, 129301, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Abris, 6 Aptekarskiy Prospeckt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Abris-KEY, 6 Aptekarskiy Prospeckt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Abris-Technology, 6 Aptekarskiy Prospeckt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Abtronics, 18, bld. 2, Frontovyh Brigad Street, Yekaterinburg 620017, Russia; | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Achim Development, OOO, a.k.a., the following two aliases: – Achim Development; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Achim Development’. d.7 ul.Promyshlennaya, Novy Urengoi, Yamalo-Nenetski a.o. 629306, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Admiralty Shipyard JSC, 203, Fontanka Emb., 190121, St. Petersburg, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12241, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Advanced Research Foundation, a.k.a., the following two aliases:
– Fond Perspektivnykh Issledovaniy; – FPI. 22 Berezhkovskaya Embankment, Building 3, Moscow, 121059, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| AeroComposit, Antonova Prospekt 1, Zavolzhsky District, Ulyanovsk, 432072, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Ak Bars Holding, a.k.a., the following one alias: – Holding Company Ak Bars. 58a Korolenko St., Kazan, Republic of Tatarstan, Russia, 420094. | For all items subject to the EAR (See § 744.11 of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. | ||
| Aktsionernoe Obshchestvo AST, a.k.a., the following one alias: – Advanced Systems Technology, AO. d. 3k2 str. 4 etazh 5 kom. 55, shosse Kashirskoe, Moscow 115230, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Aktsionernoe Obshchestvo Pasit, a.k.a., the following one alias: – Pasit, AO. Avenue Leninsky, Building 30, Premise IA, Moscow, 11934, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Aktsionernoe Obshchestvo Pozitiv Teknolodzhiz, a.k.a., the following two aliases: – JSC Positive Technologies; – Pozitiv Teknolodzhiz, AO. d. 23A pom. V kom, 30, shosse Shchelkovskoe, Moscow, 107241, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Alagir Resistor Factory, a.k.a., the following one alias: – Alagirsky Resistor Factory. 202 L. Tolstogo Street, Alagir, Alagirsky District, Severnaya Ossetia-Alania Republic, Russia, 363240. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Aleksander Cheremshin, Ulitsa Mitinskaya 36/1, Moscow, Russia 125430; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Aleksander Kuznetsov, a.k.a., the following one alias: – Alexander Kuznetsov, Ordzhonikidze 10, Moscow, Russia 119071; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Aleksandrov Scientific Research Technological Institute NITI, Koporskoe Highway, House 72, Sosnovy Bor, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Aleksey Markov, 5A North Street, Saransk, Republic of Mordovia, Russia 43006; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alex Pikhtin, a.k.a., the following one alias: – Alexander Pikhtin, Pr. Yuria Gagarina 2, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexander Georgievich Mallabiu, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexander Kuznetsov, Ulitsa Artyukhina 6B, 106, Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexander V. Brindyuk, a.k.a., the following one alias: – Aleksander Brendyuk, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexander Vedyashkin, 5A North Street, Saransk, Republic of Mordovia, Russia 43006; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexey Ivanov Zhuravlev, a.k.a., the following one alias: – Alexy Ivanov, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexey Kulakov, Naberezhnaya Chernoi Rechki 61-1, St. Petersburg, Russia 197342; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Alexey Polynkov, 471-4-98 Shosse Entuziastov, Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| All Russia Scientific Research Institute of Optical Physical Measurements, a.k.a., the following two aliases: – All-Russian Research Institute for Optical and Physical Measurements Federal State Unitary Enterprise; – FSUE VNIIOFI. 46 Ozernaya St., Moscow, 119361, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| All-Russian Scientific-Research Institute Etalon JSC, a.k.a., the following one alias: – VNII Etalon JSC. 19/1 1st Yamskogo Polya St., Moscow, 125124, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| All-Russian Scientific Research Institute of Technical Physics (VNIITF), a.k.a., the following eight aliases: – Vserossiyskiy Nauchno-Issledovatelskiy Institut Tekhnicheskoy Fiziki; – Russian Federal Nuclear Center-VNIITF (RFNC-VNIITF); – Kasli Nuclear Weapons Development Center; – Institute of Technical Physics; – Zababakhin Institute; – ARITP (All Russian Institute for Technical Physics); – Federal State Unitary Enterprise Russian Federal Nuclear Center – Academician E.I. Zababkhin All-Russian Scientific Research Institute of Technical Physics (FGUPRFYaTs-VNIITF) – Chelyabinsk-70, (Address: P.O. Box 245, 456770, Snezhinsk, Chelyabinsk Region Russia); | For all items subject to the EAR | Case-by-case basis | 62 FR 35334, 6/30/97. 66 FR 24267, 5/14/01. 75 FR 78883, 12/17/10. 76 FR 30000, 5/24/11. | ||
| All-Russian Scientific Research Institute of Experimental Physics (VNIIEF), a.k.a., the following nine aliases: – Vserossiyskiy Nauchno-Issledovatelskiy Institut Eksperimentalnoy Fiziki; – Russian Federal Nuclear Center-VNIIEF (RFNC-VNIIEF); – Institute of Experimental Physics; – ARIEP (All Russian Institute for Experimental Physics); – Khariton Institute; – Sarov Nuclear Weapons Plant; – Avangard Electromechanical Plant; – Federal State Unitary Enterprise Russian Federal Nuclear Center – All Russian Scientific Research Institute of Experimental Physics (FGUPRFNCs VNIIEF) – Arzamas-16, (Address: 37 Mira Ave. Sarov, Nizhny Novgorod Region, 607188 Russia); and any nuclear-related entities, institutes or centers located in Sarov (Kremlev). | For all items subject to the EAR | Case-by-case basis | 62 FR 35334, 6/30/97 66 FR 24267, 5/14/01 75 FR 78883, 12/17/10 76 FR 30000, 5/24/11. | ||
| Alliance EG Ltd., Leninsky Prospect 139, Office 310 St., Petersburg 198216, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Almaz-Antey Air Defense Concern Main System Design Bureau, JSC (a.k.a., A.A. Raspletin Main System Design Bureau; a.k.a. Almaz-Antey GSKB; a.k.a. Almaz-Antey GSKB Imeni Academician A.A. Raspletin; a.k.a. Almaz-Antey MSDB; a.k.a. Almaz-Antey PVO ‘Air Defense’ Concern Lead Systems Design Bureau OAO ‘Open Joint-Stock Company’ Imeni Academician A.A. Raspletin; a.k.a. Golovnoye Sistemnoye Konstruktorskoye Byuro Open Joint-Stock Company of Almaz-Antey PVO Concern Imeni Academician A.A. Raspletin; a.k.a. Joint Stock Company Almaz-Antey Air Defense Concern Main System Design Bureau, Named by Academician A.A. Raspletin; a.k.a. Joint Stock Company Almaz-Antey Air Defense Concern Main System Design Bureau; a.k.a. Almaz-Antey; a.k.a. JSC ‘Almaz-Antey’ MSDB, f.k.a., Otkrytoe Aktsionernoe Obshchestvo Nauchno Proizvodstvennoe Obedinenie Almaz Imeni Akademika A.A. Raspletina; a.k.a. GSKB)
Address: 16-80, Leningradsky Prospect, Moscow 125190, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 55612, 9/17/14. | ||
| Almaz JSC, a.k.a., the following one alias: – Almaz. 16 Tupoleva Street, Rostov-na-Donu, Rostovskaya Oblast, 344093, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Amur Shipbuilding Factory PJSC, a.k.a., the following two aliases: – PAO Amurskiy Sudostroitelnyy Zavod; – PJSC ASZ. 1 Alleya Truda Street, Komsomolsk-na-Amure, Khabarovskiy Krai, Russia, 681000. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Anastasya Arkhipova, a.k.a., the following one alias: – Anatasiya Arkhipova, 26 General Belov St, Office 415, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Andrey Gruzdew, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Andrey Leonidovich Kuznetsov,
69 Udaltsova Street 49, Moscow, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Andrey V Gromadskih, 32 Korablestroiteley St., building #1, Apt #119, St. Petersburg, Russia 199397; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Andrey Vladimirovich Saponchik, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Angstrem-M, Dom 4, Stroennie 3, Proezd 4806, Zelenograd, Russia 124460. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Anna V Libets, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Anton Khramov, 86 N Prospect Obukhovskoy Oborony, St. Petersburg, Russia 190000. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Anton Lebedev, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Anton Yurevich Alekseyev, Ulitsa Mitinskaya 30/4, Moscow, Russia 123430. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| AO Aviaagregat, 1 Shukovskogo Street, Zhukovskiy, Moscow Oblast, 140196, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| AO Center of Shipbuilding and Ship Repairing JSC, a.k.a., the following one alias: – AO Tsentr Tekhnologii Sudostroyeniya i Sudoremonta. 7 Promyshlennaya Street, St. Petersburg, Russia, 198095. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| AO ‘Institute Giprostroymost – Saint-Petersburg’ (f.k.a., Institut Giprostroimost-Sankt-Peterburg, ZAO; – AO ‘Institute Giprostroymost – Sankt-Peterburg’; – JSC ‘Institute Giprostroymost – Saint-Petersburg’; – JSC ‘Institute Giprostroymost – Sankt-Peterburg’. 7 Yablochkova Street, St. Petersburg 197198, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| AO Kraftway Corporation PSC, a.k.a., the following three aliases:
– Craftway Corporation PLS; – JSC Kraftway Corporation PLS; – KRAFTVEI KORPOREISHN PLS, AO. 16, 3rd Mytishchinskaya Street, Moscow, 129626, Russia; | For all items subject to the EAR. (See
§§ 734.9(g), | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| AO Kronshtadt, a.k.a., the following four aliases: – Kronshtadt Group; – Kronshtadt; – Kronde Group; – ZAO Kronshtadt. 18 Stromynka Street, Moscow, Russia, 107076; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| AO Papilon, a.k.a., the following one alias:
– Aktsionernoe Obshchestvo Papilon. 48 Prospekt Makeeva, Miass, Chelyabinskaya Oblast, 4563200, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 12158, 2/27/23. | ||
| AO PKK Milandr, a.k.a., the following four aliases:
– JSC PKK Milandr; – Milandr; – MPK Milandr, OOO; – PKK Milandr AO. Georgievsky Prospekt, 5, Floor 2, Room 38, Zelenograd, Moscow, 124498, Russia; | For all items subject to the EAR. (See
§§ 734.9(g), | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| AO Rubin, a.k.a., the following one alias: – Aktsionernoe Obshchestvo Rubin, Rubin ZAO. 8 11 Line of Vasilievsky Island, St. Petersburg, 199034, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| AO Scientific Research Center for Electronic Computing, a.k.a., the following eight aliases:
– NITsEVT; – NICEVT; – The Research Center for Electronic Computer Engineering (NICEVT); – Joint Stock Company Scientific Research Center for Electronic Computer Engineering (JSC NICEVT); – Scientific Research Center Electronic Computing Techniques; – NITSEVT, PAO; – OAO NICEVT; – NITSEVT, AO. 125 Varshavskoye Hwy Moscow, 117587, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3). of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| APEX, a.k.a., the following four aliases: – APEKS; – APEX Systems; – OOO APEX; – APEX Ltd., 26 General Belov St Office 415, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| APEX St. Petersburg, 140 Leninsky Prospekt, Office 57, St. Petersburg, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| APEX Yekaterinburg, 106 Kuybyshev Str, Office 68, Yekaterinburg, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Aquanika, a.k.a., the following five aliases: – Aquanika LLC, – LLC Russkoye Vremya, – Obshchestvo S Organichennoi Otvetstvennostyu ‘Russkoe Vremya’, – Russkoe Vremya OOO, – Russkoye Vremya LLC. 47A Sevastopolski Ave., of. 304, Moscow 117186, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Argut OOO, 6 Mnevniki str end 6 fl, Moscow 123308, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Arsenal, 26 General Belov St, Office 19, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Arzam Scientific Production Enterprise Temp Avia, a.k.a., the following three aliases: – OKB Temp; – Temp-Avia Arzamas Research and Production Association JSC; – ANPP Temp-Avia. 26 Kirova St., Arzamas, 607220, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Atrilor, Ltd, a.k.a., the following two aliases: – Atrilor LLC; – OOO Atrilor, 36 Mitinskaya St, Building 1, Office 406, Moscow, Russia 125430; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Automated Procurement System for State Defense Orders, LLC, a.k.a., the following one alias: – AST GOZ LLC. 78/1 Profsoyuznaya St., Moscow, 117393, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Autonomous Noncommercial Organization Professional Association of Designers of Data Processing Systems, a.k.a., the following one alias: – ANO PO KSI Prospekt Mira D 68, Str 1A, Moscow 129110, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 724, 1/4/17. | ||
| Avant-Space LLC, a.k.a., the following four aliases: – AVANT-SPEIS; – Avant Space Systems; – Avant Space Propulsion Systems; – OOO Avant-Spejs. 4/7 Lugovaya Street, Skolkovo Innovation Center, Moscow, Russia, 143026; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | ||
| Avcom-Technique, a.k.a., the following four aliases: – Avcom Group; – Avcom-Technique Ltd; – AVCOM-D; – OOO Avkom Tekhnik. Airport Ramenskoe (Zhukovsky), Narkomvod Street 7, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review | 87 FR 38925, 6/30/22. | ||
| Avia Group LLC, a.k.a., the following one alias: – Avia Group Ltd Terminal Aeroport Sheremetyevo Khimki, 141400 Moskovskaya obl., Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Avia Group Nord LLC,
17 A, Startovaya St., Saint Petersburg, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Avia Group Terminal Limited Liability Company, a.k.a., the following three aliases: – AG Terminal OOO; – LLC AG Terminal; – Obshchestvo S Ogranichennoi Otvetstvennostyu Avia Grupp Terminal, Ter. Aeroport Sheremetyevo, Khimki, Moscovskaya Oblast 141400, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Avilon Ltd., 9/1-417, Montazhnaya St., Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Aviton, a.k.a., the following three aliases: – Aviton company; – For Salmi; – Salmi LLC, Naberezhnaya Chernoi Rechki 61-1, St. Petersburg, Russia 197342; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Baikal Electronics, Building B2, Territory of 26 km of the highway “Baltia,” BC “Riga Land,” Krasnogorsk District, Moscow, Russia, 143421. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Best Komp Group, P.O. Box 242, St. Petersburg, Russia 196240. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Bike Center, a.k.a., the following three aliases: – Baik. V. Tsentr; – Baik. V. Tsentr, OOO; – Bike V. Center. Nizhnije Mnevniki, 110, Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Bitreit, a.k.a., the following one alias: – OOO Betreit, Neglinnaya Str., 18/1, emb.1 “A”, Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Branch of AO Company Sukhoi Yuri Gagarin Komsomolsk on Amur Aircraft Plant, a.k.a., the following two aliases: – KNAAZ; – Aviation Holding Company AKhK24912 Sukhoi. 5 Skakovaya Street, Building 3, Moscow, 125040, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Branch of PAO Il – Aviastar, a.k.a., the following one alias: – Aviastar-SP. 1 Prospect Antonova, Ulyanovsk, Ulanovsk Oblast, 432072, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Branch of RSK MiG Nizhny Novgorod Aircraft Construction Plant Sokol, a.k.a., the following one alias: – NAZ Sokol. 1 Chaadaeva Street, Nizhny Novgorod, Nizhny Novgorod Oblast, 603035, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Center for Technological Competencies in Radiophtonics, a.k.a., the following four aliases: – JCS CheAZ; – TsTK; – TsTK CheAZ; – Cheboksary Electrical Equipment Plant. 10 8th of March, Building 1, Moscow, Russia, 127083. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Central Aerohydrodynamic Institute, a.k.a., the following one alias:
– TsAGI. 1 Zhukovskogo Street, Zhukovsky, Moscow Oblast, 140180, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Central Research and Development Institute Tsiklon, a.k.a., the following four aliases: – Cyclone TsNII; – CRI Cyclone; – Central Research Institute Cyclone JSC; – Intercyclone LLC. 77 Shelkovskoe Highway, Moscow, Russia, 107207. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Chimmed Group, a.k.a., the following six aliases: – OOO Khimmed; – Chimmed; – TD Chimmed; – TD Khimmed; – Khimmed; – SPK Khimmed 9/3 Kashirskoe Highway, Moscow, Russia 115230; | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Chkalov Novosibirsk Aviation Plant, a.k.a., the following two aliases: – NAZ; – Aviation Holding Company AKhK Sukhoi. 15 Polzunova Street, Novosibirsk, Novosibirsk Oblast, 630051, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| CJSC Sovmortrans, a.k.a., the following one alias: – Sovmortrans CJSC. Rakhmanovskiy lane, 4, bld.1, Morskoy House, Moscow 127994, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| CJSC VANKORNEFT, a.k.a., the following two aliases: – Vankorneft; – ZAO Vankorneft. Dobrovolcheskoy Brigady St., 15, Krasnoyarsk Territory 660077, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| CJSC Zest, a.k.a., the following one alias: – Zest Leasing pr. Medikov 5, of. 301, St. Petersburg, Russia; 2 Liter a Pl. Rastrelli, St. Petersburg, 191124 Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Closed Joint Stock Company Turborus, a.k.a., the following one alias:
– Turborus ZAO. 179 Prospect Lenina, Rybinsk, Rybinsk Region, Yaroslavl Oblast 152907, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Communication Center of the Ministry of Defence, Bolshoi Znamenskiy per. 21, Moscow, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Aeropribor Voskhod, a.k.a., the following one alias: – AP-Voskhod. 19 Tkatskaya Street, 4th Floor, Room 400, Moscow, 105318, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company All Russian Scientific Research Institute Gradient, a.k.a., the following one alias: – VNII Gradient. 96 Sokolov Prospect, Roston-on-Don, 344010, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Almatyevsk Radiopribor Plant, a.k.a., the following two aliases: – JSC AZRP; – Alzar. 2 Stroiteley Prspect, Almatyevsk, Almetyevsk, Region, Republic of Tatarstan, 423461, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Experimental Design Bureau Elektroavtomatika in the name of P.A. Efimov, a.k.a., the following one alias: – AO OKB Elektroavtomatika. 40 Marshal Govorov, Saint Petersburg, 198095, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Industrial Controls Design Bureau, a.k.a., the following two aliases: – KBPA; – Design Bureau for Industrial Automatics. 239 Bolshaya Sadovaya Street, Saratov, Saratov Oblast, 410005, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Kazan Instrument Engineering and Design Bureau, a.k.a., the following one alias: – KPKB. Sibirsky Trakt Street, Kazan, Republic of Tartarstan, 420061, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Microtechnology, a.k.a., the following one alias: – JSC Microtechnology. 44 Pioneer Street, Saint Petersburg, 197110, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Phasotron Scientific Research Institute of Radio Engineering, a.k.a., the following one alias: – Phasotron NIIR. 59 Kavkazky Boulevard, Floor 3, Space XIV, Room 21, Moscow, 115516, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Radiopribor, a.k.a., the following one alias: – Radiopribor. 2 Fatkulina Street, Kazan, Republic of Tartarstan, 420021. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Ramensk Instrument Engineering Bureau, a.k.a., the following one alias: – RPKB. 2 Guriev Street, Ramensk, Moscow Oblast, 140103, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Research and Production Center SAPSAN, a.k.a., the following one alias: – NPTs SAPSAN. 25 Avtozavodskaya Street, Room 2, Moscow, 115280, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Rychag, a.k.a., the following one alias: – Rychag. 37 Lipatova Street, Kazan, Republic of Tatarstan, 420075, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Scientific Production Enterprise Izmeritel, a.k.a., the following one alias: – NPP Izmeritel. 5 Babushkina Street, Smolensk, Smolensk Oblast, 214031, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Scientific Production Union for Radioelectronics named after V.I. Shimko, a.k.a., the following one alias: – NPO Radioelectronics N.A. V.I. Shimko. 50 Journalists Street, Republic of Tartarstan, 420029, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Taganrog Communications Scientific Research Institute, a.k.a., the following one alias: – TNIIS. 3 Sedova Street, Taganrog, Rostov Oblast, 347913, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Urals Instrument Engineering Plant, a.k.a., the following one alias: – JSC UPZ. 25 Km Tract Street, Chelyabinsk, Svertsky, Sverdlovsk Oblast, 624000, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Vzlet Engineering Testing Support, a.k.a., the following one alias: – ISI Vzlet. ISI Vzlet Room, Aktyubinsk-7, Aktyubinsk Region, Astrakhan Oblast, 476507, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Joint Stock Company Zhiguli Radio Plant, a.k.a., the following one alias: – ZhRZ. 1 Radiozavod Street, Zhigulevsk, Samara Oblast, 44539, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Public Joint Stock Company Bryansk Special Design Bureau, a.k.a., the following one alias: – BEMZ 136 Vokzalnaya Street, Bryansk, 241017, Russia | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Public Joint Stock Company Moscow Institute of Electro Mechanics and Automation, a.k.a., the following five aliases:
– Joint Stock Company Moscow Institute of Electromechanics and Automatics; – Moscow Institute of Electromechanics and Automatics PJSC; – Moskovskiy Institute Elektromekhaniki I Avtomatiki; 5 Aviation Lane, Moscow, 125167, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. 88 FR 12158, 2/27/23. | ||
| Concern Radio-Electronic Technologies, Public Joint Stock Company Stavropol Radio Plant Signal, a.k.a., the following one alias: – Signal Radio Plant. 9A 2nd Yugo-Zapadny Proezd, Stavropol, Stavropol Krai, 355037. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Public Joint Stock Company Techpribor, a.k.a., the following one alias: – Techpribor. 5A Varshavskaya Street, Saint Petersburg, 196128, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, Ramensky Instrument Engineering Plant, a.k.a., the following one alias: – Ramensky Instrument-Engineering Plant. 39 Mikhalevicha Street, Room 20, Floor 2, Space 124, Ramensk, Moscow Oblast, 140100, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concern Radio-Electronic Technologies, V.V. Tarasov Avia Avtomatika, a.k.a., the following two aliases: – Kursk Open Joint Stock Company Kursk Pribor; – Kursk Pribor. 47 Zapolnaya Street, Kursk, 305040, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Concord Catering, Nab. Lieutenant Schmidt D. 7, von Keyserling Mansion, St. Petersburg 119034, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Cosmos Complect, a.k.a., the following three aliases: – Kosmos Komplekt; – Cosmos Complect Ltd.; – COSMOS. Sokolovo-Meshcherskaya Street, Building 14, Office 9, 125466 Moscow, Russia; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Crocus Nano Electronics, 42 Volgoradski Avenue, Fifth Floor, Moscow, Russia, 109316. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Daltransgaz, OAO, a.k.a., the following two aliases: – Daltransgaz; – Otkrytoe Aktsionernoe Obshchestvo ‘Daltransgaz’. d. 1 ul.Solnechnaya S. Ilinka, Khabarovski Raion Khabarovski krai 680509, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Dalzavod Ship-Repair Center, a.k.a., the following two aliases: – OAO Tsentr Sudoremonta Dalzavod; – JSC CSD. 2 Dalzavodskaya Street, Vladivostok, Russia, 690001. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Denis A Kizha, Pulkovskoe Shosse, 20-4 #159, St. Petersburg, Russia 196158; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Design Bureau of Chemical Machine Building KBKhM, a.k.a., the following two aliases: – A.M. Isayev Chemical Engineering Design Bureau; – KB KhimMash. 12 Bogomolova St., Podlipki, Korolyev, Moscow oblast, 141070, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Dexias Industrial Products and Trade Limited Company, a.k.a., the following five aliases:
– Dexias; – Dexias Endil strivel; – Dexias IPTLC; – Mainbox LLC; – Orunler ve Ticaret Limited Sirketi. Apartment 261, Building 3, Ryabinovaya Street, Moscow, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Divetechnoservices, a.k.a., the following five aliases: – OOO Divetechnoservice; – OOO Daivtekhnoservis; – OOO Dayvtekhnoservis; – OOO NPP DTS; – OOO DTS. Ulitsa Zheleznovodskaya, 18/2 Litera A, Saint Petersburg, 199155, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| DJSC Factory Krasnoe Znamya, a.k.a., the following five aliases: – OJSC Factory Krasnoe Znamya; – OAO Zavod Krasnoe Znamya; – AO Krasnoye Znamya; – Krasnoye Znamya Plant OAO; – Krasnoye Znamya Plant JSC Shabulina Travel 2a, Ryazan, 390043, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| DM Link, P.O. Box 242, St. Petersburg, Russia 196240. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitri Ezhov, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitriy Averichev, Naberezhnaya Chernoi Rechki 61-1, St. Petersburg, Russia 197342; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitriy Moroz, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitriy Rakhimov, 26 General Belov Str Office 1010, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitriy V Lukhanin, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitry Alexandrovich Kravchenko, Grizodubovoy Str. 4, bld. 3, apt. 84, Moscow, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Dmitry Andreev, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitry Kochanov, 4 Pokhodnyy Dr, Bldg 1, 4th Floor, Room 417, Moscow, Russia 125373. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitry M Rodov, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Dmitry Shegurov, a.k.a., the following one alias: – Dmitriy Shegurov, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| DMT Electronics, a.k.a., the following four aliases:
– DMT Electronics, JSC; – DMT Elektroniks AO; – Joint Stock Company DMT Electronics; – ZAO DMT Elektroniks. Panfilovskiy Prospekt, 10, FL 3 Room 430, Zelenograd, Moscow, Russia, 124460; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 13675, 3/6/23. | ||
| Dolgoprudniy Design Bureau of Automatics, a.k.a., the following three aliases: – DKBA JSC; – Dolgoprudny; – Dolgoprudno Design Bureau of Automation. Lyotnaya Street, Dolgoprudniy, Moskovskaya Oblast, 141700, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Dolgoprudny Research Production Enterprise, OAO (a.k.a. olgoprudnenskoye NPP OAO; a.k.a. Dolgoprudny; a.k.a. Dolgoprudny Research Production Enterprise; a.k.a. Otkrytoe Aktsionernoe Obshchestvo Doigoprudnenskoe Nauchno Proizvodstvennoe Predpriyatie; a.k.a. OAO ‘Dolgoprudny Research Production Enterprise’)
Address: 1 Pl. Sobina, Dolgoprudny, Moskovskaya obl. 141700 , Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 55612, 9/17/14. | ||
| Druzhba, AO, a.k.a., the following two aliases: – Aktsionernoe Obshchestvo ‘Druzhba’; – Druzhba. Rogozinino, Moscow 143397, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Ekran Scientific Research Institute, FSUE, a.k.a., the following one alias: – FGUP Ekran Kirov Avenue 24, Samara 443022, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Elara, a.k.a., the following one alias: – Joint Stock Company Scientific and Production Complex Elara named after G.A. Illienko. 40 Moskovsky Avenue, Chuvash Republic, 428017; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial; Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | ||
| Electronic Computing and Information Systems (ELVIS), a.k.a. the following two aliases: – Joint Stock Company Research and Development Center ELVEES; – Scientific Production Center Elvis. Thoroughfare No. 4922, House 4, Building 2, Zelenograd, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Electronic Computing Technology Scientific-Research Center, a.k.a., the following one alias: – NICEVEY. 125 Varshavskoye Highway, Moscow, 117587, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Electrosignal JSC, Electrosignalnaya Street, Voronezh, Voronezhskaya Oblast, 394026, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Electrotekhnika LLC, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Elena Kuznetsova, a.k.a., the following one alias: – Yelena Vladimirovna Kuznetsova, 9 Lipovaya alleya, St. Petersburg, Russia 197183; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Elizaveta Krapivina, a.k.a., the following one alias: – Yelizaveta Krapivina, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| ELPROM, Marshala Govorova Str. 40, Lit. A, Office 34, St. Petersburg 198095, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| ElTom Research and Production Company, a.k.a., the following one alias: – NPP ElTom Garshin Street 11, Tomilino, Lyuberetsky, Moscow, 140070, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Engineering Center Ltd., a.k.a., the following three aliases: – Certified Engineering Center, Ltd.; – LCEC; – EC. 4 Gabrichevsky Street, Room 124, Moscow, Russia, 125367; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Engineering Center Moselectronproekt, a.k.a., the following two aliases: – Moselectronproekt (JSC); – MosEP JSC. 12 Kosmonavta Volkova St., Room 22, Moscow, 127299, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Etalon Scientific and Production Association, a.k.a., the following one alias: – NPO Etalon. 3 Tsentralny Proezd, Dobryanka, Perm Territory, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Evgeni Viktorovich Egorov, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Evgeny Krayushin, Building 41, 3 Zheleznodorozhniy Lane, Dmitrov, Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Evro Polis Ltd., a.k.a., the following two aliases: – Evro Polis, OOO; – Obshchestvo S Ogranichennoi Otvetstvennostyu Evro Polis. d. 1A pom. 9.1A, Shosse Ilinskoe, Krasnogorsk, Krasnogorski Raion, Moskovskaya Obl. 143409, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| Far-East Factory Zvezda, a.k.a., the following one alias: – AO FEP Zvezda. 1 Stepan Lebedev St., Bolshoy Kamen, Primorsky krai, 692801, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Far Eastern Shipbuilding and Ship Repair Center, a.k.a., the following one alias: – DTSSS, AO. 72 Svetlanskaya Street, Vladivostok, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| FASTAIR, a.k.a., the following five aliases: – LLC Fastair International; – Fast Air International; – Fast Air; – OOO Fasteir Interneshnl; – OOO Fasteir. 121471, 14, Ryabinovaya Street, Moscow Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review | 87 FR 38925, 6/30/22. | ||
| FAU ‘Glavgosekspertiza Rossii’, a.k.a., the following three aliases: – Federal Autonomous Institution ‘Main Directorate of State Examination’; – General Board of State Expert Review; and – Glavgosekspertiza. Furkasovskiy Lane, building 6, Moscow 101000, Russia (See alternate address under Crimea region of Ukraine). | For all items subject to the EAR (see § 744.11 of the EAR), apart from items that are related to transactions that are authorized by the Department of the Treasury’s Office of Foreign Assets Control pursuant to General License No. 11 of December 20, 2016. Russia does not include the “Crimea region of Ukraine,” as that term is defined in section 8(d) of E.O. 13685 | Presumption of denial | 81 FR 61601, 9/7/16. 82 FR 2887, 1/10/17. | ||
| Federal Autonomous Institution Central Institute of Engine-Building N.A. P.I. Baranov, a.k.a., the following two aliases:
– Central Institute of Aviation Motors; – CAIM. 2 Aviation Motoes Street, Moscow, 111116, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Federal Center for Dual-Use Technology (FTsDT) Soyuz, a.k.a., the following one alias: – FSUE FCDT Soyuz. 42 Academician Zhukov St., Dzerzhinsky, 140090, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Federal Research Center Boreskov Institute of Catalysis, pr. Lavrentieva 5, Novosibirsk 630090, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Federal Security Service (FSB), a.k.a., the following one alias: – Federalnaya Sluzhba Bezopasnosti. Ulitsa Kuznetskiy Most, Dom 22, Moscow 107031, Russia; | All items subject to the EAR, apart from items that are related to transactions that are authorized by the Department of the Treasury’s Office of Foreign Assets Control pursuant to General License No. 1B of March 2, 2021. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial. See §§ 746.8(b) and 744.21(e) | 82 FR 724, 1/4/17. 82 FR 18219, 4/18/17. 86 FR 37903, 7/19/21. 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Federal Service for Military-Technical Cooperation, a.k.a., the following four aliases:
– Federalnaya Sluzhba po Voenno-Tekhnicheskomu Sotrudnishestvu; – FSMTC; 18/1 Ovchinnikovskaya Embankment, Moscow, 115035, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Federal State Autonomous Institution Military Innovative Technopolis Era, a.k.a., the following two aliases: – ERA Military Innovation Technopolis; – FGAU VIT ERA. Pionerskiy Prospekt, 41 Anapa Krasnodar Krai 353456, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Federal State Autonomous Scientific Establishment Scientific Research Institute Specialized Security Computing Devices and Automation, a.k.a., the following one alias: – FGANU NII Specvuzavtomatika. Rostov-On-Don, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Federal State Budgetary Enterprise of the Administration of the President of Russia, 1-ya Reysovaya Street, 1, Moscow 119027, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the President of Russia, 1-ya Reysovaya Street, 1, Moscow 119027, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Federal State Budgetary Institution of Science P.I. K.A. Valiev RAS of the Ministry of Science and Higher Education of Russia, a.k.a., the following three aliases:
– FTIAN IM K.A. Valiev RAS; – FTI RAS; – FTIAN. 34 Nakhimovski Prospekt, Moscow, 117218, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Federal State Budgetary Institution National Research Center Institute n.a. N.E. Zhukovsky, a.k.a., the following one alias:
– Zhukovsky National Research Institute. 7 Viktorenko Street, Moscow, 125319, Russia, | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Federal State Budgetary Scientific Institution Research and Production Complex Technology Center, a.k.a., the following five aliases:
– Federalnoe Gosudarstvennoe Byudzhetnoe Nauchnoe Uchrezhdenie Nauchno-Proizvodstvenny Kompleks Tekhnologicheskiy Tsentr – NPK Technological Center; – Scientific Manufacturing Complex Technological Center; 1 Shokina Square, Building 7, Office 7237, Zelenograd, Moscow, 124498, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12158, 2/27/23. | ||
| Federal State Institution Federal Scientific Center Scientific Research Institute for System Analysis of the Russian Academy of Sciences, a.k.a., the following four aliases:
– Federalnoe Gosudarstvennoe Uchrezhdenie Federalnyy Nauchnyy Tsentr Nauchno-Issledovatelskiy Institut Sistemnykh Issledovaniy Rossiyskoy Akademii Nauk; 36 Nakhimovskiy Avenue, Building 1, Moscow, 117218, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Federal State Unitary Enterprise All-Russian Research Institute of Physical, Technical and Radio Engineering Measurements, a.k.a., the following one alias:
VNIIFTRI. Mendeleevo Village, Mendeleevo, Moscow Oblast, 141570, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA), 22, Sushchevskaya UI, Moscow 127055RU. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Federal State Unitary Enterprise Scientific Production Enterprise “GAMMA”, Ul. Profsoyuznaya d. 78 str. 4, Moscow, 117393, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Federal State Unitary Enterprise State Research and Production Enterprise Bazalt, a.k.a., the following three aliases: – Federal State Unitary Enterprise, State Research and Production Enterprise Bazalt; – Fsue Srpe Bazalt; – State Research and Production Enterprise Bazalt. 32 Velyaminovskaya, Moscow 105318, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Federal State Unitary Enterprise State Scientific-Research Institute for Aviation Systems, a.k.a., the following one alias:
– GosNIIAS. 7 Viktorenko Street, Moscow, 125167, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Federal Technical Regulation and Metrology Agency, a.k.a., the following alias:
– Rosstandart. 10 Naberezhnaya Presnenskaya, Street 2, Floor 7, Moscow, 123112, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Femteco, 13 3-ya Khoroshevskaya Street, Moscow, Russia 123298; | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| FKU Uprdor ‘Taman’, a.k.a., the following one alias: – Federal State Institution Management of Federal Roads ‘Taman’. 3 Revolution Avenue, Anapa, Krasnodar 353440, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Foreign Intelligence Service (SVR), Yasenevo 11 Kolpachny, Moscow, 0101000. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Foreign Trade Association Mashpriborintorg, a.k.a., the following one alias: – FTA Mashpriborintorg JSC. 3 Sherbakovskaya St., Moscow, 105318, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior Affairs, Gorkiy Street, 71, Nizhniy Novgorod 603950, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Forss Technology Ltd., a.k.a., the following four aliases: – FT Ltd; – Forss Marine; – OOO Smart Marin; – OOO Forss Teknologii. 51 Magnitogorskaya Street, D. Letter E Office 210, Saint Petersburg, Russia, 195027; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Forward Electronics, LLC, 86 N Prospect Obukhovskoy Oborony, St. Petersburg, Russia 190000; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| FSUE FNPC Nizhegorodsky Scientific Research Institute of Radiotechnics (NNIIRT), Shaposhnikov Street 5, Nizhny Novgorod, 603950, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| FSUE Rosmorport Far Eastern Basin Branch, Nizhneportovaya Street 3 Primorskiy Territory, Vladivostok 690003, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Gaz-Oil, OOO (f.k.a., Zakrytoe Aktsionernoe Obshchestvo Gaz Oil), a.k.a., the following two aliases: – Gaz-Oil; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gaz-Oil’. d.10 B ul.Nametkina, Moscow 117420, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazmash, AO (f.k.a., Dochernee Otkrytoe Aktsionernoe Obshchestvo Gazmash Otkrytogo Aktsionernogo Obshchestva Gazprom), a.k.a., the following two aliases: – Aktsionernoe Obshchestvo ‘Gazmash’; – Gazmash. d. 54 korp. 1 litera A pomeshch prospekt Primorski, St. Petersburg 197374, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Irkutsk, OOO (f.k.a., Otkrytoe Aktsionernoe Obshchestvo Irkutskgazprom), a.k.a., the following two aliases: – Gazprom Dobycha Irkutsk; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Irkutsk’. d.14 ul.Nizhnyaya Naberezhnaya, Irkutsk, Irkutskaya obl 664011, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Krasnodar, OOO, a.k.a., the following two aliases: – Gazprom Dobycha Krasnodar; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Krasnodar’. d.53 ul.Shosse Neftyanikov, Krasnodar, Krasnodarski krai 350051, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Kuznetsk, OOO, a.k.a., the following two aliases: – Gazprom Dobycha Kuznetsk; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Kuznetsk’. d.4 prospekt Oktyabrski, Kemerovo, Kemerovskaya obl 650066, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Nadym, OOO, a.k.a., the following two aliases: – Gazprom Dobycha Nadym; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Nadym’. d.1 ul.Zvereva, Nadym, Yamalo-Nenetski a.o. 629730, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Noyabrsk, OOO, a.k.a., the following two aliases: – Gazprom Dobycha Noyabrsk; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Noyabrsk’. d.20 ul. Respubliki, Noyabrsk, Yamalo-Nenetski a.o. 629802, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Urengoi, OOO, a.k.a., the following two aliases: – Gazprom Dobycha Urengoy; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Urengoi’. d.8 ul.Zheleznodorozhnaya, Novy Urengoi, Yamalo-Nenetski a.o. 629307, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Dobycha Yamburg,OOO, a.k.a., the following two aliases: – Gazprom Dobycha Yamburg; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Dobycha Yamburg’. d.9 ul. Geologorazvedchikov, Novy Urengoi, Yamalo-Nenetski a.o 629306, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Energo, OOO, a.k.a., the following two aliases: – Gazprom Energo; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Energo’. 8 Korp. 1 ul.Stroitelei, Moscow 117939, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Flot, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Gazflot), a.k.a., the following two aliases: – Gazprom Flot; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Flot’. d. 12 A ul.Nametkina, Moscow 117420, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Gaznadzor, OOO, a.k.a., the following two aliases: – Gazprom Gaznadzor; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Gaznadzor’. 41 str. 1 prospekt Vernadskogo, Moscow 119415, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Gazobezopasnost, OOO, a.k.a., the following two aliases: – Gazprom Gazobezopasnost; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Gazobezopasnost’. d. 8 korp. 1 ul.Stroitelei, Moscow 119311, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Geologorazvedka, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Gazprom Dobycha Krasnoyarsk), a.k.a., the following two aliases: – Gazprom Geologorazvedka; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Geologorazvedka’. d.70 ul.Gertsena, Tyumen, Tyumenskaya obl. 625000, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Inform, OOO (f.k.a., Zakrytoe Aktsionernoe Obshchestvo Informgazinvest), a.k.a., the following two aliases: – Gazprom Inform; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Inform’. d. 13 str. 3 ul.Bolshaya Cheremushkinskaya, Moscow 117447, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Invest, OOO, a.k.a., the following two aliases: – Gazprom Invest; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Invest’. d. 6 litera D ul.Startovaya, St. Petersburg 196210, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Kapital, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Kap Infin), a.k.a., the following two aliases: – Gazprom Kapital; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Kapital’. Sosenskoe Pos, Pos. Gazoprovod, D. 101 Korp. 9, Moscow 142770, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Komplektatsiya, OOO, a.k.a., the following two aliases: – Gazprom Komplektatsiya; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Komplektatsiya’. 8 Korp. 1 ul.Stroitelei, Moscow 119991, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Mezhregiongaz, OOO, a.k.a., the following two aliases: – Gazprom Mezhregiongaz; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Mezhregiongaz’. d. Dom 24 korp. Liter A nab.Admirala Lazareva, St. Petersburg 197110, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Neft (a.k.a. Gazprom Neft OAO; a.k.a. JSC Gazprom Neft; a.k.a. Open Joint-Stock Company Gazprom Neft; f.k.a. Sibirskaya Neftyanaya Kompaniya OAO)
Address: Let. A. Galernaya, 5, ul, St. Petersburg 190000, Russia | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 79 FR 55612, 9/17/14. | ||
| Gazprom Neft Shelf, the following one alias: – Sevmorneftegaz. 8 Lesteva Street, Moscow, 115162, Russia; | For all items subject to the EAR (See § 744.11 of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. | ||
| Gazprom, OAO (a.k.a. Open Joint Stock Company Gazprom; a.k.a. OAO Gazprom; a.k.a. Gazprom)
Address: 16 Nametkina St., Moscow, Russia GSP-7, 117997, Russia | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 79 FR 55612, 9/17/14. | ||
| Gazprom Pererabotka, OOO, a.k.a., the following two aliases: – Gazprom Pererabotka; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Pererabotka’. d.16 ul.Ostrovskogo, Surgut, Khanty-Mansiski Avtonomny okrug – Yugra a.o. 628417, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Personal, OOO, a.k.a., the following two aliases: – Gazprom Personal; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Personal’. 16, Gsp-7 ul.Nametkina, Moscow 117997, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Promgaz, AO (f.k.a., Otkrytoe Aktsionernoe Obshchestvo Gazprom Promgaz), a.k.a., the following two aliases: – Aktsionernoe Obshchestvo ‘Gazprom Promgaz’ – Gazprom Promgaz. d. 6 ul.Nametkina, Moscow 117420, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Russkaya, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Kovyktneftegaz), a.k.a., the following two aliases: – Gazprom Russkaya; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Russkaya’. 3 korp.2 ul.Varshavskaya, St. Petersburg 196128, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Sotsinvest, OOO (f.k.a., Gazprominvestarena OOO), a.k.a., the following two aliases: – Gazprom Sotsinvest; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Sotsinvest’. d. 20 litera A nab.Aptekarskaya, St. Petersburg 197022, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Svyaz, OOO, a.k.a., the following two aliases: – Gazprom Svyaz; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Svyaz’. d.16 ul.Nametkina, Moscow 117997, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Telekom, OOO (f.k.a., Zakrytoe Aktsionernoe Obshchestvo Gaztelekom), a.k.a., the following two aliases: – Gazprom Telecom; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Telekom’. d. 62 str. 2 shosse Starokaluzhskoe, Moscow 117630, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Kazan, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Kazan; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Kazan’. d.41 ul.Adelya Kutuya, Kazan, Tatarstan resp 420073, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Krasnodar, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Krasnodar; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Krasnodar’. d.36 ul.Im Dzerzhinskogo, Krasnodar, Krasnodarski krai 350051, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Makhachkala, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Gazprom Transgaz Makhachkala), a.k.a., the following two aliases: – Gazprom Transgaz Makhachkala; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Makhachkala’.ul.O.Bulacha, Makhachkala, Dagestan resp. 367030, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Nizhni Novgorod, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Nizhny Novgorod; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Nizhni Novgorod’. d.11 ul.Zvezdinka, Nizhni Novgorod, Nizhegorodskaya obl. 603950, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Samara, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Samara; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Samara’. d. 106 A str. 1 ul.Novo-Sadovaya, Samara, Samarskaya obl. 443068, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Sankt-Peterburg, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Saint Petersburg; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Sankt-Peterburg’. 3 korp.2 ul.Varshavskaya, St. Petersburg 196128, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Saratov, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Saratov; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Saratov’. d.118 A prospekt Im 50 Let Oktyabrya, Saratov, Saratovskaya obl. 410052, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Stavropol, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Stavropol; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Stavropol’. d.6 prospekt Oktyabrskoi Revolyutsii, Stavropol, Stavropolski krai 355000, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Surgut, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Surgut; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Surgut’. d.1 ul.Universitetskaya, Surgut, Khanty-Mansiski Avtonomny okrug – Yugra a.o. 628406, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Tomsk, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Tomsk; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Tomsk’. d.9 prospekt Frunze, Tomsk, Tomskaya obl. 634029, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Ufa, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Bashtransgaz Otkrytogo Aktsionernogo Obshchestva Gazprom), a.k.a., the following two aliases: – Gazprom Transgaz Ufa; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Ufa’. 59 ul.Rikharda Zorge, Ufa, Bashkortostan resp. 450054, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Ukhta, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Ukhta; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Ukhta’. d.39/2 prospekt Lenina, Ukhta, Komi resp 169312, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Volgograd, OOO, a.k.a., the following two aliases: – Gazprom Transgaz Volgograd; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Volgograd’. 58 ul.Raboche-Krestyanskaya, Volgograd, Volgogradskaya obl. 400074, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Transgaz Yugorsk, OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Tyumentransgaz), a.k.a., the following two aliases: – Gazprom Transgaz Yugorsk; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Transgaz Yugorsk’. d.15 ul.Mira, Yugorsk, Khanty-Mansiski Avtonomny okrug, Yugra a.o. 628260, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Tsentrremont, OOO, a.k.a., the following two aliases: – Gazprom Tsentrremont; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Gazprom Tsentrremont’. d.1 ul.Moskovskaya, Shchelkovo, Moskovskaya obl 141112, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Gazprom Vniigaz, OOO, a.k.a., the following two aliases: – Gazprom Vniigaz; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Nauchno-Issledovatelski Institut Prirodnykh Gazov I Gazovykh Tekhnologi – Gazprom Vniigaz’. P Razvilka, Leninski Raion, Moskovskaya obl. 142717, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Hermann Derkach, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Huawei Cloud Russia, Moscow, Russia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab Moscow, a.k.a., the following one alias: – Huawei Moscow OpenLab, Moscow, Russia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Russia, Business-Park “Krylatsky Hills”, 17 bldg. 2, Krylatskaya Str., Moscow 121614, Russia. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| IFDK, ZAO, a.k.a., the following six aliases: – Closed Joint Stock Company ‘IFD Kapital’; – IFD Kapital; – IFD Kapital Group; – IFD-Capital; – IFD-Kapital; – Zakrytoe Aktsionernoe Obshchestvo ‘IFD Kapital’ (f.k.a., Zakrytoe Aktsionernoe Obshchestvo IFD Karital) 6 naberezhnaya, Krasnopresnenskaya, Moscow 123100, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Igor Samusev, Ulitsa Artyukhina 6B, 106, Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Ilias Kharesovich Sabirov,
Solovjinaya Roscha Str 9-1-86, Moscow, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Ilyushin Aviation Complex Branch: Myasishcheva Experimental Mechanical Engineering Plant, a.k.a., the following one alias: – Myasishcheva EMZ. 7 Narkomvod Street, Zhukovsky, Moscow Oblast, 140180, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Incorporated Electronics Systems, 9 Lipovaya alleya, St. Petersburg, Russia 197183; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Ineko LLC, a.k.a., the following one alias: – OOO Ineko. Building 41, 3 Zheleznodorozhniy Lane, Dmitrov, Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Informakustika JSC, 22A Polytechnic St., St. Petersburg, 194021, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Innovation and Technologies LLC, a.k.a., the following two aliases:
– Intekh; – INTEKH OOO. D. 83 K. 3 OFIS 516, Ul. Savushkina, St. Petersburg 197374 Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Instar Lodzhistiks, OOO, a.k.a., the following one alias: – Instar Logistics. d. 20 str., 7 ofis 102V, ul. Elektrozavodskaya, Moscow 1072023, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| Institut Stroiproekt, AO, a.k.a., the following six aliases: – Aktsionernoe Obshcestvo Institut Stroiproekt; – AO Institut Stroiproekt; – AO Institute Stroyproekt (f.k.a., Institut Stroiproekt Zakrytoe Aktsionernoe Obshchestvo); – Institute Stroyproect; – Stroyproekt; – Stroyproekt Engineering Group D. 13 Korp. 2 LiteraA Prospekt Dunaiski, St. Petersburg 196158, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Institute of High Energy Physics, a.k.a., the following two aliases: – IHEP; – Kurchatovskiy Institute ITEF. 1/1 Pobeda St., Science Square, Protvino Moskovskaya Oblast, 142281, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Institute of Marine Technology Problems Far East Branch Russian Academy of Sciences, a.k.a., the following one alias: – IPMT FEB RAS. 5A Sukhanov Street, Vladivostok, 690091, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Institute of Physics Named After P.N. Lebedev of the Russian Academy of Sciences, a.k.a., the following four aliases: – Lebedev Physical Institute; – LPI RAS; – Lebedev Physical Institute; – FIAN. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| 53 Leninsky Prospekt, Moscow, 119991, Russia. | |||||
| Institute of Solid-State Physics of the Russian Academy of Sciences, a.k.a., the following three aliases:
– ISSP; – Institute of Solid-State Physics of the Academy of Sciences SSSR; – Federal State Budgetary Institution of Science Institute of Solid-State Physics N.A. Yu. A. Osipyan of the Russian Academy of Sciences. 2 Akademika Osipyana Street, Chernogolovka, Moscow Region, 142432, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Institute of Theoretical and Experimental Physics, a.k.a., the following three aliases: – ITEP; – ITEF; – Kurchatovskiy Institute ITEF. 25 Bolshaya Cheremushkinskaya St., 117218; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Integral SPB, 21 Irinovski Avenue, Building 1, Saint Petersburg, Russia, 195279. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Inteltech PJSC, a.k.a., the following three aliases: – Information Telecommunications Technology PJSC; – Inteltech; – Inteltekh. Electrosignalnaya Street, Voronezh, Voronezhskaya Oblast, 394026, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Intercom Ltd., Kalinina Street 13 Saint Petersburg 198099, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Interlab, a.k.a., the following one alias: – OOO Interlab. Tikhvinsky Per., 11, Building 2, 127055, Moscow, Russia. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| International Center for Quantum Optics and Quantum Technologies LLC, a.k.a., the following two aliases: – Russian Quantum Center – RQC. Business-center “Ural,” 100 Novaya Street, Skolkovo, Moscow, 143025, Russia; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Intertech Rus LLC, a.k.a., the following one alias: – Intertek Rus OOO. 8, 2nd Brestskaya str., 10th Floor 125047, Moscow Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), 744.3(d), and 744.4(d) | 87 FR 38925, 6/30/22. | ||
| Irkut Corporation, Leningradsky Prospect 68, Moscow 125315, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Irkut Research and Production Corporation Public Joint Stock Company, 68 Leningradsky Prospect, Moscow 125315, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Irkutsk Aviation Plant, 3 Novatorov Street, Irkutsk, 664020, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| ISE SO RAN Institute of High-Current Electronics, a.k.a., the following three aliases: – Institute of High Current Electronics Siberian Branch Russian Academy of Science – IHCE; – IHCE SB RAS. 2/3 Prospekt Akeademicheskiy, Tomsk, 634055, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| IT-Papillon OOO, a.k.a., the following one alias: – Papillon Information Technologies LLC. 48 Prospekt Makeeva, Miass, Chelyabinskaya Oblast, 4563200, 4563200, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 12158, 2/27/23. | ||
| Ivan Komarov, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Ivan Zubarev, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Izhevsky Mekhanichesky Zavod JSC, a.k.a., the following one alias: – Baikal. 8 Promyshlennaya Str., Izhevsk 426063, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Joint Stock Company 121 Aviation Repair Plant, a.k.a., the following one alias:
– 121 ARZ. 10 Pochtovaya Street, Room 203, Stary Gorodok, Odintsovo District, Moscow Oblast, 143079, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company 123 Aviation Repair Plant, a.k.a., the following one alias:
– 123 ARZ. Mkr Gorodok, Staraya Russa, Starorussky District, Novgorod Oblast, 175201, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company 218 Aviation Repair Plant, a.k.a., the following one alias:
– 218 ARZ. 7a Grigorina Street, Gatchina, Gatchinsky Region, Leningrad Oblast 188307, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company 360 Aviation Repair Plant, a.k.a., the following one alias:
– 360 ARZ. 13V Zabaikalsk Street, Ryazan, Ryazan Oblast, 390015, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company 514 Aviation Repair Plant, a.k.a., the following one alias:
– 514 ARZ. 121 Chelyuskintsev Street, Rzhev, Tver Oblast, 172383, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company 766 UPTK. 1 Institutskaya Street, Nakhabino, Krasnogorsk District, Moscow Region, 143432, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Aerocomposit, a.k.a., the following one alias: – Aerocomposit. 47 Leningrad Prospect, Building 2, Moscow, 125167, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company All Russian Research Institute of Radio Engineering, a.k.a., the following three aliases:
– AO Vserossiyskiy Nauchno-Issledovatelskiy Institut Radiotekhniki; 22 Bolshaya Pochtovaya Street, Building 8, Moscow, 105082, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company All-Russian Research Institute Signal, a.k.a., the following four aliases:
– AO Vserossiyskiy Nauchno-Issledovatelskiy Institut Signal; 57 Krupskoy Street, Kovrov, Vladimir Oblast, 601903, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Angstrem, Angstrem-M, Dom 4, Stroennie 3, Proezd 4806, Zelenograd, Russia 124460. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Joint Stock Company Angstrem-T, Dom 7, Georgievskiy Prospekt, Zelenograd, Russia 124460. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Joint Stock Company Aramil Aviation Repair Plant, a.k.a., the following one alias:
– AARZ. Garnizon Street, Aramil, Sysertsky Region, Sverdlovsk Oblast. 624000, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Aviaremont, a.k.a., the following one alias:
– Aviaremont. 17 Rossolimo Street, Building 2, Floor 4, Section V, Rooms 11-28, Moscow, 119021, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Avtomatika, a.k.a., the following one alias: – Avtomatika. 113G Svetlanskaya Street, Vladivostok, Primorsk Krai, 690001, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Bryansk Electromechanical Plant, a.k.a., the following one alias: – BEMZ. 136 Vokzalnaya Street, Bryansk, 241017, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Center of Research and Technology Services Dinamika, a.k.a., the following three aliases:
– AO TSNTU Dinamika; 9/18 Shkolnaya Street, Zhukovskiy, Moscow Oblast, 140184, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint-Stock Company Concern Almaz-Antey, a.k.a., the following four aliases: – Almaz-Antey Corp; – Almaz-Antey Defense Corporation; – Almaz-Antey JSC; – Otkrytoe Aktsionernoe Obshchestvo Kontsern PVO Almaz Antei. 41 ul. Vereiskaya, Moscow, 121471, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Joint Stock Company Concern Avtomatika, a.k.a., the following three aliases: – AO Kontsern Avtomatika; – JSC Concern Automation; 25 Botanicheskaya Street, Premises 1, Moscow, 127106, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint-Stock Company Concern Radio-Electronic Technologies, a.k.a., the following three aliases: – Concern Radio-Electronic Technologies; – JSC Concern Radio-Electronic Technologies; – Kret. 20/1 Korp. 1 ul. Goncharnaya, Moscow 109240, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Joint Stock Company Concern Sozvezdie, a.k.a., the following one alias: – JSC Concern Sozvezdie. 14 Plekhanovskaya Street, Voronezh, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Joint Stock Company Design Center Soyuz, a.k.a., the following one alias:
– AO Dizain Tsentr Soyuz. 14 Konstruktora Lukina Street, Building 1, Zelenograd, Moscow, 124482, Russia; K. 100, Kom. 205, Zelenograd, Moscow, 124482, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Design Technology Center Elektronika, a.k.a., the following five aliases:
– AO KTTS Elektronika; – AO Konstruktorsko-Tekhnologicheskiy Tsentr Elektronika; 119A Leninskiy Prospekt, Building 17a, 2nd Floor, Voronezh, 394033, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Elektron Optronik, a.k.a., the following six aliases:
– AO Tsentralniy Nauchno-Issledovatelskiy Institut Elektron; 68 Toreza Avenue, Saint Petersburg, 194223, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Eleron, a.k.a., the following two aliases: – JSC FCS&HT SNPO Eleron – SNPO Eleron. 55 Dibunovskaya St., St. Petersburg, 197183, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Experimental Design Bureau named after A.S. Yakovlev, a.k.a., the following one alias: – A.S. Yakovlev EDB. 68 Leningrad Prospect, Moscow, 12531568, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Experimental Design Bureau Novator, a.k.a., the following two aliases: – Novator Design Bureau; – JSC OKB Novator. 18 Prospekt Kosmonavtov, 620017 Yekaterinburg, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 60305, 12/20/17. | ||
| Joint Stock Company Federal Research and Production Center Altai,
1 Socialist Street, Biysk, Altai Territory, 659322, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Federal Scientific and Production Center Titan-Barrikady, a.k.a., the following three aliases: – Federal Research and Production Center Titan Barrikady JSC; – Titan Design Bureau; – JSC FNPTS Titan-Barrikady. Prospekt Imeni V.I. Lenina, b/n 400071, Volgograd, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 60305, 12/20/17. | ||
| Joint Stock Company Flight Research Institute N.A. M.M. Gromov, a.k.a., the following one alias:
– FRI Gromov. 2A Garnaeva Street, Zhukovsky, Moscow Oblast, 140180, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Foreign Economic Association (FEA) Radioexport, 8 Ukrainksi Boulevard, Moscow, Russia, 121059. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Joint Stock Company Head Special Design Bureau Prozhektor, 56 Highway Enthusiasts, Moscow, 111123, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Ilyushin Aviation Complex, a.k.a., the following one alias: – PAO Ilyushin. 45G Leningrad Prospect, Moscow, 125190, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Institute for Scientific Research Microelectronic Equipment Progress, a.k.a., the following four aliases:
– AO NIIMA Progress; 54 Cherepanovykh Drive, Moscow, 125183, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company (JSC) NIIME, a.k.a., the following two aliases: – Aktsionernoe Obshchestvo (AO) Nauchnoisledovatelskiy Institut Molekulyarnoy Elektroniki (NIIME); – Molecular Electronics Research Institute (MERI) 1st Zapadniy Proezd 12/1, Zelenograd, Russia, 124460 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Joint Stock Company Kaluga Scientific Research Institute of Radio Engineering (KNIRTI),
2 Lenina Street, Zhukov, Zhukovski Region, Kaluzhskaya Oblast, Russian Federation, 249190 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Joint Stock Company Kizlyar Electromechanical Plant, a.k.a., the following three aliases:
– AO Concern KEMZ; 1 Kutuzova Street, Kizlyar, 368870, Dagestan Republic, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Lazurit Central Design Bureau, a.k.a., the following one alias: – Aktsionernoe Obshchestvo Tsentralnoe Konstruktorskoe Byuro Lazurit. 57 Svoboda Street, Nizhny Novgorod, 603951, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Machine-Building Engineering Office Fakel Named After Akademika P.D. Grushina, a.k.a., the following four aliases: – AO MKB Fakel; – Engineering Design Bureau Fakel; – JSC EBD Fakel; – Mashinostroitelnoe Konstruktorskoe Byuro Fakel I.M. Akademika P.D. Grushina. 33 Akademika Grushina Street, Khimki, Moscow Oblast, 141401, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Metallist Samara, a.k.a., the following one alias:
– Metallist Samara. 278 Promyshlennost Street, Samara, Samara Oblast, 443023, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Military-Industrial Corporation NPO Mashinostroyenia, a.k.a., the following eight aliases: – Joint Stock Company Military Industrial Consortium NPO Mashinostroyenia; – JSC MIC NPO Mashinostroyenia; – MIC NPO Mashinostroyenia JSC; – MIC NPO Mashinostroyeniya JSC; – Military Industrial Corporation NPO Mashinostroenia OAO; – Open Joint Stock Company Military Industrial Corporation Scientific and Production Machine Building Association; – Voenno-Promyshlennaya Korporatsiya Nauchno-Proizvodstvennoe Obedinenie Mashinostroeniya OAO; – VPK NPO Mashinostroeniya. 33, Gagarina St., Reutov-town, Moscow Region 143966, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Joint Stock Company Moscow Machinebuilding Enterprise named after V.V. Chernyshev, a.k.a., the following one alias:
– MMP V.V. Chernyshev. 7 Vishnevaya Street, Moscow 125362, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company NII Steel, a.k.a., the following one alias:
– Scientific Research Institute of Steel. 81A Dubninskaya, Moscow, 127411, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company North Western Regional Center of Almaz Antey Concern Obukhovsky Plant, a.k.a., the following five aliases: – AO GOZ; – AO Severo-Zapadny Regionalny Tsentr Kontserna VKO Almaz-Antei Obukhovsky Zavod; – JSC GOZ Obukhov Plant; – JSC Obukhovskiy Zavod; – JSC SOP Obukhovskiy Plant. 120 Obukhovskoy Oborony Avenue, Building 19, Premises 1-N #708, Saint Petersburg, 190012, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company NPO Elektromechaniki, a.k.a., the following one alias: – JSC Scientific and Production Association of Electro Mechanic. 31 Mendeleeva street, Miass, Chelyabinsk Region, 456320, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Joint Stock Company Penza Electrotechnical Research Institute, a.k.a., the following three aliases:
– AO Penzenskiy Nauchno- Issledovatelskiy Elektrotekhnicheskiy Institut; 9 Sovetskaya Street, Penza, Penza Oblast, 440026, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Perm Scientific Industrial Instrument-Making Company (PNPPK), 25th of October Street, Number 106, Perm, Russia 614990. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Joint Stock Company Production Association Sever, a.k.a., the following four aliases:
– AO PO Sever; – JSC PA Sever; | – JSC PO North; – Proizvodstvennoe Obedinenie Sever. 3 Obedineniya Street, Novosibirsk, Novosibirsk Oblast, 630020, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | |
| Joint Stock Company Production Association Ural Optical and Mechanical Plant Named After E.S. Yalamov, a.k.a., the following four aliases: – AO Proizvodsvennoe Obedinenie Uralskii Opitko-Mekhanicheskii Zavod; – JSC PA UOMP; – JSC PO UOMZ; – Ural Optical and Mechanical Plant. 33B Vostochnaya Street, Yekaterinburg, Sverdlovsk Oblast, 620100, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Ramenskoye Design Company, a.k.a., the following four aliases:
– AO Ramenskoe Priborostroitelnoe Konstruktorskoe Byuro; 2 Guriyeva Street, Ramenskoye, Moscow Oblast, 140103, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Ramensky Instrument Engineering Plant, a.k.a., the following one alias: – Ramensky Instrument-Engineering Plant. 39 Mikhalevicha Street, Room 20, Floor 2, Space 124, Ramensk, Moscow Oblast, 140100, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Remdizel
40 Menzelinsky Tract, Naberezhnyye Cheliny, Republic of Tatarstan, 423800, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Research and Development Enterprise Protek, a.k.a., the following one alias: – JSC NVP Protek. 6 Basic St., Voronezh, 394028, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Research and Production Association Named After S.A. Lavochkina, a.k.a., the following five aliases:
– AO Nauchno-Proizvodstvennoe Obedinenie IM. S.A. Lavochkina; – JSC Lavochkin Science and Production Association; – NPO Imeni S.A. Lavochkina; – NPO Lavochkin; – S.A. Lavochkin Scientific Production Association. 24 Leningradskaya Street, Khimki, Moscow Oblast, 141402, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Research and Production Association of Measuring Equipment, a.k.a., the following three aliases:
– AO NPO IT; – AO Nauchno Proizvodstvennoe Obedinenie Izmeritelnoi Tekhniki; – JSC NPO IT. 2 Pionerskaya Street, Building 4, Floor 3, Office 344, Korolyov, Moscow Oblast, 141074, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Research and Production Company Micran, 51d Kirova Street, Tomsk, Russia 634041; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Joint Stock Company Research and Production Enterprise Radar MMS, a.k.a., the following four aliases:
– AO Nauchno-Proizvodstvennoe Predpriyatie Radar MMS; – Scientific Production Association Radar MMS JSC. 37A Novoselkovskaya Street, Saint Petersburg, 197375, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR FR 12158, 2/27/23. | ||
| Joint Stock Company Research and Production Enterprise Sapfir, a.k.a., the following four aliases:
– AO NPP Sapfir; – AO Nauchno-Proizvodstvennoe Predpriyatie Sapfir; – JSC Research and Production Company Sapfir. 53 Shcherbakovskaya Street, Building 17, Moscow, 105187, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Research Center ELINS, a.k.a., the following six aliases:
– AO Nauchnyy Tsentr ELINS; – ELINS STC JSC; – Scientific-Technical Center ELINS. 10 Panfilovsky Avenue, Zelenograd, Moscow, 124460, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company RT-Tekhpriemka, a.k.a., the following three aliases:
– AO RT-Techpriemka; – JSC Aviatekhpriemka; – JSC RT-Tekhpriemka. 1 Elektricheskii Lane, Building 12, Moscow, 123557, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Russian Research Institute Electronstandart, a.k.a., the following four aliases:
– AO Nauchno-Proizvodtvennoe Predpriyatie Elektronstandart; 25 Tsvetochnaya Street, Building 3, Saint Petersburg, 196006, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Ryazan Plant of Metal Ceramic Instruments, a.k.a., the following five aliases:
– AO Ryazanski Zavod Metallokeramicheskikh Priborov; – AO RZMKP; – RMCIP. 51V Novaya Street, Ryazan, Ryazan Oblast, 390027, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Production Enterprise Digital Solutions, a.k.a., the following five aliases:
– ASIC and Electronic Engineering Design Center Digital Solutions JSC;
| – LLC Scientific Production Enterprise Digital Solutions.
9a Second Sinichkina Street, Room 4, Office 1, 3rd Floor, Building 7, Moscow 111020, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | |
| Joint Stock Company Scientific Production Enterprise Kontakt, a.k.a., the following four aliases:
– AO NPP Kontakt; – AO Nauchno-Proizvodstvennoe Predpriyatie Kontakt; – JSC SPE Contact. 1 Spitsyna Street, Saratov, Saratov Oblast, 410086, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Production Enterprise Topaz, a.k.a., the following four aliases:
– AO Nauchno-Proizvodstvennoe Predpriyatie Topaz; – Closed Joint-Stock Company Scientific Production Enterprise Topaz; – JSC Research and Production Enterprise Topaz. 16 Third Mytishchinskaya Street, Building 34, Moscow, 129626, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute Giricond, a.k.a., the following three aliases:
– AO Nauchno-Issledovatelskiy Institut Girikond; 10 Kurchatova Street, Saint Petersburg, 194223, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Computer Engineering NII SVT, a.k.a., the following four aliases:
– AO NII SVT; – AO Nauchno Issledovatelskii Institut Sredstv Vychislitelnoi Tekhniki; 31 Melnichnaya Street, Kirov, Kirov Oblast, 610025, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Computing Machinery, Melnichnaya Street, 31, Kirov 610025, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Joint Stock Company Scientific Research Institute of Electrical Carbon Products, a.k.a., the following four aliases:
– AO NIIEI; – AO Nauchno Issledovatelskii I Proektno-Tekhnologicheskii Institut Elektrougolnykh Izdelii; 1 Gorki Lane, Elektrougli, Moscow Oblast, 142455, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Electronic and Mechanical Devices, a.k.a., the following four aliases:
– AO NII Elektronno-Mekhanicheskikh Priborov; 44 Karakozova Street, Penza, Penza Oblast, 440600, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Electronic Engineering Materials, a.k.a., the following three aliases:
– AO Nauchno-Issledovatelskiy Institut Materialov Elektronnoi Tekhniki; 1 Gagarina Street, Kaluga, Kaluga Oblast, 248650, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Gas Discharge Devices Plasma, a.k.a., the following three aliases:
– AO Nauchno-Issledovatelskiy Institut Gazorazriyadnikh Priborov Plazma; 24 Tsiolkovskogo Street, Ryazan, Ryazan Oblast, 390023, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Industrial Television Rastr, a.k.a., the following two aliases:
– AO Nauchno Issledovatelskii Institut Promyshlennogo Televideniya Rastr; – AO NIIPT Rastr. 39 Bolshaya Sankt-Peterburgskaya Street, Veliky Novgorod, Novgorod Oblast, 173001, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific Research Institute of Precision Mechanical Engineering, a.k.a., the following six aliases:
– AO Nauchno-Issledovatelskiy Institut Tochnogo Mashinostroeniya; – NIITM PAO; – OJSC Scientific and Research Institute of Precision Engineering; – Research Institute of Precision Machine Manufacturing; – Scientific and Research Institute of Precision Mechanical Engineering. 10 Panfilovsky Avenue, Zelenograd, Moscow, 124460, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Scientific-Research Institute “Vektor”, Ul. Akademika Pavlova, d. 14-A, Saint Petersburg, 197376, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Joint Stock Company Shipbuilding Corporation Ak Bars, a.k.a., the following three aliases:
– AO SK Ak Bars; – AO Sudostroyitelnaya Korporatsiya Ak Bars; 9a, Zavodskaya Street, Zelenodolsk, Republic of Tatarstan, 422546, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Special Design Bureau of Computer Engineering, a.k.a., the following two aliases:
– AO Spetsialnoe Konstruktorskoe Byuro Vychislitelnoi Tekhniki; 1 Maksima Gorkogo Street, Pskov, Pskov Oblast, 180007, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Special Design Bureau of Control Means, a.k.a., the following two aliases:
– AO Spetsialnoe Proektno-Konstruktorskoe Byuro Sredstv Upravleniya; 9 Vagzhanovski Lane, Office 315, Tver, Tver Oblast, 170100, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Special Design Bureau Turbina, a.k.a., the following three aliases:
– AO SKB Turbina; – AO Spetsialnoe Konstrucktorskoe Byuro Turbina; 2B Lenin Avenue, Chelyabinsk, Chelyabinsk Oblast, 454007, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Special Industrial and Technical Base Zvezdochka., a.k.a., the following one alias:
– SPTB Zvezdochka. 2/7 Komsomolskaya Street, Polyarnyy, Murmansk Oblast 184650, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Special Relay System Design and Engineering Bureau, a.k.a., the following two aliases:
– AO SKTB RT; – AO Spetsialnoe Konstruktorsko-Tekhnologicheskoe Byuro Po Releinoi Tekhnike.
| 55 Nekhinskaya Street, Veliky Novgorod, Novgorod Oblast, 173025, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | |
| Joint Stock Company SPMDB Malachite, a.k.a., the following one alias: – Sankt-Peterburgskoe Morskoe Byuro Mashinostroeniya Malakhit, PAO. 18 Frunze Street, Saint Petersburg, 196135, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company STAR, a.k.a., the following two aliases:
– UEC-STAR; – JSC STAR. 140a Kuybyshev Street, Perm, Perm Krai, 614990, Russia, | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company State Missile Center Named After Akademika V.P. Makeyeva, a.k.a, the following seven aliases:
– JSC Gosudarstvenny Raketny Tsentr Imeni Akademika V.P. Makeeva; – JSC GRTS Makeyeva; – JSC Makeyev Design Bureau; – JSC State Rocket Center Named After Akademika V.P. Makeyeva; – Makeyev State Missile Center; – Makeyev State Rocket Center; 1 Turgoyakskoe Highway, Miass, Chelyabinsk Region, 456300, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company State Scientific Research Institute Kristall, a.k.a., the following four aliases:
– AO GOSNII Kristall; – AO Gosudarstvenny Nauchno-Issledovatelski Institut Kristall; – OJSC Kristall State Research Institute. 6 Zelenaya Street, Dzerzhinsk, Nizhny Novgorod Oblast, 606007, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Svetlana Semiconductors, a.k.a., the following two aliases:
– AO Svetlana Poluprovodniki; – Svetlana Semiconductors Stock Company. 27, Engels Prospect, Saint Petersburg 194156, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Tekhnodinamika, a.k.a., the following three aliases:
– AO Tekhnodinamika; – JSC Aviation Equipment; – JSC Technodynamics. 35 Bolshaya Tatarskaya Street, Building 5, Moscow, 115184, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company the Institute of Electronic Control Computers Named After I.S. Bruk, a.k.a., the following three aliases:
– AO INEUM IM. I.S. Bruk; – Institut Elektronniykh Upravlyayushchikh Mashin IM. I.S. Bruka; 24 Vavilova Street, Moscow, 119334, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Vologda Optical and Mechanical Plant, a.k.a., the following four aliases:
– AO Vologodsky Optiko Mekhanichesky Zavod, – AO VOMZ; – JSC VOMZ; – OAO VOMZ. 54 Maltseva Street, Vologda, Vologda Oblast, 160009, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Voronezh Semiconductor Devices Factory Assembly, a.k.a., the following three aliases:
– AO Voronezhsky Zavod Poluprovodnikovykh Priborov-Sborka; – JSC VZPP-S. 119a Leninsky Avenue, Voronezh, Voronezh Oblast, 394033, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Votkinsk Machine Building Plant
2 Kirov Street, Votkinsk, Udmert Republic, 427430, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Votkinsky Zavod,
2 Kirova Street, Votkinsk, Udmurt Republic, 427430, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Joint Stock Company Vyatka Machine-Building Enterprise Avitek, a.k.a., the following five aliases:
– AO VMP AVITEK; – Avitek Vyatskoe Machine Building Enterprise JSC; – JSC VMP AVITEC; – JSC Vyatskoe Mashinostroitelnoe Predpriyatie Avitek; – Vyatka Machinery Plant Avitec JSC. 1A Oktyabrskiy Avenue, Kirov, Kirov Oblast, 610047, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Yaroslavl Radio Factory, a.k.a., the following two aliases:
– PJSC Yaroslavl Radioworks; – YRZ. 13 Margolina Street, Yaroslavl, 150010, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Joint Stock Company Zelenograd Nanotechnology Center, a.k.a., the following three aliases: – AO ZNTTS; – AO Zelenogradski Nanotekhnologicheski Tsentr; 6 Solnechnaya Alley, Premises IX, Office 17, Zelenograd, Moscow, 124527, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Joint Stock Company Zlatoustovsky Machine Building Plant, a.k.a. the following one alias:
– JSC Zlatmash. 1 Parkovy Proezd, Zlatoust, Chelyabinsk Region, 456227, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| JSC Central Research Institute of Machine Building (JSC TsNIIMash), Pionerskaya Street, 4, korpus 22, Moskovskaya obl., Korolov 141070, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. 87 FR 38925, 6/30/22. | ||
| JSC Element, 12 Presnenskaya Embankment, Office 2024, Moscow, Russia, 123112. | For all items subject to the EAR. (See § 744.11 of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial; Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | ||
| JSC Energiya, 1 Elektrik St., Yelets, Lipetskaya Oblast, 399775, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| JSC GOZ Obukhov Plant, a.k.a., the following one alias: – GOZ Obukhov Plant. Prospekt Obukhovskoi Oboroni 120, Saint Petersburg, 192012, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| JSC Institute of Instrumentation – Novosibirsk Plant Comintern (NPO NIIP-NZIK), Planetnaya Street 32, Novosibirsk, 630015, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| JSC Kazan Helicopter Plant Repair Service, a.k.a., the following two aliases: – Kazanski Vertoletny Zavod Remservis; – KVZ Remservis. Ulitsa Tetsevskaya 14, Kazan, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| JSC Pella-Mash, 4 Tsentralnaya Street, Kirovski District, Otradnoe, Leningradskaya Oblast, Russia, 187330. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| JSC Rocket and Space Centre – Progress, Zemetsa Street 18, Samarskaya Oblast, Samara 443009, Russia. | All items subject to the EAR. See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. 87 FR 38925, 6/30/22. | ||
| JSC Scientific Research Institute of Aircraft Equipment (NIIAO), a.k.a., the following three aliases: – SRIAE; – NIIAO; – Aviation Instrument Scientific Research Institute Tupoleva 18, Zhukovsky, Moscow, 140182, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR). | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| JSC Shipyard Vympel, a.k.a., the following two aliases: – Aktsionernoe Obshchestvo “Sudostroitelny Zavod “Vympel”; – Sudostroitelny Zavod Vympel, Aktsionernoe Obshchestvo. 4 Novaya Street, Rybinsk, Rybinski District, Yaroslavskaya, Russia, 152912. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Kalashnikov Concern, a.k.a., the following eight aliases: – Concern Kalashnikov; – Izhevskiy Mashinostroitel’nyi Zavod OAO; – Izhmash R&D Center; – JSC NPO Izhmash; – NPO Izhmash OAO; – OJSC Concern Kalashnikov; – OJSC Izhmash; – Scientific Production Association Izhmash Joint Stock Company. 3, Derjabin Pr., Izhevsk, Udmurt Republic, 426006, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Kalinin Machine Plant, JSC (a.k.a., Kalinin Machine-Building Plant Open Joint-Stock Company; a.k.a. Kalinin Machinery Plant-BRD; a.k.a. Mashinostroitel’NYI Zavod IM. M.I. Kalinina, G. Yekaterinburg OAO; a.k.a. Mzik OAO; a.k.a. Open-End Joint-Stock Company ‘Kalinin Machinery Plant. YEKATERINBURG’; a.k.a. Otkrytoe Aktsionernoe Obshchestvo Mashinostroitelny Zavod IM.M.I.Kalinina, G.Ekaterinburg)
Address: 18 prospekt Kosmonavtov, Ekaterinburg 620017, Sverdlovskaya obl., Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 55612, 9/17/14. | ||
| Kaliningradnefteprodukt OOO, a.k.a., the following three aliases: – Kaliningradnefteprodukt LLC; – Limited Liability Company Kaliningradnefteproduct; and – LLC Kaliningradnefteproduct 22-b Komsomolskaya Ulitsa, Central District, Kaliningrad, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Kaluga Scientific-Research Institute of Telemechanical Devices JSC, a.k.a., the following one alias: – KNIITMU JSC. 4 Karla Marksa St., Kaluga, 248000, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Kaluga Scientific Research Radio Technology Institute (KRRTI), a.k.a., the following two aliases: – KNIRTI; – KRRTI Lenin Street 2, Zhukov, Kaluga Oblast, 249192, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Kalyazinsky Machine Building Factory – Branch of RSK MiG,
5 Industrialnaya Ultisa, Kalyazin, Tver Oblast, 171573, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| KAMAZ Publicly Traded Company, a.k.a., the following four aliases:
– KAMAZ PJSC; – KAMAZ PAO; – Kamskoe Obedinenie PO Proizvodstvu Bolshegruznykh Avtomobilei Kamaz. 2 Avtozavodskiy Avenue, Naberezhnye Chelny, Republic of Tatarstan, 423827, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Kamchatgazprom, OAO, a.k.a., the following two aliases: – Kamchatgazprom; – Otkrytoe Aktsionernoe Obshchestvo ‘Kamchatgazprom’. d.19 ul.Pogranichnaya, Petropavlovsk-Kamchatski, Kamchatski krai 683032, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Kamensk-Uralsky Metallurgical Works J.S. Co. 5 Zavodskaya St., Kamensk Uralsky, 623405 Sverdlovsk region, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Karst, OOO, a.k.a., the following four aliases: – Construction Holding Company Old City – Karst; – Karst Ltd.; – LLC Karst; – Obshcestvo S Ogranichennoi Otvetstvennostyu Karst D. 4 Litera A Pomeshchenie 69 ul. Kapitanskaya, St. Petersburg 199397, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Kazan Helicopter Plant PJSC, Tetsevskaya St, Kazan 420085, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Keldysh Institute of Applied Mathematics of the Russian Academy of Sciences, a.k.a., the following three aliases:
– Federalnoe Gosudarstvennoe Uchrezhdenie Federalny Issledovatelski Tsentr Institut Prikladnoi Metematiki I.M. Keldysha Rossiiskoi Akademii Nauk; – KIAM RAS. 4 Miusskaya Square, Moscow, 125047, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Kinef OOO, a.k.a., the following three aliases: – Kinef, LLC; – Limited Liability Company Production Association Kirishinefteorgsintez; – LLC Kinef. d. 1 Shosse Entuziastov, Kirishi, Leningradskaya Oblast 187110, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| KingPai Technology Int’l Co., Limited, 3 Gostnichnaya St, Moscow, Russia. (See alternate addresses under China and Vietnam). | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Kirill A Stekhovskiy, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Kirill Drozdov, 86 N Prospect Obukhovskoy Oborony, St. Petersburg, Russia 190000. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Kirill Pechorin Starodvorsky, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Kirishiavtoservis OOO, a.k.a., the following two aliases: – Limited Liability Company Kirishiavtoservis; – LLC Kirishiavtoservis. lit A, 12 Smolenskaya Ulitsa, St. Petersburg 196084. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Kompaniya Gaz-Alyans, OOO, a.k.a., the following three aliases: – Company Gaz-Alliance LLC; – Kompaniya Gaz-Alyans, OOO; – Obshchestvo S Ogranichennoi Otvetstvennostyu Kompaniya Gaz-Alyans. 15 Ul., Svobody, Nizhni Novgorod, Nizhegorodskaya Obl. 603003, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| Komsomolsk-na-Amur Aviation Production Organization (KNAAPO), 1 Sovetskaya Street, Komsomolsk-on-Amur, Khabarovsky Krai, Russia 618018. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Konstruktorskoe Byuro Priborostroeniya Otkrytoe Aktsionernoe Obshchestvo, a.k.a., the following five aliases: – Instrument Design Bureau; – JSC KBP Instrument Design Bureau; – KBP Instrument Design Bureau; – KBP Instrument Design Bureau Joint Stock Company; – KBP OAO. 59 Shcheglovskaya Zaseka ul., Tula 300001, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Kranark LLC, 14 Professora Kachalova Street, Letter A, Saint Petersburg, Russia, 192019. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Krasnoyarskgazprom, PAO, a.k.a., the following two aliases: – Krasnoyarskgazprom; – Publichnoe Aktsionernoe Obshchestvo ‘Krasnoyarskgazprom. d.1 pl.Akademika Kurchatova, Moscow 123182, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Kulon Scientific-Research Institute JSC, a.k.a., the following one alias: – NII Kulon JSC. 14 Murmankiv proezd, Moscow, 129075, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| LabInvest, Remenskoe, Street 100-Y, Svirskoy Division, D 52, 140104, Moscow Oblast, Russia. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Laboratory Systems and Technologies LTD, a.k.a., the following one alias: – LST LTD. Burdenko St., 14 Bld. A 4 Stage, Office 1 Room 3, 119121, Moscow Russia. | For all items subject to the EAR. (See § 744.11) | See §§ 744.2(d), 744.3(d), and 744.4(d) | 87 FR 38925, 6/30/22. | ||
| Lazurnaya, OOO, a.k.a., the following two aliases: – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Lazurnaya’; – “Lazurnaya”. d.103 prospekt Kurortny, Sochi, Krasnodarski krai 354024, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Lengiproneftekhim OOO, a.k.a., the following three aliases: – Institut Po Proektirovaniyu Predpriyaty Neftepererabatyvayuschey I Neftekhimicheskoy Promyshlennosti, Limited Liability Company; – Limited Liability Company Oil Refining and Petrochemical Facilities Design Institute; – LLC Lengiproneftekhim. d. 94, Obvodnogo Kanala, nab, St. Petersburg 196084, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Lev Anatolyevich Yershov (Ershov), Ul. Tsvetochnaya, d.25, k.3, St. Petersburg, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Limited Liability Company Center for Specialized Production OSK Propulsion, a.k.a., the following one alias:
– OSK Propulsion. 3 Galerny Proezd, Letter A, Pomesh. 75, Gavan Vn. Ter. G. Municipal Okrug, Saint Petersburg, 199226, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Limited Liability Company Concord Management and Consulting, a.k.a. the following three aliases: – Konkord Menedzhment I Konsalting, OOO; – LLC Concord Management and Consulting; – Obshchestvo S Ogrannichennoi Otvetstvennostyu Konkord Menedzhment I Konsalting d. 13 Litera A, Pom. 2-N N4, Naberezhnaya Reki Fontanki, St. Petersburg 191011, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. 84 FR 40241, 8/14/19. | ||
| Limited Liability Company Foreign Economic Association Technopromexport, a.k.a., the following three aliases: – Obschestvo S Ogranichennoi Otvestvennostyu Vneshneekonomicheskoe Obedinenie Tekhnopromeksport; – OOO VO Technopromexport; – OOO VO TPE. Novyi Arbat Str. 15, Building 2, Moscow 119019, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| Limited Liability Company Research and Production Association Radiovolna, a.k.a., the following three aliases:
– LLC NPO Radiovolna; – OOO Nauchno-Proizvodstvennoe Obedinenie Radiovolna; 3 22nd Liniya, Building 1M, Premises 1N, Office 618, Vasilevskiy Island, Municipal District No. 7, Saint Petersburg, 199106, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Limited Liability Company RSB-Group, a.k.a., the following four aliases:
– LLC Intelligence Technologies; – OOO RSB-Grupp; – Russian Security Systems. 3 Dnepropetrovskaya Street, Building 5, Floor 1, Premises III, Room 8, Office 6-6, Moscow, 117525, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| LLC Center, 21 Yablochkova Street, Building 3, Floor 3, Premise VIII, Room 1L, Moscow, Russia, 127322. | For all items subject to the EAR. (See § 744.11) of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| LLC Fibersense, a.k.a., the following two aliases:
– LLC Fibersens; – OOO Fibersense. 6A Sosnovaya Alley, Building 5, Zelenograd, Moscow, 124489, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3). of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| LLC Koksokhimtrans, a.k.a., the following one alias: – Koksokhimtrans Ltd. Rakhmanovskiy lane, 4, bld.1, Morskoy House, Moscow 127994, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| LLC Ruschemtrade, St. Mashinostroitelnyj, 3, Rostov-on-Don 344090, Russia; and 86/1, Temryuk, Krasnodar 353500, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Lukoil, OAO (a.k.a. Lukoil; a.k.a. Lukoil Oil Company; a.k.a. Neftyanaya Kompaniya Lukoil OOO; a.k.a. NK Lukoil OAO) Address: 11 Sretenski boulevard, Moscow 101000, Russia | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 79 FR 55612, 9/17/14. | ||
| Lutch Design Office JSC, a.k.a., the following three aliases: – Lutch Design Bureau JCS; – Lutch JSC; – KB-Lutch. 25 Pobeda Blvd. Rybinsk, Yaroslavskaya Oblast, 152920, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Lytkarino Machine-Building Plant, a.k.a., the following one alias:
– Branch of UEC-UMPO Lytkarino Machine-Building Plant. Turaevo Promzona, Building 9, Lytkarino, Moscow Oblast 140080, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Lyudmila V Talyanova, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Magnetar, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Main Directorate of Deep-Sea Research, a.k.a., the following three aliases: – GUGI; – Hydrographic Service of the Navy; – Department of Navigation and Oceanography of the Ministry of Defense of the Russian Federation. 8, 11 line of Vasilievsky Island, St. Petersburg, 199034 Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Main Intelligence Directorate, a.k.a., the following three aliases – Glavnoe Razvedyvatel’noe Upravlenie; – GRU; – Main Intelligence Department. Khoroshevskoye Shosse 76, Khodinka, Moscow, Russia; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial. See §§ 746.8(b) and 744.21(e) | 82 FR 724, 1/4/17. 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Margarita Vasilyevna Kuznetsova, Udaltsova 85A 210, Moscow, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Mariya Lomova, 9 Lipovaya alleya, St. Petersburg, Russia 197183. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mark Gofman, P.O. Box 242, St. Petersburg, Russia 196240. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Maxim Yevgenevich Ivakin, 106 Kuybyshev Str, Office 68, Yekaterinburg, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| MaxiTechGroup, a.k.a., the following two aliases: – MaksiTekhGrup; – JSC MaksiTekhGrup, 4 Pokhodnyy Dr, Bldg 1, 4th floor, Room 417, Moscow, Russia 125373; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| MCST Lebedev, a.k.a., the following three aliases: – Moscow Center of SPARC Technologies; – AO MTSST; – ZAO Elbrus-MCST. 1 Nagatinskaya Street, Moscow, 117105, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Media-Invest OOO, a.k.a., the following two aliases: – Limited Liability Company Media-Invest; – LLC Media-Invest. 17 Bld 1 Zubovsky Blvd, Moscow 119847, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Megel, 26 General Belov St, Office 1010, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mekom, a.k.a., the following one alias: – Mecom, Ulitsa Mitinskaya 36/1, Moscow, Russia 125430. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Melkom, a.k.a., the following two aliases: – Melcom; – Melkom JSC, Ulitsa Ordzhonikidze 10, Moscow, Russia 119071; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Meteor Plant JSC, a.k.a., the following two aliases:
– AO Zavod Meteor; – Joint Stock Company Meteor Plant. 1 Gorkogo Street Volzhskiy, Volgograd Oblast, 404130, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 87 FR 20299, 4/7/22.
87 FR 34136, 6/6/22. 88 FR 12158, 2/27/23. | ||
| Miass Machine-Building Factory, a.k.a., the following two aliases: – AO Miasskiy mashinostroitelnyy zavod; – JSC MMZ. 1 Turgoyakskoye Highway, Miass, Chelyabinksaya Oblast, Russia, 456300. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| MicroComponent LLC, 2/1, 4th Zapadny proezd, Zelenograd, Russia 124460; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Microelectronic Research and Development Center Novosibirsk, a.k.a. the following two aliases: – KTIPM; – IFP KTIPM SO RAN. 8 Nikolayeva Street, Novosibirsk, Russia,630090; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| MIG Engineering, a.k.a., the following one alias: – MIG Electronics, 26 General Belov Str, Office 1010, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mikhail Davidovich, a.k.a., the following one alias: – Mike Davidovich, P.O. Box 242, St. Petersburg, Russia 196240. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mikhail Karpushin, 5A North Street, Saransk, Republic of Mordovia, Russia 43006; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Mikhail Vinogradov, 4 Pokhodnyy Dr, Bldg 1, 4th Floor, Room 417, Moscow, Russia 125373. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Milandr EK OOO, Georgievskiy Prospekt, 5, Floor 2, Room 40, Zelenograd, Moscow, 124498, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Milandr ICC JSC, Office 38, Premises 1, 2nd Floor, 5, Georgievskiy Prospekt, Zelenograd, 124498, Moscow, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Milur IS, OOO, Georgievskiy Prospekt, 5, Zelenograd, Moscow, 124498, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Ministry of Defence of the Russian Federation, including the Armed Forces of Russia and all operating units wherever located. This includes the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations of the Russian Federation.
All address located in Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR). The license requirements under this entry also extend to any export, reexport and transfer (in-country) to the entity wherever located worldwide | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Mitishinskiy Scientific Research Institute of Radio Measuring Instruments, a.k.a., the following seven aliases:
– Federalnoe Gosudarstvennoe Byudzhetnoe Uchrezhdenie Vserossiiskii Nauchno-Issledovatelskii Institut Radioelektroniki; mdash;Federal State Unitary Enterprise MNIIRIP; – FGBU VNIIR; – FGBU Vserossiiskii Nauchno-Issledovatelskii Institut Radioelektroniki; – FGUP MNIIRIP, – FSBI VNIIR; – Mytishchi Research Institute for RF Measurement Instruments. 2A Kolpakova Street, Building B1, Floor 3, Office 86,87, Mytishchi, Moscow Oblast, 141002, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR FR 12158, 2/27/23. | ||
| Molot-Oruzhie, OOO, a.k.a., the following one alias: – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Molot-Oruzhie’ (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu Proizvodstvenno Instrument Kachestvo) 135 ul. Lenina, Vyatskie Polyany, Kirov Obl. 612960, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Moscow Aviation Institute, a.k.a., the following one alias:
– MAI. 4 Volokolamskoe Shosse, Moscow1 125993, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Moscow Communications Research Institute JSC, a.k.a., the following one alias: – MNIIS JSC. 34 Kutuzovsky prospect, Moscow, Russia, 121170; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Moscow Institute of Physics and Technology, a.k.a., the following two aliases: – MIPT; – MFTI. Dolgoprudny Campus: 9 Institutskiy per., Dolgoprudny, Moscow Region 141701, Russia; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Moscow Institute of Thermal Technology, a.k.a., the following four aliases:
– AO Koporatsiya Moskovskiy Institut Teplotekhniki; – JSC Corporation MIHT; – JSC Corporation Moscow Institute of Heat Technology; – MITT. 10 Berezovaya Alley, Moscow, 127273, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 87 FR 60066, 10/4/22.
88 FR 12158, 2/27/23. | ||
| Moscow Order of the Red Banner of Labor Research Radio Engineering Institute JSC, a.k.a., the following one alias: – MNIRTI JSC. 2/1 Boshoy Trehsvyatitelskiy per., Moscow, 109028, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| MPI VOLNA, a.k.a., the following two aliases: – Mashpriborintorg-Volna; – Mashpriborintorg Wave. 4A Plekhanova Street, Unit XII, Floor 2, Moscow, Russia, 111123; | For all items subject to the EAR. (See § 744.11of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Mytishchinski Mashinostroitelny Zavod, OAO (a.k.a., JSC Mytishchinski Machine-Building Plant; a.k.a. Otkrytoe Aktsionernoe Obshchestvo ‘Mytishchinski Mashinostroitelny ZAVOD’)
Address: 4 ul. Kolontsova Mytishchi, Mytishchinski Raion, Moskovskayaobl 141009, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 55612, 9/17/14. | ||
| N.A. Dollezhal Order of Lenin Research and Design Institute of Power Engineering, a.k.a., the following two aliases: – JSC Order of Lenin Research and Design Institute of Energy Engineering named after N. A. Dollezhal; – JSC NIKIET. 2/8 Krasnosel’skaya Street, Moscow, Russia, 107140. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Nasosy Ampika, 3-ya Institutskaya St. Bld. 15 Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| National Research Center Kurchatov Institute, a.k.a., the following two aliases:
– The Kurchatov Institute; – NITs Kurchatovsky Institute. 1 Akademika Kurchatova Square, Moscow, 123182, Russia. | For all items subject to the EAR (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Neft-Aktiv LLC, a.k.a., the following two aliases: – OOO Neft – Aktiv; – RN-Aktiv OOO. Ulica Kaluzhskaya M., d., 15, str. 28, Moscow 119071, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| Nerpa Shipyard, a.k.a., the following one alias: – SRZ Nerpa. Snezhnogorsk, Murmansk Region, Russia, 184682. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Neva Electronica, a.k.a., the following one alias: – Neva Elektronika, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Niigazekonomika, OOO, a.k.a., the following two aliases: – Niigazeconomika; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Nauchnoissledovatelski Institut Ekonomiki I Organizatsii Upravleniya V Gazovoipromyshlennosti’. d. 20 korp. 8 ul. Staraya Basmannaya, Moscow 107066, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Nikolai Bragin, 2A Chernyshevskogo St., St. Petersburg, Russia 191123; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Nilco Group, a.k.a., the following one alias: – Nilfam Khazar Co. Unit 439, 2 Mozhayskoe Road, Moscow, Russia (see alternate addresses under Belarus and Iran). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| NM-Tekh, 4A Solnechnaya, House 6, Floor 1, Apartment XII, Office 4, Zelenograd, Moscow Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Nova Technologies, a.k.a., the following five aliases: – Novie Technologies; – Nova SPB; – New Technology; – Nova Technologies Co., Ltd.; – Novyye Tekhnologii, LLC, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Novgorodnefteprodukt OOO, a.k.a., the following three aliases: – Limited Liability Company Novgorodnefteproduct; – LLC Novgorodnefteproduct; – Novgorodnefteprodukt LLC. d. 20 Germana Ulitsa, Veliky Novgorod, Novgorodskaya Oblast 173002, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Novorossiysk Shipyard JSC, a.k.a., the following two aliases: – OAO Novosrossiyskiy sudoremontnyy zavod; – JSC NSRZ. Sukhumskoye Highway, Novorossiysk, Krasnodarskiy Krai, Russia, 353902. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| NPC Granat, 22 Polytechnicheskaya Street, Saint Petersburg, Russia 194021. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| NPO Electronic Systems, a.k.a., the following three aliases: – NPO Electric Systems; – NPO Elektronnye Sistemy; – NPOS ES. 6 Kievskaya Street, St. Petersburg, Russia, 196084. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| NPO High Precision Systems JSC, Kievskaya Street 7, Moscow, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| NPO Splav JSC, 33 ul. Shcheglov Kaya Zaseka Tula, 300004 Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| NPP Istok, 19 Zavodskaya, Chernukha, Arzamasski District, Nizhegorodskaya Oblast, Russia, 607210; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| NPP Start, a.k.a., the following one alias: – NPP Start AE Yaskina. 24 Pribaltiskaya St., Yekaterinburg, 620007, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| NTC Metrotek, a.k.a., the following four aliases: – Metrotek; – Metrotek Inzhiniring; – Nauchno-Tekhnicheskee Tsentr Metrotek; – NTTS Metrotek. 21 Yablochkova Street, Moscow, Russia, 127322; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Nuclin LLC, Serebryakova Proezd 14 Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| OAO All-Russia Research Institute of Radio Equipment (JSC VNIIRA), a.k.a., the following three aliases: – OJSC VNIIRA; – OAO All-Russia Research Institute of Radio Technology; – All-Russian Scientific Research Institute of Radio Equipment Shkipersky Protok 19, V.I. St. Petersburg, 199106, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| OAO GosNIIkhimanalit, a.k.a., the following one alias: – State Research Chemical-Analytical Institute. 17 Bumazhnaya Street, St. Petersburg, Russia, 190020. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OAO Radiofizika, a.k.a., the following one alias: – PJSC Radiophysics. 10 Geroyev Panfilov St., Moscow, 125363, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| OAO Ship Repair Center ‘Zvezdochka’, a.k.a., the following four aliases: – ‘Zvezdochka’ Shipyard; – AO Ship Repair Center ‘Zvezdochka’; – Joint Stock Company Ship Repair Center ‘Zvezdochka;’ – Ship Repair Center Zvezdochka. 12, proyezd Mashinostroiteley, Severodvinsk, Arkhangelskaya Oblast 164509, Russia. (See alternate address in Crimea region of Ukraine). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OAO Svetlovskoye Predpriyatiye Era, a.k.a., the following two aliases: – JSC Svetlovskoye Predpriyatiye Era; – SP Era. 1 L. Chaikinoi St., Svetly, Kaliningradskaya obl., 238340, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OAO Volgogradneftemash (f.k.a. Dochernee Aktsionernoe Obshchestvo Otkrytogo Tipa Volgogradneftemash Rossiiskogo Aktsionernogo Obshchestva Gazprom), a.k.a., the following two aliases: – JSC Volgogradneftemash; – Otkrytoe Aktsionernoe Obshchestvo Volgogradneftemash 45 Ulitsa Elektrolesovskaya, Volgograd, Volgogradskaya Oblast 400011, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Obninsk Research and Production Enterprise (ORPE), a.k.a., the following four aliases:
– AO Obninskoe NPP Tekhnologiya IM. A.G. Romashina; – AO ONPP Tekhnologiya IM. A.G. Romashina; – Joint Stock Company Obninsk Research and Production Enterprise Technologiya Named After A.G. Romashin; – JSC ORPE Technology Named After A.G. Romashin. 15 Kievskoe Highway, Obninsk, Kaluga Oblast, 249031, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 83 FR 48534, 9/26/18.
84 FR 40241, 8/14/19. 88 FR 12158, 2/27/23. | ||
| Oboronlogistika, OOO, a.k.a., the following four aliases: – Oboronlogistics Limited Liability Company; – Oboronlogistics LLC; – Oboronlogistika LLC; – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘Oboronlogistika’ d. 18 str. 3 prospekt Komsomolski, Moscow 119021, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Oboronprom OJSC, 29/141 Vereiskaya Street, Moscow, 121357 Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Obshchestvo S Ogranichennoi Otvetstvennostyu NEOBIT, a.k.a., the following one alias: – NEOBIT, OOO. d. 21 litera G, ul. Gzhatskaya, St. Petersburg, 195220, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 37903, 7/19/21. | ||
| Oceanos, 19/2 Esenina Street, Saint Petersburg, 194295, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| OJSC Achinsk Refinery, a.k.a., the following two aliases: – Achinsk Refinery; – OAO Achinsk Oil Refinery VNK. Achinsk Refinery industrial area, Bolsheuluisky district, Krasnoyarsk territory 662110, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Angarsk Petrochemical Company, a.k.a., the following one alias: – Angarsk Refinery. Angarsk, Irkutsk region 665830, Russia; | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Kuybyshev Refinery, a.k.a., the following two aliases: – Kuibyshev Refinery; – OJSC Kuibyshev Refinery. 25 Groznenskaya st., Samara 443004, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Novokuybyshev Refinery, a.k.a., the following one alias: – Novokuibyshevsk Refinery. Novokuibyshevsk, Samara region 446207, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Orenburgneft, a.k.a., the following two aliases: – OAO JSC Orenburgneft; – Orenburgneft. Magistralnaya St., 2, Buzuluk, the Orenburg Region 461040, Russia; | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Pella Shipyard, a.k.a., the following one alias: – OJSC Leningrad Shipyard Pella. 4 Tsentralnaya St., Kirovski raion, Otradnoe, Leningradskaya Obl., 187330, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| OJSC RN Holding, a.k.a., the following one alias: – RN Holding OAO. 60 Oktyabrskaya ul., Uvat 626170, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Samotlorneftegaz, a.k.a., the following two aliases: – Samotlorneftegaz; – Samotlorneftegaz JSC. Lenina St. 4, the Tyumen Region, Khanty-Mansiysk, Autonomous District, Nizhnevartovsk 628606, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC Sovfracht, a.k.a., the following three aliases: – PJSC ‘Sovfracht’; – Sovfracht JSC; – Sovfrakht. Rakhmanovskiy lane, 4, bld.1, Morskoy House, Moscow 127994, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OJSC Syzran Refinery, a.k.a., the following two aliases: – Open Joint-Stock Oil and Gas Company Syzran; – Syzran Refinery. 1 Astrakhanskaya st., Syzran, Samara region 446009, Russia; | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| OJSC TSRY, a.k.a., the following one alias: – OJSC Tuapse Ship Repair Plant. 11 Maksima Gorkogo Street, Tuapsinski District, Tuapse, Krasnodarski Krai, Russia, 352800. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OJSC Ural Production Company Vector (UPP Vector), a.k.a., the following two aliases: – JSC ‘SCP’ Vector; – JSC PPM Vector Gagarin Street 28, Ekaterinburg, 620078, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Oksana Timohina, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Oleg Koshkin, 26 General Belov St Office 415, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Oleg Kunilov, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olga Naumova, 53 Sherbakovskaya St, Bldg 3, Moscow, Russia 105187; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olga Pakhmutova, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olga Petrovna Kuznetsova, 33 Ulitsa Marshala Tukhachevskogo, Suite 231 Moscow, Russia 123154; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olga Ruzmanova, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olga V Bobrikova, 8 Pushkinskaya St., Apt. #47, St. Petersburg, Russia 196607; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Olid Ltd., a.k.a., the following one alias: – OOO Solid ul Mira 4, Novorossiysk, Krasnodarskiy kray 630024, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Omsk Motor-Manufacturing Design Bureau, a.k.a., the following four aliases:
– FL UEC-Saturn – OMKB; – Omsk Engine Design Bureau; – Branch of PAO UEC-Saturn Omsk Motor-Manufacturing Design Bureau; – Omskoe mashinstroitel’noe KB. 163 Lenin avenue, Yaroslavl region, Rybinsk, 152903, Russia | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Omsk Production Union Irtysh JSC, a.k.a., the following one alias: – OmPO Irtysh. 18 Gurt’yeva St., Omsk, 644060, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Omsk Scientific-Research Institute of Instrument Engineering JSC, a.k.a., the following one alias: – JSC ONIP. 231 Maslennikova St., Omsk, 644009, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| OOO Adis, 48 Prospekt Makeeva, Miass, Chelyabinskaya Oblast, 4563200, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 88 FR 12158, 2/27/23. | ||
| OOO Analit Products, 26th-line V.O., dom. 15/2 lit. A, office 9.06, St. Petersburg, Russia 199106. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| OOO ‘DSK’, a.k.a., the following one alias: – OOO ‘Dorozhnaya Stroitelnaya Kompania’.’ Stroitelnaya Street, 34, village of Kesova Gora, Tver Oblast 171470, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OOO Elkomtekh (Elkomtex), Shkapina Street, 32/34 D, St. Petersburg, Russia 198095. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OOO Intertech Instruments, a.k.a., the following one alias: – Intertek Instruments. 3/2 Novopeschanaya Street, Moscow, Russia 125057. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| (OOO) Microelectronic Production Complex (MPK) Milandr, Georgievskiy Prospekt, 5, Floor 3, Room 1, Room 13, Zelenograd, Moscow, 124498, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| OOO Planar, Office 1, Dom 76, Likhvintseva St., Izhevsk, Republic of Udmurt, Russia 426034; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OOO Sertal, a.k.a., the following three aliases: – Sernia; – Serniya; – Sertal LLC. 21 Yablochkova Street, Building 3, Floor 3, Apartment VIII, Room 11, Moscow, Russia, 27322. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| OOO Sovtest Comp, a.k.a., the following one alias: – SOVTEST. Sokolovo-Meshcherskaya Street, Building 14, Office 9, 125466 Moscow, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| OOO ‘STG-EKO’, a.k.a., the following one alias: – ‘STG-EKO’ LLC. Street Zastavskaya Building 22, Part A, Saint Petersburg 196084, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| OOO Teson, a.k.a., the following one alias: – OOO TecoH. D. 65 Korp. 1, Ul. Profsoyuznaya Moscow, 117342 Russia; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| OOO Trade-Component, a.k.a., the following one alias: – Treyd Komponent Tikhvinsky Lane, Building 11, Bldg 2, Room 29 127055 Moscow City, Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Open Joint Stock Company 20 Aviation Repair Plant, a.k.a., the following one alias:
– 20 ARZ. 11 Gatchinskoye Shosse, Pushkin, Saint Petersburg, 196603, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 32 Repair Plant of Flight Support Equipment, a.k.a., the following one alias:
– 32 RZ SOP. 10 Gospitalnaya Street, Spassk-Dalny, Primorsky Krai, 692243, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 170 Flight Support Equipment Repair Plant, a.k.a., the following one alias:
– 170 RZ SOP. 2 Meditsinskaya Street, Nizhny Novgorod, Nizhny Novgorod Oblast, 603104, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 275 Aviation Repair Plant, a.k.a., the following one alias:
– 275 ARZ. 141 Imeno Dzherzhinskogo Street, Krasnodar, Krasnodar Krai, 350051, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 308 Aviation Repair Plant, a.k.a., the following one alias:
– 308 ARZ. 118-V Lezhnevskaya Street, Ivanovo, Ivanov Oblast, 153035, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 322 Aviation Repair Plant, a.k.a., the following one alias:
– 322 ARZ. 5 Zhukovskogo Street, Vozdvizhenka, Ussuriisky district, Primorsky Krai, 692557, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 325 Aviation Repair Plant, a.k.a., the following one alias:
– 325 ARZ. 42 Tsiolkovskogo Street, Taganrog, Rostov Oblast, 347916, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 680 Aircraft Repair Plant, a.k.a., the following one alias:
– 680 ARZ. 2a Bazarnaya Street, Apartment 2, Belogorsk, Amur Oblast, 676853, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Open Joint Stock Company 720 Special Flight Support Equipment Repair Plant, a.k.a., the following one alias:
– 720 RZ SOP. 6 Krasnoarmeyskaya Street, Roslavl, Roslavlsky Region, Smolensk Oblast, 216507, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60022, 10/4/22. | ||
| Open Joint Stock Company Aviadvigatel, a.k.a., the following one alias: – AVI. Komsomolsky Prospekt 93, Perm, 614990, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Open Joint Stock Company Ilyushin Aviation Complex, a.k.a., the following nine aliases:
– AK Imeni S.V. Ilyshina AO; – JSC Ilyushin Aviation Complex; – OAO Ilyushin Aviation Complex; – OJSC IL; – OJSC Ilyushin Aviation Complex; – PAO Aviatsionny Kompleks IM. S.V. Ilyushin a; – PAO IL; – PJSC IL; – PJSC Ilyushin Aviation Complex. 45G Leningradsky Avenue, Moscow, 125190, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Open Joint Stock Company Information Technology and Communication Systems, a.k.a., the following two aliases: – OJSC Infoteks; – OJSC Infotecs. Proezd Petrovsko-Razumovski Star, d. 1/23 str. 1 Business Center “Vympel,” Moscow, 127287, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Open Joint Stock Company Khabarovsk Radio Engineering Plant, a.k.a., the following five aliases:
– AO Khabarovskiy Radiotekhnicheskiy Zavod; – AO KHRTZ – JSC Khabarovsk Radio Engineering Plant; – KHRTZ PAO; – OAO KHRTZ. 8 Kedrovy Lane, Building V, Khabarovsk, Khabarovsk Territory, 680041, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Open Joint Stock Company Kontsern Izhmash, a.k.a., the following one alias: – OJSC Kontsern Izhmash. 3 Deryabin Proezd, Izhevsk, Udmurt Republic 426006, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Open Joint Stock Company Mariyskiy Machine-Building Plant, a.k.a., the following six aliases:
– AO Mariyskiy Mashinostroitelnyi Zavod; – AO MMZ; – JSC Mari Machine Building Plant; – MARI MMZ; – OAO Mariyskiy Mashinostroitelnyy Zavod; – OAO MMZ. 15 Suvorova Street, Yoshkar-Ola, Republic of Mari-El, 424003, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Open Joint Stock Company Scientific and Production Corporation of Precision Instruments Engineering (NPK-SPP), a.k.a., the following one alias: – OJC RPC PSI. Aviamotornaya Ulitsa 53, Moscow, 111024, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Open Joint Stock Company Scientific and Production Enterprise Pulsar, a.k.a., the following seven aliases:
– AO Nauchno-Proizvodstvennoe Predpriyatie Pulsar; – AO NPP Pulsar; – Enterprise SPE Pulsar JSC; – JSC NPP Pulsar; – JSC SPC Pulsar; – OAO NPP Pulsar; – SPE Pulsar. 27 Okruzhnoy Drive, Moscow, 105187, Russia | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Open Joint Stock Company Volgograd Radio-Technical Equipment Plant, a.k.a., the following one alias:
– VZ RTO. 60 Novodvinskaya Street, Volgograd, Volgograd Oblast, 400010, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Optron JSC, 53 Sherbakovskaya St., Office 37, Moscow, 105187, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Otkrytoe Aktsionernoe Obshchestvo Vneshneekonomicheskoe Obedinenie Tekhnopromeksport, a.k.a., the following seven aliases: – Joint Stock Company Foreign Economic Association Tekhnopromexport; – JSC Tekhnopromexport; – JSC Vo Tekhnopromexport; – OJSC Technopromexport; – Open Joint Stock Company Foreign Economic Association Tekhnopromexport; – VO Tekhnopromeksport, OAO; – “JSC TPE” d. 15 str. 2 ul. Novy Arbat, Moscow 119019, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Papilon Systems Limited Liability Company, a.k.a., the following one alias:
– OOO Sistemy Papilon. | For all items subject to the EAR. (See § 744.11 of the EAR)
48 Prospekt Makeeva, Miass, Chelyabinskaya Oblast, 4563200, Russia. | Presumption of denial | 88 FR 12158, 2/27/23. | ||
| Pavel Grishanovich, 9 Lipovaya alleya, St. Petersburg, Russia 197183. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| P.A. Voronin Lukhovitsk Aviation Plant, branch of RSK MiG, a.k.a., the following one alias: – LAZ. Lukhovitsy District, Moscow Region, 140500, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Petersburg Electronic Company (PEC), LLC, a.k.a., the following one alias: – Petersburg Electron-Komplekt Ltd., Zastavskaya St 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Petersburg Electronic Company Warehouse, Zastavskaya St. 15-B, St. Petersburg, Russia 196084. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Pharmcontract GC, a.k.a., the following one alias: – Farmkontract GC. Dubininskaya Street, 57/2, Office 306, 115054, Moscow, Russia. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Photon Pro LLP, a.k.a., the following one alias: – Photon Pro. 3 Lodygina Street, Saransk, Mordovia Republic, Russia, 430034. B443 (See alternative address under United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| PJSC Beriev Aircraft Company, 1 Aviatorov Square, Taganrog 347923, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| PJSC Irkut Corporation, Regional Aircraft 26 Leninskaya Sloboda, Moscow 115280, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| PJSC Kazan Helicopters, Tetsevskaya Street, 14, Kazan, Tatarstan Republic 420085, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| PJSC Mikron, 1st Zapadniy Proezd 12/1, Zelenograd, Russia, 124460 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. 83 FR 44824, 9/4/18. | ||
| PJSC Mostotrest, a.k.a., the following four aliases: – Mostotrest; – Mostotrest, PAO; – Open Joint Stock Company `Mostotrest’; – Public Joint Stock Company Mostotrest. 6 Barklaya str., bld. 5, Moscow 121087, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| PJSC Power Machines, a.k.a., the following three aliases: – Open Joint Stock Company Power Machines – ZTL, LMZ, Electrosila, Energomachexport; – Publichnoe Aktsionernoe Obshchestvo Silovye Mashiny – ZTL, LMZ, Elektrosila, Energomasheksport; – Silovye Mashiny, PAO. 3A Vatutina St., St. Petersburg 195009, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| PJSC Verkhnechonskneftegaz, a.k.a., the following two aliases: – OJSC Verkhnechonskneftegaz; – Verkhnechonskneftegaz. Baikalskaya St., 295 B, Irkutsk 664050, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| PJSC Zvezda, 123 Babushkina Street, St. Petersburg, Russia, 192012. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Polyot Chelyabinsk Radio Plant JSC, a.k.a., the following one alias: – ChRZ Polyot (flight) JSC. 6 Ternopol’skaya St., Chelyabinsk, 454126, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| POLYUS Research Institute of M.F. Stelmakh Joint Stock Company, Building 1, 3 Vvedenskogo Street, Moscow, 117342, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Positive Technologies, 8 Preobrzhenskaya Square, Moscow, Russia 107061. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 60760, 11/4/21. | ||
| Private Military Company ‘Wagner’, a.k.a., the following five aliases:
– Chastnaya Voennaya Kompaniya ‘Vagner’; – Chvk Vagner; – PMC Wagner; – Wagner Group; – Vagner Group. 15 Zolnaya Street, Saint Petersburg, 195213, Russia | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR). The license requirements under this entry also extend to any export, reexport and transfer (in-country) to the entity wherever located worldwide | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 82 FR 28408, 6/22/17. 87 FR 78857, 12/23/22. | ||
| Production Association Strela, 26 Shevchenko Street, Orenburg, Russia, 460005. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| ProExCom, Ulitsa Artyukhina 6B, 106, Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Promtech-Dubna, JSC, Programmistov st., 4, room 364, Dubna, Moscow 141983, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Promtekhkomplekt JSC, a.k.a., the following four aliases:
– AO TipoMTeXKOMirneKT; – Promtech Komplekt; – Promtekhkomplekt; – Promtekhkomplekt Joint Stock Company. MKAD Greenwood Business Park building 9 floor 3, pos. Putilko o, 69 km., Moscow region, 143441, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 12171, 2/27/23. | ||
| Pskov Distance Communications Equipment Plant, a.k.a., the following two aliases: – Pskov Plant ADS JSC; – Pskov Distance Communications Equipment (ADS) Plant JSC. 4 Yuri Gagarin Street, Pskov, Pskovskaya Oblast, 180004, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Pskovnefteprodukt OOO, a.k.a., the following two aliases: – Limited Liability Company Marketing Association Pskovnefteproduct; – LLC Pskovnefteproduct. 4 Oktyabrsky Prospekt, Pskov 180000, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Public Joint Stock Company Agregat, a.k.a., the following one alias:
– PJSC Agregat. 1 Pushkin Street, Sim, Ashinsk Region, Chelyabinsk Oblast, 456020, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Public Joint Stock Company Kremny, a.k.a., the following five aliases:
– AO Gruppa Kremny EL; – CJSC Kremny AI Group; – JSC Gruppa Kremny EL; – Kremny Marketing; – Kremny Group; – PAO Kremni. 103 Krasnoarmeyskaya Street, Bryansk, Bryansk Oblast, 241037, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Public Joint Stock Company Megafon, a.k.a., the following three aliases:
– Megafon; – PAO Megafon; – PJSC Megafon. 41 Oruzheiny Lane, Moscow, 127006, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Public Joint Stock Company Tutaev Motor Plant, a.k.a., the following three aliases:
– OAO Tutaevski Motorny Zavod; – PAO TMZ; – PAO Tutaevski Motorny Zavod. 1 Stroitelei Street, Tutayev, Yaroslavl Oblast, 152303, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Public Joint Stock Company United Aircraft Corporation, Bolshaya Pionerskaya, Moscow 115054, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Public Joint Stock Company Voronezh Joint Stock Aircraft Company, a.k.a., the following one alias: – VASO. 27 Tsiolkovsk Street, Vornezh, 394029, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Public Joint Stock Company Vympel Interstate Corporation, a.k.a., the following six aliases:
– JSC MAC Vympel; – PAO MAK Vympel; – PAO Mezhgosudarstvennaya Aktsionernaya Korporatsiya Vympel; – Vimpel; – Vympel Interstate Commercial Corporation; – Vympel MAK PAO Defense Corporation. 10 Geroyev Panfilovtsev Street, Building 1, Moscow, 125480, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Radel Ltd., a.k.a., the following one alias: – Firm Radel Ltd., 20 Novaya Basmannaya St., Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Radiant Group of Companies, a.k.a., the following three aliases: – Radiant Group; – Radiant Elkom; – Radiant Electronic Components. D. 65 Korp. 1, Ul. Profsoyuznaya Moscow, 117342 Russia. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Radio Technical Institute named after A. L. Mints, a.k.a., the following two aliases: – Academician A.L. Mints Radiotechnical Institute; – Mints Radio-Technical Institute. 10/1 8th March St., North Administrative Okrug, Moscow, 127083, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Radioavtomatika, a.k.a., the following one alias: – Testprecision LLC. 33 Gagarina, Reutov, Moscow Oblast, Russia, 143966; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial; Case-by-case basis for U.S. Government supported space programs | 87 FR 13143, 3/9/22. | ||
| Radiotechnical and Information Systems (RTI) Concern, 127083, Moscow, 8 marta, 10/1 Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Radiozavod JSC, 1 Baydukova Street, Penza, Penzenskaya Oblast, 440015, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Ramil Yarullovich Magzhanov, Zastavskaya St 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Rapart Services LLC, Aeroportovskaya str. 6/2, Solnechnogorskiy region, Dubrobki, 141580, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Rau Farm, a.k.a., the following three aliases: – Raw Farm; – Rau Pharm; – Raw Pharm. Petro-Razumovskaya Alley 18, Moscow, Russia; | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Ravil Mukminovich Bagautdinov, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Razryad JSC, 233 Kosta Avenue, Vladikavkaz, Severnaya Ossetia-Alania Republic, 362035, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| RCM Group, 6 Aptekarskiy Prospekt, Office 700, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Regionsnab, 129327 ul. Lenskaya 2/21, Suite III, Moscow, Russia. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Research and Production Association KVANT, a.k.a., the following one alias: – NPO Kvant Bolshaya Saint Petersburg 73, Velikii-Novgorod 173003, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Research and Production Association M.V. Frunze, a.k.a., the following two aliases: – NNPO Frunze; – NZIF Gagarin Prospect 174, Nizhny Novgorod, 606950, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Research Center Module, a.k.a., the following two aliases: – NTTs Science and Technology Research Center Module; – CJSC STC Module. 3 8 Marta 4th Street, Moscow, Russia, 123557. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Research Production Association Mars, a.k.a., the following two aliases: – RPA Mars; – NPO Mars. 20 Solnechnaya Street, Ulyanovsk, 432022, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| RN-Komsomolsky Refinery LLC, a.k.a., the following three aliases: – Komsomolsk Refinery; – LLC RN-Komsomolsk Refinery; – RN-Komsomolski NPZ OOO. 115 Leningradskaya st., Komsomolsk-on-Amur, Khabarovsk region 681007, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| RN-Yuganskneftegaz LLC, a.k.a., the following two aliases: – RN- Yuganskneftegaz OOO; – Yuganskneftegaz. Lenina St., 26, Nefteyugansk, Tyumen Region, 628309, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| Robin Trade Limited, a.k.a., the following one alias: – Robin Tried. 21 Yablochkova Street, Building 3, Room VII, Moscow, Russia, 127322. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Roman Eliseev, a.k.a., the following one alias: – Roman Yeliseyev, 26 General Belov Str Office 19, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Rosneft (a.k.a. Open Joint-Stock Company Rosneft Oil Company; a.k.a. OAO Rosneft Oil Company; a.k.a. Oil Company Rosneft; a.k.a. OJSC Rosneft Oil Company; a.k.a. Rosneft Oil Company)
Address: 26/1, Sofiyskaya Embankment, 117997, Moscow, Russia | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 79 FR 55612, 9/17/14. | ||
| Rosoboronexport OJSC (ROE), Strada Strominka 27, Moscow, 107076, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Rostec (Russian Technologies State Corporation), 24 Usacheva Street, Moscow, Russia, 119048. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240 3/3/22. 87 FR 34136, 6/6/22. | ||
| Rostekh – Azimuth, Building 2, 5 Suite X, Room 15, Floor 2, Narishkinskaya Alleya, Moscow, 125167, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| RT-Inform Limited Liability Company, a.k.a., the following one alias:
– OOO RT-Inform. 6 Turchaninov Lane, Building 2, Office 105, Moscow, 119048, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Rubin Sever Design Bureau, a.k.a., the following three aliases: – Rubin Sever AO; – Konstruktorskoe Byuro Rubin-Sever, PAO; – Aktsionernoe Obshchestvo “Konstruktorskoe Byuro “Rubin-Sever“. 58 Arkhangelskoe Highway, Severodvinsk, Arkhangelskaya Oblast, Russia, 164500. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Ruselectronics JSC, Bldg. 1, 38, Berezhkovskaya Naberezhnaya, Moscow, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Russian Aircraft Corporation MiG, Leningradskoe highway, 6, building 1, Moscow, 125171, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Russian Federal Nuclear Center – All-Russian Research Institute of Experimental Physics, a.k.a., the following four aliases: – NIIIS; – Sedakova Research Institute of Measuring Systems; – NIIIS Named After Yu.E. Sedakov; – RFNC-VNIIEF. Box No. 486, Nizhny Novgorod, Russia, 603951; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Russian Helicopters JSC, Bolshaya Pionerskaya, 1, Moscow, 123610, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12241, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Russian Institute of Radio Navigation and Time, a.k.a., the following one alias:
– RIRT. 120 Obukhovskoy Oborony, Prospekt (Avenue), Letter EC, St. Petersburg, 192012, Russia, | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e). | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99 and for items for U.S. Government supported use in the International Space Station (ISS), which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Russian Space Systems (RKS), 222 Sosnovaya, Tsiolkovski, Amurskaya Oblast, Russia, 676470; | For all items subject to the EAR. (See § 744.11 of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial; Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | ||
| Ryazan Radio-Plant, 11 Lermontova Street, Ryazan, Ryazanskaya Oblast, 390023, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Ryazan State Instrument Enterprise (RSIE), a.k.a., the following two aliases: – RSIE; – GRPZ Seminarskaya Street 32, Ryazan, 390000, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Rybinsk Shipyard Engineering, a.k.a., the following one alias: – ZAO Rybinskaya verf-inzhenering. 1A Sudostroitelnaya Street, Sudoverf Village, Rybinskiy Districy, Yaroslavskaya Oblast, Russia, 152978. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| R.Ye. Alekseyev Central Design Bureau for Hydrofoil Ships, a.k.a., the following two aliases: – OAO Tsentralnoye Konstructorskoye byuro po sudam na podvodnqkh krylyakh imeni R.E. Alekseyeva; – JSC Alexeev’s Hydrofoil Design Bureau. 51 Svobody Street, Nizhnyy Novgorod, Russia, 603003; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Rzhanov Institute of Semiconductor Physics, Siberian Branch of Russian Academy of Sciences, a.k.a., the following two aliases:
– IPP SB RAS; – Institute of Semiconductor Physics IM A.V. Rzhanov. 13 Prospekt Akademika Lavrentyeva, Novosibirsk, Novosibirk Oblast, 630090, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Policy of denial | 87 FR 60066, 10/4/22. | ||
| Sakhatrans LLC, a.k.a., the following two aliases: – Obshchestvo S Organichennoi Otvetstvennostyu’sakha (Yakutskaya) Transportnaya Kompaniya, – Sakhatrans OOO 14 ul. Molodezhnaya Rabochi Pos. Vanino, 682860 Vaninski, Raion Khabarovski Krai, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Salute Gas Turbine Research and Production Center
16 Prospect Budennogo, Moscow 105118, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Salvation Committee of Ukraine, a.k.a., the following three aliases: – Committee for the Rescue of Ukraine; – Savior of Ukraine Committee; – Ukraine Salvation Committee. Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Saransk Electronic Company, a.k.a., the following one alias: – APEX Saransk, 5A North Street, Saransk, Republic of Mordovia, Russia 43006; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Scientific and Production Association “Lianozovo Electromechanical Plant” (NPO LEMZ), a.k.a., the following four aliases: – JSC LEMZ R&P Corporation; – OAO Design Bureau Lianozovsky Radars Moscow; – Lianozovsky Electromechanical factory; – OAO Design Bureau Lianozovsky Radars Moscow Dmitrovskoye Shosse 110, Moscow, 127411, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Scientific-Production Association and Scientific-Research Institute of Radio-Components, a.k.a., the following one alias: – NIIRK. 3 Krymsky Val Street, Building 1, Office 1, Moscow, 119049, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Production Association Vint of Zvezdochka Shipyard, a.k.a., the following two aliases:
– SPU Vint; – NPO Vint. 11 Novinsky Boulevard, Moscow, 121099, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Scientific Production Center Vigstar JSC, a.k.a., the following two aliases: – AO Nauchno-proizvodstvennyy tsentr Vigstar; – JSC SRC Vigstar. 8 1st Dorozhnyy proyezd, Moscow, 117545, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Scientific Production Company Optolink, a.k.a., the following six aliases:
– Limited Liability Company Research and Production Company Optolink; – OOO NPK Optolink; – LLC RPC Optolink – SPC Optolink; – NPK Optolink LLC; – Optolink RPC LLC. 6A Sosnovaya Alley, Building 5, Zelenograd, Moscow, 124489, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b) and 746.8(a)(3). of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Scientific-Production Enterprise Almaz JSC, a.k.a., the following one alias: – JSC NPP Almaz. 1 I.V. Panfilov St., Saratov, 410033, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Production Enterprise “Kant”, a.k.a., the following two aliases: – Kant; – NPP Kant. 12 Talalikhina Street, Floor 7, Moscow, 109316, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific Production Enterprise “Radiosviaz”, a.k.a., the following one alias: – Radiosviaz. 19 Dekabristov Street, Krasnoyarsk, 660021, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Production Enterprise Salyut JSC, a.k.a., the following one alias: – JSC NPP Salyut. 7 Larina St., Nizhny Novgorod, 603950, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Scientific-Production Enterprise “Svyaz”, a.k.a., the following two aliases: – Svyaz; – NPP Svyaz. 19 Shkolnaya Street, Yasnaya Polyana Village, Shekinsky District, Tulskaya Oblast, 301214, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Production Enterprise Volna, a.k.a., the following one alias: – NPP Volna. 26 Varshavskoe Highway, Moscow, 117105, Russia. | All items subject to the EAR. See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Production Enterprise Vostok JSC, a.k.a., the following one alias: – JSC NPP Vostok. 276, D. Kovalchuk St., Novosibirsk, 630075, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Research Institute and Factory Platan, a.k.a., the following one alias: – NII Platan. 2 Zavodskoy Dr., Fryazino, Moscow oblast, 141190, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Scientific-Research Institute “Argon”, a.k.a., the following two aliases: – Argon Scientific-Research Institute JSC; – NII Argon JSC. 4 Karla Marksa Street, Kaluga, 248000, Russia; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific Research Institute Ferrite-Domen, a.k.a., the following two aliases: – NII Domen; – Ferrite-Domen Co. 25/3B Zvetochnaya St., Room 417, St. Petersburg, 196006, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific Research Institute NII Submikron, 5 Street 2, Proskpekt Georgievski, Zelenograd, Moscow, Russia, 124498. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial; Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | ||
| Scientific Research Institute of Applied Acoustics, a.k.a., the following one alias:
– NIIPA. 9/7A 9 May Street, Dubna, Moscow Oblast, 141981, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Scientific Research Institute of Applied Chemistry, a.k.a., the following two aliases: – Federal Research and Production Center Research Institute of Applied Chemistry; – NIIPH. 3 Academician Silina Street, Sergiev Posad, Moscow Oblast, Russia, 141313. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Scientific-Research Institute of Automated Systems and Communications Complexes Neptune JSC, a.k.a., the following one alias: – NII Neptune JSC. 80-1/A, 7th Line of Vasilyavskiy Island, St. Petersburg, 199178, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific Research Institute of Communication Management Systems, a.k.a., the following two aliases: – NIISU; – NIISU JSC. 25/3B Zvetochnaya St., Room 417, St. Petersburg, 196006, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Scientific-Research Institute of Electronics (NIIET), a.k.a., the following two aliases: – AO Scientific Research Institute of Electronics; – AO Scientific Research. 119A Prospekt Leninski, Voronezh, Voronezhskaya Oblast, Russia, 394033; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Scientific Research Institute of Hypersonic Systems, a.k.a., the following one alias: – Hypersonic System Research Institute of holding company Leninetz. 212 Mosckovsky Avenue, St. Petersburg, Russia, 196066. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| SCTB Engineering, Pr. Yuria Gagarina 1, Office 230, St. Petersburg, Russia 196105; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| SDB IRE RAS, 1 Vvedenskogo Square Fryazino, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Security 2 Business Academy, a.k.a., the following two aliases:
– S2BA – Academy of Business Security. Deguninskaya Street 10 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Sergei Evgenevich Klinov, a.k.a., the following one alias: – Sergey Yevgenyevich Klinov, 26 General Belov St Office 415, Moscow, Russia 115583; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Sergei G Yuropov, Zastavskaya St 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Sergey IONOV, Marshala Govorova Str. 40, Lit. A, Office 34, St. Petersburg 198095, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Sergey Koynov, a.k.a., the following one alias: – Sergey V. Coyne. 106 Kuybyshev Str, Office 68, Yekaterinburg, Russia (see alternate address in China). | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. 85 FR 83769, 12/23/20. | ||
| Sergey Nikolayevich Sanaev, a.k.a., the following one alias: – Sergei Nikoleivich Sanev, 5A North Street, Saransk, Republic of Mordovia, Russia 43006; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Serniya Engineering, a.k.a., the following one alias: – Sernia Engineering. 57A Vavilova Street, Floor 2, Apartment 211, Room 211-3, Moscow, Russia, 117292; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Severnaya Verf Shipbuilding Factory, a.k.a., the following one alias: – OJSC Shipbuilding Plant Severnaya Verf. 6 Korabelnaya Street, St. Petersburg, Russia, 198096. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| SGM Most OOO (f.k.a., Obshchestvo S Ogranichennoi Otvetstvennostyu SGM Most), a.k.a., the following three aliases: – Obshchestvo S Ogranichennoi Otvetstvennostyu ‘SGM-Most’; – SGM-Bridge; – SGM-Most, LLC. d. 10 korp. 3 ul. Neverovskogo, Moscow 121170, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Ship Maintenance Center Zvezdochka, a.k.a., the following three aliases: – Zvezdochka Ship Repair Center JSC; – Zvezdochka CS; – FL 5 Suderemontny Zavod AO TSS Zvezdochka. 12 Mashinostroiteley Passage, Severodvinsk, Arkhangelsk Region, Russia, 164500. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Shvabe JSC, a.k.a., the following one alias: – Shvabe. 176 Mira Prospekt, Moscow, 129366, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Siberian Scientific-Research Institute of Aviation N.A. S.A. Chaplygin, a.k.a., the following one alias:
– SibNIA. 21 Polzunova Street, Novosibirsk, Novosibirsk Oblast, 630051, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Skolkovo Foundation, a.k.a., the following four aliases:
– Foundation for the Development of the Center for Elaboration and Commercialization of New Technologies; – Fond Skolkovo; – Fund Skolkovo; – Nekommercheskaya Organizatsiya Fond Razvitiya Tsentra Razrabortki I Kommertsializatsii Novykh Tekhnologii. 4 Lugovaya Street, Skolkovo Innovation Center, Moscow, 121205, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Skolkovo Institute of Science and Technology, a.k.a., the following three aliases:
– Autonomous Non-Profit Organization for Higher Education Skolkovo Institute of Science and Technology; – Skolkovskiy Institut Nauki I Tekhnologii; – Skoltech. 30 Bolshoi Boulevard, Skolkovo Innovation Center, Building 1, Moscow, 121205, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| SMT-K, a.k.a., the following six aliases: – KRYM SMT OOO LLC; – LLC CMT Crimea; – OOO ‘CMT-K’; – OOO ‘SMT-K’; – SMT-Crimea; – Sovmortrans-Crimea. Anapskoye Highway 1, Temryuk, Russia. (See alternate address under Crimea region of Ukraine). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| SNGB AO, a.k.a., the following three aliases: – Closed Joint Stock Company Surgutneftegasbank (ZAO SNGB); – Joint Stock Company Surgutneftegasbank; – JSC BANK SNGB. 19 Kukuyvitskogo Street, Surgut 628400, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| SO Tvernefteprodukt OOO, a.k.a., the following two aliases: – Limited Liability Company Marketing Association Tvernefteproduct; – LLC MA Tvernefteproduct. 6 Novotorzhskaya Ulitsa, Tver, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR. | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Software Research Institute, a.k.a., the following two aliases:
– JSC Research Institute of Software Tools; – JSC NII PS. 22 Politekhnicheskaya Street, Lit N, St. Petersburg, 194021, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Southeast Trading Oy, a.k.a., the following one alias: – Southeast Trading LTD. St. Petersburg, Russia. (See also addresses under Finland and Romania) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Sovfracht Managing Company, LLC, a.k.a., the following four aliases: – LLC Sovfracht Management Company; – Management Company Sovfrakht Ltd.; – Sovfracht Management Company; – Sovfracht Management Company, LLC. Dobroslobodskaya, 3 BC Basmanov, Moscow 105066, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Sovfracht-Sovmortrans Group, a.k.a., the following two aliases: – Sovfracht-Sovmortrans; – Sovfrakht-Sovmortrans. Rakhmanovskiy Lane, 4, bld.1, Morskoy House, Moscow 127994, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Sovkhoz Chervishevski PAO, a.k.a., the following three aliases: – OJSC Sovkhoz Chervishevsky; – Open Joint Stock Company Sovkhoz Chervishevsky; – Sovkhoz Chervishevsky, JSC. d. 81 Sovetskaya Ulitsa, S. Chervichevsky, Tyumensky Rayon, Tyumensky Oblast 625519, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| SP Kvant, a.k.a., the follow three aliases: – Kvant LLC; – Limited Liability Company Joint Venture Quantum Technologies; – Joint Venture Quantum. D. 46, Etazh 6, pom. 600K, Shosse Varshavskoe, Moscow, 115230, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 13061, 3/8/22. 87 FR 34136, 6/6/22. | ||
| Specelkom, a.k.a., the following one alias: – Special Electronic Components, Ulitsa Mitinskaya 30/4, Moscow, Russia 123430. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Special Design and Technical Bureau for Relay Technology, a.k.a., the following two aliases: – Relay Technology Bureau JSC; – JSCT SKTB RT.55 Nijinsky St., Velikiy Novgorod, 173021, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Special Design Bureau Salute JSC, a.k.a., the following two aliases: – OKB Salute JSC; – OKB Salyut JSC. 153 Krasniy Pr., Novosibirsk, Russia, 630049. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Special Research Bureau for Automation of Marine Researches Far East Branch Russian Academy of Sciences, a.k.a., the following one alias: – SKB SAMI DVO RAN. 25 Alekseya Maksimovicha Gorkogo, Yuzhno-Sakhalinsk, Kakhalinskaya Oblast, 693010, Russia. | For all items subject to the EAR (See § 744.11 of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. | ||
| Special Technological Center LLC, a.k.a., the following one alias: – OOO STTs. 21B Gzhatskaya St., St. Petersburg, 195220, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Special Technology Center, a.k.a., the following one alias: – STC, Ltd Gzhatskaya 21 k2, St. Petersburg, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 724, 1/4/17. | ||
| SpekElectronGroup, 72 Lenigradsky Avenue, Bldg 4, Moscow, Russia 125315. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| St. Petersburg Marine Bureau of Machine Building Malakhit, a.k.a., the following two aliases: – SPMBM Malakhit; – Malakhit. 18 Frunze St., St. Petersburg, 196135, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| St. Petersburg Naval Design Bureau Almaz, a.k.a., the following two aliases: – JSC TsMKB Almaz; – Almaz Central Marine Design Bureau. 50 Varshavskaya, St. Petersburg, 196128, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| St. Petersburg Shipbuilding Institution Krylov 45, a.k.a., the following one alias: – Krylov State Research Center. 44 Moskovskoe Highway, St. Petersburg, Russia, 196158. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Stanislav Berezovets, Ulitsa Polyany 9/6, Moscow, Russia 117042. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Stanislav Bolt, 9 Lipovaya alleya, St. Petersburg, Russia 197183. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Stanislav Orelsky, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| State Flight Testing Center Named After V.P. Chkalov, a.k.a., the following five aliases:
– 929 GLITS; – 929 State Flight Test Center; – 929 GLITS VVS; – 929 Gosudarstvenniy Letno-Ispytatelniy Tsentr Ministerstvo Oboroni Rossiiskoi Federatsii IM. V.P. Chkalova; – GLITS MO RF IM. V.P. Ckhalova. Akhtubinsk, Astrakhan Oblast, 416500, Russia; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| State Governmental Scientific Testing Area of Aircraft Systems (GkNIPAS), a.k.a., the following one alias: – Federal State Enterprise State Research and Testing Ground for Aviation Systems named after L.K. Safronov. 59 Lesnaya Street, 1st Microdistrict, Beloozersky, Voskresensk, Moscow Oblast, Russia, 140250. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| State Machine Building Design Bureau Raduga, Bereznyak, 2A Zhuckovskiy Street, Dubna, Moscow Oblast, Russia, 14980. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| State Scientific Center AO GNTs RF – FEI A.I. Leypunskiy Physico-Energy Institute, a.k.a., the following two aliases: – Leypunsky Institute of Physics and Power Engineering; – IPPE. 1 Bondarenko Square, Obninsk, Kaluga Oblast, Russia, 249020. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| State Scientific Research Institute of Machine Building Bakhirev (GosNIImash), a.k.a., the following three aliases: – JSC Scientific Research Institute for Mechanical Engineering; – State Research Institute of Mechanical Engineering named after. V.V. Bakhireva; – GosNIImash. 11A Sverdlova Thoroughfare, Dzerzhinsk, Russia, 606002. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| State Scientific Research Institute of Organic Chemistry and Technology, a.k.a., the following one alias: – GosNIIOKhT. Shosse Entuziastov 23, Moscow, Moscow Oblast, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Strakhovove Obshchestvo Surgutneftegaz OOO, a.k.a., the following three aliases: – Insurance Company Surgutneftegas, LLC; – Limited Liability Company Insurance Company Surgutneftegas; – LLC Insurance Company Surgutneftegas. 9/1 Lermontova Ulitsa, Surgut 628418, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Strategic Control Posts Corporation, a.k.a., the following two aliases: – Central Design Bureau of Heavy Machine Building SPU TsKB TM; – JSC Corporation SPU-CCB TM. 12A Vozvodnaya St., Moscow, 111024, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Stroygazmontazh, a.k.a., the following three aliases: – Limited Liability Company Stroygazmontazh, – SGM, – Stroygazmontazh Corporation 53 prospekt Vernadskogo, Moscow, 119415, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Stroytransgaz Group, a.k.a., the following two aliases: – STG Group, – Stroytransgaz 3 Begovaya Street, Building # 1, Moscow, 125284, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Stroytransgaz LLC, a.k.a., the following one alias: – OOO Stroytransgaz House 65, Novocheremushkinskaya St., Moscow 117418, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24461, 5/1/14. | ||
| Stroytransgaz OJSC, a.k.a., the following one alias: – OAO Stroytransgaz. House 58, Novocheremushkinskaya St., Moscow 117418, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Stroytransgaz-M LLC, Novy Urengoy City, 26th Meeting of the Communist Party Street, House 2V, Tyumenskaya Oblast, Yamalo-Nenetsky Autonomous Region 629305, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Sukhoi Aviation JSC, Polikarpov str., 23B, Moscow, 125284 Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Sukhoi Civil Aircraft, 1 Sovetskaya Street, Komsomolsk-On-Amur 681018, Russia; | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12241, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Surgutmebel OOO, a.k.a., the following four aliases: – Limited Liability Company Syrgutmebel; – LLC Surgutmebel; – LLC Syrgutmebel; and – Surgutmebel, LLC. Vostochnaya Industrial 1 Territory 2, Poselok Barsovo, Surgutsky District, Yugra, Khanty-Mansiysky Autonomos Okrug, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | Presumption of denial | 83 FR 6952, 2/16/18. 83 FR 12479, 3/22/18. | ||
| Surgutneftegas (a.k.a. Open Joint Stock Company Surgutneftegas; a.k.a. Otkrytoe Aktsionernoe Obshchestvo Surgutneftegaz; a.k.a. Surgutneftegas OAO; a.k.a. Surgutneftegas OJSC; a.k.a. Surgutneftegaz OAO)
Address: ul. Grigoriya Kukuyevitskogo, 1, bld. 1, Khanty-Mansiysky Autonomous Okrug – Yugra, the city of Surgut, Tyumenskaya Oblast 628415, Russia | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 79 FR 55612, 9/17/14. | ||
| Svyaz Design Bureau, OJSC, a.k.a., the following one alias: – KB Svyaz Prospect Sokolova 96, Rostov-on-Don 344010, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Syrus Systems, 3-Y Novyy Pereulok, 5, Moscow, 107140, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Systema VP, a.k.a., the following one alias: – Sistema VP 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Systems of Biological Synthesis LLC., a.k.a., the following three aliases: – Sistemy Biologicheskogo Sinteza; – OOO SBS; – SBS LLC. Akademika Koroleva Street, Building 13/1, Office 35-39, Moscow, 129515, Russia. | For all items subject to the EAR (See § 744.11 of the EAR) | Policy of denial | 87 FR 34157, 6/6/22. | ||
| Tactical Missile Corporation, 711 Aircraft Repair Plant (711 ARZ), 18 Chkalova Pereulok, Borisoglebsk, Voronezhskaya Oblast, 397171, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, AO GNPP “Region”, a.k.a., the following three aliases: – GNPP Region, PAO; – Aktsionernoe Obshchestvo “Gosudarstvennoe Nauchno-Proizvodstvennoe Predpriyatie “Region,”; – “Region” Scientific & Production Enterprise JSC. 10 Turaevo I.Z., Lytkarino City, Moscow Region, 140080, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, AO TMKB “Soyuz”, a.k.a., the following four aliases: – Turaevskoe MKB “Soyuz”; – Aktsionernoe Obshchestvo Turaevskoe Mashinostroitelnoe Konstruktorskoe Byuro “Soyuz”; – Soyuz PAO; – JSC “Turaevskoe Machine-Building Design Bureau “Soyuz. 10 Turaevo I.Z., Lytkarino City, Moscow Region, 140080, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Azov Optical and Mechanical Plant, a.k.a., the following three aliases: – PPO Azovski Optiko-Mekhanicheski Zavod; – Pervichnaya Profsoyuznaya Organizatsiya “Azovski Optiko-Mekhanicheski Zavod” Rossiskogo Profsoyuza Rabotnikov Promyshlennosti; – JSC AOMZ). 5 Promyshlennaya Street, Azov, Rostovskaya Oblast, 346780, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, “Central Design Bureau of Automation”, a.k.a., the following three aliases: – JSC “TsKBA”; – AO “TsKBA”; – Aktsionernoe Obshchestvo “Tsentralnoe Konstruktorskoe Byuro Avtomatiki”. 24A Kosmicheski Prospekt, Omsk, Omskaya Oblast,44027, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Concern “MPO – Gidropribor”, a.k.a., the following two aliases: – Joint Stock Company Concern Sea Underwater Weapons Gidropribor; – Research Institute “Gidpropridor”; Central Research Institute “Gidropribor”. 24, Sampsonievskiy pr., St. Petersburg, 194044, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Avangard, 78 Oktyabrskaya Street, Safonovo, Smolensk region, 215500, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Concern Granit-Electron, 3 Gospitalnaya St, St. Petersburg, 191014, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Elektrotyaga, a.k.a., the following two aliases: – Electric Traction; – ZAO Elekrotjaga. 50-A Kalinina Str, St Petersburg, 198095, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company GosNIIMash, a.k.a., the following five aliases: – PPO Rosprofprom V “GOSNIIMASH”; – State Research Institute of Mechanical Engineering; – Pervichnaya Profsoyuznaya Organizatsiya Rossiskogo Profsoyuza Rabotnikov Promyshlennosti V “GOSNIIMASH”; – Joint Stock Company “State Research Institute of Mechanical Engineering” named after V.V. Bakhirev”; – SKB DNIKhTI. 11 Sverdlova Prospekt, Dzerzhinsk, Nizhegorodskaya Oblast, 606002, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company PA Strela, a.k.a. the following one alias: – Production Association Strela. 26 Shevchenko str., Orenburg, 460005, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company “Plant Dagdiesel”, 1 Lenina Street, Kaspiysk, Republic of Dagestan, 368300, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Plant Kulakov, a.k.a., the following one alias: – JSC Plant Named After A.A. Kulakov. 12 Yablochkova Street, St. Petersburg, 197198, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Ravenstvo, a.k.a., the following one alias: – Joint-Stock Company Ravenstvo; Equality. 19 Promyshlennaya Street, St. Petersburg, 198099, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Ravenstvo-service, 19 Promyshlennaya Street, St. Petersburg, 198099, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint-Stock Company “Research Center for Automated Design, a.k.a., following two aliases: – NIC ASK; – ASK JSC. 37 Leningradsky Prospekt, Room 12, Moscow, 125167, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company “Salute”, a.k.a., the following two aliases: – Salyut, PAO; – Kuibyshev Mechanical Plant. 20 Moskovskoe Shosse, Samara, 443028, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Saratov Radio Instrument Plant, 108 50 Years of October, Saratov, 410040, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation Joint Stock Company “Scientific Research Institute of Marine Heat Engineering”, a.k.a., the following one alias: – Research Institute of Morteplotehniki. 44 Chernikova Street, Lomonosov, St. Petersburg, 198412, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company Severny Press, a.k.a., the following one alias: – Northern Press. 7 Tallinskaya Street, St. Petersburg, 195196, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company “State Machine Building Design Bureau “Vympel” By Name I.I. Toropov”, a.k.a., the following two aliases: – AO Gos MKB “Vympel” named for II Toropov; – Vympel NPO. 90 Voloklamskoe Shosse, Moscow, 125424, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Joint Stock Company “URALELEMENT”, a.k.a., the following one alias: – Verkhneufalei Plant “Uralelement”. 24 Dmitrieva St., Verkhny Ufaley, Chelyabinsk region, 456800, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation JSC “KRASNY GIDROPRESS”, a.k.a., the following five aliases: – Aktsionernoe Obshchestvo “Krasny Gidropress,”; – Krasny Gidropress, PAO; – Red Hydraulic Press; – Krasny Gidropress JSC; – Taganrog Krasnyy Gidropress Plan. 3 Severnaya Place, Taganrog, Rostovskaya Oblast, 347928, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, KB Mashinostroeniya, a.k.a., the following two aliases: – JSC Research and Production Corporation Design Bureau of Mechanical Engineering; – JSC NPK KBM. 42 Oksky Prospect, Kolomna, Moscow Region, 140402, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, NPO Electromechanics, 31 Mendeleev Street, Chelyabinsk region, 456320, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, NPO Lightning, a.k.a., the following one alias: – Research and Production Association Lightning JSC NPO Molniya. 5K1 Lodochnaya Street, Moscow, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Petrovsky Electromechanical Plant “Molot”, 40 Gogol Street, Petrovsk, Saratov Region, 412541, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, PJSC ANPP Temp Avia, a.k.a., the following six aliases – ANPP “TEMP AVIA”; – Public Joint Stock Company “Arzamas Research and Production Enterprise”; – TEMP-AVIA; – ANPP TEMP AIR; – Joint Stock Company “Arzamas Research And Production Enterprise “TEMP-AVIA”; – Publichnoe Aktsionernoe Obshchestvo “Arzamasskoe Nauchno-Proizvodstvennoe Predpriyatie “TEMP-AVIA”. 26 G. Arzamas G.Arzamas. Street, Kirov, Nizhniy Novgorod, 607220 Russia | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, PJSC “MBDB ISKRA”, a.k.a., the following two aliases: – Aktsionernoe Obshchestvo “Mashinostroitelnoe Konstruktorskoe Byuro “Iskra” Imeni Ivana Ivanovicha Kartukova”; – AO MKB “ISKRA”. 35 Leningradsky Prospekt, Moscow, 125284, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Raduga Design Bureau, a.k.a., the following four aliases: – AO “GosMKB “Raduga” IM. A.Ya.Bereznyaka,”; – Joint Stock Company “State Machine-Building Design Bureau “Raduga,”; – MKB Raduga; – GosMKB “Rainbow” them. AND I. Bereznyak. 2A Zhukovskogo, Dubna, Moscowvskaya Oblast, 141983, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, RKB Globus, a.k.a., the following two aliases: – JSC Ryazan Design Bureau Globus; – Federal State Unitary Enterprise RKB Globus. 6 Vysokovoltnaya Street, Ryazan, 390013, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Smolensk Aviation Plant, a.k.a., the following one alias: – JSC “SmAZ”. 74 Frunze Street, Smolensk, 214006, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, TRV Engineering, a.k.a., the following one alias: – Zvezda-Strela Trading House LLC. 2A Ordzhonikidze Street, Korolev, Moscow Region, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Ural Design Bureau “Detal”, a.k.a., the following four aliases: – Joint-Stock Company “Ural Design Bureau “Detal”; – Aktsionernoe Obshchestvo “Uralskoe Proektno-Konstruktorskoe Byuro “Detal”; – AO UPKB “Detal”; – Uralskoe Proektno-Konstruktorskoe Byuro Detal, Pao. 8 Pionerskaya Street, Kamensk-Uralski, Sverdlovskaya Oblast, 623409, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missile Corporation, Zvezda-Strela Limited Liability Company, a.k.a., the following two aliases: – Star Arrow; – Zvezda-Arrow Corporation. 3 Taganrog Severnaya Square, Rostov Region, 347928, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| Tactical Missiles Corporation JSC, KorolevIlyicha Street, 7, 141080, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Tambov Plant (TZ) “October”, a.k.a., the following two aliases: – Tambov Plant (TZ) October JSC; – JSC Octayabr. 1 Bastionaya Street, Tambov, Tambovskaya Oblast, 392029, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Tavrida Microelectronics, Zelenaya Street 1 Dolgoprudnyy Moscow 141700, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| Technomar, a.k.a., the following one alias: – Tehnomar. 14-60 Vorotynskaya, Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Technopark Skolkovo Limited Liability Company, a.k.a., the following two aliases:
– LLC Science and Technology Park Skolkovo; – OOO Tekhnopark Skolkovo. 42 Bolshoi Boulevard, Building 1, Floor 2, Premises 822, Skolkovo Innovation Center, Moscow, 121205, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 88 FR 121582/27/23. | ||
| Technopole Company, 5-183 Entuziastov Street, Dubna, Moscow Region, Russia 141980; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 61601, 9/7/16. | ||
| Tikhomirov Scientific Research Institute of Instrument Design, JSC (a.k.a., JSC NIIP, f.k.a., Otkrytoe Aktsionernoe Obshchestvo Nauchno Issledovatelski Institute Priborostroeniya Imeni V.V. Tikhomirova; a.k.a. Scientific Research Institute of Instrument Design; a.k.a. JSC V. Tikhomirov Scientific Research Institute of Instrument Design.)
Address: 3 Ul. Gagarina, Zhukovski, Moskovskaya Obl 140180, Russia | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 55612, 9/17/14. | ||
| Timofey Telegin | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Timur Nikoleavich Edigeev, a.k.a., the following one alias: – Timur Yedigeyev, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Tomsk Microwave and Photonic Integrated Circuits and Modules Collective Design Center, a.k.a., the following one alias: – TUSUR-Electronica Research Company. 147 Krasnoarmeyskay Street, Office 101, Tomsk, Russia 634045; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Trans-Flot JSC, a.k.a., the following one alias: – JSC Trans-Flot ul Ventseka 1/97, Samara 443099, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Transoil, a.k.a., the following four aliases: – Limited Liability Company Transoil, – Transoil LLC, – Transoyl SNG Ltd., – Obshchestvo S Organichernnoi Otvetstvennostyu Transoil 18A Petrogradskaya nab., St. Petersburg, Russia, 197046 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Transpetrochart Co. Ltd.,
Prospekt Engelsa 30, St. Petersburg 194156, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 94968, 12/27/16. | ||
| Transservice LLC, a.k.a., the following three aliases: – Limited Liability Company Transservis; – Obschestvo S Ogranichennoi Otvetstvennostyu Transservis; – OOO Transservis. 35 Prospekt Gubkina, Omsk, Omskaya Oblast 664035, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| TsKB MT Rubin, a.k.a., the following two aliases: – Tsentralnoe Konstruktorskoe Byuro Morskoi Tekhniki Rubin; – The Rubin Central Design Bureau for Marine Engineering. 90 Marata Street, Saint Petersburg, 191119, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Tula Arms Plant, a.k.a., the following four aliases:
– Tula; – Tula Arsenal; – Imperial Tula Arms Plant; – JSC Tulsky Oruzheiny Zavod. 1 Sovetskaya Street, Tula, 300041, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 60066, 10/4/22. | ||
| Tupolev JSC, Academician Tupolev Embankment 17, Moscow, 105005, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Turayev Machine Building Design Bureau Soyuz, a.k.a., the following one alias: – TMBDB SoyuZ PJSC. 10 Turaevo I.Z., Lytkarino, Moscow Region, 140080, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| UAB Pella-Fjord, 4 Tsentralnaya Street, Kirovski District, Otradnoe, Leningradskaya Oblast, Russia, 187330. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| UEC-Saturn, 163 Lenin Avenue, Rybinsk 152903, Yavoslavl Region, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| Ugolnye Tekhnologii, OOO, a.k.a., the following two aliases: – Coal Technologies; – Obshchestvo S Ogranichennoi Otvetstvennostyu “Ugolnye Tekhnologii”. d. 25 ofis 13, 14, per. Avtomobilny, Rostov-on-Don, Rostovskaya Oblast 344038, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR). | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| United Aircraft Corporation, Bolshaya Pionerskaya str., 1, Moscow, 115054, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| United Engine Corporation, 16, Budyonny Avenue, Moscow, 105118 Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis | 87 FR 12241, 3/3/22. 87 FR 34136, 6/6/22. | ||
| United Instrument Manufacturing Corporation, Vereiskaya 29, str. 141, Moscow, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis | 87 FR 12240, 3/3/22. 87 FR 34136, 6/6/22. | ||
| United Shipbuilding Corporation, a.k.a., the following four aliases: – Obedinennaya Sudostroitelnaya Korporatsiya OAO; – OJSC United Shipbuilding Corporation; – United Shipbuilding Corporation Joint Stock Company; – OSK OAO. 90, Marata ul., St. Petersburg 191119, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 45679, 8/6/14. | ||
| United Shipbuilding Corporation JSC “35th Shipyard”, a.k.a., the following one alias: – Filial “35 sudoremontny zavod” Aktsionernogo obshchestva “Tsentr sudoremonta” “Zvezdochka”. 100 Admirala Flota Lobova, Murmansk, Russia, 183017; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation JSC “Astrakhan Shipyard”, a.k.a., the following one alias: – Strahansky Shipyard. 37 Atarbekova, Astrakhan 414009, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation JSC “Aysberg Central Design Building”, a.k.a., the following one alias: – Iceberg Central Design Bureau. 36 Bolshoi Avenue V. I., St. Petersburg, Russia, 199034. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation JSC “Baltic Shipbuilding Factory”, a.k.a., the following two aliases: – JSC Baltiski Zavod; – Baltic Shipyard. 16 Kosaya Liniya Street, St. Petersburg, Russia, 199106. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation JSC “Krasnoye Sormovo Plant OJSC”, a.k.a., the following one alias: – Zavod Krasnoe Sormovo, PAO. 1 Barrikad Street, Nizhni Novgorod, Nizhegorodskaya Oblast, Russia, 603003. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation JSC “SC “Zvyozdochka”, a.k.a., the following one alias: – Filial “Astrakhanski Sudoremontny Zavod” Aktsionernogo Obshchestva “Tsentr sudoremonta “Zvezdochka”. 37 Atarbekova, Astrakhan, Astrakhanskaya Oblast, Russia, 414009. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation “Pribaltic Shipbuilding Factory Yantar”, a.k.a., the following two aliases: – Aktsionernoe Obshchestvo “Pribaltiski Sudostroitelny Zavod “Yantar”; – Pribaltiski Sudostroitelny Zavod Yantar, Aktsionernoe Obshchestvo. 1 Guskova Place, Kaliningrad, Kaliningradskaya Oblast, Russia, 236005. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation “Production Association Northern Machine Building Enterprise”, a.k.a., the following one alias: – JSC PO Sevmash. 58 Archangelskoye Shosse, Severodvinsk, Archangelsk Region, 164500, Russia. | All items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 20299, 4/7/22. 87 FR 34136, 6/6/22. | ||
| United Shipbuilding Corporation “Scientific Research Design Technological Bureau Onega”, a.k.a., the following two aliases: – Nauchno-issledovatelskoe proektno-teknnologicheskoe byuro Onega PJSC; – SC NIPTB Onega. 12 Mashinostroitelei Thoroughfare, Severodvinsk, Arkhangelskaya Oblast, Russia,164509. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| United Shipbuilding Corporation “Sredne-Nevsky Shipyard”, a.k.a., the following four aliases: – JSC SNSZ; – Aktcionernoe Obshestvo “Sredne-Nevsky Sudostroyelny Plant”; – Middle Neva Shipbuilding Plant; – Federal State Unitary Enterprise “Sredne-Nevsky Shipbuilding Plant”. 10 Zavodskaya Street, Pontonny District, Saint Petersburg, Russia, 196643. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Ural Scientific Research Institute for Composite Materials, 57 Novozvyaginskaya Street, Perm, Russia, 614014. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Urals Project Design Bureau Detal, 8 Pironskaya Street, Kamensk-Uralskiy, Sverdlovsk Oblast, Russia, 623409. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Uralvagonzavod, a.k.a., the following eight aliases: – Nauchno-Proizvodstvennaya Korporatsiya Uralvagonzavod OAO; – NPK Uralvagonzavod; – NPK Uralvagonzavod OAO; – OJSC Research and Production Corporation Uralvagonzavod; – Research and Production Corporation Uralvagonzavod; – Research and Production Corporation Uralvagonzavod OAO; – Uralvagonzavod Corporation; – UVZ. 28, Vostochnoye shosse, Nizhni Tagil, Sverdlovsk region 622007, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| V.A. Trapeznikov Institute of Control Sciences of Russian Academy of Sciences, a.k.a., the following two aliases: – ICS RAS; – IPU RAS. 65 Profsoyuznaya Street, Business Center Vozdvizhenka Center Voentorg, Moscow, 117997, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| VAD, AO, a.k.a, the following seven aliases: – Aktsionernoe Obshchestvo VAD; – AO, VAD; – CJSC VAD; – Joint Stock Company VAD; – JSC VAD; – ZAO VAD; – High-Quality Highways. 133, ul. Chernyshevskogo, Vologda, Vologodskaya Obl 160019, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 6952, 2/16/18. | ||
| Vadim Shuletskiy, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Valentina Mazalova, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vega Pilot Plant, a.k.a., the following two aliases: – OZ Vega – Filial AO TSS Zvezdochka; – Experimental Plant Vega. 73 Lenina Street, Borovski District, Borovsk, Kaluga Oblast, Russia, 249010. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Vertikal LLC,
148 Moskovski Avenue, Letter D, Apartment 8, Saint Petersburg, Russia, 196084. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Video Logic, 4 Yunost Square, NPZ, Suite 1-7, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Viktor Bokovoi, Ulitsa Polyany 9/6, Moscow, Russia 117042. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| VIP Technology Ltd., Bechtereva Street 3/2, Office 40 Saint Petersburg 192019, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial. See § 746.8(b) | 87 FR 76926, 12/16/22. | ||
| VisionLabs Limited Liability Company, a.k.a., the following two aliases:
– OOO Vizhnlabs; – VisionLabs. 8 Tvardovskogo Street, Building 1, Floor 2, Premises I, Office 1, Moscow, 123458, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 88 FR 12158, 2/27/23. | ||
| Vitaliy Nagorniy, Ulitsa Polyany 9/6, Moscow, Russia 117042. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vladimir Davidenko, 20 Novaya Basmannaya St., Moscow, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vladimir Design Bureau for Radio Communications OJSC, a.k.a., the following one alias: – VKBR. 28 Baturina St., Vladimir, Vladimirskaya oblast, 600017, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Vladimir Safraonov, 25 Red Cadets Street Letter H, Office Block 2, St. Petersburg, Russia 99034; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vladimir Viktorovich Lavrov, Vavilovykh Street 4-2 #267, St. Petersburg, Russia 195257; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vladislav A. Sokolov, 6 Aptekarskiy Prospekt, Office 710, St. Petersburg, Russia 197376; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Vladislav Vladimirovich Fedorenko, Ul. Artillyeriskaya, d.1, lit.A, POM26N, St. Petersburg, Russia. | For all items subject to the EAR. (See § 744.11of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Voentelecom JSC, 15A/1 Bolshaya Olenya St., Moscow, 107014, Russia. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 34157, 6/6/22. | ||
| Volga Group, a.k.a., the following three aliases: – Volga Group Investments, – Volga Resources, – Volga Resources Group. Russia (see alternate address under Luxembourg). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 24561, 5/1/14. | ||
| Voronezh Scientific Research Institute “Vega“, a.k.a., the following two aliases: – Voronezhskiy Nauchno-Issledovatelskiy Institut “Vega“; – VNII Vega. Moskovskiy Prospekt 7B, Voronezh, 394026, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 48534, 9/26/18. | ||
| Vostokgazprom, OAO, a.k.a., the following two aliases: – Otkrytoe Aktsionernoe Obshchestvo ‘Vostokgazprom’; – Vostokgazprom. d.73 ul.Bolshaya Podgornaya, Tomsk, Tomskaya obl. 634009, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| VTK Ltd, a.k.a., the following three aliases: – Your Fuel Company; – BTK; – OOO VTK. 14 Professora Kachalova Street, Letter A, Saint Petersburg, Russia, 192019. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Vyacheslav Y Shillin, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| ‘Wolf’ Holding of Security Structures, a.k.a., the following four aliases: – Defense Holding Structure “Wolf”; – Holding Security Structure Wolf; – Kholding Okhrannykh Struktur Volk; – Wolf Holding Company ul. Panferova d. 18, Moscow 119261, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 28408, 6/22/17. | ||
| Yamalgazinvest, ZAO, a.k.a., the following two aliases: – Yamalgazinvest; – Zakrytoe Aktsionernoe Obshchestvo ‘Yamalgazinvest’. d. 41 korp. 1 prospekt Vernadskogo, Moscow 117415, Russia. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 81 FR 61601, 9/7/16. | ||
| Yaroslavl Shipbuilding Factory, a.k.a., the following one alias: – PAO Yaroslavskiy sudostroitelnyy zavod. 1 Korabelnaya Street, Yaroslavl, Russia, 150006. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Yekaterina Parfenova, 4 Savelkinskiy Dr., Suite 511-512, Zelenograd, Russia 124482. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yevgeniy L Biryukov, Pr. Yuria Gagarina 2, Office 801, St. Petersburg, Russia 196105. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yuliya L. Molkova-Poluh, a.k.a., the following three aliases: – Yuliya Molkova-Polukh; – Yuliya Leonidovna; Molkova-Polyukh; – Yuliya Molkova-Polah, Zastavskaya St. 32A, St. Petersburg, Russia 196084; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yuri A. Krasheninnikov, 9 Lipovaya alleya, St. Petersburg, Russia 197183. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yuri Savin, 39 Dnepropetrovskaya Str., Build 1, Apt. 287, Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yuriy Vasilyevich Kuzminov, a.k.a., the following one alias: – Yuri Kuzminov, 53 Sherbakovskaya Street, Building 3, Office 509, 105318 Moscow, Russia; | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Yuzhno-Kirinskoye Field, in the Sea of Okhotsk. | For all items subject to the EAR. (See § 746.5 of the EAR) | Presumption of denial | 80 FR 47404, 8/7/15. | ||
| ZAO Elmiks-VS, Ul. Artillyeriskaya, d.1, lit.A, POM26N, St. Petersburg, Russia 191014. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| ZAO Sparta, Ul. Mokhovaya, d.18, li.A, Kv.7N, St. Petersburg, Russia 191028. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| ZAO Svyaz Inzhiniring, a.k.a., the following one alias: – Svyaz Engineering. 6th Radialnaya Street, Office 9, Moscow, Russia, 115404. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Zhukovskiy Central Aerohydrodynamics Institute (TsAGI), a.k.a., the following two aliases: – TsAGI; – The Central Aerohydrodynamic Institute named after N.E. Zhukovsky. 1 Zhukovsky Street, Zhukovsky, Moscow Region, 140180, Russia. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of Denial | 87 FR 20299, 4/7/22. | ||
| Zorsecurity Center (f.k.a., Esage Lab), a.k.a., the following one alias: – TSOR Security Luzhnetskaya Embankment | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 724, 1/4/17. | ||
| SAUDI ARABIA | UEC (Pvt.) Ltd.,
P.O. Box 245221, Riyadh 11312, Kingdom of Saudi Arabia (See alternate addresses under Pakistan and U.A.E.) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | |
| SENEGAL | Dart Aviation, a.k.a., the following four aliases: – Dart Aviation Technics; – Dart Aviation Marlbrine S.A.R.L.; – MBP Trading Ltd.; – SARL IEAS. CID Aéroport International Léopold Sedar Senghor Dakar Yoff Senegal. (See also addresses under France, Iran and the United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | |
| SINGAPORE | Action Global, a.k.a., the following one alias: – Action Global Co., Limited. 520 Sims Avenue, #02-04, Singapore 387580 (See alternate addresses under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | |
| Alexsong PTE LTD, a.k.a., the following one entity: – Champion Way Pte Ltd. OG Albert Complex, Albert Street 60 #10-04, City-Beach Road, 189969 Singapore. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Amaze International, Block 1057 Eunos Avenue 3, #02-85, Singapore 409848 (See alternate address under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Beijing Highlander Digital Technology Co., Ltd., 1 Sunview Rd., #08-43, Singapore 627615. (See alternate address under China). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Brian Douglas Woodford, 1 Scotts Road, Suite 25-06 Shaw Centre, Singapore 228208 (See alternate address under the United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Computer Security Initiative Consultancy PTE. LTD., a.k.a., the following alias: – COSEINC. 102F Pasir Panjang Rd., #08-02, Citilink Warehouse Complex, Singapore 118530. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 60760, 11/4/21. | ||
| Corad Technology Pte Ltd., 10 UBI Crescent, #04-43 UBI TechPark, Singapore, 408564; | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Corezing International, a.k.a., the following five aliases: – CoreZing Electronics; – Corezing International Group Company; – Corezing International Pte Ltd; – Corezing Technology Pte Ltd; – Core Zing. 2021 Bukit Batok Street 23, #02-212, Singapore 659626; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Cyberinn PTE LTD, a.k.a., the following alias: – Index Consultancy & Services PTE LTD., 1 Rochor Canal Road, #06-07 Sim Lim Square, 188504, Singapore. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54508, 9/22/08. 77 FR 58006, 9/19/12. | ||
| Falcon International Trading Company, Level 39 Marina Bay Financial Center, Tower 2, 10 Marina Boulevard Singapore 018983. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 75174, 12/8/22. | ||
| Gryphon Aerospace, 36 Lorong N Telok Kurau Unit #03-03, Singapore 425160 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Hawk Electronic Supply Company, Level 39 Marina Bay Financial Center, Tower 2, 10 Marina Boulevard, Singapore 018983. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 75174, 12/8/22. | ||
| Hia Soo Gan Benson, a.k.a., the following three aliases: – Benson Hia; – Soo Gan Benson Hia; – Thomas Yan. Blk 8 Empress Road, #0705, Singapore 260008; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 14796, 3/16/20. | ||
| Hossein Ahmad Larijani, 24 Semei Street 1, #06-08, Singapore 52996; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Huawei Cloud Singapore, Singapore, Singapore. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei International Pte. Ltd., Singapore. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab, Singapore, a.k.a., the following one alias: – Huawei Singapore OpenLab, Singapore, Singapore. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Izix Group Pte Ltd., Number 26 Defu Lane 9, Singapore 539267; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Lim Kow Seng, a.k.a., the following five aliases: – Alvin Stanley; – Eric Lim; – James Wong; – Mike Knight; – Seng Lim Kow. Blk 751 Woodlands Circle, #10-592, Singapore 730751; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. 85 FR 83769, 12/23/20. | ||
| Lim Yong Nam, (a.k.a., Lin Rongnan, Steven Lim and Yong Nam Lim),170 Bukit Batok, West Avenue 8, #13-369, Singapore 650170; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Merlin Trading Company, a.k.a, the following one alias:
– Merlin International Company. 195 Upper Paya Lebar Road, Singapore 534873. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 75174, 12/8/22. | ||
| Microsun Electronics Pte. Ltd, Sim Lim Tower, 10 Jalan Besar, Singapore 208787 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Monarch Aviation, 1 Scotts Road, Suite 25-06 Shaw Centre, Singapore 228208 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Mushko Logistics Pte. Ltd., Unit 04-01, Lip Hing Industrial Building, 3 Pemimpin Drive, Singapore; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| NEL Electronics, (a.k.a., NEL Electronics Pte Ltd),158 Kallang Way, #02-505 Kallang Basin, Singapore 349245; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Opto Electronics Pte. Ltd, Suite 11-08, Sim Lim Tower, 10 Jalan Besar, Singapore 208787 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 1701, 1/13/10. | ||
| Pulse Tech International Company, Level 39 Marina Bay Financial Center, Tower 2, 10 Marina Boulevard, Singapore 018983. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 75174, 12/8/22. | ||
| Surftech Electronics, Block 1057 Eunos Avenue 3, #02-85 Singapore 409848 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following alias: Kedacom
1 Tannery Lane One Tat Seng #04-01, Singapore. (See alternate addresses under China, Netherlands, Pakistan, South Korea, and Turkey). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Wong Yuh Lan, (a.k.a., Huang Yulan, Jancy Wong and Yuh Lan Wong), Blk 109B Edgedale Plains, #14115, Singapore 822109; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 67062, 10/31/11. | ||
| Yip Kum Kuan, 36 Lorong N Telok Kurau, Unit #03-03, Singapore 425160 | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| SLOVAKIA | Incoff Aerospace S.R.O., a.k.a., the following one alias: – Incoff Group Polianky 3327/5 Bratislava – Mestska Cast Dubravka; Bratislavsky, 84101, Slovakia. | For all items subject to the EAR. (See § 744.11 of the EAR). This license requirement may be overcome by License Exception GOV under § 740.11(b)(2) and (e) | Policy of denial; Case-by-case basis for items for U.S. Government supported use in the International Space Station (ISS) | 87 FR 13143, 3/9/22. 87 FR 38925, 6/30/22. | |
| SOUTH AFRICA | Gunther Migeotte, 1 River Street, Rosebank, Cape Town, 7700, South Africa; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | |
| Huawei Cloud South Africa, Johannesburg, South Africa. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab, Johannesburg, a.k.a., the following one alias: – Huawei Johannesburg OpenLab, Johannesburg, South Africa. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies South Africa Pty Ltd., 128 Peter St Block 7 Grayston Office Park, Sandton, Gauteng, 1682, South Africa. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Icarus Marine (Pty) Ltd., 1 River Street, Rosebank, Cape Town, South Africa; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| Ralph Brucher, P.O. Box 9523, Centurion 0046, South Africa; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| Scavenger Manufacturing (Pty) Ltd., P.O. Box 288, Silverton, Pretoria 0127, South Africa; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| Shawn Hugo De Villiers, 1 River Street, Rosebank, Cape Town 7700, South Africa; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 36516, 6/28/10. 77 FR 58006, 9/19/12. | ||
| SOUTH KOREA | Joseph Choi, aka Yo-so’p Ch’oe, D-304, Songdo BRC Smart Valley 30 Songdomirae-ro Yeonsu-gu, Incheon, South Korea 406-840; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | |
| Korea Automation Industry (KAI), D-304, Songdo BRC Smart Valley 30 Songdomirae-ro Yeonsu-gu, Incheon, South Korea 406-840; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 44849, 7/28/15. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following alias: – Kedacom. #1802 Daeryung Techno 15th, 401 Simindaero Dongan-Gu, Gyunggi-Do, South Korea. (See alternate addresses under China, Netherlands, Pakistan, Singapore, and Turkey). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| SOUTH SUDAN | Ascom Sudd Operating Company, a.k.a., the following one alias: – ASOC. South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | |
| Dar Petroleum Operating Company, a.k.a., the following one alias: – DPOC. Zhongnan Hotel, on UNMISS Road, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| DietsmannNile, Tomping District opposite Arkel Restaurant, two blocks north of Airport Road, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Greater Pioneer Operating Co. Ltd, a.k.a., the following one alias: – GPOC. South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Juba Petrotech Technical Services Ltd.
South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Nile Delta Petroleum Company, Hai Malakai neighborhood, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Nile Drilling and Services Company, Hai Amarat, Airport Road, West Yat Building, Third Floor, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Nile Petroleum Corporation, a.k.a., the following one alias: – Nilepet. Tomping District opposite Arkel Restaurant, two blocks north of Airport Road, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Nyakek and Sons, Jubatown District near the Ivory Bank, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Oranto Petroleum, Referendum Road, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Safinat Group.
South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| SIPET Engineering and Consultancy Services, a.k.a., the following one alias: – SPECS. Tomping District opposite Arkel Restaurant, two blocks north of Airport Road, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| South Sudan Ministry of Mining, Nimra Talata, P.O. Box 376, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| South Sudan Ministry of Petroleum, Ministries Road, Opposite the Presidential Palace, P.O. Box 376, Juba, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| Sudd Petroleum Operating Co., a.k.a., the following one alias: – SPOC. Tharjath, Unity State, South Sudan. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 83 FR 12479, 3/22/18. | ||
| SPAIN | Invention Bridge SL, C/Provenza 281-2-9, 08006, Barcelona, Spain. | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | |
| Majory LLP, Avinguda De Rhode 255, Roses (Girona), ES CT, 17480, Spain. (See alternate address under United Kingdom). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| SRI LANKA | Huawei Technologies Lanka Company (Private) Limited, Colombo, Sri Lanka. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| SWEDEN | Catomi Consulting AB, Grev Turegatan 14, 11446 Stockholm, Sweden. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | |
| Huawei Sweden, Skalholtsgatan 9-11 Kista, 164 40 Stockholm, Sweden. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| SWITZERLAND | Airfix Aviation Oy, Chemin des Papillons 4, Geneva/Cointrin 1216 Switzerland. (See also address under Finland) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | |
| Chimconnect AG, Langaulistrasse 17, CH-9470 Buschs/SG, Switzerland. | For all items subject to the EAR | See §§ 744.2(d), 744.3(d), and 744.4(d) of this part | 86 FR 12531, 3/4/21. | ||
| Huawei Cloud Switzerland, Bern, Switzerland. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies Switzerland AG, Liebefeld, Bern, Switzerland. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| LTS Holding Limited (f.k.a. IPP-International Petroleum Products Ltd.), Rue du Conseil-General 20, Geneva 1204, Switzerland. (See alternate address under United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Milur SA, Chemin des Planches 42, VAUD, AO 1066 Epalinges, Switzerland. | For all items subject to the EAR. (See §§ 734.9(g), 3 744.21(b), and 746.8(a)(3) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 75174, 12/8/22. | ||
| Phillip Zurcher,
P.O. Box 117, CH-9242 Oberuzwil, Switzerland. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Rosneft Trading S.A., 2, Rue Place du Lac, 1204, Geneva, Switzerland. | For all items subject to the EAR when used in projects specified in § 746.5 of the EAR | See § 746.5(b) of the EAR | 80 FR 52968, 9/2/15. | ||
| Travcon Aviation Group,
P.O. Box 117, CH-9242 Oberuzwil, Switzerland. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| SYRIA | Adib Zeno, Damascus International Airport, Damascus Airport Motorway, Damascus, Syria | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | |
| Ag Yildiz Insaat Gayrimenkul Tasimacilik Pazarlama lthalat Ihracat ve Ticaret Ltd. Sirketi, a.k.a., the following four aliases: – Ag Yildiz Cargo; – Ag Yildiz Gayrimenkul; – Yildiz Company; – Yildiz Shipping Company. Al Bab, Syria (See alternate addresses under Iraq and Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Cham Wings Airlines, Al-Fardous Street, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| EDO-ELEMED, a.k.a., the following two aliases: – EDO ELEMED; – EDO/ELEMED. 16 Parliament Street – Salhieh, Diab Building, Damascus, Syria; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| EKT Electronics, a.k.a. the following four aliases: – Katrangi Electronics; – Katrangi Trading; – Katranji Labs; and – Electronics Systems. #1 floor, 11/A, Abbasieh Building, Hijaz Street, P.O. Box 10112, Damascus, Syria; and #1 floor, 02/A, Fares Building, Rami Street, Margeh, Damascus, Syria (See alternate addresses under Lebanon). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54509, 9/22/08. 76 FR 50407, 8/15/11. 77 FR 24590, 4/25/12. | ||
| Elemed Liban, 16 Parliament Street – Salhieh, Diab Building, Damascus, Syria; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Encyclopedia Electronics Center, a.k.a., Hassan Matni Import Export Co., Nazir Matni Electronics, Mosalam Baroudi Street, P.O. Box 12071, Halbouni, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. 76 FR 50410, 8/15/11. | ||
| Higher Institute of Applied Science and Technology (HIAST), a.k.a., Institut Superieur des Sciences Appliquées et de Technologie (ISSAT), Institut des Sciences Appliquées et de Technologie (ISAT), P.O. Box 31983, Barzeh, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 70 FR 11861, 3/10/05. 76 FR 50410, 8/15/11. | ||
| Industrial Establishment of Defense (IED), a.k.a., Industrial Establishment of Defence (IED), Établissements Industriels de la Défense (EID), Etablissement Industrial de la Defence (ETINDE), Al Thawraa Street, P.O. Box 2330, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 70 FR 11861, 3/10/05. 76 FR 50410, 8/15/11. | ||
| Jamal Jum’ah al-Shawi, Al Bab, Syria. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Mohammed Katranji, #1 floor, 11/A, Abbasieh Building, Hijaz Street, P.O. Box 10112, Damascus, Syria; and #1 floor, 02/A, Fares Building, Rami Street, Margeh, Damascus, Syria (See alternate address under Lebanon) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. 76 FR 50410, 8/15/11. | ||
| Muhammad `ulwan Al-Shawi, Al Bab, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| National Standards and Calibration Laboratory (NSCL), a.k.a., Scientific Studies and Research Center (SSRC)-NSCL, Institut National Calibration Centre, P.O. Box 4470, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 70 FR 11861, 3/10/05. 76 FR 50410, 8/15/11. | ||
| Rahal Corporation for Technology and Medical Supplies, 16 Parliament Street – Salhieh, Diab Building, Damascus, Syria; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Rahal Establishment, 16 Parliament Street – Salhieh, Diab Building, Damascus, Syria; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Rizk Ali, Damascus International Airport, Damascus Airport Motorway, Damascus, Syria. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Scientific Studies and Research Center (SSRC), a.k.a., Center for Scientific Studies and Research (SSRC), Scientific Studies Research Centre (SSRC), Centre d’Etudes et de Recherches Scientifiques (CERS), Center for Study and Research (CERS), Scientific Studies and Research Council, Syrian Scientific Research Council, Scientific Research Council (SRC), P.O. Box 4470, Damascus, Syria | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 70 FR 11861, 3/10/05. 76 FR 50410, 8/15/11. | ||
| Sekirin Tekstil Ithalat Ihracat le ve Dis Ticaret Limited Sirketi, a.k.a., the following seven aliases: – Sekirin Textiles Export Import Limited Company; – Al Shakirin International Transport Company; – Shakirin Company; – Shakrin Company; – Sekirin Ticaret; – Al Shakirin Company; – Sekirin Company. Al Bab, Syria (See alternate addresses under Iraq and Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Ukraine Mediterranean Airlines, a.k.a., UM Airlines, UM Air, 29 Ayar Str., Julia Dumna building, Damascus, Syria (See alternate addresses under Iran and Ukraine) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| TAIWAN | Arthur Shyu, 3F-1 No. 52, SEC 2, Chung Shan N. Road, Taipei 104 Taiwan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | |
| Corad Taiwan Representative Office, 1A, No. 30 Jiazheng 9th St., Zhubei City, Hsinchu County 30274; 3F-1, No. 1008, Sec. 4, Johngsing Rd., Jhudong Township, Hsinchu County, 310 Taiwan. (See also addresses under China for this entry, which is listed as Corad Technology Limited). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 67319, 11/26/21. | ||
| Enrich Ever Technologies Co., Ltd., a.k.a., the following one alias: – Enrich Ever Technologies Co., 9F No. 38 Ming-Fu 13th Street, Taoyuan, Taiwan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Hangzhou Hualan Microelectronics Co., Ltd., a.k.a., the following five aliases: – Hangzhou Hualan Microelectronique Co., Ltd.; – Hualan Micro; – Sage Microelectronics Corporation; – Sage Micro; – Hangzhou Huasheng Microelectronics. 8th Floor-3, No. 192 Ruiguang Road, Neihu District, Taipei City, Taiwan. (See alternate addresses under China). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Hivocal Technology Company, Ltd., 10F, No. 736, Jhongjheng Road, Jhonghe City, Taipei County 235, Taiwan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Infinity Wise Technology Limited, Flat/RMA 6/F, Man Wing Building 503-507 Nathan Road Yaumate 1, Taiwan; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. 85 FR 83769, 12/23/20. | ||
| Kuang-Su Corporation, 8F, No. 431, Da-You Road, Taoyuan, Taiwan. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Landstar Tech Company Ltd., 13/F, Number 181, Sec 1, Datong Rd., Sijhih City, Taipei, Taiwan | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. | ||
| Neotec Semiconductor Ltd., a.k.a., the following one alias:
– Xinde Technology. 4F-1., No. 32, Taiyuan St., Hsinchu County 302, Zhubei City, Taiwan; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR) | Policy of denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 88 FR 13675, 3/6/23. | ||
| Xunwei Technologies Co., Ltd., Taipei, Taiwan. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Yi-Lan Chen, a.k.a., Kevin Chen, 13/F, Number 181, Sec 1, Datong Rd., Sijhih City, Taipei, Taiwan, and 7th Floor, Number 17, Zhonghua Rd., Sec 2, Xinzhuang City, Taipei, Taiwan | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 75 FR 7359, 2/19/10. | ||
| THAILAND | Asian Aviation Logistics Co., Ltd., 21 Tower 2nd Floor Zone A805 Srinakarin Road, Suanluang Bangkok 10250 Thailand; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | |
| Huawei Cloud Thailand, Bangkok, Thailand. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei OpenLab Bangkok, a.k.a., the following one alias: – Huawei Bangkok OpenLab. Bangkok, Thailand. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies (Thailand) Co., 87/1 Wireless Road, 19th Floor, Capital Tower, All Seasons Place, Pathumwan, Bangkok, 10330, Thailand. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Khalidee Boolay Surinanda, a.k.a., the following one alias: Khalidee Boolay Surinandha. 21 Tower 2nd Floor Zone A805 Srinakarin Road, Suanluang Bangkok 10250 Thailand; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Kosol Surinanda, a.k.a., the following one alias: Kosol Surinandha.140/65 ITF Tower, 27 Floor, Silom Rd., Suriyawongse, Bangrak, Bangkok, 10500, Thailand; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Marilog Avion Services Company, Limited, 987 Silom Road, Bang Rak, Bangkok, Thailand, 10500. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mohamad Rifan, 987 Silom Road, Bang Rak, Bangkok, Thailand, 10500. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mostafa Oveici, a.k.a., the following one alias: Mosi Oveici. 21 Tower 2nd Floor Zone A805 Srinakarin Road, Suanluang Bangkok 10250 Thailand, (See alternate address under Iran) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| TURKEY | 3K Aviation Consulting and Logistics, a.k.a., the following one alias: – 3K Havacilik ve Danismanlik SAN. TIC. LTD. ST Biniciler Apt. Savas Cad. No. 18/5, Sirinyali Mah. 07160, Antalya, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | |
| Abbas Goldoozan, Kimya IC VE Dis Ticaret Ltd., 2nd Floor, No. 2, Istanbul, Turkey; Yesil Tulumba A, Istanbul, Turkey 34134 (See also alternate address under Iran). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Aeolian Airlines, Ozgur KK No 4 Da 5 Davran Ap Flo, Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Ag Yildiz Insaat Gayrimenkul Tasimacilik Pazarlama lthalat Ihracat ve Ticaret Ltd. Sirketi, a.k.a., the following four aliases: – Ag Yildiz Cargo; – Ag Yildiz Gayrimenkul; – Yildiz Company; – Yildiz Shipping Company. Guneykent Mah. Universite Blv. Tuze Sitesi Alti No: 393/B, Sahinbey, Gaziantep, Turkey (See alternate addresses under Iraq and Syria). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Ala al-Shawi, a.k.a., the following one alias: – Abu Cemal. 60147 Caddesi No. 23, Sanayi Mahallesi, Sehitkamil, Gaziantep, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Ali Guzel, 60147 Caddesi No. 23, Sanayi Mahallesi, Sehitkamil, Gaziantep, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| AR Kompozit Kimya, a.k.a., the following two aliases: – AR Composites Company Ltd; – AR Kompozit Kimya Muhendislik Taah Dis Tic Ltd. Kuyumcukent 2, Plaza Kat 5, No 9, Yenibosna, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 2887, 1/10/17. | ||
| Avistar Havacilik Bilisim Turizm Insaat Sanayi Ve Ticaret Limited Sirketi, Yenibosna Dogu Sanayi Sitesi, 9 Blok No: 1, Bahcelievler – Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Blue Lines FZE, Unit 2706, Floor 27, Maslak Baybigiz Plaza, 34396, Istanbul, Turkey (see alternate address under United Arab Emirates). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Cenk Ozturk,
Aktepe Sanayi Sitesi, Kinalikar Sokak, Orta Mahalle No. 19, Orhanli-Tuzla, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| ERA Metalurji San. Ve Tic. Ltd. Sti.,
Aktepe Sanayi Sitesi, Kinalikar Sokak, Orta Mahalle No. 19, Orhanli-Tuzla, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Ergin Turker, Yenibosna Dogu Sanayi Sitesi, 9 Blok No: 1, Bahcelievler – Istanbul, Turkey | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Eslem Global Pazarlama Sanayi ve Ticaret, PO Box 34122, Sultanahmet, Fetih, Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Eurocenter Havacilik Dis Ticaret Limited Sirketi, Kemalpasa Mh, Ordu Cad., Yesil Tulumba Sk No 9, Fatih, Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Fulya Kalafatoglu Oguzturk, a.k.a., the following one alias: – Macide Fulya Kalafatoglu. Barajyolu Cd Yenisehir Mh Sinpas Koruk Konutlari No 40 Sogut Blok D1 Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 2887, 1/10/17. | ||
| Gensis Engineering, a.k.a., the following one alias: – Gensis Muhendislik Danismanlik. Fevzi Cakmak Mah., Malazgirt Cad 58/5, Pendik, Istanbul, Turkey. (see alternate address under Georgia). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Golsad Istanbul Trading, a.k.a., the following one alias: – Golsad Import-Export. Kimya IC VE Dis Ticaret Ltd., 2nd Floor, No. 2, Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 22640, 4/23/15. | ||
| Gulnihal Yegane, Egs Bloklari B-1 Blok K.1 No: 114, Yesilkoy Bakirkoy, Istanbul, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Huawei OpenLab Istanbul, a.k.a., the following one alias: – Huawei Istanbul OpenLab. Istanbul, Turkey. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huseyin Engin Borluca,
Biniciler Apt. Savas Cad. No. 18/5, Sirinyali Mah. 07160, Antalya, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Kral Aviation, a.k.a., the following two aliases: Kral Havacilik Ic Ve Dis Ticaret Sirketi; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Kral Aviation Services Ltd., Yesilkoy Mh.Ataturk Cd., Esg Business Park B1. B2 K:6 No:234, Bakirkoy Istanbul, Turkey | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Luqman Yasin Yunus Shgragi, a.k.a., the following two aliases: – Lkemanasel Yosef; – Luqman Sehreci. Savcili Mahalesi Turkmenler Caddesi No:2, Sahinbey, Gaziantep, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Mehmet Cingi,
Aktepe Sanayi Sitesi, Kinalikar Sokak, Orta Mahalle No. 19, Orhanli-Tuzla, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Mehmet Yari, P.O. Box 34122, Sultanahmet, Fetih, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Murat Peker, Mah. Idris Kosku Caddesi Kutu, Sokak No: 1 Pierreloti/Eyup, Instanbul, Turkey | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Murat Taskiran, Kuyumcukent 2, Plaza Kat 5, No 9, Yenibosna, Istanbul, Turkey. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 2887, 1/10/17. | ||
| Pioneer Logistics Havacilik Turizm Yonetim Danismanlik Ithalat Ihracat San. Tic. Ltd. Sti, Egs Bloklari B-1 Blok Kat: 1 No; 114, Yesilkoy Bakirkoy, Istanbul, Turkey | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Ramor Group, a.k.a., the following four aliases: – Ramor Construction Food and Furniture Incorporation; – Ramor Ins; – Ramor Company; – Ramor Ltd. Co. Unit 42, Gardenya Plaza | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 2887, 1/10/17. | ||
| Resit Tavan, Turgotozl CD Agaoglu MySkyTowers, A Blok D 12, Istanbul, Turkey 34758. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 2887, 1/10/17. | ||
| Sekirin Tekstil Ithalat Ihracat le ve Dis Ticaret Limited Sirketi, a.k.a., the following seven aliases: – Sekirin Textiles Export Import Limited Company; – Al Shakirin International Transport Company; – Shakirin Company; – Shakrin Company; – Sekirin Ticaret; – Al Shakirin Company; – Sekirin Company. Savcili Mahalesi Turkmenler Caddesi No:2, Sahinbey, Gaziantep, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| Seyyed Abdolreza Mousavi, Kemalpasa Mh, Ordu Cad., Yesil Tulumba Sk No 9, Fatih, Istanbul, Turkey, (See alternate address under Greece) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Suzhou Keda Technology Co., Ltd., a.k.a, the following alias: – Kedacom. Mahmut Sevket Pasa Mah, Odesa Bulvari, Okmeydani No. 34, 34000 Sisli/Istanbul, Turkey. (See alternate addresses under China, Netherlands, Pakistan, Singapore, and South Korea). | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 36499, 7/12/21. | ||
| Vangurd Tec Makina Sanyi Ithalat, Yesilkent MH. 2011 SK. Innovia 3 Etap 18/15 Esenyurt, Istanbul, Turkey. | All items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 86 FR 71559, 12/17/21. | ||
| Yunus Luqman Yasin Shgragi, a.k.a., the following one alias: – Yunus Sehreci. Savcili Mahalesi Turkmenler Caddesi No: 2, Sahinbey, Gaziantep, Turkey; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 57454, 8/23/16. | ||
| UGANDA | UCB Arcade, a.k.a., the following alias: – Allied Trading Co. P.O. Box 5999, Kampala, Uganda (See alternate address under Allied Trading Co. in Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | |
| UKRAINE | – Chornomornaftogaz, – NJSC Chornomornaftogaz. Kirova/per. Sovnarkomovskaya, 52/1, Simferopol, Crimea, 95000, Ukraine. (See also Crimea (Occupied)). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 21396, 4/16/14. | |
| Donetsk People’s Republic, Donetsk Region, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Feodosiya Enterprise, a.k.a., the following four aliases: – Feodosia Oil Products Supply Co.; – Feodosiya Enterprise on Providing Oil Products; – Feodosiyske Company for the Oil; – Theodosiya Oil Terminal. Feodosiya, Geologicheskaya str. 2, Crimea 98107, Ukraine; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Khors Air Company, 34, Lesi Ukrainki Boulevard, Kiev, 01133, Ukraine; and 10, Mekhanizatoriv Street, Kiev, 03035, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Luhansk People’s Republic, a.k.a., the following two aliases: – Lugansk People’s Republic – People’s Republic of Luhansk Luhansk Region, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 42455, 7/22/14. | ||
| Natalya Totskaya, 34, Lesi Ukrainki Boulevard, Kiev, 01133, Ukraine; and 10, Mekhanizatoriv Street, Kiev, 03035, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Private Joint-Stock Company Mako Holding, a.k.a., the following one alias: – Mako Holding. Bohdan Khmelnytsky Avenue, Building 102, Voroshilovsky District, Donetsk, Donetsk Oblast 83015, Ukraine. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Roman Unytskyi, 34, Lesi Ukrainki Boulevard, Kiev, 01133, Ukraine; and 10, Mekhanizatoriv Street, Kiev, 03035, Ukraine | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Sergei (Sergi) Ivanovich Tomchani, a.k.a., Sergey Ivanovich Tomchani, 34, Lesi Ukrainki Boulevard, Kiev, 01133, Ukraine; and 10, Mekhanizatoriv Street, Kiev, 03035, Ukraine (See alternate addresses under Greece and United Kingdom) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Ukraine Mediterranean Airlines, a.k.a., UM Airlines, UM Air, 7, Shulyavskaya Str., Kiev, Ukraine (See alternate addresses under Iran and Syria) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| UNITED ARAB EMIRATES | A.H. Shamnad, P.O. Box 42340, Dubai, U.A.E.; and No. 3-4 Sharafia Ahmed Ali Building, Al Nakheel, Deira, Dubai 396, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | |
| Abdulla K. Al Suleimani, a.k.a., the following two aliases: – Shehab Ahmed; – Hamad Abdulla. Jebel Ali Free Zone, P.O. Box 61002, Dubai, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Abdullah Poor Nagar, P.O. Box 64705, Number 20, Al Ras Street, The Gold Sough, Diera, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| aBensa FZ LLC, a.k.a. the following one alias: – BiotaGroup Company Al Thuraya Tower 1, 9th Floor, Office 907, P.O. Box: 500097, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| AdCom Systems, a.k.a. the following two aliases: – Sky Global Communications; – Sky Global Communication Systems. Industrial City of Abu Dhabi – ICAD1, Mussafah, Abu Dhabi, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 83 FR 48534, 9/26/18. | ||
| Advanced Aerospace Industries, Industrial City of Abu Dhabi, Abu Dhabi, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Advanced Targeting Systems Company, LLC (ATS), P.O. Box 34237, High Specialized Economical Zone M41, 103A13, Al Mussafah, Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Aerostar Asset Management FZC, a.k.a., the following two aliases: Star Aviation Group; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Afsari General Trading LLC, Mezzanine Fl, No. M-7, Al Bakhit Centre, Abu-Bakr Rd, Deira, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Ahmad Asad Faour, a.k.a., the following one alias: – Ahmad Assad Fa’ur. Industrial Area 11, 28th St, Wave Tech Bldg, Sharjah, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Ajab Noor, a.k.a., the following one alias: – Ajab Nur. Box No. 28715, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Ajab Trading Co. LLC, Box No. 28715, Dubai, U.A.E.; Dubai Tower, Al Maktoum Rd, Al Rigga, Dubai, Near Baniyas Square Metro Station, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Ajmal Aviation, P.O. Box 40445, Building C1, Ajman Free Zone, Ajman, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| al Ajwa al Tiqniah Telecommunications Wire and Wireless Devices, P.O. Box 3421, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Al-Faris, RAK Free Zone, P.O. Box 10559, Ras Al Khaimah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Al Maskah Used Car and Spare Parts, Maliha Road, Industrial Area 6, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25055, 4/27/12. | ||
| Al Merikh General Trading, Suite #203, Bani Yas Tower Dubai, UAE; and P.O. Box 3559, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Al Noor Alaili Trading Company, a.k.a., the following one alias: – ANATCO. Floor No. 37, Office No. 3706, Latifa Tower, Community Trade Center First, Sheikh Zayed Road, P.O. Box: 40118, Dubai, United Arab Emirates; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Al Ras Gate General Trading, P.O. Box 64705, Number 20, Al Ras Street, The Gold Sough, Diera, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| al Tawasul al Arabi Net Systems, al Tawasul Building, Industrial Area 11, Sharjah, U.A.E.; P.O. Box 25187, Sharjah, U.A.E. (See alternate address under Lebanon). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Aletra General Trading (a.k.a., Erman & Sultan Trading Co.), Sabkha Street, Shop No. 8, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Alex Ardalan, Al Thuraya Tower 1, 9th Floor, Office 907, P.O. Box: 500097, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Alex Nouri Zadeh, a.k.a. the following three aliases: – Alex Banai; – Alex Norry; – Nouri Zadeh, No. 102 and 106, 1st Floor, K5 Entrance, Alshami Rest. Bldg., Al Muraqqabat Rd., Deira, Dubai, 184609 U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Ali Akbar Yahya, 505 Siraj Building 17B Street, Mankhool, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Ali Al-Dhaheri, Building No. H03, 6 Abu Dhabi Heights Street, Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Ali Reza Divanizadeh, Al Ras Center Building, Behind Al Ras Hotel, Shop No. B-05, P.O. Box 5680, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Amir Mohammad Zahedi, RAK Free Zone, P.O. Box 10559, Ras Al Khaimah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Ammar Almounajed, a.k.a., the following one alias: – Ammar al-Mounjad. Warehouse No. 1017, Old Agent Bldg., Dubai Air Cargo Village, Dubai, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Aristeidis A. Pappas, Villa D71, Al Hamra Village, Ras Al Khaimah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Atlinx Electronics, Flat 401-Bin Yas Center Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Avia Trust, a.k.a., the following one alias: Avia Trust FZE. Warehouse G-22 PO Box 54541, Dubai Airport Free Zone Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Basha Asmath Shaikh Office M-2, Al Andalus Bldg, Next to Shoemart Bldg, Abu Hail, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Behover General Trading/Information Technologies, a.k.a., the following one alias: – DBA Behover Information Technologies. P.O. Box 25756, Atrium Center Building, Burdubai, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Bestway Line FZCO, TPOFCB-06WS10, Jebal Ali Free Zone, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Beverly Apigo, P.O. Box 28515, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Blue Lines FZE, RAK Free Zone, P.O. Box 10559, Ras Al Khaimah, United Arab Emirates (see alternate address under Turkey). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Complete Freight Solutions, 704 The Atrium Ctr, Khalid Bin, Dubai, U.A.E; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Crescent International Trade and Services FZE, Office No. B34BS33O111, Jebel Ali, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Cybernet MEA, 202 B Sama Tower Sheikh Tayed Road #3, Dubai, U.A.E., P.O. Box 16048; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Danoush Trading Company, No. 104, Beside Kheibar Hotel, Morshed Market St., Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| David Khayam, Apt #1811 Manchester Tower, Dubai Marina, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Delta Engineering Concern FZE, a.k.a. the following one alias: – DEC. SAIF Office, Q l -06-0 92/A, Sharjah, U.A.E. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| Divanizadeh General Trading Company, Al Ras Center Building, Behind Al Ras Hotel, Shop No. B-05, P.O. Box 5680, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Donna Lynn Ocampo, P.O. Box 28515, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Dr. Artush Parsi, No. 75 Noor Mohammed Taleb Building, Opposite to Ascot Hotel, Khaleed-bin-Valid Rd, Bur Dubai, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| E and I Systems FZE, Business Centre, Al Shmookh Building, UAQ Free Trade Zone, Umm Al Quwain, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Emirates Alloys, a.k.a., the following two aliases: – Emirates Alloys General Trading LLC; – Emirates Aero No. 101 Marwan Ahmed Ali Building, Port Saeed Road, P.O. Box 183799, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Emirates Hermes General Trading, a.k.a. the following two aliases: – Emirates Hermes General Trading LLC; – Emirates Hermes General Trading Co., Inc. Office M-2, Al Andalus Bldg, Next to Shoemart Bldg, Abu Hail, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Emitech Middle East FZC, P.O. Box 513364, SAIF Zone, Sharjah, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Enerquip Ltd. (UAE), Office 214, Block B1, Ajman Free Zone, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of this part | 87 FR 75174, 12/8/22. | ||
| Euromoto Middle East FZE,
Q-4 136 Warehouse, Sharjah Airport International Free (SAIF) Zone, Sharjah, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 82 FR 24245, 5/26/17. | ||
| Fajr Almadeena Electronics, No. 102 and 106, 1st Floor, K5 Entrance, Alshami Rest. Bldg., Al Muraqqabat Rd., Deira, Dubai, 184609 U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Farrokh Nia Yaghmaei, a.k.a, Farokh Nia Yaghmaei, Flat 401 – Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54510, 9/22/08. 76 FR 21631, 4/18/11. | ||
| Feroz Khan, a.k.a., the following three aliases: – Haaje Khan; – Haaji Khan; – Firoz. Maliha Road, Industrial Area 6, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25055, 4/27/12. | ||
| Focus Middle East, No. 504, Bldg. 5EA, Dubai Airport Free Zone, P.O. Box 293541, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Foremost International FZE, P.O. Box 123833, Q4-163, SAIF Zone, Sharjah, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Future Trends International, FZE LLC, a.k.a., the following one alias: – Future Trends. B-1101-15 Grand Tower Ajman, U.A.E. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 29193, 6/1/21. | ||
| FWS Trading FZE, Rainbow No. 1212, Ajman Free Zone, Ajman, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 8829, 2/23/16. | ||
| German Sky International Trading Company LLC, a.k.a., the one alias: – Civil Trading FZE Office No. 901, Riqqa Al Buteen Plaza, Al Maktoum Street, Dubai, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Ghasem Afsari, No. 405, Albakhit Centre, Abu-Bakr, AE-Dubai, U.A.E.; P.O. Box 40150, Al Bakhit Centre, Messanine Floor, M-7, Deira, Dubai, U.A.E.; Mezzanine Fl, No. M-7, Al Bakhit Centre, Abu-Bakr Rd, Deira, Dubai, U.A.E.; No. 75 Noor Mohammed Taleb Building, Opposite to Ascot Hotel, Khaleed-bin-Valid Rd, Bur Dubai, Dubai, U.A.E.; No. 7 Noor Mohammad Taleb Bldg. Opp. Ascot Hotel Khalid Bin Rd, Dubai, U.A.E.; No. 705, Noor Mohammad Taleb Bldg, Bin Valid Road, Dubai, U.A.E.; P.O. 111837, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Glasgow International Trading, a.k.a., the following one alias: Glasgow International General Trading LLC. P.O. Box 6462, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Global Merchant General Trading LLC, P.O. Box 39960, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Good Luck Shipping LLC, a.k.a., as the following two aliases: – Good Luck Shipping Services; and – GLS Office 206/207 Malik Saeed, Ahmad Ghabbash, Bur Dubai, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Gulf Eagle Contracting (GEC), P.O. Box 31814, Al Dhafra Road, New Airport Road, Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Gulf Eagle Industrial and Metal Profiles (GEIMP), P.O. Box 31814, Al Mussafah Industrial City, Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Gulf Gate Sea Cargo LLC, No. 508, Bldg P-114, Almaktoum Road, Deirah, Dubai, United Arab Emirates; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Gulf Gate Shipping Co. LLC, No. 508, Bldg P-114, Almaktoum Road, Deirah, Dubai, United Arab Emirates; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Gulf Trade House FZC, P.O. Box Number 121463, Sharjah, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| H. Ghasir, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Hamed Al Fahid Trading Company, Shop No. 3-4, Ahmed Ali Bldg., Al Jalel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Hamed Athari, No. 3-4 Sharafia Ahmed Ali Building, Al Nakheel, Deira, Dubai 396, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Hamed Kianynejad, Rainbow No. 1212, Ajman Free Zone, Ajman, U.A.E.; City Tower 2, Office #2004, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 8829, 2/23/16. | ||
| Hamid Rashed, Apt #1811 Manchester Tower, Dubai Marina, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Hamideh Ghayour, P.O. Box 155904, Dubai, U.A.E.; and Unit M3&4, Atrium Centre, Bank Street Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Huawei OpenLab Dubai, a.k.a., the following one alias: – Huawei Dubai OpenLab. Dubai, United Arab Emirates. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Husayn Fa’ur, a.k.a., the following one alias: – Hussein Faour. Beirut Hadath, Morjan Bldg near Sfeir Bridge, Lebanon; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Ibrahim Nasir, P.O. Box 32332, Dubai, United Arab Emirates (See additional address in Canada). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Infotec, a.k.a., the following two aliases: – Info Tech, – I. Tec Trading FZE, P.O. Box 10559, Ras Al Khaimah, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 78146, 12/16/11. 77 FR 71098, 11/29/12. | ||
| Innovative Technology Systems (ITS), 2nd Floor, #202 Sheik Zayed Road Dubai, POB 25344, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Jamal Hasan, a.k.a. the following alias: – Jamal Haji, No. 102 and 106, 1st Floor, K5 Entrance, Alshami Rest. Bldg., Al Muraqqabat Rd., Deira, Dubai, 184609 U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Jazirah Aviation Club,
Al Jazirah, Al Hamra, Ras al Khaimah, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Kadin Satco FZE, No. 28 Street 6, Phase Springs 10, Emirates Hills, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Khaled Al Taher, TPOFCB-06WS10, Jebal Ali Free Zone, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Khosrow Kasraei, P.O. Box 61342, Jebel Ali, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| Liberty House Trading LLC, a.k.a. the following two aliases: -Baet Alhoreya Electronics Trading; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Lufti Busaidi Sulaiman, a.k.a., the following one alias: – Lufti Al Busaidi. Jebel Ali Free Zone, P.O. Box 61002, Dubai, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Majidco Micro Electronics, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Managed Systems and Services (MSAS)(FZC), No. A3089 Seif Sharjah U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Manohar Nair, a.k.a., the following one alias: – Manoharan Nair. Office M-2, Al Andalus Bldg, Next to Shoemart Bldg, Abu Hail, Dubai, U.A.E., | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Mayrow General Trading, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E.; P.O. Box 42340, Deira, Dubayy, U.A.E. and P.O. Box 171978, Deira, Dubayy, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mayrow Technics Co., No. 3-4 Sharafia Ahmed Ali Building, Al Nakheel, Deira, Dubai 396, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mehdi Jafariyeh, a.k.a., the following one alias: – Mehdi Jeffery. P.O. Box 28515, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Mehdi Rafie, Shop No. 3 & 4, Sharafia Ahmed Ali Bldg., Al Nakheel St., Deira, P.O. Box 171978, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mehran Kamalinia, a.k.a. Ronald Simon, Shop No. 3 & 4, Sharafia Ahmed Ali Bldg., Al Nakheel St., Deira, P.O. Box 171978, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mehrdad Moeinansari, a.k.a., the following one alias: – Mehrdad Ansari. No 7101, Index Tower DIFC, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 40178, 6/21/16. | ||
| Micatic General Trading, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Micro Middle East Electronics, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Moh Khoman, No. 405, Albakhit Centre, Abu-Bakr, AE-Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Mohamad Javad, No. 405, Albakhit Centre, Abu-Bakr, AE-Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Mohamed Nashir, Jebel Ali Free Zone, P.O. Box 61002, Dubai, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Mohammad Nayeb, No. 102 and 106, 1st Floor, K5 Entrance, Alshami Rest. Bldg., Al Muraqqabat Rd., Deira, Dubai, 184609 U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Mohammed Marzoghi, TPOFCB-06WS10, Jebal Ali Free Zone, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. | ||
| Mohsen Saghafi, Shop No. 3 & 4, Sharafia Ahmed Ali Bldg., Al Nakheel St., Deira, P.O. Box 171978, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mojtaba Alikhani, Rainbow No. 1212, Ajman Free Zone, Ajman, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 8829, 2/23/16. | ||
| Mostafa Salehi, No. 308, 3rd Floor, Rafi Center, Al Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Mujahid Ali, a.k.a. the following one alias: – Mujahid Ali Mahmood Ali Office No. B34BS33O111, Jebel Ali, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 44683, 8/1/14. | ||
| NAR Technologies General Trading LLC, a.k.a., the following two aliases:
– NAR Technologies; – Nartechnologies. 1903 Reef Tower Jumeirah Lake Tower, P.O. Box 122016, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of this part | 87 FR 75174, 12/8/22. | ||
| Narinco, Flat 401-Bin Yas Center – Al Maktum Road, P.O. Box 42340, Dubai, U.A.E.; and Shops 3-4, Sharafia Ahmed Ali Building, al-Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Neda Overseas Electronics L.L.C., No. 308, 3rd Floor, Rafi Center, Al Nakheel, Deira, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Next Gulf Trading LLC, No. 75 Noor Mohammed Taleb Building, Opposite to Ascot Hotel, Khaleed-bin-Valid Rd, Bur Dubai, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 18811, 3/28/13. | ||
| Odyssey General Trading FZC, Sharjah Airport International Free Zone (SAIF), Executive Building, Office No P8-07-04 Sharjah, U.A.E.; | All items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 87 FR 8182, 2/14/22. | ||
| Patco Group Ltd, P.O. Box 20470, Ajman, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Pearltrainer FZE,
P.O. Box 32707, Sharjah, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Pegasus General Trading FZC, a.k.a., the following six aliases: – Pegasus General Trading FZE; – Pegasus General Trading Company; – Pegasus General Trading LLC; – Pegasus General; – Pegasus Trading; – Pegasus. Office No. 09, Building No. Q-1, Near Nilona/Gate No. 3, Al Dhaid Street, Sharjah Airport International Airport Free Zone, Sharjah U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Perfect Tyre Trading Co LLC, Al Ain – Al Sanaiya – Inh. Mohammed Sultan Aldarmaki – Bld, Dubai, U.A.E.; Post Box No. 67221, Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 8527, 2/18/15. | ||
| Presto Freight International, LLC, aka Presto Freight International LLC (PFI), Office M-2, Al Andalus Bldg, Next to Shoemart Bldg, Abu Hail, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 21236, 5/14/19. | ||
| Pyramid Technologies, P.O. Box 42340, Dubai, U.A.E.; and No. 3-4, Sharafia Ahmed Ali Building, Al Nakheel, Deira, Dubai 396, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 54503, 9/22/08. | ||
| Rainbow General Trading Company, City Tower 2, 20th Floor, Office #2005, Sheikh Zayed Road, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 8829, 2/23/16. | ||
| Raneen Wireless Development Systems Company (RWDS, LLC), Abu Dhabi -Mussaffah-ICAD I-(l 01Al3, 104Al 3, 105A13, 100A13, 103A13, 102A13) 40 Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Reza Ghoreishi, P.O. Box 61342, Jebel Ali, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. | ||
| Reza Hajigholamali, P.O. Box 20470, Ajman, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Rigsol Well Drilling Equipment Trading, a.k.a., the following one alias: – Rigsol. Saleh Al Kazim, Deira, Garhoud, Dubai, United Arab Emirates; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Rose Ann Apigo, P.O. Box 28515, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| S&D Industry Ltd., Souk Al Kabeer Building, Office No. F01, Bur Dubai Area, P.O. Box 932, Dubai, United Arab Emirates; | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 59421, 9/22/20. | ||
| Saeed Talebi, a.k.a., the following one alias: – Allen Talebi. No. 28 Street 6, Phase Springs 10, Emirates Hills, Dubai, U.A.E., | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. 85 FR 52901, 8/27/20. | ||
| Saeed Valadbaigi, a.k.a., the following two aliases: – Saeed Valad; – Saeed Baigi. No. 101 Marwan Ahmed Ali Building, Port Saeed Road, P.O. Box 183799, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| SANCO Middle East, FZC, a.k.a., the following one alias: – SANCO ME FZC. P.O. Box 8447, Sharjah Airport Free Zone (SAIF Zone), Sharjah, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| SANCO Middle East, LLC, a.k.a., the following one alias: – SANCO ME, LLC. Twin Tower 204A, Sharjah, 208, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Sawa Air Aviation FZCO, a.k.a., the following two aliases: Sawa Aviation; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Sci Box Scientific and Laboratory Equipment Trading, LLC, P.O. Box 183312, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | See § 744.2(d) of the EAR | 85 FR 52901, 8/27/20. | ||
| Scott Technologies FZE, a.k.a., the following one alias: – Scot Technologies. P.O. Box 121723, SAIF Zone, Sharjah, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 87 FR 38925, 6/30/22. | ||
| Seyed Mahdi Mousavi, P.O. Box 49465, Dubai, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Seyed Mousavi Trading, a.k.a., the following two aliases: – Hitech Computer Peripherals; – Hitech Corporation. P.O. Box 49465, Dubai, UAE; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 58006, 9/19/12. | ||
| Shaji Muhammed Basheer, a.k.a. the following alias: – S. Basheer. Shop No. 3 & 4, Sharafia Ahmed Ali Bldg., Al Nakheel St., Deira, P.O. Box 171978, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 24590, 4/25/12. | ||
| Shehab Bin Braik Al Breiki, Jebel Ali Free Zone, P.O. Box 61002, Dubai, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Sky Float Aviation FZE,
M6 Office 1309, Building R2, | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 83420, 12/22/20. | ||
| Sky Gulf Consultancy and Researches LLC, P.O. Box 25298, Abu Dhabi, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Sky Gulf Electronic Devices Industries, Industrial City of Abu Dhabi (ICAD) Zone 1 plots 104A 13 and 105A13 Abu Dhabi, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 52901, 8/27/20. | ||
| Skylinks FZC, a.k.a., the following two aliases: – Skylinks; – Skylinks Satellite Comm. P.O. Box 28515, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. 85 FR 83769, 12/23/20. | ||
| Source Com, Sharjah Airport, SAIF Zone P6 Area 191, Sharjah, U.A.E.; P.O. Box 120291, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Stealth Telecom FZC,
P.O. Box 7755, Sharjah, U.A.E. | For all items subject to the EAR (See § 744.11 of the EAR) | Presumption of denial | 83 FR 3580, 1/26/18. | ||
| Super Alloys,
No. 101 Marwan Ahmed Ali Building, Port Saeed Road, P.O. Box 183799, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Syed Amir Ahmed Najfi, Sabkha Street, Shop No. 8, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 37633, 6/28/11. | ||
| Taha Mansur, a.k.a., the following one alias: – Taha Mansour. P.O. Box 389, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Techcare Services FZ LLC,
No. 1, Ground Floor Office 8/D, P.O. Box 312391, Al-Jazeera Al Hamra, UAE | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| TEM International FZC, a.k.a., the following alias: – TEM. Floor 4, Block B, Entrance No. 2 Business Village, Deira A1 Maktoum Rd, Dubai P.O. Box 183125, U.A.E. | All Items Subject to the EAR | See § 744.2(d) of the EAR | 86 FR 36499, 7/12/21. | ||
| Teofila Logistics, Office 228, Al Aatar Shopping Mall, P.O. Box 115824, Karama, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| TGO General Trading LLC, a.k.a., the following one alias: – Three Green Orbit. 19th Floor Festival Tower, Festival City, P.O. Box 36605, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| Thrust Aviation FZE, 17c-F3 PO Box 5406 Fujairah Free Zone, Fujairah U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 78 FR 75463, 12/12/13. | ||
| Transworld Aviation, a.k.a., the following one alias: – Transworld Aviation FZE. Jebel Ali Free Zone, P.O. Box 61002, Dubai, United Arab Emirates. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| TROJANS, a.k.a., the following three aliases:
– TROJANS Solutions; – TROJANS Pakistan Ltd; – M/S TROJANS. 1903 Reef Tower, Jumeirah Lakes Tower Dubai, U.A.E. (See alternate address in Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of this part | 87 FR 75174, 12/8/22. | ||
| T.V. Joe Ouseppachan, Office 228, Al Aatar Shopping Mall, P.O. Box 115824, Karama, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 81 FR 14958, 3/21/16. | ||
| UEC (Pvt.) Ltd.,
P.O. Box 97, Abu Dhabi, UAE (See alternate addresses under Pakistan and Saudi Arabia) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Waseem Jawad, Ras Al Khaimah Free Trade Zone (RAKFTZ), U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 78148, 12/16/11. | ||
| Wave Tech Computers, Industrial Area 11, 28th St, Wave Tech Bldg, Sharjah, U.A.E.; P.O. Box 3421, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Wave Tech Group, Business Bay, Emirates National Tower, Churchill Bldg, Office 209, Dubai, U.A.E.; P.O. Box 30686, Dubai, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 32445, 6/5/14. | ||
| Wellmar Technology FZE, Office B1-307F, Ajman Free Zone, Ajman, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 14796, 3/16/20. | ||
| Zain Enterprises FZE, Business Center, A1 Shmookh Building, P.O. Box 3-28612, Sharjah, U.A.E. | For all items subject to the EAR. (See § 744.11 of the EAR) | See §§ 744.2(d), and 744.3(d) of this part | 87 FR 75174, 12/8/22. | ||
| Zurmat General Trading, Office No. 205, Platinum Business Center, Baghdad Street, Al-Nahda 2, Al-Qusais, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25055, 4/27/12. | ||
| Zurmat General Trading, Office No. 205, Platinum Business Center, Baghdad Street, Al-Nahda 2, Al-Qusais, Dubai, U.A.E.; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 25057, 4/27/12. | ||
| UNITED KINGDOM | A.P. Finance Limited, 38, Princes Court – 88 Brompton Road, Knightsbridge, London, SW3 1ES, United Kingdom; and Enterprise House, 113/115 George Lane, London, E18 1AB, United Kingdom | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | |
| Anatolii Pysarenko, 38, Princes Court – 88 Brompton Road Knightsbridge, London, SW3 1ES, United Kingdom; and Enterprise House,113/115 George Lane, London, E18 1AB, United Kingdom | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Aviation Network Associates, a.k.a., the following one alias: – Aviana. 24 Chiswell Street, 3rd Floor, London, United Kingdom EC1Y 4YX. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Brian Douglas Woodford (See alternate address under Singapore) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Centre for Integrated Photonics Ltd., B55 Adastral Park, Pheonix House, Martlesham Heath, Ipswich, IP5 3RE United Kingdom. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Chas Newport, 24 Chiswell Street, 3rd Floor, London, United Kingdom EC1Y 4YX. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| China Academy of Electronics and Information Technology, a.k.a., the following two aliases: – CAEIT; – CETC CAEIT. 3rd Floor, 9 St. Clare Street, London, United Kingdom. (See alternative address under China.) | All items subject to the EAR. (See § 744.11 of the EAR) | Case-by-case review for ECCNs 1A004.c, 1A004.d, 1A995, 1A999.a, 1D003, 2A983, 2D983, and 2E983, and for EAR99 items described in the Note to ECCN 1A995; case-by-case review for items necessary to detect, identify and treat infectious disease; and presumption of denial for all other items subject to the EAR | 86 FR 36499, 7/12/21. | ||
| Cloudminds Inc.,
C/O Maples Corporate Services Limited Ugland House, South Church Street, George Town, Grand Cayman KY1-1104, Cayman Islands. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Connec Electronic, 36 Gerrard Street, London, England, United Kingdom; | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | ||
| Daniel Basden, Aviation 3 Trebeck Street, Mayfair, London, United Kingdom W1J7 LS. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Dart Aviation, a.k.a., the following four aliases: – Dart Aviation Technics; – Dart Aviation Marlbrine S.A.R.L.; – MBP Trading Ltd.; – SARL IEAS. Unit 7 Minton Distribution Park, London Road, Amesbury SP4 7RT Wiltshire, London, United Kingdom; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 61541, 11/13/19. 85 FR 14796, 3/16/20. | ||
| Djeco Group LP, a.k.a., the following one alias: – Djeco Group Holding LTD. 38 Thistle Street, Edinburgh, EH2 1EN, Scotland, United Kingdom. (See alternate address under Malta). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| Evans Meridians Ltd.,
Drake Chambers, 1st Floor Yamraj Building, PO Box 3321, Road Town, Tortola, British Virgin Islands | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 83 FR 44824, 9/4/18. | ||
| Farshid Gillardian, a.k.a., Isaac Gill, Isaac Gillardian, London, United Kingdom | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Fentex Properties LTD., Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Flamar Shipping Ltd, P.O. Box 3321, Road Town, Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Graham Avery, Aviation 3 Trebeck Street, Mayfair, London, United Kingdom W1J7 LS. | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Huawei Global Finance (UK) Limited, Great Britain. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies R&D UK, a.k.a., the following two aliases: – Huawei Research & Development (UK) Ltd; – Huawei Technologies Research & Development (UK)). Former Spicers Site Sawston Bypass Sawston Cambridge Cambridgeshire CB22 3JG, England; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Huawei Technologies (UK) Co., Ltd., a.k.a., the following one alias: – Huawei Software Technologies Co. Ltd. 300 South Oak Way, Green Park, Reading, RG2 6UF; | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 43495, 8/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| IKCO Finance 6 Lothbury, London, England, EC2R 7HH | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 77 FR 24590, 4/25/12. | ||
| Latebrook Trading Ltd, Drake Chambers, Road Town, Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| LTS Holding Limited (f.k.a. IPP-International Petroleum Products Ltd.), Tortola, British Virgin Islands. (See alternate address under Switzerland). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 80646, 12/28/15. | ||
| Majory LLP, 25 City Road Spaces, City Road, Epworth House, Office 320, London, United Kingdom EC1Y 1AA. (See alternate address under Spain) | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| MCES, London, United Kingdom | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 73 FR 74001, 12/5/08. | ||
| Myra Gkizi, 38, Princes Court – 88 Brompton Road, Knightsbridge, London, SW3 1ES, United Kingdom | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Nelford United Corp, P.O. Box 3321, Road Town, Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Nicolas Kaiga, a.k.a., the following one alias: – Nicholas Kaiga Flat #6, Philibeach Gardens, Kensington Chelsea, London, United Kingdom. (See alternate addresses under Belgium and Netherlands) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 84 FR 40241, 8/14/19. | ||
| Niki Panteli Kyriakou, 38, Princes Court – 88 Brompton Road, Knightsbridge, London, SW3 1ES, United Kingdom (See alternate address under Cyprus) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Oystercredit Ltd Ogb, OMC Chambers, Wickhams Cay 1, Road Town, Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Photon Pro LLP, a.k.a., the following one alias: – Photon Pro. 25 City Road Spaces, City Road, Epworth House, Office 320, London, United Kingdom ECIY 1AA. (See alternate address under Russia). | For all items subject to the EAR. (See § 744.11 of the EAR) | Policy of denial | 87 FR 13143, 3/9/22. | ||
| PremiAir Aerospace, a.k.a., the following one alias: – Aviation International. Aviation 3 Trebeck Street, Mayfair, London, United Kingdom W1J7 LS; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 59421, 9/22/20. | ||
| Profin Estates, Inc., Palm Chambers 5, Suite 120, The Lake Building, Wickhams Cay 1, P.O. Box 3175, Road Town, Tortola, British Virgin Islands | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Proven Glory, British Virgin Islands | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Proven Honour, British Virgin Islands. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| Qihoo 360 Technology Co. Ltd., P.O. Box 309 George Town; | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 85 FR 34497, 6/5/20. | ||
| Sergei (Sergi) Ivanovich Tomchani, a.k.a., Sergey Ivanovich Tomchani, 38, Princes Court – 88 Brompton Road, Knightsbridge, London, SW3 1ES, United Kingdom; and Enterprise House 113/115 George Lane, London, E18 1AB, United Kingdom (See alternate addresses under Greece and Ukraine) | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 76 FR 50410, 8/15/11. | ||
| Southport Management Services Limited, De Castro Street 24, Akara Building, Wickhams Cay 1, Road Town, Tortola, Virgin Islands, British. (See also address under Cyprus). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 80 FR 52968, 9/2/15. | ||
| Unimont S.A., Drake Chambers, P.O. Box 3321, Road Town, Tortola, British Virgin Islands. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| Veteran Avia LLC a.k.a., the following alias: – Veteran Airline. 1 Beckett Place, South Hamptonshire, London, U.K. (See also addresses under Armenia, Greece, and Pakistan). | For all items subject to the EAR. (See § 744.11 of the EAR) | Presumption of denial | 79 FR 56003, 9/18/14. 81 FR 8829, 2/23/16. 82 FR 2887, 1/10/17. | ||
| Voltero Alliance LLP, 45-51 Newhall Street 330, Birmingham, West Midlands, B3 3RB, United Kingdom. | For all items subject to the EAR. (See § 744.11 of the EAR.) | Presumption of denial | 77 FR 61256, 10/9/12. | ||
| UZBEKISTAN | Promcomplektlogistic Private Company, a.k.a., the following one alias: – Private Enterprise Promcomplektlogistic. 16 A Navoi St, Shaykhantakhur Region, Tashkent, Uzbekistan. | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. | |
| VIETNAM | Huawei Technologies (Vietnam) Company Limited, Hanoi, Vietnam. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | |
| Huawei Technology Co. Ltd., Hanoi, Vietnam. | For all items subject to the EAR, see §§ 734.9(e) 1 and 744.11 of the EAR 2 | Presumption of denial | 84 FR 22963, 5/21/19. 85 FR 29853, 5/19/20. 85 FR 36720, 6/18/20. 85 FR 51603, 8/20/20. 87 FR 6026, 2/3/22. 87 FR 55250, 9/9/22. | ||
| KingPai Technology Int’l Co., Limited, 143-6th Street, 1 Town, Linh Xuan Ward, Thu Duc District, Ho Chi Minh City, Vietnam. (See alternate addresses under China and Russia). | For all items subject to the EAR. (See §§ 734.9(g), 3 746.8(a)(3), and 744.21(b) of the EAR.) | Policy of Denial for all items subject to the EAR apart from food and medicine designated as EAR99, which will be reviewed on a case-by-case basis. See §§ 746.8(b) and 744.21(e) | 87 FR 38925, 6/30/22. 87 FR 57082, 9/16/22. |
1 For this entity, “items subject to the EAR” includes foreign-produced items that are subject to the EAR under § 734.9(e)(1) of the EAR. See § 744.11(a)(2)(i) for related license requirements and license review policy for these items.
2
3 For this entity, “items subject to the EAR” includes foreign-produced items that are subject to the EAR under § 734.9(g) of the EAR. See §§ 746.8 and 744.21 of the EAR for related license requirements, license review policy, and restrictions on license exceptions.
4 For this entity, “items subject to the EAR” includes foreign-produced items that are subject to the EAR under § 734.9(e)(2) of the EAR. See § 744.11(a)(2)(ii) for related license requirements and license review policy.
Supplement No. 5 to Part 744 – Procedures for End-User Review Committee Entity List and ‘Military End User’ (MEU) List Decisions
The End-User Review Committee (ERC), composed of representatives of the Departments of Commerce, State, Defense, Energy and, where appropriate, the Treasury, will make all decisions to make additions to, removals from or changes to the Entity List and the ‘Military End User’ (MEU) List. The ERC will be chaired by the Department of Commerce and will make all decisions to add an entry to the Entity List and MEU List by majority vote and all decisions to remove or modify an entry by unanimous vote.
When determining to add an entity to the Entity List or MEU List or to modify an existing entry, the ERC will also specify the section or sections of the EAR that provide the basis for that determination. All additions and modifications to the MEU List are done pursuant to § 744.21(b). The license requirements, the license application review policy, or the availability of license exceptions for entities on the MEU List are specified in § 744.21 under paragraphs (b) to (e). In addition, for the Entity List if the section or sections that form the basis for an addition or modification do not specify the license requirements, the license application review policy, or the availability of license exceptions, the ERC will specify the license requirements, the license application review policy and which license exceptions (if any) will be available for shipments to that entity.
Any agency that participates in the ERC may make a proposal for an addition to, modification of, or removal of an entry from the Entity List or MEU List by submitting that proposal to the chairperson.
The ERC will vote on each proposal no later than 30 days after the chairperson first circulates it to all member agencies unless the ERC unanimously agrees to postpone the vote. If a member agency is not satisfied with the outcome of the vote of the ERC that agency may escalate the matter to the Advisory Committee on Export Policy (ACEP). A member agency that is not satisfied with the decision of the ACEP may escalate the matter to the Export Administration Review Board (EARB). An agency that is not satisfied with the decision of the EARB may escalate the matter to the President.
The composition of the ACEP and EARB as well as the procedures and time frames shall be the same as those specified in Executive Order 12981 as amended by Executive Orders 13020, 13026 and 13117 for license applications. If at any stage, a decision by majority vote is not obtained by the prescribed deadline the matter shall be raised to the next level.
A final decision by the ERC (or the ACEP or EARB or the President, as may be applicable in a particular case) to make an addition to, modification of, or removal of an entry from the Entity List or MEU List shall operate as clearance by all member agencies to publish the addition, modification or removal as an amendment to the Entity List or MEU List even if, in the case of a decision by the ERC to add an entry or any decision by the ACEP or EARB, such decision is not unanimous. Such amendments will not be further reviewed through the regular Export Administration Regulations interagency review process.
A proposal by the ERC to make any change to the EAR other than an addition to, modification of, or removal of an entry from the Entity List or MEU List shall operate as a recommendation and shall not be treated as interagency clearance of an EAR amendment. The chairperson of the ERC will be responsible for circulating to all member agencies proposals submitted to him or her by any member agency. The chairperson will be responsible for serving as secretary to the ACEP and EARB for all review of ERC matters. The chairperson will communicate all final decisions that require Entity List or MEU List amendments, to the Bureau of Industry and Security which shall be responsible for drafting the necessary changes to the Entity List and MEU List. If the ERC decides in a particular case that a party should be informed individually instead of by EAR amendment the chairperson will be responsible for preparing the “is informed” letter for the signature of the Deputy Assistant Secretary for Export Administration.
A listed entity may present a request to remove or modify its Entity List or the MEU List entry along with supporting information to the chairman at Room 3886, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue NW, Washington, DC 20230. The chairperson shall refer all such requests and supporting information to all member agencies. The member agencies will review and vote on all such requests. The time frames, procedures and right of escalation by a member agency that is dissatisfied with the results that apply to proposals made by a member agency shall apply to these requests. The decision of the ERC (or the ACEP or EARB or the President, as may be applicable in a particular case) shall be the final agency decision on the request and shall not be appealable under part 756 of the EAR. The chairperson will prepare the response to the party who made the request. The response will state the decision on the request and the fact that the response is the final agency decision on the request. The response will be signed by the Deputy Assistant Secretary for Export Administration.
The End-User Review Committee will conduct regular reviews of the Entity List and MEU List for the purpose of determining whether any listed entities should be removed or modified. The review will include analysis of whether the criteria for listing the entity are still applicable and research to determine whether the name(s) and address(es) of each entity are accurate and complete and whether any affiliates of each listed entity should be added or removed.
Supplement No. 6 to Part 744 – Unverified List
Exports, reexports, and transfers (in-country) involving parties to the transaction who are listed in this supplement are subject to the restrictions and requirements outlined in § 744.15 of the EAR.
| Country | Listed person and address | |
|---|---|---|
| ARMENIA | Atlas Sanatgaran, Komitas 26/114, Yerevan, Armenia | 85 FR 64017, October 9, 2020. |
| Iranian & Armenian, Komitas 26/114, Yerevan, Armenia | 85 FR 64017, October 9, 2020. | |
| Piricas Trading Company, No. 20 Heratsi 2A, Yerevan, Armenia | 85 FR 64017, October 9, 2020. | |
| AZERBAIJAN | Caspian Oil Montaj, Office 39, Block B, 30 Kaverochkin Street, Baku, Azerbaijan | 82 FR 16732, April 6, 2017. |
| BULGARIA | Vera Yordanova, Zemen Street, No. 2B Floor 2, Apt. 21, Sofia, Bulgaria | 88 FR 17708, March 24, 2023. |
| CANADA | Laval Electronics, 3073 Rue Edmond-Rostand, Laval, QC H7P, Canada | 83 FR 22844, May 17, 2018. |
| Rizma, Inc., 1403-8 McKee Avenue, Toronto, Ontario M2N 7E5, Canada | 80 FR 60532, October 7, 2015. | |
| Services GP Tek, a.k.a. Nouvelle Option, 1305 Rue Pise, Brossard, QC J4W 2P7, Canada; | 83 FR 22844, May 17, 2018. | |
| Skymount Drones, 280-8180 11 St. SE, Calgary, AB, T2H 3B5, Canada | 88 FR 17708, March 24, 2023. | |
| CHINA, PEOPLE’S REPUBLIC OF | Able Supply Chain Limited, Rm 511, 5/F, Corporation Park, 1 On Lai Street, Sha Tin, New Territories, Hong Kong; and Rm 605, 6/F, Corporation Park, 1 On Lai Street, Sha Tin, New Territories, Hong Kong; and Unit C, 9/F, Winning House, No. 72-76 Wing Lok Street, Sheung Wan, Hong Kong | 84 FR 14610, April 11, 2019. |
| AECC South Industry Co., Ltd., Dongjiaduan, Lusong District, Zhuzhou, Hunan Province, China | 87 FR 7039, February 8, 2022. | |
| Airpart Consolidated Trading, Flat 01, 25/F, Ka Wing House, Block F, Ka Ting Court Shatin, New Territories, Hong Kong | 88 FR 17708, March 24, 2023. | |
| ARI International, Ltd., Room 1208, Block B, Jiangsu Building, No. 6013 Yitian Road, Futian District, Shenzhen, China | 82 FR 16732, April 6, 2017. | |
| AW Industrial Ltd., Room A, 3/F Hung Fook Industrial Building, No 60 Hung To Road, Kwun Tong, Kowloon, Hong Kong; D1 6/F Kras Asia Industrial Building, No 79 Hung To Road, Kwung Tong, Hong Kong | 85 FR 83789, December 23, 2020. | |
| Beijing PowerMac Company, B-1501, Calzhi International Building’, 18 Zhongguancun East Road, Haidian District, Beijing, China | 87 FR 61975, October 13, 2022. | |
| Beijing SWT Science, Yingbinbei Road 36, Yanjiao Economic & Development Zone, Sanhe City, Hebei Province, China | 87 FR 7039, February 8, 2022. | |
| Beijing Zhonghehangxun Technology Co., Ltd., Room 1705, Kaixuancheng Building E, No. 170 Beiyuan Road, Chaoyang District, Beijing, China | 87 FR 7039, February 8, 2022. | |
| Boqur International Ltd., Room 1203, 12/F, International Trade Centre, 11-19 Sha Tsui Road, Tsuen Wan, New Territories, Hong Kong; | 81 FR 40171, June 21, 2016. | |
| Boson Technology Co., Limited., Unit 22, 10/F, Nan Fung Commercial Centre, 19 Lam Lok Street, Kowloon, Kwun Tong, Hong Kong; | 84 FR 14610, April 11, 2019. | |
| Brilliance Technology Ltd, a.k.a., Brilliance Technology Group, Flat A, 11/F, Adolfo Mansion, 114-116 Austin Road, Tsim Sha Tsui, Yau Tsim Mong, Hong Kong; and Rm. 1203, 12/F, Hip Kwan Commercial Bldg., 38 Pitt Street, Yau Ma Tei, Yau Tsim Mong, Hong Kong | 79 FR 34220, June 16, 2014; 82 FR 16732, April 6, 2017. | |
| Carry Goldstar Ltd., 15A, 15/F, Cheuk Nang Plaza, 250 Hennessy Road, Wan Chai, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Central Right Investments Ltd., Room 1019, 10/F, 1 Hung To Road, Kwun Tong, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Chang Zhou Jin Tan Teng Yuan Machinery Parts Co., Ltd., 116 Huafeng road, Jintan Economic Development Zone, Changzhou China | 87 FR 61975, October 13, 2022. | |
| Changhe Aircraft Industries Group, No. 539, Chaoyang Road, Jingdezhen City, Jiangxi Province, China | 83 FR 22844, May 17, 2018. | |
| Chengde Oscillator Electronic Technology Co., #17 Siheyuan Village, Pingquan Town, Pingquan City, Hebei Province, Chengde City, China 067506 | 84 FR 14610, April 11, 2019. | |
| China National Erzhong Group Deyang Wanhang Die Forging Co., Ltd., No. 460 Zhujiang Road West, Deyang City, Sichuan Province, China | 87 FR 7039, February 8, 2022. | |
| China National Plant Import/Export Co., Room 2135, Jingxin Building A, No Dong San Huan North Road, Beijing, China | 79 FR 34220, June 16, 2014. | |
| Chongqing Optel Telecom, No 1 6f Building 7, No 106 West Jinkai Avenue, Yubei District, Chongqing 401121, China | 87 FR 61975, October 13, 2022. | |
| Chongqing Xinyuhang Technology Co., Ltd., Shanying Workshop, liangjiang Avenue, Longxing Town, Yubei District, Chongqing 401135, China | 87 FR 61975, October 13, 2022. | |
| CST Source Industrial Co., Ltd., Rooms 5-15, 13/F, South Tower, World Finance Centre, Harbour City, 17 Canton Road, Tsim Sha Tsui, Kowloon, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Dandong Center for Food Control, No. 31-1 Zhongyang Avenue, Dandong, China | 83 FR 22844, May 17, 2018. | |
| Dandong Nondestructive Electronics, No 2 Tonghe Street Jinshan Industrial Park, Yuanbao District Dandong, Dandong 118000, China | 87 FR 61975, October 13, 2022. | |
| Daystar Electric (HK) Ltd., Flat D, 19/F, Waylee Industrial Centre, 30-38 Tsuen King Circuit, Tsuen Wan, New Territories, Hong Kong; | 80 FR 4781, January 29, 2015. | |
| DK Laser Company Ltd., Zhuodas Jingu Industrial Park #4, Jinlong New District, Xiangyin, Hunan Province, , China | 87 FR 61975, October 13, 2022. | |
| Dongguan Huiqun Electronic Co., Ltd., 30 Daling Street, Jiaoyitang, Tangxia Town, Dongguan City, Guangdong Province 523723, China | 87 FR 7039, February 8, 2022. | |
| E-Chips Technology, Unit 4, 7/F, Bright Way Tower, No. 33 Mong Kok Road, Mong Kok, Kowloon, Hong Kong; | 80 FR 4779, January 29, 2015; 80 FR 60532, October 7, 2015. | |
| ECOM International (HK) Co., Ltd. Flat/Rm 7022 BLK D 7/F Tak Wing Industrial Building 3, Tsun wen Road Tuen Mun, New Territories, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Emax Technology Co. Ltd. HK, Room 19C, Lockhart Centre, 301-307 Lockhart Road, Wan Chai, Hong Kong; | 85 FR 83789, December 23, 2020. | |
| Fortune International Trading, Room 1701(017) 17/F Henan Bldg, No. 90 Jaffee Rd, Wanchai, Hong Kong; | 85 FR 83789, December 23, 2020. | |
| Fussion Electronics Co., Ltd., 11/F, International Trade Centre, 11-19 Sha Tsui Road, Tsuen Wan, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Globe Communication (HK) Ltd., Flat 01A2, 10/F, Carnival Commercial Building, 18 Java Road, North Point, Hong Kong; | 81 FR 40171, June 21, 2016. | |
| GRG Metrology & Test (Chongqing) Co., Ltd., The 3rd floor of building A no 37 Cuitao Road, Chongqing City, China | 87 FR 61975, October 13, 2022. | |
| Guangdong Dongling Carbon Tech. Co., Ltd., #83 Shatong Road, Shabu County, Dalang Town Dongguan city, Guangdong 523770, China | 87 FR 61975, October 13, 2022. | |
| Guangdong Guanghua Sci-Tech Co., No. 295 Daxue Road, Shantou, Guangdong Province, China | 87 FR 7039, February 8, 2022. | |
| Guangzhou GRG Metrology & Test (Beijing) Co., Ltd., 1st-2nd floor, 5th building, No 8 courtyard, No. 2 Street of Cold Water Economic and Technological Development Zone, Beijing, China | 87 FR 61975, October 13, 2022. | |
| Guangzhou Trusme Electronics Technology Co., Ltd., RM 702, 7/F, Kowloon Building, 555 Nathan Road, Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Gucheng Xian Fengxin Titanium Alloy, Xiyuan Industrial District, Gucheng County, Hebei Province, Hengshui City, China 253800 | 84 FR 14610, April 11, 2019. | |
| Haofeng Industrial Co., Ltd., Room 1101, 11/F, San Toi Building, 139 Connaught Road, Central, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Harbin Xinguang Feitian, 1717 Chuangxin Yi Road, Harbin, Heilongjiang Province, China | 87 FR 7039, February 8, 2022. | |
| HK Hengyu Storage Logistics Limited, Rm 2309, 23/F, Ho King Commercial Centre, 2-16 Fayuen St, Mongkok, Kwun Tong, Hong Kong; | 84 FR 14610, April 11, 2019. | |
| HK P&W Industry Co. Ltd. (HKPW), Rm. 1902, Easey Commercial Building., 253-261 Hennessey Rd., Wan Chai, Hong Kong | 88 FR 17708, March 24, 2023. | |
| Hong Kong Engy Technology Co., a.k.a. Hong Kong Energy Technology Co., a.k.a. SZ Engy Technology Co., a.k.a. SZ Energy Technology Co., Workshop 15, 2/F, Cardinal Industrial Building, 17 On Lok Mun Street, Fanling, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Hong Kong Haimao Info-Tec Development Co Ltd, Rm 1013B, Well Fung Ind. Center, Ta Chuen Ping Street, Kwai Chung, Hong Kong | 79 FR 34220, June 16, 2014. | |
| Hongbo Industrial Technology, Unit 3, 9/F, Shing Yip Industrial Building, 19-21 Shing Yip Street, Kwun Tong, Kowloon, Hong Kong; | 80 FR 4781, January 29, 2015. | |
| Huaduan (Anhui) Machine Tool Manufacturer Co., Chaoyang Rd #888, Dongguan Development, Si Town, Anhui Province, Suzhou, China | 84 FR 14610, April 11, 2019. | |
| Hunan University, State Key Lab of Chemo/Biosensing & Chemometrics, Lushan Road, Yuelu District, Changsha, Hunan Province, China | 87 FR 7039, February 8, 2022. | |
| Jet-Prop International Forwarding (HK) Ltd., Rm. 607, 6/F, International Plaza No. 20 Sheung Yuet Road, Kowloon Bay Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Jialin Precision Optics (Shanghai) Co., Ltd., Western Section Floor 1 No 1 Dongcheng Er lu, Pujiang Town Minhang District, Shanghai 201112, China | 87 FR 61975, October 13, 2022. | |
| Jiangsu HNHB Equipment Co., Ltd., No. 9, Xiangtou West Road, Yixing City, Jiangsu Province, China | 82 FR 16732, April 6, 2017. | |
| Jiangxi Hongdu Aviation Ind. Group, The Nanchang National High & New Technology Development Zone, Jiangxi Province, Yaohu Nanchang, China | 83 FR 22844, May 17, 2018. | |
| Jin Yan Technology & Development Co., Ltd., Workshop 11, 8/F, Block A, Delya Industrial Centre, 7 Shek Pai Tau Road, Tuen Mun, New Territories, Hong Kong; | 81 FR 40171, June 21, 2016. | |
| Jinan Bodor CNC Machine Co., Ltd., 1299 Xinluo Ave., Hi-Tech Zone, Jinan, Shandong Province, China | 87 FR 7039, February 8, 2022. | |
| Kenwoo International Trade Company, 1907, 19/F, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong; | 85 FR 83789, December 23, 2020. | |
| Kesina Services, No. 24 Jin Lian Road, Louhu District, Shenzhen, China; | 88 FR 17708, March 24, 2023. | |
| KingV Ltd., a.k.a. Jinnway Data Ltd., Room 31, 9/F, Shing Yip Industrial Building, 19-21 Shing Yip Street, Kwun Tong, Kowloon, Hong Kong; | 81 FR 40171, June 21, 2016. | |
| Lianqi (HK) Electronics Co Ltd, Unit N, 3/F, Hopewell House, 175 Hip Wo Street, KwunTong, Kowloon, Hong Kong | 79 FR 34220, June 16, 2014. | |
| Lightstar Technology Ltd., Rooms 1318-1319, Hollywood Plaza, 610 Nathan Road, Mongkok, Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Ling Ao Electronic Technology Co. Ltd, a.k.a. Voyage Technology (HK) Co., Ltd., a.k.a. Xuan Qi Technology Co. Ltd, Room 17, 7/F, Metro Centre Phase 1, No. 32 Lam Hing St., Kowloon Bay, Kwun Tong, Hong Kong; | 80 FR 4779, January 29, 2015; 80 FR 60532, October 7, 2015; 82 FR 16733, April 6, 2017; 83 FR 22845, May 17, 2018; 84 FR 14610, April 11, 2019. | |
| Lion Chip Electronics Ltd, Unit N, 3/F, Hopewell House, 175 Hip Wo Street, KwunTong, Kowloon, Hong Kong | 79 FR 34220, June 16, 2014. | |
| Lishui Zhengyang Electric Power Construction, 573 Nanshan Road Nanshan Park Liandu, Industrial Zone Zhejiang, Lishui, China | 87 FR 61975, October 13, 2022. | |
| Luoyang Weimi Optics, No. 18 Lingbo Road, New & High Tech Industry Development Zone, Luoyang, China 471000 | 84 FR 14610, April 11, 2019. | |
| Maipu Communication Technology Co Ltd, 7/F Kerry Warehouse, 36-42 Shan Mei St, Shatin, Hong Kong | 79 FR 34220, June 16, 2014. | |
| Master-Uni Industry Co., Ltd., Room 602, 6/F, 168 Queens Road, Central, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Nanchang University, No. 999 Xuefu Avenue, Honggutan New District, Nanchang, 330031, China | 83 FR 22844, May 17, 2018. | |
| Nanjing Gova Technology Co., Ltd., No 66 Qixia Avenue, Nanjing Economic and Technological Development Zone, Nanjing, Jiangsu Province, China | 87 FR 61975, October 13, 2022. | |
| Nano Tech International Co Ltd, Unit 5, 27/F, Richmond Commercial Building, 109 Argyle Street, Mongkok, Kowloon, Hong Kong | 79 FR 34220, June 16, 2014. | |
| Narpel Technology Co., Limited, Unit A, 6/F, Yip Fat Factory Building, Phase 1, No 77 Hoi Yuen Road, Kwun Tong, Kowloon, Hong Kong; | 79 FR 34217, June 16, 2014; 80 FR 4779 January 29, 2015; 80 FR 60532, October 7, 2015. | |
| Ningbo III Lasers Technology Co., Ltd., Phase II Binjiang Equipment Park, Fenglin Road Beilun District, Ningbo City 315803, China | 87 FR 61975, October 13, 2022. | |
| Phonai Electronics Ltd., 51F, Core Building 11, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Powersun Electronics, Flat/Rm 502D, Hang Pont Commercial Building, 31 Tonkin Street, Cheung Sha Wan, Kowloon, Hong Kong; | 79 FR 34217, June 16, 2014; 80 FR 4781, January 29, 2015. | |
| Qingdao Sci-Tech Innovation Quality Testing Co., Ltd., Huaye Building, Lanbeizhizao Gongchang, No 1 Jinye Road, High-Tech Zone, Qingdao, China | 87 FR 61975, October 13, 2022. | |
| Rising Logistics Company Limited, Workshop 12, 13/F, Block B, New Trade Plaza, No. 6, On Ping Street, Sha Tin, New Territories, Hong Kong; | 84 FR 14610, April 11, 2019. | |
| Scitech International Express Co. Limited, Workshop 11, 8/F, Block A, Delya Industrial Centre, 7 Shek Pai Tau Road, Tuen Mun, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Selective Components Ltd., Room 8, 10/F, International Trade Centre, 11-19 Sha Tsui Road, Tsuen Wan, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Shaanxi Hongyuan Aviation Forging, Building Hongyuan Street, Luqiao Town, Shaanxi, China 713801 | 84 FR 14610, April 11, 2019. | |
| Shandong Yuehaitongxin Keji Ltd., Rooms 1318-1319, Hollywood Plaza, 610 Nathan Road, Mongkok, Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Shanghai Institute of Applied Physics, Chinese Academy of Sciences, 239 Zhangheng Road, Pudong District, Shanghai, China | 84 FR 14610, April 11, 2019. | |
| Shanxi Hemu Industrial Co., Ltd., Yongchang Rd, Xianyang HiTech Industries Development Zone, Shanxi, China | 83 FR 22844, May 17, 2018. | |
| Shengwei Technology Co., Ltd., RM 702, 7/F, Kowloon Building, 555 Nathan Road, Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Shenzhen Winthought Tech, Room 223, Zhong Xing Industrial City, Chuangye Road, Nanshan District, Shenzhen, China | 82 FR 16732, April 6, 2017. | |
| Shuang Xiang (Fujian) Electronics, No. 158 Jiangbin East Ave., Mawei, Fuzhou, Fujian 350300, China | 87 FR 7039, February 8, 2022. | |
| Sino Superconductor Technology Company, a.k.a. Zongyi Superconductor Technologies Co. Ltd., a.k.a. SinoHTS, 505 Nantian Bldg, 10, Xinxi Rd, Shangdi, Haidian, Beijing, China | 83 FR 22844, May 17, 2018. | |
| Small Leopard Electronics Co., Ltd., Flat/Rm 7022 BLK D 7/F Tak Wing Ind Bldg 3, Tsun wen Road Tuen Mun, New Territories, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Solar Way (Hong Kong) Ltd., Rooms 1318-1319, Hollywood Plaza, 610 Nathan Road, Mongkok, Kowloon, Hong Kong | 88 FR 17708, March 24, 2023. | |
| Suke Logistics Ltd., Flat 6, 20/F, Mega Trade Centre, 1-9 Mei Wan Street, Tsuen Wan, New Territories, Hong Kong | 80 FR 4781, January 29, 2015. | |
| Sun Wing Ltd., Room 31, 9/F, Shing Yip Industrial Building, 19-21 Shing Yip Street, Kwun Tong, Kowloon, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Sun Yat-Sen University, No. 135 Xingang, Xi Road, Guangzhou, China | 85 FR 64017, October 9, 2020. | |
| Sunway Technology Electronics Ltd., Rm 702, 7/F, Kowloon Building, 555 Nathan Road, Kowloon, Hong Kong; | 88 FR 17708, March 24, 2023. | |
| Sur-Link Technology (HK) Ltd., a.k.a. Sur-Link International (HK) Ltd., a.k.a. Surlink Group, Flat 6, 20/F, Mega Trade Centre, 1-9 Mei Wan Street, Tsuen Wan, New Territories, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Suzhou Chaowei Jingna Optoelectric Co., Ltd., No. 97-1 Dongyuan Road, Jinting Town, Wuzhong District, Suzhou, Jiangsu, China | 87 FR 7039, February 8, 2022. | |
| Suzhou Sen-Chuan Machinery Technology Co., Ltd., No 3 Yantou Road, Huayang Village, Wangting town, Xiangcheng DistrictSuzhou 215155, China | 87 FR 61975, October 13, 2022. | |
| Swelatel Technology Limited, Rm. 19C, Lockhart Ctr., 301-307 Lockhart Rd., Wan Chai, Hong Kong; | 84 FR 14610, April 11, 2019. | |
| Tianjin Optical Valley Technology Co., Ltd., 5-1 2-104 Qingda Boya industrial Park Beichen District, Tianjin 30400, China | 87 FR 61975, October 13, 2022. | |
| Toptech Electronics Ltd., 15/F, Hong Kong and Macau Building, 156-157 Connaught Road, Central, Hong Kong | 81 FR 40171, June 21, 2016. | |
| TRI Microsystems, Rm 2806, Building A, Rongchao Yinglong Mansion, No. 5 Longfu Road, Longchen Street, Longgang District, Shenzhen, China | 84 FR 14610, April 11, 2019. | |
| Universe Market Limited, Unit A, 17/F, Good Will Industrial Building, 36-44 Pak Tin Par Street, Tsuen Wan, New Territories, Hong Kong | 84 FR 14610, April 11, 2019. | |
| USETA Tech (HK) Ltd., Room B, 6/F, Shing Hing, Commercial Building, 21-27 Wing Kut Street, Central, Hong Kong | 88 FR 17708, March 24, 2023. | |
| Winners Global Trading Co., Room 2, 5/F., Winful Centre, 30 Shing Yip Street, Kwun Tong, Kowloon, Hong Kong | 88 FR 17708, March 24, 2023. | |
| Winthought Company Ltd., Unit E1, 3/F, Wing Tat Commercial Building, 121-125 Wing Lok Street, Sheung Wan, Hong Kong | 81 FR 40171, June 21, 2016. | |
| Wuhan Institute of Biological Products Co., Ltd., No 1 Golden Industrial Park Road, Zhengdian Street, Jiangxia District, Wuhan City, Hubei Province, 430207, China | 87 FR 61975, October 13, 2022. | |
| Wuxi Beetech Inc., No. 58 4th Floor Feihong Road, Nanhu, Wuxi, China | 84 FR 14610, April 11, 2019. | |
| Wuxi Hengling Technology Co., Ltd., Bldg C1 No 999 East Gaolang rd Binhu District, Wuxi City, Jiangsu Province, 214131, China | 87 FR 61975, October 13, 2022. | |
| Xian Zhongsheng Shengyuan Technology Co., Ltd., 9 Gardens at 202 South Second ring Rd, Lianju District, Xian 710000, China | 87 FR 61975, October 13, 2022. | |
| Xiang Cheng Gao Trading (HK) Ltd., 1215 Lot, DD 125, Ha Tsuen Road, Ha Tsuen, Ping Shan, Yuen Long, New Territories, Hong Kong | 85 FR 83789, December 23, 2020. | |
| Xinjiang East Hope New Energy Company Ltd, Xinjiang East Eco. Development Zone, XinJiang, China | 83 FR 22844, May 17, 2018. | |
| Yashen (HK) Electronics, Flat R, 15/F, Phase 2, Goldfield Industrial Building, 144-150 Tai Lin Pai Road, Kai Chung, New Territories, Hong Kong; | 79 FR 34220, June 16, 2014. | |
| Yield Best International, 6/F, Block H, East Sun Industrial Centre, 16 Shing Yip Street, Kwun Tong, Kowloon, Hong Kong; | 81 FR 40171, June 21, 2016. | |
| Yogone Electronics Co., Unit 602, 6/F, Silvercord Tower 2, 30 Canton Road, Tsim Sha Tsui, Kowloon, Hong Kong | 80 FR 60532, October 7, 2015. | |
| Yunnan Fs Optics Co., Ltd., Hongta Industrial Zone, Hongta District, Yuxi, Yunnan Province, China | 87 FR 7039, February 8, 2022. | |
| Yunnan Tianhe Optoelectronic Co., Ltd., Longquan Avenue, Longquan Industrial Zone, Jiangchuan, Yuxi City, Yunnan Province, China | 87 FR 7039, February 8, 2022. | |
| ZDAS (HK) Company, G/F, 16 Kwan Tei North Tsuen Leung Yeuk Tau, Sha Tau Kok Road, Fanling, Hong Kong; | 79 FR 34220, June 16, 2014. | |
| Zhengzhou Baiwai Intelligent Automation, National University Tech Park, Changchun Road #11 Hi-Tech District, Zhengzhou City, Henan Province, China | 87 FR 7039, February 8, 2022. | |
| ZhongJie Electronics, G/F, 26 Pau Chung Street, Tokwawan, Kowloon, Hong Kong; | 79 FR 34220, June 16, 2014. | |
| Zhuzhou CRRC Special Equipment Technology Co., No. 79 Liancheng Road, Shifeng District, Zhuzhou City, Hunan Province 412001, China | 87 FR 7039, February 8, 2022. | |
| CZECH REPUBLIC | Bonitopto S.R.O., Vancurova 1084/10, Ostrov 363 01, Czech Republic; | 80 FR 60532, October 7, 2015. |
| ESTONIA | Simms Marine Group OU, Paavli Str. | 83 FR 22844, May 17, 2018. 83 FR 26205, June 6, 2018. |
| FINLAND | Aelcomp OY, Kurkisuontie 2B, Helsinki 00904 Finland; | 85 FR 64017, October 9, 2020. |
| Intertranslog OY, Tupatallinkatu 3, Lappeenranta 53300 Finland; | 85 FR 64017, October 9, 2020. | |
| Sav-Inter OY Ltd., Nuolitie 20, Vantaa, Finland; | 81 FR 40171, June 21, 2016. | |
| GEORGIA | Spars Ltd., a.k.a. Spars Trading Ltd., Room 1, House 11, Nutsubdize 111 marker, Tbilisi, Georgia, 0183 | 80 FR 60532, October 7, 2015. |
| GERMANY | In Time Forwarding & Courier e.K., HACC Building 393 A Weg beim Jager, 22335 Hamburg, Germany | 88 FR 17708, March 24, 2023. |
| One Light GMBH, Billstrasse 123, Hamburg, Germany; | 88 FR 17708, March 24, 2023. | |
| Universal Logistics Systems GmbH Cargo City Sud, Building 577, Frankfurt Airport, Frankfurt am Main, Germany | 85 FR 64017, October 9, 2020. | |
| INDIA | Conduit Technologies Pvt., Ltd., Office 201, 2/F, Lunkad Sky Station, Konark Naga, Mhada Colony, Viman Nagar, Pune, India; | 81 FR 40171, June 21, 2016. |
| INDONESIA | PT Smart Cakrawala Aviation, Smartdeal Building 4th Floor, JL Cideng Timur No. 16A, Jakarta Pusat, Indonesia | 88 FR 17708, March 24, 2023. |
| ISRAEL | CNG Labs, a.k.a. CNG Computers, 30 Kikar Zahal, Kiryat Shemona, Israel, 1103303; | 88 FR 17708, March 24, 2023. |
| LATVIA | Alfa Photonics, 21 Krisjana Valdemara Iela, Riga, Latvia; | 81 FR 40171, June 21, 2016. |
| LEBANON | Al Ghayth Trade and Transport, 1st Floor, Bohsali Bldg., Beirut Port Street, Beirut, Lebanon | 82 FR 16732, April 6, 2017. |
| MALAYSIA | Golden Gamp Sdn Bhd, Ground Floor, No. 122, Jalan Thamby Abdullah, off Jalan Tun Sambanthan, Brickfields, Kuala Lumpur 50470 Malaysia; | 88 FR 17708, March 24, 2023. |
| Infomaya Tech Sdn Bhd, Level 2, Enterprise 5 Technology Park, Bukit Jalil 57000, Kuala Lumpur, Malaysia | 84 FR 14610, April 11, 2019. | |
| Premier Kiosk Global Supply Co., aka PKGS, aka Global Kiosk, No. 5, 18th Floor, Plaza 138, Hotel Maya, Jalan Ampang, Kuala Lumpur, Malaysia 50450 | 84 FR 14610, April 11, 2019. | |
| PAKISTAN | Andleeb Associates, Sultan Complex, Abid Majeed Road, Rawalpindi, Pakistan | 83 FR 22844, May 17, 2018. |
| T.M.A. International, a.k.a. TMA International, a.k.a. Tahir Asad Industries Pvt. Ltd., a.k.a. T.A. Industries Pvt. Ltd., 45-B, Ahmed Block, New Garden Town, Lahore, Pakistan; | 80 FR 4781, January 29, 2015. | |
| Naina Exporters and Importers, H-96, Intelligence School Colony, M.T. Khan Road, Karachi, Pakistan | 85 FR 64017, October 9, 2020. | |
| Seven Star Company, H-96 Intelligence School Colony, M.T. Khan Road, Karachi, Pakistan | 85 FR 64017, October 9, 2020. | |
| RUSSIA | EFO Ltd., Politechnicheskaya Street 21, Saint Petersburg 192019, Russia | 83 FR 22844, May 17, 2018. |
| JSC Voentelecom, Bolshaya Olenya Str. 15A, Moscow, Russia | 79 FR 34220, June 16, 2014. | |
| Radiofizika OAO, D.10. Ul. Geroev Panfilovtsev, Moscow 125363, Russia | 83 FR 22844, May 17, 2018. | |
| SAUDI ARABIA | Al Gihaz Co., Ltd. for Contracting and Trading, a.k.a. Algihaz Co., P.O. Box 7451, Alworoud Area, Al Orouba Street, Riyadh, Saudi Arabia; | 88 FR 17708, March 24, 2023. |
| SINGAPORE | Dorado Network Pte., Ltd., 128 Joo Seng Road, DP Computers Building 04-04, Singapore; | 81 FR 40171, June 21, 2016. |
| Smart Cakrawala Aviation, No. 48th, St. Thomas Walk #10-05, Singapore 238126; | 88 FR 17708, March 24, 2023. | |
| SWITZERLAND | Light Range AG, Stutzstrasse 13C, Schindellegi, Switzerland; | 81 FR 40171, June 21, 2016. |
| TURKEY | BLC Havacilik Saglik Medikal Insaat Elektrik Ic ve Dis Ticaret Asemek San.Sit. 1469 Cad. No:18, İvedik – OSB 06378, Ankara, Turkey | 88 FR 17708, March 24, 2023. |
| Fast Aviation, Yesilkoy MAH Ataturk, Cad. EGS Bloklari, B:2 No:2 D:1, Istanbul, Turkey | 85 FR 64017, October 9, 2020. | |
| Metafor Lojistik, Ma. Istiklal Cad. Beyoglu, Istanbul, Turkey | 85 FR 64017, October 9, 2020. | |
| Odak Kimya, Cevizli Mah. Zuhal Cad. No. 44, Kat: 13, Daire: 131-132, Dumankaya Ritim 60 Parsel Maltepe, Istanbul, Turkey | 88 FR 17708, March 24, 2023. | |
| Piro Deniz Motorlari, Safak Mh. Akdeniz San. Sit. 50003 Sk., No: 115 Kepez – Antalya, Antalya, Turkey | 88 FR 17708, March 24, 2023. | |
| Üçüzler Lojistik Gida Tekstil, a.ka. Üçüzler Lojistik Ltd Sti, Yeni Mahalle Hamit Öcal Caddesi, No 35/1, Reyhanli/Hatay, Turkey 31500; | 88 FR 17708, March 24, 2023. | |
| UNITED ARAB EMIRATES | Abu Trade LLC, Lot Number 155, Al Zaroni Yard, Al Wasl Road, Dubai, UAE | 81 FR 40171, June 21, 2016. |
| Aero King FZC, Flat #501, Al Masjid Bldg No 416, Al Nahda, Sharjah, UAE; | 85 FR 64017, October 9, 2020. | |
| Al Kabiru Trading LLC, Block 10, Suite 112, Office Land Building, Al Karama, Dubai, UAE | 88 FR 17708, March 24, 2023. | |
| Alsaroud General Trading, a.k.a. Alsaroud Ground Trading Company, a.k.a. Alsarroud General Trading LLC, Avenue 125, Street 2, Building 30/1, Industrial Area 17, Sharjah, UAE; | 83 FR 22844, May 17, 2018. | |
| Alsima Middle East General Trading, 802 Whiteswan Building, near Fairmont Hotel, Sheikh Zayed Road, Dubai, UAE | 81 FR 40171, June 21, 2016. | |
| Blue Wing General Trading, Damas Tower #506, Al Maktoum Road, Dubai, UAE | 82 FR 16732, April 6, 2017. | |
| BNS Hardware, a.k.a. The Fair Price Shop, Warehouse No. 5, Street 21, Sharjah Industrial Area 6, Sharjah City, UAE | 88 FR 17708, March 24, 2023. | |
| Delma Industrial Supply & Marine Services, P.O. Box 53382, Mina Store Port Zayed Area, Warehouse 45, Abu Dhabi, UAE | 88 FR 17708, March 24, 2023. | |
| Diamond River General Trading, a.k.a. Excells Shipping, a.k.a. Excells General Trading, Office #343, Al Nokhita Building, Al Khaleej Road, Dubai, UAE | 88 FR 17708, March 24, 2023. | |
| Doubair General Trading Co. LLC, P.O. Box 30239, Dubai, UAE | 79 FR 34220, June 16, 2014. | |
| EBN AUF Trading, P.O. Box 330073, Ras Al Khaimah, United Arab Emirates; | 84 FR 14610, April 11, 2019. | |
| Elemental Lab, PO Box 172237, Dubai UAE; | 85 FR 64017, October 9, 2020. | |
| Empire of East General Trading, M110, Al Khaleej Center, Bur Dubai, Dubai, UAE; | 84 FR 14610, April 11, 2019. | |
| Establishment Standard Lab FZE, a.k.a. Standard Lab FZE, Ras Al Khaimah Free Trade Zone Business Park, Ras Al Khaimah, UAE; | 81 FR 40171, June 21, 2016. | |
| Golden Business FZE, Warehouse #FZS1 AN08, Jebel Ali Free Zone, Dubai, UAE; | 79 FR 34220, June 16, 2014. | |
| Gulf Modern Solutions Engineering Company, No. 14, 35B Street, Al Satwa Road, Dubai, UAE | 80 FR 60532, October 7, 2015. | |
| Kassem IT, Techno Park Office 135, JAFZA Building 22, P.O. Box 98166, Jebel Ali Free Zone, Dubai, UAE; | 84 FR 14610, April 11, 2019. | |
| Lavender General Trading, Plot# MO0706, Street N200, JAFZA North, Dubai, UAE; | 85 FR 64017, October 9, 2020. | |
| Marinatec, Office 2008, Grosvenor Commercial Tower, Sheikh Zayed Road, Dubai, UAE; | 81 FR 40171, June 21, 2016. | |
| Masomi General Trading, Unit No. B605, Baniyas Complex, Baniyas Square, P.O. Box 39497, Dubai, UAE | 80 FR 60532, October 7, 2015. | |
| Masoud Afghan General Trading, Plot No. S31216 Jebel Ali Free Zone, Dubai, United Arab Emirates | 88 FR 17708, March 24, 2023. | |
| Middle East Oilfield Equipment, 723 Sama Tower, 6/F, near Fairmont Hotel, Sheikh Zayed Road, P.O. Box 4404, Dubai, UAE; | 81 FR 40171, June 21, 2016. | |
| Pacific Ocean Star General Trading, aka Pacific Ocean Marine Services, Floor 12A/Office 04, Damac Executive Bay Tower B, Al A’amal St., Business Bay, P.O. Box 187128, Dubai, UAE; | 84 FR 14610, April 11, 2019. | |
| Piricas Trading Company, No. 507 Al Mina Street, P.O. Box 181950, Dubai, UAE | 85 FR 64017, October 9, 2020. | |
| Recaz Star General Trading LLC, #307 Naser Lootah Building, Khalid bin Waleed Road, Dubai, UAE | 80 FR 60532, October 7, 2015. | |
| Renat International General Trading, Office #H241, Building #1G, Ajman Free Zone, Ajman, UAE; | 80 FR 60532, October 7, 2015. | |
| Rich Star General Trading LLC, #203 The Atrium Centre, Khalid bin Waleed Road, Bur Dubai, Dubai, UAE; | 80 FR 4781, January 29, 2015. | |
| Rising Sun FZE, BC 1300147, Ajman Freezone, Ajman, UAE; | 85 FR 64017, October 9, 2020. | |
| Roudah Al Hayat General Trading FZE, a.k.a. Rudha Al Hayat General Trading, a.k.a. Rouda Al Hayat General Trading, a.k.a. JSB Logistics, 406 Al Rhakaimi Building, Deira, Dubai, UAE; | 83 FR 22844, May 17, 2018. | |
| Sea Prince Logistics LLC, Plot# MO0706, Street N200, JAFZA North, Dubai, UAE; | 85 FR 64017, October 9, 2020. | |
| Tek Work General Trading, 1902 Metropolis Business Tower, P.O. Box 12865, Business Bay, Dubai, UAE | 81 FR 40171, June 21, 2016. | |
| Trade Star FZC, Sheikh Zayed Road, Al Mossa Tower 1, 17th Floor, Dubai, UAE; and P.O. Box 51159, Sharjah, UAE; | 80 FR 60532, October 7, 2015. | |
| World Heavy Equipment, Industrial Area 10, Ras Al Khaimah, UAE; | 79 FR 34220, June 16, 2014. |
Supplement No. 7 to Part 744 – ‘Military End-User’ (MEU) List
The license requirement for entities listed in supplement no. 7 to part 744 applies to the export, reexport, or transfer (in-country) of any item subject to the EAR listed in supplement no. 2 to part 744. A license is required to export, reexport, or transfer (in-country) any item subject to the EAR listed in supplement no. 2 to part 744 when an entity that is listed on the MEU List is a party to the transaction as described in § 748.5(c) through (f). No license exceptions are available for exports, reexports or transfers (in-country) to listed entities on the MEU List for items specified in supplement no. 2 to part 744, except license exceptions for items authorized under the provisions of License Exception GOV set forth in § 740.11(b)(2)(i) and (ii) of the EAR as specified in § 744.21(c). The license application procedure and license review policy for entities specified in this supplement 7 to part 744 is specified in § 744.21(d) and (e).
| Country | Entity | |
|---|---|---|
| BURMA | [Reserved] | [Reserved] |
| CAMBODIA | [Reserved] | [Reserved] |
| CHINA, PEOPLE’S REPUBLIC OF | Academy of Aerospace Solid Propulsion Technology (AASPT), Tian Wang te Zi #1, Baqiao District, Xian, China | 85 FR 83799, 12/23/2020. |
| The following eight subordinate institutions of Aero-Engine Company of China: | ||
| AECC Aero Science & Technology Co. Ltd., Cheng-fa Industrial Park, ShuLong Road, SanHe Block, Sichuan, Chengdu, China. | ||
| AECC Aviation Power Co. Ltd., Xiujia Bay, Weiyong Dt., Xian 710021, China | ||
| AECC Beijing Institute of Aeronautical. Materials, No. 8 Hangcai Avenue, Beijing, Haidian District, China | ||
| AECC China Gas Turbine Establishment, No. 1 Hangkong Road, Mianyang, Sichuan Province, China | ||
| AECC Commercial Aircraft Engine Co. Ltd., No. 3998 South Lianhua Road, Shanghai 200241, Minhang District, China | ||
| AECC Harbin Dongan Engine Co., Ltd., No. 51 Baoguo Street, Haerbin 150036, China | ||
| AECC Shenyang Liming Aero Engine Co., Ltd., No. 6 Dongta Street, Shenyang 110043, China | ||
| AECC South Industry Company Limited, 95 Xinghua West Road, Zhuzhou 412002, China | ||
| Anhui Yingliu Hangyuan Power, 96 West Pihe Rd., Hengshan Town, Jiangxi, Shangrao, China | 85 FR 83799, 12/23/2020. | |
| The following seven subordinate institutions of Aviation Industry Corporation of China: | 85 FR 83799, 12/23/2020. | |
| AVIC Aircraft Co. Ltd., No. 1 Xifei Avenue, Xian 710089, Yanliang District, China | ||
| AVIC Chengdu Aircraft Industrial (GROUP) Co., Ltd., No. 88 Weiyi Road, Huang Tianba, Chengdu 610091, China | ||
| AVIC Flight Automatic Control Research Institute (FACRI), No. 92 Dianzi 1st Road, AVIC No 618 Institute, Xian 710065, China | ||
| AVIC General Aircraft Huanan Industry Co. Ltd., No. 999, Jinhai Middle Road, Jinwan District, Building 201Z Huhai 519040, Guangdong Province, China | ||
| AVIC General Aircraft Zhejiang Institute Co., Ltd., Floor 9, Building 1, 48 KeYuan Road, ZheJiang, China | ||
| AVIC International Holding Corporation, No. 18 Beichen East Road, Beijing 100101 Chaoyang District, China | ||
| AVIC Leihua Electronic Technology Research Institute (LETRI), No. 796 Liangxi Road, Binhu District 214063, China | ||
| Baimtec Material Co., Ltd., No 5, Yongxiang North Road, Yongfeng Ind, Beijing 100094, China | 85 FR 83799, 12/23/2020. | |
| Beijing Aero Lever Precision Ltd., Houju St No. 3 Changping, High Tec Park, Beijing 102200, China | 85 FR 83799, 12/23/2020. | |
| Beijing Ander Tech. Co., Ltd. No. C22, Yu An Rd., Area B, Tianzhu, Beijing 101318, China | 85 FR 83799, 12/23/2020
. | |
| Beijing Guang Ming Electronics Co., Ltd., No. 41 Yu Qiao Bei Li, Tongzhou District, Beijing 101100, China | 85 FR 83799, 12/23/2020. | |
| Beijing Siyuan Electronic Co., Ltd., Satellite Building, No. 63 Zhichun Road, Haidian District, Beijing 100086, China | 85 FR 83799, 12/23/2020. | |
| Beijing Skyrizon Aviation Industry Investment Co., Ltd., a.k.a., the following one alias: – Beijing Tianjiao Aviation Industry Investment Company 21/F Tower C Zhizhen Plaza, No. 7 Zhichun Road, Haidian District, Beijing, China. | 86 FR 4864, 1/15/21. | |
| CAST Xi’an Spaceflight Engine Factory, a.k.a., the following one alias: – 7103 Factory 7103 Factory No 6 Academy No 69, Shenzhou Second Road, Aerospace Base, Xian, China. | 85 FR 83799, 12/23/2020. | |
| Chengdu Holy Aviation Science & Tech, No. 220, Tongjiang Road, Pengzhou City, Sichuan 611936, China | 85 FR 83799, 12/23/2020. | |
| China Aviation Ind. Std. Parts No. 355, Baiyun S. Road, Baiyun Dist, Gui Yang 550014, China | 85 FR 83799, 12/23/2020. | |
| Chongqing Optel Telecom Technology Co., Ltd., No. 1, 6/F, Building 7, No. 106 West Section, Jinkai Avenue, Yubei District, Chongqing, China | 85 FR 83799 12/23/2020. 86 FR 29193, 6/1/2021. | |
| CSSC Xijiang Shipbuilding Co., Ltd., No. 133 Fenghuang Road, Liuzhou City, Guangxi 572000, China | 85 FR 83799, 12/23/2020. | |
| Elink Electronic Technology Co. Ltd., Room 717, Building 41, No. 8633 Zhongchun Road, Minhang District, Shanghai, China | 85 FR 83799, 12/23/2020. | |
| Fly Raise International Limited, Unit 04 7/F Bright Way Tower, No. 33 Mong Kok Road, Kowloon 999077, Hong Kong | 85 FR 83799, 12/23/2020. | |
| Fuhua Precision Man. Co, Fanhua Ave and Wanfoshan Rd, Taohua Ind. Park, Hefei City, Jingkai Dist, China | 85 FR 83799, 12/23/2020. | |
| Government Flying Service, 18 South Perimeter Road, Hong Kong Int’l Airport, Lantau, Hong Kong | 85 FR 83799, 12/23/2020. | |
| Guangzhou Hangxin Aviation Technology Co., Ltd., No. 1 Guangbao Road, Guangzhou Luogang District, China | 85 FR 83799, 12/23/2020. | |
| Guizhou Aviation Tech. Dev. Nat., Shangbashan Road, Guiyang City, China | 85 FR 83799, 12/23/2020. | |
| Guizhou Liyang Intl Manufacturing Co Ltd., No. 1 Gaotie Road, Anshun City 561102 Guizhou, China | 85 FR 83799, 12/23/2020. | |
| Hafei Aviation Industry Co., Ltd. (HAFEI), Nancheng Rd No. 2, HARBIN 150066, Heilongjiang Province, China | 85 FR 83799, 12/23/2020. | |
| Hangzhou Bearing Test & Research Center Co., Ltd., No. 333 Hua Feng Road, Hangzhou, Zhejiang, China | 85 FR 83799, 12/23/2020. | |
| Harbin General Aircraft Industry Co., Ltd., a.k.a., the following one alias: – Harbin Hafei Aviation Industry Co. Ltd. 15 Youxie Street, Harbin 150066, Pingfang District, China | 85 FR 83799, 12/23/2020. | |
| Henan Aerospace Precision Mach, 15 Xinnan Road, Xinyang 464000, China | 85 FR 83799, 12/23/2020. | |
| Hunan South General Aviation Engine Co., Ltd., Dongjiaduan, Hi-Tech Industry Zone, Zhuzhou, Hunan 412000, Lusong District, China | 85 FR 83799, 12/23/2020. | |
| Jiangsu Meilong Aviation Components Co., No. 88 Wufengshang Road, Suzhou, Zhenjiang 212132, China | 85 FR 83799, 12/23/2020. | |
| Jiatai Aircraft Equipment Co., Ltd., No. 1 ZhongHang Ave., Fancheng District, Xiangyang City, Hubei Province, China | 85 FR 83799, 12/23/2020. | |
| Jincheng Group Imp & Exp. Co. Ltd. Floor 26th Jincheng Plaza, 216 Middle Longpan Road, Nanjing, Jiangsu 210002, China | 85 FR 83799, 12/23/2020. | |
| Laboratory of Toxicant Analysis, Institute of Pharmacology and Toxicology, No. 27 Taiping Road, Beijing, Haidian District, China | 85 FR 83799, 12/23/2020. | |
| Nanjing Engineering Institute of Aircraft Systems (NEIAS), 33 Shuige Road, Jiangning Economic Development Zone, Nanjing 211106, China | 85 FR 83799, 12/23/2020. | |
| National Satellite Meteorological Bureau, No. 46 Baishiqiao Road, HaiDian District, Beijing 100081, China | 85 FR 83799, 12/23/2020. | |
| Second Institute of Oceanography, Ministry of Natural Resources, No. 36 Baochubei Road, Hangzhou 310012, Hangzhou Xihu District, China | 85 FR 83799, 12/23/2020. | |
| Shaanxi Aero Electric Co., Ltd., 17th, Jinye 2 Road, Xian High Tech Zone Xian, China | 85 FR 83799, 12/23/2020. | |
| Shaanxi Aircaft Industry Co Ltd., P.O. 34, Hanzhong City 723213, Shaanxi Province, China | 85 FR 83799, 12/23/2020. | |
| Shanghai Aerospace Equip. Man., No. 100 Huaning Road, Shanghai 200245, China | 85 FR 83799, 12/23/2020. | |
| Shanghai Aircraft Design and Research Institute, No. 5 Yun Jin Road, Shanghai 200232, China | 85 FR 83799, 12/23/2020. | |
| Shanghai Aircraft Manufacturing Co. Ltd. (SAMC), No. 919 Shangfei Road, Shanghai 201324, Pudong New District, China | 85 FR 83799, 12/23/2020. | |
| Shanghai Tianlang Electronic Science Co., Ltd., 1500 Qinjiagang Road, Room 112 & 6, Shanghai, Pudong New Area, China | 85 FR 83799, 12/23/2020. | |
| Shenyang Academy of Instrumentation Science Co., Ltd., No. 242, Baihai Street, Shenyang 110043, Dadong District, China | 85 FR 83799, 12/23/2020. | |
| Shenyang Aircraft Corporation, 1 Lingbei Street, Shenyang 110000, Huanggu District, China | 85 FR 83799, 12/23/2020. | |
| Shenyang Xizi Aviation Industry Co., Ltd., 76-43 Shenbei Road, Shenyang 110136, China | 85 FR 83799, 12/23/2020. | |
| Sichuan Hangte Aviation Tech. Co., Ltd., No. 269, 3rd Tengfei Road, Southwest Airport Economy Development Zone, Chengdu 61000, China | 85 FR 83799, 12/23/2020. | |
| Star Tech Aviation Co., Ltd., Unit E1, 15/F, 41-43 Au Pui Wan Street, On Wah IND Bldg, Shatin, New Territories, Hong Kong 999077, Hong Kong | 85 FR 83799, 12/23/2020. | |
| Sumec Instruments Equipment Co. Ltd., 198 Changjiang Road, 14/F Nanjing 210018, China | 85 FR 83799, 12/23/2020. | |
| Suzhou Eric Mechanics and Electronics Co. Ltd., No. 8 Huqiao Road, Suzhou, China | 85 FR 83799, 12/23/2020. | |
| Wuxi Hyatech Co., Ltd., No. 35 Xindong an Road, Wuxi, China | 85 FR 83799, 12/23/2020. | |
| Wuxi Paike New Mat. Tech. Co., Ltd., No. 22 Lianhe Rd., Hudai Ind. Park, Wuxi Binhu District, China | 85 FR 83799, 12/23/2020. | |
| Wuxi Turbine Blade Co. Ltd., 1800 Huishan Ave., Economic Zone, Wuxi 214174, China | 85 FR 83799, 12/23/2020. | |
| Xac Group Aviation Electronics Import & Export Co. Ltd., 70# West Ave of Renmin, Xian 710089, Yanliang District, China | 85 FR 83799, 12/23/2020. | |
| XAIC Tech (Xi’an) Industrial Co., Ltd. No. 1 Xifei Road, Xian Yanliang District, China | 85 FR 83799, 12/23/2020. | |
| Xian Aero-Engine Controls Co., Ltd., 750 Daqing Road, Xian, China | 85 FR 83799, 12/23/2020. | |
| Xian Aircraft Industrial Company Limited, No. 1 Xifei Avenue, Shanxi, Yanliang District, China | 85 FR 83799, 12/23/2020. | |
| Xi’an Xae Flying Aviation Manufacturing Technology Co., Ltd., No.12 Fengcheng Road, Xian 710018, Weiyang District, China | 85 FR 83799, 12/23/2020. | |
| Xian Xr Aero- Components Co. Ltd., Hongqi East Road, Xian 710021, China | 85 FR 83799, 12/23/2020. | |
| Yibin Sanjiang Machine Co., Ltd., No. 72 MinJiangBei Road, Yibin 64407, Sichuan, China | 85 FR 83799, 12/23/2020. | |
| Zhejiang Perfect New Material Co., Ltd., No. 28, Dingsheng Road, Leidian Town, Deqing County, HuZhou City, China | 85 FR 83799, 12/23/2020. | |
| VENEZUELA | [Reserved] | [Reserved] |
PART 745 – CHEMICAL WEAPONS CONVENTION REQUIREMENTS
§ 745.1 Advance notification and annual report of all exports of Schedule 1 chemicals to other States Parties.
Pursuant to the Convention, the United States is required to notify the Organization for the Prohibition of Chemical Weapons (OPCW) not less than 30 days in advance of every export of a Schedule 1 chemical, in any quantity, to another State Party. In addition, the United States is required to provide a report of all exports of Schedule 1 chemicals to other States Parties during each calendar year. If you plan to export any quantity of a Schedule 1 chemical controlled under the EAR and licensed by the Department of Commerce or controlled under the International Traffic in Arms Regulations (ITAR) and licensed by the Department of State, you are required under this section to notify the Department of Commerce in advance of this export. You are also required to provide an annual report of exports that actually occurred during the previous calendar year. The United States will transmit the advance notifications and an aggregate annual report to the OPCW of exports of Schedule 1 chemicals from the United States. Note that the notification and annual report requirements of this section do not relieve the exporter of any requirement to obtain a license from the Department of Commerce for the export of Schedule 1 chemicals subject to the EAR or from the Department of State for the export of Schedule 1 chemicals subject to the ITAR.
(a) Advance notification of exports. You must notify BIS at least 45 calendar days prior to exporting any quantity of a Schedule 1 chemical listed in supplement no. 1 to this part to another State Party, except that notifications for exports of 5 milligrams or less of saxitoxin (for medical or diagnostic purposes only) must be submitted to BIS at least 3 calendar days prior to the date of export (see 15 CFR 712.6(a)). This is in addition to the requirement to obtain an export license under the EAR for chemicals controlled by ECCN 1C350 or 1C351 for any reason for control, or from the Department of State for Schedule 1 chemicals controlled under the ITAR. Note that such notifications may be sent to BIS prior to or after submission of a license application to BIS for Schedule 1 chemicals controlled subject to the EAR and under ECCNs 1C350 or 1C351 or to the Department of State for Schedule 1 chemicals controlled on the ITAR. Such notices must be submitted separately from license applications.
(1) Such notification should be on company letterhead or must clearly identify the reporting entity by name of company, complete address, name of contact person and telephone and fax numbers, along with the following information:
(i) Common Chemical Name;
(ii) Structural formula of the chemical;
(iii) Chemical Abstract Service (CAS) Registry Number;
(iv) Quantity involved in grams;
(v) Planned date of export;
(vi) Purpose (end-use) of export;
(vii) Name of recipient;
(viii) Complete street address of recipient;
(ix) Export license or control number, if known; and
(x) Company identification number, once assigned by BIS.
(2) Send the notification either by fax to (202) 482-1731 or by mail or courier delivery to the following address: Information Technology Team, Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230. Attn: “Advance Notification of Schedule 1 Chemical Export”.
(3) Upon receipt of the notification, BIS will inform the exporter of the earliest date the shipment may occur under the notification procedure. To export the Schedule 1 chemical, the exporter must have applied for and been granted a license (see §§ 742.2 and 742.18 of the EAR, or the ITAR at 22 CFR part 121.
(b) Annual report of exports. (1) You must report all exports of any quantity of a Schedule 1 chemical to another State Party during the previous calendar year, starting with exports taking place during calendar year 1997. Reports for exports during calendar years 1997 and 1998 are due to the Department of Commerce August 16, 1999. Thereafter, annual reports of exports are due on February 13 of the following calendar year. The report should be on company letterhead or must clearly identify the reporting entity by name of company, complete address, name of contact person and telephone and fax numbers along with the following information for each export:
(i) Common Chemical Name;
(ii) Structural formula of the chemical;
(iii) CAS Registry Number;
(iv) Quantity involved in grams;
(v) Date of export;
(vi) Export license number;
(vii) Purpose (end-use) of export;
(viii) Name of recipient;
(ix) Complete address of recipient, including street address, city and country; and (x) Company identification number, once assigned by BIS.
(2) The report must be signed by a responsible party, certifying that the information provided in the annual report is, to the best of his/her knowledge and belief, true and complete.
(3) Send the report either by fax to (202) 482-1731 or by mail or courier delivery to the following address: Information Technology Team, Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230. Attn: “Annual Report of Schedule 1 Chemical Export”.
§ 745.2 End-Use Certificate reporting requirements under the Chemical Weapons Convention.
The End-Use Certificate requirement of this section does not relieve the exporter of any requirement to obtain a license from the Department of Commerce for the export of Schedule 3 chemicals subject to the Export Administration Regulations or from the Department of State for the export of Schedule 3 chemicals subject to the International Traffic in Arms Regulations.
(a)(1) No U.S. person, as defined in § 744.6(c) of the EAR, may export from the United States any Schedule 3 chemical identified in supplement no. 1 to this part to countries not party to the Chemical Weapons Convention (destinations not listed in supplement no. 2 to this part) unless the U.S. person obtains from the consignee an End-Use Certificate issued by the government of the importing destination. This Certificate must be issued by the foreign government’s agency responsible for foreign affairs or any other agency or department designated by the importing government for this purpose. Supplement no. 3 to this part includes foreign authorized agencies responsible for issuing End-Use Certificates pursuant to this section. Additional foreign authorized agencies responsible for issuing End-Use Certificates will be included in supplement no. 3 to this part when known. End-Use Certificates may be issued to cover aggregate quantities against which multiple shipments may be made to a single consignee. An End-Use Certificate covering multiple shipments may be used until the aggregate quantity is shipped. End-Use Certificates must be submitted separately from license applications.
(2) Submit a copy of the End-Use Certificate, no later than 7 days after the date of export, either by fax to (202) 482-1731 or by mail or courier delivery to the following address: Information Technology Team, Treaty Compliance Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230. Attn: “CWC End-Use Certificate Report”.
(b) The End-Use Certificate described in paragraph (a) of this section must state the following:
(1) That the chemicals will be used only for purposes not prohibited under the Chemical Weapons Convention;
(2) That the chemicals will not be transferred to other end-user(s) or end-use(s);
(3) The types and quantities of chemicals;
(4) Their specific end-use(s); and
(5) The name(s) and complete address(es) of the end-user(s).
Supplement No. 1 to Part 745 – Schedules of Chemicals
| CAS registry No. | |
|---|---|
| A. Toxic Chemicals: | |
| 1. | |
| Not limited to the following examples: | |
| 107-44-8 | |
| 96-64-0 | |
| 2. | |
| Not limited to the following example: | |
| 77-81-6 | |
| 3. | |
| Not limited to the following example: | |
| 50782-69-9 | |
| 4. | |
| 2-Chloroethylchloromethylsulfide | 2625-76-5 |
| 505-60-2 | |
| Bis(2-chloroethylthio)methane | 63869-13-6 |
| 3563-36-8 | |
| 1,3-Bis(2-chloroethylthio)-n-propane | 63905-10-2 |
| 1,4-Bis(2-chloroethylthio)-n-butane | 142868-93-7 |
| 1,5-Bis(2-chloroethylthio)-n-pentane | 142868-94-8 |
| Bis(2-chloroethylthiomethyl)ether | 63918-90-1 |
| 63918-89-8 | |
| 5. | |
| 541-25-3 | |
| 40334-69-8 | |
| Lewisite 3: Tris(2-chlorovinyl)arsine | 40334-70-1 |
| 6. | |
| 538-07-8 | |
| 51-75-2 | |
| 555-77-1 | |
| 7. Saxitoxin | 35523-89-8 |
| 8. Ricin | 9009-86-3 |
| 13. | |
| Not limited to the following examples: | |
| N-(1-(di-n-decylamino)-n-decylidene)-P-decylphosphonamidic fluoride | 2387495-99-8 |
| Methyl-(1-(diethylamino)ethylidene)phosphonamidofluoridate | 2387496-12-8 |
| 14. | |
| Not limited to the following examples: | |
| O-n-Decyl N-(1-(di-n-decylamino)-n decylidene)phosphoramidofluoridate | 2387496-00-4 |
| Methyl (1-(diethylamino)ethylidene)phosphoramidofluoridate | 2387496-04-8 |
| Ethyl (1-(diethylamino)ethylidene)phosphoramidofluoridate | 2387496-06-0 |
| 15. Methyl-(bis(diethylamino)methylene)phosphonamidofluoridate | 2387496-14-0 |
| 16. Carbamates (quaternaries and bisquaternaries of dimethylcarbamoyloxypyridines) | |
| 16.1. | |
| Not limited to the following example: | |
| 1-[N,N-dimethyl-N-(2-hydroxy)ethylammonio]-10-[N-(3-dimethylcarbamoxy-α-picolinyl)-N,N-dimethylammonio]decane dibromide | 77104-62-2 |
| 16.2. | |
| Not limited to the following example: | |
| 1,10-Bis[N-(3-dimethylcarbamoxy-α-picolyl)-N-ethyl-N- methylammonio]decane-2,9-dione dibromide | 77104-00-8 |
| B. Precursors: | |
| 9. | |
| Not limited to the following example: | |
| 676-99-3 | |
| 10. | |
| Not limited to the following example: | |
| 57856-11-8 | |
| 11. | 1445-76-7 |
| 12. | 7040-57-5 |
| A. Toxic Chemicals: | |
| 1. | 78-53-5 |
| 2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene | 382-21-8 |
| 3. | 6581-06-2 |
| B. Precursors: | |
| 4. | |
| Not limited to the following examples: | |
| Methylphosphonyl dichloride | 676-97-1 |
| Dimethyl methylphosphonate | 756-79-6 |
| 944-22-9 | |
| 5. | |
| 6. | |
| 7. Arsenic trichloride | 7784-34-1 |
| 8. 2,2-Diphenyl-2-hydroxyacetic acid | 76-93-7 |
| 9. Quinuclidine-3-ol | 1619-34-7 |
| 10. | |
| 11. | |
| 108-01-0 | |
| N,N-Diethylaminoethanol and corresponding protonated salts | 100-37-8 |
| 12. | |
| 13. Thiodiglycol: Bis(2-hydroxyethyl)sulfide | 111-48-8 |
| 14. | 464-07-3 |
| A. Toxic Chemicals: | |
| 1. | 75-44-5 |
| 2. Cyanogen chloride | 506-77-4 |
| 3. Hydrogen cyanide | 74-90-8 |
| 4. | 76-06-2 |
| B. Precursors: | |
| 5. Phosphorus oxychloride | 10025-87-3 |
| 6. Phosphorus trichloride | 7719-12-2 |
| 7. Phosphorus pentachloride | 10026-13-8 |
| 8. Trimethyl phosphite | 121-45-9 |
| 9. Triethyl phosphite | 122-52-1 |
| 10. Dimethyl phosphite | 868-85-9 |
| 11. Diethyl phosphite | 762-04-9 |
| 12. Sulfur monochloride | 10025-67-9 |
| 13. Sulfur dichloride | 10545-99-0 |
| 14. Thionyl chloride | 7719-09-7 |
| 15. Ethyldiethanolamine | 139-87-7 |
| 16. Methyldiethanolamine | 105-59-9 |
| 17. Triethanolamine | 102-71-6 |
The numerical sequence of the “Schedule 1” Toxic Chemicals and Precursors is not consecutive so as to align with the December 23, 2019, consolidated textual changes to “Schedule 1” of the Annex on Chemicals to the Chemical Weapons Convention (CWC), which reflect the decisions adopted by the CWC Conference of the States Parties in November 2019.
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
* For CWC purposes only, China includes Macau.
*** For CWC purposes only, the Netherlands (Kingdom of) includes: Aruba, Curaçao, and Saint Maarten (the Dutch two-fifths of the island of Saint Martin).
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.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part implements broad based controls for items and activities subject to the EAR imposed to implement U.S. government policies. Two categories of controls are included in this part.
(a) Comprehensive controls. This part contains or refers to all the BIS licensing requirements, licensing policies, and License Exceptions for countries subject to general embargoes or comprehensive sanctions, currently Cuba, Iran, and Syria. This part is the focal point for all the EAR requirements for transactions involving these countries.
(1) Cuba. All the items on the Commerce Control List (CCL) require a license to Cuba. In addition, most other items subject to the EAR, but not included on the CCL, designated by the Number “EAR99”, require a license to Cuba. Most items requiring a license to these destinations are subject to a general policy of denial. Because these controls extend to virtually all exports, they do not appear in the Country Chart in part 738 of the EAR, nor are they reflected in the Commerce Control List in part 774 of the EAR.
(2) Iran. BIS maintains license requirements and other restrictions on exports and reexports to Iran. A comprehensive embargo on transactions involving this country is administered by the Department of The Treasury’s Office of Foreign Assets Control (OFAC).
(3) Syria. Pursuant to Sections 5(a)(1) and 5(a)(2)(A) of the Syria Accountability and Lebanese Sovereignty Restoration Act of 2003 (Pub. L. 108-175, codified as a note to 22 U.S.C. 2151) (the SAA), since May 14, 2004 BIS has maintained a prohibition on the export to Syria of all items on the Commerce Control List (in 15 CFR part 774) (CCL) and a prohibition on the export to Syria of products of the United States, other than food and medicine. The President also exercised national security waiver authority pursuant to Section 5(b) of the SAA for certain transactions. Section 746.9 of this part sets forth the specific license requirements, licensing policy and license exceptions applicable to Syria as a sanctioned country under the EAR. These provisions were issued consistent with Executive Order 13338 of May 11, 2004 which implemented the SAA.
(b) Sanctions on selected categories of items to specific destinations. (1) BIS controls the export and reexport of selected categories of items to countries under United Nations Security Council arms embargoes. See the Commerce Control List in supplement no. 1 to part 774. See also §§ 746.3 (Iraq) and 746.4 (North Korea).
(2) The countries subject to United Nations Security Council arms embargoes are: Central African Republic, Democratic Republic of the Congo, Eritrea, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, and Sudan.
(3) A license is required to export or reexport items identified in Part 774 as having a “UN” reason for control to countries identified in paragraph (b)(2) of this section. To the extent consistent with United States national security and foreign policy interests, BIS will not approve applications for such licenses if the authorization would be contrary to the relevant United Nations Security Council Resolution.
(4) You may not use any License Exception, other than License Exception GOV, for items for personal or official use by personnel and agencies of the U.S. Government or agencies of cooperating governments as set forth in § 740.11(b) of the EAR, to export or reexport items with a UN reason for control to countries listed in paragraph (b)(2) of this section. This paragraph does not apply to Iraq, which is governed by § 746.3(c) of this part; North Korea, which is governed by § 746.4(c) of this part; or Iran, which is governed by § 746.7(c) of this part.
(c) Russian Industry Sector Sanctions. The Russian Industry Sector Sanctions are set forth under § 746.5 and referenced under the License Requirements section of certain Export Control Classification Numbers (ECCNs) in supplement No. 1 to part 774 (Commerce Control List), as well as in a footnote to the Commerce Country Chart in supplement no. 1 to part 738.
(d) This part also contains descriptions of controls maintained by the Office of Foreign Assets Control in the Treasury Department and by the Directorate of Defense Trade Controls in the Department of State. Comprehensive embargoes and supplemental controls implemented by BIS under the EAR usually also involve controls on items and activities maintained by these agencies. This part sets forth the allocation of licensing responsibilities between BIS and these other agencies. References to the requirements of other agencies are informational; for current, complete, and authoritative requirements, you should consult the appropriate agency’s regulations.
§ 746.2 Cuba.
(a) License requirements. As authorized by section 6 of the Export Administration Act of 1979, as amended (EAA) and by the Trading with the Enemy Act of 1917, as amended, you will need a license to export or reexport all items subject to the EAR (see part 734 of the EAR for the scope of items subject to the EAR) to Cuba, including any release of technology or source code subject to the EAR to a Cuban national, except as follows:
(1) License exceptions. You may export or reexport without a license if your transaction meets all the applicable terms and conditions of any of the following License Exceptions. To determine the scope and eligibility requirements, you will need to turn to the sections or specific paragraphs of part 740 of the EAR (License Exceptions). Read each License Exception carefully, as the provisions available for embargoed countries are generally narrow.
(i) Temporary exports and reexports (TMP) by the news media (see § 740.9(a)(9) of the EAR).
(ii) Operation technology and software (TSU) for legally exported commodities or software (see § 740.13(a) of the EAR).
(iii) Sales technology (TSU) (see § 740.13(b) of the EAR).
(iv) Software updates (TSU) for legally exported software (see § 740.13(c) of the EAR).
(v) Parts (RPL) for one-for-one replacement in certain legally exported commodities (see § 740.10(a) of the EAR).
(vi) Baggage (BAG) (see § 740.14 of the EAR).
(vii) Governments and international organizations (GOV) (see § 740.11 of the EAR).
(viii) Gift parcels and humanitarian donations (GFT) (see § 740.12 of the EAR).
(ix) Items in transit (TMP) from Canada through the U.S. (see § 740.9(b)(1)(iv) of the EAR).
(x) Aircraft, vessels and spacecraft (AVS) for certain aircraft on temporary sojourn; equipment and spare parts for permanent use on a vessel or aircraft, and ship and plane stores; vessels on temporary sojourn; or cargo transiting Cuba on aircraft or vessels on temporary sojourn (see § 740.15(a), (b), (d), and (e) of the EAR).
(xi) Permissive reexports of certain spare parts in foreign-made equipment (see § 740.16(h) of the EAR).
(xii) Exports of agricultural commodities, classified as EAR99, under License Exception Agricultural Commodities (AGR) and certain reexports of U.S. origin agricultural commodities, classified as EAR99, under License Exception AGR (see § 740.18 of the EAR).
(xiii) Commodities and software authorized under License Exception Consumer Communications Devices (CCD) (see § 740.19 of the EAR).
(xiv) License Exception Support for the Cuban People (SCP) (see § 740.21 of the EAR).
(2) Deemed exports and deemed reexports. A license is not required to release technology or source code subject to the EAR but not on the Commerce Control List (i.e., EAR99 technology or source code) to a Cuban national in the United States or a third country.
(b) Licensing policy. Items requiring a license are subject to a general policy of denial, except as follows:
(1) Medicines and Medical Devices. Applications to export medicines and medical devices as defined in part 772 of the EAR will generally be approved, except:
(i) To the extent restrictions would be permitted under section 5(m) of the Export Administration Act of 1979, as amended (EAA), or section 203(b)(2) of the International Emergency Economic Powers Act;
(ii) If there is a reasonable likelihood that the item to be exported will be used for purposes of torture or other human rights abuses;
(iii) If there is a reasonable likelihood that the item to be exported will be reexported;
(iv) If the item to be exported could be used in the production of any biotechnological product; or
(v) If it is determined that the United States government is unable to verify, by on-site inspection or other means, that the item to be exported will be used for the purpose for which it was intended and only for the use and benefit of the Cuban people, but this exception shall not apply to donations of medicines for humanitarian purposes to a nongovernmental organization in Cuba.
(2) Exports and reexports that generally will be approved. Applications for licenses to export or reexport the following generally will be approved:
(i) Telecommunications items that would improve communications to, from, and among the Cuban people;
(ii) Commodities and software to human rights organizations or to individuals and non-governmental organizations that promote independent activity intended to strengthen civil society in Cuba;
(iii) Commodities and software to U.S. news bureaus in Cuba whose primary purpose is the gathering and dissemination of news to the general public;
(iv) Agricultural items that are outside the scope of agricultural commodities as defined in part 772 of the EAR, such as insecticides, pesticides and herbicides, and agricultural commodities not eligible for License Exception AGR;
(v) Items necessary to ensure the safety of civil aviation and the safe operation of commercial aircraft engaged in international air transportation, excluding the export or reexport of such aircraft leased to state-owned enterprises; and
(vi) Items necessary for the environmental protection of U.S. and international air quality, waters, or coastlines (including items related to renewable energy or energy efficiency).
(3) Exports and reexports that may be authorized on a case-by-case basis. (i) Applications for licenses to export or reexport items to meet the needs of the Cuban people, including exports and reexports of such items to state-owned enterprises, agencies, and other organizations of the Cuban government that provide goods and services for the use and benefit of the Cuban people may be authorized on a case-by-case basis. This policy of case-by-case review includes applications for licenses to export or reexport items for:
(A) Agricultural production, artistic endeavors (including the creation of public content, historic and cultural works and preservation), education, food processing, disaster preparedness, relief and response, public health and sanitation, residential construction and renovation and public transportation;
(B) Wholesale and retail distribution for domestic consumption by the Cuban people;
(C) Construction of facilities for treating public water supplies, facilities for supplying electricity or other energy to the Cuban people, sports and recreation facilities, and other infrastructure that directly benefits the Cuban people; and
(D) Items that will enable or facilitate export from Cuba of items produced by the private sector.
Licenses issued pursuant to the policy set forth in this paragraph generally will have a condition prohibiting both reexports from Cuba to any other destination and uses that enable or facilitate the export of goods or services from Cuba, that primarily generate revenue for the state.
The policy of case-by-case review in this paragraph is intended to facilitate exports and reexports to meet the needs of the Cuban people. Accordingly, BIS generally will deny applications to export or reexport items for use by state-owned enterprises, agencies, and other organizations that primarily generate revenue for the state, including those engaged in tourism and those engaged in the extraction or production of minerals or other raw materials. Applications for export or reexport of items destined to the Cuban military, police, intelligence or security services also generally will be denied. Additionally, pursuant to section 3(a) of the National Security Presidential Memorandum on Strengthening the Policy of the United States Toward Cuba (NSPM), dated June 16, 2017, BIS generally will deny applications to export or reexport items for use by entities or subentities identified by the Department of State in the
(ii) [Reserved]
(4) Temporary sojourns of aircraft and vessels. Applications for exports or reexports of aircraft or vessels on temporary sojourn to Cuba, other than aircraft operated by certificated air carriers or cargo vessels for hire, are subject to a general policy of denial unless consistent with the foreign policy or national security interests of the United States. Applications for exports or reexports of aircraft operated by certificated air carriers or cargo vessels for hire on temporary sojourn to Cuba may be authorized on a case-by-case basis.
Applications for exports or reexports of private and corporate aircraft, cruise ships, sailboats, fishing vessels, and other similar aircraft and vessels on temporary sojourn to Cuba will generally be denied.
(c) Definitions. For purposes of this section, “U.S. person” means any person subject to the jurisdiction of the United States, as described in § 515.329 of the Cuban Assets Control Regulations (31 CFR 515.329).
(d) Related controls. OFAC maintains controls on the activities of persons subject to U.S. jurisdiction, wherever located, involving transactions with Cuba or any Cuban national, as provided in 31 CFR part 515. Exporters and reexporters should consult with OFAC for further guidance on its related controls.
§ 746.3 Iraq.
Pursuant to United Nations Security Council (UNSC) Resolutions 1483 and 1546 and other relevant resolutions, the United Nations maintains an embargo on the sale or supply to Iraq of arms and related materiel and their means of production, except items required by the Government of Iraq to serve the purposes of Resolution 1546. UNSC Resolutions 707 and 687 require that Iraq eliminate its nuclear weapons program and restrict its nuclear activities to the use of isotopes for medical, industrial or agricultural purposes. Such resolutions further mandate that Iraq eliminate its chemical and biological weapons programs as well as its ballistic missile program. In support of the applicable UNSC resolutions, certain Iraq specific license requirements and licensing policies are detailed in this section. In addition, this section details restrictions on transfers of items subject to the EAR within Iraq. Exporters should be aware that other provisions of the EAR, including parts 742 and 744, will continue to apply with respect to exports and reexports to Iraq and transfers within Iraq.
(a) License requirements. (1) A license is required for the export or reexport to Iraq or transfer within Iraq of any item controlled on the Commerce Control List for NS, MT, NP, CW, CB, RS, CC, EI, SI, or SL reasons. See part 742 of the EAR.
(2) A license is required for the export or reexport to Iraq or transfer within Iraq of any item controlled on the Commerce Control List for UN reasons.
(3) A license is required for the export or reexport to Iraq or transfer within Iraq of items on the Commerce Control List controlled for RS reasons under the following ECCNs: 0B999, 0D999, 1B999, 1C992, 1C995, 1C997, 1C999 and 6A992.
(4) A license is required for the export or reexport to Iraq or transfer within Iraq of any item subject to the EAR if, at the time of the export, reexport or transfer, you know, have reason to know, or are informed by BIS that the item will be, or is intended to be, used for a “military end-use” or by a “military end-user”, as defined in this section. This license requirement does not apply to exports, reexports or transfers of items for the official use by personnel and agencies of the U.S. Government or exports, reexports or transfers to the Government of Iraq. See § 740.11(b)(3) of the EAR for the definition of “agency of the U.S. Government.” BIS may inform an exporter, reexporter, or other person, either individually by specific notice or through amendment to the EAR, that a license is required for export, reexport or transfer of items subject to the EAR to specified end-users, because BIS has determined that there is an unacceptable risk of diversion to the uses or users described in this paragraph. Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. The absence of any such notification does not excuse the exporter, reexporter or other person from compliance with the license requirements of this paragraph.
(i) Military end-use. In this section, the phrase “military end-use” means incorporation into a military item described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations) or the Wassenaar Arrangement Munitions List (WAML) (as set out on the Wassenaar Arrangement website at http://www.wassenaar.org); or use, development, or deployment of military items described on the USML or the WAML.
(ii) Military end-user. In this section, the term “military end-user” means any “person” whose actions or functions are intended to support “military end-uses” as defined in paragraph (a)(4)(i) of this section and who is not recognized as a legitimate military organization by the U.S. Government.
(5) Definitions. For purposes of exports or reexports to Iraq or transfers within Iraq, “ballistic missile” is defined as any missile capable of a range greater than 150 kilometers.
(b) Licensing policy. (1) License applications for the export or reexport to Iraq or transfer within Iraq of items listed in paragraph (a)(1), (a)(2), or (a)(3) of this section for Iraqi civil nuclear or military nuclear activity, except for use of isotopes for medical, industrial or agricultural purposes, will be subject to a policy of denial.
(2) License applications for the export or reexport to Iraq or transfer within Iraq of machine tools controlled for national security (NS) or nuclear nonproliferation (NP) reasons, as well as for any items controlled for crime control (CC) or United Nations (UN) reasons (including items classified under ECCN 0A505.c) or ECCNs that end in the number “018” or items classified under “600 series” ECCNs, that would make a material contribution to the production, research, design, development, support, maintenance or manufacture of Iraqi weapons of mass destruction, ballistic missiles or arms and related materiel will be subject to a general policy of denial. Exports of “600 series” items to the Government of Iraq will be reviewed under the policies set forth for such items in §§ 742.4(b) and 742.6(b) of the EAR.
(3) License applications for the export or reexport to Iraq or transfer within Iraq of items listed in paragraph (a)(3) of this section will be reviewed on a case-by-case basis to determine if they would contribute to the building of Iraqi civil infrastructure. Applications determined not to contribute to the building of Iraqi civil infrastructure will be subject to a general policy of denial.
(4) License applications for the export or reexport to Iraq or transfer within Iraq of items listed in paragraph (a)(4) of this section will be subject to a policy of denial.
(c) License exceptions. You may export or reexport without a license if your transaction meets all the requirements of any of the following License Exceptions: CIV, APP, TMP, RPL, GOV, GFT, TSU, BAG, AVS, or ENC. For specific requirements of each of these License Exceptions, refer to part 740 of the EAR. Notwithstanding the above, this paragraph may not be applied to exports or reexports that require a license under paragraph (a)(4) of this section.
(d) Related State Department controls. The Department of State, Directorate of Defense Trade Controls, maintains controls on arms and military equipment to Iraq under the International Traffic in Arms Regulations (22 CFR parts 120 through 130).
(e) Transition for licenses issued by the Department of the Treasury’s Office of Foreign Assets Control. Prior to July 30, 2004, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) exercised primary licensing jurisdiction for transactions with Iraq, as provided in 31 CFR part 575. This section establishes a validity period for licenses issued by OFAC for exports or reexports to Iraq.
(1) Validity period. Licenses issued by OFAC for the export or reexport of items that require a license to Iraq under the Export Administration Regulations (EAR) shall continue to be valid under the EAR. For those licenses with specified expiration dates, such dates will continue to apply. Licenses without specified expiration dates will be valid through July 30, 2005. The recordkeeping requirements applicable to exports and reexports of items pursuant to licenses issued by OFAC are described in paragraph (e)(3) of this section.
Persons that have been authorized by OFAC to export or reexport items that are subject to the export control jurisdiction of other agencies must consult with OFAC and the other relevant agencies with regard to the expiration date of the authorization granted by OFAC.
(2) Reexports or transfers. Items subject to a license requirement under the EAR for export or reexport to Iraq as of July 30, 2004, that were previously exported or reexported to Iraq under a specific license granted by OFAC:
(i) May not be transferred within Iraq to a new end-user without a license from BIS,
(ii) May be reexported to the United States without a license,
(iii) May be reexported to third countries subject to the license requirements for the destination, end-use or end-user set forth elsewhere in the EAR.
(3) Recordkeeping requirement. Persons in receipt of a specific license granted by OFAC described in paragraph (e)(1) of this section must maintain a record of those items exported or reexported to Iraq pursuant to such specific license and record when the items are consumed or destroyed in the normal course of their use in Iraq, reexported to a third country not requiring further authorization from BIS, or returned to the United States. This requirement applies only to items subject to a license requirement under the EAR for export to Iraq as of July 30, 2004. These records must be maintained in accordance with recordkeeping requirements set forth in part 762 of the EAR and must include the following information:
(i) Date of export or reexport and related details (including means of transport);
(ii) Description of items (including ECCN) and value of items in U.S. Dollars;
(iii) Description of proposed end-use and locations in Iraq where items are intended to be used;
(iv) Parties other than specific OFAC licensee who may be given temporary access to the items; and
(v) Date of consumption or destruction, if the items are consumed or destroyed in the normal course of their use in Iraq, or the date of reexport to a third country not requiring further authorization from BIS, or return to the United States.
(f) License Requirements for certain transfers within Iraq of items subject to the EAR – (1) Licensed items. A license is required for the transfer within Iraq of any item subject to the EAR exported or reexported pursuant to a specific license issued by the Department of the Treasury or a Department of Commerce specific license or License Exception.
(2) Other items. (i) A license is required for the transfer within Iraq of any item subject to the EAR, if, at the time of the transfer, you know, have reason to know, or are informed by BIS that the item will be used in the design, development, production or use of weapons of mass destruction or the means of their delivery, as set forth in part 744 of the EAR.
(ii) A license is required for the transfer within Iraq to designated terrorists or terrorist organizations, as set forth in § 744.12, § 744.13, or § 744.14 of the EAR.
§ 746.4 North Korea.
(a) Licensing requirements. As authorized by section 6 of the Export Administration Act of 1979, as amended, and consistent with United Nations Security Council Resolution 1718, a license is required to export or reexport any item subject to the EAR (see part 734 of the EAR) to the Democratic People’s Republic of Korea (North Korea), except food and medicines classified as EAR99 (definitions in part 772 of the EAR). Portions of certain license exceptions, set forth in paragraph (c) of this section, may be available. Exporters should be aware that other provisions of the EAR, including parts 742 and 744, also apply to exports and reexports to North Korea.
(b) Licensing policy. Items requiring a license are subject to case-by-case review, except as follows:
(1) Luxury goods. Applications to export or reexport luxury goods, e.g., luxury automobiles; yachts; gems; jewelry; other fashion accessories; cosmetics; perfumes; furs; designer clothing; luxury watches; rugs and tapestries; electronic entertainment software and equipment; recreational sports equipment; tobacco; wine and other alcoholic beverages; musical instruments; art; and antiques and collectible items, including but not limited to rare coins and stamps are subject to a general policy of denial. For further information on luxury goods, see supplement no. 1 to part 746.
(2) Applications to export or reexport arms and related materiel are subject to a general policy of denial. In addition, applications to export or reexport items specified by UN documents S/2006/814, S/2006/815 and S/2006/853 and other items that the UN Security Council or the Sanctions Committee established pursuant to UN Security Council Resolution 1718 has determined could contribute to North Korea’s nuclear-related, ballistic missile-related or other weapons of mass destruction-related programs are also subject to a general policy of denial.
(3) Applications to export or reexport items controlled for NP and MT reasons (except ECCN 7A103 items) are subject to a general policy of denial.
(4) Applications to export or reexport humanitarian items (e.g., blankets, basic footwear, heating oil, and other items meeting subsistence needs) intended for the benefit of the North Korean people; items in support of United Nations humanitarian efforts; and agricultural commodities or medical devices items that are determined by BIS, in consultation with the interagency license review community, not to be luxury goods are subject to a general policy of approval.
(5) Other items on the CCL. See Section 742.19(b) of the EAR.
(c) License exceptions. You may export or reexport without a license if your transaction meets all the applicable terms and conditions of any of the license exception subsections specified in this paragraph. To determine scope and eligibility requirements, you will need to refer to the sections or specific paragraphs of part 740 (License Exceptions). Read each license exception carefully, as the provisions available for countries subject to sanctions are generally narrow.
(1) TMP for items for use by the news media as set forth in § 740.9(a)(9) of the EAR.
(2) GOV for items for personal or official use by personnel and agencies of the U.S. Government, the International Atomic Energy Agency (IAEA), or the European Atomic Energy Community (Euratom) as set forth in § 740.11(a), (b)(2) of the EAR.
(3) GFT, except that GFT is not available to export or reexport luxury goods as described in this section to North Korea.
(4) TSU for operation technology and software for lawfully exported commodities as set forth in § 740.13(a) and sales technology as set forth in § 740.13 (b) of the EAR.
(5) BAG for exports of items by individuals leaving the United States as personal baggage as set forth in § 740.14(a) through (d) of the EAR.
(6) AVS for civil aircraft as set forth in § 740.15(a)(4) of the EAR.
(d) The Secretary of State has designated North Korea as a country the government of which has repeatedly provided support for acts of international terrorism. For anti-terrorism controls, see Section 742.19 of the EAR.
(e) OFAC maintains controls on certain transactions involving persons subject to U.S. jurisdiction and North Korean entities or any specially designated North Korean national.
§ 746.5 Russian and Belarusian industry sector sanctions.
(a) License requirements – (1) General prohibition. (i) A license is required to export, reexport, or transfer (in-country) any item subject to the EAR listed in supplement no. 2 to this part and items specified in ECCNs 0A998, 1C992, 3A229, 3A231, 3A232, 6A991, 8A992, and 8D999 when you “know” that the item will be used directly or indirectly in exploration for, or production of, oil or gas in Russian deepwater (greater than 500 feet) or Arctic offshore locations or shale formations in Russia or Belarus, or are unable to determine whether the item will be used in such projects. Such items include, but are not limited to, drilling rigs, parts for horizontal drilling, drilling and completion equipment, subsea processing equipment, Arctic-capable marine equipment, wireline and down hole motors and equipment, drill pipe and casing, software for hydraulic fracturing, high pressure pumps, seismic acquisition equipment, remotely operated vehicles, compressors, expanders, valves, and risers.
(ii) A license is required to export, reexport, or transfer (in-country) any item subject to the EAR listed in supplement no. 4 to this part to or within Russia or Belarus.
(iii) A license is required to export, reexport, or transfer (in-country) any item subject to the EAR listed in supplement no. 6 to this part to or within Russia or Belarus.
(iv) You should be aware that other provisions of the EAR, including parts 742 and 744 and § 746.8, also apply to exports, reexports, and transfers (in-country) to Russia or Belarus. License applications submitted to BIS under this section may include the phrase “§ 746.5(a)(1)(i)”, “§ 746.5(a)(1)(ii)”, or “§ 746.5(a)(1)(iii)” in Block 9 (Special Purpose) as described in supplement no. 1 to part 748 of the EAR.
(2) Additional prohibition on those informed by BIS. BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for a specific export, reexport, or transfer (in-country) or for the export, reexport, or transfer (in-country) of specified items to a certain end-user or end-use, because there is an unacceptable risk of use in, or diversion to, the activities specified in paragraph (a)(1) of this section in Russia or Belarus.Specific notice is to be given only by, or at the direction of, the Deputy Assistant Secretary for Export Administration. When such notice is provided orally, it will be followed by a written notice within two working days signed by the Deputy Assistant Secretary for Export Administration. However, the absence of any such notification does not excuse persons from compliance with the license requirements of paragraph (a)(1) of this section.
(b) Licensing policy. (1) Applications for the export, reexport, or transfer (in-country) of any item pursuant to paragraph (a)(1)(i) of this section that requires a license for Russia or Belarus will be reviewed under a policy of denial when for use directly or indirectly for exploration or production from deepwater (greater than 500 feet), Arctic offshore, or shale projects in Russia or Belarus that have the potential to produce oil or gas. The following types of license applications will be reviewed on a case-by-case basis to determine whether the transaction in question would benefit the Russian or Belarusian government or defense sector: applications for export, reexport, or transfer (in-country) of items that may be necessary for health and safety reasons and applications for the disposition of items by companies not headquartered in Country Group D:1, D:5, E:1 or E:2 in supplement no. 1 to part 740 that are curtailing or closing all operations in Russia or Belarus.
(2) Applications for the export, reexport, or transfer (in-country) of any item pursuant to paragraph (a)(1)(ii) or (iii) of this section that requires a license for Russia or Belarus will be reviewed under a policy of denial. The following types of license applications will be reviewed on a case-by-case basis to determine whether the transaction in question would benefit the Russian or Belarusian government or defense sector: applications for export, reexport, or transfer (in-country) of items that may be necessary for health and safety reasons; applications for items that meet humanitarian needs; and applications for the disposition of items by companies not headquartered in Country Group D:1, D:5, E:1 or E:2 in supplement no. 1 to part 740 that are curtailing or closing all operations in Russia or Belarus.
(c) License exceptions. No license exceptions may overcome the license requirements set forth in this section, except the following license exceptions identified in paragraphs (c)(1) and (2) of this section.
(1) License Exception GOV (§ 740.11(b)).
(2) License Exception CCD (§ 740.19 of the EAR).
§ 746.6 Crimea Region of Ukraine and Covered Regions of Ukraine.
(a) License requirements – (1) General prohibition – Crimea. A license is required to export or reexport to or transfer within the Crimea region of Ukraine any item subject to the EAR other than food and medicine designated as EAR99, or ‘software necessary to enable the exchange of personal communications over the internet’.
(2) General prohibition – Donetsk People’s Republic (DNR) and Luhansk People’s Republic (LNR). A license is required to export or reexport to, or transfer within, the so-called DNR or LNR regions of Ukraine any item subject to the EAR other than: Food and medicine designated as EAR99, or ‘software necessary to enable the exchange of personal communications over the internet’.
(3) Deemed exports or reexports. For purposes of applying the EAR deemed export and deemed reexport requirements pursuant to the general prohibitions described in this paragraph (a)(3), the nationality of the foreign national (as determined by accepted methods, such as looking to the passport or other nationality document(s) recognized by the United States Government) is what is used for purposes of determining whether a license is required for a deemed export or deemed reexport.
(b) License review policy. With limited exceptions, applications for the export, reexport, or transfer (in-country) of any item that requires a license pursuant to the requirements of this section will be reviewed with a policy of denial. The following types of license applications for licenses required under paragraphs (a)(1) and (2) of this section will be reviewed on a case-by-case basis: applications related to safety of flight; applications related to maritime safety; applications for civil nuclear safety; applications to meet humanitarian needs; applications that support government space cooperation; applications for items destined to wholly-owned U.S. subsidiaries, foreign subsidiaries of U.S. companies that are joint ventures with other U.S. companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement No. 1 to part 740 of the EAR, the wholly-owned subsidiaries of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, joint ventures of companies headquartered in Country Groups A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6; applications for companies headquartered in the United States or in Country Groups A:5 and A:6 to support civil telecommunications infrastructure; and government-to-government activities. In reviewing such applications, whether the transaction in question would benefit the Russian or Belarusian government or defense sector or would otherwise be detrimental to the country or people of Ukraine are factors that will be taken into consideration.
(c) License exceptions. You may export, reexport or transfer (in-country) without a license if your transaction meets all the applicable terms and conditions of any of the license exception paragraphs specified in this paragraph (c). To determine scope and eligibility requirements, you will need to refer to the sections or specific paragraphs of part 740 (License Exceptions) of the EAR, as well as § 740.2 license exception restrictions. Read each license exception carefully, as the provisions available for countries subject to sanctions are generally narrow.
(1) TMP for items for use by the news media as set forth in § 740.9(a)(9) of the EAR.
(2) GOV for items for personal or official use by personnel and agencies of the U.S. Government, the International Atomic Energy Agency (IAEA), or the European Atomic Energy Community (Euratom) as set forth in § 740.11(a) and (b)(2) of the EAR.
(3) GFT for gift parcels and humanitarian donations as set forth in § 740.12 of the EAR.
(4) TSU for operation technology and software for lawfully exported commodities as set forth in § 740.13(a) and sales technology as set forth in § 740.13 (b) of the EAR.
(5) BAG for exports of items by individuals leaving the United States as personal baggage as set forth in § 740.14(a) through (d) of the EAR.
(6) AVS for civil aircraft and vessels as set forth in § 740.15(a)(4) and (d) of the EAR.
(d) Definitions. For purpose of this section, use the following definitions of terms:
(1) ‘Crimea region of Ukraine’ includes the land territory in that region as well as any maritime area over which sovereignty, sovereign rights, or jurisdiction is claimed based on occupation of that land territory.
(2) ‘Donetsk People’s Republic (DNR) region’ or ‘Luhansk People’s Republic (LNR) region’ include the land territory in those regions as well as any maritime area over which sovereignty, sovereign rights, or jurisdiction is claimed based on purported sovereignty over that land territory or area.
(3) ‘Software necessary to enable the exchange of personal communications over the internet’ includes only software (such as software for instant messaging, chat and email, social networking, sharing of photos and movies, Web browsing, and blogging), designated EAR99 or classified as mass market software under Export Control Classification Number (ECCN) 5D992.c of the EAR, provided that such software is widely available to the public at no cost to the user.
§ 746.7 Iran.
The Treasury Department’s Office of Foreign Assets Control (OFAC) administers a comprehensive trade and investment embargo against Iran. This embargo includes prohibitions on exports and certain reexport transactions involving Iran, including transactions dealing with items subject to the EAR. These prohibitions are set forth in OFAC’s Iranian Transactions Regulations (31 CFR part 560). In addition, BIS maintains licensing requirements on exports and reexports to or from Iran under the EAR as described in paragraphs (a)(1)(i) through (iii) of this section or elsewhere in the EAR (see, e.g., § 742.8).
(a) License Requirements – (1) EAR license requirements – (i) CCL-based license requirements. A license is required under the EAR to export or reexport to Iran any item on the CCL containing a CB Column 1, CB Column 2, CB Column 3, NP Column 1, NP Column 2, NS Column 1, NS Column 2, MT Column 1, RS Column 1, RS Column 2, CC Column 1, CC Column 2, CC Column 3, AT Column 1 or AT Column 2 in the Country Chart Column of the License Requirements section of an ECCN or classified under ECCNs 0A503, 0A980, 0A982, 0A983, 0E982, 1C355, 1C395, 1C980, 1C982, 1C983, 1C984, 2A994, 2D994, 2E994, 5A001.f.1, 5A980, 5D001 (for 5A001.f.1or for 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)), 5D980, 5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) or 5E980.
(ii) Supplement no. 7 to part 746 of the EAR license requirements. A license is required under the EAR to export or reexport to Iran any item identified in supplement no. 7 to part 746 of the EAR when such item is subject to the EAR for any reason other than § 734.9(j) of the EAR.
(iii) Foreign-produced items subject to the EAR under § 734.9(j) of the EAR (Iran FDP rule). Except as described in paragraph (a)(1)(iv) of this section, a license is required to reexport or export from abroad to Iran any foreign-produced item subject to the EAR under the Iran FDP rule that is located in or destined to Iran. A Department of Commerce license is not required for transactions described in this paragraph (a)(1)(iii) that would have otherwise met all of the terms and conditions of an OFAC general license if the transactions had been subject to OFAC jurisdiction.
(iv) Exclusion from license requirements under paragraph (a)(1)(iii) of this section. Exports from abroad or reexports from the countries described in supplement no. 3 to this part from the countries described in supplement no. 3 are not subject to the license requirements described in paragraph (a)(1)(iii) of this section, unless a limit to the exclusion is described in the “Scope” column in supplement no. 3.
(v) Exclusion from scope of U.S.-origin controlled content under paragraph (a)(1) of this section. For purposes of determining U.S.-origin controlled content under supplement no. 2 to part 734 of the EAR when making a de minimis calculation for reexports and exports from a country described in supplement no. 3 to this part to Iran, the license requirements in paragraph (a)(1)(ii) of this section are not used to determine controlled U.S.-origin content in a foreign-made item, provided the U.S.-origin content is identified in supplement no. 7 to this part and is designated EAR99 and is not otherwise excluded from the applicable “Scope” column in supplement no. 3 to this part.
(2) BIS authorization. To avoid duplication, exporters or reexporters are not required to seek separate authorization from BIS for an export or reexport subject both to the EAR and to OFAC’s Iranian Transactions Regulations. Therefore, if OFAC authorizes an export or reexport, such authorization is considered authorization for purposes of the EAR as well. Transactions that are not subject to OFAC regulatory authority may require BIS authorization.
(b) Licensing Policy. Applications for licenses for transactions for humanitarian reasons or for the safety of civil aviation and safe operation of U.S-origin aircraft will be considered on a case-by-case basis. Licenses for other purposes generally will be denied.
(c) License Exceptions. No license exceptions may be used for exports or reexports to Iran.
(d) EAR Anti-terrorism controls. The Secretary of State has designated Iran as a country that has repeatedly provided support for acts of international terrorism. Anti-terrorism license requirements and licensing policy regarding Iran are set forth in § 742.8 of the EAR.
(e) Prohibition on exporting or reexporting EAR items without required OFAC authorization. No person may export or reexport any item that is subject to the EAR if such transaction is prohibited by the Iranian Transactions Regulations (31 CFR part 560) and not authorized by OFAC. The prohibition of this paragraph (e) applies whether or not the EAR requires a license for the export or reexport.
§ 746.8 Sanctions against Russia and Belarus.
(a) License requirements. For purposes of paragraphs (a)(1) and (2) of this section, commodities and software classified under ECCNs 5A992 or 5D992 that have been ‘classified in accordance with § 740.17’ do not require a license to or within Russia or Belarus for civil end-users that are wholly-owned U.S. subsidiaries, branches, or sales offices, foreign subsidiaries, branches, or sales offices of U.S. companies that are joint ventures with other U.S. companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740 of the EAR, the wholly-owned subsidiaries, branches, or sales offices of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, or joint ventures, branches, or sales offices of companies headquartered in Country Group A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6. In addition, for purposes of paragraphs (a)(1) and (2), transfers within Russia or Belarus for reexports (i.e., return) to the United States or a country in Country Group A:5 or A:6 of any item, provided the owner retains title to and control of the item at all times, do not require a license. If a license is required for a reexport to a Country Group A:5 or A:6 country from Russia or Belarus, a separate EAR authorization is required to authorize the reexport.
(1) Items classified in any ECCN on the CCL. In addition to license requirements specified on the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR and in other provisions of the EAR, including part 744 and other sections of part 746, a license is required, excluding deemed exports and deemed reexports, to export, reexport, or transfer (in-country) to or within Russia or Belarus any item subject to the EAR and specified in any Export Control Classification Number (ECCN) on the CCL.
The exclusion for deemed exports and deemed reexports is limited to the license requirements specified in this paragraph (a)(1). Any deemed export or deemed reexport to a Russian or Belarusian national must be made in accordance with all other applicable EAR license requirements, such as CCL-based license requirements. For example, the release of NS1 controlled technology to a Russian or Belarusian national in the United States or in a third country would require a CCL-based deemed export or deemed reexport license (as applicable). Consequently, authorization (in the form of a deemed export or deemed reexport license, or license exception eligibility) would be required under the EAR notwithstanding the exclusion in this paragraph (a)(1).
(2) Foreign-produced “direct product” items subject to the EAR under Russia/Belarus foreign “direct product” (FDP) rule. Except as described in paragraph (a)(4) of this section, a license is required to reexport, export from abroad, or transfer (in-country) to any destination any foreign-produced item subject to the EAR under the Russia/Belarus FDP rule described in § 734.9(f) of the EAR.
(3) Foreign-produced “direct product” items subject to the EAR under Russia/Belarus-Military End User FDP rule. Except as described in paragraph (a)(4) of this section, a license is required to reexport, export from abroad, or transfer (in-country) to or within any destination any foreign-produced item subject to the EAR under § 734.9(g) of the EAR.
(4) Exclusion from license requirements under paragraphs (a)(2) and (3) of this section. The countries listed in supplement No. 3 to this part have committed to implementing substantially similar export controls on Russia and Belarus under their domestic laws. Therefore, exports or reexports from the countries described in this supplement no. 3 to this part or transfers (in-country) within the countries described in this supplement are not subject to the license requirements described in paragraphs (a)(2) and (3) of this section, unless a limit to the exclusion is described in the Scope column in supplement no. 3 to this part.
(5) Exclusion from scope of U.S.-origin controlled content under paragraph (a)(1) of this section. For purposes of determining U.S.-origin controlled content under supplement no. 2 to part 734 of the EAR, paragraph (a)(1) of this section when making a de minimis calculation for reexports and exports from abroad to Russia or Belarus, the license requirements in paragraph (a)(1) of this section are not used to determine controlled U.S.-origin content in a foreign-made item, provided the criteria in paragraphs (a)(5)(i) and (ii) of this section are met:
(i) The U.S.-origin content is described in an Anti-Terrorism (AT)-only ECCN and is not otherwise excluded from the applicable Scope column in supplement No. 3 to this part. For purposes of this paragraph (a)(5), AT-only items mean any ECCN that only specifies either only AT in the reason for control paragraph of the ECCN or is classified under ECCN 9A991; and
(ii) The foreign made item will be reexported or exported from abroad from a country described in supplement no. 3 to this part.
A ‘military end user’ for purposes of paragraphs (a)(3) and (4) of this section is any entity listed on the Entity List in supplement no. 4 to part 744 of the EAR with a footnote 3 designation.
(b) Licensing policy. With limited exceptions, applications for the export, reexport, or transfer (in-country) of any item that requires a license pursuant to the requirements of this section will be reviewed with a policy of denial. The following types of license applications for licenses required under paragraphs (a)(1) and (2) of this section will be reviewed on a case-by-case basis to determine whether the transaction in question would benefit the Russian or Belarusian government or defense sector: applications related to safety of flight; applications related to maritime safety; applications for civil nuclear safety; applications to meet humanitarian needs; applications that support government space cooperation; applications for items destined to wholly-owned U.S. subsidiaries, branches, or sales offices, foreign subsidiaries, branches, or sales offices of U.S. companies that are joint ventures with other U.S. companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740 of the EAR, the wholly-owned subsidiaries, branches, or sales offices of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, joint ventures of companies headquartered in Country Groups A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6; applications for companies headquartered in Country Groups A:5 and A:6 to support civil telecommunications infrastructure; applications for government-to-government activities; and applications for the disposition of items by companies not headquartered in Country Group D:1, D:5, E:1 or E:2 in supplement no. 1 to part 740 that are curtailing or closing all operations in Russia or Belarus. License applications required under paragraph (a)(3) of this section will be reviewed under a policy of denial in all cases.
(c) License exceptions. No license exceptions may overcome the license requirements in paragraph (a)(3) of this section, except as specified in the Entity List entry for a Footnote 3 entity on the Entity List in supplement no. 4 to part 744 of the EAR. No license exceptions may overcome the license requirements in paragraphs (a)(1) and (2) of this section except the following license exceptions identified in paragraphs (c)(1) through (7) of this section.
(1) License Exception TMP for items for use by the news media as set forth in § 740.9(a)(9) of the EAR.
(2) License Exception GOV (§ 740.11(b) of the EAR).
(3) License Exception TSU for software updates for civil end-users that are wholly-owned U.S. subsidiaries, branches, or sales offices, foreign subsidiaries, branches, or sales offices of U.S. companies that are joint ventures with other U.S. and companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740 of the EAR countries, the wholly-owned subsidiaries, branches, or sales offices of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, or joint ventures of companies headquartered in Country Group A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6 (§ 740.13(c) of the EAR).
(4) License Exception BAG, excluding firearms and ammunition (§ 740.14, excluding paragraph (e), of the EAR).
(5) License Exception AVS, excluding any aircraft registered in, owned or controlled by, or under charter or lease by Russia or Belarus or a national of Russia or Belarus (§ 740.15(a) and (b) of the EAR).
(6) License Exception ENC for civil end-users that are wholly-owned U.S. subsidiaries, branches, or sales offices, foreign subsidiaries, branches, or sales offices of U.S. companies that are joint ventures with other U.S. companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740 of the EAR countries, the wholly-owned subsidiaries, branches, or sales offices of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, or joint ventures of companies headquartered in Country Group A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6 (§ 740.13(c) of the EAR) (§ 740.17 of the EAR).
(7) License Exception CCD (§ 740.19 of the EAR).
§ 746.9 Syria.
Sections 5(a)(1) and 5(a)(2)(A) of the Syria Accountability and Lebanese Sovereignty Restoration Act of 2003 (Pub. L. 108-175, codified as a note to 22 U.S.C. 2151) (the SAA) require a prohibition on the export to Syria of all items on the Commerce Control List (in 15 CFR part 774) (CCL) and a prohibition on the export to Syria of products of the United States, other than food and medicine. The President also exercised national security waiver authority pursuant to Section 5(b) of the SAA for certain transactions. The provisions in this section were issued consistent with Executive Order 13338 of May 11, 2004 which implemented the SAA.
(a) License requirements. A license is required for the export or reexport to Syria of all items subject to the EAR, except food and medicine classified as EAR99 (food and medicine are defined in part 772 of the EAR). A license is required for the deemed export and deemed reexport, as described in §§ 734.13(b) and 734.14(b) of the EAR, respectively, of any technology or source code on the Commerce Control List (CCL) to a Syrian foreign national. Deemed exports and deemed reexports to Syrian foreign nationals involving technology or source code subject to the EAR but not listed on the CCL do not require a license.
(b) License Exceptions. No License Exceptions to the license requirements set forth in paragraph (a) of this section are available for exports or reexports to Syria, except the following:
(1) TMP for items for use by the news media as set forth in § 740.9(a)(9) of the EAR,
(2) GOV for items for personal or official use by personnel and agencies of the U.S. Government as set forth in § 740.11(b)(2) of the EAR,
(3) TSU for operation technology and software, sales technology, and software updates pursuant to the terms of § 740.13(a), (b), or (c) of the EAR,
(4) BAG for exports of personally-owned items by individuals leaving the United States as personal baggage pursuant to the terms of § 740.14(a) through (d), only, of the EAR, and
(5) AVS for the temporary sojourn of civil aircraft reexported to Syria pursuant to the terms of § 740.15(a)(4) of the EAR.
(c) Licensing policy. (1) Except as described in this paragraph (c), all license applications for export or reexport to Syria are subject to a general policy of denial. License applications for “deemed exports” and “deemed reexports” of technology and source code will be reviewed on a case-by-case basis. BIS may consider, on a case-by-case basis, license applications for exports and reexports of items necessary to carry out the President’s constitutional authority to conduct U.S. foreign affairs and as Commander-in-Chief, including exports and reexports of items necessary for the performance of official functions by the United States Government personnel abroad.
(2) BIS may also consider the following license applications on a case-by-case basis: items in support of activities, diplomatic or otherwise, of the United States Government (to the extent that regulation of such exportation or reexportation would not fall within the President’s constitutional authority to conduct the nation’s foreign affairs); medicine (on the CCL) and medical devices (both as defined in part 772 of the EAR); parts and components intended to ensure the safety of civil aviation and the safe operation of commercial passenger aircraft; aircraft chartered by the Syrian Government for the transport of Syrian Government officials on official Syrian Government business; telecommunications equipment and associated computers, software and technology; items in support of United Nations operations in Syria; and items necessary for the support of the Syrian people, including, but not limited to, items related to water supply and sanitation, agricultural production and food processing, power generation, oil and gas production, construction and engineering, transportation, and educational infrastructure. The total dollar value of each approved license for aircraft parts for flight safety normally will be limited to no more than $2 million over the 24-month standard license term, except in the case of complete overhauls.
(3) In addition, consistent with part 734 of the EAR, the following are not subject to the EAR and therefore not subject to this General Order: informational materials in the form of books and other media; publicly available software and technology; and technology exported in the form of a patent application or an amendment, modification, or supplement thereto or a division thereof (see 15 CFR 734.3(b)(1)(v), (b)(2) and (b)(3)).
For administrative reasons, BIS continues to maintain provisions in General Order No. 2, supplement no. 1 to part 736 of the EAR relating to the President’s waiver of certain prohibitions. This section contains all of the substantive controls against Syria, including the waiver-related provisions maintained in General Order No. 2.
§ 746.10 ‘Luxury goods’ sanctions against Russia and Belarus and Russian and Belarusian oligarchs and malign actors.
(a) License requirements. For purposes of paragraphs (a)(1) of this section, commodities and software classified under ECCNs 5A992 or 5D992 that have been ‘classified in accordance with § 740.17’ do not require a license to or within Russia or Belarus for civil end-users that are wholly-owned U.S. subsidiaries, branches, or sales offices, foreign subsidiaries, branches, or sales offices of U.S. companies that are joint ventures with other U.S. companies, joint ventures of U.S. companies with companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740 of the EAR, the wholly-owned subsidiaries, branches, or sales offices of companies headquartered in countries from Country Group A:5 and A:6 in supplement no. 1 to part 740, or joint ventures, branches, or sales offices of companies headquartered in Country Group A:5 and A:6 with other companies headquartered in Country Groups A:5 and A:6. In addition, for purposes of paragraphs (a)(1) and (2), transfers within Russia or Belarus for reexports (i.e., return) to the United States or a country in Country Group A:5 or A:6 of any item, provided the owner retains title to and control of the item at all times, do not require a license. If a license is required for a reexport to a Country Group A:5 or A:6 country from Russia or Belarus, a separate EAR authorization is required to authorize the reexport.
(1) ‘Luxury goods’ license requirements for Russia and Belarus. In addition to the license requirements specified on the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR and in other provisions of the EAR, including part 744 and §§ 746.5 and 746.8, a license is required to export, reexport, or transfer (in-country) to or within Russia or Belarus any ‘luxury good’ subject to the EAR, as identified in supplement no. 5 to this part.
(2) Worldwide license requirement for ‘luxury goods’ for Russian and Belarusian oligarch and malign actors. In addition to the license requirements specified on the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR and in other provisions of the EAR, including part 744 and §§ 746.5 and 746.8, a license is required to export, reexport, or transfer (in-country) worldwide any ‘luxury good’ subject to the EAR, as identified in supplement no. 5 to this part, to any Russian or Belarusian oligarch or malign actor, regardless of location, who are designated on the Department of the Treasury, Office of Foreign Assets Control’s (OFAC) List of Specially Designated Nationals and Blocked Persons (SDN List) with any of the following designations: [RUSSIA-EO14024], [UKRAINE-EO13660], [UKRAINE-EO13661], [UKRAINE-EO13662], [UKRAINE-EO13685], [BELARUS], and [BELARUS-EO14038] or in situations in which any such Russian or Belarusian oligarch or malign actor is a party to the transaction as described in § 748.5(c) through (f). For purposes of this paragraph (a)(2), an ‘oligarch or malign actor’ is any natural person that is designated on the SDN List with any of the designations referenced in this paragraph (a)(2).
For purposes of paragraphs (a)(1) and (2) of this section, a ‘luxury good’ means any item that is identified in supplement no. 5 to this part.
(b) Licensing policy. Applications for the export, reexport, or transfer (in-country) of any item that requires a license for pursuant to the requirements of this section will be reviewed with a policy of denial. The following types of license applications will be reviewed on a case-by-case basis to determine whether the transaction in question would benefit the Russian or Belarusian government or defense sector: applications involving items to meet humanitarian needs and applications for the disposition of items by companies not headquartered in Country Group D:1, D:5, E:1 or E:2 in supplement no. 1 to part 740 that are curtailing or closing all operations in Russia or Belarus. The case-by-case license application review policy for items to meet humanitarian needs is included to address certain ‘luxury goods’ items that may be used in medical devices or situations in which a case-by-case analysis is needed to determine whether a license application should be approved to meet humanitarian needs while also taking into account the applicable broader U.S. national security and foreign policy concerns.
(c) License exceptions. No license exceptions may overcome the license requirements in paragraph (a)(1) of this section except the license exceptions identified in paragraphs (c)(1) through (3) of this section. No license exceptions may overcome the license requirements in paragraph (a)(2) of this section.
(1) License Exception BAG, excluding firearms and ammunition (§ 740.14, excluding paragraph (e), of the EAR).
(2) License Exception AVS for saloon stores and supplies, excluding any saloon stores and supplies for aircraft registered in, owned, or controlled by, or under charter or lease by Russia or Belarus or a national of Russia or Belarus (§ 740.15(b)(3)(v) of the EAR).
(3) License Exception CCD (§ 740.19 of the EAR).
Supplement No. 1 to Part 746 – Examples of Luxury Goods
The following further amplifies the illustrative list of luxury goods set forth in § 746.4(b)(1):
(a) Tobacco and tobacco products
(b) Luxury watches: Wrist, pocket, and others with a case of precious metal or of metal clad with precious metal
(c) Apparel and fashion items, as follows:
(1) Leather articles
(2) Silk articles
(3) Fur skins and artificial furs
(4) Fashion accessories: Leather travel goods, vanity cases, binocular and camera cases, handbags, wallets, designer fountain pens, silk scarves
(5) Cosmetics, including beauty and make-up
(6) Perfumes and toilet waters
(7) Designer clothing: Leather apparel and clothing accessories
(d) Decorative items, as follows:
(1) Rugs and tapestries
(2) Tableware of porcelain or bone china
(3) Items of lead crystal
(4) Works of art (including paintings, original sculptures and statuary), antiques (more than 100 years old), and collectible items, including rare coins and stamps
(e) Jewelry: Jewelry with pearls, gems, precious and semi-precious stones (including diamonds, sapphires, rubies, and emeralds), jewelry of precious metal or of metal clad with precious metal
(f) Electronic items, as follows:
(1) Flat-screen, plasma, or LCD panel televisions or other video monitors or receivers (including high-definition televisions), and any television larger than 29 inches; DVD players
(2) Personal digital assistants (PDAs)
(3) Personal digital music players
(4) Computer laptops
(g) Transportation items, as follows:
(1) Yachts and other aquatic recreational vehicles (such as personal watercraft)
(2) Luxury automobiles (and motor vehicles): Automobiles and other motor vehicles to transport people (other than public transport), including station wagons
(3) Racing cars, snowmobiles, and motorcycles
(4) Personal transportation devices (stand-up motorized scooters)
(h) Recreational items, as follows:
(1) Musical instruments
(2) Recreational sports equipment
(i) Alcoholic beverages: wine, beer, ales, and liquor
Supplement No. 2 to Part 746 – Russian and Belarusian Industry Sector Sanction List Pursuant to § 746.5(a)(1)(i)
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and descriptions in this list comes from the United States International Trade Commission (USITC’s) Harmonized Tariff Schedule of the United States (2023). The items described in supplement no. 2 to part 746 include any modified or designed “components,” “parts,” “accessories,” and “attachments” therefor regardless of the HTS Code or HTS Description of the “components,” “parts,” “accessories,” and “attachments,” apart from any “part” or minor “component” that is a fastener (e.g., screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer, spacer, insulator, grommet, bushing, spring, wire, or solder. This supplement includes two columns consisting of the HTS Code and HTS Description to assist exporters, reexporters, and transferors in identifying the products in this supplement. For information on HTS codes in general, you may contact a local import specialist at U.S. Customs and Border Protection at the nearest port. HTS-6 codes 841350, 841360, 842139, 843049, 843139, and 847989 are listed in both this supplement and supplement no. 4 to this part, so exporters, reexporters, and transferors must comply with the license requirements under both § 746.5(a)(1)(i) and (ii) as applicable.
(b) The items identified in the HTS-6 Code column of this supplement are subject to the license requirement under § 746.5(a)(1)(i). The other column – HTS Description – is intended to assist exporters with their Automated Export System (AES) filing responsibilities. The license requirements apply to HTS Codes at the 8 and 10 digit level (HTS-8 and HTS-10 Codes, respectively) when such longer HTS codes begin with the HTS-6 Codes as their first 6 numbers.
| HTS-6 code | HTS description |
|---|---|
| 730411 | LINE PIPE FOR OIL AND GAS PIPELINES, OF STAINLESS STEEL. |
| 730419 | LINE PIPE FOR OIL AND GAS PIPELINES, OF SEAMLESS IRON (OTHER THAN CAST IRON) OR STEEL, NES. |
| 730422 | DRILL PIPE OF A KIND USED IN DRILLING FOR OIL OR GAS, OF STAINLESS STEEL. |
| 730423 | DRILL PIPE OF A KIND USED IN DRILLING FOR OIL OR GAS, OF IRON (EXCEPT CAST IRON) OR STEEL. NES. |
| 730424 | CASING & TUBING USED IN DRILLING FOR OIL OR GAS, OTHER OF STAINLESS STEEL. |
| 730429 | CASING AND TUBING OF A KIND USED IN DRILLING FOR OIL OR GAS, OF IRON (EXCEPT CAST IRON) OR STEEL. |
| 730511 | LINE PIPE FOR OIL OR GAS PIPELINES, EXTERNAL DIAMETER OVER 406.4 MM (16 IN.), OF IRON OR STEEL, LONGITUDINALLY SUBMERGED ARC WELDED. |
| 730512 | LINE PIPE FOR OIL OR GAS PIPELINES, EXTERNAL DIAMETER OVER 406.4 MM (16 IN.), OF IRON OR STEEL, LONGITUDINALLY WELDED NESOI. |
| 730519 | LINE PIPE FOR OIL OR GAS PIPELINES, EXTERNAL DIAMETER OVER 406.4 MM (16 IN.), OF IRON OR STEEL, RIVETED OR SIMILARLY CLOSED NESOI. |
| 730520 | CASING FOR OIL OR GAS DRILLING, EXTERNAL DIAMETER OVER 406.4 MM (16 IN.), OF IRON OR STEEL. |
| 730611 | LINE PIPE FOR OIL OR GAS PIPELINES, WELDED, OF STAINLESS STEEL, NESOI. |
| 730619 | LINE PIPE FOR OIL OR GAS PIPELINES, OF IRON OR STEEL, NESOI. |
| 731100 | CONTAINERS FOR COMPRESSED OR LIQUEFIED GAS, OF IRON OR STEEL. |
| 761300 | ALUMINUM CONTAINERS FOR COMPRESSED OR LIQUEFIED GAS. |
| 820713 | ROCK DRILLING OR EARTH BORING TOOLS WITH WORKING PART OF CERMETS, AND PARTS THEREOF. |
| 820719 | INTERCHANGEABLE TOOLS FOR HANDTOOLS, WHETHER OR NOT POWER-OPERATED, OR FOR MACHINE-TOOLS, INCLUDING ROCK DRILLING OR EARTH BORING TOOLS; BASE METL PARTS. |
| 841350 | RECIPROCATING POSITIVE DISPLACEMENT PUMPS, NESOI. |
| 841360 | ROTARY POSITIVE DISPLACEMENT PUMPS, NESOI. |
| 841382 | LIQUID ELEVATORS. |
| 841392 | PARTS OF LIQUID ELEVATORS. |
| 842139 | FILTERING OR PURIFYING MACHINERY AND APPARATUS FOR GASES, NESOI. |
| 843049 | BORING OR SINKING MACHINERY, NESOI, OTHER THAN SELF-PROPELLED. |
| 843139 | PARTS FOR LIFTING, HANDLING, LOADING OR UNLOADING MACHINERY, NESOI. |
| 843143 | PARTS FOR BORING OR SINKING MACHINERY, NESOI. |
| 847989 | MACHINES AND MECHANICAL APPLIANCES HAVING INDIVIDUAL FUNCTIONS, NESOI. |
| 870520 | MOBILE DRILLING DERRICKS. |
| 870899 | PARTS AND ACCESSORIES FOR MOTOR VEHICLES, NESOI. |
| 890520 | FLOATING OR SUBMERSIBLE DRILLING OR PRODUCTION PLATFORMS. |
| 890590 | LIGHT VESSELS, FIRE FLOATS, FLOATING CRANES AND OTHER VESSELS WITH NAVIGABILITY NOT THE MAIN FUNCTION, NESOI; FLOATING DOCKS. |
Supplement No. 3 to Part 746 – Countries Excluded From Certain License Requirements of §§ 746.7 and 746.8
Countries listed in this supplement have committed to implementing substantially similar export controls on Russia and Belarus under their domestic laws and are consequently excluded from certain requirements in § 746.8 of the EAR, as described in § 746.8(a)(4) and (5). In addition, these countries are excluded from the license requirements related to Iran in § 746.7, as described in § 746.7(a)(1)(iv) and (v). The Scope column of the following table identifies whether the country receives a full or partial exclusion. For countries with partial exclusions, the items for which such exclusions apply are listed in the Scope column.
| Country | Scope | |
|---|---|---|
| Australia | Full | 87 FR 12250, 3/3/2022. |
| Austria | Full | 87 FR 12250, 3/3/2022. |
| Belgium | Full | 87 FR 12250, 3/3/2022. |
| Bulgaria | Full | 87 FR 12250, 3/3/2022. |
| Canada | Full | 87 FR 12250, 3/3/2022. |
| Croatia | Full | 87 FR 12250, 3/3/2022. |
| Cyprus | Full | 87 FR 12250, 3/3/2022. |
| Czech Republic | Full | 87 FR 12250, 3/3/2022. |
| Denmark | Full | 87 FR 12250, 3/3/2022. |
| Estonia | Full | 87 FR 12250, 3/3/2022. |
| Finland | Full | 87 FR 12250, 3/3/2022. |
| France | Full | 87 FR 12250, 3/3/2022. |
| Germany | Full | 87 FR 12250, 3/3/2022. |
| Greece | Full | 87 FR 12250, 3/3/2022. |
| Hungary | Full | 87 FR 12250, 3/3/2022. |
| Iceland | Full | 87 FR 21555, 4/12/2022. |
| Ireland | Full | 87 FR 12250, 3/3/2022. |
| Italy | Full | 87 FR 12250, 3/3/2022. |
| Japan | Full | 87 FR 12250, 3/3/2022. |
| Latvia | Full | 87 FR 12250, 3/3/2022. |
| Liechtenstein | Full | 87 FR 21555, 4/12/2022. |
| Lithuania | Full | 87 FR 12250, 3/3/2022. |
| Luxembourg | Full | 87 FR 12250, 3/3/2022. |
| Malta | Full | 87 FR 12250, 3/3/2022. |
| Netherlands | Full | 87 FR 12250, 3/3/2022. |
| New Zealand | Full | 87 FR 12250, 3/3/2022. |
| Norway | Full | 87 FR 21555, 4/12/2022. |
| Poland | Full | 87 FR 12250, 3/3/2022. |
| Portugal | Full | 87 FR 12250, 3/3/2022. |
| Romania | Full | 87 FR 12250, 3/3/2022. |
| Slovakia | Full | 87 FR 12250, 3/3/2022. |
| Slovenia | Full | 87 FR 12250, 3/3/2022. |
| South Korea | Full | 87 FR 13628, 3/10/2022. |
| Spain | Full | 87 FR 12250, 3/3/2022. |
| Sweden | Full | 87 FR 12250, 3/3/2022. |
| Switzerland | Full | 87 FR 21555, 4/12/2022. |
| Taiwan | Full | 87 FR 12183, 2/27/2023. |
| United Kingdom | Full | 87 FR 12250, 3/3/2022. |
Supplement No. 4 to Part 746 – Russian and Belarusian Industry Sector Sanctions Pursuant to § 746.5(a)(1)(ii)
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and descriptions in this list comes from the United States International Trade Commission (USITC’s) Harmonized Tariff Schedule of the United States (2023). The items described in supplement no. 4 to part 746 include any modified or designed “components,” “parts,” “accessories,” and “attachments” therefor regardless of the HTS Code or HTS Description of the “components,” “parts,” “accessories,” and “attachments,” apart from any “part” or minor “component” that is a fastener (e.g., screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer, spacer, insulator, grommet, bushing, spring, wire, or solder. This supplement includes two columns consisting of the HTS Code and HTS Description to assist exporters, reexporters, and transferors in identifying the products in this supplement. For information on HTS codes in general, you may contact a local import specialist at U.S. Customs and Border Protection at the nearest port. HTS-6 codes 841350, 841360, 842139, 843049, 843139, and 847989 are listed in both this supplement and supplement no. 2 to this part, so exporters, reexporters, and transferors must comply with the license requirements under both § 746.5(a)(1)(i) and (ii) as applicable.
(b) The items identified in the HTS-6 Code column of this supplement are subject to the license requirement under § 746.5(a)(1)(ii). The other column – HTS Description – is intended to assist exporters with their AES filing responsibilities. The license requirements extend to HTS Codes at the 8 and 10 digit level (HTS-8 and HTS-10 codes, respectively) when such longer HTS Codes begin with the HTS-6 Codes as their first 6 numbers.
| HTS-6 code | HTS description |
|---|---|
| 381519 | SUPPORTED CATALYSTS, NESOI. |
| 440810 | VENEER SHEETS AND SHEETS FOR PLYWOOD, ETC. WHETHER OR NOT PLANED, ETC., NOT OVER 6 MM (.236 IN.) THICK, OF CONIFEROUS WOOD. |
| 440890 | VENEER SHEETS AND SHEETS FOR PLYWOOD, ETC. WHETHER OR NOT PLANED, ETC., NOT OVER 6 MM (.236 IN.) THICK, OF NONCONIFEROUS WOOD, NESOI. |
| 441600 | CASKS, BARRELS, VATS, TUBS AND OTHER COOPERS’ PRODUCTS AND PARTS THEREOF, OF WOOD, INCLUDING STAVES. |
| 720810 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, OF A WIDTH OF 600 MM OR MORE, IN COILS, NOT FURTHER WORKED THAN HOT-ROLLED, WITH PATTERNS IN RELIEF. |
| 720825 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, OF A WIDTH OF 600 MM OR MORE, COILS, HOT-ROLLED WORKED ONLY, PICKLED, THICKNESS 4.75 MM OR MORE, NESOI. |
| 720826 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, OF A WIDTH OF 600 MM OR MORE, COILS, HOT-ROLLED WORKED ONLY, PICKLED, 3 MM BUT |
| 720827 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH OF 600 MM OR MORE, IN COILS, HOT-ROLLED WORKED ONLY, PICKLED, LESS THAN 3 MM THICK, N.E.S.O.I. |
| 720836 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH OF 600 MM OR MORE IN COILS, HOT-ROLLED WORKED ONLY, OF A THICKNESS EXCEEDING 10 MM, N.E.S.O.I. |
| 720837 | FLAT-ROLLED PRODUCTS OF IRN OR NONALLOY STEEL, WIDTH OF 600 MM OR MORE, IN COILS, HOT-ROLLED WORKED ONLY, OF A THICKNESS 4.75 MM BUT NOT OVER 10 MM NESOI. |
| 720838 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS,HOT-ROLLED WORKED ONLY, OF A THICKNESS 3 MM OR MORE BUT UNDER 4.75 MM, NESOI. |
| 720839 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS,HOT-ROLLED WORKED ONLY, OF A THICKNESS OF LESS THAN 3 MM, N.E.S.O.I. |
| 720840 | FLAT-ROLLED IRON OR NONALLOY STEEL, 600 MM OR MORE WIDE, HOT-ROLLED, NOT CLAD, PLATED OR COILS, PATTERNS IN RELIEF. |
| 720851 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, NOT IN COILS, HOT-ROLLED WORKED ONLY, OF A THICKNESS EXCEEDING 10 MM, N.E.S.O.I. |
| 720852 | FLAT-ROLLED IRON OR NONALLOY STEEL, 600 MM OR MORE WIDE, HOT-ROLLED, NOT CLAD, PLATED, COATED OR COILS, 4.75 MM TO 10 MM THICK. |
| 720853 | FLAT-ROLLED IRON OR NONALLOY STEEL, 600 MM OR MORE WIDE, HOT-ROLLED, NOT CLAD, PLATED, COATED OR COILS, 3 MM TO UNDER 4.75 MM THICK. |
| 720854 | FLAT-ROLLED IRON OR NONALLOY STEEL, 600 MM OR MORE WIDE, HOT-ROLLED, NOT CLAD, PLATED, COATED OR COILS, LESS THAN 3 MM THICK. |
| 720890 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, HOT-ROLLED, NOT CLAD, PLATED OR COATED, NESOI. |
| 720915 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OF 3 MM OR MORE. |
| 720916 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OVER ONE MM BUT LESS THAN 3 MM. |
| 720917 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS 0.5 MM OR MORE BUT NOT OVER 1 MM. |
| 720918 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OF LESS THAN 0.5 MM. |
| 720925 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, NOT IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OF 3 MM OR MORE. |
| 720926 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, NOT IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OVER 1 MM BUT LESS THAN 3 MM. |
| 720927 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, NOT IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS 0.5 MM OR MORE BUT N/O 1 MM. |
| 720928 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH 600 MM OR MORE, NOT IN COILS, COLD-ROLLED WORKED ONLY, OF A THICKNESS OF LESS THAN 0.5 MM. |
| 720990 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, NOT CLAD, PLATED OR COATED, NESOI. |
| 721011 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, PLATED OR COATED WITH TIN, 0.5 MM OR MORE THICK. |
| 721012 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, PLATED OR COATED WITH TIN, UNDER 0.5 MM THICK. |
| 721020 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, PLATED OR COATED WITH LEAD, INCLUDING TERNE-PLATE. |
| 721030 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH OF 600 MM OR MORE, ELECTROLYTICALLY PLATED OR COATED WITH ZINC. |
| 721041 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, CORRUGATED, 600 MM OR MORE WIDE, PLATED OR COATED WITH ZINC OTHER THAN ELECTROLYTICALLY. |
| 721049 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, NOT CORRUGATED, 600 MM OR MORE WIDE, PLATED OR COATED WITH ZINC OTHER THAN ELECTROLYTICALLY. |
| 721050 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, PLATED OR COATED WITH CHROMIUM OXIDES OR WITH CHROMIUM AND CHROMIUM OXIDES. |
| 721061 | FLAT-ROLLED IRON OR NONALLOY STEEL 600 MM OR MORE, PLATED OR COATED WITH ALUMINUM-ZINC ALLOYS. |
| 721069 | FLAT-ROLLED IRON OR NONALLOY STEEL 600 MM OR MORE, PLATED OR COATED WITH OTHER ALUMINUM. |
| 721070 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, 600 MM OR MORE WIDE, PAINTED, VARNISHED OR COATED WITH PLASTICS. |
| 721119 | FLAT-ROLLED HIGH-STRENGTH NONALLLOY STEEL PRODUCTS NESOI, UNDER 600 MM WIDE, HOT-ROLLED, NOT CLAD, PLATED OR COATED, UNDER 4.75 MM THICK. |
| 721123 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH LESS THAN 600 MM, NOT FURTHER WORKED THAN COLD-ROLLED, NOT CLAD, PLATED OR COATED, |
| 721190 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, UNDER 600 MM WIDE, NOT CLAD, PLATED OR COATED, NESOI. |
| 721220 | FLAT-ROLLED PRODUCTS OF IRON OR NONALLOY STEEL, WIDTH OF LESS THAN 600 MM, ELECTROLYTICALLY PLATED OR COATED WITH ZINC. |
| 721230 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, UNDER 600 MM WIDE, PLATED OR COATED WITH ZINC OTHER THAN ELECTROLYTICALLY. |
| 721240 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, UNDER 600 MM WIDE, PAINTED, VARNISHED OR COATED WITH PLASTICS. |
| 721250 | FLAT-ROLLED IRON OR NONALLOY STEEL PRODUCTS, UNDER 600 MM WIDE, PLATED OR COATED, NESOI. |
| 721911 | FLAT-ROLLED STAINLESS STEEL IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, OVER 10 MM THICK. |
| 721912 | FLAT-ROLLED STAINLESS STEEL IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, 4.75 MM BUT NOT OVER 10 MM THICK. |
| 721913 | FLAT-ROLLED STAINLESS STEEL IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, 3 MM BUT UNDER 4.75 MM THICK. |
| 721914 | FLAT-ROLLED STAINLESS STEEL IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, UNDER 3 MM THICK. |
| 721921 | FLAT-ROLLED STAINLESS STEEL NOT IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, OVER 10 MM THICK. |
| 721922 | FLAT-ROLLED STAINLESS STEEL NOT IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, 4.75 MM BUT NOT OVER 10 MM THICK. |
| 721923 | FLAT-ROLLED STAINLESS STEEL NOT IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, 3 MM BUT UNDER 4.75 MM THICK. |
| 721924 | FLAT-ROLLED STAINLESS STEEL NOT IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, UNDER 3 MM THICK. |
| 721931 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, 4.75 MM OR MORE THICK. |
| 721932 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, 3 MM BUT UNDER 4.75 MM THICK. |
| 721933 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, OVER 1 MM BUT UNDER 3 MM THICK. |
| 721934 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, 0.5 MM BUT NOT OVER 1 MM THICK. |
| 721935 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, UNDER 0.5 MM THICK. |
| 721990 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, 600 MM OR MORE WIDE, NESOI. |
| 722011 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, UNDER 600 MM WIDE, HOT-ROLLED, 4.75 MM OR MORE THICK. |
| 722012 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, UNDER 600 MM WIDE, HOT-ROLLED, UNDER 4.75 MM THICK. |
| 722020 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, UNDER 600 MM WIDE, COLD-ROLLED. |
| 722090 | FLAT-ROLLED STAINLESS STEEL PRODUCTS, UNDER 600 MM WIDE, NESOI. |
| 722511 | FLAT-ROLLED SILICON ELECTRICAL STEEL 600 MM OR MORE WIDE, GRAIN-ORIENTED. |
| 722540 | FLAT-ROLLED ALLOY STEEL (OTHER THAN STAINLESS) NOT IN COILS, 600 MM OR MORE WIDE, HOT-ROLLED, NESOI. |
| 722550 | FLAT-ROLLED ALLOY STEEL (OTHER THAN STAINLESS) PRODUCTS, 600 MM OR MORE WIDE, COLD-ROLLED, NESOI. |
| 722591 | FLAT-ROLLED ALLOY STEEL NESOI, 600 MM OR MORE WIDE, ELECTROLYTICALLY PLATED OR COATED WITH ZINC. |
| 722592 | FLAT-ROLLED ALLOY STEEL NESOI 600 MM OR MORE WIDE PLATED OR COATED WITH ZINC, NOT ELECTROLYTICALLY. |
| 722611 | FLAT-ROLLED SILICON ELECTRICAL STEEL UNDER 600 MM WIDE, GRAIN-ORIENTED. |
| 722619 | FLAT-ROLLED SILICON ELECTRICAL STEEL UNDER 600 MM WIDE, NOT GRAIN-ORIENTED. |
| 722620 | FLAT-ROLLED HIGH-SPEED STEEL PRODUCTS, UNDER 600 MM WIDE. |
| 722692 | FLAT-ROLLED ALLOY STEEL (OTHER THAN STAINLESS) PRODUCTS, UNDER 600 MM WIDE, COLD-ROLLED, NESOI. |
| 722699 | FLAT-ROLLED ALLOY STEEL (OTHER THAN STAINLESS) PRODUCTS, UNDER 600 MM WIDE, NESOI. |
| 730810 | BRIDGES AND BRIDGE SECTIONS OF IRON OR STEEL. |
| 730820 | TOWERS AND LATTICE MASTS OF IRON OR STEEL. |
| 730830 | DOORS, WINDOWS AND FRAMES AND THRESHOLDS FOR DOORS, OF IRON OR STEEL. |
| 730840 | EQUIPMENT FOR SCAFFOLDING, SHUTTERING PROPPING OR PIT-PROPPING, OF IRON OR STEEL. |
| 730890 | STRUCTURES AND PARTS OF STRUCTURES NESOI, OF IRON OR STEEL. |
| 730900 | RESERVOIRS, TANKS, CASKS, VATS AND SIMILAR CONTAINERS NESOI, OF A CAPACITY OF MORE THAN 300 LITERS (79.25 GAL.), OF IRON OR STEEL. |
| 731010 | TANKS, DRUMS, CANS, AND SIMILAR PLAIN CONTAINERS, A CAPACITY OF 50 LITERS (13.21 GAL.) OR MORE, BUT NOT OVER 300 LITERS (79.25 GAL.), OF IRON OR STEEL. |
| 731021 | CANS, PLAIN, UNFITTED, OF A CAPACITY OF LESS THAN 50 LITERS (13.21 GAL.), WHICH WILL BE CLOSED BY SOLDERING OR CRIMPING, OF IRON OR STEEL. |
| 731029 | TANKS, CASKS, DRUMS, CANS, BOXES AND SIMILAR PLAIN, UNFITTED CONTAINERS NESOI, OF A CAPACITY OF LESS THAN 50 LITERS (13.21 GAL.), OF IRON OR STEEL. |
| 761010 | ALUMINUM DOORS, WINDOWS AND THEIR FRAMES AND THRESHOLDS FOR DOORS. |
| 761090 | ALUMINUM STRUCTURES AND PARTS OF STRUCTURES, NESOI. |
| 761210 | ALUMINUM COLLAPSIBLE TUBULAR CONTAINERS, OF A CAPACITY NOT OVER 300 LITERS (79.30 GAL.). |
| 820760 | TOOLS FOR BORING OR BROACHING, AND PARTS THEREOF, OF BASE METAL. |
| 820810 | KNIVES AND CUTTING BLADES FOR METAL WORKING, AND PARTS THEREOF, OF BASE METAL. |
| 820820 | KNIVES AND CUTTING BLADES FOR WOOD WORKING, AND PARTS THEREOF, OF BASE METAL. |
| 820830 | KNIVES AND CUTTING BLADES FOR KITCHEN APPLIANCES OR FOR MACHINES USED BY THE FOOD INDUSTRY, AND PARTS THEREOF, OF BASE METAL. |
| 820840 | KNIVES AND CUTTING BLADES FOR AGRICULTURAL OR FORESTRY MACHINES, AND PARTS THEREOF, OF BASE METAL. |
| 820890 | KNIVES AND CUTTING BLADES FOR MACHINES OR MECHANICAL APPLIANCES NESOI, AND PARTS THEREOF, OF BASE METAL. |
| 840212 | WATERTUBE BOILERS WITH A STEAM PRODUCTION NOT EXCEEDING 45 T PER HOUR. |
| 840219 | VAPOR GENERATING BOILERS, NESOI, INCLUDING HYBRID BOILERS. |
| 840220 | SUPER-HEATED WATER BOILERS. |
| 840290 | PARTS FOR SUPER-HEATED WATER BOILERS AND STEAM OR OTHER VAPOR GENERATION BOILERS (OTHER THAN CENTRAL HEATING HOT WATER BOILERS). |
| 840410 | AUXILIARY PLANT FOR USE WITH STEAM OR OTHER VAPOR GENERATING BOILERS, SUPER-HEATED WATER BOILERS AND CENTRAL HEATING BOILERS. |
| 840420 | CONDENSERS FOR STEAM OR OTHER VAPOR POWER UNITS. |
| 840490 | PARTS FOR AUXILIARY PLANT FOR USE WITH STEAM OR OTHER VAPOR GENERATING BOILERS AND CONDENSER POWER UNITS, SUPER-HEATED AND CENTRAL HEATING BOILERS. |
| 840510 | PRODUCER GAS AND WATER GAS GENERATORS, ACTYLENE GAS AND SIMILAR WATER PROCESS GAS GENERATORS, WITH OR WITHOUT THEIR PURIFIERS. |
| 840590 | PARTS FOR PRODUCER GAS AND WATER GAS GENERATORS, ACTYLENE GAS AND SIMILAR PROCESS GAS GENERATORS. |
| 840681 | TURBINES, STEAM AND OTHER VAPOR TYPES, OF AN OUTPUT EXCEEDING 40 MW, EXCEPT FOR MARINE PROPULSION. |
| 840682 | TURBINES, STEAM AND OTHER VAPOR TYPES, OF AN OUTPUT NOT EXCEEDING 40 MW, EXCEPT FOR MARINE PROPULSION. |
| 840690 | PARTS FOR STEAM AND OTHER VAPOR TURBINES. |
| 840721 | OUTBOARD ENGINES FOR MARINE PROPULSION. |
| 840729 | INBOARD ENGINES FOR MARINE PROPULSION. |
| 840810 | MARINE COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL OR SEMI-DIESEL ENGINES). |
| 840820 | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL OR SEMI-DIESEL), FOR THE PROPULSION OF VEHICLES EXCEPT RAILWAY OR TRAMWAY STOCK. |
| 840890 | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL OR SEMI-DIESEL ENGINES), NESOI. |
| 840999 | PARTS FOR USE WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI. |
| 841090 | PARTS, INCLUDING REGULATORS, FOR HYDRAULIC TURBINES AND WATER WHEELS. |
| 841111 | TURBOJETS OF A THRUST NOT EXCEEDING 25 KN. |
| 841112 | TURBOJETS OF A THRUST EXCEEDING 25 KN. |
| 841121 | TURBOPROPELLERS OF A POWER NOT EXCEEDING 1,100 KW. |
| 841122 | TURBOPROPELLERS OF A POWER EXCEEDING 1,100 KW. |
| 841191 | PARTS OF TURBOJETS OR TURBOPROPELLERS. |
| 841210 | REACTION ENGINES OTHER THAN TURBOJETS. |
| 841221 | HYDRAULIC POWER ENGINES AND MOTORS, LINEAR ACTING (CYLINDERS). |
| 841229 | HYDRAULIC POWER ENGINES AND MOTORS, EXCEPT LINEAR ACTING (CYLINDERS). |
| 841239 | PNEUMATIC POWER ENGINES AND MOTORS, EXCEPT LINEAR ACTING (CYLINDERS). |
| 841280 | ENGINES AND MOTORS, NESOI. |
| 841311 | PUMPS FOR DISPENSING FUEL OR LUBRICANTS, OF A TYPE USED IN FILLING-STATIONS OR GARAGES. |
| 841319 | PUMPS FITTED OR DESIGNED TO BE FITTED WITH A MEASURING DEVISE, NESOI. |
| 841330 | FUEL, LUBRICATING OR COOLING MEDIUM PUMPS FOR INTERNAL COMBUSTION PISTON ENGINES. |
| 841350 | RECIPROCATING POSITIVE DISPLACEMENT PUMPS, NESOI. |
| 841360 | ROTARY POSITIVE DISPLACEMENT PUMPS, NESOI. |
| 841381 | PUMPS FOR LIQUIDS, NESOI. |
| 841410 | VACUUM PUMPS. |
| 841490 | PARTS FOR AIR OR VACUUM PUMPS, AIR OR OTHER GAS COMPRESSORS AND FANS; PARTS OF VENTILATING OR RECYCLING HOODS INCORPORATING A FAN, NESOI. |
| 841520 | AUTOMOTIVE AIR CONDITIONERS. |
| 841583 | AIR CONDITIONING MACHINES NESOI, NOT INCORPORATING A REFRIGERATING UNIT. |
| 841610 | FURNACE BURNERS FOR LIQUID FUEL. |
| 841620 | FURNACE BURNERS FOR PULVERIZED SOLID FUEL OR FOR GAS, INCLUDING COMBINATION BURNERS. |
| 841630 | MECHANICAL STOKERS INCLUDING THEIR MECHANICAL GRATES, MECHANICAL ASH DISCHARGERS AND SIMILAR APPLIANCES. |
| 841690 | PARTS OF FURNACE BURNERS FOR LIQUID FUEL, PULVERIZED SOLID FUEL OR GAS; PARTS OF MECHANICAL STOKERS, GRATES, ASH DISCHARGERS AND SIMILAR APPLIANCES. |
| 841720 | BAKERY OVENS, INCLUDING BISCUIT OVENS, NONELECTRIC. |
| 841861 | COMPRESSION TYPE HEAT PUMP UNITS WHOSE CONDENSERS ARE HEAT EXCHANGERS (EXCLUDING REVERSIBLE HEAT PUMPS CAPABLE OF CHANGING TEMPERATURE AND HUMIDITY). |
| 841869 | REFRIGERATING OR FREEZING EQUIPMENT, NESOI. |
| 841919 | INSTANTANEOUS OR STORAGE WATER HEATERS, EXCEPT INSTANTANEOUS GAS WATER HEATERS, NONELECTRIC. |
| 841940 | DISTILLING OR RECTIFYING PLANT. |
| 841950 | HEAT EXCHANGE UNITS, INDUSTRIAL TYPE. |
| 841960 | MACHINERY FOR LIQUEFYING AIR OR OTHER GASES. |
| 841989 | MACHINERY, PLANT OR LABORATORY EQUIPMENT FOR THE TREATMENT OF MATERIAL INVOLVING TEMPERATURE CHANGE (EXCEPT DOMESTIC MACHINERY), NESOI. |
| 841990 | PARTS FOR MACHINERY, PLANT OR LABORATORY EQUIPMENT FOR THE TREATMENT OF MATERIAL INVOLVING TEMPERATURE CHANGE (EXCEPT DOMESTIC MACHINERY), NESOI. |
| 842091 | CYLINDERS FOR CALENDERING OR OTHER ROLLING MACHINES, OTHER THAN FOR METALS OR GLASS. |
| 842099 | PARTS, EXCEPT CYLINDERS, FOR CALENDERING OR OTHER ROLLING MACHINES, OTHER THAN FOR METALS OR GLASS. |
| 842111 | CREAM SEPARATORS, CENTRIFUGAL. |
| 842119 | CENTRIFUGES, INCLUDING CENTRIFUGAL DRYERS (OTHER THAN CLOTHES DRYERS), NESOI. |
| 842123 | OIL OR FUEL FILTERS FOR INTERNAL COMBUSTION ENGINES. |
| 842129 | FILTERING OR PURIFYING MACHINERY AND APPARATUS FOR LIQUIDS, NESOI. |
| 842131 | INTAKE AIR FILTERS FOR INTERNAL COMBUSTION ENGINES. |
| 842139 | FILTERING OR PURIFYING MACHINERY AND APPARATUS FOR GASES, NESOI. |
| 842191 | PARTS OF CENTRIFUGES, INCLUDING CENTRIFUGAL DRYERS. |
| 842199 | PARTS FOR FILTERING OR PURIFYING MACHINERY AND APPARATUS FOR LIQUIDS OR GASES. |
| 842410 | FIRE EXTINGUISHERS, WHETHER OR NOT CHARGED. |
| 842489 | MECHANICAL APPLIANCES FOR PROJECTING, DISPERSING OR SPRAYING LIQUIDS OR POWDERS, NESOI. |
| 842490 | PARTS FOR MECHANICAL APPLIANCES FOR PROJECTING, DISPERSING OR SPRAYING, FIRE EXTINGUISHERS, SPRAY GUNS, AND STEAM OR SAND BLASTING MACHINES. |
| 842511 | PULLEY TACKLE AND HOISTS, OTHER THAN SKIP HOISTS OR HOISTS OF A KIND USED FOR RAISING VEHICLES, POWERED BY ELECTRIC MOTOR. |
| 842531 | WINCHES AND CAPSTANS POWERED BY ELECTRIC MOTORS. |
| 842611 | OVERHEAD TRAVELING CRANES ON FIXED SUPPORT. |
| 842612 | MOBILE LIFTING FRAMES ON TIRES AND STRADDLE CARRIERS. |
| 842619 | OVERHEAD TRAVELING CRANES, TRANSPORTER CRANES, GANTRY AND BRIDGE CRANES, MOBILE LIFTING FRAMES AND STRADDLE CARRIES, NESOI. |
| 842620 | TOWER CRANES. |
| 842630 | PORTAL OR PEDESTAL JIB CRANES. |
| 842641 | DERRICKS, CRANES, NESOI AND WORKS TRUCKS FITTED WITH A CRANE, SELF-PROPELLED, ON TIRES. |
| 842649 | DERRICKS, CRANES, NESOI AND WORKS TRUCKS FITTED WITH A CRANE, SELF-PROPELLED, NOT ON TIRES. |
| 842691 | LIFTING OR HANDLING MACHINERY DESIGNED FOR MOUNTING ON ROAD VEHICLES. |
| 842699 | LIFTING OR HANDLING MACHINERY, NESOI. |
| 842710 | SELF-PROPELLED LIFTING OR HANDLING TRUCKS POWERED BY AN ELECTRIC MOTOR. |
| 842720 | SELF-PROPELLED LIFTING OR HANDLING TRUCKS POWERED BY OTHER THAN AN ELECTRIC MOTOR. |
| 842790 | FORK-LIFT AND OTHER WORKS TRUCKS FITTED WITH LIFTING OR HANDLING EQUIPMENT, OTHER THAN SELF-PROPELLED, NESOI. |
| 842820 | PNEUMATIC ELEVATORS AND CONVEYORS. |
| 842831 | CONTINUOUS-ACTION ELEVATORS AND CONVEYORS, FOR GOODS OR MATERIALS, SPECIALLY DESIGNED FOR UNDERGROUND USE. |
| 842832 | CONTINUOUS-ACTION ELEVATORS AND CONVEYORS, FOR GOODS OR MATERIALS, OTHER THAN FOR UNDERGROUND USE, BUCKET TYPE. |
| 842833 | CONTINUOUS-ACTION ELEVATORS AND CONVEYORS, FOR GOODS OR MATERIALS, OTHER THAN FOR UNDERGROUND USE, BELT TYPE. |
| 842839 | CONTINUOUS-ACTION ELEVATORS AND CONVEYORS, FOR GOODS OR MATERIALS, OTHER THAN FOR UNDERGROUND USE, NESOI. |
| 842870 | LIFTING, HANDLING, LOADING OR UNLOADING MACHINERY NESOI. |
| 842890 | LIFTING, HANDLING, LOADING OR UNLOADING MACHINERY NESOI. |
| 842911 | BULLDOZERS AND ANGLEDOZERS, SELF-PROPELLED, TRACK LAYING. |
| 842919 | BULLDOZERS AND ANGLEDOZERS, SELF-PROPELLED, OTHER THAN TRACK LAYING. |
| 842920 | GRADERS AND LEVELERS, SELF-PROPELLED. |
| 842930 | SCRAPERS, SELF-PROPELLED. |
| 842940 | TAMPING MACHINES AND ROAD ROLLERS, SELF-PROPELLED. |
| 842951 | MECHANICAL FRONT-END SHOVEL LOADERS, SELF-PROPELLED. |
| 842952 | MECHANICAL SHOVELS, EXCAVATORS AND SHOVEL LOADERS WITH 360 DEGREE REVOLVING SUPERSTRUCTURE, SELF-PROPELLED. |
| 842959 | MECHANICAL SHOVELS, EXCAVATORS AND SHOVEL LOADERS NESOI, SELF-PROPELLED. |
| 843010 | PILE-DRIVERS AND PILE-EXTRACTORS. |
| 843039 | COAL OR ROCK CUTTERS AND TUNNELING MACHINERY, OTHER THAN SELF-PROPELLED. |
| 843049 | BORING OR SINKING MACHINERY, NESOI, OTHER THAN SELF-PROPELLED. |
| 843050 | MOVING, GRADING, LEVELING, SCRAPING, EXCAVATING, TAMPING, COMPACTING OR EXTRACTING MACHINERY FOR EARTH, MINERALS OR ORES, NESOI, SELF-PROPELLED. |
| 843069 | MOVING, GRADING, LEVELING, EXCAVATING, EXTRACTING MACHINERY FOR EARTH, MINERALS OR ORES, NESOI, NOT SELF-PROPELLED. |
| 843120 | PARTS FOR FORK-LIFT TRUCKS AND OTHER WORKS TRUCKS FITTED WITH LIFTING OR HANDLING EQUIPMENT. |
| 843139 | PARTS FOR LIFTING, HANDLING, LOADING OR UNLOADING MACHINERY, NESOI. |
| 843141 | BUCKETS, SHOVELS, GRABS AND GRIPS FOR DERRICKS, CRANES, BULLDOZERS, ANGLEDOZERS, GRADERS, SCRAPERS, BORERS, EXTRACTING, ETC. MACHINERY. |
| 843149 | PARTS AND ATTACHMENTS, NESOI, FOR DERRICKS, CRANES, SELF-PROPELLED BULLDOZERS, GRADERS ETC. AND OTHER GRADING, SCRAPING, ETC. MACHINERY. |
| 843910 | MACHINERY FOR MAKING PULP OF FIBROUS CELLULOSIC MATERIAL. |
| 843930 | MACHINERY FOR FINISHING PAPER OR PAPERBOARD. |
| 844090 | PARTS FOR BOOKBINDING MACHINERY, INCLUDING PARTS FOR BOOK-SEWING MACHINES. |
| 844130 | MACHINES FOR MAKING PAPER CARTONS, BOXES, CASES, DRUMS AND SIMILAR CONTAINERS, OTHER THAN BY MOLDING. |
| 844230 | MACHINERY, APPARATUS AND EQUIPMENT, NESOI, FOR PREPARING OR MAKING PRINTING BLOCKS, PLATES, CYLINDERS OR OTHER PRINTING COMPONENTS. |
| 844240 | PARTS OF MACHINERY, APPARATUS AND EQUIPMENT, NESOI, FOR TYPESETTING ETC. AND PREPARING OR MAKING PRINTING BLOCKS OR OTHER PRINTING COMPONENTS. |
| 844311 | OFFSET PRINTING MACHINERY, REEL-FED. |
| 844313 | OFFSET PRINTING MACHINERY, NESOI. |
| 844315 | LETTERPRESS PRINTING MACHINERY, OTHER THAN REEL FED, EXCLUDING FLEXOGRAPHIC PRINTING. |
| 844316 | FLEXOGRAPHIC PRINTING MACHINERY. |
| 844317 | GRAVURE PRINTING MACHINERY. |
| 844319 | OFFSET PRINTING MACHINERY, NESOI. |
| 844391 | PARTS AND ACCESSORIES OF PRINTING MACHINERY USED FOR PRINTING BY MEANS OF PLATES, CYLINDERS AND OTHER PRINTING COMPONENTS OF HEAD. 8442. |
| 844400 | MACHINES FOR EXTRUDING, DRAWING, TEXTURING OR CUTTING MANMADE TEXTILE MATERIALS. |
| 844621 | POWER LOOMS FOR WEAVING FABRICS OF A WIDTH EXCEEDING 30 CM, SHUTTLE TYPE. |
| 844629 | WEAVING MACHINES (LOOMS) FOR WEAVING FABRICS OF A WIDTH EXCEEDING 30 CM, SHUTTLE TYPE, NESOI. |
| 844811 | AUXILIARY MACHINERY FOR TEXTILE MACHINES (HEADINGS 8444 TO 8447), DOBBIES AND JACQUARDS, CARD REDUCING, COPYING, PUNCHING OR ASSEMBLING MACHINES. |
| 844819 | AUXILIARY MACHINERY FOR TEXTILE MACHINES (HEADINGS 8444 TO 8447), NESOI. |
| 844820 | PARTS AND ACCESSORIES FOR MACHINES FOR EXTRUDING, DRAWING, TEXTURING OR CUTTING MANMADE TEXTILE MATERIALS, OR OF THEIR AUXILIARY MACHINERY. |
| 844833 | SPINDLES, SPINDLE FLYERS, SPINNING RINGS AND RING TRAVELLERS, FOR MACHINERY USED FOR PREPARING OR PRODUCING TEXTILE YARNS, ETC. |
| 844839 | PARTS AND ACCESSORIES FOR TEXTILE SPINNING, DOUBLING OR TWISTING, WINDING OR REELING AND YARN PRODUCING MACHINES, ETC., NESOI. |
| 844842 | REEDS FOR LOOMS, HEALDS AND HEALD-FRAMES. |
| 844849 | PARTS AND ACCESSORIES OF WEAVING MACHINES (LOOMS) OR OF THEIR AUXILIARY MACHINERY, NESOI. |
| 844851 | SINKERS, NEEDLES AND OTHER ARTICLES USED IN FORMING STITCHES FOR KNITTING MACHINES, STITCH-BONDING AND GIMPED YARN ETC. MACHINES. |
| 845110 | DRY-CLEANING MACHINES FOR TEXTILES YARNS, FABRICS OR MADE UP TEXTILE ARTICLES. |
| 845129 | DRYING MACHINES (EXCEPT CENTRIFUGAL TYPE) FOR TEXTILE YARNS, FABRICS OR MADE UP TEXTILE ARTICLES, WITH A DRY LINEN CAPACITY EXCEEDING 10 KG. |
| 845130 | IRONING MACHINES AND PRESSES (INCLUDING FUSING PRESSES) FOR TEXTILE YARNS, FABRICS OR MADE UP TEXTILE ARTICLES. |
| 845190 | PARTS FOR MACHINERY FOR WASHING, CLEANING, WRINGING ETC. TEXTILE YARNS AND FABRICS, APPLYING PASTE TO BASE FABRIC ETC. AND REELING ETC. TEXTILE FABRIC. |
| 845230 | SEWING MACHINE NEEDLES. |
| 845310 | MACHINES FOR PREPARING, TANNING OR WORKING HIDES, SKINS OR LEATHER. |
| 845380 | MACHINERY (OTHER THAN SEWING MACHINES), FOR MAKING OR REPAIRING ARTICLES OF HIDES, SKINS OR LEATHER, EXCEPT FOOTWEAR. |
| 845390 | PARTS OF MACHINERY (EXCEPT SEWING MACHINES) FOR TANNING ETC. HIDES, SKINS OR LEATHER OR FOR MAKING OR REPAIRING ARTICLES OF HIDES, SKINS OR LEATHER. |
| 845410 | CONVERTERS USED IN METALLURGY OR METAL FOUNDRIES. |
| 845420 | INGOT MOLDS AND LADLES USED IN METALLURGY OR METAL FOUNDRIES. |
| 845490 | PARTS FOR CONVERTERS, LADLES, INGOT MOLDS AND CASTING MACHINES USED IN METALLURGY OR METAL FOUNDRIES. |
| 845522 | COLD METAL-ROLLING MILLS, EXCEPT TUBE MILLS. |
| 845530 | ROLLS FOR METAL-ROLLING MILLS. |
| 845620 | MACHINE TOOLS FOR WORKING ANY MATERIAL BY REMOVAL OF MATERIAL, BY ULTRASONIC PROCESSES. |
| 845640 | MACHINE TOOLS FOR WORKING ANY MATERIAL BY REMOVAL OF MATERIAL OPERATED BY PLASMA ARC PROCESSES. |
| 845690 | MACHINE TOOLS FOR REMOVAL OF MATERIAL BY ELECTRO-CHEMICAL, ELECTRON-BEAM, IONIC-BEAM OR PLASMA ARC PROCESSES, N.E.S.O.I. |
| 845710 | MACHINING CENTERS FOR WORKING METAL. |
| 845730 | MULTISTATION TRANSFER MACHINES FOR WORKING METAL. |
| 845811 | HORIZONTAL LATHES FOR REMOVING METAL, NUMERICALLY CONTROLLED. |
| 845819 | HORIZONTAL LATHES FOR REMOVING METAL, NOT NUMERICALLY CONTROLLED. |
| 845891 | LATHES, EXCLUDING HORIZONTAL, FOR REMOVING METAL, NUMERICALLY CONTROLLED. |
| 845899 | LATHES, EXCLUDING HORIZONTAL, FOR REMOVING METAL, NOT NUMERICALLY CONTROLLED. |
| 845910 | WAY-TYPE UNIT HEAD MACHINES FOR REMOVING METAL. |
| 845921 | DRILLING MACHINES FOR REMOVING METAL NESOI, NUMERICALLY CONTROLLED. |
| 845931 | BORING-MILLING MACHINES FOR REMOVING METAL NESOI, NUMERICALLY CONTROLLED. |
| 845941 | NUMERICALLY CONTROLLED BORING MACHINES, NESOI. |
| 845949 | OTHER BORING MACHINES, NESOI. |
| 845961 | MILLING MACHINES, NOT KNEE TYPE, FOR REMOVING METAL, NUMERICALLY CONTROLLED. |
| 845970 | THREADING OR TAPPING MACHINES, FOR REMOVING METAL. |
| 846012 | FLAT-SURFACE GRINDING MACHINES, NUMERICALLY CONTROLLED. |
| 846019 | FLAT-SURFACE GRINDING MACHINES FOR REMOVING METAL, AXIS ACCURACY OF 0.01 MM OR MORE, NOT NUMERICALLY CONTROLLED. |
| 846022 | CENTERLESS GRINDING MACHINES, NUMERICALLY CONTROLLED. |
| 846023 | OTHER CYLINDRICAL GRINDING MACHINES, NUMERICALLY CONTROLLED. |
| 846024 | OTHER GRINDING MACHINES, NESOI, NUMERICALLY CONTROLLED. |
| 846029 | GRINDING MACHINES FOR REMOVING METAL, EXCEPT FLAT-SURFACE, AXIS ACCURACY OF 0.01 MM OR MORE, NOT NUMERICALLY CONTROLLED. |
| 846031 | SHARPENING (TOOL OR CUTTER GRINDING) MACHINES FOR REMOVING METAL, NUMERICALLY CONTROLLED. |
| 846039 | SHARPENING (TOOL OR CUTTER GRINDING) MACHINES FOR REMOVING METAL, NOT NUMERICALLY CONTROLLED. |
| 846040 | HONING OR LAPPING MACHINES FOR REMOVING METAL. |
| 846090 | MACHINE TOOLS FOR DEBURRING, POLISHING METAL, SINTERED METAL CARBIDES, ABRASIVES OR POLISHING PRODUCTS, OTHER THAN GEAR CUTTING, ETC., NESOI. |
| 846120 | SHAPING OR SLOTTING MACHINES FOR REMOVING METAL. |
| 846130 | BROACHING MACHINES FOR REMOVING METAL. |
| 846140 | GEAR CUTTING, GEAR GRINDING OR GEAR FINISHING MACHINES. |
| 846150 | SAWING OR CUTTING-OFF MACHINES FOR REMOVING METAL. |
| 846190 | MACHINE TOOLS WORKING BY REMOVING METAL, SINTERED METAL CARBIDES OR CERMETS, NESOI. |
| 846211 | FORGING OR DIE-STAMPING MACHINES (INCLUDING PRESSES) AND HAMMERS FOR WORKING METAL. |
| 846219 | FORGING OR DIE-STAMPING MACHINES (INCLUDING PRESSES) AND HAMMERS FOR WORKING METAL. |
| 846222 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NOT NUMERICALLY CONTROLLED. |
| 846223 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NUMERICALLY CONTROLLED. |
| 846224 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NUMERICALLY CONTROLLED. |
| 846225 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NUMERICALLY CONTROLLED. |
| 846226 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NUMERICALLY CONTROLLED. |
| 846229 | BENDING, FOLDING, STRAIGHTENING OR FLATTENING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, NOT NUMERICALLY CONTROLLED. |
| 846232 | SHEARING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, OTHER THAN COMBINED PUNCHING AND SHEARING MACHINES, NUMERICALLY CONTROLLED. |
| 846233 | SHEARING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, OTHER THAN COMBINED PUNCHING AND SHEARING MACHINES, NUMERICALLY CONTROLLED. |
| 846239 | SHEARING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, OTHER THAN COMBINED PUNCHING AND SHEARING MACHINES, NOT NUMERICALLY CONTROLLED. |
| 846242 | PUNCHING OR NOTCHING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, INCLUDING COMBINED PUNCHING AND SHEARING MACHINES, NUMERICALLY CONTROLLED. |
| 846249 | PUNCHING OR NOTCHING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, INCLUDING COMBINED PUNCHING AND SHEARING MACHINES, NOT NUMERICALLY CONTROLLED. |
| 846251 | PUNCHING OR NOTCHING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, INCLUDING COMBINED PUNCHING AND SHEARING MACHINES, NUMERICALLY CONTROLLED. |
| 846259 | PUNCHING OR NOTCHING MACHINES (INCLUDING PRESSES) FOR WORKING METAL, INCLUDING COMBINED PUNCHING AND SHEARING MACHINES, NOT NUMERICALLY CONTROLLED. |
| 846261 | HYDRAULIC PRESSES FOR WORKING METAL. |
| 846262 | MACHINE TOOLS (INCLUDING PRESSES) FOR WORKING METAL BY FORGING, HAMMERING, DIE-CASTING, BENDING, FOLDING, FLATTENING, WORKING METAL CARBIDES, NESOI. |
| 846263 | MACHINE TOOLS (INCLUDING PRESSES) FOR WORKING METAL BY FORGING, HAMMERING, DIE-CASTING, BENDING, FOLDING, FLATTENING, WORKING METAL CARBIDES, NESOI. |
| 846269 | MACHINE TOOLS (INCLUDING PRESSES) FOR WORKING METAL BY FORGING, HAMMERING, DIE-CASTING, BENDING, FOLDING, FLATTENING, WORKING METAL CARBIDES, NESOI. |
| 846290 | MACHINE TOOLS (INCLUDING PRESSES) FOR WORKING METAL BY FORGING, HAMMERING, DIE-CASTING, BENDING, FOLDING, FLATTENING, WORKING METAL CARBIDES, NESOI. |
| 846310 | DRAW-BENCHES FOR BARS, TUBES, PROFILES, WIRE OR THE LIKE FOR WORKING METAL WITHOUT REMOVING MATERIAL. |
| 846320 | THREAD ROLLING MACHINES FOR WORKING METAL WITHOUT REMOVING MATERIAL. |
| 846330 | MACHINES FOR WORKING WIRE WITHOUT REMOVING MATERIAL. |
| 846390 | MACHINE TOOLS FOR WORKING METAL, SINTERED METAL CARBIDES OR CERMETS, WITHOUT REMOVING MATERIAL, NESOI. |
| 846410 | SAWING MACHINES FOR WORKING STONE, CERAMICS, CONCRETE, ASBESTOS-CEMENT OR LIKE MINERAL MATERIALS OR FOR COLD WORKING GLASS. |
| 846420 | GRINDING OR POLISHING MACHINES FOR WORKING STONE, CERAMICS, CONCRETE, ASBESTOS-CEMENT OR LIKE MINERAL MATERIALS OR FOR COLD WORKING GLASS. |
| 846490 | MACHINE TOOLS FOR WORKING STONE, CERAMICS, CONCRETE, ASBESTOS-CEMENT OR LIKE MINERAL MATERIALS OR FOR COLD WORKING GLASS, NESOI. |
| 846520 | MACHINING CENTERS FOR WORKING CORK, BONE, HARD RUBBER, HARD PLASTICS OR SIMILIAR HARD MATERALS. |
| 846593 | GRINDING, SANDING OR POLISHING MACHINES FOR WORKING WOOD, CORK, BONE, HARD RUBBER, HARD PLASTICS OR SIMILAR HARD MATERIALS. |
| 846594 | BENDING OR ASSEMBLING MACHINES FOR WORKING WOOD, CORK, BONE, HARD RUBBER, HARD PLASTICS OR SIMILAR HARD MATERIALS. |
| 846596 | SPLITTING, SLICING OR PARING MACHINES FOR WORKING WOOD, CORK, BONE, HARD RUBBER, HARD PLASTICS OR SIMILAR HARD MATERIALS. |
| 846610 | TOOL HOLDERS AND SELF-OPENING DIEHEADS FOR MACHINES OR ANY TYPE OF TOOL FOR WORKING IN THE HAND. |
| 846620 | WORK HOLDERS FOR MACHINE TOOLS. |
| 846691 | PARTS AND ACCESSORIES FOR MACHINE TOOLS FOR WORKING STONE, CERAMICS, CONCRETE, ASBESTOS-CEMENT OR LIKE MATERIALS OR FOR COLD WORKING GLASS, NESOI. |
| 846692 | PARTS AND ACCESSORIES FOR MACHINE TOOLS FOR WORKING WOOD, CORK, BONE, HARD RUBBER, HARD PLASTICS OR SIMILAR HARD MATERIALS, NESOI. |
| 846693 | PARTS AND ACCESSORIES FOR MACHINE TOOLS, FOR LASER OPERATION, METALWORKING MACHINING CENTERS, LATHES AND DRILLING MACHINES, ETC., NESOI. |
| 846694 | PARTS AND ACCESSORIES FOR MACHINES TOOLS, FOR FORGING, DIE-STAMPING, SHEARING, ETC. METAL AND THOSE FOR WORKING METAL WITHOUT REMOVING MATERIAL, NESOI. |
| 846810 | HAND-HELD BLOW TORCHES. |
| 846820 | GAS OPERATED MACHINERY AND APPARATUS FOR SOLDERING, BRAZING OR WELDING, OTHER THAN HAND-HELD BLOW TORCHES. |
| 846880 | MACHINERY AND APPARATUS FOR SOLDERING, BRAZING OR WELDING, NESOI. |
| 846890 | PARTS OF MACHINERY AND APPARATUS FOR SOLDERING, BRAZING OR WELDING, NESOI. |
| 847210 | DUPLICATING MACHINES. |
| 847230 | MACHINES FOR SORTING OR FOLDING MAIL, FOR INSERTING MAIL IN ENVELOPES, OR FOR OPENING OR SEALING MAIL AND MACHINES FOR AFFIXING OR CANCELLING POSTAGE. |
| 847321 | PARTS AND ACCESSORIES FOR ELECTRONIC CALCULATORS AND CALCULATING MACHINES. |
| 847330 | PARTS AND ACCESSORIES FOR AUTOMATIC DATA PROCESSING MACHINES AND UNITS THEREOF, MAGNETIC OR OPTICAL READERS, TRANSCRIBING MACHINES, ETC., NESOI. |
| 847410 | MACHINES FOR SORTING, SCREENING, SEPARATING OR WASHING EARTH, STONE, ORE OR OTHER MINERAL SUBSTANCES, IN SOLID FORM. |
| 847431 | CONCRETE OR MORTAR MIXERS. |
| 847439 | MACHINES FOR MIXING OR KNEADING EARTH, STONE, ORE OR OTHER MINERAL SUBSTANCES IN SOLID FORM, NESOI. |
| 847480 | MACHINERY FOR AGGLOMERATING ETC. SOLID MINERAL FUELS, CERAMIC PASTE OR OTHER MINERAL PRODUCTS; MACHINES FOR FORMING FOUNDRY MOLDS OF SAND. |
| 847521 | MACHINES FOR MAKING OPTICAL FIBERS AND PREFORMS THEREOF. |
| 847529 | MACHINES FOR MANUFACTURING OR HOT WORKING GLASS OR GLASSWARE, NESOI. |
| 847590 | PARTS OF MACHINES FOR ASSEMBLING ELECTRIC OR ELECTRONIC LAMPS, TUBES ETC., IN GLASS ENVELOPES AND FOR MANUFACTURING OR HOT WORKING GLASS OR GLASSWARE. |
| 847730 | BLOW-MOLDING MACHINES FOR WORKING RUBBER OR PLASTIC. |
| 847740 | VACUUM-MOLDING MACHINES AND OTHER THERMOFORMING MACHINES, FOR MOLDING OR FORMING RUBBER OR PLASTICS. |
| 847751 | MACHINERY FOR MOLDING OR RETREADING PNEUMATIC TIRES OR FOR MOLDING OR OTHERWISE FORMING INNER TUBES. |
| 847759 | MACHINERY FOR MOLDING OR OTHERWISE FORMING RUBBER OR PLASTICS, NESOI. |
| 847790 | PARTS OF MACHINERY FOR WORKING RUBBER OR PLASTICS OR PARTS OF MACHINERY USED IN THE MANUFACTURE OF PRODUCTS FROM RUBBER OR PLASTICS MATERIALS, NESOI. |
| 847910 | MACHINERY FOR PUBLIC WORKS, BUILDING OR THE LIKE. |
| 847930 | PRESSES FOR MANUFACTURING PARTICLE BOARD OR FIBER BUILDING BOARD OF WOOD OR OTHER LIGNEOUS MATERIALS AND OTHER MACHINERY FOR TREATING WOOD OR CORK. |
| 847950 | INDUSTRIAL ROBOTS FOR MULTIPLE USES. |
| 847981 | MACHINES AND MECHANICAL APPLIANCES FOR TREATING METAL, INCLUDING ELECTRIC WIRE COIL-WINDERS. |
| 847982 | MACHINES AND MECHANICAL APPLIANCES FOR MIXING, KNEADING, CRUSHING, GRINDING, SCREENING, SIFTING, HOMOGENIZING, EMULSIFYING OR STIRRING, NESOI. |
| 847989 | MACHINES AND MECHANICAL APPLIANCES HAVING INDIVIDUAL FUNCTIONS, NESOI. |
| 847990 | PARTS OF MACHINES AND MECHANICAL APPLIANCES HAVING INDIVIDUAL FUNCTIONS, NESOI. |
| 848020 | MOLD BASES. |
| 848030 | MOLDING PATTERNS. |
| 848060 | MOLDS FOR MINERAL MATERIALS. |
| 848110 | PRESSURE-REDUCING VALVES. |
| 848120 | VALVES FOR OLEOHYDRAULIC OR PNEUMATIC TRANSMISSIONS. |
| 848130 | CHECK VALVES. |
| 848140 | SAFETY OR RELIEF VALVES. |
| 848210 | BALL BEARINGS. |
| 848220 | TAPERED ROLLER BEARINGS, INCLUDING CONE AND TAPERED ROLLER ASSEMBLIES. |
| 848230 | SPHERICAL ROLLER BEARINGS. |
| 848240 | NEEDLE ROLLER BEARINGS. |
| 848250 | CYLINDRICAL ROLLER BEARINGS NESOI. |
| 848280 | BALL OR ROLLER BEARINGS NESOI, INCLUDING COMBINED BALL/ROLLER BEARINGS. |
| 848291 | BALLS, NEEDLES AND ROLLERS FOR BALL OR ROLLER BEARINGS. |
| 848299 | PARTS OF BALL OR ROLLER BEARINGS, NESOI. |
| 848310 | TRANSMISSION SHAFTS (INCLUDING CAMSHAFTS AND CRANKSHAFTS) AND CRANKS. |
| 848320 | HOUSED BEARINGS, INCORPORATING BALL OR ROLLER BEARINGS. |
| 848330 | BEARING HOUSINGS; PLAIN SHAFT BEARINGS. |
| 848340 | GEARS AND GEARING (EXCEPT TOOTHED WHEELS, CHAIN SPROCKETS, ETC.); BALL OR ROLLER SCREWS; GEAR BOXES AND OTHER SPEED CHANGERS, INCL TORQUE CONVERTERS. |
| 848350 | FLYWHEELS AND PULLEYS, INCLUDING PULLEY BLOCKS. |
| 848360 | CLUTCHES AND SHAFT COUPLINGS (INCLUDING UNIVERSAL JOINTS). |
| 848390 | TOOTHED WHEELS, CHAIN SPROCKETS AND OTHER TRANSMISSION ELEMENTS PRESENTED SEPARATELY; PARTS. |
| 848410 | GASKETS AND SIMILAR JOINTS OF METAL SHEETING COMBINED WITH OTHER MATERIAL OR OF TWO OR MORE LAYERS OF METAL. |
| 848420 | MECHANICAL SEALS. |
| 848490 | SETS OR ASSORTMENTS OF GASKETS AND SIMILAR JOINTS, DISSIMILAR IN COMPOSITION, PUT UP IN POUCHES, ENVELOPES OR SIMILAR PACKINGS. |
| 848520 | MACHINERY FOR WORKING RUBBER OR PLASTICS OR FOR THE MANUFACTURE OF PRODUCTS FROM THESE MATERIALS, NESOI. |
| 848530 | MACHINES AND MECHANICAL APPLIANCES HAVING INDIVIDUAL FUNCTIONS, NESOI. |
| 848590 | MACHINERY PARTS, NOT CONTAINING ELECTRICAL CONNECTORS, INSULATORS, COILS, CONTACTS OR OTHER ELECTRICAL FEATURES, NESOI. |
| 848610 | MACHINES AND APPARATUS FOR THE MANUFACTURE OF BOULES OR WAFERS. |
| 848620 | MACHINES AND APPARATUS FOR THE MANUFACTURE OF SEMICONDUCTOR DEVICES OR OF ELECTRONIC INTEGRATES CIRCUITS. |
| 848630 | MACHINES AND APPARATUS FOR THE MANUFACTURE OF FLAT PANEL DISPLAYS. |
| 848640 | MACHINES AND APPARATUS SPECIFIED IN NOTE 9(C) TO CHAPTER 84. |
| 848690 | MACHINES AND APPARATUS OF A KIND USED FOR THE MANUFACTURE OF SEMICONDUCTOR BOULES OR WAFERS, ETC, PARTS AND ACCESSORITES. |
| 848710 | SHIPS’ OR BOATS’ PROPELLERS AND BLADES THEREOF. |
| 848790 | MACHINERY PARTS, NON ELECTRIC, NESOI. |
| 850120 | UNIVERSAL AC/DC MOTORS OF AN OUTPUT EXCEEDING 37.5 W. |
| 850131 | DC MOTORS NESOI AND GENERATORS OF AN OUTPUT NOT EXCEEDING 750 W. |
| 850133 | DC MOTORS NESOI AND GENERATORS OF AN OUTPUT EXCEEDING 75 KW BUT NOT EXCEEDING 375 KW. |
| 850153 | AC MOTORS NESOI, MULTI-PHASE, OF AN OUTPUT EXCEEDING 75 KW. |
| 850161 | AC GENERATORS (ALTERNATORS), OF AN OUTPUT NOT EXCEEDING 75 KVA. |
| 850162 | AC GENERATORS (ALTERNATORS), OF AN OUTPUT EXCEEDING 75 KVA BUT NOT EXCEEDING 375 KVA. |
| 850163 | AC GENERATORS (ALTERNATORS), OF AN OUTPUT EXCEEDING 375 KVA BUT NOT EXCEEDING 750 KVA. |
| 850164 | AC GENERATORS (ALTERNATORS), OF AN OUTPUT EXCEEDING 750 KVA. |
| 850211 | GENERATING SETS WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON (DIESEL OR SEMI-DIESEL) ENGINES, OF AN OUTPUT NOT EXCEEDING 75 KVA. |
| 850212 | GENERATING SETS WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON (DIESEL ETC.) ENGINES, OF AN OUTPUT EXCEEDING 75 KVA NOT EXCEEDING 375 KVA. |
| 850213 | GENERATING SETS WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON (DIESEL OR SEMI-DIESEL) ENGINES, OF AN OUTPUT EXCEEDING 375 KVA. |
| 850220 | GENERATING SETS WITH SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES. |
| 850231 | GENERATING SETS, ELECTRIC, WIND-POWERED. |
| 850239 | GENERATING SETS, ELECTRIC, NESOI. |
| 850240 | ELECTRIC ROTARY CONVERTERS. |
| 850300 | PARTS OF ELECTRIC MOTORS, GENERATORS, GENERATING SETS AND ROTARY CONVERTERS. |
| 850432 | ELECTRICAL TRANSFORMERS NESOI, HAVING A POWER HANDING CAPACITY EXCEEDING 1 KVA BUT NOT EXCEEDING 16 KVA. |
| 850433 | ELECTRICAL TRANSFORMERS NESOI, HAVING A POWER HANDING CAPACITY EXCEEDING 16 KVA BUT NOT EXCEEDING 500 KVA. |
| 850434 | ELECTRICAL TRANSFORMERS NESOI, HAVING A POWER HANDLING CAPACITY EXCEEDING 500 KVA. |
| 850511 | PERMANENT MAGNETS AND ARTICLES INTENDED TO BECOME PERMANENT MAGNETS AFTER MAGNETIZATION, MADE OF METAL. |
| 850520 | ELECTROMAGNETIC COUPLINGS, CLUTCHES AND BRAKES. |
| 850590 | ELECTROMAGNETS; ELECTROMAGNETIC OR PERMANENT MAGNET CHUCKS, CLAMPS AND SIMILAR HOLDING DEVICES; AND PARTS OF ELECTROMAGNETIC ARTICLES, NESOI. |
| 850660 | PRIMARY CELLS AND PRIMARY BATTERIES, AIR-ZINC. |
| 850690 | PARTS OF PRIMARY CELLS AND PRIMARY BATTERIES. |
| 850710 | LEAD-ACID STORAGE BATTERIES OF A KIND USED FOR STARTING PISTON ENGINES. |
| 850720 | LEAD-ACID STORAGE BATTERIES NESOI. |
| 850730 | NICKEL-CADMIUM STORAGE BATTERIES. |
| 851110 | INTERNAL COMBUSTION ENGINE SPARK PLUGS. |
| 851120 | INTERNAL COMBUSTION ENGINE IGNITION MAGNETOS, MAGNETO-DYNAMOS AND MAGNETIC FLYWHEELS. |
| 851130 | INTERNAL COMBUSTION ENGINE DISTRIBUTORS AND IGNITION COILS. |
| 851140 | INTERNAL COMBUSTION ENGINE STARTER MOTORS AND DUAL PURPOSE STARTER-GENERATORS. |
| 851150 | INTERNAL COMBUSTION ENGINE GENERATORS, NESOI. |
| 851180 | ELECTRICAL IGNITION OR STARTING EQUIPMENT USED FOR INTERNAL COMBUSTION ENGINES, NESOI, AND EQUIPMENT USED IN CONJUNCTION WITH SUCH ENGINES, NESOI. |
| 851190 | PARTS FOR ELECTRICAL IGNITION OR STARTING EQUIPMENT USED FOR INTERNAL COMBUSTION ENGINES; PARTS FOR GENERATORS AND CUT-OUTS USED WITH SUCH EQUIPMENT. |
| 851220 | ELECTRICAL LIGHTING OR VISUAL SIGNALING EQUIPMENT, FOR USE ON CYCLES OR MOTOR VEHICLES, EXCEPT FOR USE ON BICYCLES. |
| 851290 | PARTS OF ELECTRICAL LIGHTING OR SIGNALING EQUIPMENT, WINDSHIELD WIPERS, DEFROSTERS AND DEMISTERS, USED FOR CYCLES OR MOTOR VEHICLES. |
| 851411 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, RESISTANCE TYPE. |
| 851419 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, RESISTANCE TYPE. |
| 851420 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, INDUCTION OR DIELECTRIC TYPE. |
| 851431 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, NESOI. |
| 851432 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, NESOI. |
| 851439 | INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS, NESOI. |
| 851490 | PARTS FOR INDUSTRIAL OR LABORATORY ELECTRIC FURNACES AND OVENS; PARTS FOR INDUSTRIAL OR LABORATORY INDUCTION OR DIELECTRIC HEATING EQUIPMENT, NESOI. |
| 851511 | ELECTRIC SOLDERING IRONS AND GUNS. |
| 851519 | ELECTRIC BRAZING OR SOLDERING MACHINES OR APPARTAUS, NESOI. |
| 851521 | ELECTRIC MACHINES AND APPARATUS FOR RESISTANCE WELDING OF METAL, FULLY OR PARTY AUTOMATIC. |
| 851529 | ELECTRIC MACHINES AND APPARATUS FOR RESISTANCE WELDING OF METAL, OTHER THAN FULLY OR PARTLY AUTOMATIC. |
| 851621 | ELECTRIC STORAGE HEATING RADIATORS. |
| 851680 | ELECTRIC HEATING RESISTORS. |
| 851771 | PARTS OF TELEPHONE SETS AND OTHER APPARATUS FOR THE TRANSMISSION OR RECEPTION OF VOICE, IMAGES OR OTHER DATA. |
| 851779 | PARTS OF TELEPHONE SETS AND OTHER APPARATUS FOR THE TRANSMISSION OR RECEPTION OF VOICE, IMAGES OR OTHER DATA. |
| 852351 | SOLID-STATE NON-VOLATILE SEMICONDUCTOR STORAGE DEVICES. |
| 852550 | TRANSMISSION APPARATUS FOR RADIO-BROADCASTING OR TELEVISION. |
| 852581 | TELEVISION CAMERAS, DIGITAL CAMERAS AND VIDEO CAMERA RECORDERS. |
| 852582 | TELEVISION CAMERAS, DIGITAL CAMERAS AND VIDEO CAMERA RECORDERS. |
| 852583 | TELEVISION CAMERAS, DIGITAL CAMERAS AND VIDEO CAMERA RECORDERS. |
| 852589 | TELEVISION CAMERAS, DIGITAL CAMERAS AND VIDEO CAMERA RECORDERS. |
| 852610 | RADAR APPARATUS. |
| 852692 | RADIO REMOTE CONTROL APPARATUS. |
| 852721 | RADIOBROADCAST RECEIVERS FOR MOTOR VEHICLES, COMBINED WITH SOUND RECORDING OR REPRODUCING APPARATUS, NOT CAPABLE OF OPERATING WITHOUT OUTSIDE POWER. |
| 852849 | CATHODE-RAY TUBE MONITORS, NOT INCORPORATING TELEVISION RECEPTION APPARATUS, NESOI. |
| 852910 | ANTENNAS AND ANTENNA REFLECTORS AND PARTS THEREOF. |
| 853010 | ELECTRICAL SIGNALING, SAFETY OR TRAFFIC CONTROL EQUIPMENT FOR RAILWAYS, STREETCAR LINES OR SUBWAYS. |
| 853080 | ELECTRICAL SIGNALING, SAFETY OR TRAFFIC CONTROL EQUIPMENT FOR ROADS, INLAND WATERWAYS, PARKING FACILITIES, PORT INSTALLATIONS OR AIRFIELDS. |
| 853090 | PARTS FOR ELECTRICAL SIGNALING, SAFETY OR TRAFFIC CONTROL EQUIPMENT FOR RAIL LINES, ROADS, WATERWAYS, PARKING AREAS, PORT INSTALLATIONS OR AIRFIELDS. |
| 853210 | FIXED CAPACITORS, DESIGNED FOR USE IN 50/60 HZ CIRCUITS, WITH REACTIVE POWER CAPACITY NOT LESS THAN 0.5 KVAR (POWER CAPACITORS). |
| 853221 | TANTALUM CAPACITORS. |
| 853224 | FIXED CAPACITORS NESOI, MULTILAYER CERAMIC DIELECTRIC. |
| 853229 | FIXED CAPACITORS, NESOI. |
| 853230 | VARIABLE OR ADJUSTABLE (PRE-SET) CAPACITORS. |
| 853290 | PARTS FOR ELECTRICAL CAPACITORS. |
| 853329 | FIXED RESISTORS, NESOI, FOR A POWER HANDLING CAPACITY EXCEEDING 20 W. |
| 853390 | PARTS FOR ELECTRICAL RESISTORS, INCLUDING PARTS FOR RHEOSTATS AND POTENTIOMETERS. |
| 853400 | PRINTED CIRCUITS. |
| 853510 | FUSES FOR ELECTRICAL APPARATUS FOR A VOLTAGE EXCEEDING 1,000 V. |
| 853521 | AUTOMATIC CIRCUIT BREAKERS FOR A VOLTAGE EXCEEDING 1,000 V BUT LESS THAN 72.5 KV. |
| 853529 | AUTOMATIC CIRCUIT BREAKERS FOR A VOLTAGE OF 72.5 KV OR MORE. |
| 853530 | ISOLATING SWITCHES AND MAKE-AND-BREAK SWITCHES FOR A VOLTAGE EXCEEDING 1,000 V. |
| 853540 | LIGHTNING ARRESTERS, VOLTAGE LIMITERS, AND SURGE SUPPRESSORS FOR A VOLTAGE EXCEEDING 1,000 V. |
| 853590 | ELECTRICAL APPARATUS FOR SWITCHING, PROTECTING OR MAKING CONNECTIONS TO OR IN ELECTRICAL CIRCUITS, FOR A VOLTAGE EXCEEDING 1,000 V, NESOI. |
| 853650 | ELECTRICAL SWITCHES FOR A VOLTAGE NOT EXCEEDING 1,000 V, NESOI. |
| 853669 | ELECTRICAL PLUGS AND SOCKETS FOR A VOLTAGE NOT EXCEEDING 1,000 V. |
| 853690 | ELECTRICAL APPARATUS FOR SWITCHING, PROTECTING OR MAKING CONNECTIONS TO OR IN ELECTRICAL CIRCUITS, FOR A VOLTAGE NOT EXCEEDING 1,000 V, NESOI. |
| 853710 | BOARDS, PANELS, CONSOLES, ETC. WITH ELECTRICAL APPARATUS, FOR ELECTRIC CONTROL OR DISTRIBUTION OF ELECTRICITY, FOR A VOLTAGE NOT EXCEEDING 1,000 V. |
| 853810 | BOARDS, PANELS, CONSOLES, DESKS, CABINETS, AND OTHER BASES FOR ELECTRIC CONTROL ETC. EQUIPMENT, NOT EQUIPPED WITH ELECTRICAL APPARATUS. |
| 853890 | PARTS FOR ELECTRICAL APPARATUS FOR ELECTRICAL CIRCUITS, BOARDS, PANELS ETC. FOR ELECTRIC CONTROL OR DISTRIBUTION OF ELECTRICITY, NESOI. |
| 853929 | ELECTRIC FILAMENT LAMPS, NESOI. |
| 853939 | ELECTRIC DISCHARGE LAMPS (OTHER THAN ULTRAVIOLET OR FLUORESCENT, HOT CATHODE LAMPS), NESOI. |
| 853941 | ARC LAMPS. |
| 853951 | ELECTRIC LAMPS AND LIGHTING FITTINGS, NESOI. |
| 853952 | LIGHT-EMITTING DIODE (LED) LAMPS. |
| 854020 | TELEVISION CAMERA TUBES; IMAGE CONVERTERS AND INTENSIFIERS; OTHER PHOTOCATHODE TUBES. |
| 854060 | CATHODE-RAY TUBES, N.E.S.O.I. |
| 854071 | MAGNETRON MICROWAVE TUBES. |
| 854079 | MICROWAVE TUBES, NESOI. |
| 854081 | RECEIVER OR AMPLIFIER TUBES. |
| 854089 | THERMIONIC AND OTHER CATHODE TUBES, NESOI. |
| 854091 | PARTS OF CATHODE-RAY TUBES. |
| 854099 | PARTS OF CATHODE TUBES, NESOI. |
| 854110 | DIODES, OTHER THAN PHOTOSENSITIVE OR LIGHT-EMITTING DIODES. |
| 854121 | TRANSISTORS, OTHER THAN PHOTOSENSITIVE, WITH A DISSIPATION RATE OF LESS THAN 1 W. |
| 854129 | TRANSISTORS, OTHER THAN PHOTOSENSITIVE, NESOI. |
| 854130 | THYRISTORS, DIACS AND TRIACS, OTHER THAN PHOTOSENSITIVE DEVICES. |
| 854141 | PHOTOSENSITIVE SEMICONDUCTOR DEVICES, INCLUDING PHOTOVOLTAIC CELLS; LIGHT-EMITTING DIODES. |
| 854142 | PHOTOSENSITIVE SEMICONDUCTOR DEVICES, INCLUDING PHOTOVOLTAIC CELLS; LIGHT-EMITTING DIODES. |
| 854143 | PHOTOSENSITIVE SEMICONDUCTOR DEVICES, INCLUDING PHOTOVOLTAIC CELLS; LIGHT-EMITTING DIODES. |
| 854149 | PHOTOSENSITIVE SEMICONDUCTOR DEVICES, INCLUDING PHOTOVOLTAIC CELLS; LIGHT-EMITTING DIODES. |
| 854151 | SEMICONDUCTOR DEVICES, EXCEPT PHOTOSENSITIVE AND PHOTOVOLTAIC CELLS, NESOI. |
| 854159 | SEMICONDUCTOR DEVICES, EXCEPT PHOTOSENSITIVE AND PHOTOVOLTAIC CELLS, NESOI. |
| 854160 | MOUNTED PIEZOELECTRIC CRYSTALS. |
| 854190 | PARTS FOR DIODES, TRANSISTORS AND SIMILAR SEMICONDUCTOR DEVICES; PARTS FOR PHOTOSENSITIVE SEMICONDUCTOR DEVICES AND MOUNTED PIEZOELECTRIC CRYSTALS. |
| 854231 | PROCESSORS AND CONTROLLERS, ELECTRONIC INTEGRATED CIRCUITS. |
| 854232 | MEMORIES, ELECTRONIC INTEGRATED CIRCUITS. |
| 854233 | AMPLIFIERS, ELECTRONIC INTEGRATED CIRCUITS. |
| 854239 | ELECTRONIC INTEGRATED CIRCUITS, NESOI. |
| 854290 | PARTS FOR ELECTRONIC INTEGRATED CIRCUITS AND MICROASSEMBLIES. |
| 854310 | PARTICLE ACCELERATORS. |
| 854320 | ELECTRICAL SIGNAL GENERATORS. |
| 854330 | ELECTRICAL MACHINES AND APPARATUS FOR ELECTROPLATING, ELECTROLYSIS OR ELECTROPHORESIS. |
| 854370 | ELECTRICAL MACHINES AND APPARATUS, HAVING INDIVIDUAL FUNCTIONS, NESOI. |
| 854411 | INSULATED WINDING WIRE OF COPPER. |
| 854430 | INSULATED IGNITION WIRING SETS AND OTHER WIRING SETS FOR VEHICLES, AIRCRAFT AND SHIPS. |
| 854449 | INSULATED ELECTRIC CONDUCTORS, FOR A VOLTAGE NOT EXCEEDING 80 V, NOT FITTED WITH CONNECTORS. |
| 854460 | INSULATED ELECTRIC CONDUCTORS, FOR A VOLTAGE EXCEEDING 1,000 V. |
| 854470 | INSULATED OPTICAL FIBER CABLES, MADE UP OF INDIVIDUALLY SHEATHED FIBERS. |
| 854520 | ELECTRICAL CARBON OR GRAPHITE BRUSHES. |
| 854710 | INSULATING FITTINGS OF CERAMICS, FOR ELECTRICAL MACHINES OR APPLIANCES. |
| 854720 | INSULATING FITTINGS OF PLASTICS, FOR ELECTRICAL MACHINES OR APPLIANCES. |
| 854790 | INSULATING FITTINGS NESOI, FOR ELECTRICAL MACHINES OR APPLIANCES; ELECTRICAL CONDUIT TUBING AND JOINTS, OF BASE METAL LINED WITH INSULATING MATERIAL. |
| 854800 | ELECTRICAL PARTS OF MACHINERY OR APPARATUS, NESOI. |
| 854911 | WASTE AND SCRAP OF PRIMARY CELLS, PRIMARY BATTERIES AND ELECTRIC STORAGE BATTERIES; SPENT PRIMARY CELLS, SPENT PRIMARY AND ELECTRIC STORAGE BATTERIES. |
| 854912 | WASTE AND SCRAP OF PRIMARY CELLS, PRIMARY BATTERIES AND ELECTRIC STORAGE BATTERIES; SPENT PRIMARY CELLS, SPENT PRIMARY AND ELECTRIC STORAGE BATTERIES. |
| 854913 | WASTE AND SCRAP OF PRIMARY CELLS, PRIMARY BATTERIES AND ELECTRIC STORAGE BATTERIES; SPENT PRIMARY CELLS, SPENT PRIMARY AND ELECTRIC STORAGE BATTERIES. |
| 854914 | WASTE AND SCRAP OF PRIMARY CELLS, PRIMARY BATTERIES AND ELECTRIC STORAGE BATTERIES; SPENT PRIMARY CELLS, SPENT PRIMARY AND ELECTRIC STORAGE BATTERIES. |
| 854919 | WASTE AND SCRAP OF PRIMARY CELLS, PRIMARY BATTERIES AND ELECTRIC STORAGE BATTERIES; SPENT PRIMARY CELLS, SPENT PRIMARY AND ELECTRIC STORAGE BATTERIES. |
| 854921 | MUNICIPAL WASTE. |
| 854929 | WASTE AS SPECIFIED IN CHAPTER 38 NOTES, NESOI. |
| 854931 | CULLET AND OTHER WASTE AND SCRAP OF GLASS; GLASS IN THE MASS. |
| 854939 | WASTE AND SCRAP OF PRECIOUS METAL, NESOI. |
| 854991 | CULLET AND OTHER WASTE AND SCRAP OF GLASS; GLASS IN THE MASS. |
| 854999 | WASTE AND SCRAP OF PRECIOUS METAL, NESOI. |
| 860110 | RAIL LOCOMOTIVES POWERED FROM AN EXTERNAL SOURCE OF ELECTRICITY. |
| 860290 | RAIL LOCOMOTIVES, NESOI; LOCOMOTIVE TENDERS. |
| 860400 | RAILWAY OR TRAMWAY MAINTENANCE OR SERVICE VEHICLES, WHETHER OR NOT SELF-PROPELLED (FOR EXAMPLE, WORKSHOPS, CRANES, BALLAST TAMPERS, TRACKLINERS, ETC.). |
| 860692 | RAILWAY OR TRAMWAY FREIGHT CARS, OPEN, WITH NON-REMOVABLE SIDES OF A HEIGHT EXCEEDING 60 CM, NOT SELF-PROPELLED, NESOI. |
| 870310 | PASSENGER MOTOR VEHICLES SPECIALLY DESIGNEED FOR TRAVELING ON SNOW; GOLF CARTS AND SIMILAR VEHICLES. |
| 870410 | DUMPERS (DUMP TRUCKS) DESIGNED FOR OFF-HIGHWAY USE. |
| 870421 | MOTOR VEHICLES FOR GOODS TRANSPORT NESOI, WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINE (DIESEL), GVW NOT OVER 5 METRIC TONS. |
| 870422 | MOTOR VEHICLES FOR GOODS TRANSPORT NESOI, WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINE (DIESEL), GVW OVER 5 BUT NOT OVER 20 METRIC TONS. |
| 870423 | MOTOR VEHICLES FOR GOODS TRANSPORT NESOI, WITH COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINE (DIESEL), GVW OVER 20 METRIC TONS. |
| 870432 | MOTOR VEHICLES FOR GOODS TRANSPORT NESOI, WITH SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINE, GVW OVER 5 METRIC TONS. |
| 870510 | MOBILE CRANES. |
| 870540 | CONCRETE MIXERS, SPECIAL PURPOSE VEHICLES. |
| 870590 | SPECIAL PURPOSE VEHICLES, OTHER THAN THOSE PRINCIPALLY DESIGNED FOR THE TRANSPORT OF PERSONS OR GOODS, NESOI. |
| 870911 | WORKS TRUCKS (NOT LIFTING OR HANDLING) USED IN FACTORIES ETC. AND TRACTORS USED ON RAILWAY STATION PLATFORMS, ELECTRICAL. |
| 870990 | PARTS FOR WORKS TRUCKS (NOT LIFTING OR HANDLING) USED IN FACTORIES ETC. AND PARTS OF TRACTORS OF THE TYPE USED ON RAILWAY STATION PLATFORMS. |
| 871620 | SELF-LOADING OR SELF-UNLOADING TRAILERS AND SEMI-TRAILERS FOR AGRICULTURAL PURPOSES. |
| 871639 | TRAILERS AND SEMI-TRAILERS FOR THE TRANSPORT OF GOODS, NESOI. |
| 871690 | PARTS OF TRAILERS, SEMI-TRAILERS AND OTHER VEHICLES, NOT MECHANICALLY PROPELLED. |
| 900110 | OPTICAL FIBERS, OPTICAL FIBER BUNDLES AND CABLES, OTHER THAN OPTICAL FIBER CABLES MADE UP OF INDIVIDUALLY SHEATHED FIBERS. |
| 900510 | BINOCULARS. |
| 900580 | MONOCULARS, OTHER OPTICAL TELESCOPES AND MOUNTINGS; OTHER ASTRONOMICAL INSTRUMENTS AND MOUNTINGS, EXCLUDING INSTRUMENTS FOR RADIO-ASTRONOMY. |
| 900590 | PARTS AND ACCESSORIES (INCLUDING MOUNTINGS) OF BINOCULARS, MONOCULARS, OTHEROTHER OPTICAL TELECOPES AND ASTRONOMICAL INSTRUMENTS NESOI. |
| 900630 | CAMERAS DESIGNED FOR UNDERWATER USE, FOR AERIAL SURVEY, OR MEDICAL/SURGICAL EXAMINATION OF INTERNAL ORGANS; CAMERAS FOR FORENSIC OR CRIMINOLOGICAL USE. |
| 900640 | INSTANT PRINT CAMERAS. |
| 900653 | CAMERAS (STILL) NESOI, FOR ROLL FILM OF A WIDTH OF 35 MM (1.4 INCH). |
| 900659 | PHOTOGRAPHIC CAMERAS (OTHER THAN CINEMATOGRAPHIC), NESOI. |
| 900661 | PHOTOGRAPHIC DISCHARGE LAMP (ELECTRONIC) FLASHLIGHT APPARATUS. |
| 900669 | PHOTOGRAPHIC FLASHLIGHT APPARATUS, NESOI. |
| 900691 | PARTS AND ACCESSORIES FOR PHOTOGRAPHIC (OTHER THAN CINEMATOGRAPHIC) CAMERAS. |
| 900699 | PARTS AND ACCESSORIES FOR PHOTOGRAPHIC FLASHLIGHT APPARATUS AND FLASHBULBS, NESOI. |
| 901010 | PHOTOGRAPHIC EQUIPMENT FOR THE AUTOMATIC DEVELOPMENT OF FILM OR PAPER IN ROLLS OR AUTOMATICALLY EXPOSING DEVELOPED FILM TO ROLLS OF PHOTOGRAPHIC PAPER. |
| 901380 | OPTICAL DEVICES, APPLIANCES AND INSTRUMENTS, NESOI. |
| 901410 | DIRECTION FINDING COMPASSES. |
| 901420 | INSTRUMENTS AND APPLIANCES FOR AERONAUTICAL OR SPACE NAVIGATION (OTHER THAN COMPASSES). |
| 901480 | NAVIGATIONAL INSTRUMENTS AND APPLIANCES, NESOI. |
| 901490 | PARTS AND ACCESSORIES FOR DIRECTION FINDING COMPASSES AND OTHER NAVIGATIONAL INSTRUMENTS AND APPLIANCES. |
| 901510 | RANGEFINDERS. |
| 901520 | THEODOLITES AND TACHYOMETERS. |
| 901540 | PHOTOGRAMMETRICAL SURVEYING INSTRUMENTS AND APPLIANCES. |
| 901580 | SURVEYING INSTRUMENTS AND APPLIANCES, NESOI, HYDROGRAPHIC, OCEANOGRAPHIC, HYDROLOGICAL, METEOROLOGICAL OR GEOPHYSICAL INSTRUMENTS AND APPLIANCES NESOI. |
| 901590 | PARTS ETC. FOR RANGEFINDERS AND SURVEYING, HYDROGRAPHIC, OCEAN OGRAPHIC, HYDROLOGICAL, METEOROLOGICAL OR GEOPHYSICAL INSTRUMENTS AND APPLIANCES NESOI. |
| 902480 | MACHINES AND APPLIANCES NESOI FOR TESTING THE HARDNESS, STRENGTH, COMPRESSIBILITY, ELASTICITY OR OTHER SPECIFIC PROPERTIES OF MATERIALS. |
| 902519 | THERMOMETERS AND PYROMETERS, NOT COMBINED WITH OTHER INSTRUMENTS, NESOI. |
| 902590 | PARTS AND ACCESSORIES FOR HYDROMETERS AND SIMILAR FLOATING INSTRUMENTS, THERMOMETERS, PYROMETERS, BAROMETERS, HYGROMETERS AND PSYCHROMETERS. |
| 902610 | INSTRUMENTS AND APPARATUS FOR MEASURING OR CHECKING THE FLOW OR LEVEL OF LIQUIDS, NESOI. |
| 902620 | INSTRUMENTS AND APPARATUS FOR MEASURING OR CHECKING PRESSURE OF LIQUIDS OR GASES, NESOI. |
| 902680 | INSTRUMENTS AND APPARATUS FOR MEASURING OR CHECKING OTHER VARIABLES OF LIQUIDS OR GASES, NESOI. |
| 902690 | PARTS AND ACCESSORIES FOR INSTRUMENTS AND APPARATUS FOR MEASURING OR CHECKING THE FLOW, LEVEL, PRESSURE OR OTHER VARIABLES OF LIQUIDS OR GASES, NESOI. |
| 902710 | GAS OR SMOKE ANALYSIS APPARATUS. |
| 902781 | INSTRUMENTS AND APPARATUS FOR PHYSICAL OR CHEMICAL ANALYSIS, NESOI. |
| 902789 | INSTRUMENTS AND APPARATUS FOR PHYSICAL OR CHEMICAL ANALYSIS, NESOI. |
| 902910 | REVOLUTION COUNTERS, PRODUCTION COUNTERS, TAXIMETERS, ODOMETERS, PEDOMETERS AND THE LIKE. |
| 902920 | SPEEDOMETERS AND TACHOMETERS; STROBOSCOPES. |
| 902990 | PARTS AND ACCESSORIES FOR REVOLUTION COUNTERS, PRODUCTION COUNTERS, TAXIMETERS, ODOMETERS, PEDOMETERS ETC., SPEEDOMETERS, TACHOMETERS AND STROBOSOPES. |
| 903032 | MULTIMETERS WITH A RECORDING DEVICE. |
| 903039 | INSTRUMENTS AND APPARATUS FOR MEASURING OR CHECKING VOLTAGE, CURRENT, RESISTANCE OR POWER, WITHOUT A RECORDING DEVICE (EXCLUDING MULTIMETERS), NESOI. |
| 903040 | INSTRUMENTS AND APPARATUS NESOI, SPECIALLY DESIGNED FOR TELECOMMUNICATIONS (FOR EXAMPLE, CROSS-TALK METERS, GAIN MEASURING INSTRUMENTS ETC.). |
| 903082 | INST & APP W/A RECORDING DEVICE DESIGNED TO CHECK OR MEASURE SEMICONDUCTOR WAFERS & DEVICES (SUCH AS PROBE TESTERS, RESISTIVITY CHECKERS, LOGIC ANALYZERS. |
| 903089 | INSTRUMENTS AND APPARATUS NESOI, WITHOUT A RECORDING DEVICE FOR MEASURING OR CHECKING ELECTRICAL QUANTITIES. |
| 903120 | TEST BENCHES. |
| 903149 | MEASURING OR CHECKING INSTRUMENTS, APPLIANCES AND MACHINES, N.E.S.O.I. |
| 903180 | MEASURING OR CHECKING INSTRUMENTS, APPLIANCES AND MACHINES, NESOI. |
| 903281 | HYDRAULIC OR PNEUMATIC AUTOMATIC REGULATING OR CONTROLLING INSTRUMENTS AND APPARATUS. |
| 903289 | AUTOMATIC REGULATING OR CONTROLLING INSTRUMENTS AND APPARATUS (EXCLUDING THERMOSTATS, MANOSTATS AND HYDRAULIC TYPES), NESOI. |
Supplement No. 5 to Part 746 – ‘Luxury Goods’ Sanctions for Russia and Belarus Pursuant to § 746.10(a )(1) and (2)
The source for the Schedule B numbers and descriptions in this list is the Bureau of the Census’s Schedule B concordance of exports 2022. Census’s Schedule B List 2022 can be found at www.census.gov/foreign-trade/aes/documentlibrary/#concordance. The Introduction Chapter of the Schedule B provides important information about classifying products and interpretations of the Schedule B, e.g., NESOI means Not Elsewhere Specified or Included. In addition, important information about products within a particular chapter may be found at the beginning of chapters. This supplement includes three columns consisting of the Schedule B, 2-Digit Chapter Heading, and 10-Digit Commodity Description and Per Unit Wholesale Price in the U.S. if applicable to assist exporters, reexporters, and transferors in identifying the products in this supplement. For purposes of § 746.10(a)(1) and (2), a ‘luxury good’ means any item that is identified in this supplement. Schedule B number 8412294000 is listed in both this supplement and supplement no. 4 to this part, so exporters, reexporters, and transferors must comply with the license requirements under both §§ 746.5(a)(1)(ii) and 746.10 as applicable.
| Schedule B | 2-digit chapter heading | 10-digit commodity description and per unit wholesale price in the U.S. if applicable |
|---|---|---|
| 2203000000 | Beverages, spirits and vinegar | BEER MADE FROM MALT. |
| 2204100000 | Beverages, spirits and vinegar | SPARKLING WINE OF FRESH GRAPES. |
| 2204212000 | Beverages, spirits and vinegar | EFFERVESCENT WINE OF FRSH GRAPE IN CNTR 2L OR LESS. |
| 2204214000 | Beverages, spirits and vinegar | GRAPE WINE NESOI NOV 14% ALCOHOL CNTRS 2L OR LESS. |
| 2204217000 | Beverages, spirits and vinegar | GRAPE WINE NESOI OVER 14% ALCOHOL CNTRS 2L OR LESS. |
| 2204220020 | Beverages, spirits and vinegar | GRAPE WINE NESOI NOV 14% ALCOHOL CNTRS > 2 |
| 2204220040 | Beverages, spirits and vinegar | GRAPE WINE NESOI OVER 14% ALCOHOL CNTRS > 2 |
| 2204290120 | Beverages, spirits and vinegar | GRAPE WINE NESOI NOV 14% ALCOHOL CNTRS OV 10 L. |
| 2204290140 | Beverages, spirits and vinegar | GRAPE WINE NESOI OVER 14% ALCOHOL CNTRS OV 10 L. |
| 2204300000 | Beverages, spirits and vinegar | GRAPE MUST FERMNTATN PREV/ARRSTD BY ALCOH, EX 2009. |
| 2205100000 | Beverages, spirits and vinegar | VERMOUTH/GRPE WINE FLAVRD WTH PLANTS ETC CTR LE 2L. |
| 2205900000 | Beverages, spirits and vinegar | VERMOUTH/GRAPE WINE FLAVORED WTH PLANTS ETC OV 2LS. |
| 2206001500 | Beverages, spirits and vinegar | CIDER, WHETHER STILL OR SPARKLING. |
| 2206007000 | Beverages, spirits and vinegar | FERMENTED BEVERAGES, NESOI. |
| 2207103000 | Beverages, spirits and vinegar | ETHYL ALCOHOL UNDENATURED 80%/HIGHER, FOR BEVERAGE. |
| 2208200000 | Beverages, spirits and vinegar | GRAPE BRANDY. |
| 2208306020 | Beverages, spirits and vinegar | WHISKIES, BOURBON, CONTAINERS NOT OVER 4 LITERS EA. |
| 2208306040 | Beverages, spirits and vinegar | WHISKIES, BOURBON, CONTAINERS OVER 4 LITERS EACH. |
| 2208309025 | Beverages, spirits and vinegar | RYE WHISKIES EX BOURBON, IN CONTAINERS NT OVER 4L. |
| 2208309030 | Beverages, spirits and vinegar | WHISKIES EX BOURBON, IN CONTAINERS NT OV 4L, NESOI. |
| 2208309040 | Beverages, spirits and vinegar | WHISKIES EX BOURBON, CONTAINERS OVER 4 LITERS. |
| 2208400030 | Beverages, spirits and vinegar | RUM AND TAFIA, CONTAINERS NOT OVER 4 LITERS EACH. |
| 2208400050 | Beverages, spirits and vinegar | RUM AND TAFIA, CONTAINERS OVER 4 LITERS. |
| 2208500000 | Beverages, spirits and vinegar | GIN AND GENEVA. |
| 2208600000 | Beverages, spirits and vinegar | VODKA. |
| 2208700000 | Beverages, spirits and vinegar | LIQUEURS AND CORDIALS. |
| 2208904600 | Beverages, spirits and vinegar | KIRSCHWASSER AND RATAFIA. |
| 2208905100 | Beverages, spirits and vinegar | TEQUILA. |
| 2208909002 | Beverages, spirits and vinegar | OTHER SPIRITUOUS BEVERAGES, NESOI. |
| 2401102020 | Tobacco and manufactured tobacco substitutes | CONN. SHADE TOBACCO, NOT STEM/STRIP OV 35% WRAPPER. |
| 2401102040 | Tobacco and manufactured tobacco substitutes | TOBACCO NOT STEM/STRIP OVER 35% WRAPPER TOB, NESOI. |
| 2401105130 | Tobacco and manufactured tobacco substitutes | FLUE-CURED CIG LEAF TOB NT STEM/STRIP LT 35% WRPPR. |
| 2401105160 | Tobacco and manufactured tobacco substitutes | BURLEY CIG LEAF TOBACCO NT STEM/STRIP LT 35% WRPPR. |
| 2401105180 | Tobacco and manufactured tobacco substitutes | MARYLAND CIG LEAF TOB NOT STEM/STRIP LT 35% WRPPR. |
| 2401105195 | Tobacco and manufactured tobacco substitutes | OTHER CIG LEAF TOB NOT STEM/STRIP LT 35% WRAPPER. |
| 2401105340 | Tobacco and manufactured tobacco substitutes | CIGAR BINDER TOBACCO, NOT STEM/STRIP LT 35% WRAPPR. |
| 2401108010 | Tobacco and manufactured tobacco substitutes | DARK-FIRED KY/TENN TOB NOT STEM/STRIP LT 35% WRPPR. |
| 2401108020 | Tobacco and manufactured tobacco substitutes | VA FIRE/SUN-CURED TOB, NOT STEM/STRIP LT 35% WRPPR. |
| 2401109530 | Tobacco and manufactured tobacco substitutes | BLACKFAT TOBACCO, NT STEM/STRIP LT 35% WRAPPER TOB. |
| 2401109570 | Tobacco and manufactured tobacco substitutes | TOBACCO NESOI NOT STEM/STRIP, LESS THAN 35% WRPPR. |
| 2401202020 | Tobacco and manufactured tobacco substitutes | CONN SHADE TOB STEM/STRIP NT THRESHED OV 35% WRPPR. |
| 2401202040 | Tobacco and manufactured tobacco substitutes | TOBACCO NESOI STEM/STRIP NOT THRESHED OV 35% WRPPR. |
| 2401202810 | Tobacco and manufactured tobacco substitutes | FLUE-CURED TOB STEM/STRIP NT THRESHED LT 35% WRPPR. |
| 2401202820 | Tobacco and manufactured tobacco substitutes | BURLEY TOB STEM/STRIP NOT THRESHED LT 35% WRAPPER. |
| 2401202830 | Tobacco and manufactured tobacco substitutes | MARYLAND TOB STEM/STRIP NOT THRESHED LT 35% WRPPR. |
| 2401202970 | Tobacco and manufactured tobacco substitutes | CIGAR BIND TOB INC CIGAR LF NT THRESH LT 35% WRAPR. |
| 2401205040 | Tobacco and manufactured tobacco substitutes | DARK-FIRED KY/TENN TOB STEM/STRIP NT THRSH LT 35% WR. |
| 2401205050 | Tobacco and manufactured tobacco substitutes | VA FIRE/SUN-CURED TOB STEM/STRIP NT THRSH |
| 2401205560 | Tobacco and manufactured tobacco substitutes | BLACKFAT TOB STEM/STRIP NOT THRESHED LT 35% WRAPPR. |
| 2401205592 | Tobacco and manufactured tobacco substitutes | TOB NESOI STEM/STRIP, NOT THRESHED LT 35% WRPR TOB. |
| 2401206020 | Tobacco and manufactured tobacco substitutes | CONN SHADE TOB FROM CIGAR LEAF THRESHED STEM/STRIP. |
| 2401206040 | Tobacco and manufactured tobacco substitutes | TOBACCO NESOI FROM CIGAR LEAF, THRESHED STEM/STRIP. |
| 2401208005 | Tobacco and manufactured tobacco substitutes | CIGARETTE LEAF TOBACCO FLUE-CURED THRSH STEM/STRIP. |
| 2401208011 | Tobacco and manufactured tobacco substitutes | TOBACCO FLUE-CURED THRESHED STEMMED/STRIPPED NESOI. |
| 2401208015 | Tobacco and manufactured tobacco substitutes | CIGARETTE LEAF TOBACCO, BURLEY, THRESH, STEM/STRIP. |
| 2401208021 | Tobacco and manufactured tobacco substitutes | TOBACCO, BURLEY, THRESHED, STEMMED/STRIPPED, NESOI. |
| 2401208030 | Tobacco and manufactured tobacco substitutes | MARYLAND TOBACCO, THRESHED, STEMMED/STRIPPED. |
| 2401208040 | Tobacco and manufactured tobacco substitutes | DARK-FIRED KENTUCKY/TENN TOBACCO THRESH STEM/STRIP. |
| 2401208050 | Tobacco and manufactured tobacco substitutes | VA FIRE-CURED, SUN-CURED TOB THRESHED, STEM/STRIP. |
| 2401208090 | Tobacco and manufactured tobacco substitutes | TOBACCO, THRESHED, PARTLY/WHOLLY STEM/STRIP, NESOI. |
| 2401305000 | Tobacco and manufactured tobacco substitutes | TOBACCO STEMS. |
| 2401309000 | Tobacco and manufactured tobacco substitutes | TOBACCO REFUSE, NESOI. |
| 2402103030 | Tobacco and manufactured tobacco substitutes | SMALL CIGARS/CHEROOTS/CIGARILLOS W/TOB LT $.15 EA. |
| 2402107000 | Tobacco and manufactured tobacco substitutes | CIGAR/CHEROOT/CIGARILLO CONTAINING TOBACCO NESOI. |
| 2402200000 | Tobacco and manufactured tobacco substitutes | CIGARETTES CONTAINING TOBACCO. |
| 2402900000 | Tobacco and manufactured tobacco substitutes | CIGAR/CHEROOT/CIGARILLO/CIGS OF TOB SUBSTITS NESOI. |
| 2403110000 | Tobacco and manufactured tobacco substitutes | WATER PIPE TOBACCO. |
| 2403190020 | Tobacco and manufactured tobacco substitutes | PIPE TOBACCO, IN RETAIL-SIZED PACKAGES. |
| 2403190040 | Tobacco and manufactured tobacco substitutes | SMOKING TOBAC, EX/PIPE TOBAC, RETAIL-SIZED PKG, NES. |
| 2403190060 | Tobacco and manufactured tobacco substitutes | SMOKING TOBACCO, NESOI. |
| 2403910000 | Tobacco and manufactured tobacco substitutes | HOMOGENIZED OR RECONSTITUTED TOBACCO. |
| 2403990030 | Tobacco and manufactured tobacco substitutes | CHEWING TOBACCO. |
| 2403990040 | Tobacco and manufactured tobacco substitutes | SNUFF AND SNUFF FLOUR. |
| 2403990050 | Tobacco and manufactured tobacco substitutes | MFG TOBACCO, SUBSTITUES, FLUE-CURED. |
| 2403990065 | Tobacco and manufactured tobacco substitutes | PARTIALLY MANUFACTURED, BLENDED OR MIXED TOBACCO. |
| 2403990075 | Tobacco and manufactured tobacco substitutes | MFG TOBACCO & SUBSTITUTES, NESOI, INCL EXTRACTS & ESSENCES. |
| 2404110000 | Tobacco and manufactured tobacco substitutes | CONTAINING TOBACCO OR RECON TOBACDO, INTENDED FOR INHALATION W/O COMBUSTION. |
| 2404120000 | Tobacco and manufactured tobacco substitutes | CONTAINING NICOTINE, INTENDED FOR INHALATION W/O COMBUSTION. |
| 2404190000 | Tobacco and manufactured tobacco substitutes | PRODUCTS INTENDED FOR INHALATION, NESOI. |
| 2404910000 | Tobacco and manufactured tobacco substitutes | NICOTINE PRODUCTS FOR ORAL INTAKE INTO THE HUMAN BODY. |
| 2404920000 | Tobacco and manufactured tobacco substitutes | NICOTINE PRODUCTS INTENDED FOR TRANSDERMAL INTAKE INTO THE HUMAN BODY. |
| 2404990000 | Tobacco and manufactured tobacco substitutes | NICOTINE PRODUCTS INTENDED FOR INTAKE INTO THE HUMAN BODY, NESOI. |
| 3302900010 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | PERFUME OIL BLENDS, PROD USE FINISHED PERFUME BASE. |
| 3303000000 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | PERFUMES AND TOILET WATERS. |
| 3304100000 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | LIP MAKE-UP PREPARATIONS. |
| 3304200000 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | EYE MAKE-UP PREPARATIONS. |
| 3304910050 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | MAKE-UP POWDER, WHETHER/NT COMPRESSED, NESOI. |
| 3304995000 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | BEAUTY & SKIN CARE PREPARATION, NESOI. |
| 3307900000 | Essential oils and resinoids; perfumery, cosmetic or toilet preparations | PERFUMERY, COSMETIC OR TOILET PREPARATIONS, NESOI. |
| 3916902000 | Plastics and articles thereof | RACQUET STRINGS, OF PLASTIC. |
| 3926202500 | Plastics and articles thereof | GLOVES SPEC DESIGNED FOR USE IN SPORTS, PLASTIC. |
| 3926400000 | Plastics and articles thereof | STATUETTES & OTHER ORNAMENTAL ARTICLES, OF PLASTIC. |
| 3926903000 | Plastics and articles thereof | PARTS FOR YACHTS OR PLEASURE BOATS, ETC. |
| 4202110000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | TRUNKS, SUITCASES, ETC, SURFACE COMPS/PATENT LEATHER. |
| 4202120000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | TRUNKS, SUITCASES, ETC, SURFACE PLASTIC/TEXT MATERLS. |
| 4202190000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | TRUNKS, SUITCASES, VANITY CASES ETC, NESOI. |
| 4202210000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | HANDBAGS, SURFACE OF COMPOSITION/PATENT LEATHER. |
| 4202220000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | HANDBAGS, SURFACE OF PLASTIC SHEET/TEXT MATERIALS. |
| 4202290000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | HANDBAGS, NESOI. |
| 4202310000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | ARTICLES FOR POCKET OR HANDBAG, COMP/PATENT LEATHER. |
| 4202320000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | ARTICLES FOR POCKET/HANDBAG, PLASTIC/TEXT MATERIAL. |
| 4202390000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | ARTICLES FOR POCKET OR HANDBAG, NESOI. |
| 4202910010 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | GOLF BAGS, OUTER SURFACE LEATHER. |
| 4202910040 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | OTHER BAGS, OUTER SURFACE COMPS/PATENT LEATH, NESOI. |
| 4202990000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | CASES, BAGS & CONT, OTHER OF MATR/COVERINGS, NESOI. |
| 4203400000 | Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silkworm gut) | OTH CLOTHING ACCESSORIES, LEATHER/COMPOS LEATHER. |
| 4301100000 | Furskins and artificial fur; manufactures thereof | MINK FURSKINS, RAW, WHOLE. |
| 4301300000 | Furskins and artificial fur; manufactures thereof | ASTRAKHAN, INDIAN, ETC LAMB FURSKINS, RAW, WHOLE. |
| 4301600000 | Furskins and artificial fur; manufactures thereof | FOX FURSKINS, RAW, WHOLE. |
| 4301800210 | Furskins and artificial fur; manufactures thereof | NUTRIA FURSKINS, RAW, WHOLE. |
| 4301800297 | Furskins and artificial fur; manufactures thereof | FURSKINS NESOI, RAW, WHOLE. |
| 4301900000 | Furskins and artificial fur; manufactures thereof | HEADS/PCS, CUTTINGS ETC FURSKINS FOR FURRIERS’ USE. |
| 4302110000 | Furskins and artificial fur; manufactures thereof | MINK FURSKINS, WHOLE, TANNED/DRESSED NOT ASSEMBLED. |
| 4302191300 | Furskins and artificial fur; manufactures thereof | PERSIAN ETC LAMB FURSKIN WHOLE TANNED NOT ASSEMBLE. |
| 4302195000 | Furskins and artificial fur; manufactures thereof | FURSKINS NESOI, WHOLE TANNED/DRESSED NOT ASSEMBLED. |
| 4302200000 | Furskins and artificial fur; manufactures thereof | FURSKIN PIECES/CUTTINGS TANNED/DRESSED NT ASSEMBLD. |
| 4302300000 | Furskins and artificial fur; manufactures thereof | FURSKINS, WHOLE AND PIECES, TANNED, ASSEMBLED. |
| 4303100030 | Furskins and artificial fur; manufactures thereof | MINK FURSKIN ARTICLES, APPAREL, CLOTHING ACCESSORY. |
| 4303100060 | Furskins and artificial fur; manufactures thereof | FURSKIN ARTICLE APPAREL CLOTHING ACCESSORIES NESOI. |
| 4303900000 | Furskins and artificial fur; manufactures thereof | ARTICLES OF FURSKINS, NESOI. |
| 4304000000 | Furskins and artificial fur; manufactures thereof | ARTIFICIAL FUR AND ARTICLES THEREOF. |
| 4420110000 | Wood and articles of wood; wood charcoal | STATUETTES AND OTHER ORNAMENTS OF TROPICAL WOOD. |
| 4420190000 | Wood and articles of wood; wood charcoal | STATUETTES AND OTHER ORNAMENTS, OF WOOD, NESOI. |
| 4907000000 | Printed books, newspapers, pictures and other products of the printing industry; manuscripts, typescripts and plans | UNUSED POSTAGE; BANKNOTES; CHECK FORMS; STOCK, ETC. |
| 5001000000 | Silk | SILKWORM COCOONS SUITABLE FOR REELING, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5002000000 | Silk | RAW SILK (NOT THROWN), AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5003001000 | Silk | SILK WASTE, NOT CARDED OR COMBED, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5003009000 | Silk | SILK WASTE, OTHER, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5004000000 | Silk | SILK YARN NOT PUT UP FOR RETAIL SALE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5005000000 | Silk | YARN SPUN FROM SILK WASTE NOT PUT UP RETAIL SALE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5006000000 | Silk | SILK YARN&YARN/SILK WASTE, RETAIL SALE, SILKWORM GUT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5007100000 | Silk | WOVEN FABRICS OF NOIL SILK, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5007200000 | Silk | OTHER FABRICS GE 85% SILK/SILK WASTE, NOT NOIL SILK, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5007900000 | Silk | WOVEN FABRICS OF SILK OR SILK WASTE – OTHER NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5603941000 | Wadding, felt and nonwovens; special yarns, twine, cordage, ropes and cables and articles thereof | NONWOV GT 150G/M2, NT MMF FLOOR COVERING UNDERLAYS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5701100000 | Carpets and other textile floor coverings | CARPETS&OTH TEX FLOOR COVR, WOOL/FINE ANML HR, KNOTD, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5701900000 | Carpets and other textile floor coverings | CARPETS&OTH TEX FLOOR COVR, OTH TEX MATERIALS, KNOTD, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702100000 | Carpets and other textile floor coverings | KELEM, SCHUMACKS, KARAMANIE, &SIMILAR HAND-WOVEN RUGS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702200000 | Carpets and other textile floor coverings | FLOOR COVERINGS OF COCONUT FIBERS (COIR), WOVEN, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702310000 | Carpets and other textile floor coverings | CARPETS, ETC OF WOOL/FINE ANIMAL HR, PILE, NT MADE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702320000 | Carpets and other textile floor coverings | CARPETS, ETC OF MMF TEXTL MATERIAL, PILE, NOT MADE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702390000 | Carpets and other textile floor coverings | CARPETS, ETC OF OTHER TEXTL MATERL, PILE, NOT MADE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702410000 | Carpets and other textile floor coverings | CARPETS, ETC OF WOOL/FINE ANIMAL HAIR, PILE, MADE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702420000 | Carpets and other textile floor coverings | CARPETS, ETC OF MMF TEXTILE MATERIALSS, PILE, MADE-U, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702490000 | Carpets and other textile floor coverings | CARPETS, ETC OTHR TEX MATRL, PILE, MADE-UP, NOT TUFTED, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702503000 | Carpets and other textile floor coverings | CARPETS, ETC WOOL/FINE ANML HR, WOVN, NOT PILE/MDE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702505200 | Carpets and other textile floor coverings | TEX CARPETS, WOV NT PILE, MM TEX MAT, NT MADE UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702509000 | Carpets and other textile floor coverings | CARPETS, ETC OTHR TEX MAT, WOV, NOT PILE/MADE-UP/TUFT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702910000 | Carpets and other textile floor coverings | CARPETS, ETC WOOL/FINE ANML HR, WOVN, MADE-UP, NT PILE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702920000 | Carpets and other textile floor coverings | TEXTILE CARPETS, WOV NO PILE, MMF, MADE UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5702990000 | Carpets and other textile floor coverings | CARPETS, ETC OTHR TEX MAT, WOV, MADE-UP, NOTPILE/TUFT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703100000 | Carpets and other textile floor coverings | TEXTILE CARPETS, TUFTED, OF WOOL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703210000 | Carpets and other textile floor coverings | TURF OF NYLON OR OTHER POLYAMIDES, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703290000 | Carpets and other textile floor coverings | CARPETS, ETC, NYLON/OTHR POLYAMIDES, TUFTD, W/N MDE-UP, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703310000 | Carpets and other textile floor coverings | TURF OF OTHER MAN-MADE TEXTILE MATERIALS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703390000 | Carpets and other textile floor coverings | CARPETS, ETC, TUFTED, W/N MDE-UP, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5703900000 | Carpets and other textile floor coverings | TEXTILE CARPETS, TUFTED, TEXTILE MATERIALS NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5704100000 | Carpets and other textile floor coverings | TEXTILE CARPETS, FELT, NO TUFT, TILES SUR NOV .3M2, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5704200000 | Carpets and other textile floor coverings | TEXTILE CARPETS, FELT, NOT TUFTED, SA 0.3M2 & 1M2, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5704900100 | Carpets and other textile floor coverings | TEXTILE CARPETS, FELT, NOT TUFTED, SA OTHER, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5705000000 | Carpets and other textile floor coverings | OTHR CARPETS&OTHR TEX FLOOR COV, WHETHR/NOT MADE-UP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 5805000000 | Special woven fabrics; tufted textile fabrics; lace, tapestries; trimmings; embroidery | HAND-WOV TAPESTR WALL HANG USE ONLY GT $251/SQ MTR. |
| 5806393010 | Special woven fabrics; tufted textile fabrics; lace, tapestries; trimmings; embroidery | NAR WOV FAB 85% OR MORE BY WGT SILK, NESOI. |
| 5905000000 | Impregnated, coated, covered or laminated textile fabrics; textile articles of a kind suitable for industrial use | TEXTILE WALL COVERINGS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110301070 | Articles of apparel and clothing accessories, knitted or crocheted | M/B SWEATERS OF MMF CONT 25% MORE LEATHER, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110301080 | Articles of apparel and clothing accessories, knitted or crocheted | W/G VESTS EX SWEATER OF MMF CONT 25% LEATHER, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110301570 | Articles of apparel and clothing accessories, knitted or crocheted | M/B SWEATERS & SIMILAR ART MMF GE 23% W/FAH KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110301580 | Articles of apparel and clothing accessories, knitted or crocheted | W/G SWEATRS, PULLOVRS, SIM ARTS MMF GE 23% W/FAH KNT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110302070 | Articles of apparel and clothing accessories, knitted or crocheted | M/B SWEATERS & SIM ART MMF GE 30% SLK, SLK WST KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6110302080 | Articles of apparel and clothing accessories, knitted or crocheted | W/G SWEATRS, PULLOVERS, SIM ARTS MMF GE 30% SLK KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112110015 | Articles of apparel and clothing accessories, knitted or crocheted | M/B JACKETS FOR TRACK SUITS ETC COTTON, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112110035 | Articles of apparel and clothing accessories, knitted or crocheted | W/G JACKETS FOR TRACK SUITS ETC OF COTTON, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112110050 | Articles of apparel and clothing accessories, knitted or crocheted | M/B TROUSERS FOR TRACK SUITS OF COTTON, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112110060 | Articles of apparel and clothing accessories, knitted or crocheted | W/G TROUSERS FOR TRACK SUITS OF COTTON, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112120015 | Articles of apparel and clothing accessories, knitted or crocheted | M/B JACKETS FOR TRACK SUITS ETC SYN FIBERS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112120035 | Articles of apparel and clothing accessories, knitted or crocheted | W/G JACKETS FOR TRACK SUITS ETC SYN FIBERS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112120050 | Articles of apparel and clothing accessories, knitted or crocheted | M/B TROUSERS FOR TRACK SUITS OF SYN FIBERS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112120060 | Articles of apparel and clothing accessories, knitted or crocheted | W/G TROUSERS FOR TRACK SUITS OF SYN FIBERS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112191000 | Articles of apparel and clothing accessories, knitted or crocheted | TRACK WARM-UP AND JOGGING SUITS ARTIFICIAL FIB, KT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112192000 | Articles of apparel and clothing accessories, knitted or crocheted | TRACK WARM-UP & JOGGING SUITS OT TEXTILE FIBER, KT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112201000 | Articles of apparel and clothing accessories, knitted or crocheted | SKI SUITS OF MANMADE FIBERS, KNITTED OR CROCHETED, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112202000 | Articles of apparel and clothing accessories, knitted or crocheted | SKI SUITS OF OTHER TEXTILE MATERIALS, KNITTED OR C, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112310000 | Articles of apparel and clothing accessories, knitted or crocheted | MEN’S OR BOYS’ SWIMWEAR OF SYNTHETIC FIBERS, KNITT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112390000 | Articles of apparel and clothing accessories, knitted or crocheted | M/B SWIMWEAR OF OTHER TEXTILE MATERIALS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112410000 | Articles of apparel and clothing accessories, knitted or crocheted | WOMEN’S OR GIRLS’ SWIMWEAR SYNTHETIC FIBERS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6112490000 | Articles of apparel and clothing accessories, knitted or crocheted | W/G SWIMWEAR OF OTHER TEXTILE MATERIALS, KNIT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6206100000 | Articles of apparel and clothing accessories, not knitted or crocheted | W/G BLOUSES, SHIRTS AND SHIRT BLOUSES SILK, NT KT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6211110000 | Articles of apparel and clothing accessories, not knitted or crocheted | MEN’S OR BOYS’ SWIMWEAR, NOT KNITTED OR CROCHETED, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6211120000 | Articles of apparel and clothing accessories, not knitted or crocheted | WOMEN’S OR GIRLS’ SWIMWEAR, NOT KNITTED OR CROCHET, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6211201500 | Articles of apparel and clothing accessories, not knitted or crocheted | WATER RESIST SKI-SUITS, NT KNITTED/CROCHETED NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6213900600 | Articles of apparel and clothing accessories, not knitted or crocheted | HANDKERCHIEFS, OF SILK OR SILK WASTE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6214100000 | Articles of apparel and clothing accessories, not knitted or crocheted | SHAWLS SCARVES MUFFLERS MANTILLAS SILK SILK WASTE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6215100000 | Articles of apparel and clothing accessories, not knitted or crocheted | TIES, BOW TIES AND CRAVATS, OF SILK OR SILK WASTE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6301200000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | BLANKETS (NT ELEC) & TRAVELING RUGS OF WOOL HAIR, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6301300000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | BLANKETS (NT ELEC) & TRAVELING RUGS OF COTTON, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6301400000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | BLNKET (NT ELEC) & TRAVELING RUGS OF SYNTHETIC FIB, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6301900000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | OTHER BLANKETS AND TRAVELING RUGS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306221000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | BACKPACKING TENTS OF SYNTHETIC FIBERS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306229000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | TENTS OF SYNTHETIC FIBERS, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306291100 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | TENTS, OF COTTON, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306292100 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | TENTS OF TEXTILE MATERIALS NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306300010 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | SAILS OF SYNTHETIC FIBERS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306300020 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | SAILS OF TEXTILE MATERIALS NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306901000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | CAMPING GOODS, NESOI, OF COTTON, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6306905000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | CAMPING GOODS OF TEXTILE MATERIALS NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6307200000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | LIFEJACKETS AND LIFEBELTS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6308000000 | Other made up textile articles; sets; worn clothing and worn textile articles; rags | NEDCRFT SET WOV FAB & YRN/MAKNG RUG/TAPST PKG RT S, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6401923000 | Footwear, gaiters and the like; parts of such articles | WATERPROOF FTWR RUB/PLAS SKI & SNOWBOARD BOOTS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6402120000 | Footwear, gaiters and the like; parts of such articles | SKI, CROSS-CTY&SNOWBOARD BOOTS W/RUBBER OR PLASTIC, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6402190000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR RUB PLAST STITCH SPORTS FOOTWEAR NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6402991815 | Footwear, gaiters and the like; parts of such articles | TENNIS, BASKETBALL, GYM, TRAINING SHOES AND LIKE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403120000 | Footwear, gaiters and the like; parts of such articles | FTWR W/LTHR UPP, SKI, CROSS-CTY & SNOWBOARD BOOTS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403190000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UPPER, SPORTS FOOTWEAR EXC SKI-BOOTS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403200000 | Footwear, gaiters and the like; parts of such articles | FTWR SOL LTHR UPPER LTHR STRAPS AND AROUND BIG TOE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403400000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UPPER NESOI WITH A METAL TOE-CAP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403511100 | Footwear, gaiters and the like; parts of such articles | FTWR BASE OF WOOD, LEATHER OUTER SOLE, COV ANK, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403515000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NESOI LEA O SOL ANK COV MEN YOUTH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403518000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UPPER NESOI LEA O SOL ANKL COV NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403591000 | Footwear, gaiters and the like; parts of such articles | FTWR BASE OF WOOD, LEATHER OUTER SOLE, NT COV ANK, AND VALUED AT $300PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403595000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP A SOL NESOI NOT ANK COV MEN YOUTH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403598000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP A SOL NESOI NOT ANK COV NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403911300 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL ANKLE COV WORK SHOES, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403911500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL ANK TENNIS ETC MEN ETC, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403915000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL ANK COV NESOI MEN YOUTH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403918500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL ANKCOV NESOI EX MN YTH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403991500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL NOT ANKL HOUSE SLIPPERS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403992500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL NOT ANKL WORK SHOES, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403993500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL NOTANK TENNIS MEN ETC, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403995000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL NOT ANK NESOI MEN YOUT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6403998000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR LEA UP NONLEA SOL NOT ANK NESOI EX MN YTH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6404110000 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR TEX UP RUBPLAS SOL SPORT SHOES, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6404202500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR TEX UP LEA SOLE FOR MEN, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6404204500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR TEX UP LEA SOLE FOR WOMEN, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6404206500 | Footwear, gaiters and the like; parts of such articles | FOOTWEAR TEX UP LEA SOLE EXCEPT FOR MEN AND WOMEN, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6405100030 | Footwear, gaiters and the like; parts of such articles | FTWR W/UPPERS LETHER/COMPOSITION LEATHER MEN, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6405100060 | Footwear, gaiters and the like; parts of such articles | OTH FTWEAR W UPPERS LEATHER/COMPOSITION LEATHER WM, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6405100090 | Footwear, gaiters and the like; parts of such articles | OTH FTWEAR W UPPERS LEATHER/COMP LEATHER OT PERSON, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6506100010 | Headgear and parts thereof | ATH, REC AND SPORT SAFETY HEADGEAR, LINED OR TRMED, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6506993000 | Headgear and parts thereof | HEADGR OF FURSKIN, WHETHER OR NT LINED/TRIMMD NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6701000000 | Prepared feathers and down and articles made of feathers or of down; artificial flowers; articles of human hair | SKINS & OTHR PTS OF BIRDS W/FEATHERS ETC EXC 0505 |
| 6911101000 | Ceramic products | PORCLN/CHINA, HTL/RESTNT & OTHER WARE NOT HH WARE, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6911105500 | Ceramic products | TABLE/KITCHENWARE, PORCLN OR CHINA, NT HOTL/RESTNT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6911900050 | Ceramic products | HOUSEHOLD ARTICLES OF PORCELAIN OR CHINA, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6913100000 | Ceramic products | STATUETTES AND OTHER ORNMNTL ARTCLS, PORCLN OR CHN, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6913900000 | Ceramic products | STATUTTES A OTH ORNMNTL CERAM ARTCLS NT PORC/CHINA, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6914100000 | Ceramic products | ARTICLES OF PORCELAIN OR CHINA, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 6914900000 | Ceramic products | CERAMIC ARTICLES NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 7013220000 | Glass and glassware | STEMWARE DRINKING GLASSES OF LEAD CRYSTAL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 7013330000 | Glass and glassware | DRINKING GLASSES OF LEAD CRYSTAL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 7013410000 | Glass and glassware | TBL O KTCHN GLSSWR NT DRNKNG GLSS OF LEAD CRYSTAL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 7013910000 | Glass and glassware | OTHER GLASSWARE, LEAD CRYSTAL, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 7101100000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | NATURAL PEARLS, NOT MOUNTED OR SET, INCL TMP STRNG. |
| 7101210000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | CULTURED PEARLS, UNWORKED. |
| 7101220000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | CULTURED PEARLS, WORKED, NOT SET. |
| 7102100000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | DIAMONDS, UNSORTED. |
| 7103102000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | UNWORKED PRECIOUS & SEMI-PREC STONES (EXC DIAMOND). |
| 7103104000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SAWN/ROUGH SHAPE PREC&SEMI-PREC ST(EXC DIAM)NESOI. |
| 7103910000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | RUBIES, SAPPHIRES AND EMERALDS, OTHERWISE WORKED. |
| 7103991000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GEMSTONES, NESOI, CUT BUT NOT SET SUITBL FR JEWLRY. |
| 7104200000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SYNTHC OR RECNSTRCTD GEMSTONES UNWORKED. |
| 7104901000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SYN/RECON, GEMSTONES, CUT BUT NOT SET FOR JEWELRY. |
| 7104905000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SYN, RCNSTR GMSTONES WRKD NT SUITBL FOR JEWELRY. |
| 7106911010 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SILVER BULLION, UNWROUGHT. |
| 7106911020 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SILVER DORE. |
| 7106915000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | UNWROUGHT SILVER, NESOI. |
| 7106920000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | SILVER, SEMIMANUFACTURED. |
| 7108121010 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD BULLION UNWROUGHT, NONMONETARY. |
| 7108121020 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD DORE, UNWROUGHT, NONMONETARY. |
| 7108125000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD, NESOI, UNWROUGHT, NONMONETARY. |
| 7108135000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD, SEMIMANUFACTURED, NESOI, NONMONETARY. |
| 7113110000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | JEWELRY AND PARTS THEREOF, OF SILVER. |
| 7113190000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | JEWELRY AND PARTS THEREOF, OF OTH PRECIOUS METAL. |
| 7113200000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | JEWELRY AND PARTS, BASE METAL CLAD W PREC METAL. |
| 7114190000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | ARTLS OF GLD OR PLAT NESOI. |
| 7114200000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD/SILVER -SMITHS’ ARTCLS A PRTS, BS MTL CL W PM. |
| 7115900000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | OTH PREC METL ARTCLS OR ARTCLS CLAD W PM, NESOI. |
| 7116101000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | ARTICLES OF NATURAL PEARLS. |
| 7116102500 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | ARTICLES OF CULTURED PEARLS. |
| 7116201000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | JEWELRY OF PRECIOUS OR SEMIPRECIOUS STONES. |
| 7116204050 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | ARTICLES OF PRECIOUS OR SEMIPREC STONES, NT JEWLRY. |
| 7117190000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | OTH IMITATION JEWELRY, BASE METAL, INC PR MTL PLTD. |
| 7118100000 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | COIN (EXCPT GOLD COIN) NOT BEING LEGAL TENDER. |
| 7118900030 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | GOLD COIN NESOI (GOLD CONTENT). |
| 7118900050 | Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal and articles thereof; imitation jewelry; coin | COIN (EXCEPT GOLD COIN) NESOI. |
| 7326906000 | Articles of iron or steel | OTH ARTIC IOS, CTD OR PLTD W PREC METAL, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8306210000 | Miscellaneous articles of base metal | STATUETTES A OTH ORNAMNTS A PRTS PLTD W PREC METAL. |
| 8306290000 | Miscellaneous articles of base metal | STATUETTES A OTH ORNMNTS A PRTS, BS METL NT PM PLT. |
| 8407100020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES FOR CIVIL AIRCRAFT, NEW, LESS THAN 373 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407100040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES FOR CIVIL AIRCRAFT, NEW, 373 KW OR OVER, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407100060 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES FOR CIVIL AIRCRAFT, USED OR REBUILT, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407100090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON TYPE AIRCRAFT ENGINES, EXCEPT CIVIL AIRCRAFT USE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407210000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OUTBOARD ENGINES FOR MARINE PROPULSION, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8407290010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPK-IGN REC OR ROT INT COM PST ENG, MAR, IN/OUTBOARD, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8407290050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | INBOARD ENG WITH INBOARD DRIVE F MARINE PROPULSION, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8407310000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING PISTON ENGINES OF A KIND USED FOR THE PROPULSION OF VEHICLES OF CHAPTER 87, NOT EXCEEDING 50 CC CYLINDER CAPACITY, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407322000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION PISTON ENGINES EXCEEDING 50 CC BUT NOT EXCEEDING 250 CC, TO BE INSTALLED IN ROAD TRACTORS, MOTOR BUSES, AUTOMOBILES OR TRUCKS, NEW OR USED, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407325000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING PISTON ENGINES EXCEEDING 50 CC BUT NOT EXCEEDING 250 CC, FOR VEHICLES OF CHAPTER 87, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407332000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION PISTON ENGINES EXCEEDING 250 CC BUT NOT EXCEEDING 1000 CC, TO BE INSTALLED IN ROAD TRACTORS, MOTOR BUSES, AUTOMOBILES OR TRUCKS, NEW/USED, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407335000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING PISTON ENGINES EXCEEDING 250 CC BUT NOT EXCEEDING 1000 CC, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407342030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION PISTON ENGINES EXCEEDING 1000CC AND NOT EXCEEDING 2000 CC TO BE INSTALLED IN ROAD TRUCKS, BUSES, AUTOMOBILES OR TRUCK TRACTORS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407342090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION PISTON ENGINES EXCEEDING 2000 CC, TO BE INSTALLED IN ROAD TRACTORS, MOTOR BUSES, AUTOMOBILES OR TRUCK TRACTORS, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407345000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING PISTON ENGINES EXCEEDING 1000 CC, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407901010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES LESS THAN 4,476 W TO BE INSTALLED IN AGRICULTURAL OR HORTICULTURAL MACHINERY OR EQUIPMENT, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407901050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES, NESOI, TO BE INSTALLED IN AGRICULTURAL OR HORTICULTURAL MACHINERY OR EQUIP, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407909010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION INTERNAL COMBUSTION PISTON TYPE GAS (NATURAL OR LIQUID PROPANE (LP)) ENGINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407909030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES, NESOI, LESS THAN 4476 W (6 HP), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8407909050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPARK-IGNITION RECIPROCATING OR ROTARY INTERNAL COMBUSTION PISTON ENGINES, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408100010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DIESEL ENGINES, NOT EXCEEDING 149.2 KW, MARINE, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8408100020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMP-IGNI PST ENG, MARINE, EXC 149.2KW, NOT EXC 223.8KW, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8408100030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR MARINE PROPULSION, EXCEEDING 223.8 KW BUT NOT EXCEEDING 373 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408100040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR MARINE PROPULSION, EXCEEDING 373 KW BUT NOT EXCEEDING 746 KW, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408100050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR MARINE PROPULSION, EXCEEDING 746 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408202000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR PROPULSION OF VEHICLES OF CHAPTER 87, TO BE INSTALLED IN ROAD TRACTORS, BUSES, AUTOS, TRUCKS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408205000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL), FOR THE PROPULSION OF VEHICLES OF CHAPTER 87, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408901000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL), TO BE INSTALLED IN AGRICULTURAL OR HORTICULTURAL MACHINERY OR EQUIPMENT, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408909010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, NOT EXCEEDING 149.2 KW, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408909020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, EXCEEDING 149.2 KW BUT NOT EXCEEDING 373 KW, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408909030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, EXCEEDING 373 KW NOT EXCEEDING 746 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408909040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, EXCEEDING 746 KW BUT NOT EXCEEDING 1,119 KW, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8408909050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, EXCEEDING 1,119 KW, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8409100040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR SPARK-IGNITION OR COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR USE IN CIVIL AIRCRAFT, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8409100080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR SPARK-IGNITION OR COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR USE IN AIRCRAFT EXCEPT CIVIL, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8409914000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES FOR USE IN ROAD TRACTORS, MOTOR BUSES, AUTOMOBILES OR TRUCKS, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8409916000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS F SPARK IG ENG FOR MARINE PROPULSION, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8409918000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8409994000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL) FOR USE IN ROAD TRACTORS, MOTOR BUSES, AUTOMOBILES OR TRUCKS, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8409996000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL) FOR MARINE PROPULSION, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8409998000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR COMPRESSION-IGNITION INTERNAL COMBUSTION PISTON ENGINES (DIESEL), NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411114010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A THRUST NOT EXCEEDING 25 KN, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411114050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET AIRCRAFT TURBINES (ENGINES) OTHER THAN FOR CIVIL AIRCRAFT, OF A THRUST NOT EXCEEDING 25 KN, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411118000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET TURBINES (ENGINES), EXCEPT AIRCRAFT, OF A THRUST NOT EXCEEDING 25 KN, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411124010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A THRUST EXCEEDING 25 KN, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411124050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET AIRCRAFT TURBINES (ENGINES) OTHER THAN FOR CIVIL AIRCRAFT, OF A THRUST EXCEEDING 25 KN, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411128000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOJET TURBINES (ENGINES), EXCEPT AIRCRAFT, OF A THRUST EXCEEDING 25 KN, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411214010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A POWER NOT EXCEEDING 1100 KW, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411214050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER AIRCRAFT TURBINES (ENGINES) OTHER THAN FOR CIVIL AIRCRAFT, OF A POWER NOT EXCEEDING 1100 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411218000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER TURBINES (ENGINES), EXCEPT AIRCRAFT, OF A POWER NOT EXCEEDING 1,100 KW, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411224010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A POWER EXCEEDING 1100 KW, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411224050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER AIRCRAFT TURBINES (ENGINES) OTHER THAN FOR USE IN CIVIL AIRCRAFT, OF A POWER EXCEEDING 1100 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411228000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOPROPELLER TURBINES (ENGINES), EXCEPT AIRCRAFT, OF A POWER EXCEEDING 1,100 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411814010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A POWER NOT EXCEEDING 5000 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411814050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIRCRAFT TURBINES (ENGINES), EXCEPT FOR USE IN CIVIL AIRCRAFT, OF A POWER NOT EXCEEDING 5000 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411818000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | GAS TURBINE ENGINE, EXCEPT AIRCRAFT NESOI, OF A POWER NOT EXCEEDING 5,000 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411824010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIRCRAFT TURBINES (ENGINES) FOR USE IN CIVIL AIRCRAFT, OF A POWER EXCEEDING 5000 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411824050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIRCRAFT TURBINES (ENGINES), EXCEPT FOR USE IN CIVIL AIRCRAFT, OF A POWER EXCEEDING 5000 KW, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411828000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | GAS TURBINE ENGINES, EXCEPT AIRCRAFT NESOI, OF A POWER EXCEEDING 5,000 KW, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8411914000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF NONAIRCRAFT TURBOJETS AND TURBOPROPELLERS, VALUED AT $750 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411917010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF TURBOJETS AND TURBOPROPELLER AIRCRAFT ENGINES FOR USE IN CIVIL AIRCRAFT, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411917050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF TURBOJET AND TURBOPROPELLER AIRCRAFT ENGINES, OTHER THAN FOR USE IN CIVIL AIRCRAFT, VALUED AT $1,000 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411994000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF NONAIRCRAFT GAS TURBINES, VALUED AT $750 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411997010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF GAS TURBINE AIRCRAFT ENGINES FOR USE IN CIVIL AIRCRAFT, VALUED AT $750 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8411997050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF GAS TURBINE AIRCRAFT ENGINES, OTHER THAN FOR USE IN CIVIL AIRCRAFT, VALUED AT $750 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8412294000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HYDROJET ENGINES FOR MARINE PROPULSION, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8412901000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF HYDROJET ENGINES FOR MARINE PROPULSION, AND VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8414510010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FLOOR, WALL, WINDOW, CEILING OR ROOF FANS, WITH A SELF-CONTAINED ELECTRIC MOTOR OF AN OUTPUT NOT EXCEEDING 125 W, FOR PERMANENT INSTALLATION, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8414510090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FANS, OTHER THAN FOR PERMANENT INSTALLATION, WITH A SELF CONTAINED ELECTRIC MOTOR OF AN OUTPUT NOT EXCEEDING 125 W, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8414593000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TURBOCHARGERS AND SUPERCHARGERS, FAN TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8414596040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FANS, NESOI, SUITABLE FOR USE WITH MOTOR VEHICLES, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8414599080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FANS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8414600000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HOODS HAVING A MAXIMUM HORIZONTAL SIDE NOT EXCEEDING 120 CM, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8415103040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIR-CONDITIONERS, WINDOW OR WALL TYPE, SELF-CONTAINED, LESS THAN 2.93 KW PER HOUR (10000 BTU/HR), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8415103060 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIR-CONDITIONERS, WINDOW OR WALL TYPE, SELF-CONTAINED, 2.93 KW/HR OR GREATER BUT LESS THAN 4.98 KW/HR (10000-16999BTU/HR), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8415103080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIR-CONDITIONERS, WINDOW OR WALL TYPE, SELF-CONTAINED, 4.98 KW/HR OR GREATER (17000 BTU/HR), VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8415106000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIR CONDITIONING MACHINES INCORPORATING A REFRIGERATING UNIT, AND A VALVE FOR REVERSAL OF THE COOLING/HEAT CYCLE, WINDOW OR WALL TYPES, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8415109000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AIR CONDITIONING MACHINES, WINDOW OR WALL TYPE, NOT SELF CONTAINED, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418100010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATOR-FREEZERS COMBINED, FITTED WITH SEPERATE EXTERNAL DOORS, COMPRESSION TYPE, VOLUME UNDER 184 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418100020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATOR-FREEZERS COMBINED, FITTED WITH SEPERATE EXTERNAL DOORS, COMPRESSION TYPE, VOLUME OF 184 LITERS AND OVER BUT UNDER 269 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418100030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATOR-FREEZERS COMBINED, FITTED WITH SEPERATE EXTERNAL DOORS, COMPRESSION TYPE, VOLUME OF 269 LITERS AND OVER BUT UNDER 382 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418100040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATOR-FREEZERS COMBINED, FITTED WITH SEPERATE EXTERNAL DOORS, COMPRESSION TYPE, VOLUME OF 382 LITERS AND OVER, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418100090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATOR-FREEZERS COMBINED, FITTED WITH SEPERATE EXTERNAL DOORS, EXCEPT COMPRESSION TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418210010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD, COMPRESSION TYPE, VOLUME UNDER 184 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418210020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD, COMPRESSION TYPE, VOLUME OF 184 LITERS AND OVER BUT UNDER 269 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418210030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD, COMPRESSION TYPE, VOLUME OF 269 LITERS AND OVER BUT UNDER 382 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418210090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD, COMPRESSION TYPE, VOLUME OF 382 LITERS AND OVER, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418291000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD, ABSORPTION TYPE, ELECTRICAL, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418292000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | REFRIGERATORS, HOUSEHOLD TYPE, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418300000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FREEZERS, CHEST TYPE, CAPACITY NOT EXCEEDING 800 LITERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8418400000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FREEZERS, UPRIGHT TYPE, CAPACITY NOT EXCEEDING 900 LITERS, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8419815000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COOKING STOVES, RANGES AND OVENS EXCEPT MICROWAVE OVENS, OTHER THAN OF A KIND USED FOR DOMESTIC PURPOSES, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8419819040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | INDUSTRIAL MACHINERY OR EQUIPMENT OF A TYPE USED IN RESTAURANTS, HOTELS OR SIMILAR LOCATIONS FOR MAKING HOT DRINKS OR FOR COOKING, HEATING FOOD, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8419819080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | INDUSTRIAL MACHINERY OR EQUIPMENT FOR MAKING HOT DRINKS OR FOR COOKING OR HEATING FOOD, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8422110000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DISHWASHING MACHINES, HOUSEHOLD TYPE. 1 |
| 8423100010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DIGITAL ELECTRONIC TYPE PERSONAL WEIGHING MACHINES, INCLUDING BABY AND HOUSEHOLD SCALES, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8423100050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PERSONAL WEIGHING MACHINES, INCLUDING BABY AND HOUSEHOLD SCALES, NESOI, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8428600000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TELEFERICS, CHAIR LIFTS, SKI DRAGLINES; TRACTION MECHANISMS FOR FUNICULARS, VALUED AT $0 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8431390010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELEVATOR AND CONVEYOR PARTS, NESOI, VALUED AT $5,000 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8431390090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS FOR LIFTING, HANDLING, LOADING OR UNLOADING MACHINERY, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8443120000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SHEET-FED, OFFICE TYPE (SHEET SIZE NOT EXCEEDING 22X36 CM), OFFSET PRINTING MACHINERY, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443310000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MACHINES WHICH PERFORM TWO OR MORE OF THE FUNCTIONS OF PRINTING, COPYING OR FACSIMILE TRANSMISSION, CAPABLE OF CONNECTING TO AN ADP MACHINE OR NETWORK, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | LASER PRINTERS, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, PRODUCING MORE THAN 20 PAGES PER MINUTE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | LASER PRINTERS, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, PRODUCING LESS THAN 20 PAGES PER MINUTE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, LIGHT BAR ELECTRONIC TYPE, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, INK JET, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, THERMAL TRANSFER, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321060 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, IONOGRAPHIC, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321070 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, DAISY WHEEL, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTERS, DOT MATRIX, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443321090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTER UNITS, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443325000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COPYING AND FACSIMILE MACHINES, CAPABLE OF CONNECTING TO AN AUTOMATIC DATA PROCESSING MACHINE OR NETWORK, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443391000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELECTROSTATIC PHOTOCOPYING APPARATUS OPERATING BY REPRODUCING THE ORIGINAL IMAGE DIRECTLY ONTO THE COPY (DIRECT PROCESS), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443392000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELECTROSTATIC PHOTOCOPYING APPARATUS OPERATING BY REPRODUCING THE ORIGINAL IMAGE VIA AN INTERMEDIATE ONTO THE COPY (INDIRECT PROCESS), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443393000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OTHER PHOTOCOPYING APPARATUS INCORPORATING AN OPTICAL SYSTEM, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443394000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OTHER PHOTOCOPYING APPARATUS OF THE CONTACT TYPE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443395000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | THERMOCOPYING APPARATUS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443396000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COPYING MACHINES, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8443399000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PRINTER AND FACSIMILE MACHINES, EXCEPT COPYING, WHETHER OR NOT COMBINED, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8450110010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | WASHING MACHINES, COIN OPERATED, FULLY AUTOMATIC, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, HOUSEHOLD OR LAUNDRY TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8450110090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | WASHING MACHINES, EXCEPT COIN OPERATED, FULLY AUTOMATIC, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, HOUSEHOLD OR LAUNDRY TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8450120000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | WASHING MACHINES WITH BUILT-IN CENTRIFUGAL DRYERS, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, HOUSEHOLD OR LAUNDRY TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8450190000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | WASHING MACHINES, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, HOUSEHOLD OR LAUNDRY-TYPE, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8451210010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DRYING MACHINES, COIN OPERATED, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8451210090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DRYING MACHINES, EXCEPT COIN OPERATED, DRY LINEN CAPACITY NOT EXCEEDING 10 KG, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8452100000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SEWING MACHINES OF THE HOUSEHOLD TYPE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8470100000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELECTRONIC CALCULATORS CAPABLE OF OPERATION WITHOUT AN EXTERNAL SOURCE OF ELECTRIC POWER AND POCKET-SIZE RECORDING, REPRODUC&DISPLAY MACH W/CAL FUNCT, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8470210000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELECTRONIC CALCULATING MACHINES, NESOI, INCORPORATING A PRINTING DEVICE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8470290000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ELECTRONIC CALCULATING MACHINES, NESOI, NOT INCORPORATING A PRINTING DEVICE. 1 |
| 8470300000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CALCULATING MACHINES EXCEPT ELECTRONIC, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471300100 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PORT DGTL ADP MACH, |
| 8471410110 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DIGITAL ADP MACH COMPRISING IN SAME HOUSING AT LEAST A CPU AND AN INPUT AND OUPUT UNIT, WHETHER OR NOT COMBINED, W/CATHODE RAY TUBE (CRT), VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471410150 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DIGITAL ADP MACH COMPRISING IN SAME HOUSING AT LEAST A CPU AND AN INPUT AND OUTPUT UNIT WHETHER OR NOT COMBINED, WITHOUT CRT, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471490000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AUTOMATIC DATA PROCESSING MACHINES ENTERED IN THE FORM OF SYSTEMS, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471500110 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PROCESS UNITS W/CATHODE RAY TUBE, WH/NOT CONTG IN THE SAME HOUSING 1 OR 2 OF STORAGE UNITS, INPUT UNITS OR OUTPUT UNITS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471500150 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DIGITAL PROCESSING UNITS EXCLUDE SUBHEADING 8471.41 OR 8471.49, MAY CONTAIN IN SAME HOUSING 1 OR 2 OF FOLLOWING: STORAGE, INPUT OR OUTPUT UNITS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471601010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMBINED INPUT/OUTPUT UNITS, WITH CATHODE RAY TUBE (CRT), NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471601050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | COMBINED INPUT/OUTPUT UNITS, WITHOUT A CATHODE RAY TUBE (CRT), NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471602000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | KEYBOARD UNITS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471607000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | INPUT/OUTPUT UNITS, NESOI, SUITABLE FOR PHYSICAL INCORPORATION INTO AUTOMATIC DATA PROCESSING MACHINES OR UNITS THEREOF, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471608000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OPTICAL SCANNERS AND MAGNETIC INK RECOGNITION DEVICES, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471609030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CARD KEY AND MAGNETIC MEDIA ENTRY DEVICES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471609050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ADP INPUT/OUTPUT UNITS, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471701000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MAGNETIC DISK DRIVE UNITS WITH A DISK DIAMETER GT=21 CM,WITH READ-WRITE UNITS ENTERED SEPERATELY, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471702000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MAGNETIC DISK DRIVE UNTS FOR DISK OF DIAMETER EXCEEDING 21 CM (8.3 INCHES), UNTS FOR PHYSICAL INCORP INTO AUTO DATA PROCESS MACH OR UNT THEREOF, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471703000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MAGNETIC DISK DRIVE UNITS, NESOI, WITH A DISK DIAMETER GT=21 CM, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471704035 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FLEXIBLE (FLOPPY) MAGNETIC DISK DRIVE UNITS, NOT ASSEMBLED IN CABINETS, AND WITHOUT ATTACHED EXTERNAL POWER SUPPLY, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471704065 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HARD MAGNETIC DISK DRIVE UNITS, NESOI, NOT ASSEMBLED IN CABINETS, AND W/OUT ATTACHED EXTERNAL POWER SUPPLY UNITS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471704095 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | DISK DRIVE UNITS, NESOI, NOT ASSEMBLED IN CABINETS, AND WITHOUT ATTACHED EXTERNAL POWER SUPPLY UNITS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471705035 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FLEXIBLE (FLOPPY) MAGNETIC DISK DRIVE UNITS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471705065 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HARD MAGNETIC DISK DRIVE UNITS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471705095 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MAGNETIC DISK DRIVE UNITS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471706000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OTHER STORAGE UNITS, NESOI, NOT ASSEMBLED IN CABINETS FOR PLACING ON A TABLE, DESK, WALL FLOOR OR SIMILAR PLACE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471709000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OTHER STORAGE UNITS, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471801000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CONTROL OR ADAPTER UNITS FOR AUTOMATIC DATA PROCESSING MACHINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471804000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | UNITS, NESOI, SUITABLE FOR PHYSICAL INCORPORATION INTO AUTOMATIC DATA PROCESSING MACHINES OR UNITS THEREOF, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471809000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OTHER UNITS FOR AUTOMATIC DATA PROCESSING MACHINES, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8471900000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MACHINES AND UNITS THEREOF FOR PROCESSING DATA, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8472900500 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | ADDRESSING MACHINES AND ADDRESS PLATE EMBOSSING MACHINES, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8472901000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | AUTOMATIC TELLER MACHINES, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8472905000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TYPEWRITERS OTHER THAN PRINTERS OF HEADING 8443; WORD PROCESSING MACHINES, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8472909002 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | OFFICE MACHINES, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8479600000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | EVAPORATIVE AIR COOLERS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483101020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CAMSHAFTS AND CRANKSHAFTS FOR USE WITH SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES OR ROTARY ENGINES, FOR VEHICLES OF CHAPTER 87, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483101050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CAMSHAFTS AND CRANKSHAFTS FOR USE WITH SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES OR ROTARY ENGINES, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483103010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CAMSHAFTS AND CRANKSHAFTS FOR VEHICLES OF CHAPTER 87, OTHER THAN VEHICLES WITH SPARK-IGNITION INTERNAL COMBUSTION PISTON ENGINES OR ROTARY ENGINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483103050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CAMSHAFTS AND CRANKSHAFTS, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483105000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TRANSMISSION SHAFTS AND CRANKS, EXCEPT CAMSHAFTS AND CRANKSHAFTS, VALUED AT $300 SET OF PARTS UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483200010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HOUSED BEARINGS INCORPORATING BALL BEARINGS, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483200050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | HOUSED BEARINGS INCORPORATING ROLLER BEARINGS, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483305020 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | BEARING HOUSINGS, BALL OR ROLLER BEARING TYPE, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483305040 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | BEARING HOUSINGS EXCEPT BALL OR ROLLER BEARING TYPE, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483308055 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TRANSMISSION SHAFTS: BEARING HOUSINGS, PLAIN SHAFT BEARINGS WITH HOUSING, ROD END BEARINGS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483308065 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TRANSMISSION SHAFTS AND CRANKS: BEARING HOUSINGS, PLAIN SHAFT BEARINGS WITH HOUSING, NESOI, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483308070 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PLAIN SHAFT BEARINGS, WITHOUT HOUSING, SPHERICAL TYPE, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483308090 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PLAIN SHAFT BEARINGS, WITHOUT HOUSING, EXCEPT SPHERICAL, VALUED AT $300 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8483401000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | TORQUE CONVERTERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483404010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FIXED RATIO SPEED CHANGERS, EACH RATIO SELECTED BY MANUAL MANIPULATION, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483404050 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | MULTIPLE AND VARIABLE RATIO SPEED CHANGERS, EACH RATIO SELECTED BY MANUAL MANIPULATION, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483407000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SPEED CHANGERS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483408000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | BALL OR ROLLER SCREWS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483409000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | GEARS AND GEARING, OTHER THAN TOOTHED WHEELS, CHAIN SPROCKETS AND OTHER TRANSMISSION ELEMENTS ENTERED SEPARATELY, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483508030 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | GROOVED PULLEYS, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483508080 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | FLYWHEELS, PULLEY BLOCKS AND PULLEYS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483604000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CLUTCHES AND UNIVERSAL JOINTS, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483608000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | SHAFT COUPLINGS, EXCEPT UNIVERSAL JOINTS, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483901000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | CHAIN SPROCKETS AND PARTS THEREOF, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483905000 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF GEARING, GEAR BOXES AND OTHER SPEED CHANGERS, VALUED AT $5,000 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8483908010 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS OF SHAFT COUPLINGS, EXCEPT UNIVERSAL JOINTS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8483909500 | Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof | PARTS, NESOI, OF BEARING HOUSINGS & PLAIN SHAFT BEARINGS, HOUSED BEARINGS, CLUTCHES, UNIVERSAL JOINTS, FLYWHEELS AND TRANSMISSION SHAFTS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8508110000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VACUUM CLEANERS WITH SELF-CONTAINED ELECTRIC MOTOR OF A POWER NOT EXCEEDING 1500W & HAVING A DUST BAG OR OTHER RECEPTACLE CAPACITY NOT EXCEEDING 20 L, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8508190000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VACUUM CLEANERS, WITH SELF-CONTAINED ELECTRIC MOTOR, NESOI, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8508600000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VACUUM CLEANERS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8509801000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC FLOOR POLISHERS, DOMESTIC. 1 |
| 8509802000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC KITCHEN WASTE DISPOSALS, DOMESTIC. 1 |
| 8509805040 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC CAN OPENERS INCLUDING COMBINATION UNITS, DOMESTIC. 1 |
| 8509805060 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRICHUMIDIFIERS, DOMESTIC, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8509805091 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTROMECHANICAL DOMESTIC APPLIANCES WITH SELF-CONTAINED ELECTRIC MOTORS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511100000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SPARK PLUGS FOR INTERNAL COMBUSTION ENGINES, VALUED AT $300 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8511200000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | IGNITION MAGNETOS; MAGNETO-DYNAMOS; MAGNETIC FLYWHEELS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511300040 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | DISTRIBUTORS FOR INTERNAL COMBUSTION ENGINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511300080 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | IGNITION COILS FOR INTERNAL COMBUSTION ENGINES, VALUED AT $300 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8511400000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | STARTER MOTORS AND DUAL PURPOSE STARTER-GENERATORS FOR INTERNAL COMBUSTION ENGINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511500000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | GENERATORS FOR INTERNAL COMBUSTION ENGINES, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511802000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VOLTAGE AND VOLTAGE-CURRENT REGULATORS WITH CUT-OUT RELAYS, DESIGNED FOR 6V, 12V, AND 24V SYSTEMS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511804000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VOLTAGE & VOLTAGE-CURRENT REGULATORS WITH CUT-OUT RELAYS, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511806000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | INTERNAL COMBUSTION ENGINE IGNITION EQUIPMENT, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511906020 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | DISTRIBUTOR CONTACT (BREAKER POINT) SETS (PARTS), VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8511908000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | INTERNAL COMBUSTION ENGINE PARTS, NESOI, VALUED AT $300 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8512202000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | LIGHTING EQUIPMENT FOR MOTOR VEHICLES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8512204000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VISUAL SIGNALING EQUIPMENT FOR MOTOR VEHICLES (INCLUDING BRAKING LIGHTS AND TURNING SIGNAL LIGHTS), VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8512300030 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADAR DETECTORS OF A KIND USED IN MOTOR VEHICLES, . 1 |
| 8512300050 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SOUND SIGNALING EQUIPMENT FOR MOTOR VEHICLES AND CYCLES, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8512402000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MOTOR VEHICLE DEFROSTERS AND DEMISTERS, VALUED AT $750 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8512404000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MOTOR VEHICLE WINDSHIELD WIPERS, VALUED AT $50 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8516310000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC HAIR DRYERS. 1 |
| 8516500000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MICROWAVE OVENS, FOR DOMESTIC USE. 1 |
| 8516604000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC COOKING STOVES, RANGES AND OVENS, FOR DOMESTIC USE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8516606000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC COOKING PLATES, BOILING RINGS, GRILLERS, & ROASTERS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8516710000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC COFFEE OR TEA MAKERS, DOMESTIC. 1 |
| 8516720000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC TOASTERS. 1 |
| 8516790000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTROTHERMIC APPLIANCES, DOMESTIC, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517110000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | LINE TELEPHONE SETS WITH CORDLESS HANDSETS, VALUED AT $100 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517130000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SMARTPHONES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517180000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TELEPHONE SETS, NESOI, VALUED AT $50 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517610000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | BASE STATIONS. 1 |
| 8517620010 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MODEMS (MODULATOR-DEMODULATOR APPARATUS) OF A KIND USED WITH DATA PROCESSING MACHINES OF HEADING 8471, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517620050 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MACHINES FOR THE RECEPTION, CONVERSION & TRANSMISSION OR REGENERATION OF VOICE, IMAGES OR OTHER DATA, INCLUDING SWITCHING & ROUTING APPARATUS, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8517690000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | APPARATUS FOR TRANSMISSION OR RECEPTION OF VOICE, IMAGES OR OTHER DATA, INCLUDING APPARATUS FOR COMMUNICATION IN A WIRED OR WIRELESS NETWORK, NESOI. 1 |
| 8519200000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SOUND RECORDING/REPRODUCING APPS OPERATED BY COINS, BANKNOTES, BANK CARDS, TOKENS OR BY OTHER MEANS OF PAYMENT. 1 |
| 8519301000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TURNTABLES WITH AUTOMATIC RECORD CHANGING MECHANISM. 1 |
| 8519302000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TURNTABLES, NESOI. 1 |
| 8519811000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TRANSCRIBING MACHINES. 1 |
| 8519812000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | CASSETTE TAPE PLAYERS FOR MOTOR VEHICLES. 1 |
| 8519812500 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | CASSETTE TAPE PLAYERS. 1 |
| 8519813000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MAGNETIC TAPE RECORDERS INCORPORATING SOUND REPORDUCING APPARATUS, DIGITAL AUDIO TYPE. 1 |
| 8519814105 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TELEPHONE ANSWERING MACHINES, VALUED AT $0 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8519814110 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MAGNETIC TAPE RECORDERS INCORPORATING SOUND REPRODUCING APPARATUS, OTHER THAN TELEPHONE ANSWERING MACHINES, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8519814120 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | OPTICAL DISC RECORDERS, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8519814150 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SOUND RECORDING OR REPRODUCING APPARATUS, USING MAGNETIC, OPTICAL OR SEMICONDUCTOR MEDIA. 1 |
| 8519891000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RECORD PLAYERS WITHOUT LOUDSPEAKERS. 1 |
| 8519892000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RECORD PLAYERS, NESOI. 1 |
| 8519893000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SOUND RECORDING OR REPRODUCING APPARATUS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8521100000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VIDEO RECORDING OR REPRODUCING APPARATUS, WHETHER OR NOT INCORPORATING A VIDEO TUNER, MAGNETIC TAPE-TYPE, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8521900000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | VIDEO RECORDING OR REPRODUCING APPARATUS, WHETHER OR NOT INCORPORATING A VIDEO TUNER, EXCEPT MAGNETIC TAPE-TYPE, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8526910010 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO NAVIGATIONAL AID APPARATUS FOR USE IN CIVIL AIRCRAFT, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8526910030 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO NAVIGATIONAL AID APPARATUS, RECEPTION ONLY TYPE, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8526910070 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO NAVIGATIONAL AID APPARATUS, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527120000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | POCKET-SIZE RADIO CASSETTE PLAYERS. 1 |
| 8527131100 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, BATTERY TYPE, COMBINATIONS INCORPORATING TAPE PLAYERS WHICH ARE INCAPABLE OF RECORDING. 1 |
| 8527132000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, BATTERY TYPE, RADIO-TAPE RECORDER COMBINATIONS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527134000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO-PHONOGRAPH COMBINATIONS, BATTERY. 1 |
| 8527136000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, BATTERY TYPE, COMBINED WITH SOUND RECORDING/REPRODUCING APPARATUS, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527190000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, BATTERY TYPE, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527210000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS FOR MOTOR VEHICLES, COMBINED WITH SOUND RECORDER/REPRODUCING APPARATUS, NOT CAPABLE OF OPERATING WITHOUT OUTSIDE POWER, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527290000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, FOR MOTOR VEHICLES NOT CAPABLE OF OPERATING WITHOUT OUTSIDE POWER, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527910000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS WITH SOUND RECORDERS OR PLAYERS, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527920000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIOBROADCAST RECEIVERS, WITHOUT PLAYERS OR RECORDERS, BUT COMBO WITH CLOCK, NESOI, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527993005 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO RECEIVERS FOR USE IN CIVIL AIRCRAFT, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527993060 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RADIO RECEIVERS, NOT FOR USE IN CIVIL AIRCRAFT, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8527995030 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | RECEPTION APPARATUS, NESOI, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8528710000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS NOT DESIGNED TO INCORPORATE A VIDEO DISPLAY OR SCREEN, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8528723000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS, COLOR, INCORPORATING VIDEO RECORDING OR REPRODUCING APPARATUS, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8528726005 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS, COLOR, WITH PICTURE TUBE, COMBINED WITH RADIOBROADCAST RECEIVERS OR SOUND RECORDING APPARATUS. 1 |
| 8528726010 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS, COLOR, HAVING A PICTURE TUBE, NOT EXCEEDING 52 CM (20 INCHES), VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8528726040 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS, COLOR, HAVING A PICTURE TUBE, EXCEEDING 52 CM (20 INCHES). 1 |
| 8528726057 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TV RECEPTION APPARATUS, COLOR, WITHOUT PICTURE TUBE, NESOI. 1 |
| 8529102020 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TELEVISION ANTENNAS, RECEIVING ONLY & PARTS SUITABLE FOR USE THEREWITH, VALUED AT $500 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8529102050 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TELEVISION ANTENNAS & PARTS SUITABLE FOR USE THEREWITH, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8529102090 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | TELEVISION ANTENNA REFLECTORS & PARTS SUITABLE FOR USE THEREWITH, NESOI, VALUED AT $1,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8529104000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ANTENNAS & PARTS FOR RADAR, RADIO NAVIGATIONAL AIDS AND RADIO REMOTE CONTROLS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8529109000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ANTENNA & ANTENNA REFLECTORS OF ALL KINDS; PARTS SUITABLE FOR USE SOLEY OR PRINCIPALLY W/APPARATUS OF HEADING 8525 TO 8528, NESOI, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8531100015 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SMOKE DETECTORS, BATTERY POWERED, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8531100025 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SMOKE DETECTORS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8531100035 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | BURGLAR ALARMS, ELECTRIC, VALUED AT $750 PER SET WHOLESALE PRICE IN THE US. 1 |
| 8531100045 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | BURGLAR OR FIRE ALARMS AND SIMILAR APPARATUS, NESOI, VALUED AT $300 PER SET WHOLESALE PRICE IN THE US, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543702000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | PHYSICAL VAPOR DEPOSITION (PVD) APPARATUS, NESOI, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543704000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC SYNCHROS AND TRANSDUCERS; FLIGHT DATA RECORDERS; DEFROSTERS AND DEMISTERS WITH ELECTRIC RESISTORS FOR AIRCRAFT, VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543706000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ARTICLES DESIGNED FOR CONNECTION TO TELEGRAPHIC OR TELEPHONIC APPARATUS OR INSTRUMENTS OR TO TELEGRAPHIC OR TELEPHONIC NETWORKS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543707100 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRIC LUMINESCENT LAMPS, VALUED AT $25 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543708000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | MICROWAVE AMPLIFIERS, VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543708500 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | ELECTRICAL NERVE STIMULATION MACHINES AND APPARATUS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543709610 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | AMPLIFIERS, VALUED AT $750 PER UNIT WHOLESALE PRICE IN THE US. 1 |
| 8543709620 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | SPECIAL EFFECTS PEDALS FOR USE WITH MUSICAL INSTRUMENTS. 1 |
| 8544300000 | Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles | INSULATED IGNITION WIRING SETS & WIRING SETS FOR VEHICLES, AIRCRAFT OR SHIPS, VALUED AT $500 PER SET OF PARTS WHOLESALE PRICE IN THE US. 1 |
| 8703101000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | VEHICLES DESIGNED FOR TRAVELING ON SNOW, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703210100 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MTR VEH, ONLY SPARK IGN ENG, NOT OV 1,000 CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703220100 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MOTOR VEH, ONLY SPARK IGN ENG, (1000-1500 CC), AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703230145 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | VEHICLES, NESOI, NEW, ENG (1500-3000 CC) LE 4 CYL, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703230160 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, OV 4 N/O 6 CYL, 1500-3000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703230170 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | 3PASS VEH, SPARK IGN, >6 CYL, 1500-3000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703230190 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | USED VEHICLES, ONLY SK IG (1500-3000 CC), NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703240140 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN >3000CC, 4 CYL & UN, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703240150 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, ONLY SPK IGN OV 4 N/O 6 CYL, OV 3000 CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703240160 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, ONLY SPK IGN >6 CYL, |
| 8703240190 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MTR VEH, ONLY SPARK IGN, GT 3000 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703310100 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, ONLY COMPR IG, DIESEL, |
| 8703320110 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL ENG, ONLY CMP-IG,1500-2500 CC, NEW, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703320150 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL ENG, ONLY COMP-IG1500-2500 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703330145 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL, ONLY COMP-IG, >2,500 CC, NEW, NES, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703330185 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL, ONLY COMP-IG, >2,500 CC, USE, NES, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703400005 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MOT VEH LT=1000CC SPRK IGN/ELEC NCHRG ENG, NES, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703400010 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PSSNGR VEH, SPARK IGN AND ELCTC MTR, 1000-1500 CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703400020 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPRK IG/ELEC, NCHG, NESOI, 4 CYL, 500-3000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703400030 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH SPK IGN/ELEC, NCHG PL >4 |
| 8703400040 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | 3PASS VEH, SPARK IGN/ELEC, NCHRG |
| 8703400045 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | USED VHCLS, SPRK AND ELCTC ENGN 1500-3000 CC NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703400060 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC NCHG PLG |
| 8703400070 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC NCHG PLUG>4 |
| 8703400080 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC, NWCHRG PLG |
| 8703400090 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IG & ELEC NO PLUG, OVER 3000 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703500010 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL AND ELEC NO PLUG, |
| 8703500030 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESL/ELC (NO PLUG) 1500-2500 CC, NEW, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703500050 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIES/ELEC (NO PLG) ENG, 1500-2500 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703500070 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL/ELEC, >2,500 CC, NEW, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703500090 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESEL/ELEC, >2,500 CC, USED, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600005 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MOT VEH LT=1000 CC SPARK IGN/ELEC CHRG W PLG, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600010 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASSVEH, SP-IGN/ELEC W/PLUG ENG, (1000-1500 CC), AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600020 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC, WITH PLUG 4 CYL,1500-3000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600030 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC CHRG PLG |
| 8703600040 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | 3PASS VEH, SPRK IGN/ELEC CHRG, >6 CYL,1500-3000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600045 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | USED VEHICLES, SPK/ELEC (1500-3000 CC), NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600060 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC CHRG PLUG >3000CC, 4 CYL & UN, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600070 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC, CHRG PLUG >43000CC, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703600080 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, SPK IGN/ELEC CHRG PLUG >6 CYL, |
| 8703600090 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MTR VEH, SP IGN/ELEC, OVER 3000 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703700010 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASSENGER VEHICLES, DIESEL/ELEC, |
| 8703700030 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESE/ELEC, OV 1500 BT NT OV 2500 CC, NEW, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703700050 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS VEH, DIESL/ELEC, OV 1500 BT NT OV 2500 CC, USED, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703700070 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MOTOR VEH, DIESL/ELECTRIC, >2,500CC, NEW, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703700090 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASS MOTOR VEH, DIESL/ELECTRI, >2,500 CC, USED, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703800000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASSENGER MOTOR VEHICLES ONLY ELECTRC MOTOR, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8703900100 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PASSENGER MOTOR VEHICLES, NESOI, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8706001520 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | CHASSIS FITTED W/ENG, FOR PASSENGER AUTOMOBILES, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8707100020 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | BODIES FOR PASSENGER AUTOS OF HEADING 8703, AND VALUED AT $50,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711200000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES (INCLUDING MOPEDS), CYCL, EXC50CC, NT250C, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711300000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES (INCLUDING MOPEDS), CYCL, EXC250CC, NT500, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711400000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES, CYCL, EXC500, NT800CC, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711500000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES, CYCL, EXCD 800 CC, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711600000 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES (INCLUDING MOPED) ELECTRIC MOTOR, NESOI, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8711900100 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | MOTORCYCLES (INCLUDING MOPEDS), NESOI, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8714100010 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | SADDLES AND SEATS OF MOTORCYCLES, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 8714100090 | Vehicles other than railway or tramway rolling stock, and parts and accessories thereof | PARTS, NESOI, OF MOTORCYCLES, AND VALUED AT $5,000 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9020004000 | Optical, photographic, cinematographic, measuring, checking, precision, medical or surgical instruments and apparatus; parts and accessories thereof | UNDERWATER BREATHING DEVICES CARRIED ON PERSON, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101110000 | Clocks and watches and parts thereof | WRST WATCH, ELEC OPER, PRECIOUS METAL, MECH DISPLAY, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101192000 | Clocks and watches and parts thereof | WRIST WATCH, ELEC OPER, PRECIOUS METAL, OPTO-ELEC DSP, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101195000 | Clocks and watches and parts thereof | WRIST WATCH, ELECTRICALLY OPER, PRECIOUS METAL, NES, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101210000 | Clocks and watches and parts thereof | WRST WATCH, NT BATTERY, PRECIOUS METAL, AUTOMATIC, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101290000 | Clocks and watches and parts thereof | WRIST WATCHE, NT BATTERY, PRECIOUS METAL W/O AUTOM, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101910000 | Clocks and watches and parts thereof | OTH WATCH, PRECIOUS METAL, ELEC OPR, EXC WRST WATCH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9101990000 | Clocks and watches and parts thereof | OTH WATCH, PRCS METAL, NT BATTERY, EXC WRIST WATCH, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9111100000 | Clocks and watches and parts thereof | WTCH CASES, PRCS METAL OR METAL CLAD W PRCS METAL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9111900000 | Clocks and watches and parts thereof | PTS, WATCH CASES OF PRECIOUS METAL OR BASE METAL, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9113100000 | Clocks and watches and parts thereof | WATCH BANDS ETC, OF PRCS METAL/METAL CLAD W PRCS MT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9201200000 | Musical instruments; parts and accessories of such articles | GRAND PIANOS. |
| 9601100000 | Miscellaneous manufactured articles | WORKED IVORY AND ARTICLES OF IVORY. |
| 9601900000 | Miscellaneous manufactured articles | BONE, HORN, CORAL, ETC & OTH ANIMAL CARVING MATERL. |
| 9602004000 | Miscellaneous manufactured articles | MOLDED OR CARVED ARTICLES OF WAX. |
| 9603300000 | Miscellaneous manufactured articles | ARTISTS BRUSHES, & SIMILAR BRUSHES FOR COSEMTICS. |
| 9608300039 | Miscellaneous manufactured articles | FOUNTAIN PENS, STYLOGRAPH PENS AND OTHER PENS, NESOI. |
| 9616200000 | Miscellaneous manufactured articles | POWDER PUFFS & PADS TO APPLY COSMETICS, TOILET PREP. |
| 9701210000 | Works of art, collectors’ pieces and antiques | PAINTINGS, DRAWING AND PASTELS, OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9701220000 | Works of art, collectors’ pieces and antiques | MOSAICS OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9701290000 | Works of art, collectors’ pieces and antiques | COLLAGES & SIMILAR DECORATIVE PLAQUES, OF AN EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9701910000 | Works of art, collectors’ pieces and antiques | PAINTINGS, DRAWING AND PASTELS, OF AN AGE NOT EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9701920000 | Works of art, collectors’ pieces and antiques | MOSAICS, OF AN AGE NOT EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9701990000 | Works of art, collectors’ pieces and antiques | COLLAGES & SIMILAR DECORATIVE PLAQUES, OF AN AGE NOT EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9702100000 | Works of art, collectors’ pieces and antiques | ORIGINAL ENGRAVINGS, PRINTS & LITHOGRAPHS, OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9702900000 | Works of art, collectors’ pieces and antiques | ORIGINAL ENGRAVINGS, PRINTS & LITHOGRAPHS, OF AN AGE NOT EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9703100000 | Works of art, collectors’ pieces and antiques | ORIGINAL SCULPTURES AND STATUARY, IN ANY MATERIAL, OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9703900000 | Works of art, collectors’ pieces and antiques | ORIGINAL SCULPTURES AND STATUARY, IN ANY MATERIAL, NOT OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9704000000 | Works of art, collectors’ pieces and antiques | POSTAGE OR REVENUE STAMPS, FIRSTDAY COVERS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705100000 | Works of art, collectors’ pieces and antiques | COLLECTIONS & CLLCTRS’ PCS OF ARCH, ETHNO OR HIST INT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705210000 | Works of art, collectors’ pieces and antiques | HUMAN SPEC AND PARTS THEREOF, OF ZOO, BOT, MIN, ANA OR PALEO INT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705220000 | Works of art, collectors’ pieces and antiques | EXTINCT OR END SPECIES OR PARTS, OF ZOO, BOT, MIN, ANA, OR PALEO INT, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705290000 | Works of art, collectors’ pieces and antiques | COLLECTIONS & CLLCTRS’ PCS OF ZOO, BOT, MIN, ANA, PALEO INT, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705310030 | Works of art, collectors’ pieces and antiques | GOLD NUMISMATIC (COLLECTORS’) PIECES, OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705310060 | Works of art, collectors’ pieces and antiques | NUMISMATIC (COLLECTORS’) PIECES, EXCEPT GOLD, OF AN AGE EXCEEDING 100 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705390030 | Works of art, collectors’ pieces and antiques | GOLD NUMISMATIC (COLLECTORS’) PIECES, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9705390060 | Works of art, collectors’ pieces and antiques | NUMISMATIC (COLLECTORS’) PIECES, EXCEPT GOLD, NESOI, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9706100000 | Works of art, collectors’ pieces and antiques | ANTIQUES OF AN AGE EXCEEDING 250 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
| 9706900000 | Works of art, collectors’ pieces and antiques | ANTIQUES OF AN AGE EXCEEDING 100 YEARS BUT NOT EXCEEDING 250 YEARS, AND VALUED AT $300 PER UNIT WHOLESALE PRICE IN THE U.S. |
Supplement No. 6 to Part 746 – Russian and Belarusian Industry Sector Sanctions Pursuant to § 746.5(a )(1)(iii )
The items identified in this supplement are a subset of items that are otherwise designated as EAR99 under the Commerce Control List (CCL) in supplement no. 1 to part 774. These items may be useful for Russia’s chemical and biological weapons production capabilities or may be diverted from Belarus to Russia for these activities of concern. These items consist of discrete chemicals, biologics, fentanyl and its precursors, and related equipment. BIS has specified Chemical Abstract Numbers (CAS) where applicable in this supplement to assist exporters, reexporters, and transferors in classifying these items. In addition, paragraph (g) of supplement no. 6 to part 746 identifies equipment and other items that BIS has determined are not manufactured in Russia or are otherwise important to Russia in developing advanced production and development capabilities to enable advanced manufacturing across a number of industries or may be diverted from Belarus to Russia for these activities of concern.
(a) Chemicals in concentrations of 95% weight or greater, as follows:
(b) Chemicals in concentrations of 90% weight or greater, as follows:
(c) Fentanyl and its derivatives Alfentanil, Sufentanil, Remifentanil, Carfentanil, thiafentanil and salts thereof.
The items in paragraph (c) are from the EU list, as X.C.IX.002.
Consistent with EU List X.C.IX.002, paragraph (c) does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.
(d) Chemical precursors to Central Nervous System Acting Chemicals, as follows:
(1) 4-anilino-N-phenethylpiperidine (CAS 21409-26-7);
(2) N-phenethyl-4-piperidone (CAS 39742-60-4);
(3) Tert-butyl 4-(phenylamino) piperidine-1-carboxylate (CAS 125541-22-2);
(4) N-phenyl-N-(piperidin-4-yl)propionamide (Norfentanyl) (CAS 1609-66-1); or
(5) N-phenyl-4-piperidinamine (CAS 504-24-5).
The items in paragraph (d) are from the EU list, as X.C.IX.003.
Consistent with EU List X.C.IX.003, paragraph (d) does not control “chemical mixtures” containing one or more of the chemicals specified in paragraph (d) (and consistent with EU List entry X.C.IX.003) in which no individually specified chemical constitutes more than 1% by the weight of the mixture.
Consistent with EU List X.C.IX.003, paragraph (d) does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.
(e) Biologics: This paragraph (e) identifies certain biologics and biological equipment. The control on these items is intended to hinder Russia bioweapons production capabilities.
(1) Butyrylcholinesterase (BCHE);
(2) Cell culture materials, including cell lines, vectors, plasmids, and cell culture media, n.e.s.;
(3) Assay kits and reagents for nucleotide or peptide isolation, extraction, purification, or, n.e.s.;
(4) Isolated or purified nucleotides and oligonucleotides, n.e.s.;
(5) Isolated or purified amino acids, peptides and proteins, n.e.s.;
(6) Reagents and materials for oligonucleotide synthesis, n.e.s.; or
(7) Resins, reagents, and materials for peptide synthesis, n.e.s.
(f) Equipment: This paragraph (f) identifies additional equipment that BIS has determined is not manufactured in Russia. Therefore, the implementation of restrictive export controls on this equipment by the United States and our allies will economically impact Russia and significantly hinder Russia’s CBW production capabilities.
(1) Reaction vessels, agitators, heat exchangers, condensers, pumps (including single seal pumps), valves, storage tanks, containers, receivers, and distillation or absorption columns, n.e.s.;
(2) Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m
(3) Laboratory equipment, including “components,” “parts,” and “accessories” for such equipment, for the analysis or detection, destructive or non-destructive, of chemical substances, n.e.s.;
(4) Whole chlor-alkali electrolysis cells (mercury, diaphragm, and membrane) and “components” “specially designed” therefor as follows:
(i) Electrodes;
(ii) Diaphragms; and
(iii) Ion exchange membranes;
(5) Compressors “specially designed” to compress wet or dry chlorine, regardless of material of construction;
(6) Class II biosafety cabinets and glove boxes, n.e.s.;
(7) Floor-mounted fume hoods (walk-in style) with a minimum nominal width of 2.5 meters, n.e.s.;
(8) Full face-mask air-purifying and air-supplying respirators n.e.s.;
(9) Conventional or turbulent air-flow clean-air rooms and self-contained fan-HEPA filter units that may be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containment facilities;
(10) Microwave reactors;
(11) Well plates and microarrays;
(12) Fermenters and components therefor, n.e.s.;
(13) Centrifuges and ultracentrifuges capable of separating biological samples, with a maximum capacity of 5L, “components” and “accessories” therefor, n.e.s., including centrifuge tubes and concentrators;
(14) Filtration equipment, “components,” “parts,” and “accessories,” capable of use in handling biological materials, n.e.s.;
(15) Nucleic acid synthesizers and assemblers, “components,” “parts,” and “accessories,” n.e.s.;
(16) Polymerase chain reaction (PCR) and quantitative PCR (qPCR) instruments “components,” “parts,” and “accessories;”
(17) Robotic liquid handling instruments, “components,” “parts,” and “accessories,” n.e.s.;
(18) Chromatography and spectrometry “components,” “parts,” and “accessories,” n.e.s.;
(19) Nucleic acid sequencers, “components,” “parts,” and “accessories;”
(20) Aerosol inhalation testing equipment, components, parts and accessories, n.e.s.;
(21) Flow cytometry equipment, components, parts and accessories, n.e.s.;
(22) Probe sonicators, cell disruptors and tissue homogenizers;
(23) ‘Continuous flow reactors’ and their ‘modular components,’ “parts,” and “accessories,” n.e.s;
1. Consistent with EU List X.B.X.001, for purposes of paragraph (f)(23) ‘continuous flow reactors’ consist of plug and play systems where reactants are continuously fed into the reactor and the resultant product is collected at the outlet.
2. Consistent with EU List X.B.X.001, for purposes of paragraph (f)(23) ‘modular components’ are fluidic modules, liquid pumps, valves, packed-bed modules, mixer modules, pressure gauges, liquid-liquid separators, etc.
(24) – (26) [Reserved]
(27) Peptide synthesizers, “components,” “parts,” and “accessories.”
Consistent with the definitions in part 772 of the EAR, “components,” “parts,” and “accessories” include consumables.
(g) Quantum computing and advanced manufacturing: This paragraph (g) identifies additional equipment and other items that are believed to not be manufactured in Russia or are otherwise important to Russia in developing advanced production and development capabilities.
(1) ‘Quantum Computers’, and “specially designed” “electronic assemblies” and “components” therefor, as follows:
(i) Quantum processing units, qubit circuits, and qubit devices;
(ii) Quantum control “components” and quantum measurement devices.
Quantum processing units, qubit circuits and qubit devices include but are not limited to semiconductor, superconducting, Ion Trap, photonic interaction, silicon/spin, cold atoms.
Quantum control “components” and quantum measurement devices applies to items designed for calibrating, initializing, manipulating or measuring the resident qubits of a quantum computer.
(2) ‘Cryogenic refrigeration systems’ designed to maintain temperatures below 1.1k for 48hrs or more and “specially designed” cryogenic refrigeration equipment and “components” as follows:
(i) Pulse Tubes;
(ii) Cryostats;
(iii) Dewars;
(iv) Gas Handling System (GHS);
(v) Compressors;
(vi) Control Units;
Note 9 to paragraph (g)(2): ‘Cryogenic refrigeration systems’ include but are not limited to Dilution Refrigeration, Adiabatic Demagnisation Refrigerators and Laser Cooling Systems.
(3) Ultra-High Vacuum (UHV) equipment as follows:
(i) UHV pumps (sublimation, turbomolecular, diffusion, cryogenic, ion-getter);
(ii) UHV pressure gauges.
UHV means 100 nanoPascals (nPa) or lower.
(4) High Quantum Efficiency (QE) photodetectors and sources with a QE greater than 80% in the wavelength range exceeding 300nm but not exceeding 1700nm;
(5) Manufacturing equipment as follows:
(i) Additive manufacturing equipment for the production of metal parts;
This entry identified under paragraph (5)(i) only applies to the following systems:
1. Powder-bed systems using Selective Laser Melting (SLM), laser cusing; Direct Metal Laser Sintering (DMLS) or Electron Beam Melting (ELB), or
2. Powder-fed systems using laser cladding, direct energy deposition or laser metal deposition.
(ii) Additive manufacturing equipment for “energetic materials”, including equipment using ultrasonic extrusion;
(iii) Vat photopolymerisation additive manufacturing equipment using Stereo Lithography (SLA) or Direct Light Processing (DLP)
(6) Metal powders and metal alloy powders “specially designed” for the additive manufacturing equipment specified in 3a.
(7) Microscopes, related equipment and detectors, as follows:
(i) Scanning Electron Microscopes (SEM);
(ii) Scanning Auger Microscopes;
(iii) Transmission Electron Microscopes (TEM);
(iv) Atomic Force Microscopes (AFM);
(v) Scanning Force Microscopes (SFM);
(vi) Equipment and detectors “specially designed” for use with the microscopes specified in a. to e., employing any of the following:
(A) X-ray Photo Spectroscopy (XPS):
(B) Energy-Dispersive X-ray Spectroscopy (EDX, EDS);
(C) Electron Back Scatter Detector (EBSD) systems;
(D) Electron Spectroscopy for Chemical Analysis (ESCA).
(8) ‘Decapsulation’ equipment for semiconductor devices.
‘Decapsulation’ is the removal of a cap, lid, or encapsulating material from a packaged integrated circuit by mechanical, thermal, or chemical methods.
(9) “Software” “specially designed” or modified for the “development”, “production” or “use” of the items specified in paragraphs (g)(1) through (8) of this supplement.
(10) “Software” for Digital Twins (DT) of additive manufacture products or for the determination of the reliability of additive manufacture products.
(11) “Technology” for the “development”, “production” or “use” of the items specified in paragraphs (g)(1) through (10) of this supplement.
Supplement No. 7 to Part 746 – Items That Require a License Under § 746.7 When Destined to Iran and Under § 746.8 When Destined to Russia or Belarus
The items identified in this supplement are a subset of items that are identified in specific Export Control Classification Numbers or designated as EAR99 under the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR. Also see paragraph (f) of § 734.9 of the EAR for the Russia/Belarus Foreign Direct Product (FDP) rule and paragraph (j) for the Iran FDP rule. Both of these FDP rules include the items identified in this supplement as part of the criteria for what foreign made items are subject to the EAR.
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and descriptions in this list is the United States International Trade Commission (USITC’s) Harmonized Tariff Schedule of the United States (2023). The items described in this supplement include any modified or designed “components,” “parts,” “accessories,” and “attachments” therefor regardless of the HTS Code or HTS Description of the “components,” “parts,” “accessories,” and “attachments,” apart from any “part” or minor “component” that is a fastener (e.g., screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer, spacer, insulator, grommet, bushing, spring, wire, or solder. This supplement includes two columns consisting of the HTS Code and HTS Description to assist exporters, reexporters, and transferors in identifying the products in this supplement. For information on HTS codes in general, you may contact a local import specialist at U.S. Customs and Border Protection at the nearest port.
(b) The items classified under the provisions identified in the HTS-6 Code column of this supplement are subject to the license requirements under §§ 746.7(a)(1)(ii) and (iii) and 746.8(a)(2). The other column – HTS Description – is intended to assist exporters with their AES filing responsibilities. The license requirements extend to HTS Codes at the 8 and 10 digit level when those HTS-8 and HTS-10 codes begin with the HTS-6 Codes as the first 6 numbers of those longer HS Codes.
| HTS-6 codes | HTS description |
|---|---|
| 840710 | Aircraft spark-ignition reciprocating or rotary internal combustion piston engines. |
| 840890 | Compression-ignition internal combustion piston engines (diesel or semi-diesel engines), NESOI. |
| 840910 | Parts for spark-ignition or rotary internal combustion piston engines or compression-ignition internal combustion piston engines, for aircraft. |
| 847150 | Processing units other than those of subheading 8471.41 or 8471.49, whether or not containing in the same housing one or two of the following types of unit: storage units, input units, output units. |
| 851762 | Machines for the reception, conversion and transmission or regeneration of voice, images or other data, including switching and routing apparatus. |
| 852691 | Radio navigational aid apparatus. |
| 853221 | Tantalum capacitors. |
| 853224 | Fixed capacitors NESOI, multilayer ceramic dielectric. |
| 854231 | Processors and controllers, whether or not combined with memories, converters, logic circuits, amplifiers, clock and timing circuits, or other circuits. |
| 854232 | Memories. |
| 854233 | Amplifiers. |
| 854239 | Other electronic integrated circuits. |
PART 747 [RESERVED]
PART 748 – APPLICATIONS (CLASSIFICATION, ADVISORY, AND LICENSE) AND DOCUMENTATION
§ 748.1 General provisions.
(a) Scope. In this part, references to the Export Administration Regulations or EAR are references to 15 CFR chapter VII, subchapter C. The provisions of this part involve requests for classifications and advisory opinions, export license applications, reexport license applications, and certain license exception notices subject to the EAR. All terms, conditions, provisions, and instructions, including the applicant and consignee certifications, contained in electronic or paper form(s) are incorporated as part of the EAR. For the purposes of this part, the term “application” refers to both electronic applications and the Form BIS-748P: Multipurpose Application.
(b) BIS responses. BIS will give a formal classification, advisory opinion or licensing decision only through the review of a properly completed application supported by all relevant facts and required documentation submitted in writing or electronically to BIS.
(c) Confidentiality. Consistent with section 12(c) of the Export Administration Act, as amended, information obtained for the purpose of considering license applications, and other information obtained by the U.S. Department of Commerce concerning license applications, will not be made available to the public without the approval of the Secretary of Commerce or of the Under Secretary for Industry and Security.
(d) Electronic filing required. All export and reexport license applications, License Exception AGR notifications, requests to authorize use of License Exception STA for “600 series” end items (which are currently submitted as export license applications) and classification requests and their accompanying documents must be filed via BIS’s Simplified Network Application Processing system (SNAP-R), unless BIS authorizes submission via the paper forms BIS 748-P (Multipurpose Application Form), BIS-748P-A (Item Appendix) and BIS-748P-B, (End-User Appendix). Only original paper forms may be used. Facsimiles or reproductions are not acceptable.
(1) Reasons for authorizing paper submissions. BIS will process paper applications notices or requests if the submitting party meets one or more of the following criteria:
(i) BIS has received no more than one submission (i.e. the total number of export license applications, reexport license applications, license exception AGR notifications, and classification requests) from that party in the twelve months immediately preceding its receipt of the current submission;
(ii) The party does not have access to the Internet;
(iii) BIS has rejected the party’s electronic filing registration or revoked its eligibility to file electronically;
(iv) BIS has requested that the party submit a paper copy for a particular transaction; or
(v) BIS has determined that urgency, a need to implement U.S. government policy or a circumstance outside the submitting party’s control justify allowing paper submissions in a particular instance.
(2) Procedure for requesting authorization to file paper applications, notifications, or requests. The applicant must state in Block 24 or as an attachment to the paper application (Form BIS 748-P) which of the criteria in paragraph (d)(1) of this section it meets and the facts that support such statement. Submit the completed application, notification or request to Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania, NW., Room 2099B, Washington DC 20230.
(3) BIS decision. If BIS authorizes or requires paper filing pursuant to this section, it will process the application, notification or request in accordance with part 750 of the EAR. If BIS rejects a request to file using paper, it will return the Form BIS-748P and all attachments to the submitting party without action and will state the reason for its decision.
§ 748.2 Obtaining forms; mailing addresses.
(a) You may obtain the forms required by the EAR from any U.S. Department of Commerce District Office; or in person or by telephone or facsimile from the following BIS offices:
(1) Outreach and Educational Services Division, U.S. Department of Commerce, 14th Street and Pennsylvania Ave., NW., Room H1099D, Washington, DC 20230, Tel: (202) 482-4811, Fax: (202) 482-2927, or
(2) Bureau of Industry and Security, Western Regional Office, U.S. Department of Commerce, 2302 Martin St., Suite 330, Irvine, CA 92612, Tel: (949) 660-0144, Fax: (949) 660-9347, or
(3) Bureau of Industry and Security, Western Regional Office, Northern California Branch, U.S. Department of Commerce, 160 W. Santa Clara Street, Suite 725, San Jose, CA 95113, Tel: (408) 998-8806, Fax: (408) 998-8677.
(b) For the convenience of foreign consignees and other foreign parties, certain BIS forms may be obtained at U.S. Embassies and Consulates throughout the world.
§ 748.3 Classification requests and advisory opinions.
(a) Introduction. You may ask BIS to provide you with the correct Export Control Classification Number (ECCN) down to the paragraph (or subparagraph) level, if appropriate. BIS will issue you a determination that each item identified in your classification request is either described by an ECCN in the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR or not described by an ECCN and, therefore, an “EAR99” item. These classification determinations issued by BIS are not U.S. Government determinations that the items described therein are “subject to the EAR,” as this term is defined in § 734.3 of the EAR. Those who request commodity classifications and advisory opinions should have determined that the items at issue are not subject to the exclusive export control jurisdiction of one of the other U.S. Government agencies listed in § 734.3(b) of the EAR. If requested, for a given end-use, end-user, and/or destination, BIS will advise you whether a license is required, or likely to be granted, for a particular transaction. Note that these responses do not bind BIS to issuing a license in the future. This type of request, along with requests for guidance regarding other interpretations of the EAR, is commonly referred to as an “Advisory Opinion.” The encryption provisions in the EAR require the submission of a classification request in accordance with § 740.17(d) of the EAR in order for certain items to be eligible for export and reexport under License Exception ENC (see § 740.17 of the EAR) or to be released from “EI” controls (see §§ 740.17(b)(2) and 740.17(b)(3) of the EAR).
(b) Classification requests. Submit classification requests in accordance with the procedures in § 748.1.
(1) Each Classification Request must be limited to six items. Exceptions may be granted by BIS on a case-by-case basis for several related items if the relationship between the items is satisfactorily substantiated in the request. Classification requests must be supported by any descriptive literature, brochures, precise technical specifications or papers that describe the items in sufficient technical detail to enable classification by BIS submitted as PDF files attached to the SNAP-R submission unless a paper submission is authorized pursuant to § 748.1 of the EAR.
(2) When submitting a classification request, you must complete Blocks 1 through 5, 14, 22(a), (b), (c), (d), and (i), 24, and 25 on the application. You must provide a recommended classification in Block 22(a) and explain the basis for your recommendation based on the technical parameters specified in the appropriate ECCN in Block 24. If you are unable to determine a recommended classification for your item, include an explanation in Block 24, identifying the ambiguities or deficiencies that precluded you from making a recommended classification.
(3) BIS assigns each of its commodity classifications a Commodity Classification Automated Tracking System (CCATS) number. Neither the BIS classification nor the CCATS number may be relied upon or cited as evidence that the U.S. Government has determined that the items described in the commodity classification determination are subject to the EAR (See 15 CFR 734.3).
(c) Advisory opinions. Advisory opinion requests must be made in writing, and may be delivered to BIS by mail, by email, or through the BIS website. If delivering a request by mail, submit to the address listed in § 748.1(d)(2). Both your letter and envelope must be marked “Advisory Opinion.” If submitting by email, submit to [email protected] with the subject title “Advisory Opinion.” If submitting through the BIS website, see http://www.bis.doc.gov.
(1) Your submission must contain the following information if you are requesting guidance regarding interpretations of the EAR:
(i) The name, title, and telephone and facsimile numbers of the person to contact,
(ii) Your complete address comprised of street address, city, state, country, and postal code; and
(2) If you are requesting BIS to determine whether a license is required, or the licensing policy related to a particular end-use, end-user, and/or destination, in addition to the information required in § 748.3(c)(1) you must also include:
(i) All available information on the parties to the transaction and the proposed end-use or end-user,
(ii) The model number for each item, where appropriate,
(iii) The Export Control Classification Number, if known, for each item; and
(iv) Any descriptive literature, brochures, technical specifications or papers that describe the items in sufficient technical detail to enable BIS to verify the correct classification.
(3) Requests for Validated End-User authorization should be submitted in accordance with the provisions set forth in § 748.15 and supplement nos. 8 and 9 to this part.
(4) Advisory opinions are limited in scope to BIS’s interpretation of EAR provisions. Advisory opinions differ from commodity classifications in that advisory opinions are not limited to the interpretation of provisions contained in the Commerce Control List. Advisory opinions may not be relied upon or cited as evidence that the U.S. Government has determined that the items described in the advisory opinion are not subject to the export control jurisdiction of another agency of the U.S. Government (See 15 CFR 734.3).
(d) Classification requests for encryption items. A classification request associated with encryption items transferred from the U.S. Munitions List consistent with Executive Order 13026 of November 15, 1996 (3 CFR, 1996 Comp., p. 228) and pursuant to the Presidential Memorandum of that date may be required to determine eligibility under License Exception ENC or for release from “EI” controls. Refer to supplement no. 6 to part 742 of the EAR for a complete list of technical information that is required for encryption classification requests. Refer to § 740.17(e)(3) and supplement no. 8 to part 742 of the EAR for information that is required to be submitted in a self-classification report. Refer to § 740.17(b) of the EAR for instructions regarding mass market encryption commodities and software, including self-classifications and classification requests. Refer to § 740.17 of the EAR for the provisions of License Exception ENC, including encryption self-classifications, classification requests and sales reporting. All classification requests, notifications and reports submitted to BIS pursuant to §§ 740.17 and 742.15(b) of the EAR will be reviewed by the ENC Encryption Request Coordinator, Ft. Meade, MD.
(e) Classification requests to confirm that a “part,” “component,” “accessory,” “attachment,” or “software” is not “specially designed” – (1) Scope. If you have a “part,” “component,” “accessory,” “attachment,” or “software” that is “specially designed” on the basis of paragraph (a)(1) or (2) of the “specially designed” definition in § 772.1 of the EAR, you may submit a request in accordance with the procedures in § 748.1 to confirm that the item is not “specially designed” provided you meet the following criteria:
(i) The “part,” “component,” “accessory,” “attachment,” or “software” does not meet the criteria of exclusion paragraph (b)(3) of the “specially designed” definition, but would meet the criteria if the minor changes in form or fit were determined to be insignificant by the U.S. Government.
(ii) The performance capabilities of the “part,” “component,” “accessory,” “attachment,” or “software” are the same as those of a “part,” “component,” “accessory,” “attachment,” or “software” that would meet the criteria of exclusion paragraph (b)(3) of the definition of “specially designed” in § 772.1 of the EAR.
(2) Information to be provided. Applicants wishing to submit a CCATS requesting confirmation that a “part,” “component,” “accessory,” “attachment,” or “software” is not “specially designed” must submit classification requests in accordance with the procedures in § 748.1 and general provisions regarding submitting classification requests in § 748.3(b). In addition, applicants must submit additional information identified in this paragraph (e)(2).
(i) The classification request must indicate in Block 24 or in a separate PDF attachment included with the CCATS submission that the “part,” “component,” “accessory,” “attachment” or “software” would meet the criteria in paragraph (e)(1)(i) and (ii) of this section;
(ii) A detailed explanation must be provided regarding all changes in form and fit; and
(iii) A rationale must be provided that explains why such changes in form and fit should be treated as minor or insignificant in terms of their role in the performance capabilities of the enumerated item.
(3) U.S. Government Review. Commodity classification requests submitted pursuant to § 748.3(e) are reviewed by the Departments of Commerce, State and Defense. A consensus determination is required to confirm that a “part,” “component,” “accessory,” “attachment,” or “software” is not “specially designed” on the basis of this paragraph. The interagency review process will ensure U.S. national security and foreign policy interests are evaluated prior to any confirmation pursuant to § 748.3(e). The interagency review will consider on a case-by-case basis whether a particular “part,” “component,” “accessory,” “attachment,” or “software” is “specially designed” taking into account all the following:
(i) The insignificance of the changes in form and fit;
(ii) The overall role of the “part,” “component,” “accessory,” “attachment,” or “software” in the performance capabilities of the enumerated or otherwise described item that it is used in or with;
(iii) How substantively common it is to the other “part,” “component,” “accessory,” “attachment,” or “software” that would meet the paragraph (b)(3) criteria;
(iv) Whether such a confirmation would be consistent with U.S. Government multilateral export control regime commitments; and
(v) Any other criteria that may be relevant in determining whether the “part,” “component,” “accessory,” “attachment,” or “software” is “specially designed,” including an evaluation of how such a confirmation may affect U.S. national security and foreign policy interests.
(4) CCATS response. The BIS response to the CCATS request will reflect the interagency consensus determination and the response will be made in accordance with the procedures in §§ 748.1 and 748.3(b). In addition, the BIS response will indicate one of the following:
(i) The “part,” “component,” “accessory,” “attachment,” or “software” is not “specially designed” on the basis of being within the scope of paragraph (b)(3) because the changes in form and fit have been determined by the U.S. Government to be minor or insignificant. In such cases, the new classification, which may be EAR99 or in another ECCN entry that does not use “specially designed,” will be provided as part of the BIS response;”
(ii) The request under § 748.3(e) has been denied and the “part,” “component,” “accessory,” “attachment,” or “software” continues to be classified under a “specially designed” ‘catch-all’ (see the definition of “specially designed” in § 772.1 of the EAR). The response will also include a determination regarding where the “specially designed” “part,” “component,” “accessory,” “attachment,” or “software” is classified on the CCL; or
(iii) Returned without action (RWA) because insufficient information was provided or information was not provided in a timely fashion. These requests will be reviewed closely, and they will likely require additional follow up questions of applicants, so responding to such requests in a timely fashion will be an important part of the process to ensure such requests are considered by the U.S. Government.
Although these requests for confirmation that an item is not “specially designed” are also reviewed by the Departments of State and Defense, similar to § 748.3(b)(3), the public is reminded that neither the BIS classification nor the CCATS number may be relied upon or cited as evidence that the U.S. Government has determined that the “parts,” “components,” “accessories,” “attachments” and “software” described in the commodity classification determination or a release made from “specially designed” pursuant to § 748.3(e) are subject to the EAR (see § 734.3 of the EAR).
(a) License applicant – (1) Export transactions. Only a person in the United States may apply for a license to export items from the United States. The applicant must be the exporter, who is the U.S. principal party in interest with the authority to determine and control the sending of items out of the United States, except for Encryption License Arrangements (ELA) (see § 750.7(d) of the EAR). See definition of “exporter” in part 772 of the EAR.
(2) Routed export transactions. The U.S. principal party in interest or the duly authorized U.S. agent of the foreign principal party in interest may apply for a license to export items from the United States. Prior to submitting an application, the agent that applies for a license on behalf of the foreign principal party in interest must obtain a power of attorney or other written authorization from the foreign principal party in interest. See § 758.3(b) and (d) of the EAR.
(3) Reexport transactions. The U.S. or foreign principal party in interest, or the duly authorized U.S. agent of the foreign principal party in interest, may apply for a license to reexport controlled items from one country to another. Prior to submitting an application, an agent that applies for a license on behalf of a foreign principal party in interest must obtain a power-of-attorney or other written authorization from the foreign principal party in interest, unless there is a preexisting relationship by ownership, control, position of responsibility or affiliation. See power-of-attorney requirements in paragraph (b)(2) of this section.
(b) Disclosure of parties on license applications and the power of attorney – (1) Disclosure of parties. License applicants must disclose the names and addresses of all parties to a transaction. When the applicant is the U.S. agent of the foreign principal party in interest, the applicant must disclose the fact of the agency relationship, and the name and address of the agent’s principal. If there is any doubt about which persons should be named as parties to the transaction, the applicant should disclose the names of all such persons and the functions to be performed by each in Block 24 of the application. Note that when the foreign principal party in interest is the ultimate consignee or end-user, the name and address need not be repeated in Block 24. See “Parties to the transaction” in § 748.5.
(2) Power of attorney or other written authorization – (i) Requirement. An agent must obtain a power of attorney or other written authorization from the principal party in interest, unless there is a preexisting relationship by ownership, control, position of responsibility or affiliation, prior to preparing or submitting an application for a license, when acting as either:
(A) An agent, applicant, licensee and exporter for a foreign principal party in interest in a routed transaction; or
(B) An agent who prepares an application for export on behalf of a U.S. principal party in interest who is the actual applicant, licensee and exporter in an export transaction.
(ii) Application. Block 7 of the application (documents on file with applicant) must be marked “other” and Block 24 (Additional information) must be marked “748.4(b)(2)” to indicate that the power of attorney or other written authorization is on file with the agent. See § 758.3(d) for power of attorney requirement, and see also part 762 of the EAR for recordkeeping requirements.
(c) Prohibited from applying for a license. No person subject to a denial order based on a conviction for a violation of any statute specified at 50 U.S.C. 4819(e)(1)(B) may apply for any license for a period up to 10 years from the date of the conviction. The duration of the prohibition shall be included as a term of the denial order. See § 766.25 of the EAR.
(d) Prior action on a shipment. If you have obtained a license without disclosure of the facts described in this section, the license will be deemed to have been obtained without disclosure of all facts material to the granting of the license and the license so obtained will be deemed void. See part 764 of the EAR for other sanctions that may result in the event a violation occurs.
(1) Licenses for items subject to detention or seizure. If you submit a license application for items that you know have been detained or seized by the Office of Export Enforcement or by the U.S. Customs Service, you must disclose this fact to BIS when you submit your license application.
(2) Licenses for items previously exported. You may not submit a license application to BIS covering a shipment that is already laden aboard the exporting carrier, exported or reexported. If such export or reexport should not have been made without first securing a license authorizing the shipment, you must send a letter of explanation to the Office of Export Enforcement, U.S. Department of Commerce, 14th and Pennsylvania Avenue, N.W., H4520, Washington, D.C., 20230. The letter must state why a license was not obtained and disclose all facts concerning the shipment that would normally have been disclosed on the license application. You will be informed of any action and furnished any instructions by the Office of Export Enforcement.
(e) Multiple shipments. Your license application need not be limited to a single shipment, but may represent a reasonable estimate of items to be shipped throughout the validity of the license. Do not wait until the license you are using expires before submitting a new application. You may submit a new application prior to the expiration of your current license in order to ensure uninterrupted shipping.
(f) Second application. You may not submit a second license application covering the same proposed transaction while the first is pending action by BIS.
(g) Resubmission. If a license application is returned without action to you by BIS or your application represents a transaction previously denied by BIS, and you want to resubmit the license application, a new license application must be completed in accordance with the instructions contained in supplement no. 1 to part 748. Cite the Application Control Number on your original application in Block 24 on the new license application.
(h) Emergency processing. Applicants may request emergency processing of license applications by contacting the Outreach and Educational Services Division of the Office of Exporter Services by telephone on (202) 482-4811 or by facsimile on (202) 482-2927. Refer to the Application Control Number when making emergency processing requests. BIS will expedite its evaluation, and attempt to expedite the evaluations of other government agencies, of a license application when, in its sole judgement, the circumstances justify emergency processing. See § 750.7(g) of the EAR for the limit on the validity period of emergency licenses.
§ 748.5 Parties to the transaction.
The following parties may be entered on the application. The definitions, which also appear in part 772 of the EAR, are set out here for your convenience to assist you in filling out your application correctly.
(a) Applicant. The person who applies for an export or reexport license, and who has the authority of a principal party in interest to determine and control the export or reexport of items. See § 748.4(a) and definition of “exporter” in part 772 of the EAR.
(b) Other party authorized to receive license. The person authorized by the applicant to receive the license. If a person and address is listed in Block 15 of the application, the Bureau of Industry and Security will send the license to that person instead of the applicant. Designation of another party to receive the license does not alter the responsibilities of the applicant, licensee or exporter.
(c) Purchaser. The person abroad who has entered into the transaction to purchase an item for delivery to the ultimate consignee. In most cases, the purchaser is not a bank, forwarding agent, or intermediary. The purchaser and ultimate consignee may be the same entity.
(d) Intermediate consignee. The person that acts as an agent for a principal party in interest and takes possession of the items for the purpose of effecting delivery of the items to the ultimate consignee. The intermediate consignee may be a bank, forwarding agent, or other person who acts as an agent for a principal party in interest.
(e) Ultimate consignee. The principal party in interest located abroad who receives the exported or reexported items. The ultimate consignee is not a forwarding agent or other intermediary, but may be the end-user.
(f) End-user. The person abroad that receives and ultimately uses the exported or reexported items. The end-user is not a forwarding agent or intermediary, but may be the purchaser or ultimate consignee.
§ 748.6 General instructions for license applications.
(a) Instructions. (1) General instructions for filling out license applications are in supplement no. 1 to this part.
(2) License applications may require additional information due to the type of items requested in the application or the characteristics of the transaction. Special instructions for applications requiring such additional information are listed in § 748.8 and described fully in supplement no. 2 to this part.
(3) License applications may also require additional information for evaluation of the parties in the transaction. Special instructions for applications requiring such additional information are listed in §§ 748.9 through 748.13.
(b) Application Control Number. Each application has an application control number.The Application Control Number, consisting of a letter followed by six digits, is for use by BIS when processing applications, and by applicants when communicating with BIS 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 BIS 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) Attachments to applications. Documents required to be submitted with applications filed via SNAP-R must be submitted as PDF files using the procedures described in SNAP-R. Documents required to be submitted with paper applications must bear the application control number to which they relate and, if applicable, be stapled to the paper form. Where necessary, BIS 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 BIS, whether a license has been granted or the license application is still under consideration. If a license has been granted and such changes are not excepted in § 750.7(c) of the EAR, they must be reported immediately to BIS, 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.
(a) Scope. This section describes the procedures for registering to submit electronic documents to BIS. The procedures in this section apply to submission of export and reexport license applications, classification requests, and License Exception AGR notifications.
(b) Registration and use of BIS’s Simplified Network Applications System – Redesign (SNAP-R). Parties wishing to submit electronically must log on to https://snapr.bis.doc.gov/registration to register. Upon initial registration, the party (the filing entity) will have to supply the name of the entity that will be submitting documents electronically and its address and the name, telephone number, facsimile number and e-mail address of the person who will act as account administrator. The person will be required to certify that the information so supplied is correct and complete, that the person has authority to register the entity that will be making electronic submissions and that the person has authority to act as an account administrator for that entity.
(c) Role of account administrator. The account administrator is able to add and remove individual users to and from the account of the filing entity for which it is the account administrator. The account administrator can also make individual users account administrators and can terminate an individual user’s administrator status. The account administrator can deactivate the account of an individual user and reactivate the account of a previously deactivated individual user. The account administrator can update the filing entity’s identifying information such as name and address and any individual user’s identifying information such as name, telephone number, facsimile number and e-mail address. The account administrator can reset individual users’ passwords.
(d) Role of individual users. An individual user may submit to BIS export and reexport license applications, classification requests, and License Exception AGR notifications.
(e) Effect of submission to BIS. BIS may refuse to accept an electronic submission if it has reason to believe that the individual user making the submission lacks authority to do so. However, BIS is not obligated to conduct any checks to determine whether an individual user has the necessary authority and will generally treat users as acting within their authority. Acting through their account administrators, parties have the ability to remove an individual user when that individual user is no longer authorized to make submissions on behalf of that party to BIS and should do so promptly.
(f) Requirement to keep identifying information accurate and current – (1) Filing entities. Filing entities must, through their account administrators, update their identifying information such as name, address and telephone number in their SNAP-R account as necessary to keep that information accurate and current.
(2) Individual users. Individual users must, through their account administrators, update their identifying information such as name, telephone number, facsimile number and e-mail address in their SNAP-R accounts as necessary to keep that information accurate and current.
§ 748.8 Unique application and submission 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) [Reserved]
(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.
(m) Robots.
(n) Short Supply controlled items.
(o) Technology.
(p) Temporary exports or reexports.
(q) Exports of chemicals controlled for CW reasons by ECCN 1C350 to countries not listed in supplement no. 2 to part 745 of the EAR.
(r) Encryption classification requests.
(s)-(t) [Reserved]
(u) Aircraft and vessels on temporary sojourn.
(v) In-country transfers.
(w) License Exception STA eligibility requests for “600 series” end items.
(x) License application for a transaction involving a 9×515 and “600 series” item that is equivalent to a transaction previously approved under an ITAR license or other approval.
(y) Satellite exports.
§ 748.9 Support documents for evaluation of foreign parties in license applications and/or for promoting compliance with license requirements.
(a) Scope. License applicants may be required to obtain support documents concerning the foreign parties and the disposition of the items intended for export, reexport, or transfer (in-country). Some support documents are issued by foreign governments, while other support documents are signed and issued by the purchaser and/or ultimate consignee. For support documents issued by foreign governments, any foreign legal restrictions or obligations exercised by the government issuing the support document are in addition to the conditions and restrictions placed on the transaction by BIS. However, the laws and regulations of the United States are in no way modified, changed, or superseded by the issuance of a support document by a foreign government.
(b) Requirements to obtain support documents for license applications. Unless an exception in paragraph (c) of this section applies, a support document is required for certain license applications for:
(1) The People’s Republic of China (PRC) other than the Hong Kong Special Administrative Region (see §§ 748.10 and 748.11(a)(2));
(2) “600 Series Major Defense Equipment” (see § 748.11);
(3) Firearms and related commodities to member countries of the Organization of American States (see § 748.12); and
(4) The Hong Kong Special Administrative Region of the People’s Republic of China (see § 748.13).
On a case-by-case basis, BIS may require license applicants to obtain a support document for any license application.
For End-Use Certificate requirements under the Chemical Weapons Convention, see § 745.2 of the EAR.
(c) Exceptions to requirements to obtain support documents. (1) Even if a support document requirement is imposed by paragraph (b) of this section, no support document is required for any of the following situations:
(i) The ultimate consignee or purchaser is an “Agency of the United States Government” (see § 740.11(b)(1) for definition). If either the ultimate consignee or purchaser is not an agency of the United States government, however, a support document may still be required from the non-U.S. governmental party;
(ii) The ultimate consignee or purchaser is a foreign government(s) or foreign government agency(ies), other than the government of the People’s Republic of China. To determine whether the parties in a transaction meet the definition of “foreign government agency,” refer to the definition contained in part 772 of the EAR. If either the ultimate consignee or purchaser is not a foreign government or foreign government agency, however, a support document may still be required from the nongovernmental party;
(iii) 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;
(iv) The license application is submitted for commodities for temporary exhibit, demonstration, or testing purposes;
(v) The license application is submitted for commodities controlled for short supply reasons (see part 754 of the EAR);
(vi) [Reserved]
(vii) The license application is submitted for software or technology; or
(viii) The license application is submitted for encryption commodities controlled under ECCN 5A002, 5A004 or 5B002.
(2) BIS will consider granting an exception to the requirement for obtaining a support document where the requirements cannot be met due to circumstances beyond the applicant’s control. An exception will not be granted contrary to the objectives of the U.S. export control laws and regulations. Refer to § 748.13 of this part for specific instructions on procedures for requesting an exception.
(d) Content of support documents. In addition to specific requirements described for each support document in §§ 748.10, 748.11, and 748.12, the use and submission of support documents must comply with the following requirements.
(1) English translation. 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 the applicant to be correct. Explanations or translations should be provided on a separate piece of paper, and not entered on the support documents themselves.
(2) Responsibility for full disclosure. (i) The license application covering the transaction discloses all facts pertaining to the transaction. Information contained in a support document obtained after submission of a license application and not submitted to BIS as part of the application cannot be construed as extending or expanding or otherwise modifying the specific information supplied in a license application or license issued by BIS. The authorizations contained in the resulting license are not extended by information contained in the support document regarding reexport from the country of destination, transfer (in-country), or any other facts relative to the transaction that are not reported on the license application.
(ii) Misrepresentations, either through failure to disclose facts, concealing a material fact, or furnishing false information, may subject responsible parties to administrative or criminal action by BIS.
(iii) In obtaining the required support document, the applicant is not relieved of the responsibility for full disclosure of any other information concerning the ultimate destination, end use, or end user of which the applicant knows, even if inconsistent with the representations made in the applicable support document. The applicant is responsible for promptly notifying BIS of any change in the facts contained in the support document that comes to the applicant’s attention.
(e) Procedures for using support document with license application – (1) Timing for obtaining support document. When a support document is required for a license application in §§ 748.10, 748.11, and 748.12, license applicants may submit the application prior to receipt of a copy of the support document, unless BIS informs the applicant that the support document must be submitted with the application. However, if the license is granted, items authorized on the license may not be exported, reexported, or transferred (in-country) until the license holder obtains a copy of the support document. The documents issued by the Government of the Hong Kong Special Administrative region that are required pursuant to § 748.13 are not used to evaluate license applications. They must be obtained before shipment and need not be obtained before submitting a license application.
(2) Information necessary for license application. When a support document is required for a license application, applicants should mark the appropriate box in Block 7, regardless of whether a copy of the support document is on file with the applicant at the time of submission.
(f) Recordkeeping provisions. License applicants must retain on file the original or a copy of any support document issued in support of a license application submitted to BIS. All recordkeeping provisions in part 762 of the EAR apply to this requirement.
(g) Effect on license application review. BIS reserves the right in all respects to determine to what extent any license will be issued covering items for which a support document has been issued. If a support document was issued by a foreign government, BIS 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 support document will be only one of the factors upon which BIS will base its licensing action, since end uses and other considerations are important factors in the decision making process.
(h) Grace period for complying with requirements following regulatory change. (1) Whenever the requirement for a PRC End-User Statement, Statement by Ultimate Consignee or Purchaser, or Firearms Convention Import Certificate 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
(2) License applications filed during the 45-day grace period may require the submission of evidence available to the applicant that will support representations concerning the ultimate consignee, ultimate destination, and end use, such as copies of the order, letters of credit, correspondence between the applicant and ultimate consignee, or other documents received from the ultimate consignee. If such evidence is required, applicants must also identify the regulatory change (including its effective date) that justifies exercise of the 45-day grace period.
§ 748.10 People’s Republic of China (PRC) End-User Statement.
(a) Requirement to obtain document. Unless the provisions of § 748.9(c) or § 748.11(a)(2) apply, a PRC End-User Statement is required for license applications including any of the following commodities destined for the PRC:
(1) Cameras classified under ECCN 6A003 requiring a license to the PRC for any reason, and the value of such cameras exceeds $5,000;
(2) Computers requiring a license to the PRC for any reason, regardless of the value of the computers; or
(3) Any commodity(ies) requiring a license to the PRC for any reason on the Commerce Control List, and the total value of such commodity(ies) requiring a license exceeds $50,000.
If an order meets the commodity(ies) and value requirements listed above, then a PRC End-User Statement is required. An order may not be split into multiple license applications solely to avoid a requirement to obtain a PRC End-User Statement.
If an order includes both items that do require a license to the PRC and items that do not require a license to the PRC, the value of the latter items should not be factored into the value thresholds described above. Also, if a license application includes 6A003 cameras and other items requiring a license to the PRC, then the value of the 6A003 cameras should be factored into the value threshold described in paragraph (a)(3).
See § 748.11(a)(2) for permissive use of a Statement by Ultimate Consignee and Purchaser in place of a PRC End-User Statement.
On a case-by-case basis, BIS may require license applicants to obtain a PRC End-User Statement for a license application that would not otherwise require a PRC End-User Statement under the requirements of paragraph (a) of this section.
This requirement to obtain an end-user statement from the PRC Ministry of Commerce does not apply to transactions destined to the PRC Special Administrative Region of Hong Kong.
(b) Obtaining the document. (1) If a PRC End-User Statement is required for any reason under paragraph (a) of this section, then applicants must request that the importer obtain a PRC End-User Statement for all items on a license application that require a license to the PRC for any reason listed on the CCL.
(2) PRC End-User Statements are issued and administered by the Ministry of Commerce; Department of Mechanic, Electronic and High Technology Industries; Export Control Division I; Chang An Jie No. 2; Beijing 100731 China; Phone: (86)(10) 6519 7366 or 6519 7390; Fax: (86)(10) 6519 7543; http://zzyhzm.mofcom.gov.cn/. See the BIS Web site (www.bis.doc.gov) for the current contact information.
(c) Content of the document. (1) The license applicant’s name must appear on the PRC End-User Statement submitted to BIS as the applicant, supplier, or order party.
(2) License applicants must ensure that the following information is included on the PRC End-User Statement signed by an official of the Department of Mechanic, Electronic and High Technology Industries, Export Control Division I, of the PRC Ministry of Commerce (MOFCOM), with MOFCOM’s seal affixed to it:
(i) Title of contract and contract number (optional);
(ii) Names of importer and exporter;
(iii) End user and end use;
(iv) Description of the commodity, quantity and dollar value; and
(v) Signature of the importer and date.
The license applicant should furnish the consignee with the commodity description contained in the CCL to be used in applying for the PRC End-User Statement. It is also advisable to furnish a manufacturer’s catalog, brochure, or technical specifications if the commodity is new.
(d) Procedures for using document with license application – (1) Using a PRC End-User Statement for multiple applications. A PRC End-User Statement may cover more than one purchase order and more than one item. Where the Statement includes items for which more than one license application will be submitted, the applicant should ensure that the total quantities on the license application(s) do not exceed the total quantities shown on the PRC End-User Statement.
(2) Alterations. After a PRC End-User Statement is issued by the Government of the People’s Republic of China, no corrections, additions, or alterations may be made on the certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant.
(3) Validity period. A PRC End-User Statement is valid until the quantities of items identified on the Statement have been shipped.
§ 748.11 Statement by Ultimate Consignee and Purchaser.
(a) Requirement to obtain document – (1) General requirement for all countries excluding the People’s Republic of China (PRC). Unless an exception in § 748.9(c) or paragraph (a)(3) of this section applies, a Statement by Ultimate Consignee and Purchaser is required if the license application includes “600 Series Major Defense Equipment” (600 series MDE) requiring a license for any reason on the Commerce Control List and such items are destined for a country other than the PRC.
(2) Permissive substitute of Statement by Ultimate Consignee and Purchaser in place of PRC End-User Statement. The requirement to obtain a support document for license applications involving the PRC is generally determined by § 748.10(a) of the EAR. However, a Statement by Ultimate Consignee and Purchaser may be substituted in place of a PRC End-User Statement when the commodities to be exported (i.e., replacement parts and components) are valued at $75,000 or less and are for servicing previously exported commodities.
(3) Exception to general requirement. The general requirement described in paragraph (a)(1) of this section does not apply if 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, however, where the applicant and consignee are separate entities, such as parent and subsidiary, or affiliated or associated firms.
An order may not be split into multiple license applications solely to avoid a requirement to obtain a Statement by Ultimate Consignee and Purchaser.
On a case-by-case basis, BIS may require license applicants to obtain a Statement by Ultimate Consignee and Purchaser for a license application that would not otherwise require a Statement by Ultimate Consignee and Purchaser under the requirements of paragraph (a) of this section.
(b) Obtaining the document. (1) The ultimate consignee and purchaser must complete either a statement on company letterhead, or Form BIS-711, Statement by Ultimate Consignee and Purchaser, as described in paragraph (c) of this section. Unless otherwise specified, any reference in this section to “Statement by Ultimate Consignee and Purchaser” applies to both the statement on company letterhead and to Form BIS-711.
(2) 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.
(3) If the ultimate consignee and purchaser are separate entities, separate statements must be prepared and signed.
(4) If the ultimate consignee and purchaser elect to complete Form BIS-711, only one Form BIS-711 (containing the signatures of the ultimate consignee and purchaser) need be completed.
(5) Whether the ultimate consignee and purchaser sign a written statement or complete Form BIS-711, the following constraints apply:
(i) Responsible officials representing the ultimate consignee or 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.
(ii) 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 United States or in a foreign country. The official title of the person signing the statement must also be included.
(iii) 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.
(c) Content of the document. See supplement no. 3 to this part for the information necessary to complete a statement on company letterhead or on Form BIS-711.
(d) Procedures for using document with license application – (1) Validity period. (i) If a Statement by Ultimate Consignee and Purchaser is obtained prior to submission of the license application and the Statement is required to support one or more license applications, an applicant must submit the first license application within one year from the date the statement was signed.
(ii) All subsequent license applications supported by the same Statement by Ultimate Consignee and Purchaser must be submitted within four years of signature by the consignee or purchaser, whichever was last.
(2) [Reserved]
§ 748.12 Firearms import certificate or import permit.
License applications for certain firearms and related commodities require support documents in accordance with this section. For destinations that are members of the Organization of American States (OAS), an FC Import Certificate or equivalent official document is required in accordance with paragraphs (a) through (d) of this section. For other destinations that require a firearms import or permit, the firearms import certificate or permit is required in accordance with paragraph (e) of this section.
(a) Requirement to obtain document for OAS member states. Unless an exception in § 748.9(c) applies, an FC Import Certificate is required for license applications for firearms and related commodities, regardless of value, that are destined for member countries of the OAS. This requirement is consistent with the OAS Model Regulations described in § 742.17 of the EAR.
(1) Items subject to requirement. Firearms and related commodities are those commodities controlled for “FC Column 1” reasons under ECCNs 0A501 (except 0A501.y), 0A502, 0A504 (except 0A504.f), or 0A505 (except 0A505.d).
(2) Countries subject to requirement. (i) OAS member countries include: Antigua and Barbuda, Argentina, Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, Uruguay, and Venezuela.
(ii) [Reserved]
(3) Equivalent official document in place of FC Import Certificate. For those OAS member countries that have not yet established or implemented an FC Import Certificate procedure, BIS will accept an equivalent official document (e.g., import license or letter of authorization) issued by the government of the importing country as supporting documentation for the export of firearms.
(b) Obtaining the document. (1) Applicants must request that the importer (e.g., ultimate consignee or purchaser) obtain the FC Import Certificate or an equivalent official document from the government of the importing country, and that it be issued covering the quantities and types of firearms and related items that the applicant intends to export. Upon receipt of the FC Import Certificate, its official equivalent, or a copy, the importer must provide the original or a certified copy of the FC Import Certificate or the original or a certified copy of the equivalent official document to the license applicant.
(2) If the government of the importing country will not issue an FC Import Certificate or its official equivalent, the applicant must supply the information described in paragraphs (c)(1) and (c)(6) through (c)(8) of this section on company letterhead.
(c) Content of the document. The FC Import Certificate or its official equivalent must contain the following information:
(1) Applicant’s name and address. The applicant may be either the exporter, supplier, or order party.
(2) FC Import Certificate Identifier/Number.
(3) Name of the country issuing the certificate or unique country code.
(4) Date the FC Import Certificate was issued, in international date format (e.g., 24/12/12 for 24 December 2012, or 3/1/99 for 3 January 1999).
(5) Name of the agency issuing the certificate, address, telephone and facsimile numbers, signing officer name, and signature.
(6) Name of the importer, address, telephone and facsimile numbers, country of residence, representative’s name if commercial or government body, citizenship, and signature.
(7) Name of the end user(s), if known and different from the importer, address, telephone and facsimile numbers, country of residence, representative’s name if commercial (authorized distributor or reseller) or government body, citizenship, and signature. Note that BIS does not require the identification of each end user when the firearms and related commodities will be resold by a distributor or reseller if unknown at the time of export.
(8) Description of the commodities approved for import including a technical description and total quantity of firearms, parts and components, ammunition and parts.
You must furnish the consignee with a detailed technical description of each commodity to be given to the government for its use in issuing the FC Import Certificate. For example, for shotguns, provide the type, barrel length, overall length, number of shots, the manufacturer’s name, the country of manufacture, and the serial number for each shotgun. For ammunition, provide the caliber, velocity and force, type of bullet, manufacturer’s name and country of manufacture.
(9) Expiration date of the FC Import Certificate in international date format (e.g., 24/12/12) or the date the items must be imported, whichever is earlier.
(10) Name of the country of export (i.e., United States).
(11) Additional information. Certain countries may require the tariff classification number, by class, under the Brussels Convention (Harmonized Tariff Code) or the specific technical description of a commodity. For example, shotguns may need to be described in barrel length, overall length, number of shots, manufacturer’s name and country of manufacture. The technical description is not the Export Control Classification Number (ECCN).
(d) Procedures for using document with license application – (1) Information necessary for license application. The license application must include the same commodities as those listed on the FC Import Certificate or the equivalent official document.
(2) Alterations. After an FC Import Certificate or equivalent official document is used to support the issuance of a license, no corrections, additions, or alterations may be made on the FC Import Certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant.
(3) Validity period. FC Import Certificates or equivalent official documents issued by an OAS member country will be valid until the expiration date on the Certificate or for a period of four years, whichever is shorter.
Applicants for license applications for exports and reexports to an OAS member country must submit the initial FC Import Certificate with the license application. All BIS licenses for ECCNs 0A501 and 0A505 commodities will include a standard rider that requires that the applicant/exporter must have a current FC Import Certificate on file prior to export. Note that while FC Import Certificates are usually valid for 1 year, BIS licenses are valid for 4 years. The text of the standard rider will generally be as follows: “A current, complete, accurate and valid Firearms Convention (FC) Import Certificate (or equivalent official document) shall be obtained, if required by the government of the importing country, from the Ultimate Consignee and maintained in the exporter’s file prior to any export of the item(s) listed on this license. A copy shall be provided to the U.S. Government upon request. (Refer to section 742.17(b) of the EAR for guidance.)”
(e) Requirement to obtain an import certificate or permit for other than OAS member states. If the country to which firearms, parts, components, accessories, and attachments controlled under ECCN 0A501, or ammunition controlled under ECCN 0A505, are being exported or reexported requires that a government-issued certificate or permit be obtained prior to importing the commodity, the exporter or reexporter must obtain and retain on file the original or a copy of that certificate or permit before applying for an export or reexport license unless:
(1) A license is not required for the export or reexport; or
(2) The exporter is required to obtain an import or end-user certificate or other equivalent official document pursuant to paragraphs (a) thorough (d) of this section and has, in fact, complied with that requirement.
(3)(i) The number or other identifying information of the import certificate or permit must be stated on the license application.
(ii) If the country to which the commodities are being exported does not require an import certificate or permit for firearms imports, that fact must be noted on any license application for ECCN 0A501 or 0A505 commodities.
Applicants for license applications for exports and reexports to countries requiring that a government-issued certificate or permit be obtained prior to importing the commodity must have the initial government-issued certificate or permit prior to any export. All BIS licenses for ECCNs 0A501 and 0A505 commodities will include a standard rider that requires that the applicant/exporter have a government-issued certificate or permit on file prior to export. Note that while government-issued certificates or permits are usually valid for 1 year, BIS licenses are valid for 4 years. The text of the standard rider will generally be as follows: “A current, complete, accurate and valid Firearms Convention (FC) Import Certificate (or equivalent official document) shall be obtained, if required by the government of the importing country, from the Ultimate Consignee and maintained in the Exporter’s file prior to any export of the item(s) listed on this license. A copy shall be provided to the U.S. Government upon request. (Refer to § 742.17(b) of the EAR for guidance.)”
Obtaining a BIS Statement by Ultimate Consignee and Purchaser pursuant to § 748.11 does not exempt the exporter or reexporter from the requirement to obtain a certification pursuant to paragraph (a) of this section because that statement is not issued by a government.
§ 748.13 Hong Kong import and export licenses.
(a) Requirement to obtain the document – (1) Exports and reexports to Hong Kong. An exporter or reexporter must obtain the documents described in paragraph (a)(1)(i) or (a)(1)(ii) of this section before using a license issued by BIS to export or reexport to Hong Kong any item subject to the EAR and controlled on the CCL for NS, MT, NP column 1, or CB reasons. Collectively, the documents issued by Hong Kong must cover all of the items to be exported or reexported pursuant to a license.
(i) A copy of an import license issued to the Hong Kong importer by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers the items to be exported or reexported pursuant to that BIS license for which a Hong Kong import license is required and that is valid on the date of the export or reexport that is subject to the EAR; or
(ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no import license is required to import into Hong Kong the item(s) to be exported or reexported to Hong Kong. The statement may have been issued directly to the Hong Kong importer or it may be a written statement available to the general public. The statement may be used for more than one export or reexport to Hong Kong so long as it remains an accurate statement of Hong Kong law.
(2) Reexports from Hong Kong. No license issued by BIS may be used to reexport from Hong Kong any item subject to the EAR controlled on the CCL for NS, MT, NP column 1, and/or CB reasons unless the reexporter has received either:
(i) An export license issued by the Government of the Hong Kong Special Administrative Region, pursuant to the Hong Kong Import and Export (Strategic Commodities) Regulations, that covers all items to be rexported pursuant to that BIS license for which a Hong Kong export license is required and that is valid on the date of the reexport that is subject to the EAR; or
(ii) A copy of a written statement issued by the Government of the Hong Kong Special Administrative Region that no export license is required from Hong Kong for the item(s) to be reexported. The statement may have been issued directly to the Hong Kong reexporter or it may be a written statement available to the general public. The statement may be used for more than one reexport from Hong Kong so long as it remains an accurate statement of Hong Kong law.
(b) Recordkeeping. The documents required to be obtained by paragraph (a) of this section must be retained and made available to the U.S. Government upon request in accordance with part 762 of the EAR.
§ 748.14 Granting of exceptions to the support documentation requirements.
(a) Overview. A request for an exception to obtaining the required support documentation will be considered by BIS; 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, BIS may waive the support document requirement and accept the license application for processing.
(b) Procedure for requesting an exception. The request for an exception must be submitted with the license application to which the request relates, and the reason(s) for requesting the exception must be described in Block 24 or referred to in Block 24. 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.
(c) Action by BIS – (1) Single transaction request. Where a single transaction is involved, BIS 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, BIS will advise the applicant.
(2) Multiple transactions request. Where multiple transactions are involved, BIS will advise the applicant of the action taken on the exception request. The response from BIS will contain any conditions or restrictions that BIS 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.
§ 748.15 Authorization Validated End-User (VEU).
Authorization Validated End-User (VEU) permits the export, reexport, and transfer to validated end-users of any eligible items that will be used in a specific eligible destination. Validated end-users are those who have been approved in advance pursuant to the requirements of this section. To be eligible for authorization VEU, exporters, reexporters, and potential validated end-users must adhere to the conditions and restrictions set forth in paragraphs (a) through (f) of this section. If a request for VEU authorization for a particular end-user is not granted, no new license requirement is triggered. In addition, such a result does not render the end-user ineligible for license approvals from BIS.
(a) Eligible end-users. The only end-users to whom eligible items may be exported, reexported, or transferred under VEU are those validated end-users identified in supplement no. 7 to part 748, according to the provisions in this section and those set forth in supplement nos. 8 and 9 to this part that have been granted VEU status by the End-User Review Committee (ERC) according to the process set forth in supplement no. 9 to this part.
(1) Requests for authorization must be submitted in the form of an advisory opinion request, as described in § 748.3(c)(2), and should include a list of items (items for purposes of authorization VEU include commodities, software and technology, except as excluded by paragraph (c) of this section), identified by ECCN, that exporters or reexporters intend to export, reexport or transfer to an eligible end-user, once approved. To ensure a thorough review, requests for VEU authorization must include the information described in supplement no. 8 to this part. Requests for authorization will be accepted from exporters, reexporters or end-users. Submit the request to: The Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue, NW., Room 2099B, Washington, DC 20230. Mark the package “Request for Authorization Validated End-User.”
(2) In evaluating an end user for eligibility under authorization VEU, the ERC will consider a range of information, including such factors as: The entity’s record of exclusive engagement in appropriate end-use activities; the entity’s compliance with U.S. export controls; the need for an on-site review prior to approval; the entity’s capability of complying with the requirements of authorization VEU; the entity’s agreement to on-site reviews by representatives of the U.S. Government to ensure adherence to the conditions of the VEU authorization; and the entity’s relationships with U.S. and foreign companies. In addition, when evaluating the eligibility of an end user, the ERC will consider the status of export controls and the support and adherence to multilateral export control regimes of the government of the eligible destination.
(3) The VEU authorization is subject to revision, suspension or revocation entirely or in part.
(4) Information submitted in a VEU request is deemed to constitute continuing representations of existing facts or circumstances. Any material or substantive change relating to the authorization must be promptly reported to BIS, whether VEU authorization has been granted or is still under consideration.
(b) Eligible destinations. Authorization VEU may be used for the following destinations:
(1) The People’s Republic of China.
(2) India.
(c) Item restrictions. Items controlled under the EAR for missile technology (MT) and crime control (CC) reasons may not be exported or reexported under this authorization.
(d) End-use restrictions. Items obtained under authorization VEU in China may be used only for civil end uses and may not be used for any activities described in part 744 of the EAR. Items obtained under authorization VEU in India may be used for either civil or military end uses and may not be used for any activities described in part 744 of the EAR. Exports, reexports, or transfers made under authorization VEU may be made to an end user listed in Supplement No. 7 to this part only if the items will be consigned to and for use by the validated end user. Eligible end-users who obtain items under VEU may only:
(1) Use such items at the end-user’s own facility located in an eligible destination or at a facility located in an eligible destination over which the end-user demonstrates effective control;
(2) Consume such items during use; or
(3) Transfer or reexport such items only as authorized by BIS.
Authorizations set forth in supplement no. 7 to this part are country-specific. Authorization as a validated end-user for one country specified in paragraph (b) of this section does not constitute authorization as a validated end-user for any other country specified in that paragraph.
(e) Certification and recordkeeping. Prior to an initial export or reexport to a validated end-user under authorization VEU, exporters or reexporters must obtain certifications from the validated end-user regarding end-use and compliance with VEU requirements. Such certifications must include the contents set forth in supplement no. 8 to this part. Certifications and all records relating to VEU must be retained by exporters or reexporters in accordance with the recordkeeping requirements set forth in part 762 of the EAR.
(f) Reporting and review requirements – (1)(i) Reports. Reexporters who make use of authorization VEU are required to submit annual reports to BIS. These reports must include, for each validated end-user to whom the exporter or reexporter exported or reexported eligible items:
(A) The name and address of each validated end-user to whom eligible items were reexported;
(B) The eligible destination to which the items were reexported;
(C) The quantity of such items;
(D) The value of such items; and
(E) The ECCN(s) of such items.
(ii) Reports are due by February 15 of each year, and must cover the period of January 1 through December 31 of the prior year. Reports must be sent to: Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Room 2099B, Washington, DC 20230. Mark the package “Authorization Validated End-User Reports”.
(2) Reviews. Records related to activities covered by authorization VEU that are maintained by exporters, reexporters, and validated end-users who make use of authorization VEU will be reviewed on a periodic basis. Upon request by BIS, exporters, reexporters, and validated end-users must allow review of records, including on-site reviews covering the information set forth in paragraphs (e) and (f)(1) of this section.
(g) Notification requirement. Exporters and reexporters shipping under Authorization VEU and persons transferring (in-country) under Authorization VEU are required to provide the VEUs to which they are shipping or transferring notice of the shipment or transfer. Such notification must be conveyed to the VEU in writing and must include a list of the VEU-authorized contents of the shipment or transfer and a list of the ECCNs under which the VEU-authorized items in the shipment or transfer are classified, as well as a statement that the items are being, will be, or were shipped or transferred pursuant to Authorization VEU. Notification of the export, reexport or transfer (in-country) to the VEU must be made within a timeframe agreed to in writing by the VEU and the person exporting, reexporting or transferring (in-country). The VEU and the person exporting, reexporting or transferring (in-country) must agree to the notification timeframe prior to the initial shipment or transfer under Authorization VEU. Depending on the agreement between the VEU and the person exporting, reexporting or transferring (in-country), a notification may be for individual shipments or for multiple shipments. Exporters, reexporters and VEUs are required to maintain the notifications they send or receive in accordance with their recordkeeping requirements.
(h) Termination of Conditions on VEU Authorizations. VEUs that are subject to item-specific conditions and have received items subject to such conditions under Authorization VEU are no longer bound by the conditions associated with the items if the items no longer require a license for export or reexport to the PRC or India, as applicable, or become eligible for shipment under a license exception to the destination. Items that become eligible for a License Exception are subject to the terms and conditions of the applicable License Exception and the restrictions in § 740.2 of the EAR. Items that become eligible for export without a license and that remain subject to the EAR may only be exported, reexported, transferred (in-country) or disposed of in accordance with the requirements of the EAR. Termination of VEU conditions does not relieve a validated end-user of its responsibility for violations that occurred prior to the availability of a license exception or prior to the removal of license requirements.
(i) Records. Records of items that were shipped under Authorization VEU prior to the removal of a license requirement or the availability of a license exception remain subject to the review requirements of paragraph (f)(2) of this section on and after the date that the license requirement was removed or the license exception became applicable.
Supplement No. 1 to Part 748 – BIS-748P, BIS-748P-A; Item Appendix, and BIS-748P-B; End-User Appendix; Multipurpose Application Instructions
All information must be legibly typed within the lines for each Block or Box, except where a signature is required. Enter only one typed line of text per Block or line. Where there is a choice of entering telephone numbers or facsimile numbers, and you wish to provide a facsimile number instead of a telephone number, identify the facsimile number with the letter “F” immediately after the number (e.g., 022-358-0-123456F). If you are completing this form to request classification of your item, you must complete Blocks 1 through 5, 14, 22 (a), (b), (c), (d), and (i), 24, and 25 only.
Block 1: Contact Person. Enter the name of the person who can answer questions concerning the application.
Block 2: Telephone. Enter the telephone number of the person who can answer questions concerning the application.
Block 3: Facsimile. Enter the facsimile number, if available, of the person who can answer questions concerning the application.
Block 4: Date of Application. Enter the current date.
Block 5: Type of Application. Export. If the items are located within the United States, and you wish to export those items, mark the Box labeled “Export” with an (X). Reexport. If the items are located outside the United States, mark the Box labeled “Reexport” with an (X).
Classification. If you are requesting BIS to classify your item against the Commerce Control List (CCL), mark the Box labeled “Classification Request” with an (X). If you are submitting a License Exception STA eligibility request pursuant to § 740.20(g), mark the box labeled “Export” with an (X) and then proceed to Block 6 of this supplement for instructions specific to such requests.
Block 6: Documents submitted with Application. Review the documentation you are required to submit with your application in accordance with the provisions of part 748 of the EAR, and mark all applicable Boxes with an (X).
Mark the Box “Foreign Availability” with an (X) if you are submitting an assertion of foreign availability with your license application. See part 768 of the EAR for instructions on foreign availability submissions.
If you are not making a foreign availability assertion under part 768 of the EAR, you may still mark the box “Foreign Availability” with an (X), if you are submitting an assertion of foreign availability with your license application. Foreign availability assertions covered under part 768 are limited to items controlled for national security reasons. However, if an applicant intends to include foreign availability support material for items not controlled for national security reasons, applicants are permitted to do this as part of the license application by marking the box “Foreign Availability” with an (X) and including the foreign availability information, along with the support material for the license application. Applicants must clearly label this support material as “Foreign availability information – outside the scope of part 768”. Although this information is outside the scope of part 768, applicants should still use supplement no. 1 to part 768 for general guidance regarding what types of information may be suitable for demonstrating foreign availability. The purpose of submitting this type of foreign availability information will be to make the U.S. Government more aware of the foreign availability of items not controlled for national security reasons.
Mark the “Tech. Specs.” box with an (X) if you are submitting descriptive literature, brochures, technical specifications, etc. with your application. Mark the “Other” box with an (X) and insert the phrase “STA request” for the description of the support document to submit a request for License Exception STA eligibility pursuant to § 740.20(g). (See supplement no. 2 to part 748 under paragraph (w) for unique application and submission requirements for License Exception STA eligibility requests described under this Block 6.)
Block 7: Documents on File with Applicant. Certify that you have retained on file all applicable documents as required by the provisions of part 748 by placing an (X) in the appropriate Box(es).
Block 8: [Reserved]
Block 9: Special Purpose. Complete this block for certain items or types of transactions only if specifically required in supplement no. 2 to this part.
Block 10: Resubmission Application Control Number. If your original application was returned without action (RWA), provide the Application Control Number. This does not apply to applications returned without being registered.
Block 11: Replacement License Number. If you have received a license for identical items to the same ultimate consignee, but would like to make a modification that is not excepted in § 750.7(c) of the EAR, to the license as originally approved, enter the original license number and complete Blocks 12 through 25, where applicable. Include a statement in Block 24 regarding what changes you wish to make to the original license.
Block 12: Items Previously Exported. This Block should be completed only if you have marked the “Reexport” box in Block 5. Enter the license number, License Exception symbol (for exports under General Licenses, enter the appropriate General License symbol), or other authorization under which the items were originally exported, if known.
Block 13: Import/End-User Certificate. Enter the name of the country and number of the Import or End User Certificate obtained in accordance with provisions of this part.
Block 14: Applicant. Enter the applicant’s name, street address, city, state/country, and postal code. Provide a complete street address. P.O. Boxes are not acceptable. Refer to § 748.5(a) of this part for a definition of “applicant”. If you have marked “Export” in Block 5, you must include your company’s Employer Identification Number unless you are filing as an individual or as an agent on behalf of the exporter. The Employee Identification Number is assigned by the Internal Revenue Service for tax identification purposes. Accordingly, you should consult your company’s financial officer or accounting division to obtain this number.
Block 15: Other Party Authorized to Receive License. If you would like BIS to transmit the approved license to another party designated by you, complete all information in this Block, including name, street address, city, country, postal code and telephone number. Leave this space blank if the license is to be sent to the applicant. Designation of another party to receive the license does not alter the responsibilities of the applicant.
Block 16: Purchaser. Enter the purchaser’s complete name, street address, city, country, postal code, and telephone or facsimile number. Refer to § 748.5(c) of this part for a definition of “purchaser”. If the purchaser is also the ultimate consignee, enter the complete name and address. If your proposed transaction does not involve a separate purchaser, leave Block 16 blank.
Block 17: Intermediate consignee. Enter the intermediate consignee’s complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. Refer to § 748.5(d) of this part for a definition of “intermediate consignee”. If this party is identical to that listed in Block 16, enter the complete name and address. If your proposed transaction does not involve use of an intermediate consignee, enter “None”. If your proposed transaction involves more than one intermediate consignee, provide the same information in Block 24 for each additional intermediate consignee.
Block 18: Ultimate Consignee. This Block must be completed if you are submitting a license application. Enter the ultimate consignee’s complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. The ultimate consignee is the party who will actually receive the item for the end-use designated in Block 21. Refer to § 748.5(e) of this part for a definition of “ultimate consignee”. A bank, freight forwarder, forwarding agent, or other intermediary may not be identified as the ultimate consignee. Government purchasing organizations are the sole exception to this requirement. This type of entity may be identified as the government entity that is the actual ultimate consignee in those instances when the items are to be transferred to the government entity that is the actual end-user, provided the actual end-user and end-use is clearly identified in Block 21 or in the additional documentation attached to the application.
If your application is for the reexport of items previously exported, enter the new ultimate consignee’s complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. If your application involves a temporary export or reexport, the applicant should be shown as the ultimate consignee in care of a person or entity who will have control over the items abroad.
Block 19: End-User. Complete this Block only if the ultimate consignee identified in Block 18 is not the actual end-user. If there will be more than one end-user, use Form BIS-748P-B to identify each additional end-user. Enter each end-user’s complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable.
Block 20: Original Ultimate Consignee. If your application involves the reexport of items previously exported, enter the original ultimate consignee’s complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. The original ultimate consignee is the entity identified in the original application for export as the ultimate consignee or the party currently in possession of the items.
Block 21: Specific End-Use: This Block must be completed if you are submitting a license application. Provide a complete and detailed description of the end-use intended by the ultimate consignee and/or end-user(s). If you are requesting approval of a reexport, provide a complete and detailed description of the end-use intended by the new ultimate consignee or end-user(s) and indicate any other countries for which resale or reexport is requested. If additional space is necessary, use Block 21 on Form BIS-748P-A or B. Be specific – vague descriptions such as “research”, “manufacturing”, or “scientific uses” are not acceptable.
Block 22: For a license application, you must complete each of the sub-blocks contained in this Block. If you are submitting a classification request, you need not complete Blocks (e), (f), (g), and (h). If you wish to export, reexport, or have BIS classify more than one item, use Form BIS-748P-A for additional items.
(a) ECCN. Enter the Export Control Classification Number (ECCN) that corresponds to the item you wish to export or reexport. If you are asking BIS to classify your item, provide a recommended classification for the item in this Block.
(b) CTP. You must enter the “Adjusted Peak Performance” (“APP”) in this Block if your application includes a digital computer or equipment containing a computer as described in supplement no. 2 to this part. Instructions on calculating the APP are contained in a Technical Note at the end of Category 4 in the CCL.
(c) Model Number. Enter the correct model number for the item.
(d) CCATS Number. If you have received a classification for this item from BIS, provide the CCATS number shown on the classification issued by BIS.
(e) Quantity. Identify the quantity to be exported or reexported, in terms of the unit commonly used in the trade.
(f) Units. The unit of quantity used in Block 22(e) must be entered on all license applications submitted to BIS. This Block may be left blank on license applications for technology only.
(g) Unit Price. Provide the fair market value of the items you wish to export or reexport. Round all prices to the nearest whole dollar amount. Give the exact unit price only if the value is less than $0.50. If normal trade practices make it impractical to establish a firm contract price, state in Block 24 the precise terms upon which the price is to be ascertained and from which the contract price may be objectively determined.
(h) Total Price. Provide the total price of the item(s) described in Block 22(j).
(i) Manufacturer. Provide the name only of the manufacturer, if known, for each of the items you wish to export, reexport, or have BIS classify, if different from the applicant.
(j) Technical Description. Provide a description of the item(s) you wish to export, reexport, or have BIS classify. Provide details when necessary to identify the specific item(s), include all characteristics or parameters shown in the applicable ECCN using measurements identified in the ECCN (e.g., basic ingredients, composition, electrical parameters, size, gauge, grade, horsepower, etc.). These characteristics must be identified for the items in the proposed transaction when they are different than the characteristics described in promotional brochure(s).
Block 23: Total Application Dollar Value. Enter the total value of all items contained on the application in U.S. Dollars. The use of other currencies is not acceptable.
Block 24: Additional Information. Enter additional data pertinent to the application as required in the EAR. Include special certifications, names of parties of interest not disclosed elsewhere, explanation of documents attached, etc. Do not include information concerning Block 22 in this space.
If your application represents a previously denied application, you must provide the Application Control Number from the original application.
If you are requesting BIS to classify your product, use this space to explain why you believe the ECCN entered in Block 22(a) is appropriate. This explanation must contain an analysis of the item in terms of the technical control parameters specified in the appropriate ECCN. If you have not identified a recommended classification in Block 22(a), you must state the reason you cannot determine the appropriate classification, identifying anything in the regulations that you believe precluded you from determining the correct classification.
If additional space is necessary, use Block 24 on Form BIS-748P-A or B.
This Block should be completed if your application includes a 9×515 or “600 series” item that is equivalent to a transaction previously approved under an ITAR license or other approval. Enter the previous State license number or other approval identifier in Block 24 of the BIS license application. If more than one previous State license number or other approval identifier is applicable, then enter the most recent one. Only those license applications where the particulars of the EAR license application are equivalent as previously authorized under the ITAR license or other approval in regard to the description of the item (including the item’s function, performance capabilities, form and fit), purchaser, ultimate consignee and end users on the license will receive full consideration under this paragraph, which may result in a quicker processing time. The classification of the 9×515 or “600 series” item in question will no longer be the same because the item would no longer be “subject to the ITAR,” but all other aspects of the description of the item must be the same in order to be reviewed under this expedited process under paragraph (x) of supplement no. 2 to part 748 of the EAR.
Block 25: You, as the applicant or duly authorized agent of the applicant, must manually sign in this Block. Rubber-stamped or electronic signatures are not acceptable. If you are an agent of the applicant, in addition to providing your name and title in this Block, you must enter your company’s name in Block 24. Type both your name and title in the space provided.
Supplement No. 2 to Part 748 – Unique Application and Submission Requirements
In addition to the instructions contained in supplement no. 1 to part 748, you must also ensure that the additional requirements for certain items or types of transactions described in this supplement are addressed in your license application. All other blocks not specifically identified in this supplement must be completed in accordance with the instructions contained in supplement no. 1 to part 748. The term “Block” used in this supplement relates to Form BIS-748P, unless otherwise noted.
(a) Chemicals, medicinals, and pharmaceuticals. If you are submitting a license application for the export or reexport of chemicals, medicinals, and/or pharmaceuticals, the following information must be provided in Block 22.
(1) Facts relating to the grade, form, concentration, mixture(s), or ingredients as may be necessary to identify the item accurately, and;
(2) The Chemical Abstract Service Registry (C.A.S.) numbers, if they exist, must be identified.
(b) Communications intercepting devices. If you are required to submit a license application under § 742.13 of this part, you must enter the words “Communications Intercepting Device(s)” in Block 9. The item you are requesting to export or reexport must be specified by name in Block 22(j).
(c) Computers, telecommunications, information security items, and related equipment. If your license application includes items controlled by both Category 4 and Category 5, your license application must be submitted under Category 5 of the Commerce Control List (§ 774.1 of the EAR) – see Category 5 Part 1 Notes 1 and 2 and Part 2 Note 1. License applications including computers controlled by Category 4 must identify an “Adjusted Peak Performance” (“APP”) in Block 22(b). If the principal function is telecommunications, an APP is not required. Computers, related equipment, or software performing telecommunication or local area network functions will be evaluated against the telecommunications performance characteristics of Category 5 Part 1, while information security commodities, software and technology will be evaluated against the information security performance characteristics of Category 5 Part 2.
(1) Requirements for license applications that include computers. If you are submitting a license application to export or reexport computers or equipment containing computers to destinations in Country Group D:1 (See supplement no. 1 to part 740 of the EAR), or to upgrade existing computer installations in those countries, you must also include technical specifications and product brochures to corroborate the data supplied in your license application, in addition to the APP in Block 22(b).
(2) Security Safeguard Plan requirement. The United States requires security safeguards for exports, reexports, and transfers (in-country) of High Performance Computers (HPCs) to ensure that they are used for peaceful purposes. If you are submitting a license application for an export, reexport, or in-country transfer of a high performance computer to or within a destination in Computer Tier 3 (see § 740.7(c)(1) of the EAR) or to Cuba, Iran, North Korea, or Syria you must include with your license application a security safeguard plan signed by the end-user, who may also be the ultimate consignee. This requirement also applies to exports, reexports, and transfers (in-country) of components or electronic assemblies to upgrade existing “computer” installations in those countries. A sample security safeguard plan is posted on BIS’s Web page at http://www.bis.doc.gov/hpcs/SecuritySafeguardPlans.html.
(d) [Reserved]
(e) Intransit through the United States. If you are submitting a license application for items moving intransit through the United States that do not qualify for the intransit provisions of License Exception TMP (see § 740.9(b)(1) of the EAR), you must provide the following information with your license application:
(1) In Block 9, enter the phrase “Intransit Shipment”;
(2) In Block 24, enter the name and address of the foreign consignor who shipped the items to the United States and state the origin of the shipment;
(3) Any available evidence showing the approval or acquiescence of the exporting country (or the country of which the exporter is a resident) for shipments to the proposed ultimate destination. Such evidence may be in the form of a Transit Authorization Certificate; and
(4) Any support documentation required by § 748.9 of this part for the country of ultimate destination.
(f) Intransit outside of the United States. If you are submitting a license application based on General Prohibition Eight stated in § 736.2(b)(8) of the EAR and identification of the intermediate consignee in the country of unlading or transit is unknown at the time the license application is submitted, the country of unlading or transit must be shown in Block 17.
(g) Nuclear Nonproliferation items and end-uses – (1) Statement requirement. If a license is required to export or reexport items described in § 742.3 of the EAR, or any other item (except those controlled for short supply reasons) where the item is intended for a nuclear end-use, prior to submitting a license application, you must obtain a signed written statement from the end-user certifying the following:
(i) The items to be exported or replicas thereof (“replicas” refers to items produced abroad based on physical examination of the item originally exported, matching it in all critical design and performance parameters), will not be used in any of the activities described in § 744.2(a) of the EAR; and
(ii) Written authorization will be obtained from the BIS prior to reexporting the items, unless they are destined to Canada or would be eligible for export from the United States to the new country of destination under NLR based on Country Chart NP Column 1.
(2) License application requirements. Along with the required certification, you must include the following information in your license application:
(i) In Block 7, place an (X) in the box titled “Nuclear Certification”;
(ii) In Block 9, enter the phrase “NUCLEAR CONTROLS”;
(iii) In Block 21, provide, if known, the specific geographic locations of any installations, establishments, or sites at which the items will be used;
(iv) In Block 22(j), if applicable, include a description of any specific features of design or specific modifications that make the item capable of nuclear explosive activities, or of safeguarded or unsafeguarded nuclear activities as described in § 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 § 744.2 of the EAR, you must fully explain the basis for your knowledge that the items are intended for the purpose(s) described § 744.2 of the EAR. Indicate, if possible, the specific end-use(s) the items will have in designing, developing, fabricating, or testing nuclear weapons or nuclear explosive devices or in designing, constructing, fabricating, or operating the facilities described in § 744.2(a)(3) of the EAR.
(h) Numerical control devices, motion control boards, numerically controlled machine tools, dimensional inspection machines, direct numerical control systems, specially designed assemblies and specially designed software. (1) If you are submitting a license application to export, reexport, or request BIS to classify numerical control devices, motion control boards, numerically controlled machine tools, dimensional inspection machines, and specially designed software you must include the following information in your license application:
(i) For numerical control devices and motion control boards:
(A) Make and model number of the control unit;
(B) Description and internal configuration of numerical control device. If the device is a computer with motion control board(s), then include the make and model number of the computer;
(C) Description of the manner in which a computer will be connected to the CNC unit for on-line processing of CAD data. Specify the make and model of the computer;
(D) Number of axes the control unit is capable of simultaneously controlling in a coordinated contouring mode, and type of interpolation (linear, circular, and other);
(E) Minimum programmable increment;
(F) A description and an itemized list of all software/firmware to be supplied with the control device or motion control board, including software/firmware for axis interpolation function and for any programmable control unit or device to be supplied with the control unit;
(G) Description of capabilities related to “real time processing” and receiving computer aided-design;
(H) A description of capability to accept additional boards or software that would permit an upgrade of the electronic device or motion control board above the control levels specified in ECCN 2B001; and
(I) Specify if the electronic device has been downgraded, and if so can it be upgraded in future.
(ii) For numerically controlled machine tools and dimensional inspection machines:
(A) Name and model number of machine tool or dimensional inspection machine;
(B) Type of equipment, e.g., horizontal boring machine, machining center, dimensional inspection machine, turning center, water jet, etc.;
(C) Description of the linear and rotary axes capable of being simultaneously controlled in a coordinated contouring mode, regardless of the fact that the coordinated movement of the machine axis may be limited by the numerical control unit supplied by the machine tool;
(D) Maximum workpiece diameter for cylindrical grinding machines;
(E) Motion (camming) of the spindle axis measured in the axial direction in one revolution of the spindle, and a description of the method of measurement for turning machine tools only;
(F) Motion (run out) of the spindle axis measured in the radial direction in one revolution of the spindle, and a description of the method of measurement;
(G) Overall positioning accuracy in each axis, and a description of the method for measurement; and
(H) Slide motion test results.
(i) Parts, components, and materials incorporated abroad into foreign-made products. BIS will consider license applications to export or reexport to multiple consignees or multiple countries when an application is required for foreign produced direct product containing parts and components subject to the EAR in § 732.4(b) of the EAR and to General Prohibition Two stated in § 736.2(b)(2) of the EAR. Such requests will not be approved for countries listed in Country Group E:2 (See supplement no. 1 to part 740 of the EAR), and may be approved only in limited circumstances for countries listed in Country Group D:1.
(1) License applications for the export of parts and components. If you are submitting a license application for the export of parts, components, or materials to be incorporated abroad into products that will then be sent to designated third countries, you must enter in Block 21, a description of end-use including a general description of the commodities to be manufactured, their typical end-use, and the countries where those commodities will be marketed. The countries may be listed specifically or may be identified by Country Groups, geographic areas, etc.
(2) License applications for the reexport of incorporated parts and components. If you are submitting a license application for the reexport of parts, components, or materials incorporated abroad into products that will be sent to designated third countries you must include the following information in your license application:
(i) In Block 9, enter the phrase “Parts and Components”;
(ii) In Block 18, enter the name, street address, city and country of the foreign party who will be receiving the foreign-made product. If you are requesting approval for multiple countries or consignees enter “Various” in Block 18, and list the specific countries, Country Groups, or geographic areas in Block 24;
(iii) In Block 20, enter the name, street address, city, and country of the foreign party who will be exporting the foreign-made product incorporating U.S. origin parts, components or materials;
(iv) In Block 21, describe the activity of the ultimate consignee identified in Block 18 and the end-use of the foreign-made product. Indicate the final configuration if the product is intended to be incorporated in a larger system. If the end-use is unknown, state “unknown” and describe the general activities of the end-user;
(v) In Block 22(e), specify the quantity for each foreign-made product. If this information is unknown, enter “Unknown” in Block 22(e);
(vi) In Block 22(h), enter the digit “0” for each foreign-made product;
(vii) In Block 22(j), describe the foreign-made product that will be exported, specifying type and model or part number. Attach brochures or specifications, if available. Show as part of the description the unit value, in U.S. dollars, of the foreign-made product (if more than one foreign-made product is listed on the license application, specify the unit value for each type/model/part number). Also include a description of the U.S. content (including the applicable Export Control Classification Number(s)) and its value in U.S. dollars. If more than one foreign-made product is identified on the license application, describe the U.S. content and specify the U.S. content value for each foreign-made product. Also, provide sufficient supporting information to explain the basis for the stated values. To the extent possible, explain how much of the value of the foreign-made product represents foreign origin parts, components, or materials, as opposed to labor, overhead, etc. When the U.S. content varies and cannot be specified in advance, provide a range of percentage and value that would indicate the minimum and maximum U.S. content;
(viii) Include separately in Block 22(j) a description of any U.S. origin spare parts to be reexported with the foreign-made product, if they exceed the amount allowed by § 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, E: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 following information in your license application:
(i) In Block 18, enter the name and address of the plant where the aircraft is being constructed;
(ii) In Block 22(j), enter the following information (if this information is unknown, enter “Unknown” in this Block):
(A) Type of aircraft and model number;
(B) Name and business address of prospective owner and his nationality; and
(C) Country of registry or intended country of registry.
(3) Operating vessels and aircraft. If you are submitting a license application for the export or reexport of items, including ship or plane stores, supplies, and equipment to an operating vessel or aircraft, whether in operation or being repaired, you must include the following information in your license application:
(i) In Block 18, enter the name of the owner, the name of the vessel, if applicable, and port or point where the items will be taken aboard;
(ii) In Block 18, enter the following statement if, at the time of filing the license application, it is uncertain where the vessel or aircraft will take on the items, but it is known that the items will not be shipped to a country listed in Country Group D:1 or E:2 (see supplement no. 1 to part 740 of the EAR):
Uncertain; however, shipment(s) will not be made to Country Groups D:1 or E:2.
(iii) Provide information as described in paragraph (j)(1)(ii) of this supplement for vessels or information contained in paragraph (j)(2)(ii) of this supplement for aircraft.
(k) Regional stability controlled items. (1) If you are submitting a license application for the export or reexport of items controlled for regional stability reasons and subject to licensing under RS Column 1 on the Country Chart, your license application must be accompanied by full technical specifications.
(2) If you are submitting a license application for the export or reexport to Austria, Cyprus, Finland, Ireland, Israel, Malta, Mexico, Singapore or Sweden of items controlled by ECCNs 2A984, 2D984 or 2E984 to a person designated by a government end-user, pursuant to contract, your license application to export to such designated person must include a statement from the government end-user to be eligible for the licensing policy under § 742.6(b)(2)(ii). A responsible official representing the designated end-user must sign the statement. “Responsible official” is defined as someone with personal knowledge of the information included in the statement, and authority to bind the designated end-user for whom they sign, and who has the power and authority to control the use and disposition of the licensed items. Statements from government end-users that the person is so designated (i.e., support documents submitted in accordance with this paragraph (k)(2)) must address the following three criteria for a license application to be reviewed in accordance with the license review policy in § 742.6(b)(2)(ii):
(i) U.S. Department of Homeland Security (DHS) Customer Contract Number or agreement reference number, End-user name (company), complete address (including street address, city, state, country and postal code), end-user point of contact (POC);
(ii) Brief contract description, including DHS Project information and projected outcome; and
(iii) The statement shall include a certification stating “We certify that all of the representations in this statement are true and correct to the best of our knowledge and we do not know of any additional representations which are inconsistent with the above statement.”
(l) Reexports. If you know that an item that requires a license to be exported from the United States to a certain foreign destination will be reexported to a third destination also requiring approval, such a request must be included on the license application. The license application must specify the country to which the reexport will be made in Block 24. If the export does not require a license but the reexport does, you may apply for a license for the reexport, or you may export without a license and notify the consignee of the requirement to seek a license to reexport.
(m) Robots. If you are submitting a license application for the export or reexport of items controlled by ECCNs 2B007 or 2D001 (including robots, robot controllers, end-effectors, or related software) the following information must be provided in Block 24:
(1) Specify if the robot is equipped with a vision system and its make, type, and model number;
(2) Specify if the robot is specially designed to comply with national safety standards for explosive munitions environments;
(3) Specify if the robot is specially designed for outdoor applications and if it meets military specifications for those applications;
(4) Specify if the robot is specially designed for operating in an electro-magnetic pulse (EMP) environment;
(5) Specify if the robot is specially designed or rated as radiation-hardened beyond that necessary to withstand normal industrial (i.e., non-nuclear industry) ionizing radiation, and its rating in grays (Silicon);
(6) Describe the robot’s capability of using sensors, image processing or scene analysis to generate or to modify robot program instructions or data;
(7) Describe the manner in which the robot may be used in nuclear industry/manufacturing; and
(8) Specify if the robot controllers, end-effectors, or software are specially designed for robots controlled by ECCN 2B007, and why.
(n) Short Supply controlled items. If you are submitting a license application for the export of items controlled for short supply reasons, you must consult part 754 of the EAR for instructions on preparing your license application.
(o) Technology – (1) License application instructions. If you are submitting a license application for the export or reexport of technology you must check the box labeled “Letter of Explanation” in Block 6, enter the word “Technology” in Block 9, leave Blocks 22(e) and (i) blank, and include a general statement that specifies the technology (e.g., blueprints, manuals, etc.) in Block 22(j).
(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, reexport, and transfer (in-country) technology controlled for national security reasons to a country not listed in Country Group D:1, E:1, or E:2 (see Supplement No. 1 to part 740 of the EAR), you must obtain the letter from the ultimate consignee verifying that, unless prior authorization is obtained from BIS, the consignee will not knowingly reexport the technology to any destination, or export the “direct product” of the technology, directly or indirectly, to a country listed in Country Group D:1, E:1, or E:2 (see Supplement No. 2 to part 740 of the EAR). If you are unable to obtain this letter of assurance from your consignee, you must state in your license application why the assurances could not be obtained. BIS may request a copy of this letter.
(ii) Maritime nuclear propulsion plants and related items. If you are submitting a license application to export or reexport technology relating to maritime nuclear propulsion plants and related items including maritime (civil) nuclear propulsion plants, their land prototypes, and special facilities for their construction, support, or maintenance, including any machinery, device, component, or equipment specifically developed or designed for use in such plants or facilities you must include the following information in your license application:
(A) A description of the foreign project for which the technology will be furnished;
(B) A description of the scope of the proposed services to be offered by the applicant, his consultant(s), and his subcontractor(s), including all the design data that will be disclosed;
(C) The names, addresses and titles of all personnel of the applicant, the applicant’s consultant(s) and subcontractor(s) who will discuss or disclose the technology or be involved in the design or development of the technology;
(D) The beginning and termination dates of the period of time during which the technology will be discussed or disclosed and a proposed time schedule of the reports the applicant will submit to BIS, detailing the technology discussed or disclosed during the period of the license;
(E) The following certification:
I (We) certify that if this license application is approved, I (we) and any consultants, subcontractors, or other persons employed or retained by us in connection with the project licensed will not discuss with or disclose to others, directly or indirectly, any technology relating to U.S. naval nuclear propulsion plants. I (We) further certify that I (we) will furnish to the Bureau of Industry and Security all reports and information it may require concerning specific transmittals or disclosures of technology under any license granted as a result of this license application.
(F) A statement of the steps that you will take to assure that personnel of the applicant, the applicant’s consultant(s) and subcontractor(s) will not discuss or disclose to others technology relating to U.S. naval nuclear propulsion plants; and
(G) A written statement of assurance from the foreign importer as described in paragraph (o)(3)(i) of this supplement.
(p) Temporary exports or reexports. If you are submitting a license application for the temporary export or reexport of an item (not eligible for the temporary exports and reexports provisions of License Exception TMP (see § 740.9(a) of the EAR)) you must include the following certification in Block 24:
The items described on this license application are to be temporarily exported (or reexported) for (state the purpose e.g., demonstration, testing, exhibition, etc.), used solely for the purpose authorized, and returned to the United States (or originating country) as soon as the temporary purpose has ended, but in no case later than one year of the date of export (or reexport), unless other disposition has been authorized in writing by the Bureau of Industry and Security.
(q) Chemicals controlled for CW reasons under ECCN 1C350. In addition to any supporting documentation required by part 748, you must also obtain from your consignee an End-Use Certificate for the export of chemicals controlled for CW reasons by ECCN 1C350 to non-States Parties (destinations not listed in supplement no. 2 to part 745 of the EAR). See § 745.2 of the EAR. In addition to the End-Use Certificate, you may still be required to obtain a Statement by Ultimate Consignee and Purchaser (Form BIS-711P) as support documentation. Consult §§ 748.9 and 748.11 of the EAR.
(r) Encryption classification requests. Failure to follow the instructions in this paragraph may delay consideration of your encryption classification request.
(1) [Reserved]
(2) Classification Requests. Fill out blocks 1-4, 14, 15, 22, and 25 pursuant to the instructions in supplement no. 1 to this Part. Leave blocks 6, 7, 8, 10-13, 18-21, and 23 blank. Follow the directions specified for the blocks indicated below.
(i) In Block 5 (Type of Application), place an “X” in the box marked “classification” or “commodity classification” if submitting electronically for classification requests.
(ii) In Block 9 (Special Purpose).
(A) If submitting via SNAP-R, check the box “check here if you are submitting information about encryption required by 740.17 or 742.15 of the EAR.”
(B) From the drop down menu in SNAP-R, choose:
(1) “License Exception ENC” if you are submitting an encryption classification request for specified License Exception ENC provisions (§§ 740.17(b)(2) or (b)(3) of the EAR);
(2) “Mass market encryption” if you are submitting an encryption classification request for certain mass market encryption items (§ 740.17(b) of the EAR).
(3) “Encryption – other” if you are submitting an encryption classification, for another reason.
(s)-(t) [Reserved]
(u) Aircraft and vessels on temporary sojourn. If the application is for an aircraft or a vessel traveling on a temporary sojourn, state the value of the aircraft or vessel as $0 in box 22(g) (unit price) and 22(h) (total price). In box 23 (Total Application Dollar Value), insert the total value of items other than the aircraft or vessel that are included in the same application. If the application is only for the aircraft or vessel on temporary sojourn, insert $0.
(v) In-country transfers. To request an in-country transfer, you must specify “in-country transfer” in Block 9 (Special Purpose) and mark “Reexport” in Block 5 (Type of Application) of the BIS-748P “Multipurpose Application” form. The application also must specify the same foreign country for both the original ultimate consignee and the new ultimate consignee.
(w) License Exception STA eligibility requests for “600 series” end items. To request a License Exception STA eligibility requests for “600 series” end items pursuant to § 740.20(g), you must mark an (X) in the “Export” box in Block 5 (Type of Application) block. You must mark an (X) in the “Other” box and insert the phrase “STA request” ” in Block 6 (Documents submitted with application) block. You must include the specific “600 Series” ECCN in Block 22. In addition to the ECCN, you will need to provide sufficient information for the U.S. Government to make a determination as to STA eligibility. This will require you to submit more than merely a description of the end item. In particular, you will need to provide supporting information for why you believe that the end item does not, for example, provide a critical military or intelligence advantage to the United States or is available in countries that are not regime partners or close allies. You will also need to provide information regarding whether and, if so, how the end item is controlled by the export control laws and regulations of close allies and regime partners, if known. If you are not able to provide some of the information described above, the U.S. Government will still evaluate the request, including using resources and information that may only be available to the U.S. Government. However, when submitting such requests you are encouraged to provide as much information as you can based on the criteria noted above to assist the U.S. Government in evaluating these License Exception STA eligibility requests. In addition, you should provide BIS with the text you would propose BIS use in describing the end item in the appropriate “600 series” ECCN and the online table referenced in § 740.20(g)(5)(i) in anticipation that the request may be approved pursuant to § 740.20(g). You may submit additional information that you believe is relevant to the U.S. Government in reviewing the License Exception STA eligibility request as part of that support document or as an additional separate support document attachment to the license application.
(x) License application for a transaction involving a 9×515 or “600 series” item that is equivalent to a transaction previously approved under an ITAR license or other approval. To request that the U.S. Government review of a license application for a 9×515 or “600 series” item also take into consideration a previously approved ITAR license or other approval, applicants must also include the State license number or other approval identifier in Block 24 of the BIS license application (see the instructions in supplement no. 1 to part 748 under Block 24).
(y) Satellite exports. (1) A license application to export a satellite controlled by ECCN 9A515.a for launch in or by a country that is not a member of the North Atlantic Treaty Organization (NATO) or a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), must include a statement affirming that at the time of application or prior to export or reexport the following will be in place:
(i) A technology transfer control plan approved by the Department of Defense and an encryption technology control plan approved by the National Security Agency, or drafts reflecting advance discussions with the departments and information identifying the U.S. Government officials familiar with the preparation of such draft plans; and
(ii) Evidence of arrangements with the Department of Defense for monitoring of the launch activities.
(2) A license application to export a satellite controlled by ECCN 9A515.a for launch in or by a country that is a member of the North Atlantic Treaty Organization (NATO) or that is a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), must include a statement affirming that at the time of application or prior to export or reexport the following will be in place:
(i) A technology transfer control plan approved by the Department of Defense and an encryption technology control plan approved by the National Security Agency, or documentation from the Department of Defense that such plans are not required; and
(ii) Evidence of arrangements with the Department of Defense for monitoring of the launch or documentation from the Department of Defense that such monitoring is not required.
Regardless of a satellite’s or spacecraft’s jurisdictional status, ownership, or origin, the ITAR controls as a “defense service” the furnishing of assistance (including training) by a U.S. person to a foreign person directly related to (a) the integration of a satellite or spacecraft to a launch vehicle or (b) launch failure analyses. See (See 22 CFR 121, Categories IV(i) and XV(f), and 22 CFR 124.15).
(z) Exports of firearms and certain shotguns temporarily in the United States – (1) Certification. If you are submitting a license application for the export of firearms controlled by ECCN 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that will be temporarily in the United States, e.g., for servicing and repair or for intransit shipments, you must include the following certification in Block 24:
The firearms in this license application will not be shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, except for any firearm model controlled by 0A501 that is specified under Annex A in Supplement No. 4 to part 740. I and the parties to this transaction will comply with the requirements specified in paragraphs (z)(2)(i) and (ii) of Supplement No. 2 to part 748.
(2) Requirements. Each approved license for commodities described under this paragraph (z) must comply with the requirements specified in paragraphs (z)(2)(i) and (ii) of this supplement.
(i) When the firearms enter the U.S. as a temporary import, the temporary importer or its agent must:
(A) Provide the following statement to U.S. Customs and Border Protection: “This shipment is being temporarily imported in accordance with the EAR. This shipment will be exported in accordance with and under the authority of BIS license number (provide the license number) (15 CFR 750.7(a) and 758.4);”
(B) Provide to U.S. Customs and Border Protection an invoice or other appropriate import-related documentation (or electronic equivalents) that includes a complete list and description of the firearms being temporarily imported, including their model, make, caliber, serial numbers, quantity, and U.S. dollar value; and
(C) Provide (if temporarily imported for servicing or replacement) to U.S. Customs and Border Protection the name, address, and contact information (telephone number and/or email) of the organization or individual in the U.S. that will be receiving the item for servicing or replacement); and
(ii) In addition to the export clearance requirements of part 758 of the EAR, the exporter or its agent must provide the import documentation related to paragraph (z)(2)(i)(B) of this supplement to U.S. Customs and Border Protection at the time of export.
In addition to complying with all applicable EAR requirements for the export of commodities described in paragraph (z) of this supplement, exporters and temporary importers should contact U.S. Customs and Border Protection (CBP) at the port of temporary import or export, or at the CBP website, for the proper procedures for temporarily importing or exporting firearms controlled in ECCN 0A501.a or .b or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502, including regarding how to provide any data or documentation required by BIS.
(aa) “600 Series Major Defense Equipment.” For license applications that require prior notifications to Congress of exports of “600 series major defense equipment” pursuant to § 743.5, the exporter must include a copy of the signed contract (including a statement of the value of the “600 Series Major Defense Equipment” to be exported under the contract). (See § 743.5(d) of the EAR)
(bb) Semiautomatic firearms controlled under ECCN 0A501.a. For export license applications that require prior notifications to congress of exports of semiautomatic firearms controlled under ECCN 0A501.a under the criteria of § 743.6, the exporter must include a copy of the signed contract or, if there is no contract, a written explanation from the applicant (including a statement of the value of the firearms controlled by ECCN 0A501.a to be exported). License applications for semiautomatic firearms controlled by ECCN 0A501.a may include other nonautomatic firearms, shotguns, other 0x5zz items, or other items subject to the EAR, but the applicant must clearly identify the semiautomatic firearms controlled by ECCN 0A501.a.
Supplement No. 3 to Part 748 – Statement by Ultimate Consignee and Purchaser Content Requirements
If a statement on company letterhead will be used to meet the requirement to obtain a Statement by Ultimate Consignee and Purchaser, as described in § 748.11(a), follow the requirements described in paragraph (a) of this appendix. If Form BIS-711 will be used to meet the requirement, follow the requirements described in paragraph (b) of this appendix.
(a) Statement on company 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 four years 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 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 Industry and Security, we will not reexport, resell, or otherwise dispose of any items approved on a license supported by this statement:
(A) To any country not approved for export as brought to our attention by the exporter; or
(B) 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 BIS to reexport or transfer (in country) the items in the form in which received even though we may have indicated the intention to reexport or transfer (in country), and that authorization to reexport (or transfer in country) 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.
(b) Form BIS-711. Form BIS-711 is available at http://www.bis.doc.gov/index.php/component/rsform/form/21-request-bis-forms?task=forms.edit. Instructions on completing Form BIS-711 are described below. The ultimate consignee and purchaser may sign a legible copy of Form BIS-711. It is not necessary to require the ultimate consignee and purchaser to sign an original Form BIS-711, provided all information contained on the copy is legible. All information must be typed or legibly printed in each appropriate Block or Box.
(1) 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.
(2) 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.
(3) 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.
(4) 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.
(5) 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.
(6) Block 6: Ultimate Consignee. Enter the requested information and sign the statement digitally or in ink. (For a definition of ultimate consignee, see § 748.5(e) of this part.)
(7) 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 § 748.5(c) of this part.)
(8) Block 8: Certification for Exporter. This Block must be completed to certify that no correction, addition, or alteration on this form was made subsequent to the signing by the Ultimate Consignee in Block 6 and Purchaser in Block 7.
Supplement No. 4 to Part 748 [Reserved]
Supplement No. 5 to Part 748 – U.S. Import Certificate and Delivery Verification Procedure
The United States participates in an Import Certificate/Delivery Verification procedure. Under this procedure, U.S. importers are sometimes required to provide their foreign suppliers with an U.S. International Import Certificate that is validated by the U.S. Government. This certificate tells the government of the exporter’s country that the items covered by the certificate will be imported into the U.S. Economy and will not be reexported except as authorized by U.S. export control regulations. In addition, in some cases, the exporter’s government may require a delivery verification. Under this procedure, the U.S. Customs Service validates a certificate confirming that the items have entered the U.S. economy. The U.S. importer must return this certificate to the foreign exporter.
This supplement establishes the procedures and requirements of BIS with respect to both of these programs. Paragraph (a) of this supplement contains the requirements and procedures of the U.S. International Import Certificate procedure. Paragraph (b) of this supplement contains the requirements and procedures of the Delivery Verification procedure.
(a) U.S. International Import Certificates. If you are a U.S. importer, a foreign supplier may request you to obtain a U.S. import certificate. The reason for this request is that the exporter’s government requires a U.S. import certificate as a condition to issuing an export license. To obtain such a certificate you will have to fill in and execute the U.S. International Import Certificate form (Form BIS-645P/ATF-4522/DSP-53) and submit it to the U.S. government agency that has jurisdiction over the items you are importing. In doing so, you will be making a representation to the United States Government that you will import the items described in the certificate into the United States or if not so imported, you will not divert, transship or reexport them to another destination with the explicit approval of the U.S. government agency that has jurisdiction over those items. (Representations that items will be entered into the U.S. do not preclude the temporary unloading of items in a foreign trade zone for subsequent entry into the economy of the U.S.) If the items described in the certificate are subject to U.S. Department of Commerce jurisdiction, the Department will validate the certificate and return it to you. You may then send the certificate to your foreign supplier. In this way the government of the exporting country is assured that the items will become subject to the export control laws of the United States.
(1) Items for which the U.S. Department of Commerce issues U.S. International Import Certificates and forms to use. The Department of Commerce issues U.S. International Import Certificates for the following types of items.
(i) Items controlled for National Security reasons. Items under the export licensing jurisdiction of BIS that are identified as controlled for national security reasons on the Commerce Control List (supplement no. 1 to part 774 of the EAR). You will need to submit in triplicate a completed Form BIS-645P/ATF-4522/DSP-53;
(ii) Nuclear equipment and materials. Items subject to the export licensing jurisdiction of the Nuclear Regulatory Commission for nuclear equipment and materials. (see 10 CFR part 110). You will need to submit in quadruplicate a completed Form BIS-645P/ATF-4522/DSP-53; and
(iii) Munitions Items. Items listed on the U.S. Munitions List (see 22 CFR part 121) that do not appear on the more limited U.S. Munitions Import List (27 CFR 47.21). You will need to submit in triplicate a completed Form BIS-645P. For triangular transactions (See paragraph (a)(5) of this supplement) involving items on the U.S. Munitions List, you must contact the Department of State, Directorate of Defense Trade Controls and use Form BIS-645P/ATF-4522/DSP-53. You should contact the Treasury Department, Bureau of Alcohol, Tobacco and Firearms for items appearing on the U.S. Munitions Import List. You will need to use Form ATF-4522.
(2) Where to submit forms. U.S. International Import Certificates and requests to amend certificates may be presented for validation either in person or by mail at the following locations.
(i) By courier to the Bureau of Industry and Security, Room 2099B, 14th Street and Pennsylvania Ave., NW., Washington, DC 20230, Attn: Import Certificate Request; or
(ii) In person or by mail at one of the following Department of Commerce U.S. and Foreign Commercial Service District Offices:
(3) U.S. International Import Certificate validity periods. The U.S. International Import Certificate must be submitted to the foreign government within six months from the date of certification by the U.S. Department of Commerce. The expiration of this six-month period in no way affects the responsibility of the importer to fulfill the commitments made in obtaining the certificate. If the certificate is not presented to the government of the exporting country before the expiration of its validity period, the exporter must apply for a new certificate. The original unused U.S. International Import Certificate must be returned to BIS at the address specified in paragraph (a)(2)(i) of this supplement.
(4) Statements on the certificate or amendments are representations to the U.S. Government which continue in effect.
(i) All statements and representations made in a U.S. International Import Certificate or an amendment thereto, will be deemed to be continuing in nature until the transaction described in the certificate is completed and the items are delivered into the economy of the importing country.
(ii) Any change of fact or intention in regard to the transaction described in the certificate shall be promptly disclosed to BIS by the U.S. importer by presentation of an amended certificate. The amended certificate must describe all of the changes and be accompanied by the original certificate bearing the certification of BIS. If the original certificate has been transferred to the foreign exporter, you must, where possible, attempt to obtain the original certificate prior to applying for an amendment. If the original certificate is unobtainable because the foreign exporter has submitted it to the appropriate foreign government, or for any other reason, then you must submit a written statement with your amendment giving the reasons for your failure to submit the original certificate.
(5) Certificates for Triangular transaction (items will not enter the U.S. or applicant is not sure that they will enter the United States).
(i) In accordance with international practice, BIS will, upon request, stamp the certificate with a triangular symbol as notification to the government of the exporting country that the U.S. importer is uncertain whether the items will be imported into the U. S. or knows that the items will not be imported into the U.S., but that, in any case, the items will not be delivered to any other destination except in accordance with the EAR.
(ii) The triangular symbol on a certificate U.S. International Import Certificate is not, in and of itself, an approval by BIS to transfer or sell items to a foreign consignee. Note that a triangular Certificate will not be issued covering foreign excess property sold abroad by the U.S. Department of Defense.
(6) Approval to export items to a foreign consignee prior to delivery under a U.S. International Import Certificate. The written approval of BIS is required before items covered by a U.S. International Import Certificate (whether or not bearing a triangular symbol) may be shipped to a destination other than the U.S. or Canada or sold to a foreign purchaser, and before title to or possession of such items may be transferred to a foreign transferee. This requirement does not apply after the items have been delivered in accordance with the undertaking set forth in the Certificate or if at the time of such shipment, sale, passage of possession or passage of title, a License Exception or a NLR provision of the EAR would authorize the transaction.
(i) If prior approval is required, a letter requesting authorization to release the shipment shall be submitted to BIS at the address listed in paragraph (a)(2)(i) of this supplement.
(ii) The letter must contain the certificate number; date issued; location of the issuing office; names, addresses, and identities of all parties to the complete transaction; and the quantity, dollar value, and description of the items. The letter must be accompanied by the U.S. International Import Certificate, and all other documentation required by the EAR for the item and country of ultimate destination, as identified in part 748 of the EAR. If requirements stated in part 748 of the EAR do not apply to your transaction, you must identify the intended end-use of the items in your letter.
(iii) Where the letter request is approved and is supported by a foreign import certificate, no further approval from BIS is required for the purchaser or transferee to resell or again transfer the items. However, where BIS approves a request that was not supported by a foreign import certificate, the person to whom approval is granted is required to inform the purchaser or transferee, in writing, that the items are to be shipped to the approved destination only and that no other disposition of the items is permitted without the approval of BIS.
(iv) If the transaction is approved, a validated letter of approval will be sent to the U.S. purchaser for retention in his records. Where a DV or other official government confirmation of delivery is required, the letter will so indicate.
(v) If the items covered by a certificate have been imported into a destination other than the U.S. and the foreign exporter of the items requests a Delivery Verification, the person who obtained the certificate must obtain a DV from the person to whom the items were delivered in the actual importing country. (If a DV is unobtainable, other official government confirmation of delivery must be obtained.) The DV or other official government confirmation of delivery must be submitted to BIS together with an explanatory letter giving the U.S. International Import Certificate number, date issued, and location of issuing office. BIS will then issue Form ITA-6008, Delivery Compliance Notice, in two copies, the original of which must be forwarded to the country of origin in order to serve as evidence to the exporting country that the requirements of the U.S. Government have been satisfied with respect to delivery of the items.
(vi) Delivery, sale, or transfer of items to another U.S. purchaser.
(A) Items covered by a U.S. International Import Certificate may not be sold, and title to or possession of such items may not be transferred, to another U.S. purchaser or transferee before the items are delivered to the U.S. (or to an approved foreign destination, as provided by paragraph (a)(5) of this supplement), except in accordance with the provisions described in paragraph (a)(6) of this supplement. The provisions of this paragraph do not apply after the items have been delivered in accordance with the undertaking set forth in the certificate.
(B) Resale or transfer to another U.S. purchaser or transferee requires the prior approval of BIS only in cases where the buyer or transferee is listed in supplement no. 1 to part 766 of the EAR. However, you, as the person who obtained the certificate are required to notify BIS of any change in facts or intentions relating to the transaction, and in all cases you will be held responsible for the delivery of the items in accordance with the EAR. You are required in all cases to secure, prior to sale or transfer, and to retain in your files in accordance with the recordkeeping provisions contained in part 762 of the EAR, written acceptance by the purchaser or transferee of:
(1) All obligations undertaken by, and imposed under the EAR, upon the holder of the certificate; and
(2) An undertaking that all subsequent sales or transfers will be made subject to the same conditions.
(C) The responsibility of the certificate holder for obtaining a DV also applies to those cases where the items are resold to a U.S. purchaser (See paragraph (b)(1) of this supplement.
(vii) Reexport or transshipment of items after delivery to U.S. Items imported into the U.S. under the provisions of a U.S. International Import Certificate may not be reexported to any destination under the intransit provisions of License Exception TMP (see § 740.9(b)(1) of the EAR). However, all other provisions of the EAR applicable to items of domestic origin shall apply to the reexport of items of foreign origin shipped to the U.S. under a U.S. International Import Certificate.
(viii) Lost or destroyed U.S. International Import Certificates. If a U.S. International Import Certificate is lost or destroyed, a duplicate copy may be obtained by the person in the U.S. who executed the original U.S. International Import Certificate by submitting to any of the offices listed in paragraph (a)(2)(i) of this supplement new Form BIS-645P/ATF-4522/DSP-53 in the same way as an original request, except that the forms shall be accompanied by a letter detailing the circumstances under which the original certificate was lost or destroyed and certifying:
(A) That the original U.S. International Import Certificate No. ______, dated ______, issued to (name and address of U.S. importer) for import from (foreign exporter’s name and address) has been lost or destroyed; and
(B) That if the original U.S. International Import Certificate is found, the applicant agrees to return the original or duplicate of the certificate to the Bureau of Industry and Security.
(ix) Unused U.S. International Import Certificates. If the transaction will not be completed and the U.S. International Import Certificate will not be used, return the certificate for cancellation to BIS at the address listed in paragraph (a)(2)(i) of this supplement.
(b) Delivery Verification Certificate. U.S. importers may be requested by their foreign suppliers to furnish them with a certified Form BIS-647P, Delivery Verification Certificate, covering items imported into the U.S. These requests are made by foreign governments to assure that strategic items shipped to the U.S. are not diverted from their intended destination. In these instances, the issuance of an export license by the foreign country is conditioned upon the subsequent receipt of a Delivery Verification Certificate from the U.S. importer. Accordingly, your compliance with your foreign exporter’s request for a Delivery Verification is necessary to ensure your foreign exporter fulfills its government obligations and is able to participate in future transactions with you. Failure to comply may subject your exporter to penalties that may prevent future trade.
(1) The responsibility of a person or firm executing a U.S. International Import Certificate for providing the foreign exporter with confirmation of delivery of the items includes instances where the items are resold or transferred to another U.S. person or firm prior to actual delivery to the U.S. or to an approved foreign destination. The person who executed the U.S. International Import Certificate shall secure in writing from the U.S. purchaser or transferee, and retain in your files in accordance with the recordkeeping provisions stated in part 762 of the EAR:
(i) Acceptance of the obligation to provide the purchaser or transferee with either the Delivery Verification (or other official government confirmation of delivery if a Delivery Verification is unobtainable) or assurance that this document was submitted to BIS; and
(ii) An undertaking that each succeeding U.S. transferee or purchaser will assume the same obligation or assurance. In each case the seller or transferor must transmit to the U.S. purchaser or transferee the U.S. International Import Certificate number covering the export from the foreign country and request that they pass it on to any other U.S. purchasers or transferees.
(2) Completion and certification of Delivery Verification Certificates. If you are requested by your foreign exporter to provide a Delivery Verification, you must obtain Form BIS-647P from a U.S. customs office or one of the offices listed in paragraph (a)(2) of this supplement and complete all blocks (except those below the line titled “To be completed by U.S. Customs Service”) on the form. The language used in the block titled “Description of Goods” must describe the items in the same terms as those shown on the applicable U.S. International Import Certificate. Upon completion Form BIS-647P must be presented, in duplicate, to a U.S. customs office. The U.S. customs office will certify Form BIS-647P only where the import is made under a warehouse or consumption entry.
(3) Disposition of certified Delivery Verification Certificates. The importer must send the original certified Delivery Verification Certificate to the foreign exporter or otherwise dispose of it in accordance with the instructions of the exporting country. The duplicate copy will be retained by the U.S. customs office.
(4)(i) Issuance of a U.S. Delivery Compliance Notice in lieu of a Delivery Verification Certificate. If you are requested to provide a Delivery Verification Certificate but do not wish to disclose the name of your customer to the foreign exporter (e.g., in the event that the items are resold or transferred to another person or firm before the items enter the U.S.), you may submit an originally completed Form BIS-647P together with an explanatory letter requesting a Delivery Compliance Notice, to BIS at the address listed in (a)(2)(i) of this supplement.
(ii) BIS will provide you with a notice signifying that the items were imported into the U.S. and that a satisfactory DV has been submitted to BIS. You must then forward the original notice to your foreign exporter for submission to the foreign government. A copy of the notice should be retained in your files in accordance with the recordkeeping provisions stated in part 762 of the EAR.
(5)(i) Lost or destroyed Delivery Verification Certificate. When a Delivery Verification Certificate is lost or destroyed, the U.S. importer must submit a letter to BIS at the address listed in paragraph (a)(2)(i) of this supplement certifying that:
(A) The original Delivery Verification Certificate has been lost or destroyed;
(B) The circumstances under which it was lost or destroyed;
(C) The type of customs entry (warehouse or consumption), entry number, and date of entry; and
(D) The number and date of the related U.S. International Import Certificate.
(ii) BIS will, in applicable cases, notify the exporting government that a Delivery Verification Certificate been issued.
(c) Penalties and sanctions for violations. The enforcement provisions of part 764 and supplement no. 2 to part 736 of the EAR apply to transactions involving imports into the U.S. covered by this supplement and to both foreign and U.S. parties involved in a violation of this supplement. Any provisions of part 764 and supplement no. 2 to part 736 of the EAR which, by their terms, relate to “exports” or “exports from the U.S.” are also deemed to apply and extend to imports into the U.S., applications for U.S. International Import Certificates (Forms BIS-645P presented to U.S. Department of Commerce for certification), U.S. International Import Certificates, and Delivery Verification Certificates, described in this supplement. (Applications the documents described in this supplement, are included within the definition of export control documents provided in part 772 of the EAR.) Refer to § 764.3 of the EAR for more information.
Supplement No. 6 to Part 748 [Reserved]
Supplement No. 7 to Part 748 – Authorization Validated End-User (VEU): List of Validated End-Users, Respective Items Eligible for Export, Reexport and Transfer, and Eligible Destinations
| Country | Validated end-user | Eligible items (by ECCN) | Eligible destination | citation |
|---|---|---|---|---|
| China (People’s Republic of) | Advanced Micro Devices China, Inc | 3D002, 3D003, 3E001 (limited to “technology” for items classified under 3C002 and 3C004 and “technology” for use during the International Technology Roadmap for Semiconductors (ITRS) process for items classified under ECCNs 3B001 and 3B002), 3E002 (limited to “technology” for use during the ITRS process for items classified under ECCNs 3B001 and 3B002), 3E003.e (limited to the “development” and “production” of integrated circuits for commercial applications), 4D001 and 4E001 (limited to the “development” of products under ECCN 4A003) | Advanced Micro Devices (Shanghai) Co., Ltd., Buildings 33 (Unit 1), 46, 47, 48 & 49, River Front Harbor, Zhangjiang Hi-Tech Park, No. 1387 Zhang Dong Road, Pudong District, Shanghai, China 201203 AMD Technology Development (Beijing) Co., Ltd., North and South Buildings, RaycomInfotech, Park Tower C, No. 2 Science Institute South Rd., Zhong Guan Cun, Haidian District, Beijing, China 100190 AMD Products (China) Co. Ltd., North and South Buildings, RaycomInfotech Park Tower C, No. 2 Science Institute South Rd., Zhong Guan Cun, Haidian District, Beijing, China 100190 | 75 FR 25763, 5/10/10. 76 FR 2802, 1/18/11. 78 FR 3319, 1/16/13. 81 FR 40785, 6/23/16. |
| Advanced Micro-Fabrication Equipment, Inc., China | 2B230, 3B001.a.2, and 3B001.e (items classified under ECCNs 3B001.a.2, and 3B001.e are limited to components and accessories) | Advanced Micro-Fabrication Equipment, Inc., 188 Taihua Road, Jinqiao Export Processing Zone (South Area), Pudong, Shanghai 201201, China | 78 FR 41291, 7/10/13. 80 FR 65932, 10/28/15. | |
| Applied Materials (China), Inc | * Applied Materials South East Asia Pte. Ltd. – Shanghai Depot, c/o Shanghai Applied Materials Technical Service Center, No. 2667 Zuchongzhi Road, Shanghai, China 201203 * Applied Materials South East Asia Pte. Ltd. – Beijing Depot, c/o Beijing Applied Materials Technical Service Center, No. 1 North Di Sheng Street, BDA, Beijing, China 100176. | 72 FR 59164, 10/19/07. 74 FR 19382, 4/29/09. 75 FR 27185, 5/14/10. 77 FR 10953, 2/24/12. 80 FR 65932, 10/28/15. | ||
| * Applied Materials South East Asia Pte. Ltd. – Wuxi Depot, c/o Sinotrans Jiangsu Fuchang Logistics Co., Ltd., 1 Xi Qin Road, Wuxi Export Processing Zone, Wuxi, Jiangsu, China 214028. | ||||
| * Applied Materials South East Asia Pte. Ltd. – Wuhan Depot, c/o Wuhan Optics Valley Import & Export Co., Ltd., No. 101 Guanggu Road, East Lake High-Tec Development Zone, Wuhan, Hubei, China 430074. | ||||
| * Applied Materials (China), Inc. – Shanghai Depot, No. 2667, Zuchongzhi Road, Shanghai, China 201203. | ||||
| * Applied Materials (China), Inc. – Beijing Depot, No. 1 North Di Sheng Street, BDA, Beijing, China 100176. | ||||
| ** Applied Materials (Xi’an) Ltd., No. 28 Xin Xi Ave., Xi’an High Tech Park, Export Processing Zone, Xi’an, Shaanxi, China 710075 | ||||
| *** Applied Materials (China), Inc. – Headquarters, 1388 Zhangdong Road, Bldg. 22, Zhangjiang Hi-Tech Park, Pudong, Shanghai, 201203, China | ||||
| Boeing Tianjin Composites Co. Ltd | 1B001.f, 1D001 (limited to “software” specially designed or modified for the “use” of equipment controlled by 1B001.f), 2B001.b.2 (limited to machine tools with accuracies no better than ( | Boeing Tianjin Composites Co. Ltd., 4566 Hebei Road, Marine Hi-Tech Development Area, Tanggu District, Tianjin, China 300451 | 72 FR 59164, 10/19/07. 74 FR 19382, 4/29/09. 77 FR 10953, 2/24/12. 77 FR 40258, 7/9/12. 81 FR 61106, 9/6/16. | |
| CSMC Technologies Corporation | 1C350.c.4, 1C350.c.12, 2B230.a, 2B230.b, 2B350.f, 2B350.g, 2B350.h, 3B001.e, 3B001.h (except for multilayer masks with a phase shift layer designed to produce “space qualified” semiconductor devices), 3C002.a, and 3C004 | CSMC Technologies Fab 1 Co., Ltd., 14 Liangxi Road, Wuxi, Jiangsu 214061, China CSMC Technologies Fab 2 Co., Ltd., 8 Xinzhou Rd., Wuxi National New Hi-Tech Industrial Development Zone, Wuxi, Jiangsu 214028, China | 76 FR 2802, 1/18/11. 76 FR 37634, 6/28/11. 77 FR 10953, 2/24/12. 78 FR 23472, 4/19/13. 78 FR 32981, 6/3/13. | |
| Intel Semiconductor (Dalian) Ltd | 1A004, 1C006.d, 2A226, 2B006.b, 2B230, 2B231, 2B350, 3A233.a, 3B001 (except for multilayer masks with a phase shift layer designed to produce “space qualified” semiconductor devices), 3C002, 3E002 (excluding development and production technology specific to digital signal processors and digital array processors and further limited to “technology” based on the international technology roadmap for semiconductors (ITRS)), and 4E001(limited to technology for computer products or components not exceeding an adjusted peak performance (APP) level of 12.0 weighted teraflops) | *Intel Semiconductor (Dalian) Ltd., No. 109 Huai He Road East, Dalian Economic and Technology Development Area, Dalian, Liao Ning Province, 116600, China | 78 FR 54754, 9/6/13. 81 FR 85145, 11/25/16. | |
1A004, 1C006.d, 2A226, 2B006.b, 2B230, 2B231, 2B350, 3A233.a, 3B001 (except for multilayer masks with a phase shift layer designed to produce “space qualified” semiconductor devices), and 3C002 | ** Intel Semiconductor (Dalian) Ltd., c/o Dalian Kintetsu Logistics Co., Ltd, Dayaowan Bonded Port No. 6 Road W4 Unit A1, Dalian Economic and Technology Development Area, Dalian, Liao Ning Province, 116601, China | |||
| Lam Research Service Co., Ltd | 2B230, 2B350.c, 2B350.d, 2B350.g, 2B350.h, 2B350.i, and 3B001.e (limited to installation, warranty maintenance/repair, or maintenance/repair service of semiconductor manufacturing equipment manufactured by Lam, and items classified under ECCN 3B001.e are limited to specially designed components and accessories), 3D001 (limited to “software” (excluding source code) specially designed for the “development” or “production” of equipment controlled by ECCN 3B001.e)), 3D002 (limited to “software” (excluding source code) specially designed for the “use” of equipment controlled by ECCN 3B001.e)), and 3E001 (limited to “development” “technology” according to the General Technology Note of a type of equipment classified under ECCN 3B001.e) | * Lam Research International Sarl (Lam Beijing Warehouse), c/o Beijing Lam Electronics Tech Center, 1 Building, No. 28, Jinghai Second Road, BDA, Beijing, China 100176 * Lam Research International Sarl (Lam Beijing Warehouse), c/o Beijing STE International Logistics Co., Ltd., Building 3, No. 9 Ke Chuang Er Street Beijing Economic & Technological Development Area, Beijing, China 100176 * Lam Research International Sarl (Lam Beijing Warehouse), c/o China International Electronic Service Company, 1 Building, No. 28, Jinghai Second Road, BDA, Beijing, China 100176 * Lam Research International Sarl (Lam Beijing Warehouse), c/o HMG Hi-Tech Logistics (Beijing) Co., Ltd., Building 3, No. 9 Ke Chuang Er Street, Beijing Economic & Technological Development Area, Beijing, China 100176 * Lam Research International Sarl (Lam Dalian Warehouse), c/o Liaoning JD Logistics International Co., Ltd., Dalian Bonded Logistics Port, W5-B8, No. 6, Road #3, Dalian, China 116600 | 72 FR 59164, 10/19/07, 74 FR 19382, 4/29/09. 77 FR 10953, 2/24/12. 77 FR 40258, 7/9/12. 82 FR 48929, 10/23/17. | |
| * Lam Research International Sarl (Lam Dalian Warehouse), c/o Liaoning JD Logistics International Co., Ltd., Dalian Bonded Logistics Zone No. 1 Public Warehouse Dalian, China 116600 | ||||
| * Lam Research International Sarl (Lam Shanghai Warehouse), c/o HMG Supply Chain (Shanghai) Co., Ltd., No. 633, Shangfeng Road, Pudong New District, Shanghai, China 201201 | ||||
| * Lam Research International Sarl (Lam Shanghai Warehouse), c/o Regal Harmony Logistics Co., Ltd., No. 799, Yihua Road, Pudong New District, Shanghai, China 201299 | ||||
| * Lam Research International Sarl (Lam Shanghai Warehouse Operator), c/o Shanghai Well-Win Logistics Co., Ltd., No. 2667 Zuchongzhi Road, Pudong New District, Shanghai, China | ||||
| * Lam Research International Sarl (Lam Shanghai Warehouse; WGQ Bonded Warehouse), c/o HMG Supply Chain (Shanghai) Co., Ltd., No. 55, Fei La Road, Waigaoqiao Free Trade Zone Pudong New Area, Shanghai, China 200131 | ||||
| * Lam Research International Sarl (Lam Wuhan Warehouse), c/o Wuhan HMG Logistics Co., Ltd., Factory C101/201, 1-2F Building 1, Central China Normal, University Park Road, Wuhan, China 430223 | ||||
| * Lam Research International Sarl (Lam Wuxi Warehouse), c/o HMG WHL Logistics (Wuxi) Co., Ltd., Plot J3-4, No. 5 Gaolang East Road, CBZ, New District Wuxi, Wuxi, China 214208 | ||||
| * Lam Research International Sarl (Lam Xiamen Warehouse), c/o VR Int’l Logistics (Xiamen) Co., Ltd., C3 Area No. 3 Warehouse, No. 1007 West Fangshan Road, Bonded Logistics Center (Type B) Xiang’an District, Xiamen, China 361101 | ||||
| * Lam Research International Sarl (Lam Xi’an Warehouse), c/o VR International Logistics (Xi’an) Co., Ltd., No. 28 Information Road, EPZ B Zone, Xi’an New District, Xi’an, China 710119 | ||||
| * Lam Research International Sarl (Wuxi EPZ Bonded Warehouse), c/o HMG WHL Logistics (Wuxi) Co., Ltd., 1st Floor, Area 4, No. 1, Plot J3, No. 5 Gaolang East Road, Export Processing Zone, Wuxi, Jiangsu, China 214028 | ||||
| ** Lam Research Service Co., Ltd. (Shanghai), 1st Floor, Area C, Hua Hong Science & Technology Park, 177 Bi Bo Road, Zhangjiang Hi-Tech Park, Pudong New District, Shanghai, China 201203 ** Lam Research Service Co., Ltd. (Xiamen), Room 705A, Qiangye Building, Xiang’an Industrial Park, Xiamen Torch Hi-tech Zone, Xiamen, China 361115 ** Lam Research Service Co., Ltd. (Beijing Branch), 6th Floor, Building 52, No. 2, Jingyuan North Street, Beijing Economic & Technological Development Area, Beijing, China 100176 ** Lam Research Service Co., Ltd. (Dalian Branch), Units 01, 02, 13, 10th Floor, Jinma International Building, No. 1 Yongde Street, Dalian, China 116620 ** Lam Research Service Co., Ltd. (Lam Dalian Representative Office), c/o Intel Semiconductor (Dalian) Ltd., No. 109 Huaihe Road East, Dalian Economic & Technical Development Area, Dalian, China 116600 | ||||
| ** Lam Research Service Co., Ltd. (Wuhan Representative Office), Room 302, Guanggu Software Park Building E4, No. 1 Guanshan Road, Wuhan, Hubei Province, China 430074 | ||||
| ** Lam Research Service Co., Ltd. (Wuxi Branch), Room 302, Building 6, Singapore International Park, No. 89 Xing Chuang Si Road, Wuxi New District, Wuxi, Jiangsu, China 214028 | ||||
| ** Lam Research Service (Shanghai) Co., Ltd. (Xi’an Branch), Room 602, Building G, Wangzuo Xiandai City, 35 Tangyan Road, Gaoxin District, Xi’an, China 710065 | ||||
| Samsung China Semiconductor Co. Ltd | 1C350.c.4, 1C350.d.14, 2B006.a, 2B006.b.1.d, 2B230, 2B350.d.2, 2B350.g.3, 2B350.i.3, 3A233, 3B001.a.1, 3B001.b, 3B001.e, 3B001.f, 3B001.h, 3C002, 3C004, 3D002, and 3E001 (limited to “technology” for items classified under 3C002 and 3C004 and “technology” for use consistent with the International Technology Roadmap for Semiconductors process for items classified under ECCNs 3B001 and 3B002) | Samsung China Semiconductor Co., Ltd., No. 1999, North Xiaohe Road, Xi’an, China 710119 | 78 FR 41291, 7/10/13. 78 FR 69535, 11/20/13. 79 FR 30713, 5/29/14. 80 FR 11863, 3/5/15. | |
| Shanghai Huahong Grace Semiconductor Manufacturing Corporation | 1C350.c.4, 1C350.d.14, 2B230, 2B350.d.2, 2B350.g.3, 2B350.i.4, 3B001.a.1, 3B001.b, 3B001.e, 3B001.f, 3B001.h, 3C002, 3C004, 5B002, and 5E002 (controlled by ECCNs 5A002, 5A004, or 5A992 that have been successfully reviewed under the encryption review process specified in Sections 740.17(b)(2) or 740.17(b)(3) of the EAR) | Shanghai Huahong Grace Semiconductor Manufacturing Corporation – HFab 2, 668 Guoshoujing Road, Zhangjiang Hi-Tech Park, Shanghai 201203 China Shanghai Huahong Grace Semiconductor Manufacturing Corporation – HFab 1, 1188 Chuanqiao Road, Pudong, Shanghai 201206 China Shanghai Huahong Grace Semiconductor Manufacturing Corporation – GFab1, 1399 Zuchongzhi Road, Zhangjiang Hi-Tech Park, Shanghai 201203 China | 78 FR 32981, 6/3/13. | |
| SK hynix Semiconductor (China) Ltd | 3B001.a, 3B001.b, 3B001.e, and 3B001.f | SK hynix Semiconductor (China) Ltd., Lot K7, Wuxi High-tech Zone, Comprehensive Bonded Zone, Wuxi New District, Jiangsu Province, China 214028 | 75 FR 62462, 10/12/10. 77 FR 40258, 7/9/12. 78 FR 3319, 1/16/13. 78 FR 69537, 11/20/13. | |
| SK hynix Semiconductor (Wuxi) Ltd | 3B001.a, 3B001.b, 3B001.e, and 3B001.f | SK hynix Semiconductor (Wuxi) Ltd., Lot K7-1, Wuxi High-tech Zone, Comprehensive Bonded Zone, Wuxi New District, Jiangsu Province, China 214028 | 75 FR 62462, 10/12/10. 77 FR 40258, 7/9/12. 78 FR 3319, 1/16/13. 78 FR 69537, 11/20/13. | |
| India | GE India Industrial Pvt Ltd. | 1C002.a.1, 1C002.a.2, 1C002.b.1.a, 1C002.b.1.b, 1E001, 2E003.f, 9E003.a.1, 9E003.a.2, 9E003.a.4, 9E003.a.5, 9E003.a.6, 9E003.a.8, and 9E003.c | GE India Technology Centre Private Limited (GEITC), No. 122, EPIP, Phase II, Hoodi Village, Whitefield Road, Bangalore 560066, Karnataka, India Bangalore Engineering Center (BEC), c/o GE India Technology Centre Private Limited (GEITC), No. 122, EPIP, Phase II, Hoodi Village, Whitefield Road, Bangalore 560066, Karnataka, India | 74 FR 31620, 7/2/09. 74 FR 68147, 12/23/09. 77 FR 10953, 2/24/12. |
Supplement No. 8 to Part 748 – Information Required in Requests for Validated End-User (Veu) Authorization
VEU authorization applicants must provide to BIS certain information about the prospective validated end-user. This information must be included in requests for authorization submitted by prospective validated end-users, or exporters or reexporters who seek to have certain entities approved as validated end-users. BIS may, in the course of its evaluation, request additional information.
(1) Name of proposed VEU candidates, including all names under which the candidate conducts business; complete company physical address (simply listing a post office box is insufficient); telephone number; fax number; e-mail address; company Web site (if available); and name of individual who should be contacted if BIS has any questions. If the entity submitting the application is different from the prospective validated end-user identified in the application, this information must be submitted for both entities. If the candidate has multiple locations, all physical addresses located in the eligible destination must be listed.
(2) Provide an overview of the structure, ownership and business of the prospective validated end-user. Include a description of the entity, including type of business activity, ownership, subsidiaries, and joint-venture projects, as well as an overview of any business activity or corporate relationship that the entity has with either government or military organizations.
(3) List the items proposed for VEU authorization approval and their intended end-uses. Include a description of the items; the ECCN for all items, classified to the subparagraph level, as appropriate; technical parameters for the items including performance specifications; and end-use description for the items. If BIS has previously classified the item, the Commodity Classification Automated Tracking System (CCATS) number may be provided in lieu of the information listed in the foregoing provisions of this paragraph.
(4) Provide the physical address(es) of the location(s) where the item(s) will be used, if this address is different from the address of the prospective validated end-user provided in paragraph (1) of this supplement.
(5) If the prospective validated end-user plans to reexport or transfer the item, specify the destination to which the items will be reexported or transferred.
(6) Specify how the prospective validated end-user’s record keeping system will allow compliance with the recordkeeping requirements set forth in § 748.15(e) of the EAR. Describe the system that is in place to ensure compliance with VEU requirements.
(7) Include an original statement on letterhead of the prospective validated end-user, signed and dated by a person who has authority to legally bind the prospective validated end-user, certifying that the end-user will comply with all VEU requirements. This statement must include acknowledgement that the prospective end-user:
(i) Has been informed of and understands that the item(s) it may receive as a validated end-user will have been exported in accordance with the EAR and that use or diversion of such items contrary to the EAR is prohibited;
(ii) Understands and will abide by all authorization VEU end-use restrictions, including the requirement that items received under authorization VEU will only be used for authorized end-uses and may not be used for any activities described in part 744 of the EAR;
(iii) Will comply with VEU recordkeeping requirements; and
(iv) Agrees to allow on-site reviews by U.S. Government officials to verify the end-user’s compliance with the conditions of the VEU authorization.
Supplement No. 9 to Part 748 – End-User Review Committee Procedures
(1) The End-User Review Committee (ERC), composed of representatives of the Departments of State, Defense, Energy, and Commerce, and other agencies, as appropriate, is responsible for determining whether to add to, to remove from, or otherwise amend the list of validated end-users and associated eligible items set forth in supplement no. 7 to this part. The Department of Commerce chairs the ERC.
(2) Unanimous vote of the Committee is required to authorize VEU status for a candidate or to add any eligible items to a pre-existing authorization. Majority vote of the Committee is required to remove VEU authorization or to remove eligible items from a pre-existing authorization.
(3) In addition to requests submitted pursuant to § 748.15, the ERC will also consider candidates for VEU authorization that are identified by the U.S. Government. When the U.S. Government identifies a candidate for VEU authorization, relevant parties (i.e., end-users and exporters or reexporters, when they can be identified) will be notified, before the ERC determines whether VEU authorization is appropriate, as to which end-users have been identified as potential VEU authorization candidates. End-users are not obligated to accept the Government’s nomination.
(4) The ERC will make determinations whether to grant VEU authorization to each VEU candidate no later than 30 calendar days after the candidate’s complete application is circulated to all ERC agencies. The Committee may request additional information from an applicant or potential validated end-user related to a particular VEU candidate’s application. The period during which the ERC is waiting for additional information from an applicant or potential validated end-user is not included in calculating the 30 calendar day deadline for the ERC’s determination.
(5) If an ERC agency is not satisfied with the decision of the ERC, that agency may escalate the matter to the Advisory Committee on Export Policy (ACEP). The procedures and time frame for escalating any such matters are the same as those specified for license applications in Executive Order 12981, as amended by Executive Orders 13020, 13026 and 13117 and referenced in § 750.4 of the EAR.
(6) A final determination at the appropriate decision-making level to amend the VEU authorization list set forth in supplement no. 7 to this part operates as clearance by all member agencies to publish the amendment in the
(7) The Deputy Assistant Secretary of Commerce for Export Administration will communicate the determination on each VEU request to the requesting party and the end-user.
PART 750 – APPLICATION PROCESSING, ISSUANCE, AND DENIAL
§ 750.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part describes the Bureau of Industry and Security’s (BIS) process for reviewing your application for a license and the applicable processing times for various types of applications. Information related to the issuance, revocation, or suspension of a license and the denial of a license application is provided along with the procedures on obtaining a duplicate or replacement license (limited to those which BIS has validated and issued in hardcopy), the transfer of a license, and the shipping tolerances available on licenses. This part also contains instructions on obtaining the status of a pending application.
§ 750.2 Processing of Classification Requests and Advisory Opinions.
(a) Classification requests. All classification requests submitted in accordance with procedures described in § 748.3 (a) and (b) of the EAR will be answered within 14 calendar days after receipt. All responses will inform the person of the proper classification (e.g., whether or not the item is subject to the Export Administration Regulations (EAR) and, if applicable, the appropriate Export Control Classification Number [ECCN]).
(b) Advisory Opinion requests. All advisory opinions submitted in accordance with procedures described in § 748.3(a) and (c) of the EAR will be answered within 30 calendar days after receipt. Requests to obtain Validated End-User authorization will be resolved within 30 calendar days as described in supplement no. 9 to Part 748 of the EAR.
§ 750.3 Review of license applications by BIS and other government agencies and departments.
(a) Review by BIS. In reviewing specific license applications, BIS will conduct a complete analysis of the license application along with all documentation submitted in support of the application. In addition to reviewing the item and end-use, BIS will consider the reliability of each party to the transaction and review any available intelligence information. To the maximum extent possible, BIS will make licensing decisions without referral of license applications to other agencies, however, BIS may consult with other U.S. departments and agencies regarding any license application.
(b) Review by other departments or agencies. (1) The Departments of Defense, Energy, State, and the Arms Control and Disarmament Agency (ACDA) have the authority to review any license application submitted under the EAR. In addition, BIS may, where appropriate, refer license applications to other U.S. government departments or agencies. These agencies and departments will be referred to as “agencies” for the purposes of this part. Though these agencies have the authority to review any license application, they may determine that they do not need to review certain types of license applications. In these instances, the agency will provide BIS with a Delegation of Authority to process those license applications without review by that particular agency.
(2) The Departments of Defense, Energy, State, and ACDA are generally concerned with license applications involving items controlled for national security, missile technology, nuclear nonproliferation, and chemical and biological weapons proliferation reasons or destined for countries and/or end uses of concern. In particular, these agencies are concerned with reviewing license applications as follows:
(i) The Department of Defense is concerned primarily with items controlled for national security and regional stability reasons and with controls related to encryption items;
(ii) The Department of Energy is concerned primarily with items controlled for nuclear nonproliferation reasons;
(iii) The Department of State is concerned primarily with items controlled for national security, nuclear nonproliferation, missile technology, regional stability, anti-terrorism, crime control reasons, and sanctions; and
(iv) The Department of Justice is concerned with controls relating to encryption items and items primarily useful for the surreptitious interception of wire, oral, or electronic communications.
§ 750.4 Procedures for processing license applications.
(a) Overview. (1) All license applications will be resolved or referred to the President no later than 90 calendar days from the date of BIS’s registration of the license application. Processing times for the purposes of this section are defined in calendar days. The procedures and time limits described in this part apply to all license applications registered on or after February 4, 1996. The procedures and time limits in effect prior to December 6, 1995 will apply to license applications registered prior to February 4, 1996.
(2) Properly completed license applications will be registered promptly upon receipt by BIS. Registration is defined as the point at which the application is entered into BIS’s electronic license processing system. If your application contains deficiencies that prevent BIS from registering your application, BIS will attempt to contact you to correct the deficiencies, however, if BIS is unable to contact you, the license application will be returned without being registered. The specific deficiencies requiring return will be enumerated in a notice accompanying the returned license application. If a license application is registered, but BIS is unable to correct deficiencies crucial to processing the license application, it will be returned without action. The notice will identify the deficiencies and the action necessary to correct the deficiencies. If you decide to resubmit the license application, it will be treated as a new license application when calculating license processing time frames.
(b) Actions not included in processing time calculations. The following actions will not be counted in the time period calculations described in paragraph (a)(1) of this section for the processing of license applications:
(1) Agreement by the applicant to the delay. BIS may request applicants to provide additional information in support of their license application, respond to questions arising during processing, or accept proposed conditions or riders on their license application. If BIS has provided the applicant with an intent to deny letter described in § 750.6 of this part, processing times may be suspended in order to negotiate modifications to a license application and obtain agreement to such modifications from the foreign parties to the license application.
(2) Pre-license checks. BIS conducts pre-license checks in order to establish the identity and reliability of the recipient of the items subject to the EAR that require a license, as well as to substantiate representations made on the license application. The results of the pre-license check, including the U.S. government’s inability to conduct the pre-license check due to the end user’s or host government’s actions, will be considered in determining the outcome of a license application. The time required to conduct a pre-license check is not included in license application processing time calculations according to this paragraph, if the pre-license check is:
(i) Conducted through government channels, and
(ii) The request for a pre-license check is made by the Secretary or by another agency within the following time frames:
(A) The pre-license check is requested within 5 days of the determination that it is necessary; and
(B) The analysis resulting from the pre-license check is completed and reported to licensing officials within 5 days.
(3) Government-to-Government assurances. Requests for government-to-government assurances of suitable end-use of items approved for export or reexport when failure to obtain such assurances would result in rejection of the license application, provided that:
(i) The request for such assurances is sent to the Secretary of State within five days of the determination that the assurances are required;
(ii) The Secretary of State initiates the request of the relevant government within 10 days of receipt of the request for such assurances; and
(iii) The license is issued within 5 days of the Secretary’s receipt of the requested assurances.
(4) Consultations. Consultation with other governments, if such consultation is provided for by a relevant bilateral arrangement or multilateral regime as a precondition for approving a license.
(5) Multilateral reviews. Multilateral review of a license application if such review is required by the relevant multilateral regime.
(6) Congressional notification. Under Section 6(j) of the Export Administration Act, as amended (EAA), the Secretaries of Commerce and State are required to notify appropriate Committees of the Congress 30 days prior to issuing a license to any country designated by the Secretary of State as being terrorist-supporting for any items that could make a significant contribution to the military potential of such countries, or could enhance the ability of such countries to support acts of international terrorism. Accordingly, the issuance of any license subject to this requirement will be delayed for 30 days.
(i) Designated countries. The following countries have been designated by the Secretary of State as terrorist-supporting countries: Iran, North Korea, and Syria.
(ii) Items subject to notification requirement. License applications involving the export or reexport of the following items to the military, police, intelligence or other sensitive end-users are subject to this notification requirement:
(A) All items controlled for national security reasons;
(B) All items controlled for chemical and biological weapons proliferation reasons;
(C) All items controlled for missile technology reasons;
(D) All items controlled for nuclear nonproliferation reasons; and
(E) All items controlled by the CCL where the entry heading identifies the items controlled as those contained in the Wassenaar Arrangement Munitions List.
(iii) Additional notifications. The Secretaries of Commerce and State must also notify the appropriate Congressional committees 30 days before a license is issued for the export or reexport of any item controlled on the CCL to a designated country if the Secretary of State determines that the export or reexport “could make a significant contribution to the military potential of such country, including its military logistics capability, or could enhance the ability of such country to support acts of international terrorism.”
(7) Congressional notification. Congressional notification, including any consultations prior to notification, prior to the issuance of an authorization to export when notification is required by § 743.5 of the EAR.
(8) Satellites for launch. Applicant must obtain approval by the Department of Defense of a technology transfer control plan and the National Security Agency of an encryption technology transfer control plan and must make arrangements with the Department of Defense for monitoring of all launch activities.
(c) Initial processing. Within 9 days of license application registration, BIS will, as appropriate:
(1) Contact the applicant if additional information is required, if the license application is improperly completed, or required support documents are missing, to request additional or corrected information;
(2) Assure the stated classification on the license application is correct;
(3) Return the license application if a license is not required with a statement notifying the applicant that a license is not required;
(4) Approve the license application or notify the applicant of the intent to deny the license application; or
(5) Refer the license application electronically along with all necessary recommendations and analysis concurrently to all agencies unless the application is subject to a Delegation of Authority. Any relevant information not contained in the electronic file will be simultaneously forwarded in paper copy.
(d) Review by other agencies and/or interagency groups. (1) Within 10 days of receipt of a referral the reviewing agency must advise BIS of any information not contained in the referral as described in paragraph (c)(5) of this section. BIS will promptly request such information from the applicant. The time that elapses between the date the information is requested by the reviewing agency and the date the information is received by the reviewing agency will not be counted in processing time frames.
(2) Within 30 days of receipt of the initial referral, the reviewing agency will provide BIS with a recommendation either to approve (with or without conditions or riders) or deny the license application. As appropriate, such a recommendation may be made with the benefit of consultation and/or discussions in interagency groups established to provide expertise and coordinate interagency consultation. These interagency groups consist of:
(i) The Missile Technology Export Control Group (MTEC). The MTEC, chaired by the Department of State, reviews license applications involving items controlled for missile technology reasons. The MTEC also reviews license applications involving items not controlled for missile technology (MT) reasons, but destined for a country and/or end-use/end-user of MT concern.
(ii) The SubGroup on Nuclear Export Coordination (SNEC). The SNEC, chaired by the Department of State, reviews license applications involving items controlled for nuclear nonproliferation reasons. The SNEC also reviews license applications involving items not controlled for nuclear nonproliferation (NP) reasons, but destined for a country and/or end-use/end-user of NP concern.
(iii) The Shield. The Shield, chaired by the Department of State, reviews license applications involving items controlled for chemical and biological weapons reasons. The Shield also reviews license applications involving items not controlled for chemical and biological weapons (CBW) reasons, but destined for a country and/or end-use/end-user of CBW concern.
(iv) Remote Sensing Interagency Working Group (RSIWG). The RSIWG, chaired by the State Department, reviews license applications involving remote sensing spacecraft described in ECCN 9A515.a.1, .a.2, .a.3, or .a.4, sensitive remote sensing components described in 9A515.g, or “technology” described in ECCN 9E515.f.
(e) Recommendations by reviewing agencies. Reviewing agencies recommending denial of a license application must provide a statement of reasons, consistent with the provisions of the EAA or EAR, and cite both the statutory and the regulatory basis for the recommendation to deny. A reviewing agency that fails to provide a recommendation within 30 days with a statement of reasons supported by the statutory and regulatory basis shall be deemed to have no objection to the final decision of BIS.
(f) Interagency dispute resolution and escalation procedures – (1) Escalation to the Operating Committee (OC). (i) In any instance where the reviewing agencies are not in agreement on final disposition of a license application, it will be escalated to the OC for resolution. The Chair of the OC will consider the recommendations of the reviewing agencies and any information provided by the applicant in person during an open OC session. Each agency will be informed of the Chair’s decision on the license application within 14 days after the deadline for receiving agency recommendations.
(ii) If any agency disagrees with the OC Chair’s decision, the agency may escalate the decision by appealing to the Chair of the Advisory Committee on Export Policy for resolution. If such a request for escalation is not made within 5 days of the decision of the OC Chair, the Chair’s decision will be final.
(2) Escalation to the Advisory Committee on Export Policy (ACEP). Requests for escalation to the ACEP must be in writing from an official appointed by the President with the advice and consent of the Senate, or a person properly acting in such capacity, and cite both the statutory and the regulatory basis for the appeal. The ACEP will review all relevant information and recommendations. The Chair of the ACEP will inform the reviewing agencies of the majority vote decision of the ACEP within 11 days from the date of receipt of the escalation request. Within 5 days of the decision, any dissenting agency may appeal in writing the ACEP’s decision to the Secretary of Commerce in the Secretary’s capacity as the Chair of the Export Administration Review Board. The written request must be made by the head of the agency requesting escalation and cite both the statutory and the regulatory basis for the appeal. Within the same period of time, the Secretary may initiate a meeting on his or her own initiative to consider a license application. In the absence of a timely appeal, the decision of the ACEP will be final.
(3) Escalation to the Export Administration Review Board (EARB). The EARB will review all relevant information and recommendations, and such other export control matters as may be appropriate. The Secretary of Commerce will inform the reviewing agencies of the majority vote decision of the EARB within 11 days from the date of receipt of the appeal. Within 5 days of the decision, any agency dissenting from the decision of the EARB may appeal the decision to the President. The appeal must be in writing from the head of the dissenting agency. In the absence of a timely appeal, the decision of the EARB will be final.
§ 750.5 [Reserved]
§ 750.6 Denial of license applications.
(a) Intent to deny notification. If BIS intends to deny your license application, BIS will notify you in writing within 5 days of the decision. The notification will include:
(1) The intent to deny decision;
(2) The statutory and regulatory basis for the denial;
(3) To the extent consistent with the national security and foreign policy of the United States, the specific considerations that led to the decision to deny the license application;
(4) What, if any, modifications or restrictions to the license application would allow BIS to reconsider the license application;
(5) The name of the BIS representative in a position to discuss the issues with the applicant; and
(6) The availability of appeal procedures.
(b) Response to intent to deny notification. You will be allowed 20 days from the date of the notification to respond to the decision before the license application is denied. If you respond to the notification, BIS will advise you if, as a result of your response, the decision to deny has been changed. Unless you are so advised by the 45th day after the date of the notification, the denial will become final, without further notice. You will then have 45 days from the date of final denial to exercise the right to appeal under part 756 of the EAR.
§ 750.7 Issuance of licenses.
(a) Scope. (1) Unless limited by a condition set out in a license, the export, reexport, or transfer (in-country) authorized by a license is for the item(s), end-use(s), and parties described in the license application and any letters of explanation. The applicant must inform the other parties identified on the license, such as the ultimate consignees and end users, of the license’s scope and of the specific conditions applicable to them.
(2) BIS grants licenses in reliance on representations the applicant made or submitted in connection with the license application, letters of explanation, and other documents submitted. Any license obtained in which a false or misleading representation was made, or a material fact was falsified or concealed on the license application, letters of explanation, or any document submitted in connection with the license application, shall be deemed void as of the date of issuance. See § 750.8(a) of the EAR, which provides that all licenses are subject to revocation, in whole or in part, without notice. See part 764 of the EAR for other sanctions that may result in the event a violation occurs.
(3) A BIS license authorizing the release of “technology” to an entity also authorizes the release of the same “technology” to the entity’s foreign persons who are permanent and regular employees (and who are not proscribed persons) of the entity’s facility or facilities authorized on the license, except to the extent a license condition limits or prohibits the release of the “technology” to foreign persons of specific countries or country groups. See § 734.20 of the EAR for additional information regarding the release of “technology” authorized by a BIS license.
(b) Issuance of a license. BIS may issue a license electronically via its Simplified Network Application Processing (SNAP-R) system or via paper or both electronically and via paper. Each license has a license number that will be shown on the license.
(c) Changes to the license. (1) The following non-material changes do not require submission of a “Replacement” license or any other notification to BIS. (If you wish to make any change not identified in this paragraph, you will need to submit a “Replacement” license in accordance with the instructions contained in supplement no. 1 to part 748 of the EAR, Block 11):
(i) Decrease in unit price or total value;
(ii) Increase in price if permitted under the shipping tolerances in § 750.11 of this part;
(iii) Increase in price that can be justified on the basis of changes in point of delivery, port of export, or as a result of transportation cost, drayage, port charges, warehousing, currency fluctuations, etc.;
(iv) Establishment of unit or total price in conformance with a “price statement” on a license that permits price to be based on the market price at a specified date plus an exporter’s mark-up, or like basis;
(v) Change in intermediate consignee if the new intermediate consignee is located in the country of ultimate destination as shown on the license, except a change in, or addition of, an intermediate consignee involving a consolidated shipment;
(vi) Change in continuity of shipment by unloading from carrier at a country listed in Country Group B (see supplement no. 1 to part 740 of the EAR) port not in the country of ultimate destination, without the designation of an intermediate consignee on the shipping documents and license, provided:
(A) The purpose is to transfer the shipment to another vessel, barge, or vehicle, solely for onforwarding to the country of destination shown on the shipping documents and the license;
(B) The shipment is moving on a through bill of lading;
(C) The carrier is not registered in, owned or controlled by, or under charter or lease to a country in Country Group D:1 or E:2 (see supplement no. 1 to part 740 of the EAR), or a national of any of these countries;
(D) The carrier retains custody of the shipment until it is delivered to the ultimate consignee; and
(E) The original bill of lading or air waybill first issued at the port of export is delivered with the shipment to the ultimate consignee;
(vii) Change in address of purchaser or ultimate consignee if the new address is located within the same country shown on the license; or
(viii) Change in ECCN, where necessary only for the purpose of conforming to an official revision in the CCL; or wording of the item description. This does not cover an actual change in the item to be shipped, or an increase in the total price or quantity on the license.
(ix) Direct exports, reexports, or transfers (in-country) to and among approved end users and the ultimate consignee on a license, provided those end users and ultimate consignee are listed by name and location on such license and the license does not contain any conditions specific to the ultimate consignee that cannot be complied with by the end user, such as a reporting requirement that must be made by the ultimate consignee. Reexports and transfers (in-country) among approved end users may be further limited by license conditions; or
(x) Export, reexport or transfer (in-country) of missile technology (MT) controlled minimum necessary “software” and/or “technology” permitted pursuant to the missile technology licensing policy in § 742.5(b)(3) of the EAR. (See § 742.5(b)(3)(i) for the scope of eligible minimum “software” and/or “technology” and other limitations for licenses for MT controlled items).
This MT licensing policy is implemented pursuant to paragraph (c)(1)(x) of this section because it applies to all MT licenses, except when a condition is placed on the license which excludes the use of paragraph (c)(1)(x) of this section, as described in § 742.5(b)(3)(ii).
License Exception TSU under § 740.13 of the EAR is available for the ECCNs controlled for MT reasons specified in paragraph (a)(5) in § 740.2, provided the software or technology is for an end use specified in that paragraph and meets the requirements of License Exception TSU. (See §§ 740.2(a)(5) and 740.13). The licensing policy in § 742.5(b)(3) is only available for licensed exports (or reexports, or transfers (in-country)).
(2) In some circumstances, BIS may authorize changing the name of a person listed on a license (i.e., name of exporter, reexporter, purchaser, intermediate consignee, ultimate consignee or end user), provided the pertinent person has not undergone a change in ownership, including merger or acquisition, or any other change in legal status since the time the license was issued. In order to rely on this paragraph (c)(2), BIS must have approved the name change in response to an advisory opinion request submitted by the licensee pursuant to § 748.3(c) of the EAR and the instructions below.
(i) The advisory opinion request must be submitted on the licensee’s company letterhead and include the following information:
(A) The title of the advisory opinion, in this format: “License name change notification and review request;”
(B) All license numbers subject to the notification and review request (either in the letter or as a separate attachment);
(C) The name(s) changing on the license(s) (include the original and new names), and when the name(s) are changing (either in the letter or as a separate attachment);
(D) Any background information available on the reasons for the name change(s) (e.g., press releases from the person changing its name(s)); and
(E) A statement regarding whether there has been a change in ownership, including a merger or acquisition, or any other change in legal status regarding the person(s) changing its name(s).
(F) Confirmation that, if the request is approved, the licensee will share the advisory opinion response from BIS with all other persons listed on the license, and inform those persons that the advisory opinion response must be retained pursuant to the recordkeeping requirements in part 762 of the EAR.
(ii) If BIS determines the name change is not a material change to the license and approves the request to change the name(s) on the license, BIS will send a written response to the licensee who submitted the notification. If BIS does not approve the request to change the name(s) on the license, BIS will send a written response to the licensee who submitted the notification.
(iii) For guidance on using an export license with approved name changes, see § 758.4(d) (Exports against license with approved name change).
(iv) If a license name change notification and review request is denied by BIS or the licensee determines that there has been a material change to the license, such as a change in ownership of a person on the license, including merger or acquisition, or any other change in legal status since the time the license was issued, a new license application should be submitted.
(d) Responsibility of the licensee. The person to whom a license is issued is the licensee. In export transactions, the exporter must be the licensee, and the exporter-licensee is responsible for the proper use of the license, and for all terms and conditions of the license, except to the extent that certain terms and conditions are directed toward some other party to the transaction. In reexport or routed export transactions, a U.S. agent acting on behalf of a foreign principal party in interest may be the licensee; in these cases, both the agent and the foreign principal party in interest, on whose behalf the agent has acted, are responsible for the use of the license, and for all terms and conditions of the license, except to the extent that certain terms and conditions are directed toward some other party to the transaction. It is the licensee’s responsibility to communicate in writing the specific license conditions to the parties to whom those conditions apply. In addition, when required by the license, the licensee is responsible for obtaining written acknowledgment(s) of receipt of the conditions from the party(ies) to whom those conditions apply.
(e) Prohibited use of a license. No person convicted of a violation of any statute specified in section 11(h) of the EAA, at the discretion of the Secretary of Commerce, may apply for any license for a period up to 10 years from the date of the conviction. See § 766.25 of the EAR.
(f) Quantity of commodities authorized. Unlike software and technology, commodities will be approved with a quantity and dollar value limit. Any license resulting from a license application to export or reexport commodities will be licensed in terms of the specified unit of quantity commonly used in trade. A total dollar value for the commodity will be authorized based on the per unit price of the commodity. Subject to the shipping tolerances authorized in § 750.11 of this part, the authorization is limited by both the quantity and value listed on the license.
(g) License validity period. Licenses involving the export or reexport of items will generally have a four-year validity period, unless a different validity period has been requested and specifically approved by BIS or is otherwise specified on the license at the time that it is issued. Exceptions from the four-year validity period include license applications for items controlled for short supply reasons, which will be limited to a 12-month validity period and license applications reviewed and approved as an “emergency” (see § 748.4(h) of the EAR). Emergency licenses will expire no later than the last day of the calendar month following the month in which the emergency license is issued. The expiration date will be clearly stated on the face of the license. If the expiration date falls on a legal holiday (Federal or State), the validity period is automatically extended to midnight of the first business day following the expiration date.
(1) Extended validity period. BIS will consider granting a validity period exceeding 4 years on a case-by-case basis when extenuating circumstances warrant such an extension. Requests for such extensions may be made at the time of application or after the license has been issued and it is still valid. BIS will not approve changes regarding other aspects of the license, such as the parties to the transaction and the countries of ultimate destination. An extended validity period will generally be granted where, for example, the transaction is related to a multi-year project; when the period corresponds to the duration of a manufacturing license agreement, technical assistance agreement, warehouse and distribution agreement, or license issued under the International Traffic in Arms Regulations; when production lead time will not permit an export or reexport during the original validity period of the license; when an unforeseen emergency prevents shipment within the 4-year validity of the license; or for other similar circumstances.
(2) Request for extension. (i) The applicant must submit a letter in writing to request an extension in the validity period of a previously approved license. The subject of the letter must be titled: “Request for Validity Period Extension” and contain the following information:
(A) The name, address, and telephone number of the requestor;
(B) A copy of the original license, with the license number, validation date, and current expiration date legible; and
(C) Justification for the extension;
(ii) It is the responsibility of the applicant to ensure that all applicable support documents remain valid and are in the possession of the applicant. If the request for extension is approved, BIS will provide the applicant with a written response.
(h) Specific types of licenses – (1) Licenses for temporary exports or reexports. If you have been granted a license for the temporary export or reexport of items and you decide not to return the items to the United States, you must submit a license application requesting authorization to dispose of the items. Except when the items are to be used on a temporary basis at a new destination (and returned to the United States after such use), you must ensure that your license application is accompanied by all documents that would be required if you had requested a license to export or reexport the same item directly to the new destination.
(2) Intransit within the United States. If you have been issued a license authorizing an intransit shipment (that does not qualify for the intransit provisions of License Exception TMP) through the United States, your license will be valid only for the export of the intransit shipment wholly of foreign origin and for which a Transportation and Exportation customs entry or an Immediate Exportation customs entry is outstanding.
(3) Intransit outside the United States. If you have been issued a license authorizing unlading or transit through a country listed in the General Prohibition Eight contained in § 736.2(b)(8) of the EAR, and you did not know the identity of the intermediate consignee at the time of the original license application, you must notify BIS in writing once you have ascertained the identity of the intermediate consignee. Your notification must contain the original license number, and the complete name, address, and telephone number of the intermediate consignee. The written request must be submitted to BIS at the address listed in § 748.1(d)(2) of the EAR.
(4) Replacement license. If you have been issued a “replacement license” (for changes to your original license not covered in paragraph (c) of this section), you must retain both the original and the replacement license.
(i) Terminating license conditions. Exporters or reexporters who have shipped under licenses with conditions that would not apply to an export under a License Exception or if no license was required, and foreign consignees who have agreed to such conditions, are no longer bound by these conditions when the licensed items become eligible for a License Exception or can be exported or reexported without a license. Items that become eligible for a License Exception are subject to the terms and conditions of the applicable License Exception and to the restrictions in § 740.2 of the EAR. Items that become eligible for export without a license remain subject to the EAR and any export, reexport, or disposition of such items may only be made in accordance with the requirements of the EAR. Termination of license conditions does not relieve an exporter or reexporter of its responsibility for violations that occurred prior to the availability of a License Exception or prior to the removal of license requirements.
(j) Records. If you have been issued a license you must retain the license, and maintain complete records in accordance with part 762 of the EAR including any licenses (whether used or unused, valid or expired) and all supporting documents and shipping records.
§ 750.8 Revocation or suspension of licenses.
(a) Revocation. All licenses for exports or reexports are subject to revision, suspension, or revocation, in whole or in part, without notice. BIS’s Office of Exporter Services may revoke any license in which a person who has been convicted of one of the statutes specified in section 11(h) of the EAA, at the discretion of the Secretary of Commerce, has an interest in the license at the time of the conviction. It may be necessary for BIS to stop a shipment or an export or reexport transaction at any stage in the process (e.g., in order to prevent an unauthorized export or reexport). If a shipment is already en route, it may be further necessary for BIS to order the return or unloading of such shipment at any port of call in accordance with the provisions of the EAA.
(b) Revoked or suspended licenses. If BIS revokes or suspends a license, the licensee must retain all applicable supporting documents and records of shipments in accordance with the recordkeeping provisions of part 762 of the EAR.
§ 750.9 Duplicate licenses.
(a) Lost, stolen or destroyed. For licensees whom BIS authorized the submission of paper applications, if a license is lost, stolen or destroyed, you, as the licensee, may obtain a duplicate of the license by submitting a letter to the BIS at the address listed in § 748.1(d)(2) of the EAR, Attention: Duplicate License Request.” You must certify in your letter:
(1) That the original license ([number] issued to [name and address of licensee]) has been lost, stolen or destroyed; and
(2) The circumstances under which it was lost, stolen or destroyed.
(b) Hong Kong Trade Department. BIS will automatically issue a duplicate license whenever the license lists a party in Hong Kong as the intermediate consignee, or when Hong Kong is identified as the country from which the reexport will take place. The duplicate license will be labeled “Duplicate for Hong Kong Trade Department”. This duplicate must be forwarded to the reexporter or intermediate consignee for submission to the Hong Kong Trade Department. The original license must be retained on file by the licensee in accordance with the recordkeeping provisions contained in part 762 of the EAR.
§ 750.10 Transfers of licenses for exports.
(a) Authorization. As the licensee, you may not transfer a license issued for the export of items from the United States to any other party, except with the prior written approval of BIS. BIS may authorize a transfer of a license for export to a transferee who is subject to the jurisdiction of the United States, is a principal party in interest, and will assume all powers and responsibilities under the license for the control of the shipment of the items out of the United States. BIS will approve only one transfer of the same license and only transfers of licenses to export items.
(b) How to request the transfer of licenses – (1) Letter from licensee. You, as the licensee, must submit a letter in writing to request a transfer of a license or licenses. The letter must contain the following information:
(i) The reasons for the requested transfer;
(ii) Either a list of the outstanding license numbers or a statement that all outstanding licenses in the name of the licensee are to be transferred, and the total number of such outstanding licenses;
(iii) A list of all license applications for export to be transferred that are pending with BIS, identifying the Application Control Number for each, or other information that will assist in identifying the pending license applications;
(iv) Name and address of the person you intend to transfer the licenses and license applications to;
(v) The facts necessitating transfer;
(vi) A statement as to whether or not any consideration has been, or will be, paid for the transfer; and
(vii) Identification by name of the legal document (certificate, agreement, etc.) or other authority by which the new firm name is legally established, the new corporation or firm created, or the assets transferred and showing the effective date of such document and the state where filed or recorded.
(2) Information from transferee. The person to whom you wish to transfer your license(s) must provide you a signed letter, that must be submitted with your request, containing the following:
(i) That the transferee is a principal party in interest in the transaction covered by the license, or is acting as agent for a principal party in interest;
(ii) That the transferee is subject to the jurisdiction of the United States;
(iii) That the transferee assumes all powers and responsibilities under the license for the control of the shipment of the items out of the United States;
(iv) Whether any consideration has been, has not been, or will be paid for the transfer;
(v) The name and address of the foreign principal in instances where the transferee will make the export as an agent on behalf of a foreign principal; and
(vi) If the license is to be transferred to a subsidiary or firm, or if you transfer to the transferee all, or a substantial portion, of your assets or business, the transferee must certify that the legal authority changing the exporter imposes on the transferee the responsibility to accept and fulfill the obligations of the transferor under the transactions covered by the license; and
(vii) The following certification:
The undersigned hereby certifies that, if license number(s) ______ is (are) transferred in accordance with my (our) request, any and all documents evidencing the order covered by this (these) license(s) will be retained and made available upon request in compliance with the recordkeeping provisions contained in Part 762 of the Export Administration Regulations. The undersigned further certifies compliance with all requirements of the Export Administration Regulations regarding these licenses.
(c) Notification of transfer and recordkeeping. Unless instructed otherwise by BIS, you must retain the license(s) pending notification by BIS of the action taken. If the request is approved, you must forward the license(s) to the transferee and the validated letter received from BIS authorizing the transfer. If the transfer request is not approved, the license(s) must either be returned to BIS or used by you if you so choose and have retained the legal and operational capacity fully to meet the responsibilities imposed by the license(s). If your initial request is returned by BIS for additional information, after obtaining the necessary information you may resubmit your request.
§ 750.11 Shipping tolerances.
Under some circumstances, you may use a license issued for the export of items from the United States to export more than the value shown on that license. This additional amount is called a shipping tolerance. This section tells you, as the licensee, when you may take advantage of a shipping tolerance and the amount of shipping tolerance you are permitted to use.
(a) If you have already shipped the full quantity of items approved on your license, you may not use this shipping tolerance provision. No further shipment may be made under the license.
(b) If you have not shipped the full quantity of items approved on the license, the value of all of your shipments under one license, up to the full quantity approved on the license, may exceed the total dollar value stated on that license by up to 10%, unless;
(1) Your license stipulates a specific shipping tolerance; or
(2) Your item is controlled for short supply reasons and a different tolerance has been established. (See part 754 of the EAR).
PART 752 [RESERVED]
PART 754 – SHORT SUPPLY CONTROLS
§ 754.1 Introduction.
(a) Scope. In this part, references to the Export Administration Regulations (EAR) are references to 15 CFR chapter VII, subchapter C. This part implements the provisions of section 7, “Short Supply Controls,” of the Export Administration Act (EAA) and similar provisions in other laws that are not based on national security and foreign policy grounds.
(b) Contents. Specifically, this part deals with the following:
(1) It sets forth the license requirements and licensing policies for commodities that contain the symbol “SS” in the “Reason for Control” part of “License Requirements” section of the applicable Export Control Classification Number (ECCN) identified on the Commerce Control List (supplement no. 1 to part 774 of the EAR). In appropriate cases, it also provides for License Exceptions from the short supply licensing requirements described in this part. The license requirements and policies that are described in this part cover the following:
(i) [Reserved]
(ii) Petroleum products other than crude oil listed in supplement no. 1 to this part, that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR-produced or -derived commodities described by the following ECCNs. For specific licensing requirements for these items, see § 754.3 of this part.
(A) ECCN 1C980 (Inorganic chemicals);
(B) ECCN 1C982 (Other petroleum products);
(C) ECCN 1C983 (Natural gas liquids and other natural gas derivatives); and
(D) ECCN 1C984 (Manufactured gas and synthetic natural gas (except when commingled with natural gas and thus subject to export authorization from the Department of Energy).
(iii) Unprocessed western red cedar described by ECCN 1C988 (Western red cedar (thuja plicata) logs and timber, and rough, dressed and worked lumber containing wane). For specific licensing requirements for these items, see § 754.4 of this part.
(iv) Horses exported by sea for slaughter covered by ECCN 0A980 (Horses for export by sea). For specific licensing requirements, see § 754.5 of this part.
(2) It incorporates statutory provisions for the registration of U.S. agricultural commodities for exemption from short supply limitations on export (see § 754.6 of this part); and
(3) It incorporates statutory provisions for the filing and review of petitions seeking the imposition of monitoring or controls on recyclable metallic materials and procedures for related public hearings (see § 754.7 of this part).
(c) Reexports. Reexports of items controlled by this part require a license only if such a requirement is specifically set forth in this part or is set forth on the license authorizing the export from the United States.
(d) Additional requirements for embargoed destinations. For exports involving embargoed destinations, you must satisfy the requirements of this part and also of part 746 of the EAR (Embargoes and Other Special Controls).
§ 754.2 [Reserved]
§ 754.3 Petroleum products not including crude oil.
(a) License requirement. As indicated by the letters “SS” in the “Reason for Control” paragraph in the “License Requirements” section of ECCNs 1C980, 1C982, 1C983, and 1C984 on the CCL (supplement no. 1 to part 774 of the EAR), a license is required to all destinations, including Canada, for the export of petroleum products, excluding crude oil, listed in supplement no. 1 to this part, that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR produced or derived commodities.
(b) License policy. (1) Applications for the export of petroleum products listed in supplement no. 1 to this part that were produced or derived from the Naval Petroleum Reserves, or that became available for export as a result of an exchange for a Naval Petroleum Reserves produced or derived commodity, other than crude oil, will be denied, unless the President makes a finding required by the Naval Petroleum Reserves Production Act (10 U.S.C. 7430).
(2) Applications that involve temporary exports or exchanges excepted from that Act will be approved.
§ 754.4 Unprocessed western red cedar.
(a) License requirement. As indicated by the letters “SS” in the “Reason for Control” paragraph in the “License Requirements” section of ECCN 1C988 on the CCL (supplement no. 1 to part 774 of the EAR), a license is required to all destinations, including Canada, for the export of unprocessed western red cedar covered by ECCN 1C988 (Western red cedar (thuja plicata) logs and timber, and rough, dressed and worked lumber containing wane). For a non-exhaustive list of 10-digit Harmonized System-based Schedule B commodity numbers that may apply to unprocessed western red cedar products subject to the license requirements of this section, see supplement no. 2 to part 754 of the EAR. See paragraph (c) of this section for license exceptions for timber harvested from public lands in the State of Alaska, private lands, or Indian lands, and see paragraph (d) of this section for relevant definitions.
(b) Licensing policy. (1) BIS will generally deny applications for licenses to export unprocessed western red cedar harvested from Federal or State lands under harvest contracts entered into after September 30, 1979.
(2) BIS will consider, on a case-by-case basis, applications for licenses to export unprocessed western red cedar harvested from Federal or State lands under harvest contracts entered into prior to October 1, 1979.
(3) BIS will approve license applications for unprocessed western red cedar timber harvested from public lands in Alaska, private lands, and Indian lands. Applications must be submitted in accordance with the procedures set forth in paragraph (a) of this section. See paragraph (c) of this section for the availability of a License Exception.
(c) License Exception for western red cedar (WRC). (1) Subject to the requirements described in paragraph (c) of this section, License Exception WRC may be used to export without a license unprocessed western red cedar timber harvested from Federal, State and other public lands in Alaska, all private lands, and, lands held in trust for recognized Indian tribes by Federal or State agencies.
(2) Exporters who use License Exception WRC must obtain and retain on file the following documents:
(i) A statement by the exporter (or other appropriate documentation) indicating that the unprocessed western red cedar timber exported under this License Exception was not harvested from State or Federal lands outside the State of Alaska, and did not become available for export through substitution of commodities so harvested or produced. If the exporter did not harvest or produce the timber, the records or statement must identify the harvester or producer and must be accompanied by an identical statement from the harvester or producer. If any intermediate party or parties held title to the timber between harvesting and purchase, the exporter must also obtain such a statement, or equivalent documentation, from the intermediate party or parties and retain it on file.
(ii) A certificate of inspection issued by a third party log scaling and grading organization, approved by the United States Forest Service, that:
(A) Specifies the quantity in cubic meters or board feet, scribner rule, of unprocessed western red cedar timber to be exported; and
(B) Lists each type of brand, tag, and/or paint marking that appears on any log or unprocessed lumber in the export shipment or, alternatively, on the logs from which the unprocessed timber was produced.
(3) The requirements and restrictions described in §§ 740.1 and 740.2 of the EAR that apply to all License Exceptions also apply to the use of License Exception WRC.
(4) A person exporting any item pursuant to this license exception must enter on any required Electronic Export Information (EEI) filing to the Automated Export System (AES) the correct license code that corresponds to “SS-WRC.”
(d) License Applications. (1) Applicants requesting to export unprocessed western red cedar must apply for a license in accordance with § 748.1, 748.4 and 748.6 of the EAR, submit any other documents as may be required by BIS, and submit a statement from an authorized representative of the exporter, reading as follows:
I, (Name) (Title) of (Exporter) HEREBY CERTIFY that to the best of my knowledge and belief the (Quantity) (cubic meters or board feed scribner) of unprocessed western red cedar timber that (Exporter) proposes to export was not harvested from State or Federal lands under contracts entered into after October 1, 1979.
(2) In Blocks 16 and 18 of the application, “Various” may be entered when there is more than one purchaser or ultimate consignee.
(3) For each application submitted, and for each export shipment made under a license, the exporter must assemble and retain for the period described in part 762 of the EAR, and produce or make available for inspection, the following:
(i) A signed statement(s) by the harvester or producer, and each subsequent party having held title to the commodities, that the commodities in question were harvested under a contract to harvest unprocessed western red cedar from State or Federal lands, entered into before October 1, 1979; and
(ii) The Automated Export System record.
(4) A shipping tolerance of 5 percent in cubic feet or board feet scribner is allowed on the un-shipped balance of a commodity listed on a license. This tolerance applies only to the final quantity remaining un-shipped on a license against which more than one shipment is made and not to the original quantity authorized by such license. See § 750.11 of the EAR for an explanation of shipping tolerances.
(e) Definitions. When used in this section, the following terms have the meaning indicated:
(1) Unprocessed western red cedar means western red cedar (thuja plicata) timber, logs, cants, flitches, and processed lumber containing wane on one or more sides, as defined in ECCN 1C988, that has not been processed into:
(i) Lumber of American Lumber Standards Grades of Number 3 dimension or better, or Pacific Lumber Inspection Bureau Export R-List Grades of Number 3 common or better grades, with a maximum cross section of 2,000 square centimeters (310 square inches) for any individual piece of processed western red cedar (WRC) being exported, regardless of grade;
(ii) Chips, pulp, and pulp products;
(iii) Veneer and plywood;
(iv) Poles, posts, or pilings cut or treated with preservative for use as such and not intended to be further processed; and
(v) Shakes and shingles.
(2) Federal and State lands means Federal and State lands, excluding lands in the State of Alaska and lands held in trust by any Federal or State official or agency for a recognized Indian tribe or for any member of such tribe.
(3) Contract harvester means any person who, on October 1, 1979, had an outstanding contractual commitment to harvest western red cedar timber from State and Federal lands and who can show by previous business practice or other means that the contractual commitment was made with the intent of exporting or selling for export in unprocessed form all or part of the commodities to be harvested.
(4) Producer means any person engaged in a process that transforms an unprocessed western red cedar commodity (e.g., western red cedar timber) into another unprocessed western red cedar commodity (e.g., cants) primarily through a saw mill.
§ 754.5 Horses for export by sea.
(a) License requirement. As indicated by the letters “SS” in the “Reason for Control” paragraph of the “License Requirements” section of ECCN 0A980 on the CCL (supplement no. 1 to part 774 of the EAR) a license is required for the export of horses exported by sea to all destinations, including Canada.
(b) License policy. (1) License applications for the export of horses by sea for the purposes of slaughter will be denied.
(2) Other license applications will be approved if BIS, in consultation with the Department of Agriculture, determines that the horses are not intended for slaughter. You must provide a statement in the additional information section of the application certifying that no horse under consignment is being exported for the purpose of slaughter.
(3) Each application for export may cover only one consignment of horses.
§ 754.6 Registration of U.S. agricultural commodities for exemption from short supply limitations on export.
(a) Scope. Under the provisions of section 7(g) of the Export Administration Act of 1979 (EAA), agricultural commodities of U.S. origin purchased by or for use in a foreign country and stored in the United States for export at a later date may be registered with BIS for exemption from any quantitative limitations on export that may subsequently be imposed under section 7 of the EAA for reasons of short supply.
(b) Applications for registration. Applications to register agricultural commodities must be submitted by a person or firm subject to the jurisdiction of the United States who is acting as a duly authorized agent for the foreign purchaser.
(c) Address. Submit applications pursuant to the provisions of section 7(g) of the EAA, via courier, to: Bureau of Industry and Security, U.S. Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2099B, Washington, DC 20230.
§ 754.7 Petitions for the imposition of monitoring or controls on recyclable metallic materials; Public hearings.
(a) Scope. Section 7(c) of the Export Administration Act of 1979 (EAA) provides for the filing and review of petitions seeking the imposition of monitoring or controls on recyclable metallic materials.
(b) Eligibility for filing petitions. Any entity, including a trade association, firm or certified or recognized union or group of workers, which is representative of an industry or a substantial segment of an industry which processes metallic materials capable of being recycled with respect to which an increase in domestic prices or a domestic shortage, either of which results from increased exports, has or may have a significant adverse effect on the national economy or any sector thereof, may submit a written petition to BIS requesting the monitoring of exports, or the imposition of export controls, or both, with respect to such materials.
(c) Public hearings. The petitioner may also request a public hearing. Public hearings may also be requested by an entity, including a trade association, firm, or certified or recognized union or group of workers, which is representative of an industry or a substantial segment of an industry which processes, produces or exports the metallic materials which are the subject of a petition.
(d) Address. Submit petitions pursuant to section 7(c) of the EAA, via courier, to: Bureau of Industry and Security, U.S. Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2099B, Washington, DC 20230.
Supplement No. 1 to Part 754 – Crude Petroleum and Petroleum Products
This Supplement provides relevant Schedule B numbers and commodity descriptions for crude oil (EAR99) and for petroleum products other than crude oil that are controlled by ECCN 1C980, 1C982, 1C983, or 1C984. The 10-digit Harmonized System-based Schedule B commodity numbers and descriptions below are drawn from Chapter 27 of the Schedule B 2014 found at and the AES 2014 Export Concordance (December 30, 2013) http://www.census.gov/foreign-trade/aes/documentlibrary/expaes.txt. If there are any discrepancies between the information in this supplement and the information in the most current Schedule B, use the most current Schedule B commodity number on your Electronic Export Information filing on the Automated Export System.
| Schedule B No. | Commodity description |
|---|---|
| 2709001000 | Petroleum oils and oils obtained from bituminous minerals, crude. |
| 2709002010 | Petroleum oils and oils obtained from bituminous minerals, testing 25 degrees API or more, condensate derived wholly from natural gas, crude. |
| 2709002090 | Petroleum oils and oils obtained from bituminous minerals, testing 25 degrees API or more, crude, NESOI. |
| 2714100000 | Bituminous or oil shale and tar sands. |
| 2707999010 | Carbon black feedstock. |
| 2710121510 | Leaded gasoline. |
| 2710121514 | Unleaded gasoline, reformulated. |
| 2710121519 | Unleaded gasoline, NESOI. |
| 2710121520 | Jet fuel, naphtha-type. |
| 2710121550 | Motor fuels, NESOI. |
| 2710121805 | Motor fuel blending stock, Reformulated Blendstock for Oxygenate Blending (RBOB). |
| 2710121890 | Motor fuel blending stock, except Reformulated Blendstock for Oxygenate Blending (RBOB). |
| 2710122500 | Naphthas, except motor fuel or motor fuel blending stock. |
| 2710124500 | Light oil and preparation, mixtures of hydrocarbons containing by weight not over 50 percent of any single hydrocarbon compound, NESOI. |
| 2710129000 | Light oils and preparations obtained from bituminous minerals containing by weight 70 percent or more of petroleum oils, NESOI. |
| 2710190605 | No. 4-type fuel oils, API lt 25 degrees, having a saybolt universal viscosity at 37.8 degrees C of 45-125 seconds, with not over 500 ppm of sulfur. |
| 2710190615 | No. 4-type fuel oils under 25 degrees API having a saybolt universal viscosity at 37.8 degrees C of 45-125 seconds, having over 500 ppm sulfur. |
| 2710190620 | Heavy fuel oils under 25 degrees API having saybolt universal viscosity at 37.8 degrees C of more than 125 seconds. |
| 2710190650 | Distillate and residual fuel oils (including blended fuel oils), testing under 25 degrees API, NESOI. |
| 2710191106 | Light fuel oils testing 25 degrees API or more, containing not more than 15 ppm of sulfur. |
| 2710191109 | Light fuel oils testing 25 degrees API or more, containing more than 15 ppm but not more than 500 ppm of sulfur. |
| 2710191112 | Light fuel oils 25 degrees API or more having a saybolt universal viscosity at 37.8 degrees C of less than 45 seconds, containing over 500 ppm sulfur. |
| 2710191115 | No. 4-type fuel oils containing not more than 500 ppm of sulfur. |
| 2710191125 | No. 4-type fuel oils containing more than 500 ppm of sulfur. |
| 2710191150 | Heavy fuel oils 25 degrees API or more with a saybolt universal viscosity at 37.8 degrees C of more than 125 seconds. |
| 2710191600 | Kerosene-type jet fuel, NESOI. |
| 2710192400 | Kerosene motor fuel. |
| 2710192500 | Kerosene motor fuel blending stock. |
| 2710192600 | Kerosene, except motor fuel or motor fuel blending stock, NESOI. |
| 2710193010 | Aviation engine lubricating oils (except jet engine lubricating oils). |
| 2710193020 | Automotive, diesel or marine engine (except turbine) lubricating oils. |
| 2710193030 | Turbine lubricating oil, including marine. |
| 2710193040 | Automotive gear oils. |
| 2710193050 | Steam cylinder oils. |
| 2710193070 | Quenching or cutting oils. |
| 2710193080 | Lubricating oils with or without additives, NESOI. |
| 2710193750 | Lubricating greases with or w/out additives. |
| 2710194530 | White mineral oils, medicinal grade. |
| 2710194540 | White mineral oils, except medicinal grade. |
| 2710194545 | Insulating or transformer oils, NESOI. |
| 2710194590 | Mixtures of hydrocarbons NESOI, containing by weight not over 50 percent of any single hydrocarbon compound. |
| 2710199000 | Petroleum oils or oils obtained from bituminous minerals, other than crude, containing by weight 70% or more of petroleum oils, NESOI. |
| 2710200000 | Petroleum oils or oils obtained from bituminous minerals, other than crude, containing by weight 70% or more of petroleum oils, containing biodiesel. |
| 2710910000 | Waste oils containing Polychlorinated Biphenyls (PCBs), Polychlorinated Terphenyls (PCTs), or Polybrominated Biphenyls (PBBs). |
| 2710990000 | Waste oils, not elsewhere specified or included. |
| 2711110000 | Natural gas, liquefied. |
| 2711120000 | Propane, liquefied. |
| 2711130000 | Butanes, liquefied. |
| 2711140000 | Ethylene, propylene, butylene and butadiene liquefied. |
| 2711190000 | Petroleum gases and other gaseous hydrocarbons, liquefied, NESOI. |
| 2712200000 | Paraffin wax containing less than 0.75 percent oil. |
| 2712900000 | Microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat wax, other mineral waxes, and similar products, NESOI. |
| 2713110000 | Petroleum coke, not calcined. |
| 2713120000 | Petroleum coke, calcined. |
| 2713200000 | Petroleum bitumen. |
| 2713900000 | Residues of petroleum oils or of oils obtained from bituminous materials, NESOI. |
| 2714900000 | Bitumen and asphalt, natural; asphaltites and asphaltic rocks. |
| 2715000000 | Bituminous mixtures based on natural asphalt, natural bitumen, petroleum bitumen, mineral tar or mineral tar pitch. |
| 2804100000 | Hydrogen. |
| 2804290010 | Helium. |
| 2811210000 | Carbon dioxide. |
| 2811299000 | Carbon monoxide. |
| 2814100000 | Anhydrous ammonia. |
| 2814200000 | Ammonia in aqueous solution. |
| 3819000000 | Hydraulic brake fluids and other prepared liquids for hydraulic transmission, not containing or containing less than 70 percent by weight of petroleum oils or oils obtained from bituminous minerals. |
Supplement No. 2 to Part 754 – Unprocessed Western Red Cedar
This table is a non-exhaustive list of 10-digit Harmonized System-based Schedule B commodity numbers that may apply to unprocessed western red cedar products subject to license requirements of § 754.4 of this part. The 10-digit Harmonized System-based Schedule B commodity numbers and descriptions below are drawn from Chapter 44 of the Schedule B 2014 found at http://www.census.gov/foreign-trade/schedules/b/2014/c44.html and the AES 2014 Export Concordance (December 30, 2013) http://www.census.gov/foreign-trade/aes/documentlibrary/expaes.txt. If there are any discrepancies between the information in this supplement and the information in the most current Schedule B, use the most current Schedule B commodity number on your Electronic Export Information filing in the Automated Export System.
| Schedule B commodity No. | Description |
|---|---|
| 4403100030 | Poles, piles and posts; ‘treated’. |
| 4403100060 | Wood in the rough; ‘treated’. |
| 4403200010 | Not ‘treated’; coniferous; poles, piles and posts. |
| 4403200055 | Not ‘treated’; coniferous; logs and timber; Western Red Cedar (Thuja Plicata). |
| 4407100101 | Coniferous; finger-jointed. |
| 4407100102 | Coniferous; except finger-jointed; ‘treated’. |
| 4407100168 | Coniferous; except finger-jointed; not ‘treated’; Western Red Cedar (Thuja Plicata); ‘rough’. |
| 4407100169 | Coniferous; except finger-jointed; not ‘treated’; Western Red Cedar (Thuja Plicata); not ‘rough’. |
4403 heading in the Schedule B 2014 pertains to “wood in the rough, whether or not stripped of bark or sapwood, or roughly squared (not including lumber of heading 4407).”
The 6-digit Harmonized System subheading 4403.10 and the 10-digit Harmonized System code 4407.10.0102 in Schedule B 2014 state that ‘treated’ means “treated with paint, stain, creosote or other preservatives.”
The 4407 heading in the Schedule B 2014 refers to ‘lumber’ as “wood sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6mm (.236 inch).”
Section IX – Chapter 44 of Schedule B 2014, Statistical Note 3 states, “for the purpose of heading 4407, the term “rough” includes wood that has been edged, resawn, crosscut or trimmed to smaller sizes but it does not include wood that has been dressed or surfaced by planing on one or more edges or faces or has been edge-glued or end-glued.”
Supplement No. 3 to Part 754 [Reserved]
PART 756 – APPEALS AND JUDICIAL REVIEW
§ 756.1 Scope.
Section 756.2 describes the procedures applicable to appeals from administrative actions taken under the Export Administration Act (EAA) or the Export Administration Regulations (EAR). (In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C). Section 756.3 describes the procedures under which the Bureau of Industry and Security (BIS) can safeguard national security information when agency action is under judicial review.
§ 756.2 Appeal from an administrative action.
(a) Scope. Any person directly and adversely affected by an administrative action taken by BIS may appeal to the Under Secretary for reconsideration of that administrative action. The following types of administrative actions are not subject to the appeals procedures described in this part:
(1) Issuance, amendment, revocation, or appeal of a regulation. (These requests may be submitted to BIS at any time.)
(2) Denial or probation orders, civil penalties, sanctions, or other actions under parts 764 and 766 of the EAR, except that, any appeal from an action taken under § 766.25 and any appeal from an action taken in accordance with § 766.23 to make an action taken under § 766.25 applicable to a related person shall be subject to the appeals procedures described in this part.
(3) A decision on a request to remove or modify an Entity List entry made pursuant to § 744.16 of the EAR, a decision on a request to remove or modify an Unverified List entry made pursuant to § 744.15 of the EAR, or a request to remove or modify a Military End User entry made pursuant to § 744.21(b) of the EAR.
(4) A decision on whether License Exception Strategic Trade Authorization (STA) is available for “600 series” “end items” pursuant to § 740.20(g) of the EAR.
(b) Review and appeal officials. The Under Secretary may delegate to the Deputy Under Secretary for Industry and Security or to another BIS official the authority to review and decide the appeal. In addition, the Under Secretary may designate any employee of the Department of Commerce to be an appeals coordinator to assist in the review and processing of an appeal under this part. If such employee is not an employee of BIS, such designation may be made only with the concurrence of the head of the operating unit in which that employee is employed. The responsibilities of an appeals coordinator may include presiding over informal hearings.
(c) Appeal procedures – (1) Filing. An appeal under this part must be received by the Under Secretary for Industry and Security, Bureau of Industry and Security, U.S. Department of Commerce, Room 3898, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230 not later than 45 days after the date appearing on the written notice of administrative action.
(2) Content of appeal. The appeal must include a full written statement in support of appellant’s position. The appeal must include a precise statement of why the appellant believes the administrative action has a direct and adverse effect and should be reversed or modified. The Under Secretary may request additional information that would be helpful in resolving the appeal, and may accept additional submissions. The Under Secretary will not ordinarily accept any submission filed more than 30 days after the filing of the appeal or of any requested submission.
(3) Request for informal hearing. In addition to the written statement submitted in support of an appeal, an appellant may request, in writing, at the time an appeal is filed, an opportunity for an informal hearing. The Under Secretary may grant or deny a request for an informal hearing. Any hearings will be held in the District of Columbia unless the Under Secretary determines, based upon good cause shown, that another location would be better.
(4) Informal hearing procedures – (i) Presentations. The Under Secretary shall provide an opportunity for the appellant to make an oral presentation based on the materials previously submitted by the appellant or made available by the Department in connection with the administrative action. The Under Secretary may require that any facts in controversy be covered by an affidavit or testimony given under oath or affirmation.
(ii) Evidence. The rules of evidence prevailing in courts of law do not apply, and all evidentiary material deemed by the Under Secretary to be relevant and material to the proceeding, and not unduly repetitious, will be received and considered.
(iii) Procedural questions. The Under Secretary has the authority to limit the number of people attending the hearing, to impose any time or other limitations deemed reasonable, and to determine all procedural questions.
(iv) Transcript. A transcript of an informal hearing shall not be made, unless the Under Secretary determines that the national interest or other good cause warrants it, or the appellant requests a transcript. If the appellant requests a transcript, the appellant will be responsible for paying all expenses related to production of the transcript.
(v) Report. Any person designated by the Under Secretary to conduct an informal hearing shall submit a written report containing a summary of the hearing and recommend action to the Under Secretary.
(d) Decisions – (1) Determination of appeals. In addition to the documents specifically submitted in connection with the appeal, the Under Secretary shall consider any recommendations, reports, or relevant documents available to BIS in determining the appeal, but shall not be bound by any such recommendation, nor prevented from considering any other information, or consulting with any other person or groups, in making a determination. The Under Secretary may adopt any other procedures deemed necessary and reasonable for considering an appeal. The Under Secretary shall decide an appeal within a reasonable time after receipt of the appeal. The decision shall be issued to the appellant in writing and contain a statement of the reasons for the action.
(2) Effect of the determination. The decision of the Under Secretary shall be final.
(e) Effect of appeal. Acceptance and consideration of an appeal shall not affect any administrative action, pending or in effect, unless the Under Secretary, upon request by the appellant and with opportunity for response, grants a stay.
§ 756.3 Judicial review of agency action.
(a) Definition. For purposes of this section, the term agency action has the same meaning given such term in 5 U.S.C. 551(13), i.e., includes the whole or a part of an agency rule, order, license, sanction, relief, or the equivalent or denial thereof, or failure to act.
(b) Classified national security information. In any judicial review of any agency action under the EAR, if such action was based in whole or in part on classified national security information as defined in Executive Order 13526 (December 29, 2009), such information may be submitted to the reviewing court ex parte and in camera. This paragraph (b) does not confer or imply any right to review in any tribunal, judicial or otherwise.
PART 758 – EXPORT CLEARANCE REQUIREMENTS AND AUTHORITIES
§ 758.1 The Electronic Export Information (EEI) filing to the Automated Export System (AES).
(a) The Electronic Export Information (EEI) filing to the Automated Export System (AES). The EEI is used by the Bureau of Census to collect trade statistics and by the Bureau of Industry and Security for export control purposes. The EEI collects basic information such as the names and addresses of the parties to a transaction; the Export Control Classification Number (ECCN) (when required), the Schedule B number or Harmonized Tariff Schedule of the United States (HTS) number, the description, quantity and value of the items exported; and the license authority for the export. The EEI is a statement to the United States Government that the transaction occurred as described.
(b) When is an EEI filing required to be filed in the AES. Except when the export of items subject to the EAR is to take place electronically or in an otherwise intangible form, you must file EEI in the AES with the United States Government for items subject to the EAR, including exports by U.S. mail, in the following situations:
(1) For all exports of items subject to the EAR that are destined to a country in Country Group E:1 or E:2 of supplement no. 1 to part 740 of the EAR regardless of value;
(2) For all exports subject to the EAR that require submission of a license application, regardless of value or destination;
(3) For all exports of 9×515 or “600 series” items enumerated or otherwise described in paragraphs .a through .x of a 9×515 or “600 series” ECCN regardless of value or destination, including exports to Canada;
(4) For all exports under license exception Strategic Trade Authorization (STA);
(5) For all exports of commodities and mass market software subject to the EAR when the value of the commodities or mass market software classified under a single Schedule B Number (or HTS) is over $2,500, except as exempted by the Foreign Trade Regulations (FTR) in 15 CFR Part 30 and referenced in paragraph (c) of this section;
(6) For all exports of items subject to the EAR that will be transshipped through Canada to a third destination, where the export would require EEI or license if shipped directly to the final destination from the United States (see 15 CFR 30.36(b)(2) of the FTR);
(7) For all items exported under authorization Validated End-User (VEU);
(8) For all exports of tangible items subject to the EAR where parties to the transaction, as described in § 748.5(d) through (f) of the EAR, are listed on the Unverified List (supplement no. 6 to part 744 of the EAR), regardless of value or destination; or
(9) For all exports, except for exports authorized under License Exception BAG, as set forth in § 740.14 of the EAR, of items controlled under ECCNs 0A501.a or .b, shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, or ammunition controlled under ECCN 0A505 except for .c, regardless of value or destination, including exports to Canada.
(10) For all exports of items on the Commerce Control List to the People’s Republic of China, Russia, or Venezuela, regardless of value, unless the export may be made under the exemption listed under paragraph (c)(4) of this section.
Paragraph (b)(10) applies to exports to Hong Kong, as this destination is considered a part of the People’s Republic of China under the EAR, even if the AES requirements state that the destination filed in EEI is to be listed as Hong Kong.
(c) Exemptions. A complete list of exemptions from the EEI filing requirement is set forth in the 15 CFR 30.35 through 30.40 of the FTR. Some of these FTR exemptions have elements in common with certain EAR license exceptions. An FTR exemption may be narrower than an EAR license exception. The following references are provided in order to direct you to the FTR exemptions that relate to EAR license exceptions:
(1) License Exception Baggage (BAG), as set forth in § 740.14 of the EAR. See 15 CFR 30.37(x) of the FTR;
See the export clearance requirements for exports of firearms controlled under ECCNs 0A501.a or .b, shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, or ammunition controlled under ECCN 0A505, authorized under License Exception BAG, as set forth in § 740.14 of the EAR.
(2) License Exception Gift Parcels and Humanitarian Donations (GFT), as set forth in § 740.12 of the EAR. See 15 CFR 30.37(h) of the FTR;
(3) License Exception Aircraft and Vessels (AVS), as set forth in § 740.15 of the EAR. See 15 CFR 30.37(o) (5) of the FTR;
(4) License Exception Governments and International Organizations (GOV), as set forth in § 740.11 of the EAR. See 15 CFR 30.39 and 30.40 of the FTR;
(5) License Exception Technology and Software Under Restriction (TSR), as set forth in § 740.6 of the EAR. See 15 CFR 30.37(f) of the FTR; or
(6) License Exception Temporary Imports, Exports, and Reexports (TMP) “tools of trade”, as set forth in § 740.9(a)(1) of the EAR. See 15 CFR 30.37(b) of the FTR.
(d) Notation on export documents for exports exempt from EEI filing requirements. When an exemption from filing the EEI applies, the export authority (license exception or NLR) of all the items must be entered on the loading document (e.g., Cargo Declaration, manifest, bill of lading, (master) air waybill) by the person responsible for preparing the document, see 15 CFR 30.35 of the FTR. This requirement is intended to parallel the Bureau of Census requirement, so that notations as to the basis for the EEI exemption and the license authority are entered in the same place and manner (see 15 CFR 30.45(e) and (f) of the FTR for detailed requirements). The loading document must be available for inspection by government officials, along with the items, prior to lading on the carrier.
(e) Filing the Electronic Export Information (EEI) to the AES. The person who files the EEI to the AES must be in the United States at the time of filing. The person who transmits the EEI to the AES must be a certified AES participant in accordance with 15 CFR 30.5 of the FTR. The person who transmits EEI to the AES, whether exporter (U.S. principal party in interest) or agent, is responsible for the truth, accuracy, and completeness of the EEI, except insofar as that person can demonstrate that he or she reasonably relied on information furnished by others.
(f) The EEI is an export control document. The EEI is a statement to the United States Government. The EEI is an export control document as defined in Part 772 of the EAR. False statements made thereon may be a violation of § 764.2(g) of the EAR. When EEI is filed to the AES, the filer of the EEI represents the following:
(1) Export of the items described on the EEI filing is authorized under the terms and conditions of a license issued by BIS; is in accordance with the terms and conditions of a license exception; is authorized under “NLR” as no license is required for the shipment; or is not subject to the EAR;
(2) Statements on the EEI filing are in conformity with the contents of any license issued by BIS, with the possible exception of the USPPI and USPPI identification blocks in routed transactions or any name change approved by BIS in writing in accordance with § 750.7(c)(2) of the EAR; and
(3) All information shown on the EEI filing is true, accurate, and complete.
(g) Export control information on the EEI filing in AES. For each item on the EEI filing, you must report the license authority (license number, License Exception symbol, or No License Required (NLR) designator), the Export Control Classification Number (ECCN) (when required), and the item description in the designated blocks. The item description must be stated in Commerce Control List (CCL) terms. If those terms are inadequate to meet the Bureau of Census requirements, the FTR requires that you give enough additional detail to permit verification of the Schedule B Number (or Harmonized Tariff Schedule of the United States (HTS) number). See 15 CFR part 30, appendix B, part III of the FTR for license codes.
(1) Exports under a license. When exporting under the authority of a license, you must report on the EEI filing to the AES the license code that corresponds to the license, license number, the ECCN, and an item description identical to the item description on the license.
(2) Exports under a license exception. You must report on any required EEI filing to the AES the ECCN and the correct License Exception symbol (e.g., LVS, GBS, CIV) for the License Exception(s) and the license code/license exception code that corresponds to the license exception under which you are exporting. Items temporarily in the United States meeting the provisions of License Exception TMP, under § 740.9(b)(3), are exempted from entering the ECCN. See also § 740.1(d) of the EAR.
(3) No License Required (NLR) exports. You must report on any required EEI filing to the AES the correct license code/license exception code when using the “NLR” designation for the items that are subject to the EAR but not listed on the Commerce Control List (CCL) (i.e., items are designated as EAR99) (FTR license code “C33”), and when the items to be exported are listed on the CCL but are not subject to a license requirement. In addition, you must enter the correct ECCN on any required EEI filing for all items being exported under the NLR provisions that have a reason for control other than or in addition to anti-terrorism (AT), unless the items are destined to China, Russia, or Venezuela. For items destined to China, Russia, or Venezuela, you must enter the correct ECCN on any required EEI filing regardless of reason for control.
(4) Exports of firearms and related items. This paragraph (g)(4) includes two separate requirements under paragraphs (g)(4)(i) and (ii) of this section that are used to better identify exports of certain end item firearms under the EAR. Paragraph (g)(4)(i) of this section is limited to certain EAR authorizations. Paragraph (g)(4)(ii) of this section applies to all EAR authorizations that require EEI filing in AES.
(i) Identifying end item firearms by manufacturer, model, caliber, and serial number in the EEI filing in AES. For any export authorized under License Exception TMP or a BIS license authorizing a temporary export of items controlled under ECCNs 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, in addition to any other required data for the associated EEI filing, you must report the manufacturer, model, caliber, and serial number of the exported items. The requirements of this paragraph (g)(4)(i) also apply to any other export authorized under a BIS license that includes a condition or proviso on the license requiring the submission of this information specified in paragraph (g) of this section when the EEI is filed in AES.
(ii) Identifying end item firearms by “items” level classification or other control descriptor in the EEI filing in AES. For any export of items controlled under ECCNs 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, in addition to any other required data for the associated EEI filing when an exporter will use the alternative submission method under § 743.4(h) for conventional arms reporting, you must include the items paragraph classification (i.e., .a, or .b) for ECCN 0A501, or for shotguns controlled under 0A502 the letters “SB” for short barrel length less than 18 inches as the first text to appear in the Commodity description block in the EEI filing in AES. (See § 743.4(h) of the EAR for the use of this information for conventional arms reporting).
If a commodity described in paragraph (g)(4) of this section is exported under License Exception TMP under § 740.9(a)(6) of the EAR for inspection, test, calibration, or repair is not consumed or destroyed in the normal course of authorized temporary use abroad, the commodity must be disposed of or retained in one of the ways specified in § 740.9(a)(14)(i), (ii), or (iii) of the EAR. For example, if a commodity described in paragraph (g)(4) was destroyed while being repaired after being exported under § 740.9(a)(6), the commodity described in paragraph (g)(4) would not be required to be returned. If the entity doing the repair returned a replacement of the commodity to the exporter from the United States, the import would not require an EAR authorization. The entity that exported the commodity described in paragraph (g)(4) and the entity that received the commodity would need to document this as part of their recordkeeping related to this export and subsequent import to the United States.
(h) Power of attorney or other written authorization. In a “power of attorney” or other written authorization, authority is conferred upon an agent to perform certain specified acts or kinds of acts on behalf of a principal.
(1) An agent must obtain a power of attorney or other written authorization in the following circumstances:
(i) An agent that represents a foreign principal party in interest in a routed transaction must obtain a power of attorney or other written authorization that sets forth his authority; and
(ii) An agent that applies for a license on behalf of a principal party in interest must obtain a power of attorney or other written authorization that sets forth the agent’s authority to apply for the license on behalf of the principal.
The Bureau of Census Foreign Trade Regulations impose additional requirements for a power of attorney or other written authorization. See 15 CFR 30.3(f) of the FTR.
(2) This requirement for a power of attorney or other written authorization is a legal requirement aimed at ensuring that the parties to a transaction negotiate and understand their responsibilities. The absence of a power of attorney or other written authorization does not prevent BIS from using other evidence to establish the existence of an agency relationship for purposes of imposing liability.
(i) Filing the Electronic Export Information (EEI). The EEI must be filed with the United States Government in the manner prescribed by the Bureau of Census Foreign Trade Regulations (15 CFR part 30).
§ 758.2 Automated Export System (AES).
The Bureau of the Census’ Foreign Trade Regulations (FTR) (15 CFR Part 30) contain provisions for filing Electronic Export Information (EEI) using the Automated Export System (AES). In order to use AES, you must apply directly to the Bureau of the Census (Census Bureau) for certification and approval (see 15 CFR 30.5(a) of the FTR). Two electronic filing options (predeparture and postdeparture) are available for transmitting EEI. Predeparture filing requires that all information be reported in AES prior to export (15 CFR 30.4(a) and (b) of the FTR). Postdeparture filing is available only for approved companies (approved by the Census Bureau, U.S. Customs and Border Protection, and BIS) and requires no information to be transmitted prior to export with complete information reported postdeparture no later than five (5) calendar days after the date of exportation (15 CFR 30.4(c) of the FTR).
(a) Census Bureau’s postdeparture application process. Exporters, or agents applying on behalf of an exporter, may apply for postdeparture privileges by submitting a Letter of Intent to the Bureau of Census (Census Bureau) Census Bureau in accordance with 15 CFR 30.5(a) of the FTR. The Census Bureau will distribute the Letter of Intent to BIS and other agencies participating in the postdeparture approval process. Any agency may notify the Census Bureau that an applicant has failed to meet its acceptance standards, and the Census Bureau will provide a denial letter to the applicant naming the denying agency. If the Census Bureau receives neither notification of denial, nor a request for an extension from the agency within 30 days of the date of referral of the letter of intent to the agency, the applicant is deemed to be approved by that agency. (15 CFR 30.5(c) of the FTR).
(b) BIS postdeparture evaluation criteria. BIS will consider the grounds for denial of postdeparture filing status set forth in 15 CFR 30.5(c)(1) of the FTR, as well as the additional grounds for denial set forth in this paragraph.
(1) Applicants have not been approved for postdeparture filing privileges by the Census Bureau or other agency;
(2) Any party to the export transaction is contained on BIS’s Denied Party, Entity Lists, [SDN], or Unverified List;
(3) Exports are destined to a country in Country Group E:1 or E:2 (supplement no. 1 to part 740 of the EAR);
(4) Exports are made under License Exception Strategic Trade Authorization (STA); are made under Authorization Validated End User (VEU); or are of 9×515 or “600 series” items.
(5) Exports containing items that require a BIS license or have an ECCN controlled for reasons other than Anti-Terrorism only or Encryption Items.
(c) Contacts for assistance. (1) For additional information on the AES in general, please contact the Foreign Trade Division, U.S. Census Bureau, (800) 549-0595, ext. 1.
(2) For information about BIS’s postdeparture approval process for items subject to the EAR, contact: Director, Office of Technology Evaluation, Bureau of Industry and Security, (202) 482-4933, facsimile: (202) 482-5361.
§ 758.3 Responsibilities of parties to the transaction.
All parties that participate in transactions subject to the EAR must comply with the EAR. Parties are free to structure transactions as they wish, and to delegate functions and tasks as they deem necessary, as long as the transaction complies with the EAR. However, acting through a forwarding or other agent, or delegating or redelegating authority, does not in and of itself relieve anyone of responsibility for compliance with the EAR.
(a) Export transactions. The U.S. principal party in interest is the exporter, except in certain routed transactions. The exporter must determine licensing authority (License, License Exception, or NLR), and obtain the appropriate license or other authorization. The exporter may hire forwarding or other agents to perform various tasks, but doing so does not necessarily relieve the exporter of compliance responsibilities.
(b) Routed export transactions. All provisions of the EAR, including the end-use and end-user controls found in part 744 of the EAR, and the General Prohibitions found in part 736 of the EAR, apply to routed export transactions. The U.S. principal party in interest is the exporter and must determine licensing authority (License, License Exception, or NLR), and obtain the appropriate license or other authorization, unless the U.S. principal party in interest obtains from the foreign principal party in interest a writing wherein the foreign principal party in interest expressly assumes responsibility for determining licensing requirements and obtaining license authority, making the U.S. agent of the foreign principal party in interest the exporter for EAR purposes. One writing may cover multiple transactions between the same principals. See § 748.4(a)(3) of the EAR.
(c) Information sharing requirements. In routed export transactions where the foreign principal party in interest assumes responsibility for determining and obtaining licensing authority, the U.S. principal party in interest must, upon request, provide the foreign principal party in interest and its forwarding or other agent with the correct Export Control Classification Number (ECCN), or with sufficient technical information to determine classification. In addition, the U.S. principal party in interest must provide the foreign principal party in interest or the foreign principal’s agent any information that it knows will affect the determination of license authority, see § 758.1(g) of the EAR.
(d) Power of attorney or other written authorization. In routed export transactions, a forwarding or other agent that represents the foreign principal party in interest, or who applies for a license on behalf of the foreign principal party in interest, must obtain a power of attorney or other written authorization from the foreign principal party in interest to act on its behalf. See § 748.4(b)(2) and § 758.1(h) of the EAR.
§ 758.4 Use of export license.
(a) License valid for shipment from any port. An export license issued by BIS authorizes exports from any port of export in the United States unless the license states otherwise. Items that leave the United States at one port, cross adjacent foreign territory, and reenter the United States at another port before being exported to a foreign country, are treated as exports from the last U.S. port of export.
(b) Shipments against expiring license. Any item requiring a license that has not departed from the final U.S. port of export by midnight of the expiration date on an export license may not be exported under that license unless the shipment meets the requirements of paragraphs (b)(1) or (2) of this section.
(1) BIS grants an extension; or
(2) Prior to midnight on the date of expiration on the license, the items:
(i) Were laden aboard the vessel;
(ii) Were located on a pier ready for loading and not for storage, and were booked for a vessel that was at the pier ready for loading; or
(iii) The vessel was expected to be at the pier for loading before the license expired, but exceptional and unforseen circumstances delayed it, and BIS or the U.S. Customs Service makes a judgment that undue hardship would result if a license extension were required.
(c) Reshipment of undelivered items. If the consignee does not receive an export made under a license because the carrier failed to deliver it, the exporter may reship the same or an identical item, subject to the same limitations as to quantity and value as described on the license, to the same consignee and destination under the same license. If an item is to be reshipped to any person other than the original consignee, the shipment is considered a new export and requires a new license. Before reshipping, satisfactory evidence of the original export and of the delivery failure, together with a satisfactory explanation of the delivery failure, must be submitted by the exporter to the following address: Operations Division, Bureau of Industry and Security, U.S. Department of Commerce, Room 2099B, 14th Street & Pennsylvania Avenue, NW., Washington, DC 20230.
(d) Exports against license with approved name changes. If you are exporting against a license with approved name changes under § 750.7(c)(2) of the EAR, prior to using that export license you are required to include in the respective name field in AES (e.g., in the USPPI name field in AES), the new name followed by the original name in this format “[new name] f.k.a. [original name].” This reporting requirement would be completed by the authorized filer of the electronic export information (EEI) in AES. Although not required, the exporter may include a copy of the BIS written response approving the non-material name changes in accordance with § 750.7(c)(2) of the EAR. If the items have already been exported against the license by the time the name changes are approved, you are not required to report this additional information in AES, but you still must follow the recordkeeping requirements in part 762 of the EAR.
§ 758.5 Conformity of documents and unloading of items.
(a) Purpose. The purpose of this section is to prevent items licensed for export from being diverted while in transit or thereafter. It also sets forth the duties of the parties when the items are unloaded in a country other than that of the ultimate consignee or end user as stated on the export license.
(b) Conformity of documents. When a license is issued by BIS, the information entered on related export control documents (e.g., Electronic Export Information (EEI) filing, bill of lading or air waybill) must be consistent with the license.
(c) Issuance of the bill of lading or air waybill – (1) Ports in the country of the ultimate consignee or end user. No person may issue a bill of lading or air waybill that provides for delivery of licensed items to any foreign port located outside the country of an intermediate consignee, ultimate consignee, or end user named on the BIS license and in the EEI filing.
(2) Optional ports of unloading – (i) Licensed items. No person may issue a bill of lading or air waybill that provides for delivery of licensed items to optional ports of unloading unless all the optional ports are within the country of ultimate destination or are included on the BIS license and in the EEI filing.
(ii) Unlicensed items. For shipments of items that do not require a license, the exporter may designate optional ports of unloading in EEI filing and on other export control documents, so long as the optional ports are in countries to which the items could also have been exported without a license.
(d) Delivery of items. No person may deliver items to any country other than the country of an intermediate consignee, ultimate consignee, or end user named on the BIS license and EEI filing without prior written authorization from BIS, except for reasons beyond the control of the carrier (such as acts of God, perils of the sea, damage to the carrier, strikes, war, political disturbances or insurrection).
(e) Procedures for unscheduled unloading – (1) Unloading in country where no license is required. When items are unloaded in a country to which the items could be exported without a license issued by BIS, no notification to BIS is required. However, any persons disposing of the items must continue to comply with the terms and conditions of any License Exception, and with any other relevant provisions of the EAR.
(2) Unloading in a country where a license is required. (i) When items are unloaded in a country to which the items would require a BIS license, no person may effect delivery or entry of the items into the commerce of the country where unloaded without prior written approval from BIS. The carrier, in ensuring that the items do not enter the commerce of the country, may have to place the items in custody, or under bond or other guaranty. In addition, the carrier must inform the exporter and BIS of the unscheduled unloading in a time frame that will enable the exporter to submit its report within 10 days from the date of unscheduled unloading. The exporter must within 10 days of the unscheduled unloading report the facts to and request authorization for disposition from BIS using either: mail, fax, or E-mail. The report to BIS must include:
(A) A copy of the manifest of the diverted cargo;
(B) Identification of the place of unloading;
(C) Statement that explains why the unloading was necessary; and
(D) A proposal for disposition of the items and a request for authorization for such disposition from BIS.
(ii) Contact information. U.S. Department of Commerce, Bureau of Industry and Security, Office of Exporter Services, Room 2099B, 14th and Pennsylvania Avenue, NW., Washington, DC 20230; phone number 202-482-0436; facsimile number 202-482-3322; and E-Mail address: [email protected].
§ 758.6 Destination control statement and other information furnished to consignees.
(a) The exporter must incorporate the following information as an integral part of the commercial invoice whenever items on the Commerce Control List are shipped (i.e., exported in tangible form), unless the shipment (i.e., the tangible export) may be made under License Exception BAG or GFT (see part 740 of the EAR) or the item is designated as EAR99:
(1) The following statement: “These items are controlled by the U.S. Government and authorized for export only to the country of ultimate destination for use by the ultimate consignee or end-user(s) herein identified. They may not be resold, transferred, or otherwise disposed of, to any other country or to any person other than the authorized ultimate consignee or end-user(s), either in their original form or after being incorporated into other items, without first obtaining approval from the U.S. government or as otherwise authorized by U.S. law and regulations” and
(2) The ECCN(s) for any 9×515 or “600 series” “items” being shipped (i.e., exported in tangible form).
In paragraph (a)(1), the term ‘authorized’ includes exports, reexports and transfers (in-country) designated under No License Required (NLR).
The phrase ‘country of ultimate destination’ means the country specified on the commercial invoice where the ultimate consignee or end user will receive the items as an “export.”
The phrase ‘or as otherwise authorized by U.S. law and regulations’ is included because the EAR contain specific exemptions from licensing (e.g., EAR license exceptions and NLR designations) and do not control the reexport of foreign-made items containing less than a de minimis amount of controlled content. See § 734.4 and supplement no. 2 to part 748.
(b) [Reserved]
§ 758.7 Authorities of the Bureau of Industry and Security, Office of Export Enforcement (OEE).
(a) Actions to assure compliance with export laws and regulations. OEE officials and any other officials of the United States designated by OEE are authorized and directed to take appropriate action to enforce the authorities granted to the Secretary under the laws and regulations of the United States, including ECRA, 13 U.S.C. 305, 22 U.S.C. 401, 50 U.S.C. 1701 et seq., the EAR, and the Foreign Trade Regulations (FTR) (15 CFR part 30). This includes, but is not limited to, assuring that:
(1) Exports, reexports, and transfers (in-country) without a license issued by BIS are either outside the scope of the license requirements of the EAR or authorized by a license exception and comply with the terms of the license exception;
(2) Exports, reexports, transfers (in-country) purporting to be authorized by licenses issued by BIS are, in fact, so authorized and the transaction complies with the terms of the license;
(3) Accurate EEI filings have been made for exports as required by this part, the FTR, and other federal regulations; and
(4) The activities of U.S. persons, wherever located, which are subject to a license requirement pursuant to § 744.6 of the EAR, are authorized by and comply with the terms of a BIS license.
(b) Types of actions. In carrying out the authorities granted to, and exercised by, the Secretary pursuant to ECRA, 13 U.S.C. 305, 22 U.S.C. 401, 50 U.S.C. 1701 et seq., the EAR, the FTR, and other applicable laws and regulations of the United States, including the authority to control the export, reexport, and transfer (in-country) of items, in any form, subject to the jurisdiction of the United States, whether by U.S. or foreign persons; control the activities of U.S. persons, wherever located, as described in § 744.6 of the EAR; ensure compliance with export controls; monitor shipments and other means of transfer; conduct investigations; and issue orders, OEE officials and any other officials of the United States designated by OEE are authorized to take the types of enforcement actions described below.
(1) Inspection, search, and detention of items – (i) Purpose of inspection, search, and detention. All items subject to export laws and regulations administered or enforced by the Secretary that have been, are being, or are about to be exported, reexported, or transferred (in-country) are subject to inspection, search, and detention. The scope of inspection may include, but is not limited to, item identification; technical appraisal (analysis) or both; verifying the accuracy of the EEI filing, or if there is no EEI filing, the air waybill, bill of lading or other loading document covering the item about to be exported, reexported, or transferred (in-country); and verifying the value and quantity of such item.
(ii) Place of inspection, search, and detention. Inspection, search, and detention may take place at any location inside or outside of the United States, to include, but not limited to, the borders of the United States, all ports of exit, the premises of freight forwarders, bonded warehouses, foreign trade zones, and manufacturing, transportation, and storage facilities.
(iii) Technical identification. Where, in the judgment of the official making the inspection, the item cannot be properly identified, a sample may be taken for more detailed examination or for laboratory analysis.
(A) Obtaining samples. The sample will be obtained by the official making the inspection in accordance with the provisions for sampling imported merchandise. The size of the sample will be the minimum representative amount necessary for identification or analysis. This will depend on such factors as the physical condition of the material (whether solid, liquid, or gas) and the size and shape of the container.
(B) Notification. When a sample is taken, the exporter, reexporter, or transferor, or their agent(s), and the ultimate consignee will be notified by letter from an OEE official, documenting the port of export, reexport, or other place of inspection, date of sampling, BIS license number (if any) or other authorization, invoice number, quantity of sample taken, description of item, marks and packing case numbers, and manufacturer’s number for the item. A copy of the letter will be placed in the container that had been opened by the inspecting official, and a copy will be retained by the inspecting official’s office.
(C) Disposal of samples. Samples will be disposed of in accordance with the U.S. Customs and Border Protection procedure for imported commodities.
(2) Inspection and production of books, records, and other information. OEE officials are authorized to require any person subject to export laws and regulations administered or enforced by the Secretary, including, but not limited to, exporters, reexporters, transferors, or their agent(s), and owners and operators of carriers or their agents, as well as intermediate consignees, ultimate consignees, and end users, and their agent(s) to produce for inspection and copying any books, records and other information, including, but not limited to, invoices, orders, letters of credit, inspection reports, technical documentation, packing lists, shipping documents and instructions, and correspondence.
(3) Questioning of individuals. OEE officials are authorized to question any person, including, but not limited to, the owner or operator of a carrier and the carrier’s agent(s), as well as the exporter, reexporter, transferor (in-country), or their agent(s).
(4) Prohibiting lading. OEE officials may prevent the lading of items on a conveyance.
(5) Inspection, search, and detention of conveyance. OEE officials are authorized to inspect, search, and detain any conveyance at any time to determine whether items have been, are being, or are about to be exported, reexported, or transferred (in-country). Inspection, search, and detention of a conveyance may take place at any location inside or outside of the United States, to include, but not limited to, the borders of the United States, all ports of exit, the premises of freight forwarders, bonded warehouses, foreign trade zones, and manufacturing, transportation, and storage facilities.
(6) Seizure of property. OEE officials are authorized to seize any property, tangible or intangible, when there is probable cause to believe that such property is subject to administrative forfeiture (nonjudicial civil forfeiture or summary forfeiture), civil judicial forfeiture, or criminal forfeiture. Seizures of property subject to forfeiture may take place at any location inside or outside of the United States, to include, but not limited to, the borders of the United States, all ports of exit, the premises of freight forwarders, bonded warehouses, foreign trade zones, and manufacturing, transportation, and storage facilities.
(7) Administrative forfeiture authority. OEE is authorized to initiate administrative forfeiture (nonjudicial civil forfeiture or summary forfeiture) proceedings and forfeit property in accordance with the procedures set forth in 18 U.S.C. 981(d) and the Customs laws (19 U.S.C. 1602 et seq).
(8) Enforcement activity. (i) All BIS actions taken to implement, administer, and enforce the authorities granted to the Secretary shall be conducted pursuant to the U.S. Constitution and all applicable laws and regulations, including judicially recognized exceptions to the requirement for a search warrant under the Fourth Amendment, for example, consent of the person to be searched, exigent circumstances, searches incident to a lawful arrest, and border searches.
(ii) BIS may enter into any such agreements (e.g., memoranda of understanding) with other Federal agencies as deemed necessary by BIS to execute the authorities set forth in this part in a lawful and orderly manner.
(iii) BIS shall issue additional guidance as necessary to ensure the lawful and orderly execution of the Secretary’s authorities.
(iv) Nothing in this section is intended to limit or abridge BIS law enforcement officers from exercising their lawful authority in carrying out their official duties.
§ 758.8 Return or unloading of cargo.
(a) Carrier. As used in this section, the term “carrier” includes a connecting or on-forwarding carrier, as well as the owner, charterer, agent, master, or any other person in possession, control, or charge of the vessel, aircraft, vehicle, or other kind of conveyance, whether such person is located in the United States or in a foreign country.
(b) Ordering return or unloading of shipment. In order to ensure compliance with export laws and regulations administered or enforced by the Secretary, OEE officials, or any other official of the United States designated by OEE, may, with respect to a particular export, reexport, or transfer (in-country), order any carrier to return or unload the shipment. For the purpose of this section, furnishing a copy of the order to any person included within the definition of carrier will be sufficient notice of the order to the carrier. The carrier must, as ordered:
(1) Unload the shipment and make it available to OEE officials for search and inspection; or
(2) Return the shipment to the United States or cause it to be returned; or
(3) Unload the shipment at a port of call and take steps to assure that it is placed in custody under bond or other guaranty not to enter the commerce of any foreign country without the prior approval of BIS.
(c) Requirements regarding shipment to be unloaded. The provisions of § 758.5(d) and (e) of this part, relating to reporting, notification to BIS, and the prohibition against unauthorized delivery or entry of the item into a foreign country shall apply also when items are unloaded at a port of call, as provided in paragraph (b)(3) of this section.
(d) Notification. Upon discovery by any person included within the term “carrier,” as defined in paragraph (a) of this section, that a violation of the export laws and regulations administered or enforced by the Secretary has occurred, is occurring, or is about to occur with respect to a shipment on board, or otherwise in the possession or control of the carrier, such person must immediately notify both:
(1) The Office of Export Enforcement at the following address: Room H-4508, U.S. Department of Commerce, 14th Street and Constitution Ave. NW, Washington, DC 20230, Telephone: (202) 482-1208, Facsimile: (202) 482-0964; and
(2) The person in actual possession or control of the shipment.
§ 758.9 Other applicable laws and regulations.
The provisions of this part apply only to exports, reexports, and transfers (in-country), as well as the activities of U.S. persons described in § 744.6 of the EAR, which are subject to the export laws and regulations administered or enforced by the Secretary. Nothing contained in this part shall relieve any person from complying with any other law of the United States or rules and regulations issued thereunder, including those governing EEI filings to AES, manifests, or any other applicable rules and regulations.
§ 758.10 Entry clearance requirements for temporary imports.
(a) Scope. This section specifies the temporary import entry clearance requirements for firearms “subject to the EAR” that are on the United States Munitions Import List (USMIL, 27 CFR 447.21), except for firearms “subject to the EAR” that are temporarily brought into the United States by nonimmigrant aliens under the provisions of Department of Justice regulations at 27 CFR part 478 (See § 740.14(e) of the EAR for information on the export of these firearms “subject to the EAR”). These firearms are controlled in ECCN 0A501.a or .b or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502. Items that are temporarily exported under the EAR must have met the export clearance requirements specified in § 758.1.
(1) An authorization under the EAR is not required for the temporary import of “items” that are “subject to the EAR,” including for “items” “subject to the EAR” that are on the USMIL. Temporary imports of firearms described in this section must meet the entry clearance requirements specified in paragraph (b) of this section.
(2) Permanent imports are regulated by the Attorney General under the direction of the Department of Justice’s Bureau of Alcohol, Tobacco, Firearms and Explosives (see 27 CFR parts 447, 478, 479, and 555).
(b) EAR procedures for temporary imports and subsequent exports. To the satisfaction of U.S. Customs and Border Protection, the temporary importer must comply with the following procedures:
(1) At the time of entry into the U.S. of the temporary import:
(i) Provide one of the following statements specified in paragraph (b)(1)(i)(A), (B), or (C) of this section to U.S. Customs and Border Protection:
(A) “This shipment is being temporarily imported in accordance with the EAR. This shipment will be exported in accordance with and under the authority of License Exception TMP (15 CFR 740.9(b)(5));”
(B) “This shipment is being temporarily imported in accordance with the EAR. This shipment will be exported in accordance with and under the authority of License Exception RPL (15 CFR 740.10(b));” or
(C) “This shipment is being temporarily imported in accordance with the EAR. This shipment will be exported in accordance with and under the authority of BIS license number (provide the license number) (15 CFR 750.7(a) and 758.4);”
(ii) Provide to U.S. Customs and Border Protection an invoice or other appropriate import-related documentation (or electronic equivalents) that includes a complete list and description of the firearms being temporarily imported, including their model, make, caliber, serial numbers, quantity, and U.S. dollar value;
(iii) Provide (if temporarily imported for a trade show, exhibition, demonstration, or testing) to U.S. Customs and Border Protection the relevant invitation or registration documentation for the event and an accompanying letter that details the arrangements to maintain effective control of the firearms while they are in the United States; or
(iv) Provide (if temporarily imported for servicing or replacement) to U.S. Customs and Border Protection the name, address and contact information (telephone number and/or email) of the organization or individual in the U.S. that will be receiving the item for servicing or replacement).
In accordance with the exclusions in License Exception TMP under § 740.9(b)(5) of the EAR, the entry clearance requirements in § 758.1(b)(9) do not permit the temporary import of: Firearms controlled in ECCN 0A501.a or .b that are shipped from or manufactured in a Country Group D:5 country; or that are shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan (except for any firearm model controlled by 0A501 that is specified under annex A in supplement no. 4 to part 740 of the EAR); or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that are shipped from or manufactured in a Country Group D:5 country, or from Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, because of the exclusions in License Exception TMP under § 740.9(b)(5).
In accordance with the exclusions in License Exception RPL under § 740.10(b)(4) and supplement no. 2 to part 748, paragraph (z), of the EAR, the entry clearance requirements in § 758.1(b)(9) do not permit the temporary import of: Firearms controlled in ECCN 0A501.a or .b that are shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan (except for any firearm model controlled by 0A501 that is specified under Annex A in Supplement No. 4 to part 740 of the EAR); or shotguns with a barrel length less than 18 inches controlled in ECCN 0A502 that are shipped from or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, because of the exclusions in License Exception RPL under § 740.10(b)(4) and supplement no. 2 to part 748, paragraph (z), of the EAR.
(2) At the time of export, in accordance with the U.S. Customs and Border Protection procedures, the eligible exporter, or an agent acting on the filer’s behalf, must as required under § 758.1(b)(9) file the export information with CBP by filing EEI in AES, noting the applicable EAR authorization as the authority for the export, and provide, upon request by CBP, the entry document number or a copy of the CBP document under which the “item” subject to the EAR” on the USMIL was temporarily imported. See also the additional requirements in § 758.1(g)(4).
(a) Scope. The export clearance requirements of this section apply to all exports of commodities controlled under ECCNs 0A501.a or .b, shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, or ammunition controlled under ECCN 0A505 except for .c, regardless of value or destination, including exports to Canada, that are authorized under License Exception BAG, as set forth in § 740.14 of the EAR.
(b) Required form. Prior to making any export described in paragraph (a) of this section, the exporter is required to submit a properly completed Department of Homeland Security, CBP Form 4457, (Certificate of Registration for Personal Effects Taken Abroad) (OMB Control Number 1651-0010), to the U.S. Customs and Border Protection (CBP), pursuant to 19 CFR 148.1, and as required by this section.
(1) Where to obtain the form? The CBP Certification of Registration Form 4457 can be found on the following CBP website: https://www.cbp.gov/document/forms/form-4457-certificate-registration-personal-effects-taken-abroad.
(2) Required “description of articles” for firearms to be included on the CBP Form 4457. For all exports of firearms controlled under ECCNs 0A501.a or .b, or shotguns with a barrel length less than 18 inches controlled under ECCN 0A502, the exporter must provide to CBP the serial number, make, model, and caliber for each firearm being exported by entering this information under the “Description of Articles” field of the CBP Form 4457, Certificate of Registration for Personal Effects Taken Abroad.
(c) Where to find additional information on the CBP Form 4457? See the following CBP website page for additional information: https://help.cbp.gov/app/answers/detail/a_id/323/∼/traveling-outside-of-the-u.s.-temporarily-taking-a-firearm%2C-rifle%2C-gun%2C.
(d) Return of items exported pursuant to this section. The exporter when returning with a commodity authorized under License Exception BAG and exported pursuant this section, is required to present a copy of the CBP Form 4457, Certificate of Registration for Personal Effects Taken Abroad) (OMB Control Number 1651-0010), to CBP, pursuant to 19 CFR 148.1, and as required by this section.
PART 760 – RESTRICTIVE TRADE PRACTICES OR BOYCOTTS
§ 760.1 Definitions.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C.
(a) Definition of person. For purposes of this part, the term person means any individual, or any association or organization, public or private, which is organized, permanently established, resident, or registered to do business, in the United States or any foreign country. This definition of person includes both the singular and plural and, in addition, includes:
(1) Any partnership, corporation, company, branch, or other form of association or organization, whether organized for profit or non-profit purposes;
(2) Any government, or any department, agency, or commission of any government;
(3) Any trade association, chamber of commerce, or labor union;
(4) Any charitable or fraternal organization; and
(5) Any other association or organization not specifically listed in paragraphs (a)(1) through (4) of this section.
(b) Definition of “United States person”. (1) This part applies to United States persons. For purposes of this part, the term United States person means any person who is a United States resident or national, including individuals, domestic concerns, and “controlled in fact” foreign subsidiaries, affiliates, or other permanent foreign establishments of domestic concerns. This definition of United States person includes both the singular and plural and, in addition, includes:
(i) The government of the United States or any department, agency, or commission thereof;
(ii) The government of any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any subdivision, department, agency, or commission of any such government;
(iii) Any partnership, corporation, company, association, or other entity organized under the laws of paragraph (b)(1)(i) or (ii) of this section;
(iv) Any foreign concern’s subsidiary, partnership, affiliate, branch, office, or other permanent establishment in any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States; and
(v) Any domestic concern’s foreign subsidiary, partnership, affiliate, branch, office, or other permanent foreign establishment which is controlled in fact by such domestic concern. (See paragraph (c) of this section on “Definition of ‘Controlled in Fact’.”)
(2) The term domestic concern means any partnership, corporation, company, association, or other entity of, or organized under the laws of, any jurisdiction named in paragraph (b)(1) (i) or (ii) of this section, or any permanent domestic establishment of a foreign concern.
(3) The term foreign concern means any partnership, corporation, company, association, or other entity of, or organized under the laws of, any jurisdiction other than those named in paragraph (b)(1)(i) or (ii) of this section.
(4) The term United States person does not include an individual United States national who is resident outside the United States and who is either employed permanently or temporarily by a non-United States person or assigned to work as an employee for, and under the direction and control of, a non-United States person.
The following examples are intended to give guidance in determining whether a person is a “United States person.” They are illustrative, not comprehensive.
(i) U.S. bank A has a branch office in foreign country P. Such branch office is a United States person, because it is a permanent foreign establishment of a domestic concern.
(ii) Ten foreign nationals establish a manufacturing plant, A, in the United States, incorporating the plant under New York law.
A is a United States person, because it is a corporation organized under the laws of one of the states of the United States.
(iii) A, a foreign corporation, opens an office in the United States for purposes of soliciting U.S. orders. The office is not separately incorporated.
A’s U.S. office is a United States person, because it is a permanent establishment, in the United States, of a foreign concern.
(iv) A, a U.S. individual, owns stock in foreign corporation B.
A is a United States person. However, A is not a “domestic concern,” because the term “domestic concern” does not include individuals.
(v) A, a foreign national resident in the United States, is employed by B, a foreign corporation.
A is a United States person, because he is resident in the United States.
(vi) A, a foreign national, who is resident in a foreign country and is employed by a foreign corporation, makes occasional visits to the United States, for purposes of exploring business opportunities.
A is not a United States person, because he is not a United States resident or national.
(vii) A is an association of U.S. firms organized under the laws of Pennsylvania for the purpose of expanding trade.
A is a United States person, because it is an association organized under the laws of one of the states of the United States.
(viii) At the request of country Y, A, an individual employed by U.S. company B, is assigned to company C as an employee. C is a foreign company owned and controlled by country Y. A, a U.S. national who will reside in Y, has agreed to the assignment provided he is able to retain his insurance, pension, and other benefits. Accordingly, company B has agreed to keep A as an employee in order to protect his employee benefits, and company C has agreed to pay for A’s salary. At all times while he works for C, A will be under C’s direction and control.
A is not a United States person while under C’s direction and control, because he will be resident outside the United States and assigned as an employee to a non-United States person. The arrangement designed to protect A’s insurance, pension, and other benefits does not destroy his status as an employee of C so long as he is under the direction and control of C.
(ix) A, a U.S. citizen, has resided in Europe for three years, where he is a self-employed consultant for United States and foreign companies in the communications industry.
A is a United States person, because he is a U.S. national and because he is not a resident outside the United States who is employed by other than a United States person.
(c) Definition of “Controlled in Fact”. (1) This part applies to any domestic concern’s foreign subsidiary, partnership, affiliate, branch, office, or other permanent foreign establishment which is controlled in fact by such domestic concern. Control in fact consists of the authority or ability of a domestic concern to establish the general policies or to control day-to-day operations of its foreign subsidiary, partnership, affiliate, branch, office, or other permanent foreign establishment.
(2) A foreign subsidiary or affiliate of a domestic concern will be presumed to be controlled in fact by that domestic concern, subject to rebuttal by competent evidence, when:
(i) The domestic concern beneficially owns or controls (whether directly or indirectly) more than 50 percent of the outstanding voting securities of the foreign subsidiary or affiliate;
(ii) The domestic concern beneficially owns or controls (whether directly or indirectly) 25 percent or more of the voting securities of the foreign subsidiary or affiliate, if no other person owns or controls (whether directly or indirectly) an equal or larger percentage;
(iii) The foreign subsidiary or affiliate is operated by the domestic concern pursuant to the provisions of an exclusive management contract;
(iv) A majority of the members of the board of directors of the foreign subsidiary or affiliate are also members of the comparable governing body of the domestic concern;
(v) The domestic concern has authority to appoint the majority of the members of the board of directors of the foreign subsidiary or affiliate; or
(vi) The domestic concern has authority to appoint the chief operating officer of the foreign subsidiary or affiliate.
(3) A brokerage firm or other person which holds simple record ownership of securities for the convenience of clients will not be deemed to control the securities.
(4) A domestic concern which owns, directly or indirectly, securities that are immediately convertible at the option of the holder or owner into voting securities is presumed to own or control those voting securities.
(5) A domestic concern’s foreign branch office or other unincorporated permanent foreign establishment is deemed to be controlled in fact by such domestic concern under all circumstances.
The following examples are intended to give guidance in determining the circumstances in which a foreign subsidiary, affiliate, or other permanent foreign establishment of a domestic concern is “controlled in fact.” They are illustrative, not comprehensive.
(i) Company A is incorporated in a foreign country. Fifty-one percent of the voting stock of A is owned by U.S. company B.
A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(ii) Company A is incorporated in a foreign country. Ten percent of the voting stock of A is owned by U.S. company B. A has an exclusive management contract with B pursuant to which A is operated by B.
As long as such contract is in effect, A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(iii) Company A is incorporated in a foreign country. Ten percent of the voting stock of A is owned by U.S. company B. A has 10 persons on its board of directors. Six of those persons are also members of the board of directors of U.S. company B.
A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(iv) Company A is incorporated in a foreign country. Thirty percent of the voting securities of A is owned by U.S. company B and no other person owns or controls an equal or larger share.
A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(v) Company A is incorporated in a foreign country. In A’s articles of incorporation, U.S. company B has been given authority to appoint A’s board of directors.
A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(vi) Company A is a joint venture established in a foreign country, with equal participation by U.S. company B and foreign company C. U.S. Company B has authority to appoint A’s chief operating officer.
A is presumed to be controlled in fact by B. This presumption may be rebutted by competent evidence showing that control does not, in fact, lie with B.
(vii) Same as (vi), except that B has no authority to appoint A’s chief operating officer.
B is not presumed to control A, absent other facts giving rise to a presumption of control.
(viii) Company A is incorporated in a foreign country. U.S. companies B, C, and D each own 20 percent of A’s voting securities and regularly cast their votes in concert.
A is presumed to be controlled in fact by B, C, and D, because these companies are acting in concert to control A.
(ix) U.S. bank B located in the United States has a branch office, A, in a foreign country. A is not separately incorporated.
A is deemed to be controlled in fact by B, because A is a branch office of a domestic concern.
(x) Company A is incorporated in a foreign country. Fifty-one percent of the voting stock of A is owned by company B, which is incorporated in another foreign country. Fifty-one percent of the voting stock of B is owned by C, a U.S. company.
Both A and B are presumed to be controlled in fact by C. The presumption of C’s control over B may be rebutted by competent evidence showing that control over B does not, in fact, lie with C. The presumption of B’s control over A (and thus C’s control over A) may be rebutted by competent evidence showing that control over A does not, in fact, lie with B.
(xi) B, a U.S. individual, owns 51 percent of the voting securities of A, a manufacturing company incorporated and located in a foreign country.
A is not “controlled in fact” under this part, because it is not controlled by a “domestic concern.”
(d) Definition of “Activities in the Interstate or Foreign Commerce of the United States”.
(1) For purposes of this part, the activities of a United States person located in the United States are in the interstate or foreign commerce of the United States if they involve the sale, purchase, or transfer of goods or services (including information) between:
(i) Two or more of the several States (including the District of Columbia);
(ii) Any State (including the District of Columbia) and any territory or possession of the United States;
(iii) Two or more of the territories or possessions of the United States; or
(iv) A State (including the District of Columbia), territory or possession of the United States and any foreign country.
(2) For purposes of this part, the export of goods or services from the United States and the import of goods or services into the United States are activities in United States commerce. In addition, the action of a domestic concern in specifically directing the activities of its controlled in fact foreign subsidiary, affiliate, or other permanent foreign establishment is an activity in United States commerce.
(3) Activities of a United States person located in the United States may be in United States commerce even if they are part of or ancillary to activities outside United States commerce. However, the fact that an ancillary activity is in United States commerce does not, in and of itself, mean that the underlying or related activity is in United States commerce.
(4) Hence, the action of a United States bank located in the United States in providing financing from the United States for a foreign transaction that is not in United States commerce is nonetheless itself in United States commerce. However, the fact that the financing is in United States commerce does not, in and of itself, make the underlying foreign transaction an activity in United States commerce, even if the underlying transaction involves a foreign company that is a United States person within the meaning of this part.
(5) Similarly, the action of a United States person located in the United States in providing financial, accounting, legal, t ransportation, or other ancillary services to its controlled in fact foreign subsidiary, affiliate, or other permanent foreign establishment in connection with a foreign transaction is in United States commerce. But the provision of such ancillary services will not, in and of itself, bring the foreign transaction of such subsidiary, affiliate, or permanent foreign establishment into United States commerce.
(6) Any transaction between a controlled in fact foreign subsidiary, affiliate, or other permanent foreign establishment of a domestic concern and a person located in the United States is an activity in United States commerce.
(7) Whether a transaction between such a foreign subsidiary, affiliate, or other permanent foreign establishment and a person located outside the United States is an activity in United States commerce is governed by the following rules.
(8) A transaction between a domestic concern’s controlled in fact foreign subsidiary, affiliate, or other permanent foreign establishment and a person outside the United States, involving goods or services (including information but not including ancillary services) acquired from a person in the United States is in United States commerce under any of the following circumstances –
(i) If the goods or services were acquired for the purpose of filling an order from a person outside the United States;
(ii) If the goods or services were acquired for incorporation into, refining into, reprocessing into, or manufacture of another product for the purpose of filling an order from a person outside the United States;
(iii) If the goods or services were acquired for the purpose of fulfilling or engaging in any other transaction with a person outside the United States; or
(iv) If the goods were acquired and are ultimately used, without substantial alteration or modification, in filling an order from, or fulfilling or engaging in any other transaction with, a person outside the United States (whether or not the goods were originally acquired for that purpose). If the goods are indistinguishable as to origin from similar foreign-trade goods with which they have been mingled in a stockpile or inventory, the subsequent transaction involving the goods is presumed to be in United States commerce unless, at the time of filling the order, the foreign-origin inventory on hand was sufficient to fill the order.
(9) For purposes of this section, goods or services are considered to be acquired for the purpose of filling an order from or engaging in any other transaction with a person outside the United States where:
(i) They are purchased by the foreign subsidiary, affiliate, or other permanent foreign establishment upon the receipt of an order from or on behalf of a customer with the intention that the goods or services are to go to the customer;
(ii) They are purchased by the foreign subsidiary, affiliate, or other permanent foreign establishment to meet the needs of specified customers pursuant to understandings with those customers, although not for immediate delivery; or
(iii) They are purchased by the foreign subsidiary, affiliate, or other permanent foreign establishment based on the anticipated needs of specified customers.
(10) If any non-ancillary part of a transaction between a domestic concern’s controlled foreign subsidiary, affiliate, or other permanent foreign establishment and a person outside the United States is in United States commerce, the entire transaction is in United States commerce. For example, if such a foreign subsidiary is engaged in filling an order from a non-United States customer both with goods acquired from the United States and with goods acquired elsewhere, the entire transaction with that customer is in United States commerce.
(11) A transaction between a domestic concern’s controlled foreign subsidiary, affiliate, or other permanent foreign establishment and a person outside the United States, not involving the purchase, sale, or transfer of goods or services (including information) to or from a person in the United States, is not an activity in United States commerce.
(12) The activities of a domestic concern’s controlled foreign subsidiary, affiliate, or other permanent foreign establishment with respect to goods acquired from a person in the United States are not in United States commerce where:
(i) They were acquired without reference to a specific order from or transaction with a person outside the United States; and
(ii) They were further manufactured, incorporated into, refined into, or reprocessed into another product.
(13) The activities of a domestic concern’s controlled foreign subsidiary, affiliate, or other permanent foreign establishment with respect to services acquired from a person in the United States are not in United States commerce where:
(i) They were acquired without reference to a specific order from or transaction with a person outside the United States; or
(ii) They are ancillary to the transaction with the person outside the United States.
(14) For purposes of this section, services are ancillary services if they are provided to a controlled foreign subsidiary, affiliate, or other permanent foreign establishment primarily for its own use rather than for the use of a third person. These typically include financial, accounting, legal,transportation, and other services, whether provided by a domestic concern or an unrelated entity.
(15) Thus, the provision of the project financing by a United States bank located in the United States to a controlled foreign subsidiary unrelated to the bank is an ancillary service which will not cause the underlying transaction to be in United States commerce. By contrast, where a domestic concern, on behalf of its controlled foreign subsidiary, gives a guaranty of performance to a foreign country customer, that is a service provided to the customer and, as such, brings that subsidiary’s transaction with the customer into United States commerce. Similarly, architectural or engineering services provided by a domestic concern in connection with its controlled foreign subsidiary’s construction project in a third country are services passed through to the subsidiary’s customer and, as such, bring that subsidiary’s foreign transaction into United States commerce.
(16) Regardless of whether the subsequent disposition of goods or services from the United States is in United States commerce, the original acquisition of goods or services from a person in the United States is an activity in United States commerce subject to this part. Thus, if a domestic concern’s controlled foreign subsidiary engages in a prohibited refusal to do business in stocking its inventory with goods from the United States, that action is subject to this part whether or not subsequent sales from that inventory are.
(17) In all the above, goods and services will be considered to have been acquired from a person in the United States whether they were acquired directly or indirectly through a third party, where the person acquiring the goods or services knows or expects, at the time he places the order, that they will be delivered from the United States.
(18) Implementation of a letter of credit in the United States by a United States person located in the United States, including a permanent United States establishment of a foreign concern, is an activity in United States commerce.
(19) Implementation of a letter of credit outside the United States by a United States person located outside the United States is in United States commerce where the letter of credit (a) specifies a United States address for the beneficiary, (b) calls for documents indicating shipment from the United States, or (c) calls for documents indicating that the goods are of United States origin.
(20) See § 760.2(f) of this part on “Letters of Credit” to determine the circumstances in which paying, honoring, confirming, or otherwise implementing a letter of credit is covered by this part.
The following examples are intended to give guidance in determining the circumstances in which an activity is in the interstate or foreign commerce of the United States. They are illustrative, not comprehensive.
(i) U.S. company A exports goods from the United States to a foreign country. A’s activity is in U.S. commerce, because A is exporting goods from the United States.
(ii) U.S. company A imports goods into the United States from a foreign country. A’s activity is in U.S. commerce, because A is importing goods into the United States.
(iii) U.S. engineering company A supplies consulting services to its controlled foreign subsidiary, B. A’s activity is in U.S. commerce, because A is exporting services from the United States.
(iv) U.S. company A supplies consulting services to foreign company B. B is unrelated to A or any other U.S. person.
A’s activity is in U.S. commerce even though B, a foreign-owned company located outside the United States, is not subject to this part, because A is exporting services from the United States.
(v) Same as (iv), except A is a bank located in the United States and provides a construction loan to B.
A’s activity is in U.S. commerce even though B is not subject to this part, because A is exporting financial services from the United States.
(vi) U.S. company A issues policy directives from time to time to its controlled foreign subsidiary, B, governing the conduct of B’s activities with boycotting countries.
A’s activity in directing the activities of its foreign subsidiary, B, is an activity in U.S. commerce.
(i) A, a controlled foreign subsidiary of U.S. company B, purchases goods from the United States.
A’s purchase of goods from the United States is in U.S. commerce, because A is importing goods from the United States. Whether A’s subsequent disposition of these goods is in U.S. commerce is irrelevant. Similarly, the fact that A purchased goods from the United States does not, in and of itself, make any subsequent disposition of those goods an activity in U.S. commerce.
(ii) A, a controlled foreign subsidiary of U.S. company B, receives an order from boycotting country Y for construction materials. A places an order with U.S. company B for the materials.
A’s transaction with Y is an activity in U.S. commerce, because the materials are purchased from the United States for the purpose of filling the order from Y.
(iii) A, a controlled foreign subsidiary of U.S. company B, receives an order from boycotting country Y for construction materials. A places an order with U.S. company B for some of the materials, and with U.S. company C, an unrelated company, for the rest of the materials.
A’s transaction with Y is an activity in U.S. commerce, because the materials are purchased from the United States for the purpose of filling the order from Y. It makes no difference whether the materials are ordered from B or C.
(iv) A, a controlled foreign subsidiary of U.S. company B, is in the wholesale and retail appliance sales business. A purchases finished air conditioning units from the United States from time to time in order to stock its inventory. A’s inventory is also stocked with air conditioning units purchased outside the United States. A receives an order for air conditioning units from Y, a boycotting country. The order is filled with U.S.-origin units in A’s inventory.
A’s transaction with Y is in U.S. commerce, because its U.S.-origin goods are resold without substantial alteration.
(v) Same as (iv), except that A is in the chemicals distribution business. Its U.S.-origin goods are mingled in inventory with foreign-origin goods.
A’s sale to Y of unaltered goods from its general inventory is presumed to be in U.S. commerce unless A can show that at the time of the sale the foreign-origin inventory on hand was sufficient to cover the shipment to Y.
(vi) A, a foreign subsidiary of U.S. company B, receives an order from boycotting country Y for computers. A places an order with U.S. company B for some of the components; with U.S. company C, an unrelated company, for other components; and with foreign company D for the rest of the components. A then assembles the computers and ships them to Y.
A’s transaction with Y is an activity in U.S. commerce, because some of the components are acquired from the United States for purposes of filling an order from Y.
(vii) Same as (vi), except A purchases all the components from non-U.S.sources.
A’s transaction with Y is not an activity in U.S. commerce, because it involves no export of goods from the United States. It makes no difference whether the technology A uses to manufacture computers was originally acquired from its U.S. parent.
(viii) A, a controlled foreign subsidiary of U.S. company B, manufactures computers. A stocks its general components and parts inventory with purchases made at times from the United States and at times from foreign sources. A receives an order from Y, a boycotting country, for computers. A fills that order by manufacturing the computers using materials from its general inventory.
A’s transaction with Y is not in U.S. commerce, because the U.S.-origin components are not acquired for the purpose of meeting the anticipated needs of specified customers in Y. It is irrelevant that A’s operations may be based on U.S.-origin technology.
(ix) Same as (viii), except that in anticipation of the order from Y, A orders and receives the necessary materials from the United States.
A’s transaction with Y is in U.S. commerce, because the U.S.-origin goods were acquired for the purpose of filling an anticipated order from Y.
(x) A, a controlled foreign subsidiary of U.S. company B, manufactures typewriters. It buys typewriter components both from the United States and from foreign sources. A sells its output in various places throughout the world, including boycotting country Y. Its sales to Y vary from year to year, but have averaged approximately 20 percent of sales for the past five years. A expects that its sales to Y will remain at approximately that level in the years ahead although it has no contracts or orders from Y on hand.
A’s sales of typewriters to Y are not in U.S. commerce, because the U.S. components are not acquired for the purpose of filling an order from Y. A general expectancy of future sales is not an “order” within the meaning of this section.
(xi) U.S. company A’s corporate counsel provides legal advice to B, its controlled foreign subsidiary, on the applicability of this Part to B’s transactions.
While provision of this legal advice is itself an activity in U.S. commerce, it does not, in and of itself, bring B’s activities into U.S. commerce.
(xii) A, a controlled foreign subsidiary of U.S. company B, is in the general construction business. A enters into a contract with boycotting country Y to construct a power plant in Y. In preparing engineering drawings and specifications, A uses the advice and assistance of B.
A’s transaction with Y is in U.S. commerce, because B’s services are used for purposes of fulfilling the contract with Y. B’s services are not ancillary services, because the engineering services in connection with construction of the power plant are part of the services ultimately provided to Y by A.
(xiii) Same as (xii), except that A gets no engineering advice or assistance from B. However, B’s corporate counsel provides legal advice to A regarding the structure of the transaction. In addition, B’s corporate counsel draws up the contract documents.
A’s transaction with Y is not in U.S. commerce. The legal services provided to A are ancillary services, because they are not part of the services provided to Y by A in fulfillment of its contract with Y.
(xiv) A, a controlled foreign subsidiary of U.S. company B, enters into a contract to construct an apartment complex in boycotting country Y. A will fulfill its contract completely with goods and services from outside the United States. Pursuant to a provision in the contract, B guarantees A’s performance of the contract.
A’s transaction with Y is in U.S. commerce, because B’s guaranty of A’s performance involves the acquisition of services from the United States for purposes of fulfilling the transaction with Y, and those services are part of the services ultimately provided to Y.
(xv) Same as (xiv), except that the guaranty of A’s performance is supplied by C, a non-U.S. person located outside the United States. However, unrelated to any particular transaction, B from time to time provides general financial, legal, and technical services to A.
A’s transaction with Y is not in U.S. commerce, because the services acquired from the United States are not acquired for purposes of fulfilling the contract with Y.
(xvi) A, a foreign subsidiary of U.S. company B, has a contract with boycotting country Y to conduct oil drilling operations in that country. In conducting these operations, A from time to time seeks certain technical advice from B regarding the operation of the drilling rigs.
A’s contract with Y is in U.S. commerce, because B’s services are sought for purposes of fulfilling the contract with Y and are part of the services ultimately provided to Y.
(xvii) A, a controlled foreign subsidiary of U.S. company B, enters into a contract to sell typewriters to boycotting country Y. A is located in non-boycotting country P. None of the components are acquired from the United States. A engages C, a U.S. shipping company, to transport the typewriters from P to Y.
A’s sales to Y are not in U.S. commerce, because in carrying A’s goods, C is providing an ancillary service to A and not a service to Y.
(xviii) Same as (xvii), except that A’s contract with Y calls for title to pass to Y in P. In addition, the contract calls for A to engage a carrier to make delivery to Y.
A’s sales to Y are in U.S. commerce, because in carrying Y’s goods, C is providing a service to A which is ultimately provided to Y.
(xix) A, a controlled foreign subsidiary of U.S. company B, has general product liability insurance with U.S. company C. Foreign-origin goods sold from time to time by A to boycotting country Y are covered by the insurance policy.
A’s sales to Y are not in U.S. commerce, because the insurance provided by C is an ancillary service provided to A which is not ultimately provided to Y.
(xx) A, a controlled foreign subsidiary of U.S. company B, manufactures automobiles abroad under a license agreement with B. From time to time, A sells such goods to boycotting country Y.
A’s sales to Y are not in U.S. commerce, because the rights conveyed by the license are not acquired for the specific purpose of engaging in transactions with Y.
(e) “Intent”. (1) This part prohibits a United States person from taking or knowingly agreeing to take certain specified actions with intent to comply with, further, or support an unsanctioned foreign boycott.
(2) A United States person has the intent to comply with, further, or support an unsanctioned foreign boycott when such a boycott is at least one of the reasons for that person’s decision whether to take a particular prohibited action. So long as that is at least one of the reasons for that person’s action, a violation occurs regardless of whether the prohibited action is also taken for non-boycott reasons. Stated differently, the fact that such action was taken for legitimate business reasons does not remove that action from the scope of this part if compliance with an unsanctioned foreign boycott was also a reason for the action.
(3) Intent is a necessary element of any violation of any of the prohibitions under § 760.2. It is not sufficient that one take action that is specifically prohibited by this part. It is essential that one take such action with intent to comply with, further,or support an unsanctioned foreign boycott. Accordingly, a person who inadvertently, without boycott intent, takes a prohibited action, does not commit any violation of this part.
(4) Intent in this context means the reason or purpose for one’s behavior. It does not mean that one has to agree with the boycott in question or desire that it succeed or that it be furthered or supported. But it does mean that the reason why a particular prohibited action was taken must be established.
(5) Reason or purpose can be proved by circumstantial evidence. For example, if a person receives a request to supply certain boycott information, the furnishing of which is prohibited by this part, and he knowingly supplies that information in response, he clearly intends to comply with that boycott request. It is irrelevant that he may disagree with or object to the boycott itself. Information will be deemed to be furnished with the requisite intent if the person furnishing the information knows that it was sought for boycott purposes. On the other hand, if a person refuses to do business with someone who happens to be blacklisted, but the reason is because that person produces an inferior product, the requisite intent does not exist.
(6) Actions will be deemed to be taken with intent to comply with an unsanctioned foreign boycott if the person taking such action knew that such action was required or requested for boycott reasons. On the other hand, the mere absence of a business relationship with a blacklisted person or with or in a boycotted country does not indicate the existence of the requisite intent.
(7) In seeking to determine whether the requisite intent exists, all available evidence will be examined.
The following examples are intended to illustrate the factors which will be considered in determining whether the required intent exists. They are illustrative, not comprehensive.
(i) U.S. person A does business in boycotting country Y. In selecting firms to supply goods for shipment to Y, A chooses supplier B because B’s products are less expensive and of higher quality than the comparable products of supplier C. A knows that C is blacklisted, but that is not a reason for A’s selection of B.
A’s choice of B rather than C is not action with intent to comply with Y’s boycott, because C’s blacklist status is not a reason for A’s action.
(ii) Same as (i), except that A chooses B rather than C in part because C is blacklisted by Y.
Since C’s blacklist status is a reason for A’s choice, A’s action is taken with intent to comply with Y’s boycott.
(iii) U.S. person A bids on a tender issued by boycotting country Y. A inadvertently fails to notice a prohibited certification which appears in the tender document. A’s bid is accepted.
A’s action in bidding was not taken with intent to comply with Y’s boycott, because the boycott was not a reason for A’s action.
(iv) U.S. bank A engages in letter of credit transactions, in favor of U.S. beneficiaries, involving the shipments of U.S. goods to boycotting country Y. As A knows, such letters of credit routinely contain conditions requiring prohibited certifications. A fails to take reasonable steps to prevent the implementation of such letters of credit. A receives for implementation a letter of credit which in fact contains a prohibited condition but does not examine the letter of credit to determine whether it contains such a condition.
Although Y’s boycott may not be a specific reason for A’s action in implementing the letter of credit with a prohibited condition, all available evidence shows that A’s action was taken with intent to comply with the boycott, because A knows or should know that its procedures result in compliance with the boycott.
(v) U.S. bank A engages in letter of credit transactions, in favor of U.S. beneficiaries, involving the shipment of U.S. goods to boycotting country Y. As A knows, the documentation accompanying such letters of credit sometimes contains prohibited certifications. In accordance with standard banking practices applicable to A, it does not examine such accompanying documentation. A receives a letter of credit in favor of a U.S. beneficiary. The letter of credit itself contains no prohibited conditions. However, the accompanying documentation, which A does not examine, does contain such a condition.
All available evidence shows that A’s action in implementing the letter of credit was not taken with intent to comply with the boycott, because A has no affirmative obligation to go beyond applicable standard banking practices in implementing letters of credit.
(vi) A, a U.S. company, is considering opening a manufacturing facility in boycotted country X. A already has such a facility in boycotting country Y. After exploring the possibilities in X, A concludes that the market does not justify the move. A is aware that if it did open a plant in X, Y might object because of Y’s boycott of X. However Y’s possible objection is not a reason for A’s decision not to open a plant in X.
A’s decision not to proceed with the plant in X is not action with intent to comply with Y’s boycott, because Y’s boycott of X is not a reason for A’s decision.
(vii) Same as (vi), except that after exploring the business possibilities in X, A concludes that the market does justify the move to X. However, A does not open the plant because of Y’s possible objections due to Y’s boycott of X.
A’s decision not to proceed with the plant in X is action taken with intent to comply with Y’s boycott, because Y’s boycott is a reason for A’s decision.
(viii) A, a U.S. chemical manufacturer, receives a “boycott questionnaire” from boycotting country Y asking, among other things, whether A has any plants located in boycotted country X. A, which has never supported Y’s boycott of X, responds to Y’s questionnaire, indicating affirmatively that it does have plants in X and that it intends to continue to have plants in X.
A’s responding to Y’s questionnaire is deemed to be action with intent to comply with Y’s boycott because A knows that the questionnaire is boycott-related. It is irrelevant that A does not also wish to support Y’s boycott.
(ix) U.S. company A has a manufacturing facility in boycotted country X. A receives an invitation to bid on a construction project in boycotting country Y. The invitation states that all bidders must complete a boycott questionnaire and send it in with the bid. The questionnaire asks for information about A’s business relationships with X. Regardless of whether A’s bid is successful, A intends to continue its business in X undiminished and in fact is exploring and intends to continue exploring an expansion of its activities in X without regard to Y’s boycott.
A may not answer the questionnaire, because, despite A’s intentions with regard to its business operations in X, Y’s request for completion of the questionnaire is for boycott purposes and by responding, A’s action would be taken with intent to comply with Y’s boycott.
§ 760.2 Prohibitions.
(a) Refusals to do business.
(1) No United States person may: refuse, knowingly agree to refuse, require any other person to refuse, or knowingly agree to require any other person to refuse, to do business with or in a boycotted country, with any business concern organized under the laws of a boycotted country, with any national or resident of a boycotted country, or with any other person, when such refusal is pursuant to an agreement with the boycotting country, or a requirement of the boycotting country, or a request from or on behalf of the boycotting country.
(2) Generally, a refusal to do business under this section consists of action that excludes a person or country from a transaction for boycott reasons. This includes a situation in which a United States person chooses or selects one person over another on a boycott basis or takes action to carry out another person’s boycott-based selection when he knows or has reason to know that the other person’s selection is boycott-based.
(3) Refusals to do business which are prohibited by this section include not only specific refusals, but also refusals implied by a course or pattern of conduct. There need not be a specific offer and refusal to constitute a refusal to do business; a refusal may occur when a United States person has a financial or commercial opportunity and declines for boycott reasons to consider or accept it.
(4) A United States person’s use of either a boycott-based list of persons with whom he will not deal (a so-called “blacklist”) or a boycott-based list of persons with whom he will deal (a so-called “whitelist”) constitutes a refusal to do business.
(5) An agreement by a United States person to comply generally with the laws of the boycotting country with which it is doing business or an agreement that local laws of the boycotting country shall apply or govern is not, in and of itself, a refusal to do business. Nor, in and of itself, is use of a contractual clause explicitly requiring a person to assume the risk of loss of non-delivery of his products a refusal to do business with any person who will not or cannot comply with such a clause. (But see § 760.4 of this part on “Evasion.”)
(6) If, for boycott reasons, a United States general manager chooses one supplier over another, or enters into a contract with one supplier over another, or advises its client to do so, then the general manager’s actions constitute a refusal to do business under this section. However, it is not a refusal to do business under this section for a United States person to provide management, procurement, or other pre-award services for another person so long as the provision of such pre-award services is customary for that firm (or industry of which the firm is a part), without regard to the boycotting or non-boycotting character of the countries in which they are performed, and the United States person, in providing such services, does not act to exclude a person or country from the transaction for boycott reasons, or otherwise take actions that are boycott-based. For example, a United States person under contract to provide general management services in connection with a construction project in a boycotting country may compile lists of qualified bidders for the client if that service is a customary one and if persons who are qualified are not excluded from that list because they are blacklisted.
(7) With respect to post-award services, if a client makes a boycott-based selection, actions taken by the United States general manager or contractor to carry out the client’s choice are themselves refusals to do business if the United States contractor knows or has reason to know that the client’s choice was boycott-based. (It is irrelevant whether the United States contractor also provided pre-award services.) Such actions include entering into a contract with the selected supplier, notifying the supplier of the client’s choice, executing a contract on behalf of the client, arranging for inspection and shipment of the supplier’s goods, or taking any other action to effect the client’s choice. (But see § 760.3(d) on “Compliance with Unilateral Selection” as it may apply to post-award services.)
(8) An agreement is not a prerequisite to a violation of this section since the prohibition extends to actions taken pursuant not only to agreements but also to requirements of, and requests from or on behalf of, a boycotting country.
(9) Agreements under this section may be either express or implied by a course or pattern of conduct. There need not be a direct request from a boycotting country for action by a United States person to have been taken pursuant to an agreement with or requirement of a boycotting country.
(10) This prohibition, like all others, applies only with respect to a United States person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott. The mere absence of a business relationship with or in the boycotted country, with any business concern organized under the laws of the boycotted country, with national(s) or resident(s) of the boycotted country, or with any other person does not indicate the existence of the required intent.
The following examples are intended to give guidance in determining the circumstances in which, in a boycott situation, a refusal to do business or an agreement to refuse to do business is prohibited. They are illustrative, not comprehensive.
(i) A, a U.S. manufacturer, receives an order for its products from boycotting country Y. To fill that order, A solicits bids from U.S. companies B and C, manufacturers of components used in A’s products. A does not, however, solicit bids from U.S. companies D or E, which also manufacture such components, because it knows that D and E are restricted from doing business in Y and that their products are, therefore, not importable into that country.
Company A may not refuse to solicit bids from D and E for boycott reasons, because to do so would constitute a refusal to do business with those persons.
(ii) A, a U.S. exporter, uses company B, a U.S. insurer, to insure the shipment of its goods to all its overseas customers. For the first time, A receives an order for its products from boycotting country Y. Knowing that B is on the blacklist of Y, A arranges with company C, a non-blacklisted U.S. insurer, to insure the shipment of its goods to Y.
A’s action constitutes a refusal to do business with B.
(iii) A, a U.S. exporter, purchases all its liability insurance from company B, a U.S. company that does business in boycotted country X. A wishes to expand its operations into country Y, the boycotting country. Before doing so, A decides to switch from insurer B to insurer C in anticipation of a request from Y that A sever its relations with B as a condition of doing business in Y.
A may not switch insurers for this reason, because doing so would constitute a refusal to do business with B.
(iv) U.S. company A exports goods to boycotting country Y. In selecting vessels to transport the goods to Y, A chooses only from among carriers which call at ports in Y.
A’s action is not a refusal to do business with carriers which do not call at ports in Y.
(v) A, a U.S. bank with a branch office in boycotting country Y, sends representatives to boycotted country X to discuss plans for opening a branch office in X. Upon learning of these discussions, an official of the local boycott office in Y advises A’s local branch manager that if A opens an office in X it will no longer be allowed to do business in Y. As a result of this notification, A decides to abandon its plans to open a branch in X.
Bank A may not abandon its plans to open a branch in X as a result of Y’s notification, because doing so would constitute a refusal to do business in boycotted country X.
(vi) A, a U.S. company that manufactures office equipment, has been restricted from doing business in boycotting country Y because of its business dealings with boycotted country X. In an effort to have itself removed from Y’s blacklist, A ceases its business in X.
A’s action constitutes a refusal to do business in boycotted country X.
(vii) A, a U.S. computer company, does business in boycotting country Y. A decides to explore business opportunities in boycotted country X. After careful analysis of possible business opportunities in X, A decides, solely for business reasons, not to market its products in X.
A’s decision not to proceed is not a refusal to do business, because it is not based on boycott considerations. A has no affirmative obligation to do business in X.
(viii) A, a U.S. oil company with operations in boycotting country Y, has regularly purchased equipment from U.S. petroleum equipment suppliers B, C, and D, none of whom is on the blacklist of Y. Because of its satisfactory relationship with B, C, and D, A has not dealt with other suppliers, including supplier E, who is blacklisted by Y.
A’s failure affirmatively to seek or secure business with blacklisted supplier E is not a refusal to do business with E.
(ix) Same as (viii), except U.S. petroleum equipment supplier E, a company on boycotting country Y’s blacklist, offers to supply U.S. oil company A with goods comparable to those provided by U.S. suppliers B, C, and D. A, because it has satisfactorily, established relationships with suppliers B, C, and D, does not accept supplier E’s offer.
A’s refusal of supplier E’s offer is not a refusal to do business, because it is based solely on non-boycott considerations. A has no affirmative obligation to do business with E.
(x) A, a U.S. construction company, enters into a contract to build an office complex in boycotting country Y. A receives bids from B and C, U.S. companies that are equally qualified suppliers of electrical cable for the project. A knows that B is blacklisted by Y and that C is not. A accepts C’s bid, in part because C is as qualified as the other potential supplier and in part because C is not blacklisted.
A’s decision to select supplier C instead of blacklisted supplier B is a refusal to do business, because the boycott was one of the reasons for A’s decision.
(xi) A, a U.S. general contractor, has been retained to construct a highway in boycotting country Y. A circulates an invitation to bid to U.S. manufacturers of road-building equipment. One of the conditions listed in the invitation to bid is that, in order for A to obtain prompt service, suppliers will be required to maintain a supply of spare parts and a service facility in Y. A includes this condition solely for commercial reasons unrelated to the boycott. Because of this condition, however, those suppliers on Y’s blacklist do not bid, since they would be unable to satisfy the parts and services requirements.
A’s action is not a refusal to do business, because the contractual condition was included solely for legitimate business reasons and was not boycott-based.
(xii) Company A, a U.S. oil company, purchases drill bits from U.S. suppliers for export to boycotting country Y. In its purchase orders, A includes a provision requiring the supplier to make delivery to A’s facilities in Y and providing that title to the goods does not pass until delivery has been made. As is customary under such an arrangement, the supplier bears all risks of loss, including loss from fire, theft, perils of the sea, and inability to clear customs, until title passes.
Insistence on such an arrangement does not constitute a refusal to do business, because this requirement is imposed on all suppliers whether they are blacklisted or not. (But see § 760.4 on “Evasion”.)
(xiii) A, a U.S. engineering and construction company, contracts with a government agency in boycotting country Y to perform a variety of services in connection with the construction of a large industrial facility in Y. Pursuant to this contract, A analyzes the market of prospective suppliers, compiles a suggested bidders list, analyzes the bids received, and makes recommendations to the client. The client independently selects and awards the contract to supplier C for boycott reasons. All of A’s services are performed without regard to Y’s blacklist or any other boycott considerations, and are the type of services A provides clients in both boycotting and non-boycotting countries.
A’s actions do not constitute a refusal to do business, because, in the provision of pre-award services, A has not excluded the other bidders and because A customarily provides such services to its clients.
(xiv) Same as (xiii), except that in compiling a list of prospective suppliers, A deletes suppliers he knows his client will refuse to select because they are blacklisted. A knows that including the names of blacklisted suppliers will neither enhance their chances of being selected nor provide his client with a useful service, the function for which he has been retained.
A’s actions, which amount to furnishing a so-called “whitelist”, constitute refusals to do business, because A’s pre-award services have not been furnished without regard to boycott considerations.
(xv) A, a U.S. construction firm, provides its boycotting country client with a permissible list of prospective suppliers, B, C, D, and E. The client independently selects and awards the contract to C, for boycott reasons, and then requests A to advise C of his selection, negotiate the contract with C, arrange for the shipment, and inspect the goods upon arrival. A knows that C was chosen by the client for boycott reasons.
A’s action in complying with his client’s direction is a refusal to do business, because A’s post-award actions carry out his client’s boycott-based decision. (Note: Whether A’s action comes within the unilateral selection exception depends upon factors discussed in § 760.3(d) of this part).
(xvi) Same as (xv), except that A is building the project on a turnkey basis and will retain title until completion. The client instructs A to contract only with C.
A’s action in contracting with C constitutes a refusal to do business, because it is action that excludes blacklisted persons from the transaction for boycott reasons. (Note: Whether A’s action comes within the unilateral selection exception depends upon factors discussed in § 760.3(d) of this part).
(xvii) A, a U.S. exporter of machine tools, receives an order for drill presses from boycotting country Y. The cover letter from Y’s procurement official states that A was selected over other U.S. manufacturers in part because A is not on Y’s blacklist.
A’s action in filling this order is not a refusal to do business, because A has not excluded anyone from the transaction.
(xviii) A, a U.S. engineering firm under contract to construct a dam in boycotting country Y, compiles, on a non-boycott basis, a list of potential heavy equipment suppliers, including information on their qualifications and prior experience. A then solicits bids from the top three firms on its list – B, C, and D – because they are the best qualified. None of them happens to be blacklisted. A does not solicit bids from E, F, or G, the next three firms on the list, one of whom is on Y’s blacklist.
A’s decision to solicit bids from only B, C, and D, is not a refusal to do business with any person, because the solicited bidders were not selected for boycott reasons.
(xix) U.S. bank A receives a letter of credit in favor of U.S. beneficiary B. The letter of credit requires B to certify that he is not blacklisted. B meets all other conditions of the letter of credit but refuses to certify as to his blacklist status. A refuses to pay B on the letter of credit solely because B refuses to certify as to his blacklist status.
A has refused to do business with another person pursuant to a boycott requirement or request.
(xx) U.S. bank A receives a letter of credit in favor of U.S. beneficiary B. The letter of credit requires B to provide a certification from the steamship line that the vessel carrying the goods is not blacklisted. B seeks payment from A and meets all other conditions of the letter of credit but refuses or is unable to provide the certification from the steamship line about the vessel’s blacklist status. A refuses to pay B on the letter of credit solely because B cannot or will not provide the certification.
A has required another person to refuse to do business pursuant to a boycott requirement or request by insisting that B obtain such a certificate. (Either A or B may request an amendment to the letter of credit substituting a certificate of vessel eligibility, however. See Example (xxi) below).
(xxi) U.S. bank A receives a letter of credit from a bank in boycotting country Y in favor of U.S. beneficiary B. The letter of credit requires B to provide a certification from the steamship line that the vessel carrying the goods is eligible to enter the ports in Y. B seeks payment from A and meets all other conditions of the letter of credit. A refuses to pay B solely because B cannot or will not provide the certification.
A has neither refused, nor required another person to refuse, to do business with another person pursuant to a boycott requirement or request because a request for a vessel eligibility certificate to be furnished by the steamship line is not a prohibited condition. (See supplement no. 1 to this part, paragraph (I)(B), “Shipping Certificate”.)
(xxii) U.S. bank A confirms a letter of credit in favor of U.S. beneficiary B. The letter of credit contains a requirement that B certify that he is not blacklisted. B presents the letter of credit to U.S. bank C, a correspondent of bank A. B does not present the certificate of blacklist status to bank C, but, in accordance with these rules, bank C pays B, and then presents the letter of credit and documentation to bank A for reimbursement. Bank A refuses to reimburse bank C because the blacklist certification of B is not included in the documentation.
A has required another person to refuse to do business with a person pursuant to a boycott requirement or request by insisting that C obtain the certificate from B.
(xxiii) U.S. bank A receives a letter of credit in favor of U.S. beneficiary B. The letter of credit requires B to certify that he is not blacklisted. B fails to provide such a certification when he presents the documents to A for payment. A notifies B that the certification has not been submitted.
A has not refused to do business with another person pursuant to a boycott requirement by notifying B of the omitted certificate. A may not refuse to pay on the letter of credit, however, if B states that B will not provide such a certificate.
(xxiv) U.S. bank A receives a letter of credit in favor of U.S. beneficiary B from the issuing bank for the purpose of confirmation, negotiation or payment. The letter of credit requires B to certify that he is not blacklisted. A notifies B that it is contrary to the policy of A to handle letters of credit containing this condition and that, unless an amendment is obtained deleting this condition, A will not implement the letter of credit.
A has not refused to do business with another person pursuant to a boycott requirement, because A has indicated its policy against implementing the letter of credit containing the term without regard to B’s ability or willingness to furnish such a certificate.
(i) A, a U.S. construction firm, is retained by an agency of boycotting country Y to build a primary school. The proposed contract contains a clause stating that A “may not use goods or services in the project that are produced or provided by any person restricted from having a business relationship with country Y by reason of Y’s boycott against country X”.
A’s action in entering into such a contract would constitute an agreement to refuse to do business, because it is an agreement to exclude blacklisted persons from the transaction. A may, however, renegotiate this clause so that it does not contain terms prohibited by this part.
(ii) A, a U.S. manufacturer of commercial refrigerators and freezers, receives an invitation to bid from boycotting country Y. The tender states that the bidder must agree not to deal with companies on Y’s blacklist. A does not know which companies are on the blacklist; however, A submits a bid without taking exception to the boycott conditions. A’s bid makes no commitment regarding not dealing with certain companies.
At the point when A submits its bid without taking exception to the boycott request in Y’s tender, A has agreed to refuse to do business with blacklisted persons, because the terms of Y’s tender require A to agree to refuse to do business.
(iii) A, a U.S. construction firm, is offered a contract to perform engineering and construction services in connection with a project located in boycotting country Y. The contract contains a clause stating that, in the event of a contract dispute, the laws of Y will apply.
A may enter into the contract. Agreement that the laws of boycotting country Y will control in resolving a contract dispute is not an agreement to refuse to do business.
(iv) Same as (iii), except that the contract contains a clause that A and its employees will comply with the laws of boycotting country Y. A knows that Y has a number of boycott laws.
Such an agreement is not, in and of itself, an agreement to refuse to do business. If, however, A subsequently refuses to do business with someone because of the laws of Y, A’s action would be a refusal to do business.
(v) Same as (iv), except that the contract contains a clause that A and its employees will comply with the laws of boycotting country Y, “including boycott laws.”
A’s agreeing, without qualification, to comply with local boycott laws constitutes an agreement to refuse to do business.
(vi) Same as (v), except that A inserts a proviso “except insofar as Y’s laws conflict with U.S. laws,” or words to that effect.
Such an agreement is not an agreement to refuse to do business.
(vii) A, a U.S. general contractor, is retained to construct a pipeline in boycotting country Y. A provision in the proposed contract stipulates that in purchasing equipment, supplies, and services A must give preference to companies located in host country Y.
A may agree to this contract provision. Agreeing to a “buy local” contract provision is not an agreement to refuse to do business, because A’s agreement is not made for boycott reasons.
(viii) A, a U.S. exporter planning to sell retail goods to customers in boycotting country Y, enters into a contract to purchase goods wholesale from B, a U.S. appliance manufacturer. A’s contract with B includes a provision stipulating that B may not use components or services of blacklisted companies in the manufacture of its appliances.
A’s contract constitutes a refusal to do business, because it would require another person, B, to refuse to do business with other persons for boycott reasons. B may not agree to such a contract, because it would be agreeing to refuse to do business with other persons for boycott reasons.
(ix) Same as (viii), except that A and B reach an implicit understanding that B will not use components or services of blacklisted companies in the manufacture of goods to be exported to Y. In the manufacture of appliances to be sold to A for export to non-boycotting countries, B uses components manufactured by blacklisted companies.
The actions of both A and B constitute agreement to refuse to do business. The agreement is implied by their pattern of conduct.
(x) Boycotting country Y orders goods from U.S. company B. Y opens a letter of credit with foreign bank C in favor of B. The letter of credit specifies that negotiation of the letter of credit with a bank that appears on the country X boycott blacklist is prohibited. U.S. bank A, C’s correspondent bank, advises B of the letter of credit. B presents documentation to bank A seeking to be paid on the letter of credit, without amending or otherwise taking exception to the boycott condition.
B has agreed to refuse to do business with blacklisted banks because, by presenting the letter of credit for payment, B has accepted all of its terms and conditions.
(b) Discriminatory actions.
(1) No United States person may:
(i) Refuse to employ or otherwise discriminate against any individual who is a United States person on the basis of race, religion, sex, or national origin;
(ii) Discriminate against any corporation or other organization which is a United States person on the basis of the race, religion, sex, or national origin of any owner, officer, director, or employee of such corporation or organization;
(iii) Knowingly agree to take any of the actions described in paragraph (b)(1)(i) and (ii) of this section; or
(iv) Require or knowingly agree to require any other person to take any of the actions described in paragraph (b)(1)(i) and (ii) of this section.
(2) This prohibition shall apply whether the discriminatory action is taken by a United States person on its own or in response to an agreement with, request from, or requirement of a boycotting country. This prohibition, like all others, applies only with respect to a United States person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott.
(3) The section does not supersede or limit the operation of the civil rights laws of the United States.
The following examples are intended to give guidance in determining the circumstances in which the taking of particular discriminatory actions is prohibited. They are illustrative, not comprehensive.
(i) U.S. construction company A is awarded a contract to build an office complex in boycotting country Y. A, believing that employees of a particular religion will not be permitted to work in Y because of Y’s boycott against country X, excludes U.S. persons of that religion from consideration for employment on the project.
A’s refusal to consider qualified U.S. persons of a particular religion for work on the project in Y constitutes a prohibited boycott-based discriminatory action against U.S. persons on the basis of religion.
(ii) Same as (i), except that a clause in the contract provides that “no persons of country X origin are to work on this project.”
A’s agreement constitutes a prohibited boycott-based agreement to discriminate against U.S. persons, among others, on the basis of national origin.
(iii) Same as (i), except that a clause in the contract provides that “no persons who are citizens, residents, or nationals of country X are to work on this project.”
A’s agreement does not constitute a boycott-based agreement to discriminate against U.S. persons on the basis of race, religion, sex, or national origin, because the clause requires exclusion on the basis of citizenship, residency, and nationality only.
(iv) U.S. construction company A enters into a contract to build a school in boycotting country Y. Y’s representative orally tells A that no persons of country X origin are to work on the project.
A may not comply, because to do so would constitute discrimination on the basis of national origin.
It makes no difference that A learned of Y’s requirement orally. It makes no difference how A learns about Y’s discriminatory requirement.
(v) Boycotting country Y tenders an invitation to bid on a construction project in Y. The tender requires that the successful bidder’s personnel will be interviewed and that persons of a particular religious faith will not be permitted to work on the project. Y’s requirement is based on its boycott of country X, the majority of whose citizens are of that particular faith.
Agreement to this provision in the tender document by a U.S. person would constitute a prohibited agreement to engage in boycott-based discrimination against U.S. persons of a particular religion.
(vi) Same as (v), except that the tender specifies that “women will not be allowed to work on this project.”
Agreement to this provision in the tender by a U.S. person does not constitute a prohibited agreement to engage in boycott-based discrimination, because the restriction against employment of women is not boycott-based. Such an agreement may, however, constitute a violation of U.S. civil rights laws.
(vii) A is a U.S. investment banking firm. As a condition of participating in an underwriting of securities to be issued by boycotting country Y, A is required to exclude investment banks owned by persons of a particular faith from participation in the underwriting. Y’s requirement is based on its boycott of country X, the majority of whose citizens are of that particular faith.
A’s agreement to such a provision constitutes a prohibited agreement to engage in boycott-based discrimination against U.S. persons on the basis of religion. Further, if A requires others to agree to such a condition, A would be acting to require another person to engage in such discrimination.
(viii) U.S. company A is asked by boycotting country Y to certify that A will not use a six-pointed star on the packaging of its products to be imported into Y. The requirement is part of the enforcement effort by Y of its boycott against country X.
A may not so certify. The six-pointed star is a religious symbol, and the certification by A that it will not use such a symbol constitutes a statement that A will not ship products made or handled by persons of that religion.
(ix) Same as (viii), except that A is asked to certify that no symbol of boycotted country X will appear on the packaging of its products imported into Y.
Such a certification conveys no statement about any person’s religion and, thus, does not come within this prohibition.
(c) Furnishing information about race, religion, sex, or national origin.
(1) No United States person may:
(i) Furnish information about the race, religion, sex, or national origin of any United States person;
(ii) Furnish information about the race, religion, sex, or national origin of any owner, officer, director, or employee of any corporation or other organization which is a United States person;
(iii) Knowingly agree to furnish information about the race, religion, sex, or national origin of any United States person; or
(iv) Knowingly agree to furnish information about the race, religion, sex, or national origin of any owner, officer, director, or employee of any corporation or other organization which is a United States person.
(2) This prohibition shall apply whether the information is specifically requested or is offered voluntarily by the United States person. It shall also apply whether the information requested or volunteered is stated in the affirmative or the negative.
(3) Information about the place of birth of or the nationality of the parents of a United States person comes within this prohibition, as does information in the form of code words or symbols which could identify a United States person’s race, religion, sex, or national origin.
(4) This prohibition, like all others, applies only with respect to a United States person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott.
The following examples are intended to give guidance in determining the circumstances in which the furnishing of discriminatory information is prohibited. They are illustrative, not comprehensive.
(i) U.S. company A receives a boycott questionnaire from boycotting country Y asking whether it is owned or controlled by persons of a particular faith, whether it has any persons on its board of directors who are of that faith, and what the national origin of its president is. The information is sought for purposes of enforcing Y’s boycott against country X, and A knows or has reason to know that the information is sought for that reason.
A may not answer the questionnaire, because A would be furnishing information about the religion and national origin of U.S. persons for purposes of complying with or supporting Y’s boycott against X.
(ii) U.S. company A, located in the United States, is asked by boycotting country Y to certify that A has no persons of a particular national origin on its board of directors. A knows that Y’s purpose in asking for the certification is to enforce its boycott against country X.
A may not make such a certification, because A would be furnishing information about the national origin of U.S. persons for purposes of complying with or supporting Y’s boycott against X.
(iii) U.S. company A believes that boycotting country Y will select A’s bid over those of other bidders if A volunteers that it has no shareholders, officers, or directors of a particular national origin. A’s belief is based on its knowledge that Y generally refuses, as part of its boycott against country X, to do business with companies owned, controlled, or managed by persons of this particular national origin.
A may not volunteer this information, because it would be furnishing information about the national origin of U.S. persons for purposes of complying with or supporting Y’s boycott against X.
(iv) U.S. company A has a contract to construct an airport in boycotting country Y. Before A begins work, A is asked by Y to identify the national origin of its employees who will work on the site. A knows or has reason to know that Y is seeking this information in order to enforce its boycott against X.
A may not furnish this information, because A would be providing information about the national origin of U.S. persons for purposes of complying with or supporting Y’s boycott against X.
(v) Same as (iv), except that in order to assemble its work force on site in Y, A sends visa forms to its employees and asks that the forms be returned to A for transmittal to Y’s consulate or embassy. A, itself, furnishes no information about its employees, but merely transmits the visa forms back and forth.
In performing the ministerial function of transmitting visa forms, A is not furnishing information about any U.S. person’s race, religion, sex, or national origin.
(vi) Same as (iv), except that A is asked by Y to certify that none of its employees in Y will be women, because Y’s laws prohibit women from working.
Such a certification does not constitute a prohibited furnishing of information about any U.S. person’s sex, since the reason the information is sought has nothing to do with Y’s boycott of X.
(vii) U.S. company A is considering establishing an office in boycotting country Y. In order to register to do business in Y, A is asked to furnish information concerning the nationalities of its corporate officers and board of directors.
A may furnish the information about the nationalities of its officers and directors, because in so doing A would not be furnishing information about the race, religion, sex, or national origin of any U.S. person.
(d) Furnishing information about business relationships with boycotted countries or blacklisted persons.
(1) No United States person may furnish or knowingly agree to furnish information concerning his or any other person’s past, present or proposed business relationships:
(i) With or in a boycotted country;
(ii) With any business concern organized under the laws of a boycotted country;
(iii) With any national or resident of a boycotted country; or
(iv) With any other person who is known or believed to be restricted from having any business relationship with or in a boycotting country.
(2) This prohibition shall apply:
(i) Whether the information pertains to a business relationship involving a sale, purchase, or supply transaction; legal or commercial representation; shipping or other transportation transaction; insurance; investment; or any other type of business transaction or relationship; and
(ii) Whether the information is directly or indirectly requested or is furnished on the initiative of the United States person.
(3) This prohibition does not apply to the furnishing of normal business information in a commercial context. Normal business information may relate to factors such as financial fitness, technical competence, or professional experience, and may be found in documents normally available to the public such as annual reports, disclosure statements concerning securities, catalogs, promotional brochures, and trade and business handbooks. Such information may also appear in specifications or statements of experience and qualifications.
(4) Normal business information furnished in a commercial context does not cease to be such simply because the party soliciting the information may be a boycotting country or a national or resident thereof. If the information is of a type which is generally sought for a legitimate business purpose (such as determining financial fitness, technical competence, or professional experience), the information may be furnished even if the information could be used, or without the knowledge of the person supplying the information is intended to be used, for boycott purposes. However, no information about business relationships with blacklisted persons or boycotted countries, their residents or nationals, may be furnished in response to a boycott request, even if the information is publicly available. Requests for such information from a boycott office will be presumed to be boycott-based.
(5) This prohibition, like all others, applies only with respect to a United States person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott.
The following examples are intended to give guidance in determining the circumstances in which the furnishing of information is prohibited. They are illustrative, not comprehensive.
(i) U.S. contractor A is considering bidding for a contract to build a dam in boycotting country Y. The invitation to bid, which appears in a trade journal, specifies that each bidder must state that he does not have any offices in boycotted country X. A knows or has reason to know that the requirement is boycott-based.
A may not make this statement, because it constitutes information about A’s business relationships with X.
(ii) U.S. contractor A is considering bidding for a contract to construct a school in boycotting country Y. Each bidder is required to submit copies of its annual report with its bid. Since A’s annual report describes A’s worldwide operations, including the countries in which it does business, it necessarily discloses whether A has business relations with boycotted country X. A has no reason to know that its report is being sought for boycott purposes.
A, in furnishing its annual report, is supplying ordinary business information in a commercial context.
(iii) Same as (ii), except that accompanying the invitation to bid is a questionnaire from country Y’s boycott office asking each bidder to supply a copy of its annual report.
A may not furnish the annual report despite its public availability, because it would be furnishing information in response to a questionnaire from a boycott office.
(iv) U.S. company A is on boycotting country Y’s blacklist. For reasons unrelated to the boycott, A terminates its business relationships with boycotted country X. In exploring other marketing areas, A determines that boycotting country Y offers great potential. A is requested to complete a questionnaire from a central boycott office which inquires about A’s business relations with X.
A may not furnish the information, because it is information about A’s business relationships with a boycotted country.
(v) U.S. exporter A is seeking to sell its products to boycotting country Y. A is informed by Y that, as a condition of sale, A must certify that it has no salesmen in boycotted country X. A knows or has reason to know that the condition is boycott-based.
A may not furnish the certification, because it is information about A’s business relationships in a boycotted country.
(vi) U.S. engineering company A receives an invitation to bid on the construction of a dam in boycotting country Y. As a condition of the bid, A is asked to certify that it does not have any offices in boycotted country X. A is also asked to furnish plans for other dams it has designed.
A may not certify that it has no office in X, because this is information about its business relationships in a boycotted country. A may submit plans for other dams it has designed, because this is furnishing normal business information, in a commercial context, relating to A’s technical competence and professional experience.
(vii) U.S. company A, in seeking to expand its exports to boycotting country Y, sends a sales representative to Y for a one week trip. During a meeting in Y with trade association representatives, A’s representative desires to explain that neither A nor any companies with which A deals has any business relationship with boycotted country X. The purpose of supplying such information is to ensure that A does not get blacklisted.
A’s representative may not volunteer this information even though A, for reasons unrelated to the boycott, does not deal with X, because A’s representative would be volunteering information about A’s business relationships with X for boycott reasons.
(viii) U.S. company A is asked by boycotting country Y to furnish information concerning its business relationships with boycotted country X. A, knowing that Y is seeking the information for boycott purposes, refuses to furnish the information asked for directly, but proposes to respond by supplying a copy of its annual report which lists the countries with which A is presently doing business. A does not happen to be doing business with X.
A may not respond to Y’s request by supplying its annual report, because A knows that it would be responding to a boycott-based request for information about its business relationships with X.
(ix) U.S. company A receives a letter from a central boycott office asking A to “clarify” A’s operations in boycotted country X. A intends to continue its operations in X, but fears that not responding to the request will result in its being placed on boycotting country Y’s blacklist. A knows or has reason to know that the information is sought for boycott reasons.
A may not respond to this request, because the information concerns its business relationships with a boycotted country.
(x) U.S. company A, in the course of negotiating a sale of its goods to a buyer in boycotting country Y, is asked to certify that its supplier is not on Y’s blacklist.
A may not furnish the information about its supplier’s blacklist status, because this is information about A’s business relationships with another person who is believed to be restricted from having any business relationship with or in a boycotting country.
(xi) U.S. company A has a manufacturing plant in boycotted country X and is on boycotting country Y’s blacklist. A is seeking to establish operations in Y, while expanding its operations in X. A applies to Y to be removed from Y’s blacklist. A is asked, in response, to indicate whether it has manufacturing facilities in X.
A may not supply the requested information, because A would be furnishing information about its business relationships in a boycotted country.
(xii) U.S. bank A plans to open a branch office in boycotting country Y. In order to do so, A is required to furnish certain information about its business operations, including the location of its other branch offices. Such information is normally sought in other countries where A has opened a branch office, and A does not have reason to know that Y is seeking the information for boycott reasons.
A may furnish this information, even though in furnishing it A would disclose information about its business relationships in a boycotted country, because it is being furnished in a normal business context and A does not have reason to know that it is sought for boycott reasons.
(xiii) U.S. architectural firm A responds to an invitation to submit designs for an office complex in boycotting country Y. The invitation states that all bidders must include information concerning similar types of buildings they have designed. A has not designed such buildings in boycotted country X. Clients frequently seek information of this type before engaging an architect.
A may furnish this information, because this is furnishing normal business information, in a commercial context, relating to A’s technical competence and professional experience.
(xiv) U.S. oil company A distributes to potential customers promotional brochures and catalogs which give background information on A’s past projects. A does not have business dealings with boycotted country X. The brochures, which are identical to those which A uses throughout the world, list those countries in which A does or has done business. In soliciting potential customers in boycotting country Y, A desires to distribute copies of its brochures.
A may do so, because this is furnishing normal business information, in a commercial context, relating to professional experience.
(xv) U.S. company A is interested in doing business with boycotting country Y. A wants to ask Y’s Ministry of Trade whether, and if so why, A is on Y’s blacklist or is otherwise restricted for boycott reasons from doing business with Y.
A may make this limited inquiry, because it does not constitute furnishing information.
(xvi) U.S. company A is asked by boycotting country Y to certify that it is not owned by subjects or nationals of boycotted country X and that it is not resident in boycotted country X.
A may not furnish the certification, because it is information about A’s business relationships with or in a boycotted country, or with nationals of a boycotted country.
(xvii) U.S. company A, a manufacturer of certain patented products, desires to register its patents in boycotting country Y. A receives a power of attorney form required to register its patents. The form contains a question regarding A’s business relationships with or in boycotted country X. A has no business relationships with X and knows or has reason to know that the information is sought for boycott reasons.
A may not answer the question, because A would be furnishing information about its business relationships with or in a boycotted country.
(xviii) U.S. company A is asked by boycotting country Y to certify that it is not the mother company, sister company, subsidiary, or branch of any blacklisted company, and that it is not in any way affiliated with any blacklisted company.
A may not furnish the certification, because it is information about whether A has a business relationship with another person who is known or believed to be restricted from having any business relationship with or in a boycotting country.
(e) Information concerning association with charitable and fraternal organizations.
(1) No United States person may furnish or knowingly agree to furnish information about whether any person is a member of, has made contributions to, or is otherwise associated with or involved in the activities of any charitable or fraternal organization which supports a boycotted country.
(2) This prohibition shall apply whether:
(i) The information concerns association with or involvement in any charitable or fraternal organization which (a) has, as one of its stated purposes, the support of a boycotted country through financial contributions or other means, or (b) undertakes, as a major organizational activity, to offer financial or other support to a boycotted country;
(ii) The information is directly or indirectly requested or is furnished on the initiative of the United States person; or
(iii) The information requested or volunteered concerns membership in, financial contributions to, or any other type of association with or involvement in the activities of such charitable or fraternal organization.
(3) This prohibition does not prohibit the furnishing of normal business information in a commercial context as defined in paragraph (d) of this section.
(4) This prohibition, like all others, applies only with respect to a United States person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott.
The following examples are intended to give guidance in determining the circumstances in which the furnishing of information concerning associations with charitable or fraternal organizations is prohibited. They are illustrative, not comprehensive.
(i) U.S. engineering firm A receives an invitation to bid from boycotting country Y. The invitation includes a request to supply information concerning any association which A’s officers have with charitable organization B, an organization which is known by A to contribute financial support to boycotted country X. A knows or has reason to know that the information is sought for boycott reasons.
A may not furnish the information.
(ii) U.S. construction company A, in an effort to establish business dealings with boycotting country Y, proposes to furnish information to Y showing that no members of its board of directors are in any way associated with charitable organizations which support boycotted country X. A’s purpose is to avoid any possibility of its being blacklisted by Y.
A may not furnish the information, because A’s purpose in doing so is boycott-based. It makes no difference that no specific request for the information has been made by Y.
(iii) A, a citizen of the United States, is applying for a teaching position in a school in boycotting country Y. In connection with his application, A furnishes a resume which happens to disclose his affiliation with charitable organizations. A does so completely without reference to Y’s boycott and without knowledge of any boycott requirement of Y that pertains to A’s application for employment.
The furnishing of a resume by A is not a boycott-related furnishing of information about his association with charitable organizations which support boycotted country X.
(f) Letters of credit.
(1) No United States person may pay, honor, confirm, or otherwise implement a letter of credit which contains a condition or requirement compliance with which is prohibited by this part, nor shall any United States person, as a result of the application of this section, be obligated to pay, honor or otherwise implement such a letter of credit.
(2) For purposes of this section, “implementing” a letter of credit includes:
(i) Issuing or opening a letter of credit at the request of a customer;
(ii) Honoring, by accepting as being a valid instrument of credit, any letter of credit;
(iii) Paying, under a letter of credit, a draft or other demand for payment by the beneficiary;
(iv) Confirming a letter of credit by agreeing to be responsible for payment to the beneficiary in response to a request by the issuer;
(v) Negotiating a letter of credit by voluntarily purchasing a draft from a beneficiary and presenting such draft for reimbursement to the issuer or the confirmer of the letter of credit; and
(vi) Taking any other action to implement a letter of credit.
(3) In the standard international letter of credit transaction facilitating payment for the export of goods from the United States, a bank in a foreign country may be requested by its customer to issue a revocable or irrevocable letter of credit in favor of the United States exporter. The customer usually requires, and the letter of credit provides, that the issuing (or a confirming) bank will make payment to the beneficiary against the bank’s receipt of the documentation specified in the letter of credit. Such documentation usually includes commercial and consular invoices, a bill of lading, and evidence of insurance, but it may also include other required certifications or documentary assurances such as the origin of the goods and information relating to the carrier or insurer of the shipment.
Banks usually will not accept drafts for payment unless the documents submitted therewith comply with the terms and conditions of the letter of credit.
(4) A United States person is not prohibited under this section from advising a beneficiary of the existence of a letter of credit in his favor, or from taking ministerial actions to dispose of a letter of credit which it is prohibited from implementing.
(5) Compliance with this section shall provide an absolute defense in any action brought to compel payment of, honoring of, or other implementation of a letter of credit, or for damages resulting from failure to pay or otherwise honor or implement the letter of credit. This section shall not otherwise relieve any person from any obligations or other liabilities he may incur under other laws or regulations, except as may be explicitly provided in this section.
(6) This prohibition, like all others, applies only with respect to a United States person’s activities taken with intent to comply with, further, or support an unsanctioned foreign boycott. In addition, it applies only when the transaction to which the letter of credit applies is in United States commerce and the beneficiary is a United States person.
(7) A letter of credit implemented in the United States by a United States person located in the United States, including a permanent United States establishment of a foreign bank, will be presumed to apply to a transaction in United States commerce and to be in favor of a United States beneficiary where the letter of credit specifies a United States address for the beneficiary. These presumptions may be rebutted by facts which could reasonably lead the bank to conclude that the beneficiary is not a United States person or that the underlying transaction is not in United States commerce.
(8) Where a letter of credit implemented in the United States by a United States person located in the United States does not specify a United States address for the beneficiary, the beneficiary will be presumed to be other than a United States person. This presumption may be rebutted by facts which could reasonably lead the bank to conclude that the beneficiary is a United States person despite the foreign address.
(9) A letter of credit implemented outside the United States by a United States person located outside the United States will be presumed to apply to a transaction in United States commerce and to be in favor of a United States beneficiary where the letter of credit specifies a United States address for the beneficiary and calls for documents indicating shipment from the United States or otherwise indicating that the goods are of United States origin. These presumptions may be rebutted by facts which could reasonably lead the bank to conclude that the beneficiary is not a United States person or that the underlying transaction is not in United States commerce.
(10) Where a letter of credit implemented outside the United States by a United States person located outside the United States does not specify a United States address for the beneficiary, the beneficiary will be presumed to be other than a United States person. In addition, where such a letter of credit does not call for documents indicating shipment from the United States or otherwise indicating that the goods are of United States origin, the transaction to which it applies will be presumed to be outside United States commerce. The presumption that the beneficiary is other than a United States person may be rebutted by facts which could reasonably lead the bank to conclude that the beneficiary is a United States person. The presumption that the transaction to which the letter of credit applies is outside United States commerce may be rebutted by facts which could reasonably lead the bank to conclude that the underlying transaction is in United States commerce.
The following examples are intended to give guidance in determining the circumstances in which this section applies to the implementation of a letter of credit and in which such implementation is prohibited. They are illustrative, not comprehensive.
(i) A, a U.S. bank located in the United States, opens a letter of credit in the United States in favor of B, a foreign company located outside the United States. The letter of credit specifies a non-U.S. address for the beneficiary.
The beneficiary is presumed to be other than a U.S. person, because it does not have a U.S. address. The presumption may be rebutted by facts showing that A could reasonably conclude that the beneficiary is a U.S. person despite the foreign address.
(ii) A, a branch of a foreign bank located in the United States, opens a letter of credit in favor of B, a foreign company located outside the United States. The letter of credit specifies a non-U.S. address for the beneficiary.
The beneficiary is presumed to be other than a U.S.person, because it does not have a U.S. address. The presumption may be rebutted by facts showing that A could reasonably conclude that the beneficiary is a U.S. person despite the foreign address.
(iii) A, a U.S. bank branch located outside the United States, opens a letter of credit in favor of B, a person with a U.S. address. The letter of credit calls for documents indicating shipment of goods from the United States.
The letter of credit is presumed to apply to a transaction in U.S. commerce and to be in favor of a U.S. beneficiary because the letter of credit specifies a U.S. address for the beneficiary and calls for documents indicating that the goods will be shipped from the United States. These presumptions may be rebutted by facts showing that A could reasonably conclude that the beneficiary is not a U.S. person or that the underlying transaction is not in U.S. commerce.
(iv) A, a U.S. bank branch located outside the United States, opens a letter of credit which specifies a beneficiary, B, with an address outside the United States and calls for documents indicating that the goods are of U.S.-origin. A knows or has reason to know that although B has an address outside the United States, B is a U.S. person.
The letter of credit is presumed to apply to a transaction in U.S. commerce, because the letter of credit calls for shipment of U.S.-origin goods. In addition, the letter of credit is presumed to be in favor of a beneficiary who is a U.S. person, because A knows or has reason to know that the beneficiary is a U.S. person despite the foreign address.
(v) A, a U.S. bank branch located outside the United States, opens a letter of credit which specifies a beneficiary with a U.S. address. The letter of credit calls for documents indicating shipment of foreign-origin goods.
The letter of credit is presumed to be in favor of a U.S. beneficiary but to apply to a transaction outside U.S. commerce, because it calls for documents indicating shipment of foreign-origin goods. The presumption of non-U.S. commerce may be rebutted by facts showing that A could reasonably conclude that the underlying transaction involves shipment of U.S.-origin goods or goods from the United States.
(i) Boycotting country Y orders goods from U.S. company B. Y opens a letter of credit with foreign bank C in favor of B. The letter of credit specifies as a condition of payment that B certify that it does not do business with boycotted country X. Foreign bank C forwards the letter of credit it has opened to U.S. bank A for confirmation.
A may not confirm or otherwise implement this letter of credit, because it contains a condition with which a U.S. person may not comply.
(ii) Same as (i), except U.S. bank A desires to advise the beneficiary, U.S. company B, of the letter of credit.
A may do so, because advising the beneficiary of the letter of credit (including the term which prevents A from implementing it) is not implementation of the letter of credit.
(iii) Same as (i), except foreign bank C sends a telegram to U.S. bank A stating the major terms and conditions of the letter of credit. The telegram does not reflect the boycott provision. Subsequently, C mails to A documents setting forth the terms and conditions of the letter of credit, including the prohibited boycott condition.
A may not further implement the letter of credit after it receives the documents, because they reflect the prohibited boycott condition in the letter of credit. A may advise the beneficiary and C of the existence of the letter of credit (including the boycott term), and may perform any essentially ministerial acts necessary to dispose of the letter of credit.
(iv) Same as (iii), except that U.S. company B, based in part on information received from U.S. bank A, desires to obtain an amendment to the letter of credit which would eliminate or nullify the language in the letter of credit which prevents A from paying or otherwise implementing it.
Either company B or bank A may undertake, and the other may cooperate and assist in, this endeavor. A could then pay or otherwise implement the revised letter of credit, so long as the original prohibited boycott condition is of no force or effect.
(v) Boycotting country Y requests a foreign bank in Y to open a letter of credit to effect payment for goods to be shipped by U.S. supplier B, the beneficiary of the letter of credit. The letter of credit contains prohibited boycott clauses. The foreign bank forwards a copy of the letter of credit to its branch office A, in the United States.
A may advise the beneficiary but may not implement the letter of credit, because it contains prohibited boycott conditions.
(vi) Boycotting country Y orders goods from U.S. company B. U.S. bank A is asked to implement, for the benefit of B, a letter of credit which contains a clause requiring documentation that the goods shipped are not of boycotted country X origin.
A may not implement the letter of credit with a prohibited condition, and may accept only a positive certificate of origin as satisfactory documentation. (See § 760.3(c) on “Import and Shipping Document Requirements.”)
(vii) [Reserved]
(viii) B is a foreign bank located outside the United States. B maintains an account with U.S. bank A, located in the United States. A letter of credit issued by B in favor of a U.S. beneficiary provides that any negotiating bank may obtain reimbursement from A by certifying that all the terms and conditions of the letter of credit have been met and then drawing against B’s account. B notifies A by cable of the issuance of a letter of credit and the existence of reimbursement authorization; A does not receive a copy of the letter of credit.
A may reimburse any negotiating bank, even when the underlying letter of credit contains a prohibited boycott condition, because A does not know or have reason to know that the letter of credit contains a prohibited boycott condition.
(ix) Same as (viii), except that foreign bank B forwards a copy of the letter of credit to U.S. bank A, which then becomes aware of the prohibited boycott clause.
A may not thereafter reimburse a negotiating bank or in any way further implement the letter of credit, because it knows of the prohibited boycott condition.
(x) Boycotting country Y orders goods from U.S. exporter B and requests a foreign bank in Y to open a letter of credit in favor of B to cover the cost. The letter of credit contains a prohibited boycott clause. The foreign bank asks U.S. bank A to advise and confirm the letter of credit. Through inadvertence, A does not notice the prohibited clause and confirms the letter of credit. A thereafter notices the clause and then refuses to honor B’s draft against the letter of credit. B sues bank A for payment.
A has an absolute defense against the obligation to make payment under this letter of credit. (Note: Examples (ix) and (x) do not alter any other obligations or liabilities of the parties under appropriate law.)
(xi) [Reserved]
(xii) Boycotting country Y orders goods from U.S. company B. A letter of credit which contains a prohibited boycott clause is opened in favor of B by a foreign bank in Y. The foreign bank asks U.S. bank A to advise and confirm the letter of credit, which it forwards to A.
A may advise B that it has received the letter of credit (including the boycott term), but may not confirm the letter of credit with the prohibited clause.
(xiii) Same as (xii), except U.S. bank A fails to tell B that it cannot process the letter of credit. B requests payment.
A may not pay. If the prohibited language is eliminated or nullified as the result of renegotiation, A may then pay or otherwise implement the revised letter of credit.
(xiv) U.S. bank A receives a letter of credit in favor of U.S. beneficiary B. The letter of credit requires B to certify that he is not blacklisted.
A may implement such a letter of credit, but it may not insist that the certification be furnished, because by so insisting it would be refusing to do business with a blacklisted person in compliance with a boycott.
(xv) A, a U.S. bank located in the U.S. opens a letter of credit in favor of U.S. beneficiary B for B’s sale of goods to boycotting country Y. The letter of credit contains no boycott conditions, but A knows that Y customarily requires the seller of goods to certify that it has dealt with no blacklisted supplier. A, therefore, instructs B that it will not make payment under the letter of credit unless B makes such a certification.
A’s action in requiring the certification from B constitutes action to require another person to refuse to do business with blacklisted persons.
(xvi) A, a U.S. bank located in the U.S., opens a letter of credit in favor of U.S. beneficiary B for B’s sale of goods to boycotting country Y. The letter of credit contains no boycott conditions, but A has actual knowledge that B has agreed to supply a certification to Y that it has not dealt with blacklisted firms, as a condition of receiving the letter of credit in its favor.
A may not implement the letter of credit, because it knows that an implicit condition of the credit is a condition with which B may not legally comply.
(xvii) Boycotting country Y orders goods from U.S. company B. Y opens a letter of credit with foreign bank C in favor of B. The letter of credit includes the statement, “Do not negotiate with blacklisted banks.” C forwards the letter of credit it has opened to U.S. bank A for confirmation.
A may not confirm or otherwise implement this letter of credit, because it contains a condition with which a U.S. person may not comply.
§ 760.3 Exceptions to prohibitions.
(a) Import requirements of a boycotting country.
(1) A United States person, in supplying goods or services to a boycotting country, or to a national or resident of a boycotting country, may comply or agree to comply with requirements of such boycotting country which prohibit the import of:
(i) Goods or services from the boycotted country;
(ii) Goods produced or services provided by any business concern organized under the laws of the boycotted country; or
(iii) Goods produced or services provided by nationals or residents of the boycotted country.
(2) A United States person may comply or agree to comply with such import requirements whether or not he has received a specific request to comply. By its terms, this exception applies only to transactions involving imports into a boycotting country. A United States person may not, under this exception, refuse on an across-the-board basis to do business with a boycotted country or a national or resident of a boycotted country.
(3) In taking action within the scope of this exception, a United States person is limited in the types of boycott-related information he can supply. (See § 760.2(d) of this part on “Furnishing Information About Business Relationships with Boycotted Countries or Blacklisted Persons” and paragraph (c) of this section on “Import and Shipping Document Requirements.”)
The following examples are intended to give guidance in determining the circumstances in which compliance with the import requirements of a boycotting country is permissible. They are illustrative, not comprehensive.
(i) A, a U.S. manufacturer, receives an order from boycotting country Y for its products. Country X is boycotted by country Y, and the import laws of Y prohibit the importation of goods produced or manufactured in X. In filling this type of order, A would usually include some component parts produced in X.
For the purpose of filling this order, A may substitute comparable component parts in place of parts produced in X, because the import laws of Y prohibit the importation of goods manufactured in X.
(ii) Same as (i), except that A’s contract with Y expressly provides that in fulfilling the contract A “may not include parts or components produced or manufactured in boycotted country X.”
A may agree to and comply with this contract provision, because Y prohibits the importation of goods from X. However, A may not furnish negative certifications regarding the origin of components in response to import and shipping document requirements.
(iii) A, a U.S. building contractor, is awarded a contract to construct a plant in boycotting country Y. A accepts bids on goods required under the contract, and the lowest bid is made by B, a business concern organized under the laws of X, a country boycotted by Y. Y prohibits the import of goods produced by companies organized under the laws of X.
For purposes of this contract, A may reject B’s bid and accept another, because B’s goods would be refused entry into Y because of Y’s boycott against X.
(iv) Same as (iii), except that A also rejects the low bid by B for work on a construction project in country M, a country not boycotted by Y.
This exception does not apply, because A’s action is not taken in order to comply with Y’s requirements prohibiting the import of products from boycotted country X.
(v) A, a U.S. management consulting firm, contracts to provide services to boycotting country Y. Y requests that A not employ residents or nationals of boycotted country X to provide those services.
A may agree, as a condition of the contract, not to have services furnished by nationals or residents of X, because importation of such services is prohibited by Y.
(vi) A, a U.S. company, is negotiating a contract to supply machine tools to boycotting country Y. Y insists that the contract contain a provision whereby A agrees that none of the machine tools will be produced by any business concern owned by nationals of boycotted country X, even if the business concern is organized under the laws of a non-boycotted country.
A may not agree to this provision, because it is a restriction on the import of goods produced by business concerns owned by nationals of a boycotted country even if the business concerns themselves are organized under the laws of a non-boycotted country.
(b) Shipment of goods to a boycotting country.
(1) A United States person, in shipping goods to a boycotting country, may comply or agree to comply with requirements of that country which prohibit the shipment of goods:
(i) On a carrier of the boycotted country; or
(ii) By a route other than that prescribed by the boycotting country or the recipient of the shipment.
(2) A specific request that a United States person comply or agree to comply with requirements concerning the use of carriers of a boycotted country is not necessary if the United States person knows, or has reason to know, that the use of such carriers for shipping goods to the boycotting country is prohibited by requirements of the boycotting country. This exception applies whether a boycotting country or the purchaser of the shipment:
(i) Explicitly states that the shipment should not pass through a port of the boycotted country; or
(ii) Affirmatively describes a route of shipment that does not include a port in the boycotted country.
(3) For purposes of this exception, the term carrier of a boycotted country means a carrier which flies the flag of a boycotted country or which is owned, chartered, leased, or operated by a boycotted country or by nationals or residents of a boycotted country.
The following examples are intended to give guidance in determining the circumstances in which compliance with import and shipping document requirements of a boycotting country is permissible. They are illustrative, not comprehensive.
(i) A is a U.S. exporter from whom boycotting country Y is importing goods. Y directs that the goods not pass through a port of boycotted country X.
A may comply with Y’s shipping instructions, because they pertain to the route of shipment of goods being shipped to Y.
(ii) A, a U.S. fertilizer manufacturer, receives an order from boycotting country Y for fertilizer. Y specifies in the order that A may not ship the fertilizer on a carrier of boycotted country X.
A may comply with this request, because it pertains to the carrier of a boycotted country.
(iii) B, a resident of boycotting country Y, orders textile goods from A, a U.S. distributor, specifying that the shipment must not be made on a carrier owned or leased by nationals of boycotted country X and that the carrier must not pass through a port of country X enroute to Y.
A may comply or agree to comply with these requests, because they pertain to the shipment of goods to Y on a carrier of a boycotted country and the route such shipment will take.
(iv) Boycotting country Y orders goods from A, a U.S. retail merchant. The order specifies that the goods shipped by A “may not be shipped on a carrier registered in or owned by boycotted country X.”
A may agree to this contract provision, because it pertains to the carrier of a boycotted country.
(v) Boycotting country Y orders goods from A, a U.S. pharmaceutical company, and requests that the shipment not pass through a port of country P, which is not a country boycotted by Y.
This exception does not apply in a non-boycotting situation. A may comply with the shipping instructions of Y, because in doing so he would not violate any prohibition of this part.
(vi) Boycotting country Y orders goods from A, a U.S. manufacturer. The order specifies that goods shipped by A “must not be shipped on vessels blacklisted by country Y”.
A may not agree to comply with this condition because it is not a restriction limited to the use of carriers of the boycotted country.
(c) Import and shipping document requirements.
(1) A United States person, in shipping goods to a boycotting country, may comply or agree to comply with import and shipping document requirements of that country, with respect to:
(i) The country or origin of the goods;
(ii) The name and nationality of the carrier;
(iii) The route of the shipment;
(iv) The name, residence, or address of the supplier of the shipment;
(v) The name, residence, or address of the provider of other services.
(2) Such information must be stated in positive, non-blacklisting, non-exclusionary terms except for information with respect to the names or nationalities of carriers or routes of shipment, which may continue to be stated in negative terms in conjunction with shipments to a boycotting country, in order to comply with precautionary requirements protecting against war risks or confiscation.
The following examples are intended to give guidance in determining the circumstances in which compliance with the import requirements of a boycotting country is permissible. They are illustrative, not comprehensive.
(i) Boycotting country Y contracts with A, a U.S. petroleum equipment manufacturer, for certain equipment. Y requires that goods being imported into Y must be accompanied by a certification that the goods being supplied did not originate in boycotted country X.
A may not supply such a certification in negative terms but may identify instead the country of origin of the goods in positive terms only.
(ii) Same as (i), except that Y requires that the shipping documentation accompanying the goods specify the country of origin of the goods.
A may furnish the information.
(iii) [Reserved]
(iv) A, a U.S. apparel manufacturer, has contracted to sell certain of its products to B, a national of boycotting country Y. The form that must be submitted to customs officials of Y requires the shipper to certify that the goods contained in the shipment have not been supplied by “blacklisted” persons.
A may not furnish the information in negative terms but may certify, in positive terms only, the name of the supplier of the goods.
(v) Same as (iv), except the customs form requires certification that the insurer and freight forwarder used are not “blacklisted.”
A may not comply with the request but may supply a certification stating, in positive terms only, the names of the insurer and freight forwarder.
(vi) A, a U.S. petrochemical manufacturer, executes a sales contract with B, a resident of boycotting country Y. A provision of A’s contract with B requires that the bill of lading and other shipping documents contain certifications that the goods have not been shipped on a “blacklisted” carrier.
A may not agree to supply a certification that the carrier is not “blacklisted” but may certify the name of the carrier in positive terms only.
(vii) Same as (vi), except that the contract requires certification that the goods will not be shipped on a carrier which flies the flag of, or is owned, chartered, leased, or operated by boycotted country X, or by nationals or residents of X.
Such a certification, which is a reasonable requirement to protect against war risks or confiscation, may be furnished at any time.
(viii) Same as (vi), except that the contract requires that the shipping documents certify the name of the carrier being used.
A may, at any time, supply or agree to supply the requested documentation regarding the name of the carrier, either in negative or positive terms.
(ix) Same as (vi), except that the contract requires a certification that the carrier will not call at a port in boycotted country X before making delivery in Y.
Such a certification, which is a reasonable requirement to protect against war risks or confiscation, may be furnished at any time.
(x) Same as (vi), except that the contract requires that the shipping documents indicate the name of the insurer and freight forwarder.
A may comply at any time, because the statement is not required to be made in negative or blacklisting terms.
(xi) A, a U.S. exporter, is negotiating a contract to sell bicycles to boycotting country Y. Y insists that A agree to certify that the goods will not be shipped on a vessel which has ever called at a port in boycotted country X.
As distinguished from a certification that goods will not be shipped on a vessel which will call enroute at a port of boycotted country X, such a certification is not a reasonable requirement to protect against war risks or confiscation, and, hence, may not be supplied.
(xii) Same as (xi), except that Y insists that A agree to certify that the goods will not be shipped on a carrier that is ineligible to enter Y’s waters.
Such a certification, which is not a reasonable requirement to protect against war risks or confiscation may not be supplied.
(d) Unilateral and specific selection.
(1) A United States person may comply or agree to comply in the normal course of business with the unilateral and specific selection by a boycotting country, a national of a boycotting country, or a resident of a boycotting country (including a United States person who is a bona fide resident of a boycotting country) of carriers, insurers, suppliers of services to be performed within the boycotting country, or specific goods, provided that with respect to services, it is necessary and customary that a not insignificant part of the services be performed within the boycotting country. With respect to goods, the items, in the normal course of business, must be identifiable as to their source or origin at the time of their entry into the boycotting country by (a) uniqueness of design or appearance or (b) trademark, trade name, or other identification normally on the items themselves, including their packaging.
(2) This exception pertains to what is permissible for a United States person who is the recipient of a unilateral and specific selection of goods or services to be furnished by a third person. It does not pertain to whether the act of making such a selection is permitted; that question is covered, with respect to United States persons, in paragraph (g) of this section on “Compliance with Local Law.” Nor does it pertain to the United States person who is the recipient of an order to supply its own goods or services. Nothing in this part prohibits or restricts a United States person from filling an order himself, even if he is selected by the buyer on a boycott basis (e.g., because he is not blacklisted), so long as he does not himself take any action prohibited by this part.
(3) In order for this exception to apply, the selection with which a United States person wishes to comply must be unilateral and specific.
(4) A “specific” selection is one which is stated in the affirmative and which specifies a particular supplier of goods or services.
(5) A “unilateral” selection is one in which the discretion in making the selection is exercised by the boycotting country buyer. If the United States person who receives a unilateral selection has provided the buyer with any boycott-based assistance (including information for purposes of helping the buyer select someone on a boycott basis), then the buyer’s selection is not unilateral, and compliance with that selection by a United States person does not come within this exception.
(6) The provision of so-called “pre-selection” or “pre-award” services, such as providing lists of qualified suppliers, subcontractors, or bidders, does not, in and of itself, destroy the unilateral character of a selection, provided such services are not boycott-based. Lists of qualified suppliers, for example, must not exclude anyone because he is blacklisted. Moreover, such services must be of the type customarily provided in similar transactions by the firm (or industry of which the firm is a part) as measured by the practice in non-boycotting as well as boycotting countries. If such services are not customarily provided in similar transactions or such services are provided in such a way as to exclude blacklisted persons from participating in a transaction or diminish their opportunity for such participation, then the services may not be provided without destroying the unilateral character of any subsequent selection.
(7) In order for this exception to be available, the unilateral and specific selection must have been made by a boycotting country, or by a national or resident of a boycotting country. Such a resident may be a United States person. For purposes of this exception, a United States person will be considered a resident of a boycotting country only if he is a bona fide resident. A United States person may be a bona fide resident of a boycotting country even if such person’s residency is temporary.
(8) Factors that will be considered in determining whether a United States person is a bona fide resident of a boycotting country include:
(i) Physical presence in the country;
(ii) Whether residence is needed for legitimate business reasons;
(iii) Continuity of the residency;
(iv) Intent to maintain the residency;
(v) Prior residence in the country;
(vi) Size and nature of presence in the country;
(vii) Whether the person is registered to do business or incorporated in the country;
(viii) Whether the person has a valid work visa; and
(ix) Whether the person has a similar presence in both boycotting and non-boycotting foreign countries in connection with similar business activities.
No one of the factors is dispositive. All the circumstances will be examined closely to ascertain whether there is, in fact, a bona fide residency. Residency established solely for purposes of avoidance of the application of this part, unrelated to legitimate business needs, does not constitute bona fide residency.
(9) The boycotting country resident must be the one actually making the selection. If a selection is made by a non-resident agent, parent, subsidiary, affiliate, home office or branch office of a boycotting country resident, it is not a selection by a resident within the meaning of this exception.
(10) A selection made solely by a bona fide resident and merely transmitted by another person to a United States person for execution is a selection by a bona fide resident within the meaning of this exception.
(11) If a United States person receives, from another person located in the United States, what may be a unilateral selection by a boycotting country customer, and knows or has reason to know that the selection is made for boycott reasons, he has a duty to inquire of the transmitting person to determine who actually made the selection. If he knows or has reason to know that the selection was made by other than a boycotting country, or a national or resident of a boycotting country, he may not comply. A course or pattern of conduct which a United States person recognizes or should recognize as consistent with boycott restrictions will create a duty to inquire.
(12) If the United States person does not know or have reason to know that the selection it receives is boycott-based, its compliance with such a selection does not offend any prohibition and this exception is not needed.
(13) This exception applies only to compliance with selections of certain types of suppliers of services-carriers, insurers, and suppliers of services to be performed “within the boycotting country.” Services to be performed wholly within the United States or wholly within any country other than the boycotting country are not covered.
(14) For purposes of this part, services are to be performed “within the boycotting country” only if they are of a type which would customarily be performed by suppliers of those services within the country of the recipient of those services, and if the part of the services performed within the boycotting country is a necessary and not insignificant part of the total services performed.
(15) What is “customary and necessary” for these purposes depends on the usual practice of the supplier of the services (or the industry of which he is a part) as measured by the practice in non-boycotting as well as boycotting countries, except where such practices are instituted to accommodate this part.
(16) This exception applies only to compliance with selections of certain types of goods – goods that, in the normal course of business, are identifiable as to their source or origin at the time of their entry into the boycotting country. The definition of “specifically identifiable goods” is the same under this section as it is in paragraph (g) of this section on “Compliance with Local Law.”
(17) Goods “specifically identifiable” in the normal course of business are those items which at the time of their entry into a boycotting country are identifiable as to source or origin by uniqueness of design or appearance; or trademark, trade name, or other identification normally on the items themselves, including their packaging. Goods are “specifically identifiable” in the normal course of business if their source or origin is ascertainable by inspection of the items themselves, including their packaging, regardless of whether inspection takes place. Goods are not considered to be “specifically identifiable” in the normal course of business if a trademark, trade name, or other form of identification not normally present is added to the items themselves, including their packaging, to accommodate this part.
(18) If a unilateral selection meets the conditions described in paragraph (d) of this section, the United States person receiving the unilateral selection may comply or agree to comply, even if he knows or has reason to know that the selection was boycott-based. However, no United States person may comply or agree to comply with any unilateral selection if he knows or has reason to know that the purpose of the selection is to effect discrimination against any United States person on the basis of race, religion, sex, or national origin.
The following examples are intended to give guidance in determining what constitutes a unilateral selection and the circumstances in which compliance with such a selection is permissible. They are illustrative, not comprehensive.
(i) A, a U.S. manufacturer of road-grading equipment, is asked by boycotting country Y to ship goods to Y on U.S. vessel B, a carrier which is not blacklisted by Y. A knows or has reason to know that Y’s selection of B is boycott-based.
A may comply with Y’s request, or may agree to comply as a condition of the contract, because the selection is specific and unilateral.
(ii) A, a U.S. contractor building an industrial facility in boycotting country Y is asked by B, a resident of Y, to use C as the supplier of air conditioning equipment to be used in the facility. C is not blacklisted by country Y. A knows or has reason to know that B’s request is boycott-based.
A may comply with B’s request, or may agree to comply as a condition of the contract, because the selection of C is specific and unilateral.
(iii) A, a U.S. manufacturer of automotive equipment, is asked by boycotting country Y not to ship its goods to Y on U.S. carriers, B, C, or D. Carriers B, C, and D are blacklisted by boycotting country Y. A knows or has reason to know that Y’s request is boycott-based.
A may not comply or agree to comply with Y’s request, because no specific selection of any particular carrier has been made.
(iv) A, a U.S. exporter shipping goods ordered by boycotting country Y, is provided by Y with a list of eligible U.S. insurers from which A may choose in insuring the shipment of its goods. A knows or has reason to know that the list was compiled on a boycott basis.
A may not comply or agree to comply with Y’s request that A choose from among the eligible insurers, because no specific selection of any particular insurer has been made.
(v) A, a U.S. aircraft manufacturer, is negotiating to sell aircraft to boycotting country Y. During the negotiations, Y asks A to identify the company which normally manufactures the engines for the aircraft. A responds that they are normally manufactured by U.S. engine manufacturer B. B is blacklisted by Y. In making the purchase, Y specifies that the engines for the aircraft should be supplied by U.S. engine manufacturer C.
A may comply or agree to comply with Y’s selection of C, because Y’s selection is unilateral and specific.
(vi) A, a U.S. construction firm, is retained by an agency of boycotting country Y to build a pipeline. Y requests A to suggest qualified engineering firms to be used on-site in the construction of the pipeline. It is customary for A, regardless of where it conducts its operations, to identify qualified engineering firms to its customers so that its customers may make their own selection of the firm to be engaged. Choice of engineering firm is customarily a prerogative of the customer. A provides a list of five engineering firms, B-F, excluding no firm because it may be blacklisted, and then confers with and gives its recommendations to Y. A recommends C, because C is the best qualified. Y then selects B, because C is blacklisted.
A may comply with Y’s selection of B, because the boycott-based decision is made by Y and is unilateral and specific. Since A’s pre-award services are of the kind customarily provided in these situations, and since they are provided without reference to the boycott, they do not destroy the unilateral character of Y’s selection.
(vii) A, a U.S. aircraft manufacturer, has an order to supply a certain number of planes to boycotting country Y. In connection with the order, Y asks A to supply it with a list of qualified aircraft tire manufacturers so that Y can select the tires to be placed on the planes. This is a highly unusual request, since, in A’s worldwide business operations, choice of tires is customarily made by the manufacturer, not the customer. Nonetheless, A supplies a list of tire manufacturers, B, C, D, and E. Y chooses tire manufacturer B because B is not blacklisted. Had A, as is customary, selected the tires, company C would have been chosen. C happens to be blacklisted, and A knows that C’s blacklist status was the reason for Y’s selection of B.
A’s provision of a list of tire manufacturers for Y to choose from destroys the unilateral character of Y’s selection, because such a pre-selection service is not customary in A’s worldwide business operations.
(viii) A, a U.S. aircraft manufacturer, receives an order from U.S. company C, which is located in the United States, for the sale of aircraft to company D, a U.S. affiliate of C. D is a bona fide resident of boycotting country Y. C instructs A that “in order to avoid boycott problems,” A must use engines that are manufactured by company B, a company that is not blacklisted by Y. Engines built by B are unique in design and also bear B’s trade name.
Since A has reason to know that the selection is boycott-based, he must inquire of C whether the selection was in fact made by D. If C informs A that the selection was made by D, A may comply.
(ix) Same as (viii), except that C initially states that the designation was unilaterally and specifically made by D.
A may accept C’s statement without further investigation and may comply with the selection, because C merely transmitted D’s unilateral and specific selection.
(x) Same as (ix), except that C informs A that it, C, has selected B on behalf of or as an agent of its affiliated company resident in the boycotting country.
A may not comply with this selection, because the decision was not made by a resident of the boycotting country.
(xi) A, a U.S. management consulting firm, is advising boycotting country Y on the selection of a contracting firm to construct a plant for the manufacture of agricultural chemicals. As is customary in its business, A compiles a list of potential contractors on the basis of its evaluation of the capabilities of the respective candidates to perform the job. A has knowledge that company B is blacklisted, but provides Y with the names of companies B, C, D, and E, listing them in order of their qualifications. Y instructs A to negotiate with C.
A may comply with Y’s instruction, because Y’s selection is unilateral and specific.
(xii) A, a U.S. exporter, is asked by boycotting country Y not to ship goods on carriers B, C, or D, which are owned by nationals of and are registered in country P, a country not boycotted by Y.
A may comply or agree to comply with Y’s request even though the selection is not specific, because A does not know or have reason to know that the request is boycott-based.
In example (xii), A has violated no prohibition, because it does not know or have reason to know that Y’s instruction is boycott-based. Therefore, A could not act with the requisite intent to comply with the boycott.)
(xiii) A, a U.S. construction company, receives a contract to construct a hotel in boycotting country Y. As part of the contract, A is required to furnish Y with lists of qualified suppliers of various specifically identifiable items. A compiles lists of various qualified suppliers wholly without reference to the boycott, and thereafter Y instructs A to negotiate with, enter into contracts with, and arrange for delivery from each of the suppliers which Y designates. A knows that Y’s choices are made on a boycott basis.
A may comply with Y’s selections and carry out these post-award services for Y, because Y’s selections were unilateral and specific and A’s pre-award services were provided without reference to Y’s boycott.
(i) A, a U.S. exporter, is asked by B, a U.S. person who is a bona fide resident of boycotting country Y, to ship goods on U.S. carrier C. C is not blacklisted by Y, and A knows that B has chosen on a boycott basis in order to comply with Y’s boycott laws.
A may comply or agree to comply with B’s request, because B is a bona fide resident of Y.
(ii) A is a U.S. computer company whose subsidiary, B, is a bona fide resident of boycotting country Y. A receives an order from B for specific, identifiable products manufactured by company C in connection with a computer which B is installing in Y.
A may comply or agree to comply with B’s unilateral and specific selection, so long as the discretion was in fact exercised by B, not A.
Unilateral selection transactions involving related United States persons will be scrutinized carefully to ensure that the selection was in fact made by the bona fide resident of the boycotting country.)
(iii) A, a U.S. engineering firm, has chief engineer B as its resident engineer on a dam construction site in boycotting country Y. B’s presence at the site is necessary in order to ensure proper supervision of the project. In order to comply with local law, B selects equipment supplier C rather than D, who is blacklisted, and directs A to purchase certain specific equipment from C for use in the project.
A may comply with this unilateral selection, because the decision was made by a bona fide resident of Y.
(iv) B, a branch of U.S. bank A, is located in boycotting country Y. B is in need of office supplies and asks the home office in New York to make the necessary purchases. A contacts C, a U.S. company in the office supply business, and instructs C to purchase various items from certain specific companies and ship them directly to B. In order to avoid any difficulties for B with respect to Y’s boycott laws, A is careful to specify only non-blacklisted companies or suppliers. C knows that that was A’s purpose. C may not comply with A’s instruction, because the selection of suppliers was not made by a resident of a boycotting country.
(v) Same as (iv), except that A has given standing instructions to B that whenever it needs office supplies, it should specify certain suppliers designated by A. To avoid running afoul of Y’s boycott laws, A’s designations consist exclusively of non-blacklisted firms. A receives an order from B with the suppliers designated in accordance with A’s instructions.
A may not comply with B’s selection, because the selection was not in fact made by a bona fide resident of the boycotting country, but by a person located in the United States.
(i) A, a U.S. manufacturer, is asked by boycotting country Y to ship goods to Y on U.S. vessel B, a carrier which is not blacklisted by Y.
A may comply or agree to comply with Y’s request, because compliance with the unilateral and specific selection of carriers is expressly permitted under this exception.
(ii) A, a U.S. exporter shipping goods ordered by C, a national of boycotting country Y, is asked by C to insure the shipment through U.S. insurer B.
A may comply or agree to comply with C’s request, because compliance with the unilateral and specific selection of an insurer is expressly permitted under this exception.
(iii) A, a U.S. construction company, is hired by C, an agency of the government of boycotting country Y, to build a power plant in Y. C specifies that A should subcontract the foundation work to U.S. contractor B. Part of the foundation design work will be done by B in the United States.
A may comply or agree to comply with Y’s designation, because a necessary and not insignificant part of B’s services are to be performed within the boycotting country, and such services are customarily performed on-site.
(iv) A, a U.S. contractor, is engaged by boycotting country Y to build a power plant. Y specifies that U.S. architectural firm B should be retained by A to design the plant. In order to design the plant, it is essential that B’s personnel visit and become familiar with the site, although the bulk of the design and drawing work will be done in the United States.
A may comply or agree to comply with Y’s unilateral and specific selection of architectural firm B, because a necessary and not insignificant part of B’s services are to be performed within Y, and such on-site work is customarily involved in the provision of architectural services. The fact that the bulk of the actual work may be performed in the United States is irrelevant since the part to be performed within Y is necessary to B’s effective performance.
(v) Same as (iv), except that Y specifies that the turbine for the power plant should be designed by U.S. engineer C. It is neither customary nor necessary for C to visit the site in order to do any of his work, but C has informed A that he would probably want to visit the site in Y if he were selected for the job.
A may not comply or agree to comply with Y’s request, because, in the normal course of business, it is neither customary nor necessary for engineer C’s services to be performed in Y.
(vi) A, a U.S. aircraft manufacturer, receives a contract from boycotting country Y to manufacture jet engines for Y’s use. Y specifies that the engines should be designed by U.S. industrial engineering firm B.
A may not comply or agree to comply with Y’s request, because, in the normal course of business, the services will not be performed in Y.
(vii) U.S. company A has a contract to supply specially designed road graders to boycotting country Y. Y has instructed A that it should engage engineering firm B in the design work rather than engineering firm C, which A normally uses, because C is blacklisted. When A contacts B, B informs A that one of B’s personnel customarily visits the location in which any equipment B designs is used after it is in use, in order to determine how good a design job B has done. Such visits are necessary from B’s point of view to provide a check on the quality of its work, and they are necessary from Y’s point of view because they make it possible for Y to discuss possible design changes should deficiencies be detected.
A may not comply with Y’s selection of B, because the services which B would perform in Y are an insignificant part of the total services to be performed by B.
(i) A, a U.S. contractor, is constructing an apartment complex, on a turnkey basis, for boycotting country Y. Y instructs A to use only kitchen appliances manufactured by U.S. company B in completing the project. The appliances normally bear the manufacturer’s name and trademark.
A may comply with Y’s selection of B, because Y’s unilateral and specific selection is of goods identifiable as to source or origin in the normal course of business at the time of their entry into Y.
(ii) Same as (i), except that Y directs A to use lumber manufactured only by U.S. company C. In the normal course of business, C neither stamps its name on the lumber nor identifies itself as the manufacturer on the packaging. In addition, normal export packaging does not identify the manufacturer.
A may not comply with Y’s selection, because the goods selected are not identifiable by source or origin in the normal course of business at the time of their entry into Y.
(iii) B, a U.S. contractor who is a bona fide resident of boycotting country Y, is engaged in building roads. B retains the services of A, a U.S. engineering firm, to assist it in procuring construction equipment. B directs A to purchase road graders only from manufacturer C because other road grader manufacturers which A might use are blacklisted. C’s road graders normally bear C’s insignia.
A may comply with B’s selection of C, because the goods selected are identifiable by source or origin in the normal course of business at the time of their entry into Y.
(iv) A, a U.S. company, manufactures computer-operated machine tools. The computers are mounted on a separate bracket on the side of the equipment and are readily identifiable by brand name imprinted on the equipment. There are five or six U.S. manufacturers of such computers which will function interchangeably to operate the machine tools manufactured by A. B, a resident of boycotting country Y, contracts to buy the machine tools manufactured by A on the condition that A incorporate, as the computer drive, a computer manufactured by U.S. company C. B’s designation of C is made to avoid boycott problems which could be caused if computers manufactured by some other company were used.
A may comply with B’s designation of C, because the goods selected are identifiable by source or origin in the normal course of business at the time of their entry into Y.
(v) A, a U.S. wholesaler of electronic equipment, receives an order from B, a U.S. manufacturer of radio equipment, who is a bona fide resident of boycotting country Y. B orders a variety of electrical components and specifies that all transistors must be purchased from company C, which is not blacklisted by Y. The transistors requested by B do not normally bear the name of the manufacturer; however, they are typically shipped in cartons, and C’s name and logo appear on the cartons.
A may comply with B’s selection, because the goods selected by B are identifiable as to source or origin in the normal course of business at the time of their entry into Y by virtue of the containers or packaging used.
(vi) A, a U.S. computer manufacturer, receives an order for a computer from B, a university in boycotting country Y. B specifies that certain integrated circuits incorporated in the computer must be supplied by U.S. electronics company C. These circuits are incorporated into the computer and are not visible without disassembling the computer.
A may not comply or agree to comply with B’s specific selection of these components, because they are not identifiable as to their source or origin in the normal course of business at the time of their entry into Y.
(vii) A, a U.S. clothing manufacturer, receives an order for shirts from B, a retailer resident in boycotting country Y. B specifies that the shirts are to be manufactured from cotton produced by U.S. farming cooperative C. Such shirts will not identify C or the source of the cotton.
A may not comply or agree to comply with B’s designation, because the cotton is not identifiable as to source or origin in the normal course of business at the time of entry into Y.
(viii) A, a U.S. contractor, is retained by B, a construction firm located in and wholly-owned by boycotting country Y, to assist B in procuring construction materials. B directs A to purchase a range of materials, including hardware, tools, and trucks, all of which bear the name of the manufacturer stamped on the item. In addition, B directs A to purchase steel beams manufactured by U.S. company C. The name of manufacturer C normally does not appear on the steel itself or on its export packaging.
A may comply with B’s selection of the hardware, tools, and trucks, because they are identifiable as to source or origin in the normal course of business at the time of entry into Y. A may not comply with B’s selection of steel beams, because the goods are not identifiable as to source or origin by trade name, trademark, uniqueness or packaging at the time of their entry into Y.
(i) A, a U.S. paper manufacturer, is asked by boycotting country Y to ship goods to Y on U.S. vessel B. Y states that the reason for its choice of B is that, unlike U.S. vessel C, B is not owned by persons of a particular faith.
A may not comply or agree to comply with Y’s request, because A has reason to know that the purpose of the selection is to effect religious discrimination against a United States person.
(e) Shipment and transshipment of exports pursuant to a boycotting country’s requirements.
(1) A United States person may comply or agree to comply with the export requirements of a boycotting country with respect to shipments or transshipments of exports to:
(i) A boycotted country;
(ii) Any business concern of a boycotted country;
(iii) Any business concern organized under the laws of a boycotted country; or
(iv) Any national or resident of a boycotted country.
(2) This exception permits compliance with restrictions which a boycotting country may place on direct exports to a boycotted country; on indirect exports to a boycotted country (i.e., those that pass via third parties); and on exports to residents, nationals, or business concerns of, or organized under the laws of, a boycotted country, including those located in third countries.
(3) This exception also permits compliance with restrictions which a boycotting country may place on the route of export shipments when the restrictions are reasonably related to preventing the export shipments from coming into contact with or under the jurisdiction of the boycotted country. This exception applies whether a boycotting country or the vendor of the shipment:
(i) Explicitly states that the shipment should not pass through the boycotted country enroute to its final destination; or
(ii) Affirmatively describes a route of shipment that does not include the boycotted country.
(4) A United States person may not, under this exception, refuse on an across-the-board basis to do business with a boycotted country or a national or resident of a boycotted country.
The following examples are intended to give guidance in determining the circumstances in which compliance with the export requirements of a boycotting country is permissible. They are illustrative, not comprehensive.
(i) A, a U.S. petroleum company, exports petroleum products to 20 countries, including the United States, from boycotting country Y. Country Y’s export regulations require that products not be exported from Y to boycotted country X.
A may agree to and comply with Y’s regulations with respect to the export of goods from Y to X.
(ii) Same as (i), except that Y’s export regulations require that goods not be exported from boycotting country Y to any business concern organized under the laws of boycotted country X.
A may agree to and comply with Y’s regulations with respect to the export of goods from Y to a business concern organized under the laws of X, even if such concern is located in a country not involved in Y’s boycott of X.
(iii) B, the operator of a storage facility in country M, contracts with A, a U.S. carrier, for the shipment of certain goods manufactured in boycotting country Y. A’s contract with B contains a provision stating that the goods to be transported may not be shipped or transshipped to boycotted country X. B informs A that this provision is a requirement of C, the manufacturer of goods who is a resident of boycotting country Y. Country M is not boycotted by Y.
A may agree to and comply with this provision, because such a provision is required by the export regulations of boycotting country Y in order to prevent shipment of Y-origin goods to a country boycotted by Y.
(iv) A, a U.S. petroleum refiner located in the United States, purchases crude oil from boycotting country Y. A has a branch operation in boycotted country X. Y requires, as a condition of sale, that A agree not to ship or transship the crude oil or products refined in Y to A’s branch in X.
A may agree to and comply with these requirements, because they are export requirements of Y designed to prevent Y-origin products from being shipped to a boycotted country.
(v) A, a U.S. company, has a petrochemical plant in boycotting country Y. As a condition of securing an export license from Y, A must agree that it will not ship or permit transshipment of any of its output from the plant in Y to any companies which Y lists as being owned by nationals of boycotted country X.
A may agree to this condition, because it is a restriction designed to prevent Y-origin products from being exported to a business concern of boycotted country X or to nationals of boycotted country X.
(vi) Same as (v), except that the condition imposed on A is that Y-origin goods may not be shipped or permitted to be transshipped to any companies which Y lists as being owned by persons whose national origin is X.
A may not agree to this condition, because it is a restriction designed to prevent Y-origin goods from being exported to persons of a particular national origin rather than to residents or nationals of a particular boycotted country.
(vii) A, a U.S. petroleum company, exports petroleum products to 20 countries, including the United States, from boycotting country Y. Y requires, as a condition of sale, that A not ship the products to be exported from Y to or through boycotted country X.
A may agree to and comply with this requirement because it is an export requirement of Y designed to prevent Y-origin products from coming into contact with or under the jurisdiction of a boycotted country.
(viii) Same as (vii), except that boycotting country Y’s export regulations require that products to be exported from Y not pass through a port of boycotted country X.
A may agree to and comply with Y’s regulations prohibiting Y-origin exports from passing through a port at boycotted country X, because they are export requirements of Y designed to prevent Y-origin products from coming into contact with or under the jurisdiction of a boycotted country.
(ix) Same as (vii), except that Y’s export regulations require that A not transship the exported products “in or at” boycotted country X.
A may agree to and comply with Y’s regulations with respect to the transshipment of goods “in or at” X, because they are export requirements of Y designed to prevent Y-origin products from coming into contact with or under the jurisdiction of a boycotted country.
(f) Immigration, passport, visa, or employment requirements of a boycotting country.
(1) A United States individual may comply or agree to comply with the immigration, passport, visa, or employment requirements of a boycotting country, and with requests for information from a boycotting country made to ascertain whether such individual meets requirements for employment within the boycotting country, provided that he furnishes information only about himself or a member of his family, and not about any other United States individual, including his employees, employers, or co-workers.
(2) For purposes of this section, a United States individual means a person who is a resident or national of the United States. Family means immediate family members, including parents, siblings, spouse, children, and other dependents living in the individual’s home.
(3) A United States person may not furnish information about its employees or executives, but may allow any individual to respond on his own to any request for information relating to immigration, passport, visa, or employment requirements. A United States person may also perform any ministerial acts to expedite processing of applications by individuals. These include informing employees of boycotting country visa requirements at an appropriate time; typing, translation, messenger and similar services; and assisting in or arranging for the expeditious processing of applications. All such actions must be undertaken on a non-discriminatory basis.
(4) A United States person may proceed with a project in a boycotting country even if certain of its employees or other prospective participants in a transaction are denied entry for boycott reasons. But no employees or other participants may be selected in advance in a manner designed to comply with a boycott.
The following examples are intended to give guidance in determining the circumstances in which compliance with immigration, passport, visa, or employment requirements is permissible. They are illustrative, not comprehensive.
(i) A, a U.S. individual employed by B, a U.S. manufacturer of sporting goods with a plant in boycotting country Y, wishes to obtain a work visa so that he may be assigned to the plant in Y. Country Y’s immigration laws specify that anyone wishing to enter the country or obtain a visa to work in the country must supply information about his religion. This information is required for boycott purposes.
A may furnish such information, because it is required by Y’s immigration laws.
(ii) Same as (i), except that A is asked to supply such information about other employees of B.
A may not supply this information, because it is not information about himself or his family.
(iii) A, a U.S. building contractor, has been awarded a construction contract to be performed in boycotting country Y. Y’s immigration laws require that individuals applying for visas must indicate race, religion, and place of birth. The information is sought for boycott purposes. To avoid repeated rejections of applications for work visas by A’s employees, A desires to furnish to country Y a list of its prospective and current employees and required information about each so that Y can make an initial screening.
A may not furnish such a list, because A would be furnishing information about the race, religion, and national origin of its employees.
(iv) Same as (iii), except that A selects for work on the project those of its current employees whom it believes will be granted work visas from boycotting country Y.
A may not make a selection from among its employees in a manner designed to comply with the boycott-based visa requirements of Y, but must allow all eligible employees to apply for visas. A may later substitute an employee who obtains the necessary visa for one who has had his application rejected.
(v) Same as (iii), except that A selects employees for the project and then allows each employee individually to apply for his own visa. Two employees’ applications are rejected, and A then substitutes two other employees who, in turn, submit their own visa applications.
A may take such action, because in so doing A is not acting in contravention of any prohibition of this part.
(vi) Same as (v), except that A arranges for the translation, typing and processing of its employees’ applications, and transmits all the applications to the consulate of boycotting country Y.
A may take such ministerial actions, because in so doing A is not itself furnishing information with respect to race, religion, sex, or national origin, but is merely transmitting information furnished by its individual employees.
(vii) A, a U.S. contractor, selects U.S. subcontractor B to perform certain engineering services in connection with A’s project in boycotting country Y. The work visa application submitted by the employee whom B has proposed as chief engineer of this project is rejected by Y because his national origin is of boycotted country X. Subcontractor B thereupon withdraws.
A may continue with the project and select another subcontractor, because A is not acting in contravention of any prohibition of this part.
(g) Compliance with local law. (1) This exception contains two parts. The first covers compliance with local law with respect to a United States person’s activities exclusively within a foreign country; the second covers compliance with local import laws by United States persons resident in a foreign country. Under both parts of this exception, local laws are laws of the host country, whether derived from statutes, regulations, decrees, or other official sources having the effect of law in the host country. This exception is not available for compliance with presumed policies or understandings of policies unless those policies are reflected in official sources having the effect of law.
(2) Both parts of this exception apply only to United States persons resident in a foreign country. For purposes of this exception, a United States person will be considered to be a resident of a foreign country only if he is a bona fide resident. A United States person may be a bona fide resident of a foreign country even if such person’s residency is temporary.
(3)(i) Factors that will be considered in determining whether a United States person is a bona fide resident of a foreign country include:
(A) Physical presence in the country;
(B) Whether residence is needed for legitimate business reasons;
(C) Continuity of the residency;
(D) Intent to maintain the residency;
(E) Prior residence in the country;
(F) Size and nature of presence in the country;
(G) Whether the person is registered to do business or incorporated in the country;
(H) Whether the person has a valid work visa; and
(I) Whether the person has a similar presence in both boycotting and non-boycotting foreign countries in connection with similar business activities.
(ii) No one of the factors in paragraph (g)(3) of this section is dispositive. All the circumstances involved will be closely examined to ascertain whether there is, in fact, bona fide residency. Residency established solely for purposes of avoidance of the application of this part, unrelated to legitimate business needs, does not constitute bona fide residency.
The following examples are intended to give guidance in determining the circumstances in which a United States person may be a bona fide resident of a foreign country. For purposes of illustration, each example discusses only one or two factors, instead of all relevant factors. They are illustrative, not comprehensive.
(i) A, a U.S. radio manufacturer located in the United States, receives a tender to bid on a contract to supply radios for a hotel to be built in boycotting country Y. After examining the proposal, A sends a bid from its New York office to Y.
A is not a resident of Y, because it is not physically present in Y.
(ii) Same as (i), except that after receiving the tender, A sends its sales representative to Y. A does not usually have sales representatives in countries when it bids from the United States, and this particular person’s presence in Y is not necessary to enable A to make the bid.
A is not a bona fide resident of Y, because it has no legitimate business reasons for having its sales representative resident in Y.
(iii) A, a U.S. bank, wishes to establish a branch office in boycotting country Y. In pursuit of that objective, A’s personnel visit Y to make the necessary arrangements. A intends to establish a permanent branch office in Y after the necessary arrangements are made.
A’s personnel in Y are not bona fide residents of Y, because A does not yet have a permanent business operation in Y.
(iv) Same as (iii), except A’s personnel are required by Y’s laws to furnish certain non-discriminatory boycott information in order to establish a branch in Y.
In these limited circumstances, A’s personnel may furnish the non-discriminatory boycott information necessary to establish residency to the same extent a U.S. person who is a bona fide resident in that country could. If this information could not be furnished in such limited circumstances, the exception would be available only to firms resident in a boycotting country before January 18, 1978.
(v) A, a U.S. construction company, receives an invitation to build a power plant in boycotting country Y. After receipt of the invitation, A’s personnel visit Y in order to survey the site and make necessary analyses in preparation for submitting a bid. The invitation requires that otherwise prohibited boycott information be furnished with the bid.
A’s personnel in Y are not bona fide residents of Y, because A has no permanent business operation in Y. Therefore, A’s personnel may not furnish the prohibited information.
(vi) Same as (v), except that A is considering establishing an office in boycotting country Y. A’s personnel visit Y in order to register A to do business in that country. A intends to establish ongoing construction operations in Y. A’s personnel are required by Y’s laws to furnish certain non-discriminatory boycott information in order to register A to do business or incorporate a subsidiary in Y.
In these limited circumstances, A’s personnel may furnish non-discriminatory boycott information necessary to establish residency to the same extent a U.S. person who is a bona fide resident in that country could. If this information could not be furnished in such limited circumstances, the exception would be available only to firms resident in a boycotting country before January 18, 1978.
(vii) A, a subsidiary of U.S. oil company B, is located in boycotting country Y. A has been engaged in oil explorations in Y for a number of years.
A is a bona fide resident of Y, because of its pre-existing continuous presence in Y for legitimate business reasons.
(viii) Same as (vii), except that A has just been established in Y and has not yet begun operations.
A is a bona fide resident of Y, because it is present in Y for legitimate business reasons and it intends to reside continuously.
(ix) U.S. company A is a manufacturer of prefabricated homes. A builds a plant in boycotting country Y for purposes of assembling components made by A in the United States and shipped to Y.
A’s personnel in Y are bona fide residents of Y, because A’s plant in Y is established for legitimate business reasons, and it intends to reside continuously.
(x) U.S. company A has its principal place of business in the United States. A’s sales agent visits boycotting country Y from time to time for purposes of soliciting orders.
A’s sales agent is not a bona fide resident of Y, because such periodic visits to Y are insufficient to establish a bona fide residency.
(xi) A, a branch office of U.S. construction company B, is located in boycotting country Y. The branch office has been in existence for a number of years and has been performing various management services in connection with B’s construction operations in Y.
A is a bona fide resident of Y, because of its longstanding presence in Y and its conduct of ongoing operations in Y.
(xii) U.S. construction company A has never done any business in boycotting country Y. It is awarded a contract to construct a hospital in Y, and preparatory to beginning construction, sends its personnel to Y to set up operations.
A’s personnel are bona fide residents of Y, because they are present in Y for the purposes of carrying out A’s legitimate business purposes; they intend to reside continuously; and residency is necessary to conduct their business.
(xiii) U.S. company A manufactures furniture. All its sales in foreign countries are conducted from its offices in the United States. From time to time A has considered opening sales offices abroad, but it has concluded that it is more efficient to conduct sales operations from the United States. Shortly after the effective date of this part, A sends a sales representative to boycotting country Y to open an office in and solicit orders from Y. It is more costly to conduct operations from that office than to sell directly from the United States, but A believes that if it establishes a residence in Y, it will be in a better position to avoid conflicts with U.S. law in its sales to Y.
A’s sales representative is not a bona fide resident of Y, because the residency was established to avoid the application of this part and not for legitimate business reasons.
(xiv) Same as (xiii), except that it is in fact more efficient to have a sales office in Y. In fact, without a sales office in Y, A would find it difficult to explore business opportunities in Y. A is aware, however, that residency in Y would permit its sales representative to comply with Y’s boycott laws.
A’s sales representative is a bona fide resident of Y, because A has a legitimate business reason for establishing a sales office in Y.
(xv) U.S. company B is a computer manufacturer. B sells computers and related programming services tailored to the needs of individual clients. Because of the complex nature of the product, B must have sales representatives in any country where sales are made. B has a sales representative, A, in boycotting country Y. A spends two months of the year in Y, and the rest of the year in other countries. B has a permanent sales office from which A operates while in Y, and the sales office is stocked with brochures and other sales materials.
A is a bona fide resident of Y, because his presence in Y is necessary to carry out B’s legitimate business purposes; B maintains a permanent office in Y; and B intends to continue doing business in Y in the future.
(xvi) A, a U.S. construction engineering company, is engaged by B, a U.S. general contracting company, to provide services in connection with B’s contract to construct a hospital complex in boycotting country Y. In order to perform those services, A’s engineers set up a temporary office in a trailer on the construction site in Y. A’s work is expected to be completed within six months.
A’s personnel in Y are bona fide residents of Y, because A’s on-site office is necessary to the performance of its services for B, and because A’s personnel are continuously there.
(xvii) A, a U.S. company, sends one of its representatives to boycotting country Y to explore new sales possibilities for its line of transistor radios. After spending several weeks in Y, A’s representative rents a post office box in Y, to which all persons interested in A’s products are directed to make inquiry.
A is not a bona fide resident of Y, because rental of a post office box is not a sufficient presence in Y to constitute residency.
(xviii) A, a U.S. computer company, has a patent and trademark registered in the United States. In order to obtain registration of its patent and trademark in boycotting country Y, A is required to furnish certain non-discriminatory boycott information.
A may not furnish the information, because A is not a bona fide resident of Y.
(h) Activities exclusively within a foreign country. (1) Any United States person who is a bona fide resident of a foreign country, including a boycotting country, may comply or agree to comply with the laws of that country with respect to his activities exclusively within that country. These activities include:
(i) Entering into contracts which provide that local law applies or governs, or that the parties will comply with such laws;
(ii) Employing residents of the host country;
(iii) Retaining local contractors to perform work within the host country;
(iv) Purchasing or selling goods or services from or to residents of the host country; and
(v) Furnishing information within the host country.
(2) Activities exclusively within the country do not include importing goods or services from outside the host country, and, therefore, this part of the exception does not apply to compliance with import laws in connection with importing goods or services.
The following examples are intended to give guidance in determining the circumstances in which compliance with local law is permissible. They are illustrative, not comprehensive.
(i) U.S. construction company A, a bona fide resident of boycotting country Y, has a contract to build a school complex in Y. Pursuant to Y’s boycott laws, the contract requires A to refuse to purchase supplies from certain local merchants. While Y permits such merchants to operate within Y, their freedom of action in Y is constrained because of their relationship with boycotted country X.
A may enter into the contract, because dealings with local merchants are activities exclusively within Y.
(ii) A, a banking subsidiary of U.S. bank B, is a bona fide resident of boycotting country Y. From time to time, A purchases office supplies from the United States.
A’s purchase of office supplies is not an activity exclusively within Y, because it involves the import of goods from abroad.
(iii) A, a branch of U.S. bank B, is a bona fide resident of boycotting country Y. Under Y’s boycott laws, A is required to supply information about whether A has any dealings with boycotted country X. A compiles and furnishes the information within Y and does so of its own knowledge.
A may comply with that requirement, because in compiling and furnishing the information within Y, based on its own knowledge, A is engaging in an activity exclusively within Y.
(iv) Same as (iii), except that A is required to supply information about B’s dealings with X. From its own knowledge and without making any inquiry of B, A compiles and furnishes the information.
A may comply with that requirement, because in compiling and furnishing the information within Y, based on its own knowledge, A is engaging in an activity exclusively within Y.
(v) Same as (iv), except that in making its responses, A asks B to compile some of the information.
A may not comply, because the gathering of the necessary information takes place partially outside Y.
(vi) U.S. company A has applied for a license to establish a permanent manufacturing facility in boycotting country Y. Under Y’s boycott law, A must agree, as a condition of the license, that it will not sell any of its output to blacklisted foreign firms.
A may not comply, because the agreement would govern activities of A which are not exclusively within Y.
(i) A, a subsidiary of U.S. company B, is a bona fide resident of boycotting country Y. A manufactures air conditioners in its plant in Y. Under Y’s boycott laws, A must agree not to hire nationals of boycotted country X.
A may agree to the restriction and may abide by it with respect to its recruitment of individuals within Y, because the recruitment of such individuals is an activity exclusively within Y. However, A cannot abide by this restriction with respect to its recruitment of individuals outside Y, because this is not an activity exclusively within Y.
(ii) Same as (i), except that pursuant to Y’s boycott laws, A must agree not to hire anyone who is of a designated religion.
A may not agree to this restriction, because the agreement calls for discrimination against U.S. persons on the basis of religion. It makes no difference whether the recruitment of the U.S. persons occurs within or without Y.
The exception for compliance with local law does not apply to boycott-based refusals to employ U.S. persons on the basis of race, religion, sex, or national origin even if the activity is exclusively within the boycotting country.)
(i) Compliance with local import law. (1) Any United States person who is a bona fide resident of a foreign country, including a boycotting country, may, in importing goods, materials or components into that country, comply or agree to comply with the import laws of that country, provided that:
(i) The items are for his own use or for his use in performing contractual services within that country; and
(ii) In the normal course of business, the items are identifiable as to their source or origin at the time of their entry into the foreign country by:
(a) Uniqueness of design or appearance; or
(b) Trademark, trade name, or other identification normally on the items themselves, including their packaging.
(2) The factors that will be considered in determining whether a United States person is a bona fide resident of a foreign country are those set forth in paragraph (g) of this section. Bona fide residence of a United States company’s subsidiary, affiliate, or other permanent establishment in a foreign country does not confer such residence on such United States company. Likewise, bona fide residence of a United States company’s employee in a foreign country does not confer such residence on the entire company.
(3) A United States person who is a bona fide resident of a foreign country may take action under this exception through an agent outside the country, but the agent must act at the direction of the resident and not exercise his own discretion. Therefore, if a United States person resident in a boycotting country takes action to comply with a boycotting country’s import law with respect to the importation of qualified goods, he may direct his agent in the United States on the action to be taken, but the United States agent himself may not exercise any discretion.
(4) For purposes of this exception, the test that governs whether goods or components of goods are specifically identifiable is identical to the test applied in paragraph (d) of this section on “Compliance With Unilateral and Specific Selection” to determine whether they are identifiable as to their source or origin in the normal course of business.
(5) The availability of this exception for the import of goods depends on whether the goods are intended for the United States person’s own use at the time they are imported. It does not depend upon who has title to the goods at the time of importation into a foreign country.
(6) Goods are for the United States person’s own use (including the performance of contractual services within the foreign country) if:
(i) They are to be consumed by the United States person;
(ii) They are to remain in the United States person’s possession and to be used by that person;
(iii) They are to be used by the United States person in performing contractual services for another;
(iv) They are to be further manufactured, incorporated into, refined into, or reprocessed into another product to be manufactured for another; or
(v) They are to be incorporated into, or permanently affixed as a functional part of, a project to be constructed for another.
(7) Goods acquired to fill an order for such goods from another are not for the United States person’s own use. Goods procured for another are not for one’s own use, even if the furnishing of procurement services is the business in which the United States person is customarily engaged. Nor are goods obtained for simple resale acquired for one’s own use, even if the United States person is engaged in the retail business. Likewise, goods obtained for inclusion in a turnkey project are not for one’s own use if they are not customarily incorporated into, or do not customarily become permanently affixed as a functional part of the project.
(8) This part of the local law exception does not apply to the import of services, even when the United States person importing such services is a bona fide resident of a boycotting country and is importing them for his own use. In addition, this exception is available for a United States person who is a bona fide resident of a foreign country only when the individual or entity actually present within that country takes action through the exercise of his own discretion.
(9) Use of this exception will be monitored and continually reviewed to determine whether its continued availability is consistent with the national interest. Its availability may be limited or withdrawn as appropriate. In reviewing the continued availability of this exception, the effect that the inability to comply with local import laws would have on the economic and other relations of the United States with boycotting countries will be considered.
(10) A United States person who is a bona fide resident of a foreign country may comply or agree to comply with the host country’s import laws even if he knows or has reason to know that particular laws are boycott-related. However, no United States person may comply or agree to comply with any host country law which would require him to discriminate against any United States person on the basis of race, religion, sex, or national origin, or to supply information about any United States person’s race, religion, sex, or national origin.
The following examples are intended to give guidance in determining the circumstances in which compliance with local import law is permissible. They are illustrative, not comprehensive.
(i) A, a subsidiary of U.S. company B, is a bona fide resident of boycotting country Y and is engaged in oil drilling operations in Y. In acquiring certain large, specifically identifiable products for carrying out its operations in Y, A chooses only from non-blacklisted firms because Y’s import laws prohibit the importation of goods from blacklisted firms. However, with respect to smaller items, B makes the selection on behalf of A and sends them to A in Y.
A may choose from non-blacklisted firms, because it is a U.S. person who is a bona fide resident in Y. However, because B is not resident in Y, B cannot make boycott-based selections to conform with Y’s import laws prohibiting the importation of goods from blacklisted firms.
(ii) Same as (i), except that after making its choices on the larger items, A directs B to carry out its instructions by entering into appropriate contracts and making necessary shipping arrangements.
B may carry out A’s instructions provided that A, a bona fide resident of Y, has in fact made the choice and B is exercising no discretion, but is acting only as A’s agent.
Such transactions between related companies will be scrutinized carefully. A must in fact exercise the discretion and make the selections. If the discretion is exercised by B, B would be in violation of this part.)
(iii) U.S. construction company A has a contract to build a school in boycotting country Y. A’s employees set up operations in Y for purposes of commencing construction. A’s employees in Y advise A’s headquarters in the United States that Y’s import laws prohibit importation of goods manufactured by blacklisted firms. A’s headquarters then issues invitations to bid only to non-blacklisted firms for certain specifically identifiable goods.
A’s headquarters’ choice of non-blacklisted suppliers is not a choice made by a U.S. person who is a bona fide resident of Y, because the discretion in issuing the bids was exercised in the United States, not in Y.
(iv) Same as (iii), except that A’s employees in Y actually make the decision regarding to whom the bids should be issued.
The choices made by A’s employees are choices made by U.S. persons who are bona fide residents of Y, because the discretion in choosing was exercised solely in Y.
Choices purportedly made by employees of U.S. companies who are resident in boycotting countries will be carefully scrutinized to ensure that the discretion was exercised entirely in the boycotting country.)
The test and examples as to what constitutes specifically identifiable goods are identical to those applicable under paragraph (d) of this section on “Compliance With Unilateral Selection.”
(i) A, a subsidiary of U.S. company B, is a bona fide resident of boycotting country Y. A plans to import computer operated machine tools to be installed in its automobile plant in boycotting country Y. The computers are mounted on a separate bracket on the side of the equipment and are readily identifiable by brand name. A orders the tools from U.S. supplier C and specifies that C must incorporate computers manufactured by D, a non-blacklisted company. A would have chosen computers manufactured by E, except that E is blacklisted, and Y’s import laws prohibit the importation of goods manufactured by blacklisted firms.
A may refuse to purchase E’s computers, because A is importing the computers for its own use in its manufacturing operations in Y.
(ii) A, a subsidiary of U.S. company B, is a bona fide resident of boycotting country Y. To meet the needs of its employees in Y, A imports certain specifically identifiable commissary items for sale, such as cosmetics; and canteen items, such as candy. In selecting such items for importation into Y, A chooses items made only by non-blacklisted firms, because Y’s import laws prohibit importation of goods from blacklisted firms.
A may import these items only from non-blacklisted firms, because the importation of goods for consumption by A’s employees is an importation for A’s own use.
(iii) A, a U.S. construction company which is a bona fide resident of boycotting country Y, has a contract to build a hospital complex for the Ministry of Health in Y. Under the contract, A will be general manager of the project with discretion to choose all subcontractors and suppliers. The complex is to be built on a turnkey basis, with A retaining title to the property and bearing all financial risk until the complex is conveyed to Y. In choosing specifically identifiable goods for import, such as central air conditioning units and plate glass, A excludes blacklisted suppliers in order to comply with Y’s import laws. These goods are customarily incorporated into, or permanently affixed as a functional part of, the project.
A may refuse to deal with blacklisted suppliers of specifically identifiable goods, because importation of goods by a general contractor to be incorporated into a construction project in Y is an importation of goods for A’s own use.
(iv) Same as (iii), except that, in addition, in choosing U.S. architects and engineers to work on the project, A excludes blacklisted firms, because Y’s import laws prohibit the use of services rendered by blacklisted persons.
A may not refuse to deal with blacklisted architectural or engineering firms, because this exception does not apply to the import of services. It is irrelevant that, at some stage, the architectural or engineering drawings or plans may be brought to the site in Y. This factor is insufficient to transform such services into “goods” for purposes of this exception.
(v) Same as (iii), except that the project is to be completed on a “cost plus” basis, with Y making progress payments to A at various stages of completion.
A may refuse to deal with blacklisted suppliers of specifically identifiable goods, because the importation of goods by A to be incorporated in a project A is under contract to complete is an importation of goods for its own use. The terms of payment are irrelevant.
(vi) A, a U.S. construction company which is a bona fide resident of boycotting country Y, has a contract for the construction of an office building in Y on a turnkey basis. In choosing goods to be used or included in the office complex, A orders wallboard, office partitions, and lighting fixtures from non-blacklisted manufacturers. A likewise orders desks, office chairs, typewriters, and office supplies from non-blacklisted manufacturers.
Because they are customarily incorporated into or permanently affixed as a functional part of an office building, the wallboard, office partitions, and lighting fixtures are for A’s own use, and A may select non-blacklisted suppliers of these goods in order to comply with Y’s import laws. Because they are not customarily incorporated into or permanently affixed to the project, the desks, office chairs, typewriters, and office supplies are not for A’s own use, and A may not make boycott-based selections of the suppliers of these goods.
(vii) A, a U.S. company engaged in the business of selling automobiles, is a bona fide resident of boycotting country Y. In ordering automobiles from time to time for purposes of stocking its inventory, A purchases from U.S. manufacturer B, but not U.S. manufacturer C, because C is blacklisted. Retail sales are subsequently made from this inventory.
A’s import of automobiles from B is not an import for A’s own use, because the importation of items for general inventory in a retail sales operation is not an importation for one’s own use.
(viii) A, a U.S. company engaged in the manufacture of pharmaceutical products, is a bona fide resident of boycotting country Y. In importing chemicals for incorporation into the pharmaceutical products, A purchases from U.S. supplier B, but not U.S. supplier C, because C is blacklisted.
A may import chemicals from B rather than C, because the importation of specifically identifiable items for incorporation into another product is an importation for one’s own use.
(ix) A, a U.S. management company which is a bona fide resident of boycotting country Y, has a contract with the Ministry of Education in Y to purchase supplies for Y’s school system. From time to time, A purchases goods from abroad for delivery to various schools in Y.
A’s purchase of goods for Y’s school system does not constitute an importation of goods for A’s own use, because A is acting as a procurement agent for another. A, therefore, cannot make boycott-based selections of suppliers of such school supplies.
(x) A, a U.S. company which is a bona fide resident of boycotting country Y, has a contract to make purchases for Y in connection with a construction project in Y. A is not engaged in the construction of, or in any other activity in connection with, the project. A’s role is merely to purchase goods for Y and arrange for their delivery to Y.
A is not purchasing goods for its own use, because A is acting as a procurement agent for Y. A, therefore, cannot make boycott selections of suppliers of such goods.
(xi) A, a U.S. company which is a bona fide resident of boycotting country Y, imports specifically identifiable goods into Y for exhibit by A at a trade fair in Y. In selecting goods for exhibit, A excludes items made by blacklisted firms.
A’s import of goods for its exhibit at a trade fair constitutes an import for A’s own use. However, A may not sell in Y those goods it imported for exhibit.
(xii) A is a bona fide resident of boycotting countries Y and Z. In compliance with Y’s boycott laws, A chooses specifically identifiable goods for its oil drilling operations in Y and Z by excluding blacklisted suppliers. The goods are first imported into Y. Those purchased for A’s use in Z are then transshipped to Z.
In selecting those goods for importation into Y, A is making an import selection for its own use, even though A may use some of the imported goods in Z. Further, the subsequent shipment from Y to Z of those goods purchased for use in Z is an import into Z for A’s own use.
§ 760.4 Evasion.
(a) No United States person may engage in any transaction or take any other action, either independently or through any other person, with intent to evade the provisions of this part. Nor may any United States person assist another United States person to violate or evade the provisions of this part.
(b) The exceptions set forth in § 760.3(a) through (i) do not permit activities or agreements (express or implied by a course of conduct, including a pattern of responses) which are otherwise prohibited by this part and which are not within the intent of such exceptions. However, activities within the coverage and intent of the exceptions set forth in this part do not constitute evasion regardless of how often such exceptions are utilized.
(c) Use of any artifice, device or scheme which is intended to place a person at a commercial disadvantage or impose on him special burdens because he is blacklisted or otherwise restricted for boycott reasons from having a business relationship with or in a boycotting country will be regarded as evasion for purposes of this part.
(d) Unless permitted under one of the exceptions, use of risk of loss provisions that expressly impose a financial risk on another because of the import laws of a boycotting country may constitute evasion. If they are introduced after January 18, 1978, their use will be presumed to constitute evasion. This presumption may be rebutted by a showing that such a provision is in customary usage without distinction between boycotting and non-boycotting countries and that there is a legitimate non-boycott reason for its use. On the other hand, use of such a provision by a United States person subsequent to January 18, 1978 is presumed not to constitute evasion if the provision had been customarily used by that person prior to January 18, 1978.
(e) Use of dummy corporations or other devices to mask prohibited activity will also be regarded as evasion. Similarly, it is evasion under this part to divert specific boycotting country orders from a United States parent to a foreign subsidiary for purposes of complying with prohibited boycott requirements. However, alteration of a person’s structure or method of doing business will not constitute evasion so long as the alteration is based on legitimate business considerations and is not undertaken solely to avoid the application of the prohibitions of this part. The facts and circumstances of an arrangement or transaction will be carefully scrutinized to see whether appearances conform to reality.
The following examples are intended to give guidance to persons in determining circumstances in which this section will apply. They are illustrative, not comprehensive.
(i) A, a U.S. insurance company, receives a request from boycotting country Y asking whether it does business in boycotted country X. Because furnishing such information is prohibited, A declines to answer and as a result is placed on Y’s blacklist. The following year, A’s annual report contains new information about A’s worldwide operations, including a list of all countries in which A does business. A then mails a copy of its annual report, which has never before contained such information, to officials of the government of country Y.
Absent some business justification unrelated to the boycott for changing the annual report in this fashion, A’s action constitutes evasion of this part.
(ii) A, a U.S. construction firm resident in boycotting country Y, orders lumber from U.S. company B. A unilaterally selects B in part because U.S. lumber producer C is blacklisted by Y and C’s products are therefore not importable. In placing its order with B, A requests that B stamp its name or logo on the lumber so that A “can be certain that it is, in fact, receiving B’s products.” B does not normally so stamp its lumber, and A’s purpose in making the request is to appear to fit within the unilateral selection exception of this part.
Absent additional facts justifying A’s action, A’s action constitutes evasion of this part.
(iii) A, a U.S. company, has been selling sewing machines to boycotting country Y for a number of years. A receives a request for a negative certificate of origin from a new customer. A is aware that furnishing such certificates are prohibited; therefore, A arranges to have all future shipments run through a foreign corporation in a third country which will affix the necessary negative certificate before forwarding the machines on to Y.
A’s action constitutes evasion of this part, because it is a device to mask prohibited activity carried out on A’s behalf.
(iv) A, a U.S. company, has been selling calculators to distributor B in country C for a number of years and routinely supplies positive certificates of origin. A receives an order from country Y which requires negative certificates of origin. A arranges to make all future sales to distributor B in country C. A knows B will step in and make the sales to Y which A would otherwise have made directly. B will make the necessary negative certifications. A’s warranty, which it will continue to honor, runs to the purchaser in Y.
A’s action constitutes evasion, because the diverting of orders to B is a device to mask prohibited activity carried out on A’s behalf.
(v) A, a U.S. company, is negotiating a long-term contract with boycotting country Y to meet all Y’s medical supply needs. Y informs A that before such a contract can be concluded, A must complete Y’s boycott questionnaire. A knows that it is prohibited from answering the questionnaire so it arranges for a local agent in Y to supply the necessary information.
A’s action constitutes evasion of this part, because it is a device to mask prohibited activity carried out on A’s behalf.
(vi) A, a U.S. contractor which has not previously dealt with boycotting country Y, is awarded a construction contract by Y. Because it is customary in the construction industry for a contractor to establish an on-site facility for the duration of the project, A establishes such an office, which satisfies the requirements for bona fide residency. Thereafter, A’s office in Y takes a number of actions permitted under the compliance with local law exception.
A’s actions do not constitute evasion, because A’s facility in Y was established for legitimate business reasons.
(vii) A, a controlled foreign subsidiary of U.S. company B, is located in non-boycotting country M. A and B both make machine tools for sale in their respective marketing regions. B’s marketing region includes boycotting country Y. After assessing the requirements of this part, B decides that it can no longer make machines for sale in Y. Instead, A decides to expand its facilities in M in order to service the Y market.
The actions of A and B do not constitute evasion, because there is a legitimate business reason for their actions. It is irrelevant that the effect may be to place sales which would otherwise have been subject to this part beyond the reach of this part.
(viii) A, a U.S. manufacturer, from time to time receives purchase orders from boycotting country Y which A fills from its plant in the United States. A knows that it is about to receive an order from Y which contains a request for a certification which A is prohibited from furnishing under this part. In order to permit the certification to be made, A diverts the purchase order to its foreign subsidiary.
A’s diversion of the purchase order constitutes evasion of this part, because it is a device to mask prohibited activity carried out on A’s behalf.
(ix) A, a U.S. company, is engaged in assembling drilling rigs for shipment to boycotting country Y. Because of potential difficulties in securing entry into Y of materials supplied by blacklisted firms, A insists that blacklisted firms take a 15 percent discount on all materials which they supply to A. As a result, no blacklisted firms are willing to transact with A.
A’s insistence on the discount for materials supplied by blacklisted firms constitutes evasion of this part, because it is a device or scheme which is intended to place a special burden on blacklisted firms because of Y’s boycott.
(x) Same as (ix), except that shortly after January 18, 1978, A, a U.S. company, insists that its suppliers sign contracts which provide that even after title passes from the supplier to A, the supplier will bear the risk of loss and indemnify A if goods which the supplier has furnished are denied entry into Y for boycott reasons.
A’s action constitutes evasion of this part, because it is a device or scheme which is intended to place a special burden on blacklisted persons because of Y’s boycott.
(xi) Same as (x), except that A customarily insisted on such an arrangement with its supplier prior to January 18, 1978.
A’s action is presumed not to constitute evasion, because use of this contractual arrangement was customary for A prior to January 18, 1978.
(xii) A, a U.S. company, has a contract to supply automobile sub-assembly units to boycotting country Y. Shortly after January 18, 1978, A insists that its suppliers sign contracts which provide that even after title passes to A, the supplier will bear the risk of loss and indemnify A if goods which the supplier has furnished are denied entry into boycotting country Y for any reason.
A’s insistence on this arrangement is presumed to constitute evasion, because it is a device which is intended to place a special burden on blacklisted firms because of Y’s boycott. The presumption may be rebutted by competent evidence showing that use of such an arrangement is customary without regard to the boycotting or non-boycotting character of the country to which it relates and that there is a legitimate non-boycott business reason for its use.
(xiii) Same as (vii), except that A requires that all suppliers make in-country delivery.
A’s action does not constitute evasion, because it is an ordinary commercial practice to require in-country delivery of goods.
(xiv) Same as (xii), except that A requires that title remain with the supplier until delivery in Y has been made.
A’s action does not constitute evasion, because it is ordinary commercial practice to require that title remain with the supplier until delivery has been made. This example is distinguishable from example (xii), because in example (xii) A had insisted on an extraordinary arrangement designed to require that the risk of loss remain with the supplier even after title had passed to A.
(xv) U.S. bank A is contacted by U.S. company B to finance B’s transaction with boycotting country Y. Payment will be effected through a letter of credit in favor of B at its U.S. address. A knows that the letter of credit will contain restrictive boycott conditions which would bar its implementation by A if the beneficiary were a U.S. person. A advises B of the boycott condition and suggests to B that the beneficiary should be changed to C, a shell corporation in non-boycotting country M. The beneficiary is changed accordingly.
The actions of both A and B constitute evasion of this part, because the arrangement is a device to mask prohibited activities.
(xvi) Same as (xv), except that U.S. company B, the beneficiary of the letter of credit, arranges to change the beneficiary to B’s foreign subsidiary so that A can implement the letter of credit. A knows that this has been done.
A’s implementation of the letter of credit in the face of its knowledge of B’s action constitutes evasion of this part, because A’s action is part of a device to mask prohibited activity by both parties.
(xvii) U.S. bank A, located in the United States, is contacted by foreign company B to finance B’s transaction with boycotting country Y. B is a controlled subsidiary of a U.S. company. The transaction which is to be financed with a letter of credit payable to B at its foreign address, requires B to certify that none of its board members are of a particular religious faith. Since B cannot legally furnish the certificate, it asks A to convey the necessary information to Y through A’s bank branch in Y. Such information would be furnished wholly outside the letter of credit transaction.
A’s action constitutes evasion of this part, because it is undertaken to assist B’s violation of this part.
(xviii) U.S. bank A is asked by foreign corporation B to implement a letter of credit in favor of B so that B might perform under its long-term contract with boycotting country Y. Under the terms of the letter of credit, B is required to certify that none of its suppliers is blacklisted. A knows that it cannot implement a letter of credit with this condition, so it tells B to negotiate the elimination of this requirement from the letter of credit and instead supply the certification to Y directly.
A’s suggestion to B that it provide the negative certification to Y directly constitutes evasion of this part, because A is taking an action through another person to mask prohibited activity on A’s part.
§ 760.5 Reporting requirements.
(a) Scope of reporting requirements. (1) A United States person who receives a request to take any action which has the effect of furthering or supporting a restrictive trade practice or boycott fostered or imposed by a foreign country against a country friendly to the United States or against any United States person must report such request to the Department of Commerce in accordance with the requirements of this section. Such a request may be either written or oral and may include a request to furnish information or enter into or implement an agreement. It may also include a solicitation, directive, legend or instruction that asks for information or that asks that a United States person take or refrain from taking a particular action. Such a request shall be reported regardless of whether the action requested is prohibited or permissible under this part, except as otherwise provided by this section.
(2) For purposes of this section, a request received by a United States person is reportable if he knows or has reason to know that the purpose of the request is to enforce, implement, or otherwise further, support, or secure compliance with an unsanctioned foreign boycott or restrictive trade practice.
(i) A request received by a United States person located in the United States is reportable if it is received in connection with a transaction or activity in the interstate or foreign commerce of the United States, as determined under § 760.1(d)(1) through (5) and (18) of this part.
(ii) A request received by a United States person located outside the United States (that is, a foreign subsidiary, partnership, affiliate, branch, office, or other permanent foreign establishment which is controlled in fact by any domestic concern, as determined under § 760.1(c) of this part) is reportable if it is received in connection with a transaction or activity in the interstate or foreign commerce of the United States, as determined under § 760.1(d)(6) through (17) and (19) of this part.
(iii) A request such as a boycott questionnaire, unrelated to a particular transaction or activity, received by any United States person is reportable when such person has or anticipates a business relationship with or in a boycotting country involving the sale, purchase or transfer of goods or services (including information) in the interstate or foreign commerce of the United States, as determined under § 760.1(d) of this part.
(3) These reporting requirements apply to all United States persons. They apply whether the United States person receiving the request is an exporter, bank or other financial institution, insurer, freight forwarder, manufacturer, or any other United States person subject to this part.
(4) The acquisition of information about a boycotting country’s boycott requirements through the receipt or review of books, pamphlets, legal texts, exporters’ guidebooks and other similar publications does not constitute receipt of a reportable request for purposes of this section. In addition, a United States person who receives an unsolicited invitation to bid, or similar proposal, containing a boycott request has not received a reportable request for purposes of this section where he does not respond to the invitation to bid or other proposal.
(5) Because of the use of certain terms for boycott and non-boycott purposes; because of Congressional mandates to provide clear and precise guidelines in areas of inherent uncertainty; and because of the Department’s commitment to minimize paperwork and reduce the cost of reporting where it will not impair the Department’s ability to continue to monitor foreign boycotts, the following specific requests are not reportable:
(i) A request to refrain from shipping goods on a carrier which flies the flag of a particular country or which is owned, chartered, leased or operated by a particular country or by nationals or residents of a particular country, or a request to certify to that effect.
(ii) A request to ship goods via a prescribed route, or a request to refrain from shipping goods via a proscribed route, or a request to certify to either effect.
(iii) A request to supply an affirmative statement or certification regarding the country of origin of goods.
(iv) A request to supply an affirmative statement or certification regarding the name of the supplier or manufacturer of the goods shipped or the name of the provider of services.
(v) A request to comply with the laws of another country except where the request expressly requires compliance with that country’s boycott laws.
(vi) A request to an individual to supply information about himself or a member of his family for immigration, passport, visa, or employment purposes.
(vii) A request to supply an affirmative statement or certification indicating the destination of exports or confirming or otherwise indicating that such cargo will be unloaded or discharged at a particular destination.
(viii) A request to supply a certificate by the owner, master, charterer, or any employee thereof, that a vessel, aircraft, truck or any other mode of transportation is eligible, otherwise eligible, permitted, or allowed to enter, or not restricted from entering, a particular port, country, or group of countries pursuant to the laws, rules, or regulations of that port, country, or group of countries.
(ix) A request to supply a certificate from an insurance company stating that the insurance company has a duly authorized agent or representative within a boycotting country and/or the name and address of such agent.
(x) A request to comply with a term or condition of a transaction that provides that the vendor bear the risk of loss and indemnify the purchaser if the vendor’s goods are denied entry into a country for any reason (“risk of loss clause”) if such clause was in use by the purchaser prior to January 18, 1978.
(6) No United States person may engage in any transaction or take any other action, either independently or through any other person, with intent to evade the provisions of this part.
(7) From time to time the Department will survey domestic concerns for purposes of determining the worldwide scope of boycott requests received by their controlled foreign subsidiaries and affiliates with respect to their activities outside United States commerce. This pertains to requests which would be reportable under this section but for the fact that the activities to which the requests relate are outside United States commerce. The information requested will include the number and nature of non-reportable boycott requests received, the action(s) requested, the actions(s) taken in response and the countries in which the requests originate. The results of such surveys, including the names of those surveyed, will be made public.
(b) Manner of reporting. (1) Each reportable request must be reported. However, if more than one document (such as an invitation to bid, purchase order, or letter of credit) containing the same boycott request is received as part of the same transaction, only the first such request need be reported. Individual shipments against the same purchase order or letter of credit are to be treated as part of the same transaction. Each different boycott request associated with a given transaction must be reported, regardless of how or when the request is received.
(2) Each United States person actually receiving a reportable request must report that request. However, such person may designate someone else to report on his behalf. For example, a United States company, if authorized, may report on behalf of its controlled foreign subsidiary or affiliates; a freight forwarder, if authorized, may report on behalf of the exporter; and a bank, if authorized, may report on behalf of the beneficiary of a letter of credit. If a person designated to report a request received by another receives an identical request directed to him in connection with the same transaction, he may file one report on behalf of himself and the other person.
(3) Where a person is designated to report on behalf of another, the person receiving the request remains liable for any failure to report or for any representations made on his behalf. Further, anyone reporting on behalf of another is not relieved of his own responsibility for reporting any boycott request which he receives, even if it is an identical request in connection with the same transaction.
(4) Reports may be submitted by mail or electronically. Mailed paper reports must be submitted in duplicate to: Report Processing Staff, Office of Antiboycott Compliance, U.S. Department of Commerce, Room 6098, Washington, DC 20230. Electronic reports must be submitted in duplicate, by following the prompts on the screen, through the Office of Antiboycott Compliance Web page of the BIS Web site, http://bis.doc.gov/index.php/enforcement/oac?id=300. Each submission, whether paper or electronic, must be made in accordance with the following requirements:
(i) Where the person receiving the request is a United States person located in the United States, each report of requests must be postmarked or electronically date-stamped by the last day of the month following the calendar quarter in which the request was received (e.g., April 30 for the quarter consisting of January, February, and March).
(ii) Where the person receiving the request is a United States person located outside the United States, each report of requests must be postmarked or electronically date-stamped by the last day of the second month following the calendar quarter in which the request was received (e.g., May 31 for the quarter consisting of January, February, and March).
(5) Mailed paper reports may, at the reporting person’s option, be submitted on either a single transaction form (Form BIS-621P, Report of Request for Restrictive Trade Practice or Boycott, Single Transaction, (revised 10-89)) or on a multiple transaction form (Form BIS-6051P, Report of Request for Restrictive Trade Practice or Boycott, Multiple Transactions, (revised 10-89)). Electronic reports may be submitted only on the single transaction form, which will electronically reproduce the reporting person’s identifying information to facilitate reporting of multiple transactions.
(6) Reports, whether submitted on the paper single transaction form or on the paper multiple transaction form, or submitted electronically, must contain entries for every applicable item on the form, including whether the reporting person intends to take or has taken the action requested. If the reporting person has not decided what action he will take by the time the report is required to be filed, he must later report the action he decides to take within 10 business days after deciding. In addition, anyone filing a report on behalf of another must so indicate and identify that other person.
(7) Each report of a boycott request, whether submitted by mail or electronically, must be accompanied by two copies of the relevant page(s) of any document(s) in which the request appears (see, paragraph (c)(2) of this section). For mail submissions, the relevant pages shall be attached in paper format to the report form; for electronic submissions, the relevant pages shall be attached in PDF format to the electronic submission. Reports, whether paper or electronic, may also be accompanied by any additional information relating to the request as the reporting person desires to provide concerning his response to the request. For electronic submissions, such additional information should be provided as a PDF attachment.
(8) Records containing information relating to a reportable boycott request, including a copy of any document(s) in which the request appears, must be maintained by the recipient for a five-year period after receipt of the request. The Department may require that these materials be submitted to it or that it have access to them at any time within that period. (See part 762 of the EAR for additional recordkeeping requirements.)
(c) Disclosure of information. (1) Reports of requests received on or after October 7, 1976, as well as any accompanying documents filed with the reports, have been and will continue to be made available for public inspection and copying, except for certain proprietary information. With respect to reports of requests received on or after August 1, 1978, if the person making the report certifies that a United States person to whom the report relates would be placed at a competitive disadvantage because of the disclosure of information regarding the quantity, description, or value of any articles, materials, and supplies, including related technical data and other information, whether contained in a report or in any accompanying document(s), such information will not be publicly disclosed except upon failure by the reporting entity to edit the public inspection copy of the accompanying document(s) as provided by paragraph (c)(2) of this section, unless the Secretary of Commerce determines that the disclosure would not place the United States person involved at a competitive disadvantage or that it would be contrary to the national interest to withhold the information. In the event the Secretary of Commerce considers making such a determination concerning competitive disadvantage, appropriate notice and an opportunity for comment will be given before any such proprietary information is publicly disclosed. In no event will requests of reporting persons to withhold any information contained in the report other than that specified in this paragraph be honored.
(2) Because a copy of any document(s) accompanying the report will be made available for public inspection and copying, one copy must be submitted intact and another copy must be edited by the reporting entity to delete the same information which it certified in the report would place a United States person at a competitive disadvantage if disclosed. In addition, the reporting entity may delete from this copy information that is considered confidential and that is not required to be contained in the report (e.g., information related to foreign consignee). This copy should be conspicuously marked with the legend “Public Inspection Copy.” With respect to documents accompanying reports received by the Department on or after July 1, 1979, the public inspection copy will be made available as submitted whether or not it has been appropriately edited by the reporting entity as provided by this paragraph.
(3) Reports and accompanying documents which are available to the public for inspection and copying are located in the BIS Freedom of Information Records Inspection Facility, Room 4525, Department of Commerce, 14th Street and Constitution Avenue, N.W., Washington, D.C. 20230. Requests to inspect such documents should be addressed to that facility.
(4) The Secretary of Commerce will periodically transmit summaries of the information contained in the reports to the Secretary of State for such action as the Secretary of State, in consultation with the Secretary of Commerce, may deem appropriate for carrying out the policies in section 8(b)(2) of the Export Administration Act of 1979.
The following examples are intended to give guidance in determining what is reportable. They are illustrative, not comprehensive.
(i) A, a U.S. manufacturer, is shipping goods to boycotting country Y and is asked by Y to certify that it is not blacklisted by Y’s boycott office.
The request to A is reportable, because it is a request to A to comply with Y’s boycott requirements.
(ii) A, a U.S. manufacturing company, receives an order for tractors from boycotting country Y. Y’s order specifies that the tires on the tractors be made by B, another U.S. company. A believes Y has specified B as the tire supplier because otherwise A would have used tires made by C, a blacklisted company, and Y will not take shipment of tractors containing tires made by blacklisted companies.
A must report Y’s request for tires made by B, because A has reason to know that B was chosen for boycott reasons.
(iii) Same as (ii), except A knows that Y’s request has nothing to do with the boycott but simply reflects Y’s preference for tires made by B.
Y’s request is not reportable, because it is unrelated to Y’s boycott.
(iv) Same as (ii), except A neither knows nor has reason to know why Y has chosen B.
Y’s request is not reportable, because A neither knows nor has reason to know that Y’s request is based on Y’s boycott.
(v) A, a controlled foreign subsidiary of U.S. company B, is a resident of boycotting country Y. A is a general contractor. After being supplied by A with a list of competent subcontractors, A’s customer instructs A to use subcontractor C on the project. A believes that C was chosen because, among other things, the other listed subcontractors are blacklisted.
The instruction to A by its customer that C be used on the project is reportable, because it is a request to comply with Y’s boycott requirements.
(vi) A, a controlled foreign subsidiary of U.S. company B, is located in non-boycotting country P. A receives an order for washing machines from boycotting country Y. Y instructs A that a negative certificate of origin must accompany the shipment. The washing machines are made wholly in P, without U.S. components.
Y’s instruction to A regarding the negative certificate of origin is not reportable, because the transaction to which it relates is not in U.S. commerce.
(vii) Same as (vi), except that A obtains components from the United States for the purpose of filling the order from Y. Y’s instruction to A regarding the negative certificate of origin is reportable, because the transaction to which it relates is in U.S. commerce.
(viii) A, a U.S. construction company, receives in the mail an unsolicited invitation to bid on a construction project in boycotting country Y. The invitation to bid requires those who respond to certify that they do not have any plants or branch offices in boycotted country X. A does not respond.
A’s receipt of the unsolicited invitation to bid is not reportable, because the request does not relate to any present or anticipated business of A with or in Y.
(ix) Same as (viii), except that A receives a boycott questionnaire from a central boycott office. A does not do business in any of the boycotting countries involved, and does not anticipate doing any business in those countries. A does not respond.
A’s receipt of the boycott questionnaire is not reportable, because it does not relate to any present or anticipated business by A with or in a boycotting country.
(x) A, a U.S. manufacturer, is seeking markets in which to expand its exports. A sends a representative to boycotting country Y to explore Y’s potential as a market for A’s products. A’s representative discusses its products but does not enter into any contracts on that trip. A does, however, hope that sales will materialize in the future. Subsequently, A receives a boycott questionnaire from Y.
A’s receipt of the boycott questionnaire is reportable, because the request relates to A’s anticipated business with or in a boycotting country. For purposes of determining whether a report is required, it makes no difference whether A responds to the questionnaire, and it makes no difference that actual sales contracts are not in existence or do not materialize.
(xi) Same as (x), except that A’s representative enters into a contract to sell A’s products to a buyer in boycotting country Y. Subsequently, A receives a boycott questionnaire from Y.
A’s receipt of the boycott questionnaire is reportable, because it relates to A’s present business with or in a boycotting country. For purposes of determining whether a report is required, it makes no difference whether A responds to the questionnaire.
(xii) A, a U.S. freight forwarder, purchases an exporter’s guidebook which includes the import requirements of boycotting country Y. The guidebook contains descriptions of actions which U.S. exporters must take in order to make delivery of goods to Y.
A’s acquisition of the guidebook is not reportable, because he has not received a request from anyone.
(xiii) A, a U.S. freight forwarder, is arranging for the shipment of goods to boycotting country Y at the request of B, a U.S. exporter. B asks A to assume responsibility to assure that the documentation accompanying the shipment is in compliance with Y’s import requirements. A examines an exporters’ guidebook, determines that Y’s import regulations require a certification that the insurer of the goods is not blacklisted and asks U.S. insurer C for such a certification.
B’s request to A is reportable by A, because it constitutes a request to comply with Y’s boycott as of the time A takes action to comply with Y’s boycott requirements in response to the request. A’s request to C is reportable by C.
(xiv) A, a U.S. freight forwarder, is arranging for the shipment of U.S. goods to boycotting country Y. The manufacturer supplies A with all the necessary documentation to accompany the shipment. Among the documents supplied by the manufacturer is his certificate that he himself is not blacklisted. A transmits the documentation supplied by the manufacturer.
A’s action in merely transmitting documents received from the manufacturer is not reportable, because A has received no request to comply with Y’s boycott.
(xv) Same as (xiv), except that A is asked by U.S. exporter B to assume the responsibility to assure that the necessary documentation accompanies the shipment whatever that documentation might be. B forwards to A a letter of credit which requires that a negative certificate of origin accompany the bill of lading. A supplies a positive certificate of origin.
Both A and B must report receipt of the letter of credit, because it contains a request to both of them to comply with Y’s boycott.
(xvi) Same as (xiv), except that the manufacturer fails to supply a required negative certificate of origin, and A is subsequently asked by a consular official of Y to see to it that the certificate is supplied. A supplies a positive certificate of origin.
The consular official’s request to A is reportable by A, because A was asked to comply with Y’s boycott requirements by supplying the negative certificate of origin.
(xvii) A, a U.S. manufacturer, is shipping goods to boycotting country Y. Arrangements have been made for freight forwarder B to handle the shipment and secure all necessary shipping certifications. B notes that the letter of credit requires that the manufacturer supply a negative certificate of origin and B asks A to do so. A supplies a positive certificate of origin.
B’s request to A is reportable by A, because A is asked to comply with Y’s boycott requirements by providing the negative certificate.
(xviii) A, a controlled foreign subsidiary of U.S. company B, is a resident of boycotting country Y. A is engaged in oil exploration and drilling operations in Y. In placing orders for drilling equipment to be shipped from the United States, A, in compliance with Y’s laws, selects only those suppliers who are not blacklisted.
A’s action in choosing non-blacklisted suppliers is not reportable, because A has not received a request to comply with Y’s boycott in making these selections.
(xix) A, a controlled foreign subsidiary of U.S. company B, is seeking permission to do business in boycotting country Y. Before being granted such permission, A is asked to sign an agreement to comply with Y’s boycott laws.
The request to A is reportable, because it is a request that expressly requires compliance with Y’s boycott law and is received in connection with A’s anticipated business in Y.
(xx) A, a U.S. bank, is asked by a firm in boycotting country Y to confirm a letter of credit in favor of B, a U.S. company. The letter of credit calls for a certificate from B that the goods to be supplied are not produced by a firm blacklisted by Y. A informs B of the letter of credit, including its certification condition, and sends B a copy.
B must report the certification request contained in the letter of credit, and A must report the request to confirm the letter of credit containing the boycott condition, because both are being asked to comply with Y’s boycott.
(xxi) Same as (xx), except that the letter of credit calls for a certificate from the beneficiary that the goods will not be shipped on a vessel that will call at a port in boycotted country X before making delivery in Y.
The request is not reportable, because it is a request of a type deemed by this section to be in common use for non-boycott purposes.
(xxii) A, a U.S. company, receives a letter of credit from boycotting country Y stating that on no condition may a bank blacklisted by Y be permitted to negotiate the credit.
A’s receipt of the letter of credit is reportable, because it contains a request to A to comply with Y’s boycott requirements.
(xxiii) A, a U.S. bank, receives a demand draft from B, a U.S. company, in connection with B’s shipment of goods to boycotting country Y. The draft contains a directive that it is valid in all countries except boycotted country X.
A’s receipt of the demand draft is reportable, because it contains a request to A to comply with Y’s boycott requirements.
(xxiv) A, a U.S. exporter, receives an order from boycotting country Y. On the order is a legend that A’s goods, invoices, and packaging must not bear a six-pointed star or other symbol of boycotted country X.
A’s receipt of the order is reportable, because it contains a request to comply with Y’s boycott requirements.
(xxv) Same as (xxiv), except the order contains a statement that goods exported must not represent part of war reparations to boycotted country X.
A’s receipt of the order is reportable, because it contains a request to A to comply with Y’s boycott requirements.
(xxvi) A, a U.S. contractor, is negotiating with boycotting country Y to build a school in Y. During the course of the negotiations, Y suggests that one of the terms of the construction contract be that A agree not to import materials produced in boycotted country X. It is A’s company policy not to agree to such a contractual clause, and A suggests that instead it agree that all of the necessary materials will be obtained from U.S. suppliers. Y agrees to A’s suggestion and a contract is executed.
A has received a reportable request, but, for purposes of reporting, the request is deemed to be received when the contract is executed.
(xxvii) Same as (xxvi), except Y does not accept A’s suggested alternative clause and negotiations break off.
A’s receipt of Y’s request is reportable. For purposes of reporting, it makes no difference that A was not successful in the negotiations. The request is deemed to be received at the time the negotiations break off.
(xxviii) A, a U.S. insurance company, is insuring the shipment of drilling equipment to boycotting country Y. The transaction is being financed by a letter of credit which requires that A certify that it is not blacklisted by Y. Freight forwarder B asks A to supply the certification in order to satisfy the requirements of the letter of credit.
The request to A is reportable by A, because it is a request to comply with Y’s boycott requirements.
(xxix) A, a U.S. manufacturer, is engaged from time-to-time in supplying drilling rigs to company B in boycotting country Y. B insists that its suppliers sign contracts which provide that, even after title passes from the supplier to B, the supplier will bear the risk of loss and indemnify B if goods which the supplier has furnished are denied entry into Y for whatever reason. A knows or has reason to know that this contractual provision is required by B because of Y’s boycott, and that B has been using the provision since 1977. A receives an order from B which contains such a clause.
B’s request is not reportable by A, because the request is deemed to be not reportable by these regulations if the provision was in use by B prior to January 18, 1978.
(xxx) Same as (xxix), except that A does not know when B began using the provision.
Unless A receives information from B that B introduced the term prior to January 18, 1978, A must report receipt of the request.
(xxxi) A, a U.S. citizen, is a shipping clerk for B, a U.S. manufacturing company. In the course of his employment, A receives an order for goods from boycotting country Y. The order specifies that none of the components of the goods is to be furnished by blacklisted firms.
B must report the request received by its employee, A, acting in the scope of his employment. Although A is a U.S. person, such an individual does not have a separate obligation to report requests received by him in his capacity as an employee of B.
(xxxii) U.S. exporter A is negotiating a transaction with boycotting country Y. A knows that at the conclusion of the negotiations he will be asked by Y to supply certain boycott-related information and that such a request is reportable. In an effort to forestall the request and thereby avoid having to file a report, A supplies the information in advance.
A is deemed to have received a reportable request.
(xxxiii) A, a controlled foreign affiliate of U.S. company B, receives an order for computers from boycotting country Y and obtains components from the United States for the purpose of filling the order. Y instructs A that a negative certificate of origin must accompany the shipment.
Y’s instruction to A regarding the negative certificate of origin is reportable by A. Moreover, A may designate B or any other person to report on its behalf. However, A remains liable for any failure to report or for any representations made on its behalf.
(xxxiv) U.S. exporter A, in shipping goods to boycotting country Y, receives a request from the customer in Y to state on the bill of lading that the vessel is allowed to enter Y’s ports. The request further states that a certificate from the owner or master of the vessel to that effect is acceptable.
The request A received from his customer in Y is not reportable because it is a request of a type deemed to be not reportable by these regulations. (A may not make such a statement on the bill of lading himself, if he knows or has reason to know it is requested for a boycott purpose.)
(xxxv) U.S. exporter A, in shipping goods to boycotting country Y, receives a request from the customer in Y to furnish a certificate from the owner of the vessel that the vessel is permitted to call at Y’s ports.
The request A received from his customer in Y is not reportable because it is a request of a type deemed to be not reportable by these regulations.
(xxxvi) U.S. exporter A, in shipping goods to boycotting country Y, receives a request from the customer in Y to furnish a certificate from the insurance company indicating that the company has a duly authorized representative in country Y and giving the name of that representative.
The request A received from his customer in Y is not reportable if it was received after the effective date of these rules, because it is a request of a type deemed to be not reportable by these regulations.
Supplement No. 1 to Part 760 – Interpretations
It has come to the Department’s attention that some U.S. persons are being or may be asked to comply with new boycotting country requirements with respect to shipping and insurance certifications and certificates of origin. It has also come to the Department’s attention that some U.S. persons are being or may be asked to agree to new contractual provisions in connection with certain foreign government or foreign government agency contracts. In order to maximize its guidance with respect to section 8 of the Export Administration Act of 1979, as amended (50 U.S.C. app. 2407) and part 760 of the EAR, the Department hereby sets forth its views on these certifications and contractual clauses.
§ 760.2(d) of this part prohibits a U.S. person from furnishing or knowingly agreeing to furnish:
“Information concerning his or any other person’s past, present or proposed business relationships:
(i) With or in a boycotted country;
(ii) With any business concern organized under the laws of a boycotted country;
(iii) With any national or resident of a boycotted country; or
(iv) With any other person who is known or believed to be restricted from having any business relationship with or in a boycotting country.”
This prohibition, like all others under part 760, applies only with respect to a U.S. person’s activities in the interstate or foreign commerce of the United States and only when such activities are undertaken with intent to comply with, further, or support an unsanctioned foreign boycott. (§ 760.2(d)(5) of this part.)
This prohibition does not apply to the furnishing of normal business information in a commercial context. (§ 760.2(d)(3) of this part). Normal business information furnished in a commercial context does not cease to be such simply because the party soliciting the information may be a boycotting country or a national or resident thereof. If the information is of a type which is generally sought for a legitimate business purpose (such as determining financial fitness, technical competence, or professional experience), the information may be furnished even if the information could be used, or without the knowledge of the person supplying the information is intended to be used, for boycott purposes. (§ 760.2(d)(4) of this part).
The new certification requirements and the Department’s interpretation of the applicability of part 760 thereto are as follows:
A. Certificate of origin. A certificate of origin is to be issued by the supplier or exporting company and authenticated by the exporting country, attesting that the goods exported to the boycotting country are of purely indigenous origin, and stating the name of the factory or the manufacturing company. To the extent that the goods as described on the certificate of origin are not solely and exclusively products of their country of origin indicated thereon, a declaration must be appended to the certificate of origin giving the name of the supplier/manufacturer and declaring:
“The undersigned, ______, does hereby declare on behalf of the above-named supplier/manufacturer, that certain parts or components of the goods described in the attached certificate of origin are the products of such country or countries, other than the country named therein as specifically indicated hereunder:
Sworn to before me, this ____ day of ______, 20__. Notary Seal.”
It is the Department’s position that furnishing a positive certificate of origin, such as the one set out above, falls within the exception contained in § 760.3(c) of this part for compliance with the import and shipping document requirements of a boycotting country. See § 760.3(c) of this part and examples (i) and (ii) thereunder.
B. Shipping certificate. A certificate must be appended to the bill of lading stating: (1) Name of vessel; (2) Nationality of vessel; and (3) Owner of vessel, and declaring:
“The undersigned does hereby declare on behalf of the owner, master, or agent of the above-named vessel that said vessel is not registered in the boycotted country or owned by nationals or residents of the boycotted country and will not call at or pass through any boycotted country port enroute to its boycotting country destination.
“The undersigned further declares that said vessel is otherwise eligible to enter into the ports of the boycotting country in conformity with its laws and regulations.
Sworn to before me, this ____ day of _____, 20__. Notary Seal.”
It is the Department’s position that furnishing a certificate, such as the one set out above, stating: (1) The name of the vessel, (2) The nationality of the vessel, and (3) The owner of the vessel and further declaring that the vessel: (a) Is not registered in a boycotted country, (b) Is not owned by nationals or residents of a boycotted country, and (c) Will not call at or pass through a boycotted country port enroute to its destination in a boycotting country falls within the exception contained in § 760.3(c) for compliance with the import and shipping document requirements of a boycotting country. See § 760.3(c) and examples (vii), (viii), and (ix) thereunder.
It is also the Department’s position that the owner, charterer, or master of a vessel may certify that the vessel is “eligible” or “otherwise eligible” to enter into the ports of a boycotting country in conformity with its laws and regulations. Furnishing such a statement pertaining to one’s own eligibility offends no prohibition under this part 760. See § 760.2(f), example (xiv).
On the other hand, where a boycott is in force, a declaration that a vessel is “eligible” or “otherwise eligible” to enter the ports of the boycotting country necessarily conveys the information that the vessel is not blacklisted or otherwise restricted from having a business relationship with the boycotting country. See § 760.3(c) examples (vi), (xi), and (xii). Where a person other than the vessel’s owner, charterer, or master furnishes such a statement, that is tantamount to his furnishing a statement that he is not doing business with a blacklisted person or is doing business only with non-blacklisted persons. Therefore, it is the Department’s position that furnishing such a certification (which does not reflect customary international commercial practice) by anyone other than the owner, charterer, or master of a vessel would fall within the prohibition set forth in § 760.2(d) unless it is clear from all the facts and circumstances that the certification is not required for a boycott reason. See § 760.2(d)(3) and (4). See also part A., “Permissible Furnishing of Information,” of Supplement No. 5 to this part.
C. Insurance certificate. A certificate must be appended to the insurance policy stating: (1) Name of insurance company; (2) Address of its principal office; and (3) Country of its incorporation, and declaring:
“The undersigned, ________, does hereby certify on behalf of the above-named insurance company that the said company has a duly qualified and appointed agent or representative in the boycotting country whose name and address appear below:
Name of agent/representative and address in the boycotting country.
Sworn to before me this ____ day of ______, 20__. Notary Seal.”
It is the Department’s position that furnishing the name of the insurance company falls within the exception contained in § 760.3(c) for compliance with the import and shipping document requirements of a boycotting country. See § 760.3(c)(1)(v) and examples (v) and (x) thereunder. In addition, it is the Department’s position that furnishing a certificate, such as the one set out above, stating the address of the insurance company’s principal office and its country of incorporation offends no prohibition under this part 760 unless the U.S. person furnishing the certificate knows or has reason to know that the information is sought for the purpose of determining that the insurance company is neither headquartered nor incorporated in a boycotted country. See § 760.2(d)(1)(i).
It is also the Department’s position that the insurer, himself, may certify that he has a duly qualified and appointed agent or representative in the boycotting country and may furnish the name and address of his agent or representative. Furnishing such a statement pertaining to one’s own status offends no prohibition under this part 760. See § 760.2(f), example (xiv).
On the other hand, where a boycott is in force, a declaration that an insurer “has a duly qualified and appointed agent or representative” in the boycotting country necessarily conveys the information that the insurer is not blacklisted or otherwise restricted from having a business relationship with the boycotting country. See § 760.3(c), example (v). Therefore, it is the Department’s position that furnishing such a certification by anyone other than the insurer would fall within the prohibition set forth in § 760.2(d) unless it is clear from all the facts and circumstances that the certification is not required for a boycott reason. See § 760.2(d)(3) and (4).
The new contractual requirements and the Department’s interpretation of the applicability of part 760 thereto are as follows:
A. Contractual clause regarding import laws of boycotting country. “In connection with the performance of this contract the Contractor/Supplier acknowledges that the import and customs laws and regulations of the boycotting country shall apply to the furnishing and shipment of any products or components thereof to the boycotting country. The Contractor/Supplier specifically acknowledges that the aforementioned import and customs laws and regulations of the boycotting country prohibit, among other things, the importation into the boycotting country of products or components thereof: (1) Originating in the boycotted country; (2) Manufactured, produced, or furnished by companies organized under the laws of the boycotted country; and (3) Manufactured, produced, or furnished by nationals or residents of the boycotted country.”
It is the Department’s position that an agreement, such as the one set out in the first sentence above, that the import and customs requirements of a boycotting country shall apply to the performance of a contract does not, in and of itself, offend any prohibition under this part 760. See § 760.2(a)(5) and example (iii) under “Examples of Agreements To Refuse To Do Business.” It is also the Department’s position that an agreement to comply generally with the import and customs requirements of a boycotting country does not, in and of itself, offend any prohibition under this part 760. See § 760.2(a)(5) and examples (iv) and (v) under “Examples of Agreements To Refuse To Do Business.” In addition, it is the Department’s position that an agreement, such as the one set out in the second sentence above, to comply with the boycotting country’s import and customs requirements prohibiting the importation of products or components: (1) Originating in the boycotted country; (2) Manufactured, produced, or furnished by companies organized under the laws of the boycotted country; or (3) Manufactured, produced, or furnished by nationals or residents of the boycotted country falls within the exception contained in § 760.3(a) for compliance with the import requirements of a boycotting country. See § 760.3(a) and example (ii) thereunder.
The Department notes that a United States person may not furnish a negative certification regarding the origin of goods or their components even though the certification is furnished in response to the import and shipping document requirements of the boycotting country. See § 760.3(c) and examples (i) and (ii) thereunder, and § 760.3(a) and example (ii) thereunder.
B. Contractual clause regarding unilateral and specific selection. “The Government of the boycotting country (or the First Party), in its exclusive power, reserves its right to make the final unilateral and specific selection of any proposed carriers, insurers, suppliers of services to be performed within the boycotting country, or of specific goods to be furnished in accordance with the terms and conditions of this contract.”
It is the Department’s position that an agreement, such as the one set out above, falls within the exception contained in § 760.3(d) of this part for compliance with unilateral selections. However, the Department notes that whether a U.S. person may subsequently comply or agree to comply with any particular selection depends upon whether that selection meets all the requirements contained in § 760.3(d) of this part for compliance with unilateral selections. For example, the particular selection must be unilateral and specific, particular goods must be specifically identifiable as to their source or origin at the time of their entry into the boycotting country, and all other requirements contained in § 760.3(d) of this part must be observed.
Supplement No. 2 to Part 760 – Interpretation
The Department hereby sets forth its views on whether the furnishing of certain shipping and insurance certificates in compliance with boycotting country requirements violates the provisions of section 8 of the Export Administration Act of 1979, as amended (50 U.S.C. app. 2407) and part 760 of the EAR,
(i) “The owner, charterer or master of a vessel may certify that the vessel is ‘eligible’ or ‘otherwise eligible’ to enter into the ports of a boycotting country in conformity with its laws and regulations;”
(ii) “The insurer, himself, may certify that he has a duly qualified and appointed agent or representative in the boycotting country and may furnish the name and address of his agent or representative.”
Furnishing such certifications by anyone other than:
(i) The owner, charterer or master of a vessel, or
(ii) The insurer would fall within the prohibition set forth in § 760.2(d) of this part, “unless it is clear from all the facts and circumstances that these certifications are not required for a boycott reason.” See § 760.2(d) (3) and (4) of this part.
The Department has received from the Kingdom of Saudi Arabia a clarification that the shipping and insurance certifications are required by Saudi Arabia in order to:
(i) Demonstrate that there are no applicable restrictions under Saudi laws or regulations pertaining to maritime matters such as the age of the ship, the condition of the ship, and similar matters that would bar entry of the vessel into Saudi ports; and
(ii) Facilitate dealings with insurers by Saudi Arabian importers whose ability to secure expeditious payments in the event of damage to insured goods may be adversely affected by the absence of a qualified agent or representative of the insurer in Saudi Arabia. In the Department’s judgment, this clarification constitutes sufficient facts and circumstances to demonstrate that the certifications are not required by Saudi Arabia for boycott reasons.
On the basis of this clarification, it is the Department’s position that any United States person may furnish such shipping and insurance certificates required by Saudi Arabia without violating § 760.2(d) of this part. Moreover, under these circumstances, receipts of requests for such shipping and insurance certificates from Saudi Arabia are not reportable.
It is still the Department’s position that furnishing such a certificate pertaining to one’s own eligibility offends no prohibition under part 760. See § 760.2(f) of this part, example (xiv). However, absent facts and circumstances clearly indicating that the certifications are required for ordinary commercial reasons as demonstrated by the Saudi clarification, furnishing certifications about the eligibility or blacklist status of any other person would fall within the prohibition set forth in § 760.2(d) of this part, and receipts of requests for such certifications are reportable.
It also remains the Department’s position that where a United States person asks an insurer or carrier of the exporter’s goods to self-certify, such request offends no prohibition under this part. However, where a United States person asks anyone other than an insurer or carrier of the exporter’s goods to self-certify, such requests will be considered by the Department as evidence of the requesting person’s refusal to do business with those persons who cannot or will not furnish such a self-certification. For example, if an exporter-beneficiary of a letter of credit asks his component suppliers to self-certify, such a request will be considered as evidence of his refusal to do business with those component suppliers who cannot or will not furnish such a self-certification.
The Department wishes to emphasize that notwithstanding the fact that self-certifications are permissible, it will closely scrutinize the activities of all United States persons who provide such self-certifications, including insurers and carriers, to determine that such persons have not taken any prohibited actions or entered into any prohibited agreements in order to be able to furnish such certifications.
Supplement No. 3 to Part 760 – Interpretation
Pursuant to Article 2, Annex II of the Peace Treaty between Egypt and Israel, Egypt’s participation in the Arab economic boycott of Israel was formally terminated on January 25, 1980. On the basis of this action, it is the Department’s position that certain requests for information, action or agreement which were considered boycott-related by implication now cannot be presumed boycott-related and thus would not be prohibited or reportable under the Regulations. For example, a request that an exporter certify that the vessel on which it is shipping its goods is eligible to enter Arab Republic of Egypt ports has been considered a boycott-related request that the exporter could not comply with because Egypt has a boycott in force against Israel (see 43 FR 16969, April 21, 1978 or the 15 CFR edition revised as of January 1, 1979). Such a request after January 25, 1980 would not be presumed boycott-related because the underlying boycott requirement/basis for the certification has been eliminated. Similarly, a U.S. company would not be prohibited from complying with a request received from Egyptian government officials to furnish the place of birth of employees the company is seeking to take to Egypt, because there is no underlying boycott law or policy that would give rise to a presumption that the request was boycott-related.
U.S. persons are reminded that requests that are on their face boycott-related or that are for action obviously in furtherance or support of an unsanctioned foreign boycott are subject to the Regulations, irrespective of the country or origin. For example, requests containing references to “blacklisted companies”, “Israel boycott list”, “non-Israeli goods” or other phrases or words indicating boycott purpose would be subject to the appropriate provisions of the Department’s antiboycott regulations.
Supplement No. 4 to Part 760 – Interpretation
The question has arisen how the definition of U.S. commerce in the antiboycott regulations (15 CFR part 760) applies to a shipment of foreign-made goods when U.S.-origin spare parts are included in the shipment. Specifically, if the shipment of foreign goods falls outside the definition of U.S. commerce, will the inclusion of U.S.-origin spare parts bring the entire transaction into U.S. commerce?
Section 760.1(d)(12) provides the general guidelines for determining when U.S.-origin goods shipped from a controlled in fact foreign subsidiary are outside U.S. commerce. The two key tests of that provision are that the goods were “(i) * * * acquired without reference to a specific order from or transaction with a person outside the United States; and (ii) * * * further manufactured, incorporated into, refined into, or reprocessed into another product.” Because the application of these two tests to spare parts does not conclusively answer the U.S. commerce question, the Department is presenting this clarification.
In the cases brought to the Department’s attention, an order for foreign-origin goods was placed with a controlled in fact foreign subsidiary of a United States company. The foreign goods contained components manufactured in the United States and in other countries, and the order included a request for extras of the U.S. manufactured components (spare parts) to allow the customer to repair the item. Both the foreign manufactured product and the U.S. spare parts were to be shipped from the general inventory of the foreign subsidiary. Since the spare parts, if shipped by themselves, would be in U.S. commerce as that term is defined in the Regulations, the question was whether including them with the foreign manufactured item would bring the entire shipment into U.S. commerce. The Department has decided that it will not and presents the following specific guidance.
As used above, the term “spare parts” refers to parts of the quantities and types normally and customarily ordered with a product and kept on hand in the event they are needed to assure prompt repair of the product. Parts, components or accessories that improve or change the basic operations or design characteristics, for example, as to accuracy, capability or productivity, are not spare parts under this definition.
Inclusion of U.S.-origin spare parts in a shipment of products which is otherwise outside U.S. commerce will not bring the transaction into U.S. commerce if the following conditions are met:
(I) The parts included in the shipment are acquired from the United States by the controlled in fact foreign subsidiary without reference to a specific order from or transaction with a person outside the United States;
(II) The parts are identical to the corresponding United States-origin parts which have been manufactured, incorporated into or reprocessed into the completed product;
(III) The parts are of the quantity and type normally and customarily ordered with the completed product and kept on hand by the firm or industry of which the firm is a part to assure prompt repair of the product; and
(IV) The parts are covered by the same order as the completed product and are shipped with or at the same time as the original product.
The Department emphasizes that unless each of the above conditions is met, the inclusion of United States-origin spare parts in an order for a foreign-manufactured or assembled product will bring the entire transaction into the interstate or foreign commerce of the United States for purposes of part 760.
Supplement No. 5 to Part 760 – Interpretation
The information outlined below may be furnished in response to boycott-related requests from boycotting countries or others. This information is, in the view of the Department, not prohibited by the Regulations. Thus, a person does not have to qualify under any of the exceptions to be able to make the following statements. Such statements can be made, however, only by the person indicated and under the circumstances described. These statements should not be used as a point of departure or analogy for determining the permissibility of other types of statements. The Department’s view that these statements are not contrary to the prohibitions contained in antiboycott provisions of the Regulations is limited to the specific statement in the specific context indicated.
1. A U.S. person may always provide its own name, address, place of incorporation (“nationality”), and nature of business.
2. A U.S. person may state that it is not on a blacklist, or restricted from doing business in a boycotting country. A company may not make that statement about its subsidiaries or affiliates – only about itself. A U.S. person may not say that there is no reason for it to be blacklisted. To make that statement would provide directly or by implication information that may not be provided. A U.S. person may inquire about the reasons it is blacklisted if it learns that it is on a blacklist (see § 760.2(d) of this part example (xv)).
3. A U.S. person may describe in detail its past dealings with boycotting countries; may state in which boycotting countries its trademarks are registered; and may specify in which boycotting countries it is registered or qualified to do business. In general, a U.S. person is free to furnish any information it wishes about the nature and extent of its commercial dealings with boycotting countries.
4. A U.S. person may state that many U.S. firms or individuals have similar names and that it believes that it may be confused with a similarly named entity. A U.S. person may not state that it does or does not have an affiliation or relationship with such similarly named entity.
5. A U.S. person may state that the information requested is a matter of public record in the United States. However, the person may not direct the inquirer to the location of that information, nor may the U.S. person provide or cause to be provided such information.
Section 760.3(g), the Compliance With Local Law exception, permits U.S. persons, who are bona fide residents of a boycotting country, to take certain limited, but otherwise prohibited, actions, if they are required to do so in order to comply with local law.
Among these actions is the furnishing of non-discriminatory information. Examples (iv) through (vi) under “Examples of Bona Fide Residency” indicate that a company seeking to become a bona fide resident within a boycotting country may take advantage of the exception for the limited purpose of furnishing information required by local law to obtain resident status. Exactly when and how this exception is available has been the subject of a number of inquiries. It is the Department’s view that the following conditions must be met for a non-resident company to be permitted to furnish otherwise prohibited information for the limited purpose of seeking to become a bona fide resident:
1. The company must have a legitimate business reason for seeking to establish a branch or other resident operation in the boycotting country. (Removal from the blacklist does not constitute such a reason.)
2. The local operation it seeks to establish must be similar or comparable in nature and operation to ones the company operates in other parts of the world, unless local law or custom dictates a significantly different form.
3. The person who visits the boycotting country to furnish the information must be the official whose responsibility ordinarily includes the creation and registration of foreign operations (i.e., the chairman of the board cannot be flown in to answer boycott questions unless the chairman of the board is the corporate official who ordinarily goes into a country to handle foreign registrations).
4. The information provided must be that which is ordinarily known to the person establishing the foreign branch. Obviously, at the time of establishment, the foreign branch will have no information of its own knowledge. Rather, the information should be that which the responsible person has of his own knowledge, or that he would have with him as incidental and necessary to the registration and establishment process. As a general rule, such information would not include such things as copies of agreements with boycotted country concerns or detailed information about the person’s dealings with blacklisted concerns.
5. It is not necessary that documents prepared in compliance with this exception be drafted or executed within the boycotting country. The restrictions on the type of information which may be provided and on who may provide it apply regardless of where the papers are prepared or signed.
Supplement No. 6 to Part 760 – Interpretation
The antiboycott regulations prohibit knowing agreements to comply with certain prohibited requests and requirements of boycotting countries, regardless of how these terms are stated. Similarly, the reporting rules require that a boycott related “solicitation, directive, legend or instruction that asks for information or that asks that a United States person take or refrain from taking a particular action” be reported. Questions have frequently arisen about how particular requirements in the form of directive or instructions are viewed under the antiboycott regulations, and we believe that it will add clarity to the regulations to provide a written interpretation of how three of these terms are treated under the law. The terms in question appear frequently in letters of credit, but may also be found on purchase orders or other shipping or sale documents. They have been brought to the attention of the Department by numerous persons. The terms are, or are similar to, the following: (1) Goods of boycotted country origin are prohibited; (2) No six-pointed stars may be used on the goods, packing or cases; (3) Neither goods nor packing shall bear any symbols prohibited in the boycotting country.
(a) Goods of boycotted country origin prohibited. This term is very common in letters of credit from Kuwait and may also appear from time-to-time in invitations to bid, contracts, or other trade documents. It imposes a condition or requirement compliance with which is prohibited, but permitted by an exception under the Regulations (see § 760.2(a) and § 760.3(a)). It is reportable by those parties to the letter of credit or other transaction that are required to take or refrain from taking some boycott related action by the request. Thus the bank must report the request because it is a term or condition of the letter of credit that it is handling, and the exporter-beneficiary must report the request because the exporter determines the origin of the goods. The freight forwarder does not have to report this request because the forwarder has no role or obligation in selecting the goods. However, the freight forwarder would have to report a request to furnish a certificate that the goods do not originate in or contain components from a boycotted country. See § 760.5, examples (xii)-(xvii).
(b) No six-pointed stars may be used on the goods, packing or cases. This term appears from time-to-time on documents from a variety of countries. The Department has taken the position that the six-pointed star is a religious symbol. See § 760.2(b), example (viii) of this part. Agreeing to this term is prohibited by the Regulations and not excepted because it constitutes an agreement to furnish information about the religion of a U.S. person. See § 760.2(c) of this part. If a person proceeds with a transaction in which this is a condition at any stage of the transaction, that person has agreed to the condition in violation of the Regulations. It is not enough to ignore the condition. Exception must affirmatively be taken to this term or it must be stricken from the documents of the transaction. It is reportable by all parties to the transaction that are restricted by it. For example, unlike the situation described in (a) above, the freight forwarder would have to report this request because his role in the transaction would involve preparation of the packing and cases. The bank and exporter would both have to report, of course, if it were a term in a letter of credit. Each party would be obligated affirmatively to seek an amendment or deletion of the term.
(c) Neither goods nor packaging shall bear any symbols prohibited in the boycotting country. This term appears from time-to-time in letters of credit and shipping documents from Saudi Arabia. In our view, it is neither prohibited, nor reportable because it is not boycott-related. There is a wide range of symbols that are prohibited in Saudi Arabia for a variety of reasons, many having to do with that nation’s cultural and religious beliefs. On this basis, we do not interpret the term to be boycott related. See § 760.2(a)(5) and § 760.5(a)(5)(v) of this part.
Supplement No. 7 to Part 760 – Interpretation
When a boycotting country rejects for boycott-related reasons a shipment of goods sold by a United States person, the United States person selling the goods may return them to its inventory or may re-ship them to other markets (the United States person may not return them to the original supplier and demand restitution). The U.S. person may then make a non-boycott based selection of another supplier and provide the goods necessary to meet its obligations to the boycotting customer in that particular transaction without violating § 760.2(a) of this part. If the United States person receives another order from the same boycotting country for similar goods, the Department has determined that a boycott-based refusal by a United States person to ship goods from the supplier whose goods were previously rejected would constitute a prohibited refusal to do business under § 760.2(a) of this part. The Department will presume that filling such an order with alternative goods is evidence of the person’s refusal to deal with the original supplier.
The Department recognizes the limitations this places on future transactions with a boycotting country once a shipment of goods has been rejected. Because of this, the Department wishes to point out that, when faced with a boycotting country’s refusal to permit entry of the particular goods, a United States person may state its obligation to abide by the requirements of United States law and indicate its readiness to comply with the unilateral and specific selection of goods by the boycotting country in accordance with § 760.3(d). That section provides, in pertinent part, as follows:
“A United States person may comply or agree to comply in the normal course of business with the unilateral and specific selection by a boycotting country * * * of * * * specific goods, * * * provided that * * * with respect to goods, the items, in the normal course of business, are identifiable as to their source or origin at the time of their entry into the boycotting country by (a) uniqueness of design or appearance or (b) trademark, trade name, or other identification normally on the items themselves, including their packaging.”
The United States person may also provide certain services in advance of the unilateral selection by the boycotting country, such as the compilation of lists of qualified suppliers, so long as such services are customary to the type of business the United States person is engaged in, and the services rendered are completely non-exclusionary in character (i.e., the list of qualified suppliers would have to include the supplier whose goods had previously been rejected by the boycotting country, if they were fully qualified). See § 760.2(a)(6) of this part for a discussion of the requirements for the provision of these services.
The Department wishes to emphasize that the unilateral selection exception in § 760.3(d) of this part will be construed narrowly, and that all its requirements and conditions must be met, including the following:
The Department cautions United States persons confronted with the problem or concern over the boycott-based rejection of goods shipped to a boycotting country that the adoption of devices such as “risk of loss” clauses, or conditions that make the supplier financially liable if his or her goods are rejected by the boycotting country for boycott reasons are presumed by the Department to be evasion of the statute and regulations, and as such are prohibited by § 760.4 of this part, unless adopted prior to January 18, 1978. See § 760.4(d) of this part.
Supplement No. 8 to Part 760 – Interpretation
When United States persons (as defined by the antiboycott regulations) located within the United States purchase or sell goods or services located outside the United States, they have engaged in an activity within the foreign commerce of the United States. Although the goods or services may never physically come within the geographic boundaries of the several states or territories of the United States, legal ownership or title is transferred from a foreign nation to the United States person who is located in the United States. In the case of a purchase, subsequent resale would also be within United States commerce.
It is the Department’s view that the terms “sale” and “purchase” as used in the regulations are not limited to those circumstances where the goods or services are physically transferred to the person who acquires title. The EAR define the activities that serve as the transactional basis for U.S. commerce as those involving the “sale, purchase, or transfer” of goods or services. In the Department’s view, as used in the antiboycott regulations, “transfer” contemplates physical movement of the goods or services between the several states or territories and a foreign country, while “sale” and “purchase” relate to the movement of ownership or title.
This interpretation applies only to those circumstances in which the person located within the United States buys or sells goods or services for its own account. Where the United States person is engaged in the brokerage of foreign goods, i.e., bringing foreign buyers and sellers together and assisting in the transfer of the goods, the sale or purchase itself would not ordinarily be considered to be within U.S. commerce. The brokerage service, however, would be a service provided from the United States to the parties and thus an activity within U.S. commerce and subject to the antiboycott laws. See § 760.1(d)(3).
The Department cautions that United States persons who alter their normal pattern of dealing to eliminate the passage of ownership of the goods or services to or from the several states or territories of the United States in order to avoid the application of the antiboycott regulations would be in violation of § 760.4 of this part.
Supplement No. 9 to Part 760 – Interpretation
§ 760.3(h) of this part provides that a United States person who is a bona fide resident of a boycotting country may comply with the laws of that country with respect to his or her activities exclusively within the boycotting country. Among the types of conduct permitted by this exception is “furnishing information within the host country” § 760.3(h)(1)(v) of this part. For purposes of the discussion which follows, the Department is assuming that the person in question is a bona fide resident of the boycotting country as defined in § 760.3(g), and that the information to be provided is required by the laws or regulations of the boycotting country, as also defined in § 760.3(g) of this part. The only issue this interpretation addresses is under what circumstances the provision of information is “an activity exclusively within the boycotting country.”
The activity of “furnishing information” consists of two parts, the acquisition of the information and its subsequent transmittal. Under the terms of this exception, the information may not be acquired outside the country for the purpose of responding to the requirement for information imposed by the boycotting country. Thus, if an American company which is a bona fide resident of a boycotting country is required to provide information about its dealings with other U.S. firms, the company may not ask its parent corporation in the United States for that information, or make any other inquiry outside the boundaries of the boycotting country. The information must be provided to the boycotting country authorities based on information or knowledge available to the company and its personnel located within the boycotting country at the time the inquiry is received. See § 760.3, (h) of this part, examples (iii), (iv), and (v). Much of the information in the company’s possession (transaction and corporate records) may have actually originated outside the boycotting country, and much of the information known to the employees may have been acquired outside the boycotting country. This will not cause the information to fall outside the coverage of this exception, if the information was sent to the boycotting country or acquired by the individuals in normal commercial context prior to and unrelated to a boycott inquiry or purpose. It should be noted that if prohibited information (about business relations with a boycotted country, for example) has been forwarded to the affiliate in the boycotting country in anticipation of a possible boycott inquiry from the boycotting country government, the Department will not regard this as information within the knowledge of the bona fide resident under the terms of the exception. However, if the bona fide resident possesses the information prior to receipt of a boycott-related inquiry and obtained it in a normal commercial context, the information can be provided pursuant to this exception notwithstanding the fact that, at some point, the information came into the boycotting country from the outside.
The second part of the analysis of “furnishing information” deals with the limitation on the transmittal of the information. It can only be provided within the boundaries of the boycotting country. The bona fide resident may only provide the information to the party that the boycotting country law requires (directly or through an agent or representative within the country) so long as that party is located within the boycotting country. This application of the exception is somewhat easier, since it is relatively simple to determine if the information is to be given to somebody within the country.
Note that in discussing what constitutes furnishing information “exclusively within” the boycotting country, the Department does not address the nature of the transaction or activity that the information relates to. It is the Department’s position that the nature of the transaction, including the inception or completion of the transaction, is not material in analyzing the availability of this exception.
For example, if a shipment of goods imported into a boycotting country is held up at the time of entry, and information from the bona fide resident within that country is legally required to free those goods, the fact that the information may relate to a transaction that began outside the boycotting country is not material. The availability of the exception will be judged based on the activity of the bona fide resident within the country. If the resident provides that information of his or her own knowledge, and provides it to appropriate parties located exclusively within the country, the exception permits the information to be furnished.
Factual variations may raise questions about the application of this exception and the effect of this interpretation. In an effort to anticipate some of these, the Department has set forth below a number of questions and answers. They are incorporated as a part of this interpretation.
1. Q. Under this exception, can a company which is a U.S. person and a bona fide resident of the boycotting country provide information to the local boycott office?
A. Yes, if local law requires the company to provide this information to the boycott office and all the other requirements are met.
2. Q. If the company knows that the local boycott office will forward the information to the Central Boycott Office, may it still provide the information to the local boycott office?
A. Yes, if it is required by local law to furnish the information to the local boycott office and all the other requirements are met. The company has no control over what happens to the information after it is provided to the proper authorities. (There is obvious potential for evasion here, and the Department will examine such occurrences closely.)
3. Q. Can a U.S. person who is a bona fide resident of Syria furnish information to the Central Boycott Office in Damascus?
A. No, unless the law in Syria specifically requires information to be provided to the Central Boycott Office the exception will not apply. Syria has a local boycott office responsible for enforcing the boycott in that country.
4. Q. If a company which is a U.S. person and a bona fide resident of the boycotting country has an import shipment held up in customs of the boycotting country, and is required to provide information about the shipment to get it out of customs, may the company do so?
A. Yes, assuming all other requirements are met. The act of furnishing the information is the activity taking place exclusively within the boycotting country. The fact that the information is provided corollary to a transaction that originates or terminates outside the boycotting country is not material.
5. Q. If the U.S. person and bona fide resident of the boycotting country is shipping goods out of the boycotting country, and is required to certify to customs officials of the country at the time of export that the goods are not of Israeli origin, may he do so even though the certification relates to an export transaction?
A. Yes, assuming all other requirements are met. See number 4 above.
Supplement No. 10 to Part 760 – Interpretation
(a) The words “Persian Gulf” cannot appear on the document.
This term is common in letters of credit from Kuwait and may be found in letters of credit from Bahrain. Although more commonly appearing in letters of credit, the term may also appear in other trade documents.
It is the Department’s view that this term reflects a historical dispute between the Arabs and the Iranians over geographic place names which in no way relates to existing economic boycotts. Thus, the term is neither prohibited nor reportable under the Regulations.
(b) Certify that goods are of U.S.A. origin and contain no foreign parts.
This term appears periodically on documents from a number of Arab countries. It is the Department’s position that the statement is a positive certification of origin and, as such, falls within the exception contained in § 760.3(c) of this part for compliance with the import and shipping document requirements of a boycotting country. Even though a negative phrase is contained within the positive clause, the phrase is a non-exclusionary, non-blacklisting statement. In the Department’s view, the additional phrase does not affect the permissible status of the positive certificate, nor does it make the request reportable § 760.5(a)(5)(iii) of this part.
(c) Legalization of documents by any Arab consulate except Egyptian Consulate permitted.
This term appears from time to time in letters of credit but also may appear in various other trade documents requiring legalization and thus is not prohibited, and a request to comply with the statement is not reportable. Because a number of Arab states do not have formal diplomatic relations with Egypt, they do not recognize Egyptian embassy actions. The absence of diplomatic relations is the reason for the requirement. In the Department’s view this does not constitute an unsanctioned foreign boycott or embargo against Egypt under the terms of the Export Administration Act. Thus the term is not prohibited, and a request to comply with the statement is not reportable.
Supplement No. 11 to Part 760 – Interpretation
§ 760.5(a)(4) of this part states in part:
“In addition, a United States person who receives an unsolicited invitation to bid, or similar proposal, containing a boycott request has not received a reportable request for purposes of this section where he does not respond to the invitation to bid or other proposal.”
The Regulations do not define “unsolicited” in this context. Based on review of numerous situations, the Department has developed certain criteria that it applies in determining if an invitation to bid or other proposal received by a U.S. person is in fact unsolicited.
The invitation is not unsolicited if, during a commercially reasonable period of time preceding the issuance of the invitation, a representative of the U.S. person contacted the company or agency involved for the purpose of promoting business on behalf of the company.
The invitation is not unsolicited if the U.S. person has advertised the product or line of products that are the subject of the invitation in periodicals or publications that ordinarily circulate to the country issuing the invitation during a commercially reasonable period of time preceding the issuance of the invitation.
The invitation is not unsolicited if the U.S. person has sold the same or similar products to the company or agency issuing the invitation within a commercially reasonable period of time before the issuance of the current invitation.
The invitation is not unsolicited if the U.S. person has participated in a trade mission to or trade fair in the country issuing the invitation within a commercially reasonable period of time before the issuance of the invitation.
Under § 760.5(a)(4) of this part, the invitation is regarded as not reportable if the U.S. person receiving it does not respond. The Department has determined that a simple acknowledgment of the invitation does not constitute a response for purposes of this rule. However, an acknowledgment that requests inclusion for future invitations will be considered a response, and a report is required.
Where the person in receipt of an invitation containing a boycott term or condition is undecided about a response by the time a report would be required to be filed under the regulations, it is the Department’s view that the person must file a report as called for in the Regulations. The person filing the report may indicate at the time of filing that he has not made a decision on the boycott request but must file a supplemental report as called for in the regulations at the time a decision is made (§ 760.5(b)(6)).
Supplement No. 12 to Part 760 – Interpretation
The Department has taken the position that a U.S. person as defined by § 760.1(b) of this part may not make use of an agent to furnish information that the U.S. person is prohibited from furnishing pursuant to § 760.2(d) of this part.
Example (v) under § 760.4 of this part (Evasion) provides:
“A, a U.S. company, is negotiating a long-term contract with boycotting country Y to meet all of Y’s medical supply needs. Y informs A that before such a contract can be concluded, A must complete Y’s boycott questionnaire. A knows that it is prohibited from answering the questionnaire so it arranges for a local agent in Y to supply the necessary information.”
“A’s action constitutes evasion of this part, because it is a device to mask prohibited activity carried out on A’s behalf.”
This interpretation deals with the application of the Regulations to a commercial agent registration requirement imposed by the government of Saudi Arabia. The requirement provides that nationals of Saudi Arabia seeking to register in Saudi Arabia as commercial agents or representatives of foreign concerns must furnish certain boycott-related information about the foreign concern prior to obtaining approval of the registration.
The requirement has been imposed by the Ministry of Commerce of Saudi Arabia, which is the government agency responsible for regulation of commercial agents and foreign commercial registrations. The Ministry requires the agent or representative to state the following:
“Declaration: I, the undersigned, hereby declare, in my capacity as (blank) that (name and address of foreign principal) is not presently on the blacklist of the Office for the Boycott of Israel and that it and all its branches, if any, are bound by the decisions issued by the Boycott Office and do not (1) participate in the capital of, (2) license the manufacture of any products or grant trademarks or tradeware license to, (3) give experience or technical advice to, or (4) have any other relationship with other companies which are prohibited to be dealt with by the Boycott Office. Signed (name of commercial agent/representative/distributor).”
It is the Department’s view that under the circumstances specifically outlined in this interpretation relating to the nature of the requirement, a U.S. person will not be held responsible for a violation of this part when such statements are provided by its commercial agent or representative, even when such statements are made with the full knowledge of the U.S. person.
Nature of the requirement. For a boycott-related commercial registration requirement to fall within the coverage of this interpretation it must have the following characteristics:
1. The requirement for information imposed by the boycotting country applies to a national or other subject of the boycotting country qualified under the local laws of that country to function as a commercial representative within that country;
2. The registration requirement relates to the registration of the commercial agent’s or representative’s authority to sell or distribute goods within the boycotting country acquired from the foreign concern;
3. The requirement is a routine part of the registration process and is not applied selectively based on boycott-related criteria;
4. The requirement applies only to a commercial agent or representative in the boycotting country and does not apply to the foreign concern itself; and
5. The requirement is imposed by the agency of the boycotting country responsible for regulating commercial agencies.
The U.S. person whose agent is complying with the registration requirement continues to be subject to all the terms of the Regulations, and may not provide any prohibited information to the agent for purposes of the agent’s compliance with the requirement.
In addition, the authority granted to the commercial agent or representative by the U.S. person must be consistent with standard commercial practices and not involve any grants of authority beyond those incidental to the commercial sales and distributorship responsibilities of the agent.
Because the requirement does not apply to the U.S. person, no reporting obligation under § 760.5 of this part would arise.
This interpretation, like all others issued by the Department discussing applications of the antiboycott provisions of the Export Administration Regulations, should be read narrowly. Circumstances that differ in any material way from those discussed in this notice will be considered under the applicable provisions of the Regulations. Persons are particularly advised not to seek to apply this interpretation to circumstances in which U.S. principals seek to use agents to deal with boycott-related or potential blacklisting situations.
Supplement No. 13 to Part 760 – Interpretation
This interpretation considers boycott-based contractual language dealing with the selection of suppliers and subcontractors. While this language borrows terms from the “unilateral and specific selection” exception contained in § 760.3(d), it fails to meet the requirements of that exception. Compliance with the requirements of the language constitutes a violation of the regulatory prohibition of boycott-based refusals to do business.
Section 760.2(a) of this part prohibits U.S. persons from refusing or knowingly agreeing to refuse to do business with other persons when such refusal is pursuant to an agreement with, requirement of, or request of a boycotting country. That prohibition does not extend to the performance of management, procurement or other pre-award services, however, notwithstanding knowledge that the ultimate selection may be boycott-based. To be permissible such services: (1) Must be customary for the firm or industry involved and (2) must not exclude others from the transaction or involve other actions based on the boycott. See § 760.2(a)(6) of this part, “Refusals to Do Business”, and example (xiii).
A specific exception is also made in the Regulations for compliance (and agreements to comply) with a unilateral and specific selection of suppliers or subcontractors by a boycotting country buyer. See § 760.3(d) of this part. In supplement no. 1 to part 760, the following form of contractual language was said to fall within that exception for compliance with unilateral and specific selection:
“The Government of the boycotting country (or the First Party), in its exclusive power, reserves its right to make the final unilateral and specific selection of any proposed carriers, insurers, suppliers of services to be performed within the boycotting country, or of specific goods to be furnished in accordance with the terms and conditions of this contract.”
The Department noted that the actual steps necessary to comply with any selection made under this agreement would also have to meet the requirements of § 760.3(d) to claim the benefit of that exception. In other words, the discretion in selecting would have to be exercised exclusively by the boycotting country customer and the selection would have to be stated in the affirmative, naming a particular supplier. See § 760.3(d) (4) and (5) of this part.
The Office of Antiboycott Compliance has learned of the introduction of a contractual clause into tender documents issued by boycotting country governments. This clause is, in many respects, similar to that dealt with in supplement no. 1 to part 760, but several critical differences exist.
The clause states:
In connection with the performance of this Agreement, Contractor acknowledges that the import and customs laws and regulations of boycotting country apply to the furnishing and shipment of any products or components thereof to boycotting country. The Contractor specifically acknowledges that the aforementioned import and customs laws and regulations of boycotting country prohibit, among other things, the importation into boycotting country of products or components thereof: (A) Originating in boycotted country; (B) Manufactured, produced and furnish by companies organized under the laws of boycotted country; and (C) Manufactured, produced or furnished by Nationals or Residents of boycotted country.
The Government, in its exclusive power, reserves its right to make the final unilateral and specific selection of any proposed Carriers, Insurers, Suppliers of Services to be performed within boycotting country or of specific goods to be furnished in accordance with the terms and conditions of this Contract.
To assist the Government in exercising its right under the preceding paragraph, Contractor further agrees to provide a complete list of names and addresses of all his Sub-Contractors, Suppliers, Vendors and Consultants and any other suppliers of the service for the project.
The title of this clause makes clear that its provisions are intended to be boycott-related. The first paragraph acknowledges the applicability of certain boycott-related requirements of the boycotting country’s laws in language reviewed in part 760, supplement no. 1, Part II.B. and found to constitute a permissible agreement under the exception contained in § 760.3(a) of this part for compliance with the import requirements of a boycotting country. The second and third paragraphs together deal with the procedure for selecting subcontractors and suppliers of services and goods and, in the context of the clause as a whole, must be regarded as motivated by boycott considerations and intended to enable the boycotting country government to make boycott-based selections, including the elimination of blacklisted subcontractors and suppliers.
The question is whether the incorporation into these paragraphs of some language from the “unilateral and specific selection” clause approved in supplement no. 1 to part 760 suffices to take the language outside § 760.2(a) of this part’s prohibition on boycott-based agreements to refuse to do business. While the first sentence of this clause is consistent with the language discussed in supplement no. 1 to part 760, the second sentence significantly alters the effect of this clause. The effect is to draw the contractor into the decision-making process, thereby destroying the unilateral character of the selection by the buyer. By agreeing to submit the names of the suppliers it plans to use, the contractor is agreeing to give the boycotting country buyer, who has retained the right of final selection, the ability to reject, for boycott-related reasons, any supplier the contractor has already chosen. Because the requirement appears in the contractual provision dealing with the boycott, the buyer’s rejection of any supplier whose name is given to the buyer pursuant to this provision would be presumed to be boycott-based. By signing the contract, and thereby agreeing to comply with all of its provisions, the contractor must either accept the buyer’s rejection of any supplier, which is presumed to be boycott-based because of the context of this provision, or breach the contract.
In these circumstances, the contractor’s method of choosing its subcontractors and suppliers, in anticipation of the buyer’s boycott-based review, cannot be considered a permissible pre-award service because of the presumed intrusion of boycott-based criteria into the selection process. Thus, assuming all other jurisdictional requirements necessary to establish a violation of part 760 are met, the signing of the contract by the contractor constitutes a violation of § 760.2(a) of this part because he is agreeing to refuse to do business for boycott reasons.
The apparent attempt to bring this language within the exception for compliance with unilateral and specific selections is ineffective. The language does not place the discretion to choose suppliers in the hands of the boycotting country buyer but divides this discretion between the buyer and his principal contractor. Knowing that the buyer will not accept a boycotted company as supplier or subcontractor, the contractor is asked to use his discretion in selecting a single supplier or subcontractor for each element of the contract. The boycotting country buyer exercises discretion only through accepting or rejecting the selected supplier or contractor as its boycott policies require. In these circumstances it cannot be said that the buyer is exercising right of unilateral and specific selection which meets the criteria of § 760.3(d). For this reason, agreement to the contractual language discussed here would constitute an agreement to refuse to do business with any person rejected by the buyer and would violate § 760.2(a) of this part.
Supplement No. 14 to Part 760 – Interpretation
(a) Contractual clause concerning import, customs and boycott laws of a boycotting country. The following language has appeared in tender documents issued by a boycotting country:
“Supplier declares his knowledge of the fact that the import, Customs and boycott laws, rules and regulations of [name of boycotting country] apply in importing to [name of boycotting country].”
“Supplier declares his knowledge of the fact that under these laws, rules and regulations, it is prohibited to import into [name of the boycotting country] any products or parts thereof that originated in [name of boycotted country]; were manufactured, produced or imported by companies formed under the laws of [name of boycotted country]; or were manufactured, produced or imported by nationals or residents of [name of boycotted country].”
Agreeing to the above contractual language is a prohibited agreement to refuse to do business, under § 760.2(a) of this part. The first paragraph requires broad acknowledgment of the application of the boycotting country’s boycott laws, rules and regulations. Unless this language is qualified to apply only to boycott restrictions with which U.S. persons may comply, agreement to it is prohibited. See § 760.2(a) of this part, examples (v) and (vi) under “Agreements to Refuse to Do Business.”
The second paragraph does not limit the scope of the boycott restrictions referenced in the first paragraph. It states that the boycott laws include restrictions on goods originating in the boycotted country; manufactured, produced or supplied by companies organized under the laws of the boycotted country; or manufactured, produced or supplied by nationals or residents of the boycotted country. Each of these restrictions is within the exception for compliance with the import requirements of the boycotting country (§ 760.3(a) of this part). However, the second paragraph’s list of restrictions is not exclusive. Since the boycott laws generally include more than what is listed and permissible under the antiboycott law, U.S. persons may not agree to the quoted clause. For example, a country’s boycott laws may prohibit imports of goods manufactured by blacklisted firms. Except as provided by § 760.3(g) of this part, agreement to and compliance with this boycott restriction would be prohibited under the antiboycott law.
The above contractual language is distinguished from the contract clause determined to be permissible in supplement 1, Part II, A, by its acknowledgment that the boycott requirements of the boycotting country apply. Although the first sentence of the Supplement 1 clause does not exclude the possible application of boycott laws, it refers only to the import and customs laws of the boycotting country without mentioning the boycott laws as well. As discussed fully in supplement no. 1 to part 760, compliance with or agreement to the clause quoted there is, therefore, permissible.
The contract clause quoted above, as well as the clause dealt with in supplement no. 1 to part 760, part II, A, is reportable under § 760.5(a)(1) of this part.
(b) Letter of credit terms removing blacklist certificate requirement if specified vessels used. The following terms frequently appear on letters of credit covering shipment to Iraq:
“Shipment to be effected by Iraqi State Enterprise for Maritime Transport Vessels or by United Arab Shipping Company (SAB) vessels, if available.”
“If shipment is effected by any of the above company’s [sic] vessels, black list certificate or evidence to that effect is not required.”
These terms are not reportable and compliance with them is permissible.
The first sentence, a directive to use Iraqi State Enterprise for Maritime Transport or United Arab Shipping vessels, is neither reportable nor prohibited because it is not considered by the Department to be boycott-related. The apparent reason for the directive is Iraq’s preference to have cargo shipped on its own vessels (or, as in the case of United Arab Shipping, on vessels owned by a company in part established and owned by the Iraqi government). Such “cargo preference” requirements, calling for the use of an importing or exporting country’s own ships, are common throughout the world and are imposed for non-boycott reasons. (See § 760.2(a) of this part, example (vii) AGREEMENTS TO REFUSE TO DO BUSINESS.)
In contrast, if the letter of credit contains a list of vessels or carriers that appears to constitute a boycott-related whitelist, a directive to select a vessel from that list would be both reportable and prohibited. When such a directive appears in conjunction with a term removing the blacklist certificate requirement if these vessels are used, the Department will presume that beneficiaries, banks and any other U.S. person receiving the letter of credit know that there is a boycott-related purpose for the directive.
The second sentence of the letter of credit language quoted above does not, by itself, call for a blacklist certificate and is not therefore, reportable. If a term elsewhere on the letter of credit imposes a blacklist certificate requirement, then that other term would be reportable.
(c) Information not related to a particular transaction in U.S. commerce. Under § 760.2 (c), (d) and (e), of this part U.S. persons are prohibited, with respect to their activities in U.S. commerce, from furnishing certain information. It is the Department’s position that the required nexus with U.S. commerce is established when the furnishing of information itself occurs in U.S. commerce. Even when the furnishing of information is not itself in U.S. commerce, however, the necessary relationship to U.S. commerce will be established if the furnishing of information relates to particular transactions in U.S. commerce or to anticipated transactions in U.S. commerce. See, e.g. § 760.2(d), examples (vii), (ix) and (xii) of this part.
The simplest situation occurs where a U.S. person located in the United States furnishes information to a boycotting country. The transfer of information from the United States to a foreign country is itself an activity in U.S. commerce. See § 760.1(d)(1)(iv) of this part. In some circumstances, the furnishing of information by a U.S. person located outside the United States may also be an activity in U.S. commerce. For example, the controlled foreign subsidiary of a domestic concern might furnish to a boycotting country information the subsidiary obtained from the U.S.-located parent for that purpose. The subsidiary’s furnishing would, in these circumstances, constitute an activity in U.S. commerce. See § 760.1(d)(8) of this part.
Where the furnishing of information is not itself in U.S. commerce, the U.S. commerce requirement may be satisfied by the fact that the furnishing is related to an activity in U.S. foreign or domestic commerce. For example, if a shipment of goods by a controlled-in-fact foreign subsidiary of a U.S. company to a boycotting country gives rise to an inquiry from the boycotting country concerning the subsidiary’s relationship with another firm, the Department regards any responsive furnishing of information by the subsidiary as related to the shipment giving rise to the inquiry. If the shipment is in U.S. foreign or domestic commerce, as defined by the regulations, then the Department regards the furnishing to be related to an activity in U.S. commerce and subject to the antiboycott regulations, whether or not the furnishing itself is in U.S. commerce.
In some circumstances, the Department may regard a furnishing of information as related to a broader category of present and prospective transactions. For example, if a controlled-in-fact foreign subsidiary of a U.S. company is requested to furnish information about its commercial dealings and it appears that failure to respond will result in its blacklisting, any responsive furnishing of information will be regarded by the Department as relating to all of the subsidiary’s present and anticipated business activities with the inquiring boycotting country. Accordingly, if any of these present or anticipated business activities are in U.S. commerce, the Department will regard the furnishing as related to an activity in U.S. commerce and subject to the antiboycott regulations.
In deciding whether anticipated business activities will be in U.S. commerce, the Department will consider all of the surrounding circumstances. Particular attention will be given to the history of the U.S. person’s business activities with the boycotting country and others, the nature of any activities occurring after a furnishing of information occurs and any relevant economic or commercial factors which may affect these activities.
For example, if a U.S. person has no activities with the boycotting country at present but all of its other international activities are in U.S. commerce, as defined by the Regulations, then the Department is likely to regard any furnishing of information by that person for the purpose of securing entry into the boycotting country’s market as relating to anticipated activities in U.S. commerce and subject to the antiboycott regulations. Similarly, if subsequent to the furnishing of information to the boycotting country for the purpose of securing entry into its markets, the U.S. person engages in transactions with that country which are in U.S. commerce, the Department is likely to regard the furnishing as related to an activity in U.S. commerce and subject to the antiboycott regulations.
Supplement No. 15 to Part 760 – Interpretation
Section 760.2 (c), (d), and (e) of this part prohibits United States persons from furnishing certain types of information with intent to comply with, further, or support an unsanctioned foreign boycott against a country friendly to the United States. The Department has been asked whether prohibited information may be transmitted – that is, passed to others by a United States person who has not directly or indirectly authored the information – without such transmission constituting a furnishing of information in violation of § 760.2 (c), (d), and (e) of this part. Throughout this interpretation, “transmission” is defined as the passing on by one person of information initially authored by another. The Department believes that there is no distinction in the EAR between transmitting (as defined above) and furnishing prohibited information under the EAR and that the transmission of prohibited information with the requisite boycott intent is a furnishing of information violative of the EAR. At the same time, however, the circumstances relating to the transmitting party’s involvement will be carefully considered in determining whether that party intended to comply with, further, or support an unsanctioned foreign boycott.
The EAR does not deal specifically with the relationship between transmitting and furnishing. However, the restrictions in the EAR on responses to boycott-related conditions, both by direct and indirect actions and whether by primary parties or intermediaries, indicate that U.S. persons who simply transmit prohibited information are to be treated the same under the EAR as those who both author and furnish prohibited information. This has been the Department’s position in enforcement actions it has brought.
The few references in the EAR to the transmission of information by third parties are consistent with this position. Two examples, both relating to the prohibition against the furnishing of information about U.S. persons’ race, religion, sex, or national origin (§ 760.2(c) of this part), deal explicitly with transmitting information. These examples (§ 760.2(c) of this part, example (v), and § 760.3(f) of this part, example (vi)) show that, in certain cases, when furnishing certain information is permissible, either because it is not within a prohibition or is excepted from a prohibition, transmitting it is also permissible. These examples concern information that may be furnished by individuals about themselves or their families. The examples show that employers may transmit to a boycotting country visa applications or forms containing information about an employee’s race, religion, sex, or national origin if that employee is the source of the information and authorizes its transmission. In other words, within the limits of ministerial action set forth in these examples, employees’ actions in transmitting information are protected by the exception available to the employee. The distinction between permissible and prohibited behavior rests not on the definitional distinction between furnishing and transmitting, but on the excepted nature of the information furnished by the employee. The information originating from the employee does not lose its excepted character because it is transmitted by the employer.
The Department’s position regarding the furnishing and transmission of certificates of one’s own blacklist status rests on a similar basis and does not support the contention that third parties may transmit prohibited information authored by another. Such self-certifications do not violate any prohibitions in the EAR (see Supplement Nos. 1(I)(B), 2, and 5(A)(2); § 760.2(f), example (xiv)). It is the Department’s position that it is not prohibited for U.S. persons to transmit such self-certifications completed by others. Once again, because furnishing the self-certification is not prohibited, third parties who transmit the self-certifications offend no prohibition. On the other hand, if a third party authored information about another’s blacklist status, the act of transmitting that information would be prohibited.
A third example in the EAR (§ 760.5, example (xiv) of this part), which also concerns a permissible transmission of boycott-related information, does not support the theory that one may transmit prohibited information authored by another. This example deals with the reporting requirements in § 760.5 of this part – not the prohibitions – and merely illustrates that a person who receives and transmits a self-certification has not received a reportable request.
It is also the Department’s position that a U.S. person violates the prohibitions against furnishing information by transmitting prohibited information even if that person has received no reportable request in the transaction. For example, where documents accompanying a letter of credit contain prohibited information, a negotiating bank that transmits the documents, with the requisite boycott intent, to an issuing bank has not received a reportable request, but has furnished prohibited information.
While the Department does not regard the suggested distinction between transmitting and furnishing information as meaningful, the facts relating to the third party’s involvement may be important in determining whether that party furnished information with the required intent to comply with, further, or support an unsanctioned foreign boycott. For example, if it is a standard business practice for one participant in a transaction to obtain and pass on, without examination, documents prepared by another party, it might be difficult to maintain that the first participant intended to comply with a boycott by passing on information contained in the unexamined documents. Resolution of such intent questions, however, depends upon an analysis of the individual facts and circumstances of the transaction and the Department will continue to engage in such analysis on a case-by-case basis.
This interpretation, like all others issued by the Department discussing applications of the antiboycott provisions of the EAR, should be read narrowly. Circumstances that differ in any material way from those discussed in this interpretation will be considered under the applicable provisions of the Regulations.
Supplement No. 16 to Part 760 – Interpretation
Pursuant to Articles 5, 7, and 26 of the Treaty of Peace between the State of Israel and the Hashemite Kingdom of Jordan and implementing legislation enacted by Jordan, Jordan’s participation in the Arab economic boycott of Israel was formally terminated on August 16, 1995.
On the basis of this action, it is the Department’s position that certain requests for information, action or agreement from Jordan which were considered boycott-related by implication now cannot be presumed boycott-related and thus would not be prohibited or reportable under the regulations. For example, a request that an exporter certify that the vessel on which it is shipping its goods is eligible to enter Hashemite Kingdom of Jordan ports has been considered a boycott-related request that the exporter could not comply with because Jordan has had a boycott in force against Israel. Such a request from Jordan after August 16, 1995 would not be presumed boycott-related because the underlying boycott requirement/basis for the certification has been eliminated. Similarly, a U.S. company would not be prohibited from complying with a request received from Jordanian government officials to furnish the place of birth of employees the company is seeking to take to Jordan because there is no underlying boycott law or policy that would give rise to a presumption that the request was boycott-related.
U.S. persons are reminded that requests that are on their face boycott-related or that are for action obviously in furtherance or support of an unsanctioned foreign boycott are subject to the regulations, irrespective of the country of origin. For example, requests containing references to “blacklisted companies”, “Israel boycott list”, “non-Israeli goods” or other phrases or words indicating boycott purpose would be subject to the appropriate provisions of the Department’s antiboycott regulations.
Supplement No. 17 to Part 760 – Interpretation
Pursuant to the agreement between the United Arab Emirates (UAE) and Israel establishing diplomatic and commercial relations (the “Abraham Accords”), on August 16, 2020, the UAE issued Federal Decree-Law No. 4 of 2020, abolishing Federal Law No. 15 of 1972 Concerning the Arab League Boycott of Israel, thereby formally terminating participation by the UAE in the Arab League Boycott of Israel as of that date.
On the basis of this action, it is the Department’s position that certain requests for information, action or agreement from the UAE, which were presumed to be boycott-related under this part of the EAR if issued prior to August 16, 2020, would not be presumed to be boycott-related if issued after August 16, 2020, and thus would not be prohibited or reportable under this part of the EAR.
For example, a request from the UAE that an exporter certify that the vessel on which it is shipping its goods is eligible to enter UAE ports was formerly presumed to be a boycott-related request under this part of the EAR with which the exporter could not comply because the UAE had a boycott law in force against Israel. Such a request from the UAE made after August 16, 2020, would no longer be presumed to be boycott-related because the underlying boycott requirement/basis for the certification was eliminated as of August 16, 2020. Similarly, a U.S. company would not be prohibited from complying with a request made by UAE government officials after August 16, 2020, to furnish the place of birth of employees the company is seeking to take to the UAE because there is no underlying UAE government boycott law or policy that would give rise to a presumption that the request was boycott-related.
U.S. persons are reminded that requests that are on their face boycott-related or that are for action obviously in furtherance or support of an unsanctioned foreign boycott are subject to this part of the EAR, irrespective of the country of origination. For example, requests containing references to “blacklisted companies,” “Israel boycott list,” “non-Israeli goods,” or other phrases or words indicating a boycott purpose would be subject to the appropriate provisions of the Department’s antiboycott regulations in this part.
PART 762 – RECORDKEEPING
§ 762.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C.
(a) Transactions subject to this part. The recordkeeping provisions of this part apply to the following transactions:
(1) Transactions involving restrictive trade practices or boycotts described in part 760 of the EAR;
(2) Exports of commodities, software, or technology from the United States and any known reexports, transfers (in-country), transshipment, or diversions of items exported from the United States;
(3) Exports to Canada, if, at any stage in the transaction, it appears that a person in a country other than the United States or Canada has an interest therein, or that the item involved is to be reexported, transshipped, or diverted from Canada to another foreign country; or
(4) Any other transactions subject to the EAR, including, but not limited to, the prohibitions against servicing, forwarding and other actions for or on behalf of end-users of proliferation concern contained in §§ 736.2(b)(7) and 744.6 of the EAR. This part also applies to all negotiations connected with those transactions, except that for export control matters a mere preliminary inquiry or offer to do business and negative response thereto shall not constitute negotiations, unless the inquiry or offer to do business proposes a transaction that a reasonably prudent exporter would believe likely to lead to a violation of the EAA, the EAR or any order, license or authorization issued thereunder.
(b) Persons subject to this part. Any person subject to the jurisdiction of the United States who, as principal or agent (including a forwarding agent), participates in any transaction described in paragraph (a) of this section, and any person in the United States or abroad who is required to make and maintain records under any provision of the EAR, shall keep and maintain all records described in § 762.2 of this part that are made or obtained by that person and shall produce them in a manner provided by § 762.7 of this part.
§ 762.2 Records to be retained.
(a) Records required to be retained. The records required to be retained under this part 762 include the following:
(1) Export control documents as defined in part 772 of the EAR, except parties submitting documents electronically to BIS via the SNAP-R system are not required to retain copies of documents so submitted;
(2) Memoranda;
(3) Notes;
(4) Correspondence;
(5) Contracts;
(6) Invitations to bid;
(7) Books of account;
(8) Financial records;
(9) Restrictive trade practice or boycott documents and reports;
(10) Notification from BIS of an application being returned without action; notification by BIS of an application being denied; notification by BIS of the results of a commodity classification or encryption review request conducted by BIS;
(11) The serial number, make, model, and caliber for any firearm controlled in ECCN 0A501.a and for shotguns with barrel length less than 18 inches controlled in 0A502 that have been exported. The “exporter” or any other party to the transaction (see § 758.3 of the EAR), that creates or receives such records is a person responsible for retaining this record; and
(12) Other records pertaining to the types of transactions described in § 762.1(a) of this part, which are made or obtained by a person described in § 762.1(b) of this part.
(b) Records retention references. Paragraph (a) of this section describes records that are required to be retained. Other parts, sections, or supplements of the EAR which require the retention of records or contain recordkeeping provisions, include, but are not limited to the following:
(1) § 732.6, Steps for other requirements;
(2) § 734.4(g), de minimis calculation (method);
(3) Section 734.9(h), Foreign Direct Product (FDP) supply chain certification;
(4) Part 736, General Prohibitions;
(5) § 740.1, Introduction (to License Exceptions);
(6) § 740.9(a)(3)(i)(B), Tools of trade: Temporary exports, reexports, and transfers (in country) of technology by U.S. persons (TMP);
(7) § 740.10(c), Servicing and replacement of parts and equipment (RPL);
(8) § 740.11(b)(2)(iii) and (iv), Exports, reexports and transfers (in-country) made for or on behalf of a department or agency of the U.S. Government and Items exported at the direction of the U.S. Department of Defense (GOV);
(9) § 740.12, Humanitarian donations (GFT);
(10) § 740.13(h), Technology and software – unrestricted (TSU);
(11) § 740.20(g), Responses to License Exception STA eligibility requests for “600 series” end items (STA);
(12) § 743.1, Wassenaar reports;
(13) § 743.2, High Performance Computers;
(14) § 743.4(c)(1) and (c)(2), Conventional arms reporting;
(15) § 745.1, Annual reports;
(16) § 745.2, End-use certificates;
(17) § 746.3 Iraq;
(18) [Reserved]
(19) § 748.1(d)(2), Procedure for requesting authorization to file paper applications, notifications, or requests;
(20) § 748.4(b), Disclosure of parties on license applications and the power of attorney;
(21) § 748.6, General instructions for license applications;
(22) § 748.9, Support documents for license applications;
(23) § 748.10, PRC End-User Statement;
(24) § 748.11, Statement by Ultimate Consignee and Purchaser;
(25) § 748.12, Firearms Convention (FC) Import Certificate;
(26) [Reserved]
(27) Supplement No. 2 to Part 748 paragraph (c)(2), Security Safeguard Plan requirement;
(28) § 750.7, Issuance of license and acknowledgment of conditions;
(29) § 750.8, Revocation or suspension of license;
(30) § 750.9, Duplicate licenses;
(31) § 750.10, Transfer of licenses for export;
(32)-(39) [Reserved]
(40) § 754.4, Unprocessed western red cedar;
(41) § 758.1 and § 758.2, Automated Export System record;
(42) § 758.1(h), Record and proof of agent’s authority;
(43) § 758.3(b), Routed Export Transactions;
(44) § 758.6, Destination control statements;
(45) § 760.5, Reporting requirements;
(46) § 762.2, Records to be retained;
(47) § 764.2, Violations;
(48) § 764.5, Voluntary self-disclosure;
(49) § 766.10, Subpoenas;
(50) § 772.2, “Specially designed” definition, note to paragraphs (b)(4), (b)(5), and (b)(6);
(51) § 740.20, note to paragraph (c)(1), License Exception STA prior approval on a BIS or DDTC license (STA);
(52) § 744.15(b), UVL statement as well as any logs or records created for multiple exports, reexports, and transfers (in-country);
(53) § 750.7(c)(2), Notification of name change by advisory opinion request; and
(54) § 748.13, Certain Hong Kong import and export licenses.
(c) Special recordkeeping requirement – (1) Libya. Persons in receipt of a specific license granted by the Department of the Treasury’s Office of Foreign Assets Control (OFAC) for the export to Libya of any item subject to the EAR must maintain a record of those items transferred to Libya pursuant to such specific license and record when the items are consumed or destroyed in the normal course of their use in Libya, reexported to a third country not requiring further authorization from BIS, or returned to the United States. This requirement applies only to items subject to a license requirement under the EAR for export to Libya as of April 29, 2004. These records must include the following information:
(i) Date of export or reexport and related details (including means of transport);
(ii) Description of items (including ECCN) and value of items in U.S. Dollars;
(iii) Description of proposed end-use and locations in Libya where items are intended to be used;
(iv) Parties other than specific OFAC licensee who may be given temporary access to the items; and
(v) Date of consumption or destruction, if the items are consumed or destroyed in the normal course of their use in Libya, or the date of reexport to a third country not requiring further authorization from BIS, or return to the United States.
(2) [Reserved]
§ 762.3 Records exempt from recordkeeping requirements.
(a) The following types of records have been determined to be exempt from the recordkeeping requirement procedures:
(1) Export information page;
(2) Special export file list;
(3) Vessel log from freight forwarder;
(4) Inspection certificate;
(5) Warranty certificate, except for a warranty certificate issued for an address located outside the United States for any firearm controlled in ECCN 0A501.a and for shotguns with barrel length less than 18 inches controlled in 0A502;
(6) Guarantee certificate;
(7) Packing material certificate;
(8) Goods quality certificate;
(9) Notification to customer of advance meeting;
(10) Letter of indemnity;
(11) Financial release form;
(12) Financial hold form;
(13) Export parts shipping problem form;
(14) Draft number log;
(15) Expense invoice mailing log;
(16) Financial status report;
(17) Bank release of guarantees;
(18) Cash sheet;
(19) Commission payment back-up;
(20) Commissions payable worksheet;
(21) Commissions payable control;
(22) Check request forms;
(23) Accounts receivable correction form;
(24) Check request register;
(25) Commission payment printout;
(26) Engineering fees invoice;
(27) Foreign tax receipt;
(28) Individual customer credit status;
(29) Request for export customers code forms;
(30) Acknowledgement for receipt of funds;
(31) Escalation development form;
(32) Summary quote;
(33) Purchase order review form;
(34) Proposal extensions;
(35) Financial proposal to export customers;
(36) Sales summaries.
(b) [Reserved]
§ 762.4 Original records required.
The regulated person must maintain the original records in the form in which that person receives or creates them unless that person meets all of the conditions of § 762.5 of this part relating to reproduction of records. If the original record does not meet the standards of legibility and readability described in § 762.5 of this part and the regulated person intends to rely on that record to meet the recordkeeping requirements of the EAR, that person must retain the original record. With respect to documents that BIS issues to a party in SNAP-R, either an electronically stored copy in a format that makes the document readable with software possessed by that party or a paper print out of the complete document is deemed to be an original record for purposes of this section.
§ 762.5 Reproduction of original records.
(a) The regulated person may maintain reproductions instead of the original records provided all of the requirements of paragraph (b) of this section are met.
(b) In order to maintain the records required by § 762.2 of this part, the regulated persons defined in § 762.1 of this part may use any photographic, photostatic, miniature photographic, micrographic, automated archival storage, or other process that completely, accurately, legibly and durably reproduces the original records (whether on paper, microfilm, or through electronic digital storage techniques). The process must meet all of the following requirements, which are applicable to all systems:
(1) The system must be capable of reproducing all records on paper.
(2) The system must record and be able to reproduce all marks, information, and other characteristics of the original record, including both obverse and reverse sides of paper documents in legible form.
(3) When displayed on a viewer, monitor, or reproduced on paper, the records must exhibit a high degree of legibility and readability. (For purposes of this section, legible and legibility mean the quality of a letter or numeral that enable the observer to identify it positively and quickly to the exclusion of all other letters or numerals. Readable and readability mean the quality of a group of letters or numerals being recognized as complete words or numbers.)
(4) The system must preserve the initial image (including both obverse and reverse sides of paper documents) and record all changes, who made them and when they were made. This information must be stored in such a manner that none of it may be altered once it is initially recorded.
(5) The regulated person must establish written procedures to identify the individuals who are responsible for the operation, use and maintenance of the system.
(6) The regulated person must establish written procedures for inspection and quality assurance of records in the system and document the implementation of those procedures.
(7) The system must be complete and contain all records required to be kept by this part or the regulated person must provide a method for correlating, identifying and locating records relating to the same transaction(s) that are kept in other record keeping systems.
(8) The regulated person must keep a record of where, when, by whom, and on what equipment the records and other information were entered into the system.
(9) Upon request by the Office of Export Enforcement, the Office of Antiboycott Compliance, or any other agency of competent jurisdiction, the regulated person must furnish, at the examination site, the records, the equipment and, if necessary, knowledgeable personnel for locating, reading, and reproducing any record in the system.
(c) Requirements applicable to systems based on the storage of digital images. For systems based on the storage of digital images, the system must provide accessibility to any digital image in the system. With respect to records of transactions, including those involving restrictive trade practices or boycott requirements or requests. The system must be able to locate and reproduce all records relating to a particular transaction based on any one of the following criteria:
(1) The name(s) of the parties to the transaction;
(2) Any country(ies) connected with the transaction; or
(3) A document reference number that was on any original document.
(d) Requirements applicable to a system based on photographic processes. For systems based on photographic, photostatic, or miniature photographic processes, the regulated person must maintain a detailed index of all records in the system that is arranged in such a manner as to allow immediate location of any particular record in the system.
§ 762.6 Period of retention.
(a) Five year retention period. All records required to be kept by the EAR must be retained for five years from the latest of the following times:
(1) The export from the United States of the item involved in the transaction to which the records pertain or the provision of financing, transporting or other service for or on behalf of end-users of proliferation concern as described in §§ 736.2(b)(7) and 744.6 of the EAR;
(2) Any known reexport, transfer (in-country), transshipment, or diversion of such item;
(3) Any other termination of the transaction, whether formally in writing or by any other means; or
(4) In the case of records of pertaining to transactions involving restrictive trade practices or boycotts described in part 760 of the EAR, the date the regulated person receives the boycott-related request or requirement.
(b) Destruction or disposal of records. If the Bureau of Industry and Security or any other government agency makes a formal or informal request for a certain record or records, such record or records may not be destroyed or disposed of without the written authorization of the agency concerned. This prohibition applies to records pertaining to voluntary disclosures made to BIS in accordance with § 764.5(c)(4)(ii) and other records even if such records have been retained for a period of time exceeding that required by paragraph (a) of this section.
§ 762.7 Producing and inspecting records.
(a) Persons located in the United States. Persons located in the United States may be asked to produce books, records, and other information that are required to be kept by any provision of the EAR, or any license, order, or authorization issued thereunder and to make them available for inspection and copying by any authorized official of the BIS, or any other official of the United States designated by BIS, without any charge or expense to such official. OEE and the Office of Antiboycott Compliance encourage voluntary cooperation with such requests. When voluntary cooperation is not forthcoming, OEE and the Office of Antiboycott Compliance are authorized to issue subpoenas requiring persons to appear and testify, or to produce books, records, and other writings. In instances where a person does not comply with a subpoena, the Department of Commerce may petition a district court to have the subpoena enforced.
(b) Persons located outside of the United States. Persons located outside of the United States that are required to keep books, records, and other information by any provision of the EAR or by any license, order, or authorization issued thereunder shall produce all books, records, and other information required to be kept, or reproductions thereof, and make them available for inspection and copying upon request by an authorized official of BIS without any charge or expense to such official. BIS may designate any other official of the United States to exercise the authority of BIS under this subsection.
PART 764 – ENFORCEMENT AND PROTECTIVE MEASURES
§ 764.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part specifies conduct that constitutes a violation of the ECRA and/or the EAR and the sanctions that may be imposed for such violations. Antiboycott violations are described in part 760 of the EAR, and the violations and sanctions specified in part 764 also apply to conduct relating to part 760, unless otherwise stated. This part describes administrative sanctions that may be imposed by BIS. This part also describes criminal sanctions that may be imposed by a United States court and other sanctions that are neither administrative nor criminal pursuant to sections 11A, B, and C of the Export Administration Act EAA and other statutes. Information is provided on how to report and disclose violations. Finally, this part identifies protective administrative measures that BIS may take in the exercise of its regulatory authority.
§ 764.2 Violations.
(a) Engaging in prohibited conduct. No person may engage in any transaction or take any other action prohibited by or contrary to, or refrain from engaging in any transaction or take any other action required by ECRA, the EAR, or any order, license or authorization issued thereunder.
(b) Causing, aiding, or abetting a violation. No person may cause or aid, abet, counsel, command, induce, procure, permit, or approve the doing of any act prohibited, or the omission of any act required, by ECRA, the EAR, or any order, license or authorization issued thereunder.
(c) Solicitation and attempt. No person may solicit or attempt a violation of ECRA, the EAR, or any order, license, or authorization issued thereunder.
(d) Conspiracy. No person may conspire or act in concert with one or more persons in any manner or for any purpose to bring about or to do any act that constitutes a violation of ECRA, the EAR, or any order, license, or authorization issued thereunder.
(e) Acting with knowledge of a violation. No person may order, buy, remove, conceal, store, use, sell, loan, dispose of, transfer, transport, finance, forward, or otherwise service, in whole or in part, or conduct negotiations to facilitate such activities with respect to, any item that has been, is being, or is about to be exported, reexported, or transferred (in-country), or that is otherwise subject to the EAR, with knowledge that a violation of ECRA, the EAR, or any order, license, or authorization issued thereunder, has occurred, is about to occur, or is intended to occur in connection with the item.
(f) [Reserved]
(g) Misrepresentation and concealment of facts. (1) No person may make any false or misleading representation, statement, or certification, or falsify or conceal any material fact, either directly to BIS or an official of any other United States agency, or indirectly through any other person:
(i) In the course of an investigation or other action subject to the EAR; or
(ii) In connection with the preparation, submission, issuance, use, or maintenance of any “export control document” or any report filed or required to be filed pursuant to the EAR; or
(iii) For the purpose of or in connection with effecting an export, reexport, transfer (in-country) or other activity subject to the EAR.
(2) All representations, statements, and certifications made by any person are deemed to be continuing in effect. Every person who has made any representation, statement, or certification must notify BIS, and any other relevant agency, in writing, of any change of any material fact or intention from that previously represented, stated, or certified, immediately upon receipt of any information that would lead a reasonably prudent person to know that a change of material fact or intention has occurred or may occur in the future.
(h) Evasion. No person may engage in any transaction or take any other action with intent to evade the provisions of ECRA, the EAR, or any order, license or authorization issued thereunder.
(i) Failure to comply with reporting, recordkeeping requirements. No person may fail or refuse to comply with any reporting or recordkeeping requirement of ECRA, the EAR, or of any order, license, or authorization issued thereunder.
(j) License alteration. Except as specifically authorized in the EAR or in writing by BIS, no person may alter any license, authorization, export control document, or order issued under ECRA or the EAR.
(k) Acting contrary to the terms of a denial order. No person may take any action that is prohibited by a denial order or a temporary denial order issued by BIS to prevent imminent violations of ECRA, the EAR, or any order, license or authorization issued thereunder.
§ 764.3 Sanctions.
(a) Administrative. Violations of ECRA, the EAR, or any order, license or authorization issued thereunder are subject to the administrative sanctions described in this section and to any other liability, sanction, or penalty available under law. The protective administrative measures that are described in § 764.6 of this part are distinct from administrative sanctions.
(1) Civil monetary penalty. (i) A civil monetary penalty not to exceed the amount set forth in ECRA may be imposed for each violation, and in the event that any provision of the EAR is continued or revised by IEEPA or any other authority, the maximum monetary civil penalty for each violation shall be that provided by such other authority.
(ii) The payment of any civil penalty may be made a condition, for a period not exceeding two years after the imposition of such penalty, to the granting, restoration, or continuing validity of any export license, license exception, permission, or privilege granted or to be granted to the person upon whom such penalty is imposed.
(iii) The payment of any civil penalty may be deferred or suspended in whole or in part during any probation period that may be imposed. Such deferral or suspension shall not bar the collection of the penalty if the conditions of the deferral, suspension, or probation are not fulfilled.
(2) Denial of export privileges. An order may be issued that restricts the ability of the named persons to engage in exports, reexports, and transfers (in-country) involving items subject to the EAR, or that restricts access by named persons to items subject to the EAR. An order denying export privileges may be imposed either as a sanction for a violation of ECRA, the EAR, or any other statute set forth at 50 U.S.C. 4819(e)(1)(B); or as a protective administrative measure described in § 764.6(c) or (d) of this part. An order denying export privileges may suspend or revoke any or all outstanding licenses issued under the EAR to a person named in the denial order or in which such person has an interest; may deny or restrict exports, reexports, and transfers (in-country) by or to such person of any item subject to the EAR; and may restrict dealings in which that person may benefit from any export, reexport, or transfer (in-country) of such items. The standard terms of a denial order are set forth in supplement no. 1 to this part. A non-standard denial order, narrower in scope, may be issued. Authorization to engage in actions otherwise prohibited by a denial order may be given by the Office of Exporter Services, in consultation with the Office of Export Enforcement, upon a written request by a person named in the denial order or by a person seeking permission to deal with a named person. Submit such requests to: Bureau of Industry and Security, Office of Exporter Services, Room 2099b, U.S. Department of Commerce, 14th Street and Pennsylvania Ave. NW, Washington, DC 20230.
(3) Exclusion from practice. Any person acting as an attorney, accountant, consultant, freight forwarder, or in any other representative capacity for any license application or other matter before BIS may be excluded by order from any or all such activities before BIS.
(b) Criminal. Whoever willfully commits, willfully attempts to commit, or willfully conspires to commit, or aids and abets in the commission of, an unlawful act described in 50 U.S.C. 4819(a) shall be fined not more than $1,000,000; and in the case of the individual, shall be imprisoned for not more than 20 years, or both.
(c) Other sanctions. Conduct that violates ECRA, the EAR, or any order, license, or authorization issued thereunder, and other conduct specified in sections 11A, B, and C of the EAA may be subject to sanctions or other measures in addition to criminal and administrative sanctions under ECRA or the EAR. These include, but are not limited to, the following:
(1) Statutory sanctions. Statutorily-mandated sanctions may be imposed on account of specified conduct related to weapons proliferation. Such statutory sanctions are not civil or criminal penalties, but restrict imports and procurement (See section 11A of the EAA, Multilateral Export Control Violations, and section 11C of the EAA, Chemical and Biological Weapons Proliferation), or restrict export licenses (See section 11B of the EAA, Missile Proliferation Violations, and the Iran-Iraq Arms Non-Proliferation Act of 1992).
(2) Other sanctions and measures – (i) Seizure and forfeiture. Any property seized pursuant to export laws and regulations administered or enforced by the Secretary is subject to forfeiture. (50 U.S.C. 4819(d) and 4820(j); 22 U.S.C. 401; and 13 U.S.C. 305).
(ii) Actions by other agencies. (A) The Department of State may not issue licenses or approvals for the export or reexport of defense articles and defense services controlled under the Arms Export Control Act to persons convicted of criminal offenses specified at 22 U.S.C. 2778(g)(1)(A), or to persons denied export privileges by BIS or another agency; and may deny such licenses or approvals where the applicant is indicted for, or any party to the export is convicted of, those specified criminal offenses. (22 CFR 126.7(a) and 127.11(a)).
(B) The Department of Defense, among other agencies, may suspend the right of any person to contract with the United States Government based on export control violations. (Federal Acquisition Regulations at 48 CFR 9.407-2).
§ 764.4 Reporting of violations.
(a) Where to report. If a person learns that an export control violation of the EAR has occurred or may occur, that person may notify:
(b) Failure to report violations. Failure to report potential violations may result in the unwarranted issuance of licenses or exports without the required licenses to the detriment of the interests of the United States.
(c) Reporting requirement distinguished. The reporting provisions in paragraph (a) of this section are not “reporting requirements” within the meaning of § 764.2(i) of this part.
(d) Formerly embargoed destinations. Reporting requirements for activities within the scope of § 764.2(e) that involve items subject to the EAR which may have been illegally exported or reexported to Libya prior to the lifting of the comprehensive embargo on Libya are found in § 764.7 of the EAR.
§ 764.5 Voluntary self-disclosure.
(a) General policy. BIS strongly encourages disclosure to OEE if you believe that you may have violated the EAR, or any order, license or authorization issued thereunder. Voluntary self-disclosure is a mitigating factor in determining what administrative sanctions, if any, will be sought by OEE.
(b) Limitations. (1) The provisions of this section do not apply to disclosures of violations relating to part 760 of the EAR.
(2) The provisions of this section apply only when information is provided to OEE for its review in determining whether to take administrative action under part 766 of the EAR for violations of the export control provisions of the EAR.
(3) The provisions of this section apply only when information is received by OEE for review prior to the time that OEE, or any other agency of the United States Government, has learned the same or substantially similar information from another source and has commenced an investigation or inquiry in connection with that information.
(4) While voluntary self-disclosure is a mitigating factor in determining what administrative sanctions, if any, will be sought by OEE, it is a factor that is considered together with all other factors in a case. The weight given to voluntary self-disclosure is solely within the discretion of OEE, and the mitigating effect of voluntary self-disclosure may be outweighed by aggravating factors. Voluntary self-disclosure does not prevent transactions from being referred to the Department of Justice for criminal prosecution. In such a case, OEE would notify the Department of Justice of the voluntary self-disclosure, but the consideration of that factor is within the discretion of the Department of Justice.
(5) A firm will not be deemed to have made a disclosure under this section unless the individual making the disclosure did so with the full knowledge and authorization of the firm’s senior management.
(6) The provisions of this section do not, nor should they be relied on to, create, confer, or grant any rights, benefits, privileges, or protection enforceable at law or in equity by any person, business, or entity in any civil, criminal, administrative, or other matter.
(c) Information to be provided – (1) General. Any person wanting to disclose information that constitutes a voluntary self-disclosure should, in the manner outlined below, initially notify OEE as soon as possible after violations are discovered, and then conduct a thorough review of all export-related transactions where violations are suspected.
(2) Initial notification – (i) Manner and content of initial notification. The initial notification should be in writing and be sent to the address in paragraph (c)(7) of this section. The notification should include the name of the person making the disclosure and a brief description of the suspected violations, and should designate a contact person regarding the initial notification and provide that contact person’s current business street address, email address, and telephone number. The notification should describe the general nature and extent of the violations. OEE recognizes that there may be situations where it will not be practical to make an initial notification in writing. For example, written notification may not be practical if a shipment leaves the United States without the required license, yet there is still an opportunity to prevent acquisition of the items by unauthorized persons. In such situations, OEE should be contacted promptly at the office listed in paragraph (c)(7) of this section.
(ii) Initial notification date. For purposes of calculating when a complete narrative account must be submitted under paragraph (c)(2)(iii) of this section, the initial notification date is the date the notification is received by OEE. OEE will notify the disclosing party in writing of the date that it receives the initial notification. At OEE’s discretion, such writing from OEE may be on paper, or in an email message or facsimile transmission from OEE, or by any other method for the transmission of written communications. Where it is not practical to make an initial notification in writing, the person making the notification should confirm the oral notification in writing as soon as possible.
(iii) Timely completion of narrative accounts. The narrative account required by paragraph (c)(3) of this section must be received by OEE within 180 days of the initial notification date for purposes of paragraph (b)(3) of this section, absent an extension from the Director of OEE. If the person making the initial notification subsequently completes and submits to OEE the narrative account required by paragraph (c)(3) of this section such that OEE receives it within 180 days of the initial notification date, or within the additional time, if any, granted by the Director of OEE pursuant to paragraph (c)(2)(iv) of this section, the disclosure, including violations disclosed in the narrative account that were not expressly mentioned in the initial notification, will be deemed to have been made on the initial notification date for purposes of paragraph (b)(3) of this section if the initial notification was made in compliance with paragraphs (c)(1) and (2) of this section. Failure to meet the deadline (either the initial 180-day deadline or an extended deadline granted by the Director of OEE) would not be an additional violation of the EAR, but such failure may reduce or eliminate the mitigating impact of the voluntary disclosure under supplement no. 1 to this part. For purposes of determining whether the deadline has been met under this paragraph, a complete narrative account must contain all of the pertinent information called for in paragraphs (c)(3), (c)(4), and (c)(5) of this section, and the voluntary self-disclosure must otherwise meet the requirements of this section.
(iv) Deadline extensions. The Director of OEE may extend the 180-day deadline upon a determination in his or her discretion that U.S. Government interests would be served by an extension or that the person making the initial notification has shown that more than 180 days is reasonably needed to complete the narrative account.
(A) Conditions for extension. The Director of OEE in his or her discretion may place conditions on the approval of an extension. For example, the Director of OEE may require that the disclosing person agree to toll the statute of limitations with respect to violations disclosed in the initial notification or discovered during the review for or preparation of the narrative account, and/or require the disclosing person to undertake specified interim remedial compliance measures.
(B) Contents of Request. (1) In most instances 180 days should be adequate to complete the narrative account. Requests to extend the 180-day deadline set forth in paragraph (c)(2)(iii) of this section will be determined by the Director of OEE pursuant to his or her authority under this paragraph (c)(2)(iv) based upon his consideration and evaluation of U.S. Government interests and the facts and circumstances surrounding the request and any related investigations. Such requests should show specifically that the person making the request:
(i) Began its review promptly after discovery of the violations;
(ii) Has been conducting its review and preparation of the narrative account as expeditiously as can be expected, consistent with the need for completeness and accuracy;
(iii) Reasonably needs the requested extension despite having begun its review promptly after discovery of the violations and having conducted its review and preparation of the narrative account as expeditiously as can be expected consistent with the need for completeness and accuracy; and
(iv) Has considered whether interim compliance or other corrective measures may be needed and has undertaken such measures as appropriate to prevent recurring or additional violations.
(2) Such requests also should set out a proposed timeline for completion and submission of the narrative account that is reasonable under the applicable facts and circumstances, and should also designate a contact person regarding the request and provide that contact person’s current business street address, email address, and telephone number. Requests may also include additional information that the person making the request reasonably believes is pertinent to the request under the applicable facts and circumstances.
(C) Timing of requests. Requests for an extension should be made before the 180-day deadline and as soon as possible once a disclosing person determines that it will be unable to meet the deadline or the extended deadline where an extension previously has been granted, and possesses the information needed to prepare an extension request in accordance with paragraph (c)(2)(iv)(B) of this section. Requests for extension that are not received before the deadline for completing the narrative account has passed will not be considered. Parties who request an extension shortly before the deadline incur the risk that the Director of OEE will be unable to consider the request, determine whether or not to grant the extension, and communicate his or her decision before the deadline, and that any subsequently submitted narrative account will be considered untimely under paragraph (c)(2)(iii) of this section.
(3) Narrative account. After the initial notification, a thorough review should be conducted of all export-related transactions where possible violations are suspected. OEE recommends that the review cover a period of five years prior to the date of the initial notification. If your review goes back less than five years, you risk failing to discover violations that may later become the subject of an investigation. Any violations not voluntarily disclosed do not receive consideration under this section. However, the failure to make such disclosures will not be treated as a separate violation unless some other section of the EAR or other provision of law requires disclosure. Upon completion of the review, OEE should be furnished with a narrative account that sufficiently describes the suspected violations so that their nature and gravity can be assessed. The narrative account should also describe the nature of the review conducted and measures that may have been taken to minimize the likelihood that violations will occur in the future. The narrative account should include:
(i) The kind of violation involved, for example, a shipment without the required license or dealing with a party denied export privileges;
(ii) An explanation of when and how the violations occurred;
(iii) The complete identities and addresses of all individuals and organizations, whether foreign or domestic, involved in the activities giving rise to the violations;
(iv) License numbers;
(v) The description, quantity, value in U.S. dollars and ECCN or other classification of the items involved; and
(vi) A description of any mitigating circumstances.
(4) Supporting documentation. (i) The narrative account should be accompanied by copies of documents that explain and support it, including:
(A) Licensing documents such as licenses, license applications, import certificates and end-user statements;
(B) Shipping documents such as Shipper’s Export Declarations, air waybills and bills of lading; and
(C) Other documents such as letters, facsimiles, telexes and other evidence of written or oral communications, internal memoranda, purchase orders, invoices, letters of credit and brochures.
(ii) Any relevant documents not attached to the narrative account must be retained by the person making the disclosure until OEE requests them, or until a final decision on the disclosed information has been made. After a final decision, the documents should be maintained in accordance with the recordkeeping rules in part 762 of the EAR.
(5) Certification. A certification must be submitted stating that all of the representations made in connection with the voluntary self-disclosure are true and correct to the best of that person’s knowledge and belief. Certifications made by a corporation or other organization should be signed by an official of the corporation or other organization with the authority to do so. Section 764.2(g) of this part, relating to false or misleading representations, applies in connection with the disclosure of information under this section.
(6) Oral presentations. OEE believes that oral presentations are generally not necessary to augment the written narrative account and supporting documentation. If the person making the disclosure believes otherwise, a request for a meeting should be included with the disclosure.
(7) Where to make voluntary self-disclosures. The information constituting a voluntary self-disclosure or any other correspondence pertaining to a voluntary self-disclosure may be submitted to: Director, Office of Export Enforcement, 1401 Constitution Ave., Room H4514, Washington, DC 20230, Tel: (202) 482-5036, Facsimile: (202) 482-5889.
(d) Action by the Office of Export Enforcement. After OEE has been provided with the required narrative and supporting documentation, it will acknowledge the disclosure by letter, provide the person making the disclosure with a point of contact, and take whatever additional action, including further investigation, it deems appropriate. As quickly as the facts and circumstances of a given case permit, OEE may take any of the following actions:
(1) Inform the person making the disclosure that, based on the facts disclosed, it plans to take no action;
(2) Issue a warning letter;
(3) Issue a proposed charging letter pursuant to § 766.18 of the EAR and attempt to settle the matter;
(4) Issue a charging letter pursuant to § 766.3 of the EAR if a settlement is not reached; and/or
(5) Refer the matter to the Department of Justice for criminal prosecution.
(e) Criteria. Supplement no. 1 to part 766 describes how BIS typically exercises its discretion regarding whether to pursue an administrative enforcement case under part 766 and what administrative sanctions to seek in settling such a case.
(f) Treatment of unlawfully exported items after voluntary self-disclosure. (1) Any person taking certain actions with knowledge that a violation of the EAA or the EAR has occurred has violated § 764.2(e) of this part. Any person who has made a voluntary self-disclosure knows that a violation may have occurred. Therefore, at the time that a voluntary self-disclosure is made, the person making the disclosure may request permission from BIS to engage in the activities described in § 764.2(e) of this part that would otherwise be prohibited. If the request is granted by the Office of Exporter Services in consultation with OEE, future activities with respect to those items that would otherwise violate § 764.2(e) of this part will not constitute violations. However, even if permission is granted, the person making the voluntary self-disclosure is not absolved from liability for any violations disclosed nor relieved of the obligation to obtain any required reexport authorizations.
(2) A license to reexport items that are the subject of a voluntary self-disclosure, and that have been exported contrary to the provisions of the EAA or the EAR, may be requested from BIS in accordance with the provisions of part 748 of the EAR. If the applicant for reexport authorization knows that the items are the subject of a voluntary self-disclosure, the request should state that a voluntary self-disclosure was made in connection with the export of the commodities for which reexport authorization is sought.
§ 764.6 Protective administrative measures.
(a) License Exception limitation. As provided in § 740.2(b) of the EAR, all License Exceptions are subject to revision, suspension, or revocation.
(b) Revocation or suspension of licenses. As provided in § 750.8 of the EAR, all licenses are subject to revision, suspension, or revocation.
(c) Temporary denial orders. BIS may, in accordance with § 766.24 of the EAR, issue an order temporarily denying export privileges when such an order is necessary in the public interest to prevent the occurrence of an imminent violation.
(d) Denial based on criminal conviction. BIS may, in accordance with § 766.25 of the EAR, issue an order denying the export privileges of any person who has been convicted of an offense specified in § 11(h) of the EAA.
§ 764.7 Activities involving items that may have been illegally exported or reexported to Libya.
(a) Introduction. As set forth in § 764.2(e) of this part, and restated in General Prohibition Ten at § 736.2(b)(10) of the EAR, no person (including a non-U.S. Third Party) may order, buy, remove, conceal, store, use, sell, loan, dispose of, transfer, finance, forward, or otherwise service, in whole or in part, any item subject to the EAR with knowledge that a violation has occurred, or will occur, in connection with the item. This section addresses the application of § 764.2(e) of this part to activities involving items subject to the EAR that may have been illegally exported or reexported to Libya before the comprehensive embargo on Libya ended (April 29, 2004) (“installed base” items).
(b) Libya – (1) Activities involving installed base items in Libya for which no license is required. Subject to the reporting requirement set forth in paragraph (b)(1)(ii) of this section, activities within the scope of § 764.2(e) of this part involving installed base items described in paragraph (b)(1)(i) of this section that are located in Libya and that were exported or reexported before April 29, 2004 do not require a license from BIS.
(i) Scope. An installed base item is within the scope of paragraph (b)(1) of this section if:
(A) It is not on the Commerce Control List in supplement no. 1 to part 774 of the EAR;
(B) It is on the Commerce Control List, but is authorized for export or reexport pursuant to a License Exception to Libya; or
(C) It is on the Commerce Control List and controlled only for AT reasons or for NS and AT reasons only, and is not listed on the Wassenaar Arrangement’s Sensitive List (Annex 1) or Very Sensitive List (Annex 2) posted on the Wassenaar Arrangement’s Web site (www.wassenaar.org) at the Control Lists web page.
An item being exported or reexported to Libya may require a license based on the classification of the item to be exported or reexported regardless of whether the item will be used in connection with an installed base item. See paragraph (b)(4) of this section.
Not all items listed on the Wassenaar Arrangement’s Annex 1, Sensitive List, and Annex 2, Very Sensitive List, fall under the export licensing jurisdiction of the Department of Commerce. Please refer to the Commerce Control List for additional jurisdictional information related to those items. Also, if you do not have access to the internet to review the Wassenaar Arrangement’s Sensitive List and Very Sensitive List, please contact the Office of Exporter Services, Division of Exporter Counseling for assistance at telephone number (202) 482-4811.
(ii) Reporting requirement. Any person engaging in activity described in paragraph (b)(1) of this section must submit to BIS’s Office of Export Enforcement (OEE) a report including all known material facts with respect to how the installed base item arrived in Libya. The report must be submitted to OEE at the address identified in § 764.4(a) of the EAR within ninety (90) days of the first activity relating to the installed base item in Libya. A report may address more than one activity and/or more than one installed base item. An additional report must be submitted if any new material information regarding the export or reexport to Libya of the installed base item is discovered.
(2) Licensing procedure for activities involving installed base items in Libya – (i) License requirement. Any person seeking to undertake activities within the scope of § 764.2(e) of the EAR with respect to any installed base item located in Libya and not described in paragraph (b)(1)(i) of this section must obtain a license from BIS prior to engaging in any such activities. License applications should be submitted in accordance with §§ 748.1, 748.4 and 748.6 of the EAR, and should fully describe the relevant activity within the scope of § 764.2(e) of this part which is the basis of the application. License applications should include all known material facts as to how the installed base item originally was exported or reexported to Libya. This section also applies if you know that an item to be exported or reexported to a third party will be used on an installed base item not described in paragraph (b)(1)(i) of this section.
(ii) Licensing policy. BIS will review license applications submitted pursuant to paragraph (b)(2)(i) of this section on a case-by-case basis. Favorable consideration will be given for those applications related to civil end-uses in Libya. Applications related to military, police, intelligence, or other sensitive end-uses in Libya will be subject to a general policy of denial.
(3) Exclusion. The provisions of this section are not applicable to any activities within the scope of § 764.2(e) of the EAR undertaken with respect to an installed base item in Libya by a person who was party to the original illegal export or reexport of the related installed base item to Libya. Such persons should voluntarily self-disclose violations pursuant to the procedures set forth in § 764.5 of this part, which in some cases may allow activities related to unlawfully exported or reexported items to be undertaken based on permission from BIS.
(4) Relationship to other Libya license requirements. Notwithstanding this section, a license may be required pursuant to another provision of the EAR to engage in activity involving Libya. If a license is required pursuant to another section of the EAR, and the transaction also involves activity within the scope of § 764.2(e) of this part related to an installed base item in Libya, this information should be specified on the license application. Such applications must also include all known information as to how the installed base item originally arrived in Libya. If granted, the license for the proposed transaction will also authorize the related activity within the scope of § 764.2(e) of this part.
§ 764.8 Voluntary self-disclosures for boycott violations.
This section sets forth procedures for disclosing violations of part 760 of the EAR – Restrictive Trade Practices or Boycotts and violations of part 762 – Recordkeeping – with respect to records related to part 760. In this section, these provisions are referred to collectively as the “antiboycott provisions.” This section also describes BIS’s policy regarding such disclosures.
(a) General policy. BIS strongly encourages disclosure to the Office of Antiboycott Compliance (OAC) if you believe that you may have violated the antiboycott provisions. Voluntary self-disclosures are a mitigating factor with respect to any enforcement action that OAC might take.
(b) Limitations. (1) This section does not apply to disclosures of violations relating to provisions of the EAR other than the antiboycott provisions. Section 764.5 of this part describes how to prepare disclosures of violations of the EAR other than the antiboycott provisions.
(2) The provisions of this section apply only when information is provided to OAC for its review in determining whether to take administrative action under parts 764 and 766 of the EAR for violations of the antiboycott provisions.
(3) Timing. The provisions of this section apply only if OAC receives the voluntary self-disclosure as described in paragraph (c)(2) of this section before it commences an investigation or inquiry in connection with the same or substantially similar information it received from another source.
(i) Mandatory reports. For purposes of this section, OAC’s receipt of a report required to be filed under § 760.5 of the EAR that discloses that a person took an action prohibited by part 760 of the EAR constitutes the receipt of information from another source.
(ii) Requests for advice. For purposes of this section, a violation that is revealed to OAC by a person who is seeking advice, either by telephone or e-mail, about the antiboycott provisions does not constitute the receipt of information from another source. Such revelation also does not constitute a voluntary self-disclosure or initial notification of a voluntary self-disclosure for purposes of this section.
(4) Although a voluntary self-disclosure is a mitigating factor in determining what administrative sanctions, if any, will be sought by BIS, it is a factor that is considered together with all other factors in a case. The weight given to voluntary self-disclosure is solely within the discretion of BIS, and the mitigating effect of voluntary self-disclosure may be outweighed by aggravating factors. Voluntary self-disclosure does not prevent transactions from being referred to the Department of Justice for criminal prosecution. In such a case, BIS would notify the Department of Justice of the voluntary self-disclosure, but the decision as to how to consider that factor is within the discretion of the Department of Justice.
(5) A firm will not be deemed to have made a disclosure under this section unless the individual making the disclosure did so with the full knowledge and authorization of the firm’s senior management or of a person with authority to make such disclosures on behalf of the firm.
(6) The provisions of this section do not, nor should they be relied on to, create, confer, or grant any rights, benefits, privileges, or protection enforceable at law or in equity by any person, business, or entity in any civil, criminal, administrative, or other matter.
(c) Information to be provided – (1) General. Any person wanting to disclose information that constitutes a voluntary self-disclosure should, in the manner outlined below, initially notify OAC as soon as possible after violations are discovered, and then conduct a thorough review of all transactions where violations of the antiboycott provisions are suspected.
(2) Initial notification. The initial notification must be in writing and be sent to the address in § 764.8(c)(7) of this part. The notification should include the name of the person making the disclosure and a brief description of the suspected violations. The notification should describe the general nature and extent of the violations. If the person making the disclosure subsequently completes the narrative account required by § 764.8(c)(3) of this part, the disclosure will be deemed to have been made on the date of the initial notification for purposes of § 764.8(b)(3) of this part.
(3) Narrative account. After the initial notification, a thorough review should be conducted of all business transactions where possible antiboycott provision violations are suspected. OAC recommends that the review cover a period of five years prior to the date of the initial notification. If your review goes back less than five years, you risk failing to discover violations that may later become the subject of an investigation. Any violations not voluntarily disclosed do not receive the same mitigation as the violations voluntarily self-disclosed under this section. However, the failure to make such disclosures will not be treated as a separate violation unless some other section of the EAR or other provision of law enforced by BIS requires disclosure. Upon completion of the review, OAC should be furnished with a narrative account that sufficiently describes the suspected violations so that their nature and gravity can be assessed. The narrative account should also describe the nature of the review conducted and measures that may have been taken to minimize the likelihood that violations will occur in the future. The narrative account should include:
(i) The kind of violation involved, for example, the furnishing of a certificate indicating that the goods supplied did not originate in a boycotted country;
(ii) An explanation of when and how the violations occurred, including a description of activities surrounding the violations (e.g., contract negotiations, sale of goods, implementation of letter of credit, bid solicitation);
(iii) The complete identities and addresses of all individuals and organizations, whether foreign or domestic, involved in the activities giving rise to the violations; and
(iv) A description of any mitigating factors.
(4) Supporting documentation.
(i) The narrative account should be accompanied by copies of documents that explain and support it, including:
(A) Copies of boycott certifications and declarations relating to the violation, or copies of documents containing prohibited language or prohibited requests for information;
(B) Other documents relating to the violation, such as letters, facsimiles, telexes and other evidence of written or oral communications, negotiations, internal memoranda, purchase orders, invoices, bid requests, letters of credit and brochures;
(ii) Any relevant documents not attached to the narrative account must be retained by the person making the disclosure until the latest of the following: the documents are supplied to OAC; BIS informs the disclosing party that it will take no action; BIS issues a warning letter for the violation; BIS issues an order that constitutes the final agency action in the matter and all avenues for appeal are exhausted; or the documents are no longer required to be kept under part 762 of the EAR.
(5) Certification. A certification must be submitted stating that all of the representations made in connection with the voluntary self-disclosure are true and correct to the best of that person’s knowledge and belief. Certifications made by a corporation or other organization should be signed by an official of the corporation or other organization with the authority to do so. Section 764.2(g) of this part relating to false or misleading representations applies in connection with the disclosure of information under this section.
(6) Oral presentations. OAC believes that oral presentations are generally not necessary to augment the written narrative account and supporting documentation. If the person making the disclosure believes otherwise, a request for a meeting should be included with the disclosure.
(7) Where to make voluntary self-disclosures. The information constituting a voluntary self-disclosure or any other correspondence pertaining to a voluntary self-disclosure should be submitted to: Office of Antiboycott Compliance, 14th and Pennsylvania Ave., NW., Room 6098, Washington, DC 20230, tel: (202) 482-2381, facsimile: (202) 482-0913.
(d) Action by the Office of Antiboycott Compliance. After OAC has been provided with the required narrative and supporting documentation, it will acknowledge the disclosure by letter, provide the person making the disclosure with a point of contact, and take whatever additional action, including further investigation, it deems appropriate. As quickly as the facts and circumstances of a given case permit, BIS may take any of the following actions:
(1) Inform the person making the disclosure that, based on the facts disclosed, it plans to take no action;
(2) Issue a warning letter;
(3) Issue a proposed charging letter and attempt to settle the matter pursuant to § 766.18 of the EAR;
(4) Issue a charging letter pursuant to § 766.3 of the EAR if a settlement is not reached or BIS otherwise deems appropriate; and/or
(5) Refer the matter to the Department of Justice for criminal prosecution.
(e) Criteria. Supplement no. 2 to part 766 of the EAR describes how BIS typically exercises its discretion regarding whether to pursue an antiboycott administrative enforcement case under part 766 and what administrative sanctions to seek in settling such a case.
Supplement No. 1 to Part 764 – Standard Terms of Orders Denying Export Privileges
(a) General. (1) Orders denying export privileges may be “standard” or “non-standard.” This Supplement specifies terms of the standard order denying export privilege with respect to denial orders issued after March 25, 1996. Denial orders issued prior to March 25, 1996 are to be construed, insofar as possible, as having the same scope and effect as the standard denial order. All denial orders are published in the
(2) Each denial order shall include:
(i) The name and address of any denied persons and any related persons subject to the denial order;
(ii) The basis for the denial order, such as final decision following charges of violation, settlement agreement, section 11(h) of the EAA, or temporary denial order request;
(iii) The period of denial, the effective date of the order, whether and for how long any portion of the denial of export privileges is suspended, and any conditions of probation; and
(iv) Whether any or all outstanding licenses issued under the EAR to the person(s) named in the denial order or in which such person(s) has an interest, are suspended or revoked.
Denial orders issued prior to March 25, 1996, are to be construed, insofar as possible, as having the same scope and effect as the standard denial order.
The introduction to each denial order shall be specific to that order, and shall include: (1) The name and address of any denied persons and any related persons subject to the denial order; (2) the basis for the denial order, such as final decision following charges of violation, settlement agreement, § 11(h) of the EAA, or temporary denial order request; (3) the period of denial, the effective date of the order, whether and for how long any portion of the denial of export privileges is suspended, and any conditions of probation; and (4) whether any or all outstanding licenses issued under the EAR to the person(s) named in the denial order or in which such person(s) has an interest, are suspended or revoked.
(b) Standard denial order terms. The following are the standard terms for imposing periods of export denial. Some orders also contain other terms, such as those that impose civil penalties, or that suspend all or part of the penalties or period of denial.
“It is therefore ordered:
First, that [the denied person(s)] may not, directly or indirectly, participate in any way in any transaction involving any commodity, software or technology (hereinafter collectively referred to as “item”) exported or to be exported from the United States that is subject to the Export Administration Regulations (EAR), or in any other activity subject to the EAR, including, but not limited to:
A. Applying for, obtaining, or using any license, license exception, or export control document;
B. Carrying on negotiations concerning, or ordering, buying, receiving, using, selling, delivering, storing, disposing of, forwarding, transporting, financing, or otherwise servicing in any way, any transaction involving any item exported or to be exported from the United States that is subject to the EAR, or in any other activity subject to the EAR; or
C. Benefiting in any way from any transaction involving any item exported or to be exported from the United States that is subject to the EAR, or in any other activity subject to the EAR.
Second, that no person may, directly or indirectly, do any of the following:
A. Export, reexport, or transfer (in-country) to or on behalf of the denied person any item subject to the EAR;
B. Take any action that facilitates the acquisition or attempted acquisition by a denied person of the ownership, possession, or control of any item subject to the EAR that has been or will be exported from the United States, including financing or other support activities related to a transaction whereby a denied person acquires or attempts to acquire such ownership, possession or control;
C. Take any action to acquire from or to facilitate the acquisition or attempted acquisition from the denied person of any item subject to the EAR that has been exported from the United States;
D. Obtain from the denied person in the United States any item subject to the EAR with knowledge or reason to know that the item will be, or is intended to be, exported from the United States; or
E. Engage in any transaction to service any item subject to the EAR that has been or will be exported from the United States and which is owned, possessed or controlled by a denied person, or service any item, of whatever origin, that is owned, possessed or controlled by a denied person if such service involves the use of any item subject to the EAR that has been or will be exported from the United States. For purposes of this paragraph, servicing means installation, maintenance, repair, modification or testing.
Third, that, after notice and opportunity for comment as provided in § 766.23 of the EAR, any person, firm, corporation, or business organization related to the denied person by affiliation, ownership, control, or position of responsibility in the conduct of trade or related services may also be made subject to the provisions of this order.
This order, which constitutes the final agency action in this matter, is effective [DATE OF ISSUANCE].”
PART 766 – ADMINISTRATIVE ENFORCEMENT PROCEEDINGS
§ 766.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. This part describes the procedures for imposing administrative sanctions for violations of the Export Administration Act of 1979, as amended (the EAA), the Export Administration Regulations (EAR), or any order, license or authorization issued thereunder. Parts 760 and 764 of the EAR specify those actions that constitute violations, and part 764 describes the sanctions that apply. In addition to describing the procedures for imposing sanctions, this part describes the procedures for imposing temporary denial orders to prevent imminent violations of the EAA, the EAR, or any order, license or authorization issued thereunder. This part also describes the procedures for taking the discretionary protective administrative action of denying the export privileges of persons who have been convicted of violating any of the statutes, including the EAA, listed in section 11(h) of the EAA. Nothing in this part shall be construed as applying to or limiting other administrative or enforcement action relating to the EAA or the EAR, including the exercise of any investigative authorities conferred by the EAA. This part does not confer any procedural rights or impose any requirements based on the Administrative Procedure Act for proceedings charging violations under the EAA, except as expressly provided for in this part.
§ 766.2 Definitions.
As used in this part, the following definitions apply:
Administrative law judge. The person authorized to conduct hearings in administrative enforcement proceedings brought under the EAA or to hear appeals from the imposition of temporary denial orders. The term “judge” may be used for brevity when it is clear that the reference is to the administrative law judge.
Assistant Secretary. The Assistant Secretary for Export Enforcement, Bureau of Industry and Security.
Bureau of Industry and Security (BIS). Bureau of Industry and Security, U.S. Department of Commerce (formerly the Bureau of Export Administration) and all of its component units, including, in particular for purposes of this part, the Office of Antiboycott Compliance, the Office of Export Enforcement, and the Office of Exporter Services.
Final decision. A decision or order assessing a civil penalty, denial of export privileges or other sanction, or otherwise disposing of or dismissing a case, which is not subject to further review under this part, but which is subject to collection proceedings or judicial review in an appropriate Federal district court as authorized by law.
Initial decision. A decision of the administrative law judge in proceedings involving violations relating to part 760 of the EAR, which is subject to appellate review by the Under Secretary of Commerce for Industry and Security, but which becomes the final decision in the absence of such an appeal.
Party. BIS and any person named as a respondent under this part.
Recommended decision. A decision of the administrative law judge in proceedings involving violations other than those relating to part 760 of the EAR, which is subject to review by the Under Secretary of Commerce for Industry and Security, who issues a written order affirming, modifying or vacating the recommended decision.
Respondent. Any person named as the subject of a charging letter, proposed charging letter, temporary denial order, or other order proposed or issued under this part.
Under Secretary. The Under Secretary for Industry and Security, United States Department of Commerce.
§ 766.3 Institution of administrative enforcement proceedings.
(a) Charging letters. The Director of the Office of Export Enforcement (OEE) or the Director of the Office of Antiboycott Compliance (OAC), as appropriate, or such other Department of Commerce official as may be designated by the Assistant Secretary of Commerce for Export Enforcement, may begin administrative enforcement proceedings under this part by issuing a charging letter in the name of BIS. Supplements nos. 1 and 2 to this part describe how BIS typically exercises its discretion regarding the issuance of charging letters. The charging letter shall constitute the formal complaint and will state that there is reason to believe that a violation of the EAA, the EAR, or any order, license or authorization issued thereunder, has occurred. It will set forth the essential facts about the alleged violation, refer to the specific regulatory or other provisions involved, and give notice of the sanctions available under part 764 of the EAR. The charging letter will inform the respondent that failure to answer the charges as provided in § 766.6 of this part will be treated as a default under § 766.7 of this part, that the respondent is entitled to a hearing if a written demand for one is requested with the answer, and that the respondent may be represented by counsel, or by other authorized representative who has a power of attorney to represent the respondent. A copy of the charging letter shall be filed with the administrative law judge, which filing shall toll the running of the applicable statute of limitations. Charging letters may be amended or supplemented at any time before an answer is filed, or, with permission of the administrative law judge, afterwards. BIS may unilaterally withdraw charging letters at any time, by notifying the respondent and the administrative law judge.
(b) Notice of issuance of charging letter instituting administrative enforcement proceeding. A respondent shall be notified of the issuance of a charging letter, or any amendment or supplement thereto:
(1) By sending a copy by registered or certified mail or by express mail or commercial courier or delivery service addressed to the respondent at the respondent’s last known address;
(2) By leaving a copy with the respondent or with an officer, a managing or general agent, or any other agent authorized by appointment or by law to receive service of process for the respondent; or
(3) By leaving a copy with a person of suitable age and discretion who resides at the respondent’s last known dwelling.
(4) Delivery of a copy of the charging letter, if made in the manner described in paragraph (b)(2) or (3) of this section, shall be evidenced by a certificate of service signed by the person making such service, stating the method of service and the identity of the person with whom the charging letter was left. The certificate of service shall be filed with the administrative law judge.
(c) The date of service of notice of the issuance of a charging letter instituting an administrative enforcement proceeding, or service of notice of the issuance of a supplement or amendment to a charging letter, is the date of its delivery, or of its attempted delivery, by any means described in paragraph (b)(1) of this section.
§ 766.4 Representation.
A respondent individual may appear and participate in person, a corporation by a duly authorized officer or employee, and a partnership by a partner. If a respondent is represented by counsel, counsel shall be a member in good standing of the bar of any State, Commonwealth or Territory of the United States, or of the District of Columbia, or be licensed to practice law in the country in which counsel resides if not the United States. A respondent personally, or through counsel or other representative, shall file a notice of appearance with the administrative law judge. BIS will be represented by the Office of Chief Counsel for Industry and Security, U.S. Department of Commerce.
§ 766.5 Filing and service of papers other than charging letter.
(a) Filing. All papers to be filed shall be addressed to EAR Administrative Enforcement Proceedings, U.S. Coast Guard, ALJ Docketing Center, 40 S. Gay Street, Baltimore, Maryland, 21202-4022, or such other place as the administrative law judge may designate. Filing by United States mail, first class postage prepaid, by express or equivalent parcel delivery service, or by hand delivery, is acceptable. Filing by mail from a foreign country shall be by airmail. In addition, the administrative law judge may authorize filing of papers by facsimile or other electronic means, provided that a hard copy of any such paper is subsequently filed. A copy of each paper filed shall be simultaneously served on each party.
(b) Service. Service shall be made by personal delivery or by mailing one copy of each paper to each party in the proceeding. Service by delivery service or facsimile, in the manner set forth in paragraph (a) of this section, is acceptable. Service on BIS shall be addressed to the Chief Counsel for Industry and Security, Room H-3839, U.S. Department of Commerce, 14th Street and Constitution Avenue, N.W., Washington, D.C. 20230. Service on a respondent shall be to the address to which the charging letter was sent or to such other address as respondent may provide. When a party has appeared by counsel or other representative, service on counsel or other representative shall constitute service on that party.
(c) Date. The date of filing or service is the day when the papers are deposited in the mail or are delivered in person, by delivery service, or by facsimile.
(d) Certificate of service. A certificate of service signed by the party making service, stating the date and manner of service, shall accompany every paper, other than the charging letter, filed and served on parties.
(e) Computing period of time. In computing any period of time prescribed or allowed by this part or by order of the administrative law judge or the Under Secretary, the day of the act, event, or default from which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included unless it is a Saturday, a Sunday, or a legal holiday (as defined in Rule 6(a) of the Federal Rules of Civil Procedure), in which case the period runs until the end of the next day which is neither a Saturday, a Sunday, nor a legal holiday. Intermediate Saturdays, Sundays, and legal holidays are excluded from the computation when the period of time prescribed or allowed is seven days or less.
§ 766.6 Answer and demand for hearing.
(a) When to answer. The respondent must answer the charging letter within 30 days after being served with notice of the issuance of a charging letter instituting an administrative enforcement proceeding, or within 30 days of notice of any supplement or amendment to a charging letter, unless time is extended under § 766.16 of this part.
(b) Contents of answer. The answer must be responsive to the charging letter and must fully set forth the nature of the respondent’s defense or defenses. The answer must admit or deny specifically each separate allegation of the charging letter; if the respondent is without knowledge, the answer must so state and will operate as a denial. Failure to deny or controvert a particular allegation will be deemed an admission of that allegation. The answer must also set forth any additional or new matter the respondent believes supports a defense or claim of mitigation. Any defense or partial defense not specifically set forth in the answer shall be deemed waived, and evidence thereon may be refused, except for good cause shown.
(c) Demand for hearing. If the respondent desires a hearing, a written demand for one must be submitted with the answer. Any demand by BIS for a hearing must be filed with the administrative law judge within 30 days after service of the answer. Failure to make a timely written demand for a hearing shall be deemed a waiver of the party’s right to a hearing, except for good cause shown. If no party demands a hearing, the matter will go forward in accordance with the procedures set forth in § 766.15 of this part.
(d) English language required. The answer, all other papers, and all documentary evidence must be submitted in English, or translations into English must be filed and served at the same time.
§ 766.7 Default.
(a) General. Failure of the respondent to file an answer within the time provided constitutes a waiver of the respondent’s right to appear and contest the allegations in the charging letter. In such event, the administrative law judge, on BIS’s motion and without further notice to the respondent, shall find the facts to be as alleged in the charging letter and render an initial or recommended decision containing findings of fact and appropriate conclusions of law and issue or recommend an order imposing appropriate sanctions. The decision and order shall be subject to review by the Under Secretary in accordance with the applicable procedures set forth in § 766.21 or § 766.22 of this part.
(b) Petition to set aside default – (1) Procedure. Upon petition filed by a respondent against whom a default order has been issued, which petition is accompanied by an answer meeting the requirements of § 766.6(b) of this part, the Under Secretary may, after giving all parties an opportunity to comment, and for good cause shown, set aside the default and vacate the order entered thereon and remand the matter to the administrative law judge for further proceedings.
(2) Time limits. A petition under this section must be made within one year of the date of entry of the order which the petition seeks to have vacated.
§ 766.8 Summary decision.
At any time after a proceeding has been initiated, a party may move for a summary decision disposing of some or all of the issues. The administrative law judge may render an initial or recommended decision and issue or recommend an order if the entire record shows, as to the issue(s) under consideration:
(a) That there is no genuine issue as to any material fact; and
(b) That the moving party is entitled to a summary decision as a matter of law.
§ 766.9 Discovery.
(a) General. The parties are encouraged to engage in voluntary discovery regarding any matter, not privileged, which is relevant to the subject matter of the pending proceeding. The provisions of the Federal Rules of Civil Procedure relating to discovery apply to the extent consistent with this part and except as otherwise provided by the administrative law judge or by waiver or agreement of the parties. The administrative law judge may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense. These orders may include limitations on the scope, method, time and place of discovery, and provisions for protecting the confidentiality of classified or otherwise sensitive information.
(b) Interrogatories and requests for admission or production of documents. A party may serve on any party interrogatories, requests for admission, or requests for production of documents for inspection and copying, and a party concerned may apply to the administrative law judge for such enforcement or protective order as that party deems warranted with respect to such discovery. The service of a discovery request shall be made at least 20 days before the scheduled date of the hearing unless the administrative law judge specifies a shorter time period. Copies of interrogatories, requests for admission and requests for production of documents and responses thereto shall be served on all parties, and a copy of the certificate of service shall be filed with the administrative law judge. Matters of fact or law of which admission is requested shall be deemed admitted unless, within a period designated in the request (at least 10 days after service, or within such additional time as the administrative law judge may allow), the party to whom the request is directed serves upon the requesting party a sworn statement either denying specifically the matters of which admission is requested or setting forth in detail the reasons why the party to whom the request is directed cannot truthfully either admit or deny such matters.
(c) Depositions. Upon application of a party and for good cause shown, the administrative law judge may order the taking of the testimony of any person by deposition and the production of specified documents or materials by the person at the deposition. The application shall state the purpose of the deposition and set forth the facts sought to be established through the deposition.
(d) Enforcement. The administrative law judge may order a party to answer designated questions, to produce specified documents or things or to take any other action in response to a proper discovery request. If a party does not comply with such an order, the administrative law judge may make a determination or enter any order in the proceeding as the judge deems reasonable and appropriate. The judge may strike related charges or defenses in whole or in part or may take particular facts relating to the discovery request to which the party failed or refused to respond as being established for purposes of the proceeding in accordance with the contentions of the party seeking discovery. In addition, enforcement by a district court of the United States may be sought under section 12(a) of the EAA.
§ 766.10 Subpoenas.
(a) Issuance. Upon the application of any party, supported by a satisfactory showing that there is substantial reason to believe that the evidence would not otherwise be available, the administrative law judge will issue subpoenas requiring the attendance and testimony of witnesses and the production of such books, records or other documentary or physical evidence for the purpose of the hearing, as the judge deems relevant and material to the proceedings, and reasonable in scope.
(b) Service. Subpoenas issued by the administrative law judge may be served in any of the methods set forth in § 766.5(b) of this part.
(c) Timing. Applications for subpoenas must be submitted at least 10 days before the scheduled hearing or deposition, unless the administrative law judge determines, for good cause shown, that extraordinary circumstances warrant a shorter time.
§ 766.11 Matter protected against disclosure.
(a) Protective measures. It is often necessary for BIS to receive and consider information and documents that are sensitive from the standpoint of national security, foreign policy, business confidentiality, or investigative concern, and that are to be protected against disclosure. Accordingly, and without limiting the discretion of the administrative law judge to give effect to any other applicable privilege, it is proper for the administrative law judge to limit discovery or introduction of evidence or to issue such protective or other orders as in the judge’s judgment may be consistent with the objective of preventing undue disclosure of the sensitive documents or information. Where the administrative law judge determines that documents containing the sensitive matter need to be made available to a respondent to avoid prejudice, the judge may direct BIS to prepare an unclassified and nonsensitive summary or extract of the documents. The administrative law judge may compare the extract or summary with the original to ensure that it is supported by the source document and that it omits only so much as must remain classified or undisclosed. The summary or extract may be admitted as evidence in the record.
(b) Arrangements for access. If the administrative law judge determines that this procedure is unsatisfactory and that classified or otherwise sensitive matter must form part of the record in order to avoid prejudice to a party, the judge may provide the parties opportunity to make arrangements that permit a party or a representative to have access to such matter without compromising sensitive information. Such arrangements may include obtaining security clearances, obtaining a national interest determination under section 12(c) of the EAA, or giving counsel for a party access to sensitive information and documents subject to assurances against further disclosure, including a protective order, if necessary.
§ 766.12 Prehearing conference.
(a) The administrative law judge, on the judge’s own motion or on request of a party, may direct the parties to participate in a prehearing conference, either in person or by telephone, to consider:
(1) Simplification of issues;
(2) The necessity or desirability of amendments to pleadings;
(3) Obtaining stipulations of fact and of documents to avoid unnecessary proof; or
(4) Such other matters as may expedite the disposition of the proceedings.
(b) The administrative law judge may order the conference proceedings to be recorded electronically or taken by a reporter, transcribed and filed with the judge.
(c) If a prehearing conference is impracticable, the administrative law judge may direct the parties to correspond with the judge to achieve the purposes of such a conference.
(d) The administrative law judge will prepare a summary of any actions agreed on or taken pursuant to this section. The summary will include any written stipulations or agreements made by the parties.
§ 766.13 Hearings.
(a) Scheduling. The administrative law judge, by agreement with the parties or upon notice to all parties of not less than 30 days, will schedule a hearing. All hearings will be held in Washington, D.C., unless the administrative law judge determines, for good cause shown, that another location would better serve the interests of justice.
(b) Hearing procedure. Hearings will be conducted in a fair and impartial manner by the administrative law judge, who may limit attendance at any hearing or portion thereof to the parties, their representatives and witnesses if the judge deems this necessary or advisable in order to protect sensitive matter (see § 766.11 of this part) from improper disclosure. The rules of evidence prevailing in courts of law do not apply, and all evidentiary material deemed by the administrative law judge to be relevant and material to the proceeding and not unduly repetitious will be received and given appropriate weight.
(c) Testimony and record. Witnesses will testify under oath or affirmation. A verbatim record of the hearing and of any other oral proceedings will be taken by reporter or by electronic recording, transcribed and filed with the administrative law judge. A respondent may examine the transcript and may obtain a copy by paying any applicable costs. Upon such terms as the administrative law judge deems just, the judge may direct that the testimony of any person be taken by deposition and may admit an affidavit or declaration as evidence, provided that any affidavits or declarations have been filed and served on the parties sufficiently in advance of the hearing to permit a party to file and serve an objection thereto on the grounds that it is necessary that the affiant or declarant testify at the hearing and be subject to cross-examination.
(d) Failure to appear. If a party fails to appear in person or by counsel at a scheduled hearing, the hearing may nevertheless proceed, and that party’s failure to appear will not affect the validity of the hearing or any proceedings or action taken thereafter.
§ 766.14 Interlocutory review of rulings.
(a) At the request of a party, or on the judge’s own initiative, the administrative law judge may certify to the Under Secretary for review a ruling that does not finally dispose of a proceeding, if the administrative law judge determines that immediate review may hasten or facilitate the final disposition of the matter.
(b) Upon certification to the Under Secretary of the interlocutory ruling for review, the parties will have 10 days to file and serve briefs stating their positions, and five days to file and serve replies, following which the Under Secretary will decide the matter promptly.
§ 766.15 Proceeding without a hearing.
If the parties have waived a hearing, the case will be decided on the record by the administrative law judge. Proceeding without a hearing does not relieve the parties from the necessity of proving the facts supporting their charges or defenses. Affidavits or declarations, depositions, admissions, answers to interrogatories and stipulations may supplement other documentary evidence in the record. The administrative law judge will give each party reasonable opportunity to file rebuttal evidence.
§ 766.16 Procedural stipulations; extension of time.
(a) Procedural stipulations. Unless otherwise ordered, a written stipulation agreed to by all parties and filed with the administrative law judge will modify any procedures established by this part.
(b) Extension of time. (1) The parties may extend any applicable time limitation, by stipulation filed with the administrative law judge before the time limitation expires.
(2) The administrative law judge may, on the judge’s own initiative or upon application by any party, either before or after the expiration of any applicable time limitation, extend the time within which to file and serve an answer to a charging letter or do any other act required by this part.
§ 766.17 Decision of the administrative law judge.
(a) Predecisional matters. Except for default proceedings under § 766.7 of this part, the administrative law judge will give the parties reasonable opportunity to submit the following, which will be made a part of the record:
(1) Exceptions to any ruling by the judge or to the admissibility of evidence proffered at the hearing;
(2) Proposed findings of fact and conclusions of law;
(3) Supporting legal arguments for the exceptions and proposed findings and conclusions submitted; and
(4) A proposed order.
(b) Decision and order. After considering the entire record in the proceeding, the administrative law judge will issue a written decision.
(1) Initial decision. For proceedings charging violations relating to part 760 of the EAR, the decision rendered shall be an initial decision. The decision will include findings of fact, conclusions of law, and findings as to whether there has been a violation of the EAA, the EAR, or any order, license or authorization issued thereunder. If the administrative law judge finds that the evidence of record is insufficient to sustain a finding that a violation has occurred with respect to one or more charges, the judge shall order dismissal of the charges in whole or in part, as appropriate. If the administrative law judge finds that one or more violations have been committed, the judge may issue an order imposing administrative sanctions, as provided in part 764 of the EAR. The decision and order shall be served on each party, and shall become effective as the final decision of the Department 30 days after service, unless an appeal is filed in accordance with § 766.21 of this part.
(2) Recommended decision. For proceedings not involving violations relating to part 760 of the EAR, the decision rendered shall be a recommended decision. The decision will include recommended findings of fact, conclusions of law, and findings as to whether there has been a violation of the EAA, the EAR or any order, license or authorization issued thereunder. If the administrative law judge finds that the evidence of record is insufficient to sustain a recommended finding that a violation has occurred with respect to one or more charges, the judge shall recommend dismissal of any such charge. If the administrative law judge finds that one or more violations have been committed, the judge shall recommend an order imposing administrative sanctions, as provided in part 764 of the EAR, or such other action as the judge deems appropriate. The administrative law judge shall immediately certify the record, including the original copy of the recommended decision and order, to the Under Secretary for review in accordance with § 766.22 of this part. The administrative law judge shall also immediately serve the recommended decision on all parties. Because of the time limits established in the EAA for review by the Under Secretary, service upon parties shall be by personal delivery, express mail or other overnight carrier.
(c) Suspension of sanctions. Any order imposing administrative sanctions may provide for the suspension of the sanction imposed, in whole or in part and on such terms of probation or other conditions as the administrative law judge or the Under Secretary may specify. Any suspension order may be modified or revoked by the signing official upon application of BIS showing a violation of the probationary terms or other conditions, after service on the respondent of notice of the application in accordance with the service provisions of § 766.3 of this part, and with such opportunity for response as the responsible signing official in his/her discretion may allow. A copy of any order modifying or revoking the suspension shall also be served on the respondent in accordance with the provisions of § 766.3 of this part.
(d) Time for decision. Administrative enforcement proceedings not involving violations relating to part 760 of the EAR shall be concluded, including review by the Under Secretary under § 766.22 of this part, within one year of the submission of a charging letter, unless the administrative law judge, for good cause shown, extends such period. The charging letter will be deemed to have been submitted to the administrative law judge on the date the respondent files an answer or on the date BIS files a motion for a default order pursuant to § 766.7(a) of this part, whichever occurs first.
§ 766.18 Settlement.
(a) Cases may be settled before service of a charging letter. In cases in which settlement is reached before service of a charging letter, a proposed charging letter will be prepared, and a settlement proposal consisting of a settlement agreement and order will be submitted to the Assistant Secretary for approval and signature. If the Assistant Secretary does not approve the proposal, he/she will notify the parties and the case will proceed as though no settlement proposal had been made. If the Assistant Secretary approves the proposal, he/she will issue an appropriate order, and no action will be required by the administrative law judge.
(b) Cases may also be settled after service of a charging letter. (1) If the case is pending before the administrative law judge, the judge shall stay the proceedings for a reasonable period of time, usually not to exceed 30 days, upon notification by the parties that they have entered into good faith settlement negotiations. The administrative law judge may, in his/her discretion, grant additional stays. If settlement is reached, a proposal will be submitted to the Assistant Secretary for approval and signature. If the Assistant Secretary approves the proposal, he/she will issue an appropriate order, and notify the administrative law judge that the case is withdrawn from adjudication. If the Assistant Secretary does not approve the proposal, he/she will notify the parties and the case will proceed to adjudication by the administrative law judge as though no settlement proposal had been made.
(2) If the case is pending before the Under Secretary under § 766.21 or § 766.22 of this part, the parties may submit a settlement proposal to the Under Secretary for approval and signature. If the Under Secretary approves the proposal, he/she will issue an appropriate order. If the Under Secretary does not approve the proposal, the case will proceed to final decision in accordance with § 766.21 or § 766.22 of this part, as appropriate.
(c) Any order disposing of a case by settlement may suspend the administrative sanction imposed, in whole or in part, on such terms of probation or other conditions as the signing official may specify. Any such suspension may be modified or revoked by the signing official, in accordance with the procedures set forth in § 766.17(c) of this part.
(d) Any respondent who agrees to an order imposing any administrative sanction does so solely for the purpose of resolving the claims in the administrative enforcement proceeding brought under this part. This reflects the fact that BIS has neither the authority nor the responsibility for instituting, conducting, settling, or otherwise disposing of criminal proceedings. That authority and responsibility are vested in the Attorney General and the Department of Justice.
(e) Cases that are settled may not be reopened or appealed.
(f) Supplements nos. 1 and 2 to this part describe how BIS typically exercises its discretion regarding the terms under which it is willing to settle particular cases.
§ 766.19 Reopening.
The respondent may petition the administrative law judge within one year of the date of the final decision, except where the decision arises from a default judgment or from a settlement, to reopen an administrative enforcement proceeding to receive any relevant and material evidence which was unknown or unobtainable at the time the proceeding was held. The petition must include a summary of such evidence, the reasons why it is deemed relevant and material, and the reasons why it could not have been presented at the time the proceedings were held. The administrative law judge will grant or deny the petition after providing other parties reasonable opportunity to comment. If the proceeding is reopened, the administrative law judge may make such arrangements as the judge deems appropriate for receiving the new evidence and completing the record. The administrative law judge will then issue a new initial or recommended decision and order, and the case will proceed to final decision and order in accordance with § 766.21 or § 766.22 of this part, as appropriate.
§ 766.20 Record for decision and availability of documents.
(a) General. The transcript of hearings, exhibits, rulings, orders, all papers and requests filed in the proceedings and, for purposes of any appeal under § 766.21 of this part or review under § 766.22 of this part, the decision of the administrative law judge and such submissions as are provided for by §§ 766.21 and 766.22 of this part, will constitute the record and the exclusive basis for decision. When a case is settled after the service of a charging letter, the record will consist of any and all of the foregoing, as well as the settlement agreement and the order. When a case is settled before service of a charging letter, the record will consist of the proposed charging letter, the settlement agreement and the order.
(b) Restricted access. On the judge’s own motion, or on the motion of any party, the administrative law judge may direct that there be a restricted access portion of the record for any material in the record to which public access is restricted by law or by the terms of a protective order entered in the proceedings. A party seeking to restrict access to any portion of the record is responsible for submitting, at the time specified in § 766.20(c)(2) of this part, a version of the document proposed for public availability that reflects the requested deletion. The restricted access portion of the record will be placed in a separate file and the file will be clearly marked to avoid improper disclosure and to identify it as a portion of the official record in the proceedings. The administrative law judge may act at any time to permit material that becomes declassified or unrestricted through passage of time to be transferred to the unrestricted access portion of the record.
(c) Availability of documents – (1) Scope. (i) For proceedings started on or after October 12, 1979, all charging letters, answers, initial and recommended decisions, and orders disposing of a case will be made available for public inspection in the BIS Freedom of Information Records Inspection Facility, U.S. Department of Commerce, Room H-6624, 14th Street and Pennsylvania Avenue, N.W., Washington, D.C. 20230. The complete record for decision, as defined in paragraphs (a) and (b) of this section will be made available on request. In addition, all decisions of the Under Secretary on appeal pursuant to § 766.22 of this part and those final orders providing for denial, suspension or revocation of export privileges shall be published in the
(ii) For proceedings started before October 12, 1979, the public availability of the record for decision will be governed by the applicable regulations in effect when the proceedings were begun.
(2) Timing – (i) Antiboycott cases. For matters relating to part 760 of the EAR, documents are available immediately upon filing, except for any portion of the record for which a request for segregation is made. Parties that seek to restrict access to any portion of the record under paragraph (b) of this section must make such a request, together with the reasons supporting the claim of confidentiality, simultaneously with the submission of material for the record.
(ii) Other cases. In all other cases, documents other than charging letters filed on or after June 2, 2022, will be available only after the final administrative disposition of the case. In these cases, parties desiring to restrict access to any portion of the record under paragraph (b) of this section must assert their claim of confidentiality, together with the reasons for supporting the claim, before the close of the proceeding.
§ 766.21 Appeals.
(a) Grounds. For proceedings charging violations relating to part 760 of the EAR, a party may appeal to the Under Secretary from an order disposing of a proceeding or an order denying a petition to set aside a default or a petition for reopening, on the grounds:
(1) That a necessary finding of fact is omitted, erroneous or unsupported by substantial evidence of record;
(2) That a necessary legal conclusion or finding is contrary to law;
(3) That prejudicial procedural error occurred, or
(4) That the decision or the extent of sanctions is arbitrary, capricious or an abuse of discretion. The appeal must specify the grounds on which the appeal is based and the provisions of the order from which the appeal is taken.
(b) Filing of appeal. An appeal from an order must be filed with the Office of the Under Secretary for Export Administration, Bureau of Industry and Security, U.S. Department of Commerce, Room H-3898, 14th Street and Constitution Avenue, NW., Washington, DC 20230, within 30 days after service of the order appealed from. If the Under Secretary cannot act on an appeal for any reason, the Under Secretary will designate another Department of Commerce official to receive and act on the appeal.
(c) Effect of appeal. The filing of an appeal shall not stay the operation of any order, unless the order by its express terms so provides or unless the Under Secretary, upon application by a party and with opportunity for response, grants a stay.
(d) Appeal procedure. The Under Secretary normally will not hold hearings or entertain oral argument on appeals. A full written statement in support of the appeal must be filed with the appeal and be simultaneously served on all parties, who shall have 30 days from service to file a reply. At his/her discretion, the Under Secretary may accept new submissions, but will not ordinarily accept those submissions filed more than 30 days after the filing of the reply to the appellant’s first submission.
(e) Decisions. The decision will be in writing and will be accompanied by an order signed by the Under Secretary giving effect to the decision. The order may either dispose of the case by affirming, modifying or reversing the order of the administrative law judge or may refer the case back to the administrative law judge for further proceedings.
§ 766.22 Review by Under Secretary.
(a) Recommended decision. For proceedings not involving violations relating to part 760 of the EAR, the administrative law judge shall immediately refer the recommended decision and order to the Under Secretary. Because of the time limits provided under the EAA for review by the Under Secretary, service of the recommended decision and order on the parties, all papers filed by the parties in response, and the final decision of the Under Secretary must be by personal delivery, facsimile, express mail or other overnight carrier. If the Under Secretary cannot act on a recommended decision and order for any reason, the Under Secretary will designate another Department of Commerce official to receive and act on the recommendation.
(b) Submissions by parties. Parties shall have 12 days from the date of issuance of the recommended decision and order in which to submit simultaneous responses. Parties thereafter shall have eight days from receipt of any response(s) in which to submit replies. Any response or reply must be received within the time specified by the Under Secretary.
(c) Final decision. Within 30 days after receipt of the recommended decision and order, the Under Secretary shall issue a written order affirming, modifying or vacating the recommended decision and order of the administrative law judge. If he/she vacates the recommended decision and order, the Under Secretary may refer the case back to the administrative law judge for further proceedings. Because of the time limits, the Under Secretary’s review will ordinarily be limited to the written record for decision, including the transcript of any hearing, and any submissions by the parties concerning the recommended decision.
(d) Delivery. The final decision and implementing order shall be served on the parties and will be publicly available in accordance with § 766.20 of this part.
§ 766.23 Related persons.
(a) General. In order to prevent evasion, certain types of orders under this part may be made applicable not only to the respondent, but also to other persons then or thereafter related to the respondent by ownership, control, position of responsibility, affiliation, or other connection in the conduct of trade or business. Orders that may be made applicable to related persons include those that deny or affect export privileges, including temporary denial orders, and those that exclude a respondent from practice before BIS.
(b) Procedures. If BIS has reason to believe that a person is related to the respondent and that an order that is being sought or that has been issued should be made applicable to that person in order to prevent evasion of the order, BIS shall, except in an ex parte proceeding under § 766.24(a) of this part, give that person notice in accordance with § 766.5(b) of this part and an opportunity to oppose such action. If the official authorized to issue the order against the respondent finds that the order should be made applicable to that person in order to prevent evasion of the order that official shall issue or amend the order accordingly.
(c) Appeals. Any person named by BIS in an order as related to the respondent may appeal that action. The sole issues to be raised and ruled on in any such appeal are whether the person so named is related to the respondent and whether the order is justified in order to prevent evasion.
(1) A person named as related to the respondent in an order issued pursuant to § 766.25 may file an appeal with the Under Secretary for Industry and Security pursuant to part 756 of the EAR.
(2) A person named as related to the respondent in an order issued pursuant to other provisions of this part may file an appeal with the administrative law judge.
(i) If the order made applicable to the related person is for a violation related to part 760 of the EAR, the related person may file an appeal with the administrative law judge. The related person may appeal the initial decision and order of the administrative law judge to the Under Secretary in accordance with the procedures set forth in § 766.21.
(ii) If the order made applicable to the related person is issued pursuant to § 766.24 of this part to prevent an imminent violation, the recommended decision and order of the administrative law judge shall be reviewed by the Under Secretary in accordance with the procedures set forth in § 766.24(e) of this part.
(iii) If the order made applicable to the related person is for a violation of the EAR not related to part 760 of the EAR and not issued pursuant to § 766.24 of this part, the recommended decision and order of the administrative law judge shall be reviewed by the Under Secretary in accordance with the procedures set forth in § 766.22 of this part.
§ 766.24 Temporary denials.
(a) General. The procedures in this section apply to temporary denial orders issued on or after July 12, 1985. For temporary denial orders issued on or before July 11, 1985, the proceedings will be governed by the applicable regulations in effect at the time the temporary denial orders were issued. Without limiting any other action BIS may take under the EAR with respect to any application, order, license or authorization issued under the EAA, BIS may ask the Assistant Secretary to issue a temporary denial order on an ex parte basis to prevent an imminent violation, as defined in this section, of the EAA, the EAR, or any order, license or authorization issued thereunder. The temporary denial order will deny export privileges to any person named in the order as provided for in § 764.3(a)(2) of the EAR.
(b) Issuance. (1) The Assistant Secretary may issue an order temporarily denying to a person any or all of the export privileges described in part 764 of the EAR upon a showing by BIS that the order is necessary in the public interest to prevent an imminent violation of the EAA, the EAR, or any order, license or authorization issued thereunder.
(2) The temporary denial order shall define the imminent violation and state why it was issued without a hearing. Because all denial orders are public, the description of the imminent violation and the reasons for proceeding on an ex parte basis set forth therein shall be stated in a manner that is consistent with national security, foreign policy, business confidentiality, and investigative concerns.
(3) A violation may be “imminent” either in time or in degree of likelihood. To establish grounds for the temporary denial order, BIS may show either that a violation is about to occur, or that the general circumstances of the matter under investigation or case under criminal or administrative charges demonstrate a likelihood of future violations. To indicate the likelihood of future violations, BIS may show that the violation under investigation or charges is significant, deliberate, covert and/or likely to occur again, rather than technical or negligent, and that it is appropriate to give notice to companies in the United States and abroad to cease dealing with the person in U.S.-origin items in order to reduce the likelihood that a person under investigation or charges continues to export or acquire abroad such items, risking subsequent disposition contrary to export control requirements. Lack of information establishing the precise time a violation may occur does not preclude a finding that a violation is imminent, so long as there is sufficient reason to believe the likelihood of a violation.
(4) The temporary denial order will be issued for a period not exceeding 180 days.
(5) Notice of the issuance of a temporary denial order on an ex parte basis shall be given in accordance with § 766.5(b) of this part upon issuance.
(c) Related persons. A temporary denial order may be made applicable to related persons in accordance with § 766.23 of this part.
(d) Renewal. (1) If, no later than 20 days before the expiration date of a temporary denial order, BIS believes that renewal of the denial order is necessary in the public interest to prevent an imminent violation, BIS may file a written request setting forth the basis for its belief, including any additional or changed circumstances, asking that the Assistant Secretary renew the temporary denial order, with modifications, if any are appropriate, for an additional period not exceeding 180 days. BIS’s request shall be delivered to the respondent, or any agent designated for this purpose, in accordance with § 766.5(b) of this part, which will constitute notice of the renewal application.
(2) Non-resident respondents. To facilitate timely notice of renewal requests, a respondent not a resident of the United States may designate a local agent for this purpose and provide written notification of such designation to BIS in the manner set forth in § 766.5(b) of this part.
(3) Hearing. (i) A respondent may oppose renewal of a temporary denial order by filing with the Assistant Secretary a written submission, supported by appropriate evidence, to be received not later than seven days before the expiration date of such order. For good cause shown, the Assistant Secretary may consider submissions received not later than five days before the expiration date. The Assistant Secretary ordinarily will not allow discovery; however, for good cause shown in respondent’s submission, he/she may allow the parties to take limited discovery, consisting of a request for production of documents. If requested by the respondent in the written submission, the Assistant Secretary shall hold a hearing on the renewal application. The hearing shall be on the record and ordinarily will consist only of oral argument. The only issue to be considered on BIS’s request for renewal is whether the temporary denial order should be continued to prevent an imminent violation as defined herein.
(ii) Any person designated as a related person may not oppose the issuance or renewal of the temporary denial order, but may file an appeal in accordance with § 766.23(c) of this part.
(iii) If no written opposition to BIS’s renewal request is received within the specified time, the Assistant Secretary may issue the order renewing the temporary denial order without a hearing.
(4) A temporary denial order may be renewed more than once.
(e) Appeals – (1) Filing. (i) A respondent may, at any time, file an appeal of the initial or renewed temporary denial order with the administrative law judge.
(ii) The filing of an appeal shall stay neither the effectiveness of the temporary denial order nor any application for renewal, nor will it operate to bar the Assistant Secretary’s consideration of any renewal application.
(2) Grounds. A respondent may appeal on the grounds that the finding that the order is necessary in the public interest to prevent an imminent violation is unsupported.
(3) Appeal procedure. A full written statement in support of the appeal must be filed with the appeal together with appropriate evidence, and be simultaneously served on BIS, which shall have seven days from receipt to file a reply. Service on the administrative law judge shall be addressed to U.S. Coast Guard, ALJ Docketing Center, 40 S. Gay Street, Baltimore, Maryland, 21202-4022. Service on BIS shall be as set forth in § 766.5(b) of this part. The administrative law judge normally will not hold hearings or entertain oral argument on appeals.
(4) Recommended decision. Within 10 working days after an appeal is filed, the administrative law judge shall submit a recommended decision to the Under Secretary, and serve copies on the parties, recommending whether the issuance or the renewal of the temporary denial order should be affirmed, modified or vacated.
(5) Final decision. Within five working days after receipt of the recommended decision, the Under Secretary shall issue a written order accepting, rejecting or modifying the recommended decision. Because of the time constraints, the Under Secretary’s review will ordinarily be limited to the written record for decision, including the transcript of any hearing. The issuance or renewal of the temporary denial order shall be affirmed only if there is reason to believe that the temporary denial order is required in the public interest to prevent an imminent violation of the EAA, the EAR, or any order, license or other authorization issued under the EAA.
(f) Delivery. A copy of any temporary denial order issued or renewed and any final decision on appeal shall be published in the
§ 766.25 Administrative action denying export privileges.
(a) General. The Director of the Office of Export Enforcement (OEE), in consultation with the Director of the Office of Exporter Services, may deny the export privileges of any person who has been convicted of a violation of any of the statutes set forth at 50 U.S.C. 4819(e)(1)(B), including any regulation, license, or order issued pursuant to such statutes.
(b) Procedure. Upon notification that a person has been convicted of a violation of one or more of the provisions specified in paragraph (a) of this section, the Director of OEE, in consultation with the Director of the Office of Exporter Services, will determine whether to deny such person export privileges, including but not limited to applying for, obtaining, or using any license, License Exception, or export control document; or participating in or benefitting in any way from any export or export-related transaction subject to the EAR. Before taking action to deny a person export privileges under this section, the Director of OEE will provide the person written notice of the proposed action and an opportunity to comment through a written submission, unless exceptional circumstances exist. In reviewing the response, the Director of OEE will consider any relevant or mitigating evidence why these privileges should not be denied. Upon final determination, the Director of OEE will notify by letter each person denied export privileges under this section.
(c) Criteria. In determining whether and for how long to deny U.S. export privileges to a person previously convicted of one or more of the statutes set forth in paragraph (a) of this section, the Director of OEE may take into consideration any relevant information, including, but not limited to, the seriousness of the offense involved in the criminal prosecution, the nature and duration of the criminal sanctions imposed, and whether the person has undertaken any corrective measures.
(d) Duration. Any denial of export privileges under this section shall not exceed 10 years from the date of the conviction of the person who is subject to the denial.
(e) Effect. Any person denied export privileges under this section will be considered a “person denied export privileges” for purposes of § 736.2(b)(4) (General Prohibition 4 – Engage in actions prohibited by a denial order) and § 764.2(k) of the EAR.
(f) Publication. The orders denying export privileges under this section are published in the
(g) Appeal. An appeal of an action under this section will be pursuant to part 756 of the EAR.
(h) Applicability to related person. The Director of OEE, in consultation with the Director of the Office of Exporter Services, may take action in accordance with § 766.23 of this part to make applicable to related persons an order that is being sought or that has been issued under this section.
Supplement No. 1 to Part 766 – Guidance on Charging and Penalty Determinations in Settlement of Administrative Enforcement Cases
This Supplement describes how the Office of Export Enforcement (OEE) at the Bureau of Industry and Security (BIS) responds to apparent violations of the Export Administration Regulations (EAR) and, specifically, how OEE makes penalty determinations in the settlement of civil administrative enforcement cases under part 764 of the EAR. This guidance does not apply to enforcement cases for violations under part 760 of the EAR – Restrictive Trade Practices or Boycotts. Supplement No. 2 to part 766 continues to apply to civil administrative enforcement cases involving part 760 violations.
Because many administrative enforcement cases are resolved through settlement, the process of settling such cases is integral to the enforcement program. OEE carefully considers each settlement offer in light of the facts and circumstances of the case, relevant precedent, and OEE’s objective to achieve in each case an appropriate penalty and deterrent effect. In settlement negotiations, OEE encourages parties to provide, and will give serious consideration to, information and evidence that parties believe are relevant to the application of this guidance to their cases, to whether a violation has in fact occurred, or to whether they have an affirmative defense to potential charges.
This guidance does not confer any right or impose any obligation regarding what penalties OEE may seek in litigating a case or what posture OEE may take toward settling a case. Parties do not have a right to a settlement offer or particular settlement terms from OEE, regardless of settlement positions OEE has taken in other cases.
See also: Definitions contained in § 766.2 of the EAR.
Apparent violation means conduct that constitutes an actual or possible violation of the Export Administration Act of 1979, the International Emergency Economic Powers Act, the EAR, other statutes administered or enforced by BIS, as well as executive orders, regulations, orders, directives, or licenses issued pursuant thereto.
Applicable schedule amount means:
1. $1,000 with respect to a transaction valued at less than $1,000;
2. $10,000 with respect to a transaction valued at $1,000 or more but less than $10,000;
3. $25,000 with respect to a transaction valued at $10,000 or more but less than $25,000;
4. $50,000 with respect to a transaction valued at $25,000 or more but less than $50,000;
5. $100,000 with respect to a transaction valued at $50,000 or more but less than $100,000;
6. $170,000 with respect to a transaction valued at $100,000 or more but less than $170,000;
7. $250,000 with respect to a transaction valued at $170,000 or more.
Note to definition of applicable schedule amount. The applicable schedule amount may be adjusted in accordance with U.S. law, e.g., the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114-74, sec. 701).
Transaction value means the U.S. dollar value of a subject transaction, as demonstrated by commercial invoices, bills of lading, signed Customs declarations, AES filings or similar documents. Where the transaction value is not otherwise ascertainable, OEE may consider the market value of the items that were the subject of the transaction and/or the economic benefit derived by the Respondent from the transaction, in determining transaction value. In situations involving a lease of U.S.-origin items, the transaction value will generally be the value of the lease. For purposes of these Guidelines, “transaction value” will not necessarily have the same meaning, nor be applied in the same manner, as that term is used for import valuation purposes at 19 CFR 152.103.
Voluntary self-disclosure means the self-initiated notification to OEE of an apparent violation as described in and satisfying the requirements of § 764.5 of the EAR.
OEE, among other responsibilities, investigates apparent violations of the EAR, or any order, license or authorization issued thereunder. When it appears that such a violation may have occurred, OEE investigations may lead to no action, a warning letter or an administrative enforcement proceeding. A violation may also be referred to the Department of Justice for criminal prosecution. The type of enforcement action initiated by OEE will depend primarily on the nature of the violation. Depending on the facts and circumstances of a particular case, an OEE investigation may lead to one or more of the following actions:
A. No Action. If OEE determines that there is insufficient evidence to conclude that a violation has occurred, determines that a violation did not occur and/or, based on an analysis of the Factors outlined in Section III of these Guidelines, concludes that the conduct does not rise to a level warranting an administrative response, then no action will be taken. In such circumstances, if the investigation was initiated by a voluntary self-disclosure (VSD), OEE will issue a letter (a no-action letter) indicating that the investigation is being closed with no administrative action being taken. OEE may issue a no-action letter in non-voluntarily disclosed cases at its discretion. A no-action determination by OEE represents OEE’s disposition of the apparent violation, unless OEE later learns of additional information regarding the same or similar transactions or other relevant facts. A no-action letter is not a final agency action with respect to whether a violation occurred.
B. Warning Letter. If OEE determines that a violation may have occurred but a civil penalty is not warranted under the circumstances, and believes that the underlying conduct could lead to a violation in other circumstances and/or that a Respondent does not appear to be exercising due diligence in assuring compliance with the statutes, executive orders, and regulations that OEE enforces, OEE may issue a warning letter. A warning letter may convey OEE’s concerns about the underlying conduct and/or the Respondent’s compliance policies, practices, and/or procedures. It may also address an apparent violation of a technical nature, where good faith efforts to comply with the law and cooperate with the investigation are present, or where the investigation commenced as a result of a voluntary self-disclosure satisfying the requirements of § 764.5 of the EAR, provided that no aggravating factors exist. In the exercise of its discretion, OEE may determine in certain instances that issuing a warning letter, instead of bringing an administrative enforcement proceeding, will achieve the appropriate enforcement result. A warning letter will describe the apparent violation and urge compliance. A warning letter represents OEE’s enforcement response to and disposition of the apparent violation, unless OEE later learns of additional information concerning the same or similar apparent violations. A warning letter does not constitute a final agency action with respect to whether a violation has occurred.
C. Administrative enforcement case. If OEE determines that a violation has occurred and, based on an analysis of the Factors outlined in Section III of these Guidelines, concludes that the Respondent’s conduct warrants a civil monetary penalty or other administrative sanctions, OEE may initiate an administrative enforcement case. The issuance of a charging letter under § 766.3 of the EAR initiates an administrative enforcement proceeding. Charging letters may be issued when there is reason to believe that a violation has occurred. Cases may be settled before or after the issuance of a charging letter. See § 766.18 of the EAR. OEE may prepare a proposed charging letter which could result in a case being settled before issuance of an actual charging letter. See § 766.18(a) of the EAR. If a case does not settle before issuance of a charging letter and the case proceeds to adjudication, the resulting charging letter may include more violations than alleged in the proposed charging letter, and the civil monetary penalty amounts assessed may be greater that those provided for in Section IV of these Guidelines. Civil monetary penalty amounts for cases settled before the issuance of a charging letter will be determined as discussed in Section IV of these Guidelines. A civil monetary penalty may be assessed for each violation. The maximum amount of such a penalty per violation is stated in § 764.3(a)(1), subject to adjustments under the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461), which are codified at 15 CFR 6.4. OEE will afford the Respondent an opportunity to respond to a proposed charging letter. Responses to charging letters following the institution of an enforcement proceeding under part 766 of the EAR are governed by § 766.3 of the EAR.
D. Civil Monetary Penalty. OEE may seek a civil monetary penalty if OEE determines that a violation has occurred and, based on the Factors outlined in Section III of these Guidelines, concludes that the Respondent’s conduct warrants a monetary penalty. Section IV of these Guidelines will guide the agency’s exercise of its discretion in determining civil monetary penalty amounts.
E. Criminal Referral. In appropriate circumstances, OEE may refer the matter to the Department of Justice for criminal prosecution. Apparent violations referred for criminal prosecution also may be subject to a civil monetary penalty and/or other administrative sanctions or action by BIS.
F. Other Administrative Sanctions or Actions. In addition to or in lieu of other administrative actions, OEE may seek sanctions listed in § 764.3 of the EAR. BIS may also take the following administrative actions, among other actions, in response to an apparent violation:
License Revision, Suspension or Revocation. BIS authorizations to engage in a transaction pursuant to a license or license exception may be revised, suspended or revoked in response to an apparent violation as provided in §§ 740.2(b) and 750.8 of the EAR.
Denial of Export Privileges. An order denying a Respondent’s export privileges may be issued, as described in § 764.3(a)(2) of the EAR. Such a denial may extend to all export privileges, as set out in the standard terms for denial orders in Supplement No. 1 to part 764 of the EAR, or may be narrower in scope (e.g., limited to exports of specified items or to specified destinations or customers). A denial order may also be suspended in whole or in part in accordance with § 766.18(c).
Exclusion from practice. Under § 764.3(a)(3) of the EAR, any person acting as an attorney, accountant, consultant, freight forwarder or other person who acts in a representative capacity in any matter before BIS may be excluded from practicing before BIS.
Training and Audit Requirements. In appropriate cases, OEE may require as part of a settlement agreement that the Respondent provide training to employees as part of its compliance program, adopt other compliance measures, and/or be subject to internal or independent audits by a qualified outside person. In those cases, OEE may suspend or defer a portion or all of the penalty amount if the suspended amount is applied to comply with such requirements.
G. Suspension or Deferral. In appropriate cases, payment of a civil monetary penalty may be suspended or deferred during a probationary period under a settlement agreement and order. If the terms of the settlement agreement or order are not adhered to by the Respondent, then suspension or deferral may be revoked and the full amount of the penalty imposed. See § 764.3(a)(1)(iii) of the EAR. In determining whether suspension or deferral is appropriate, OEE may consider, for example, whether the Respondent has demonstrated a limited ability to pay a penalty that would be appropriate for such violations, so that suspended or deferred payment can be expected to have sufficient deterrent value, and whether, in light of all of the circumstances, such suspension or deferral is necessary to make the financial impact of the penalty consistent with the impact of penalties on other parties who committed similar violations. OEE may also take into account when determining whether or not to suspend or defer a civil penalty whether the Respondent will apply a portion or all of the funds suspended or deferred to audit, compliance, or training that may be required under a settlement agreement and order, or the matter is part of a “global settlement” as discussed in more detail below.
Many apparent violations are isolated occurrences, the result of a good-faith misinterpretation, or involve no more than simple negligence or carelessness. In such instances, absent the presence of aggravating factors, the matter frequently may be addressed with a no action determination letter or, if deemed necessary, a warning letter. Where the imposition of an administrative penalty is deemed appropriate, as a general matter, OEE will consider some or all of the following Factors in determining the appropriate sanctions in administrative cases, including the appropriate amount of a civil monetary penalty where such a penalty is sought and is imposed as part of a settlement agreement and order. These factors describe circumstances that, in OEE’s experience, are commonly relevant to penalty determinations in settled cases. Factors that are considered exclusively aggravating, such as willfulness, or exclusively mitigating, such as situations where remedial measures were taken, are set forth below. This guidance also identifies General Factors – which can be either mitigating or aggravating – such as the presence or absence of an internal compliance program at the time the apparent violations occurred. Other relevant Factors may also be considered at the agency’s discretion.
While some violations of the EAR have a degree of knowledge or intent as an element of the offense, OEE may regard a violation of any provision of the EAR as knowing or willful if the facts and circumstances of the case support that conclusion. For example, evidence that a corporate entity had knowledge at a senior management level may mean that a higher penalty may be appropriate. OEE will also consider, in accordance with Supplement No. 3 to part 732 of the EAR, the presence of any red flags that should have alerted the Respondent that a violation was likely to occur. The aggravating factors identified in the Guidelines do not alter or amend § 764.2(e) or the definition of “knowledge” in § 772.1, or other provisions of parts 764 and 772 of the EAR. If the violations are of such a nature and extent that a monetary fine alone represents an insufficient penalty, a denial or exclusion order may also be imposed to prevent future violations of the EAR.
A. Willful or Reckless Violation of Law. OEE will consider a Respondent’s apparent willfulness or recklessness in violating, attempting to violate, conspiring to violate, or causing a violation of the law. Generally, to the extent the conduct at issue appears to be the result of willful conduct – a deliberate intent to violate, attempt to violate, conspire to violate, or cause a violation of the law – the OEE enforcement response will be stronger. Among the factors OEE may consider in evaluating apparent willfulness or recklessness are:
1. Willfulness. Was the conduct at issue the result of a decision to take action with the knowledge that such action would constitute a violation of U.S. law? Did the Respondent know that the underlying conduct constituted, or likely constituted, a violation of U.S. law at the time of the conduct?
2. Recklessness/gross negligence. Did the Respondent demonstrate reckless disregard or gross negligence with respect to compliance with U.S. regulatory requirements or otherwise fail to exercise a minimal degree of caution or care in avoiding conduct that led to the apparent violation? Were there warning signs that should have alerted the Respondent that an action or failure to act would lead to an apparent violation?
3. Concealment. Was there a deliberate effort by the Respondent to hide or purposely obfuscate its conduct in order to mislead OEE, federal, state, or foreign regulators, or other parties involved in the conduct, about an apparent violation?
Failure to voluntarily disclose an apparent violation to OEE does not constitute concealment.
4. Pattern of Conduct. Did the apparent violation constitute or result from a pattern or practice of conduct or was it relatively isolated and atypical in nature? In determining both whether to bring charges and, once charges are brought, whether to treat the case as egregious, OEE will be mindful of certain situations where multiple recurring violations resulted from a single inadvertent error, such as misclassification. However, for cases that settle before filing of a charging letter with an Administrative Law Judge, OEE will generally charge only the most serious violation per transaction. If OEE issues a proposed charging letter and subsequently files a charging letter with an Administrative Law Judge because a mutually agreeable settlement cannot be reached, OEE will continue to reserve its authority to proceed with all available charges in the charging letter based on the facts presented. When determining a penalty, each violation is potentially chargeable.
5. Prior Notice. Was the Respondent on notice, or should it reasonably have been on notice, that the conduct at issue, or similar conduct, constituted a violation of U.S. law?
6. Management Involvement. In cases of entities, at what level within the organization did the willful or reckless conduct occur? Were supervisory or managerial level staff aware, or should they reasonably have been aware, of the willful or reckless conduct?
B. Awareness of Conduct at Issue:The Respondent’s awareness of the conduct giving rise to the apparent violation. Generally, the greater a Respondent’s actual knowledge of, or reason to know about, the conduct constituting an apparent violation, the stronger the OEE enforcement response will be. In the case of a corporation, awareness will focus on supervisory or managerial level staff in the business unit at issue, as well as other senior officers and managers. Among the factors OEE may consider in evaluating the Respondent’s awareness of the conduct at issue are:
1. Actual Knowledge. Did the Respondent have actual knowledge that the conduct giving rise to an apparent violation took place, and remain willfully blind to such conduct, and fail to take remedial measures to address it? Was the conduct part of a business process, structure or arrangement that was designed or implemented with the intent to prevent or shield the Respondent from having such actual knowledge, or was the conduct part of a business process, structure or arrangement implemented for other legitimate reasons that consequently made it difficult or impossible for the Respondent to have actual knowledge?
2. Reason to Know. If the Respondent did not have actual knowledge that the conduct took place, did the Respondent have reason to know, or should the Respondent reasonably have known, based on all readily available information and with the exercise of reasonable due diligence, that the conduct would or might take place?
3. Management Involvement. In the case of an entity, was the conduct undertaken with the explicit or implicit knowledge of senior management, or was the conduct undertaken by personnel outside the knowledge of senior management? If the apparent violation was undertaken without the knowledge of senior management, was there oversight intended to detect and prevent violations, or did the lack of knowledge by senior management result from disregard for its responsibility to comply with applicable regulations and laws?
C. Harm to Regulatory Program Objectives: The actual or potential harm to regulatory program objectives caused by the conduct giving rise to the apparent violation. This factor would be present where the conduct in question, in purpose or effect, substantially implicated national security, foreign policy or other essential interests protected by the U.S. export control system, in view of such factors as the reason for controlling the item to the destination in question; the sensitivity of the item; the prohibitions or restrictions against the recipient of the item; and the licensing policy concerning the transaction (such as presumption of approval or denial). OEE, in its discretion, may consult with other U.S. agencies or with licensing and enforcement authorities of other countries in making its determination. Among the factors OEE may consider in evaluating the harm to regulatory program objectives are:
1. Implications for U.S. National Security: The impact that the apparent violation had or could potentially have on the national security of the United States. For example, if a particular export could undermine U.S. military superiority or endanger U.S. or friendly military forces or be used in a military application contrary to U.S. interests, OEE would consider the implications of the apparent violation to be significant.
2. Implications for U.S. Foreign Policy: The effect that the apparent violation had or could potentially have on U.S. foreign policy objectives. For example, if a particular export is, or is likely to be, used by a foreign regime to monitor communications of its population in order to suppress free speech and persecute dissidents, OEE would consider the implications of the apparent violation to be significant.
D. Individual Characteristics: The particular circumstances and characteristics of a Respondent. Among the factors OEE may consider in evaluating individual characteristics are:
1. Commercial Sophistication: The commercial sophistication and experience of the Respondent. Is the Respondent an individual or an entity? If an individual, was the conduct constituting the apparent violation for personal or business reasons?
2. Size and Sophistication of Operations: The size of a Respondent’s business operations, where such information is available and relevant. At the time of the violation, did the Respondent have any previous export experience and was the Respondent familiar with export practices and requirements? Qualification of the Respondent as a small business or organization for the purposes of the Small Business Regulatory Enforcement Fairness Act, as determined by reference to the applicable standards of the Small Business Administration, may also be considered.
3. Volume and Value of Transactions: The total volume and value of transactions undertaken by the Respondent on an annual basis, with attention given to the volume and value of the apparent violations as compared with the total volume and value of all transactions. Was the quantity and/or value of the exports high, such that a greater penalty may be necessary to serve as an adequate penalty for the violation or deterrence of future violations, or to make the penalty proportionate to those for otherwise comparable violations involving exports of lower quantity or value?
4. Regulatory History: The Respondent’s regulatory history, including OEE’s issuance of prior penalties, warning letters, or other administrative actions (including settlements), other than with respect to antiboycott matters under part 760 of the EAR. OEE will generally only consider a Respondent’s regulatory history for the five years preceding the date of the transaction giving rise to the apparent violation. When an acquiring firm takes reasonable steps to uncover, correct, and voluntarily disclose or cause the voluntary self-disclosure to OEE of conduct that gave rise to violations by an acquired business before the acquisition, OEE typically will not take such violations into account in applying these factors in settling other violations by the acquiring firm.
5. Other illegal conduct in connection with the export. Was the transaction in support of other illegal conduct, for example the export of firearms as part of a drug smuggling operation, or illegal exports in support of money laundering?
6. Criminal Convictions. Has the Respondent been convicted of an export-related criminal violation?
Where necessary to effective enforcement, the prior involvement in export violation(s) of a Respondent’s owners, directors, officers, partners, or other related persons may be imputed to a Respondent in determining whether these criteria are satisfied.
E. Compliance Program: The existence, nature and adequacy of a Respondent’s risk-based BIS compliance program at the time of the apparent violation. OEE will take account of the extent to which a Respondent complies with the principles set forth in BIS’s Export Management System (EMS) Guidelines. Information about the EMS Guidelines can be accessed through the BIS Web site at www.bis.doc.gov. In this context, OEE will also consider whether a Respondent’s export compliance program uncovered a problem, thereby preventing further violations, and whether the Respondent has taken steps to address compliance concerns raised by the violation, to include the submission of a VSD and steps to prevent reoccurrence of the violation that are reasonably calculated to be effective.
F. Remedial Response: The Respondent’s corrective action taken in response to the apparent violation. Among the factors OEE may consider in evaluating the remedial response are:
1. The steps taken by the Respondent upon learning of the apparent violation. Did the Respondent immediately stop the conduct at issue? Did the Respondent undertake to file a VSD?
2. In the case of an entity, the processes followed to resolve issues related to the apparent violation. Did the Respondent discover necessary information to ascertain the causes and extent of the apparent violation, fully and expeditiously? Was senior management fully informed? If so, when?
3. In the case of an entity, whether it adopted new and more effective internal controls and procedures to prevent the occurrence of similar apparent violations. If the entity did not have a BIS compliance program in place at the time of the apparent violation, did it implement one upon discovery of the apparent violation? If it did have a BIS compliance program, did it take appropriate steps to enhance the program to prevent the recurrence of similar violations? Did the entity provide the individual(s) and/or managers responsible for the apparent violation with additional training, and/or take other appropriate action, to ensure that similar violations do not occur in the future?
4. Where applicable, whether the Respondent undertook a thorough review to identify other possible violations.
G. Exceptional Cooperation with OEE: The nature and extent of the Respondent’s cooperation with OEE, beyond those actions set forth in Factor F. Among the factors OEE may consider in evaluating exceptional cooperation are:
1. Did the Respondent provide OEE with all relevant information regarding the apparent violation at issue in a timely, comprehensive and responsive manner (whether or not voluntarily self-disclosed), including, if applicable, overseas records?
2. Did the Respondent research and disclose to OEE relevant information regarding any other apparent violations caused by the same course of conduct?
3. Did the Respondent provide substantial assistance in another OEE investigation of another person who may have violated the EAR?
4. Has the Respondent previously made substantial voluntary efforts to provide information (such as providing tips that led to enforcement actions against other parties) to federal law enforcement authorities in support of the enforcement of U.S. export control regulations?
5. Did the Respondent enter into a statute of limitations tolling agreement, if requested by OEE (particularly in situations where the apparent violations were not immediately disclosed or discovered by OEE, in particularly complex cases, and in cases in which the Respondent has requested and received additional time to respond to a request for information from OEE)? If so, the Respondent’s entering into a tolling agreement will be deemed a mitigating factor.
A Respondent’s refusal to enter into a tolling agreement will not be considered by OEE as an aggravating factor in assessing a Respondent’s cooperation or otherwise under the Guidelines.
H. License Was Likely To Be Approved. Would an export license application have likely been approved for the transaction had one been sought? Would the export have qualified for a License Exception? Some license requirements sections in the EAR also set forth a licensing policy (i.e., a statement of the policy under which license applications will be evaluated), such as a general presumption of denial or case by case review. OEE may also consider the licensing history of the specific item to that destination and if the item or end-user has a history of export denials.
I. Related Violations. Frequently, a single export transaction can give rise to multiple violations. For example, an exporter who inadvertently misclassifies an item on the Commerce Control List may, as a result of that error, export the item without the required export license and file Electronic Export Information (EEI) to the Automated Export System (AES) that both misstates the applicable Export Control Classification Number (ECCN) and erroneously identifies the export as qualifying for the designation “NLR” (no license required) or cites a license exception that is not applicable. In so doing, the exporter commits three violations: one violation of § 764.2(a) of the EAR for the unauthorized export and two violations of § 764.2(g) of the EAR for the two false statements on the EEI filing to the AES. OEE will consider whether the violations stemmed from the same underlying error or omission, and whether they resulted in distinguished or separate harm. OEE generally does not charge multiple violations on a single export, and would not consider the existence of such multiple violations as an aggravating factor in and of itself. It is within OEE’s discretion to charge separate violations and settle the case for a penalty that is less than would be appropriate for unrelated violations under otherwise similar circumstances, or to charge fewer violations and pursue settlement in accordance with that charging decision. OEE generally will consider inadvertent, compounded clerical errors as related and not separate infractions when deciding whether to bring charges and in determining if a case is egregious.
J. Multiple Unrelated Violations. In cases involving multiple unrelated violations, OEE is more likely to seek a denial of export privileges and/or a greater monetary penalty than OEE would otherwise typically seek. For example, repeated unauthorized exports could warrant a denial order, even if a single export of the same item to the same destination under similar circumstances might warrant just a civil monetary penalty. OEE takes this approach because multiple violations may indicate serious compliance problems and a resulting greater risk of future violations. OEE may consider whether a Respondent has taken effective steps to address compliance concerns in determining whether multiple violations warrant a denial order in a particular case.
K. Other Enforcement Action. Other enforcement actions taken by federal, state, or local agencies against a Respondent for the apparent violation or similar apparent violations, including whether the settlement of alleged violations of BIS regulations is part of a comprehensive settlement with other federal, state, or local agencies. Where an administrative enforcement matter under the EAR involves conduct giving rise to related criminal or civil charges, OEE may take into account the related violations, and their resolution, in determining what administrative sanctions are appropriate under part 766 of the EAR. A criminal conviction indicates serious, willful misconduct and an accordingly high risk of future violations, absent effective administrative sanctions. However, entry of a guilty plea can be a sign that a Respondent accepts responsibility for complying with the EAR and will take greater care to do so in the future. In appropriate cases where a Respondent is receiving substantial criminal penalties, OEE may find that sufficient deterrence may be achieved by lesser administrative sanctions than would be appropriate in the absence of criminal penalties. Conversely, OEE might seek greater administrative sanctions in an otherwise similar case where a Respondent is not subjected to criminal penalties. The presence of a related criminal or civil disposition may distinguish settlements among civil penalty cases that appear otherwise to be similar. As a result, the factors set forth for consideration in civil penalty settlements will often be applied differently in the context of a “global settlement” of both civil and criminal cases, or multiple civil cases, and may therefore be of limited utility as precedent for future cases, particularly those not involving a global settlement.
L. Future Compliance/Deterrence Effect: The impact an administrative enforcement action may have on promoting future compliance with the regulations by a Respondent and similar parties, particularly those in the same industry sector.
M. Other Factors That OEE Deems Relevant. On a case-by-case basis, in determining the appropriate enforcement response and/or the amount of any civil monetary penalty, OEE will consider the totality of the circumstances to ensure that its enforcement response is proportionate to the nature of the violation.
OEE will review the facts and circumstances surrounding an apparent violation and apply the Factors Affecting Administrative Sanctions in Section III above in determining the appropriate sanction or sanctions in an administrative case, including the appropriate amount of a civil monetary penalty where such a penalty is sought and imposed. Penalties for settlements reached after the initiation of litigation will usually be higher than those described by these guidelines.
1. Determining Whether a Case is Egregious. In those cases in which a civil monetary penalty is considered appropriate, OEE will make a determination as to whether a case is deemed “egregious” for purposes of the base penalty calculation. If a case is determined to be egregious, OEE also will also determine the appropriate base penalty amount within the range of base penalty amounts prescribed in paragraphs IV.B.2.a.iii and iv below. These determinations will be based on an analysis of the applicable factors. In making these determinations, substantial weight will generally be given to Factors A (“willful or reckless violation of law”), B (“awareness of conduct at issue”), C (“harm to regulatory program objectives”), and D (“individual characteristics”), with particular emphasis on Factors A, B, and C. A case will be considered an “egregious case” where the analysis of the applicable factors, with a focus on Factors A, B, and C, indicates that the case represents a particularly serious violation of the law calling for a strong enforcement response. A determination by OEE that a case is “egregious” must have the concurrence of the Assistant Secretary of Commerce for Export Enforcement.
2. Monetary Penalties in Egregious Cases and Non-Egregious Cases. The civil monetary penalty amount shall generally be calculated as follows, except that neither the base penalty amount nor the penalty amount will exceed the applicable statutory maximum:
a. Base Category Calculation and Voluntary Self-Disclosures.
i. In a non-egregious case, if the apparent violation is disclosed through a voluntary self-disclosure, the base penalty amount shall be one-half of the transaction value, capped at a maximum base penalty amount of $125,000 per violation.
ii. In a non-egregious case, if the apparent violation comes to OEE’s attention by means other than a voluntary self-disclosure, the base penalty amount shall be the “applicable schedule amount,” as defined above (capped at a maximum base penalty amount of $250,000 per violation).
iii. In an egregious case, if the apparent violation is disclosed through a voluntary self-disclosure, the base penalty amount shall be an amount up to one-half of the statutory maximum penalty applicable to the violation.
iv. In an egregious case, if the apparent violation comes to OEE’s attention by means other than a voluntary self-disclosure, the base penalty amount shall be an amount up to the statutory maximum penalty applicable to the violation.
The following matrix represents the base penalty amount of the civil monetary penalty for each category of violation:
Base Penalty Matrix
| Voluntary Self-Disclosure? | Egregious Case? | |
|---|---|---|
| NO | YES | |
| YES | (1) One-Half of the Transaction Value (capped at $125,000 per violation) | (3) Up to One-Half of the Applicable Statutory Maximum. |
| NO | (2) Applicable Schedule Amount (capped at $250,000 per violation) | (4) Up to the Applicable Statutory Maximum. |
Note to paragraph IV.B.2. The dollar values that appear in IV.B.2.a.i and .ii, and in the Base Penalty Matrix may be adjusted in accordance with U.S. law, e.g., the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114-74, sec. 701).
b. Adjustment for Applicable Relevant Factors.
In non-egregious cases the base penalty amount of the civil monetary penalty may be adjusted to reflect applicable Factors for Administrative Action set forth in Section III of these Guidelines. In egregious cases the base penalty amount of the civil monetary penalty will be set based on applicable Factors for Administrative Action set forth in Section III of these Guidelines. A Factor may result in a lower or higher penalty amount depending upon whether it is aggravating or mitigating or otherwise relevant to the circumstances at hand. Mitigating factors may be combined for a greater reduction in penalty, but mitigation will generally not exceed 75 percent of the base penalty, except in the case of VSDs, where full suspension is possible with conditions in certain non-egregious cases. Subject to this limitation, as a general matter, in those cases where the following Mitigating Factors are present, OEE will adjust the base penalty amount in the following manner:
In cases involving exceptional cooperation with OEE as set forth in Mitigating Factor G, but no voluntary self-disclosure as defined in § 764.5 of the EAR, the base penalty amount generally will be reduced between 25 and 40 percent. Exceptional cooperation in cases involving voluntary self-disclosure may also be considered as a further mitigating factor.
In cases involving a Respondent’s first violation, the base penalty amount generally will be reduced by up to 25 percent. An apparent violation generally will be considered a “first violation” if the Respondent has not been convicted of an export-related criminal violation or been subject to a BIS final order in five years, preceding the date of the transaction giving rise to the apparent violation. A group of substantially similar apparent violations addressed in a single Charging Letter shall be considered as a single violation for purposes of this subsection. In those cases where a prior Charging Letter within the preceding five years involved conduct of a substantially different nature from the apparent violation at issue, OEE may consider the apparent violation at issue a “first violation.” Warning Letters issued within the preceding five years are not factored into account for purposes of determining eligibility for “first offense�