EAR Part 748

PART 748
APPLICATIONS (CLASSIFICATION, ADVISORY, AND LICENSE) AND DOCUMENTATION
Sec.

Page

748.1

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

748.2

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

748.3

Classification requests, advisory opinions, and encryption review requests . . . . . . . . . . . . 2

748.4

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

748.5

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

748.6

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

748.7

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

748.8

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

748.9

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

748.10 Import Certificates and End-user Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
748.11 Statement by ultimate consignee and purchaser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
748.12 Special provisions for support documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
748.13 Delivery verification (DV) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
748.14 Import Certificate for firearms destined for Organization of
American States member countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
748.15 Authorization Validated End-user (VEU) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
BIS-748P, BIS-748P-A: ITEM APPENDIX, AND BIS-748P-B:
END-USER APPENDIX; MULTIPURPOSE APPLICATION
INSTRUCTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 1
UNIQUE APPLICATION AND SUBMISSION REQUIREMENTS . . . . . . . SUPPLEMENT NO. 2
BIS-711, STATEMENT BY ULTIMATE CONSIGNEE AND
PURCHASER INSTRUCTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 3

Export Administration Regulations

November 18, 2008

AUTHORITIES ADMINISTERING IMPORT
CERTIFICATE/DELIVERY VERIFICATION (IC/DV) AND END
USE CERTIFICATE SYSTEMS IN FOREIGN COUNTRIES . . . . . . . . . . . SUPPLEMENT NO. 4
U.S. IMPORT CERTIFICATE AND DELIVERY VERIFICATION
PROCEDURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 5
AUTHORITIES ISSUING IMPORT CERTIFICATES UNDER THE
FIREARMS CONVENTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 6
AUTHORIZATION VALIDATED END-USER (VEU):
LIST OF VALIDATED END-USERS, RESPECTIVE ITEMS
ELIGIBLE FOR EXPORT, REEXPORT AND TRANSFER,
AND ELIGIBLE DESTINATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 7
INFORMATION REQUIRED IN REQUESTS FOR VALIDATED
END-USER (VEU) AUTHORIZATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 8
END-USER REVIEW COMMITTEE PROCEDURES . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 9

Export Administration Regulations

November 18, 2008

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, encryption review requests,
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 such 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
Export Administration Regulations

Part 748–page 1

(other than Special Comprehensive License or
Special Iraq Reconstruction License applications),
encryption review requests, license exception AGR
notifications, 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,
encryption review requests, 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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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, N.W.,
Room H2705, Washington D.C. 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.

Part 748–page 2

Suite 725
San Jose, CA 95113
Tel: (408) 998-8805 or (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,
ADVISORY OPINIONS, AND
ENCRYPTION REVIEW REQUESTS
(a) Introduction

§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:
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
Western Regional Office:
U.S. Department of Commerce
3300 Irvine Avenue, Suite 345
Newport Beach, CA 92660
Tel: (949) 660-0144
Fax: (949) 660-9347
U.S. Export Assistance Center
Bureau of Industry and Security
160 W. Santa Clara Street
Export Administration Regulations

You may ask BIS to provide you with the correct
Export Control Classification Number down to the
paragraph (or subparagraph) level, if appropriate.
BIS will advise you whether or not your item is
subject to the EAR and, if applicable, the
appropriate ECCN. This type of request is
commonly referred to as a “Classification
Request”. If requested, for a given end-use, enduser, 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 are commonly referred
to as “Advisory Opinions”. The encryption
requirements in the EAR require that certain
encryption items be reviewed by BIS in order for
them to be eligible for export or reexport under
License Exception ENC (see §740.17 of the EAR)
or to be released from “EI” controls (see
§742.15(b)(2) of the EAR). BIS makes its
determination based on the submission of a review
request prepared in accordance with the
instructions in Supplement No. 6 to part 742 of the
EAR. A review of the questions provided in
Supplement No. 5 to part 742 of the EAR may
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

assist in determining whether you must submit an
encryption review request (see paragraph (d) of
this section) for your particular item.
!(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 he EAR..
!(2) When submitting a Classification Request,
you must complete Blocks 1 through 5, 14, 22(a),
(b), (c), (d), and (i), 24, and 25 on the application.
You must provide a recommended 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.
!(c) Advisory Opinions
Advisory opinion requests must be in writing and
be submitted to the address listed in §748.1(d)(2).
Both your letter and envelope must be marked
“Advisory Opinion”.
(1) Your letter must contain the following
information if you are requesting guidance
regarding interpretations of the EAR:

Export Administration Regulations

Part 748–page 3

(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 enduser;
(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.
(d) Review requests for encryption items
A Department of Commerce review of 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. 5 to part
742 of the EAR for questions that provide initial
guidance in determining whether you must submit
an encryption review request for your item. Refer
to Supplement No. 6 to part 742 of the EAR for a
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

complete list of technical information that is
required for encryption review requests. Refer
also to §742.15(b) of the EAR for instructions
regarding mass market encryption commodities
and software. Refer to §740.17 of the EAR for
the provisions of License Exception ENC.

Part 748–page 4

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

§748.4
BASIC GUIDANCE RELATED TO
APPLYING FOR A LICENSE
(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-ofattorney or other written authorization from the
Export Administration Regulations

!(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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(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 convicted of a violation of any statute
specified in section 11(h) of the Export
Administration Act, as amended, 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.
(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.

Part 748–page 5

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

(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
Export Administration Regulations

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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.
Emergency processing is not available for Special
Comprehensive License applications. See
§750.7(h) 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.

Part 748–page 6

(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 enduser is not a forwarding agent or intermediary, but
may be the purchaser or ultimate consignee.

!(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.

Export Administration Regulations

§748.6
GENERAL INSTRUCTIONS FOR LICENSE
APPLICATIONS
!(a) Instructions
General instructions for filling out license
applications are in Supp. No. 1 to this part.
Special instructions for applications involving
certain transactions are listed in §748.8 and
described fully in Supp. No. 2 to this part.
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 7

!(b) Application Control Number

(f) Changes in facts

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.

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.

(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.
Export Administration Regulations

(g) Request for extended license
validity period
An extended validity period will generally be
granted if your transaction is related to a multiyear 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.

§748.7
APPLYING ELECTRONICALLY FOR A
LICENSE OR CLASSIFICATION
REQUEST
(a) Authorization
You may apply electronically once you have been
authorized to do so by BIS. An authorization to
submit applications electronically may be limited
or withdrawn by BIS at any time. There are no
prerequisites for obtaining permission to submit
electronically or limitations in terms of country
eligibility. However, BIS may direct for any
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

reason that any electronic application be
resubmitted in writing, in whole or in part.
(1) Requesting approval to submit applications
electronically. To submit applications
electronically, your company must submit a
written request to BIS. Written requests may be
faxed to (202) 219-9179 or (202) 219-9182
(Washington, DC), faxed to (949) 660-9347
(Newport Beach, CA), or submitted to one of the
addresses identified in §748.2(c) of this part. Both
the envelope and letter must be marked “Attn:
Electronic Submission Request”. Your letter must
contain your company's name, and the address,
telephone number, and name of the principal
contact person in your company. Before
approving your request, BIS will provide you
with language for a number of required
certifications. Once you have completed the
necessary certifications, you may be approved by
BIS to submit applications electronically.
(2) Assignment and use of company and
personal identification numbers.
(i) Each company granted permission to submit
applications electronically will be assigned a
company identification number.
Each person approved by BIS to submit
applications electronically for the company will
be assigned a personal identification number
(“PIN”) telephonically by BIS. A PIN will be
assigned to you only if your company has
certified to BIS that you are authorized to act for
it in making electronic submissions under the
EAR.
(ii) Your company may reveal the assigned
company identification number only to the PIN
holders, their supervisors, employees, or agents of
the company with a commercial justification for
knowing the company identification number.
(iii) An individual PIN holder may not:
(A) Disclose the PIN to anyone;
Export Administration Regulations

Part 748–page 8

(B) Record the PIN either in writing or
electronically;
(C) Authorize another person to use the PIN;
or
(D) Use the PIN following termination by BIS
or your company of your authorization or approval
for PIN use.
(iv) To prevent misuse of the PIN:
(A) If a PIN is lost, stolen or otherwise
compromised, the company and the PIN holder
must report the loss, theft or compromise of the
PIN immediately by telephoning BIS at
(202)482-0436. You must confirm this notification
in writing within two business days to BIS at the
address provided in §748.2(c) of this part.
(B)
Your company is responsible for
immediately notifying BIS whenever a PIN holder
leaves the employ of the company or otherwise
ceases to be authorized by the company to submit
applications electronically on its behalf.
(v) No person may use, copy, steal or otherwise
compromise a PIN assigned to another person; and
no person may use, copy, steal or otherwise
compromise the company identification number
where the company has not authorized such person
to have access to the number.
(b) Electronic submission of applications
(1) All applications. Upon submission of the
required certifications and approval of the
company's request to use electronic submission,
BIS will provide instructions both on the method
to transmit applications electronically and the
process for submitting required supporting
documents and technical specifications. These
instructions may be modified by BIS from time to
time.
(2) License Applications.

The electronic
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

submission of an application for license will
constitute an export control document. Such
submissions must provide the same information
as written applications and are subject to the
recordkeeping provisions of part 762 of the EAR.
The applicant company and PIN holder
submitting the application will be deemed to
make all representations and certifications as if
the submission were made in writing by the
company and signed by the submitting PIN
holder. Electronic submission of a license
application will be considered complete upon the
transmittal of the application to BIS or to an
entity under contract to receive such applications
for BIS.

Part 748–page 9

§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) Maintenance of a log
Your company must maintain a log, either
manually or electronically, specifying the date
and time of each electronic submission, the
ECCNs of items on each electronic submission,
and the name of the employee or agent submitting
the license application. This log may not be
altered. Written corrections must be made in a
manner that does not erase or cover original
entries. If the log is maintained electronically,
corrections may only be made as notations.
(d) Updating
An applicant company must promptly notify BIS
of any change in its name or address. If your
company wishes to have an individual added as a
PIN holder, your company must advise BIS and
follow the instructions provided by BIS. Your
company should conduct periodic reviews to
ensure that PINs are held only by individuals
whose current responsibilities make it necessary
and appropriate that they act for the company in
this capacity.

(c) Digital computers, telecommunications, and
related equipment.
(d) Gift parcels; consolidated in a single shipment.
(e) Intransit shipments through the United States.
(f) Intransit shipments outside of the United States.
(g) Nuclear Nonproliferation items and end-uses.
(h) Numerical control devices, motion control
boards, numerically controlled machine tools,
dimensional inspection machines, direct numerical
control systems, specially designed assemblies and
specially designed software.
(i) Parts, components, and materials incorporated
abroad into foreign-made products.
(j) Ship stores, plane stores, supplies, and equipment.
(k) Regional stability controlled items.
(l) Reexports.
(m) Robots.

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(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 review requests.
(s) Foreign National Review Request.
(t) Foreign National Support Statement for
deemed exports.
(u) Aircraft and vessels on temporary sojourn.
(v) In-country transfers.

§748.9
SUPPORT DOCUMENTS FOR LICENSE
APPLICATIONS
(a) Exemptions
If you plan to submit a license application
involving one of the following situations and your
item is not a firearms item destined for an OAS
member country, no support documentation is
required. Simply submit the license application.
If your item is a firearms item (Reason for
Control identified as “FC” on the Commerce
Control List, Supplement No. 1 to part 774 of the
EAR) destined for an OAS member country,
proceed to section 748.14 of this part.
(1) All exports and reexports involving ultimate
consignees located in any of the following
destinations:
Bahamas
Barbados
Export Administration Regulations

Part 748–page 10

Belize
Bermuda
Bolivia
Brazil
Canada
Chile
Colombia
Costa Rica
Dominican Republic
Ecuador
El Salvador
French West Indies
French Guiana
Greenland
Guatemala
Guyana
Haiti
Honduras
Jamaica
Leeward and Windward Islands
Mexico
Miquelon and St. Pierre Islands
Netherlands Antilles
Nicaragua
Panama
Paraguay
Peru
Surinam
Trinidad and Tobago
Uruguay
Venezuela
(2) The ultimate consignee or purchaser is a
foreign government(s) or foreign government
agency(ies), other than the government of the
People’s Republic of China. To determine
whether the parties to your transaction meet the
definition of “government agency” refer to the
definition contained in part 772 of the EAR.
Remember, if either the ultimate consignee or
purchaser is not a foreign government or foreign
government agency, a statement is required from
the nongovernmental party.
(3) The license application is filed by, or on behalf
of, a relief agency registered with the Advisory
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Committee on Voluntary Foreign Aid, U.S.
Agency for International Development, for export
to a member agency in the foreign country.
(4) The license application is submitted to export
or reexport items for temporary exhibit,
demonstration, or testing purposes.
(5) The license application is submitted for items
controlled for short supply reasons (see part 754
of the EAR).
(6) The license application is submitted under the
Special Comprehensive License procedure
described in part 752 of the EAR.
(7) The license application is submitted to export
or reexport software or technology.
(8) The license application is submitted to export
or reexport encryption items controlled under
ECCNs 5A002, 5B002, 5D002 and 5E002.
(b) Support document requirements
License applications not exempt under paragraph
(a) of this section generally must be supported by
documents designed to elicit information
concerning the disposition of the items intended
for export or reexport. These support documents
must be either submitted at the time the license
application is filed or retained in the applicant's
files in accordance with the recordkeeping
provisions of part 762 of the EAR. The type of
support documentation required is dependent on
the item involved and the country of ultimate
destination. To determine which type of support
documentation is required, answer the following
questions:
(1)
Does your transaction involve items
controlled for national security reasons? Does
your transaction involve items destined for the
People's Republic of China (PRC)?
(i) If yes, continue with question number 2 in
Export Administration Regulations

Part 748–page 11

paragraph (b)(2) of this section.
(ii) If no, your transaction may require a
Statement by Ultimate Consignee and Purchaser.
Read the remainder of this section beginning with
paragraph (c) of this section, then proceed to
§748.11 of the EAR.
(2) Does your transaction involve items controlled
for national security reasons destined for one of
the following countries? (This applies only to
those overseas destinations specifically listed.) If
your item is destined for the PRC, does your
transaction involve items that require a license to
the PRC for any reason?
Argentina
Australia
Austria
Belgium
Bulgaria
China (PRC)
Czech Republic
Denmark
Finland
France
Germany
Greece
Hong Kong
Hungary
India
Ireland, Republic of
Italy
Japan
Korea, Republic of
Liechtenstein
Luxembourg
Netherlands
New Zealand
Norway
Pakistan
Poland
Portugal
Romania
Singapore
Slovakia
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Spain
Sweden
Switzerland
Taiwan
Turkey
United Kingdom
(i) If yes, your transaction may require an
Import Certificate or End-User Statement. If your
transaction involves items destined for the PRC
that are controlled to the PRC for any reason,
your transaction may require a PRC End-User
Statement. Note that if the destination is the
PRC, a Statement of Ultimate Consignee and
Purchaser may be substituted for a PRC End-User
Statement when the item to be exported (i.e.,
replacement parts and sub-assemblies) is for
servicing previously exported items and is valued
at $75,000 or less.
(ii) If no, your transaction may require a
Statement by Ultimate Consignee and Purchaser.
Read the remainder of this section, then proceed
to §748.11 of the EAR.
(c) License applications requiring
support documents
License applications requiring support by either a
Statement by the Ultimate Consignee and
Purchaser or an Import Certificate or End-User
Statement must indicate the type of support
document obtained in Block 6 or 7 on your
application with an "X" in the appropriate box. If
the support document is an Import Certificate or
End User Statement, you must also identify the
originating country and number of the Certificate
or Statement in Block 13 on your application. If
a license application is submitted without either
the correct Block or Box marked on the
application or the required support document, the
license application will be immediately returned
without action unless the satisfactory reasons for
failing to obtain the document are supplied in
Block 24 or in an attachment to your license
application.
Export Administration Regulations

Part 748–page 12

(1) License applications supported by an
Import or End User Statement. You may submit
your license application upon receipt of a facsimile
or other legible copy of the Import Certificate or
End-User Statement, provided that no shipment is
made against any license issued based upon the
Import Certificate or End-User Statement prior to
receipt and retention of the original statement by
the applicant.
(2) License applications supported by Ultimate
Consignee and Purchaser statements. These
types of license applications may be submitted
upon receipt of a facsimile or other legible copy of
the original statement provided that the applicant
receives the manually-signed original within 60
days from the date the original is signed by the
ultimate consignee.
(d) Exceptions to obtaining the required
support document
BIS will consider the granting of an exception to
the requirement for supporting document where
the requirements cannot be met due to
circumstances beyond your control. An exception
will not be granted contrary to the objectives of the
U.S. export control laws and regulations. Refer to
§748.12(d) of this part for specific instructions on
procedures for requesting an exception.
(e) Validity period
(1) When an Import or End-User Certificate or a
Statement by Ultimate Consignee and Purchaser is
required to support one or more license
applications, you must submit the first license
application within the validity period shown on the
Certificate, or 6 months from the date the
Certificate was issued or Statement signed,
whichever is shorter.
(2) All subsequent license applications supported
by the same Import or End-Use Certificate must be
submitted to BIS within one year from the date that
the first license application supported by the same
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Import or End-Use Certificate was submitted to
BIS.
(3) All subsequent license applications supported
by the same Statement by Ultimate Consignee and
Purchaser must be submitted within two years of
the first application if the statement was
completed as a single transaction statement. If
the statement was completed as a multiple
transaction statement, all applications must be
submitted within two years of signature by the
consignee or purchaser, whichever was last.
(f) English translation requirements
All abbreviations, coded terms, or other
expressions on support documents having special
significance in the trade or to the parties to the
transaction must be explained on an attachment to
the document. Documents in a language other
than English must be accompanied by an
attachment giving an accurate English translation,
either made by a translating service or certified by
you to be correct. Explanations or translations
should be provided on a separate piece of paper,
and not entered on the support documents
themselves.
(g) Responsibility for full disclosure
(1) Information contained in a support document
cannot be construed as extending or expanding or
otherwise modifying the specific information
supplied in a license application or license issued
by BIS. The license application covering the
transaction disclose all facts pertaining to the
transaction. The authorizations contained in the
resulting license are not extended by information
contained in an Import Certificate, End-User
Certificate or Statement by Ultimate Consignee
and Purchaser regarding reexport from the
country
of destination any other facts relative to the
transaction that are not reported on the license
application.

Part 748–page 13

(2) Misrepresentations, either through failure to
disclose facts, concealing a material fact, or
furnishing false information, will subject
responsible parties to administrative action by BIS.
Administrative action may include suspension,
revocation, or denial of licensing privileges and
denial of other participation in exports from the
United States.
(3) In obtaining the required support document,
you as the applicant are not relieved of the
responsibility for full disclosure of any other
information concerning the ultimate destination
and end-use, end-user of which you know, even if
inconsistent with the representations made in the
Import Certificate, End-User Certificate, or
Statement by Ultimate Consignee and Purchaser.
You are responsible for promptly notifying BIS of
any change in the facts contained in the support
document that comes to your attention.
(h) 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 an Import or End-User Certificate
has been 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 supporting document issued by a foreign
government 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.
(i) Request for return of support documents
submitted to BIS
If an applicant is requested by a foreign importer
to return an unused or partially used Import or
End-User Certificate submitted to BIS in support
of a license application, the procedure provided in
this paragraph (i) should be followed:
(1) The applicant must send a letter request for

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

return of an Import or End-User Certificate to the
address stated in §748.2(c) of this part, “Attn:
Import/End-User Certificate Request”.
(2) The letter request must include the name and
address of the importer, the Application Control
Number under which the original Import or EndUser Certificate was submitted, the Application
Control Numbers for any subsequent license
applications supported by the same certificate,
and one of the following statements, if applicable:
(i) If the certificate covers a quantity greater
than the total quantity identified on the license
application(s) submitted against it, a statement
that the certificate will not be used in connection
with another license application.
(ii) If you do not intend to make any additional
shipments under a license covered by the
certificate, or are in possession of an expired
license covered by the certificate, a statement to
this effect, indicating the unshipped items.

Part 748–page 14

outstanding and expired licenses); and
(iii) If the certificate covers a quantity greater
that the total quantity stated on the license(s), you
must include a statement that the certificate will
not be used in connection with another license
application.
(2) If your request is granted, BIS will return the
certificate to you. You must make a copy of the
certificate before you return the original to the
importer. This copy must show all the information
contained on the original certificate including any
notation made on the certificate by BIS. The
copies must be retained on file along with your
correspondence in accordance with the
recordkeeping provisions in part 762 of the EAR.

§748.10
IMPORT CERTIFICATES AND
END-USER STATEMENTS
(a) Scope

(j) Recordkeeping requirements for returning
certificates retained by the applicant
(1) Though the recordkeeping provisions of the
EAR require that all original support documents
be retained for a period of five years, an unused
or partially used certificate may be returned at the
request of a foreign importer provided that you
submit the original certificate, accompanied by a
letter of explanation, a copy of each license
covered by the certificate, and a list of all
shipments made against each license to BIS at the
address listed in §748.2(c). BIS will notify you in
writing whether your request has been granted.
The following information must be contained in
your letter of explanation:
(i) A statement citing the foreign importer's
request for return of the certificate;
(ii) The license number(s) that have been
issued against the certificate (including both
Export Administration Regulations

There are a variety of Import Certificates and
End-User Statements currently in use by various
governments. The control exercised by the
government issuing the Import Certificate or
End-User Statement is in addition to the conditions
and restrictions placed on the transaction by BIS.
The laws and regulations of the United States are
in no way modified, changed, or superseded by the
issuance of an Import Certificate or End-User
Statement. This section describes exceptions and
relationships for both Import Certificates and
End-User Statements, and generally applies only to
transactions exceeding $50,000. In the case of
countries identified in §748.9(b)(2) of this part
(excluding the People’s Republic of China (PRC)),
Import Certificates are required for national
security controlled items in transactions exceeding
$50,000. In the case of the PRC, End-User
Statements are required for transactions exceeding
$50,000 involving all items that require a license
to the PRC for any reason. However, this $50,000
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

threshold is lower for certain exports to the PRC
(see paragraph (b)(3) of this section).
(b) Import Certificate or
End-User Statement
Unless your transaction meets one of the
exemptions stated in §748.9(a) of this part, an
Import Certificate or End-User Statement must be
obtained, if:
(1) Any commodities on your license application
are controlled for national security (NS) reasons
(except for items controlled under ECCNs 5A002
or 5B002), or any commodities to the PRC on
your license application are controlled for any
reason;
(2) The ultimate destination is a country listed in
§748.9(b)(2) of this part; and
(3) Your license application involves the export
of commodities classified in a single entry on the
CCL, and your ultimate consignee is in any
destination listed in §748.9(b)(2), and the total
value of your transaction exceeds $50,000. Note
that the $50,000 transaction threshold does not
apply to certain exports to the PRC. If your
transaction involves an export to the PRC of a
computer that requires a license for any reason,
an End-User Statement is required regardless of
dollar value. Also, if your transaction involves an
export to the PRC of an item classified under
ECCN 6A003 that requires a license for any
reason, an End-User Statement is required for
transactions exceeding $5000.
(i) Your license application may list several
separate CCL entries. If any individual entry
including an item that is controlled for national
security reasons exceeds $50,000, then an Import
Certificate must be obtained covering all items
controlled for national security reasons on your
license application. If the total value of entries on
a license application that require a license to the
PRC for any reason listed on the CCL exceeds
Export Administration Regulations

Part 748–page 15

$50,000, then a PRC End-User Statement covering
all such controlled items that require a license to
the PRC on your license application must be
obtained;
(ii) If your license application involves a lesser
transaction that is part of a larger order for items
controlled for national security reasons (or, for the
PRC, for any reason) in a single ECCN exceeding
$50,000, an Import Certificate, or a PRC End-User
Statement, as appropriate, must be obtained.
(iii) You may be specifically requested by BIS
to obtain an Import Certificate for a transaction
valued under $50,000. You also may be
specifically requested by BIS to obtain an
End-User Statement for a transaction valued under
$50,000 or for a transaction that requires a license
to the PRC for reasons in the EAR other than those
listed on the CCL.
(c) How to obtain an Import Certificate or
End-User Statement
(1) Applicants must request that the importer (e.g.,
ultimate consignee or purchaser) obtain the Import
Certificate and that it be issued covering only
those items that are controlled for national security
reasons. Exporters should not request that
importers obtain Import Certificates for items that
are controlled for reasons other than national
security. Note that in the case of the PRC,
applicants must request that the importer obtain an
End-User Statement for all items on a license
application that require a license to the PRC for
any reason listed on the CCL. Applicants must
obtain original Import Certificate or End-User
Statements from importers.
(2) The applicant's name must appear on the
Import Certificate or End-User Statement
submitted to BIS as either the applicant, supplier,
or order party. The Import Certificate may be
made out to either the ultimate consignee or the
purchaser, even though they are different parties,
as long as both are located in the same country.
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(3) If your transaction requires the support of a
PRC End-User Statement, you 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;

Part 748–page 16

that, in any case, the items will not be delivered to
any destination except in accordance with the
export regulations of the issuing country.
(2) If you receive an IIC bearing a triangular
symbol, you must identify all parties to the
transaction on the license application, including
those located outside the country issuing the IIC.
If the importer declines to provide you with this
information, you may advise the importer to
provide the information directly to BIS, through a
U.S. Foreign Commercial Service office, or in a
sealed envelope to you marked “To be opened by
BIS only”.

(iii) End-User and end-use;
(iv) Description of the item, quantity and
dollar value; and
(v) Signature of the importer and date.
Note to paragraph (c) of this section: You
should furnish the consignee with the item
description contained in the CCL to be used in
applying for the Import or End-User Statement. It
is also advisable to furnish a manufacturer's
catalog, brochure, or technical specifications if
the item is new.
(d) Where to obtain Import and
End-User Certificates
See Supplement No. 4 to this part for a list of the
authorities administering the Import Certificate/Delivery Verification and End-User
Certificate Systems in other countries.
(e) Triangular symbol on International
Import Certificates
(1) In accordance with international practice, the
issuing government may stamp a triangular
symbol on the International Import Certificate
(IIC). This symbol is notification that the
importer does not intend to import or retain the
items in the country issuing the certificate, but
Export Administration Regulations

(f) Multiple license applications
supported by one certificate
An Import or End-User Certificate may cover more
than one purchase order and more than one item.
Where the certificate includes items for which
more than one license application will be
submitted, you must include in Block 24 on your
application, or in an attachment to each license
application submitted against the certificate, the
following certification:
I (We) certify that the quantities of items shown
on this license application, based on the
Certificate identified in Block 13 of this license
application, when added to the quantities shown
on all other license applications submitted to BIS
based on the same Certificate, do not total more
than the total quantities shown on the above
cited Certificate.
(g) Submission of Import Certificates
and End-User Statements
Certificates and Statements must be retained on
file by the applicant in accordance with the
recordkeeping provisions of part 762 of the EAR,
and should not be submitted with the license
application. For more information on what Import
Certificate and End-User Statement information
must be included in license applications, refer to
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

§748.9(c) of the EAR. In addition, as set forth in
§748.12(e), to assist in license reviews, BIS will
require applicants, on a random basis, to submit
specific original Import Certificate and End-User
Statements.
(h) Alterations
After an Import or End-User Certificate is issued
by a foreign government, no corrections,
additions, or alterations may be made on the
Certificate by any person. If you desire to explain
any information contained on the Certificate, you
may attach a signed statement to the Certificate.
(i) Request for Delivery Verification
BIS will, on a selective basis, require Delivery
Verification documents for shipments supported
by Import Certificates. You will be notified if
Delivery Verification is required at the time of
issuance of the license. Please refer to §748.13 of
this part for detailed information on these
procedures.
(j) Retention procedures
You must retain on file the original copy of any
certificate issued in support of a license
application submitted to BIS, unless the original
is submitted with the license application. All
recordkeeping provisions contained in part 762 of
the EAR apply to this requirement, except that
reproductions may not be substituted for the
officially authenticated original in this instance.

Part 748–page 17

§748.11
STATEMENT BY ULTIMATE
CONSIGNEE AND PURCHASER
(a) Exceptions to completing a Statement by
Ultimate Consignee and Purchaser
A Statement by the Ultimate Consignee and/or
Purchaser involved in a transaction must be
completed unless:
(1) An International Import Certificate, a People's
Republic of China End-User Certificate, an Indian
Import Certificate, or a Bulgarian, Czech,
Hungarian, Polish, Romanian or Slovak Import
Certificate is required in support of the license
application;
(2) The applicant is the same person as the
ultimate consignee, provided the required
statements are contained in Block 24 on the license
application. This exemption does not apply where
the applicant and consignee are separate entities,
such as parent and subsidiary, or affiliated or
associated firms;
(3) The application is valued at $5000 or less, and
is not part of a larger transaction; or
(4) The transaction meets one of the exemptions
stated in §748.9(a) of this part.
(b) Submission of the Statement by Ultimate
Consignee and Purchaser
A copy of the statement must be submitted with
your license application if the country of ultimate
destination is listed in either Country Group D:2,
D:3, or D:4 (See Supplement No. 1 to part 740 of
the EAR). The copy submitted by the applicant
must be of sufficient quality to ensure all
assertions made on the statement are legible and
that the signatures are sufficiently legible to permit
identification of the signature as that of the signer.
The applicant must receive the manually-signed

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

original within 60 days from the date the original
is signed by the ultimate consignee. The
applicant must, upon receipt, retain the manuallysigned original, and both the ultimate consignee
and purchaser should retain a copy of the
statement in accordance with the recordkeeping
provisions contained in part 762 of the EAR.
(c) Form or letter
The ultimate consignee and purchaser must
complete either a statement on company
letterhead in accordance with paragraph (e) of
this section or Form BIS-711, Statement by
Ultimate Consignee and Purchaser. If the
consignee and purchaser elect to complete the
statement on letterhead and both the ultimate
consignee and purchaser are the same entity, only
one statement is necessary. If the ultimate
consignee and purchaser are separate entities,
separate statements must be prepared and signed.
If the ultimate consignee and purchaser elects to
complete Form BIS-711, only one Form BIS-711
(containing the signatures of the ultimate
consignee and purchaser) need be completed.
Whether your ultimate consignee and purchaser
sign a written statement or complete Form BIS711, the following constraints apply:
(1)
Responsible officials representing the
ultimate consignee and purchaser must sign the
statement. “Responsible official” is defined as
someone with personal knowledge of the
information included in the statement, and
authority to bind the ultimate consignee or
purchaser for whom they sign, and who has the
power and authority to control the use and
disposition of the licensed items.
(2) The authority to sign the statement may not
be delegated to any person (agent, employee, or
other) whose authority to sign is not inherent in
his or her official position with the ultimate
consignee or purchaser for whom he or she signs.
The signing official may be located in the U.S. or
in a foreign country. The official title of the
Export Administration Regulations

Part 748–page 18

person signing the statement must also be
included.
(3) The consignee and/or purchaser must submit
information that is true and correct to the best of
their knowledge and must promptly send a new
statement to the applicant if changes in the facts or
intentions contained in their statement(s) occur
after the statement(s) have been forwarded to the
applicant. Once a statement has been signed, no
corrections, additions, or alterations may be made.
If a signed statement is incomplete or incorrect in
any respect, a new statement must be prepared,
signed and forwarded to the applicant.

(d) Instructions for completing
Form BIS-711
Instructions on completing Form BIS-711 are
contained in Supplement No. 3 to this part. The
ultimate consignee and purchaser may sign a
legible copy of Form BIS-711. It is not necessary
to require your ultimate consignee and purchaser
sign an original Form BIS-711, provided all
information contained on the copy is legible.
(e) Instructions for completing the
statement on letterhead
Information in response to each of the following
criteria must be included in the statement. If any
information is unknown, that fact should be
disclosed in the statement. Preprinted information
supplied on the statement, including the name,
address, or nature of business of the ultimate
consignee or purchaser appearing on the letterhead
or order form is acceptable but will not constitute
evidence of either the signer's identity, the country
of ultimate destination, or end-use of the items
described in the license application.
(1) Paragraph 1. One of the following
certifications must be included depending on
whether the statement is proffered in support of a
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 19

single license application or multiple license
applications:

(3) Paragraph 3. The following two certifications
must be included:

(i) Single. This statement is to be considered
part of a license application submitted by [name
and address of applicant].

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

(ii) Multiple. This statement is to be considered
a part of every license application submitted by
[name and address of applicant] until two 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].

Export Administration Regulations

(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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
the items in the form in which received even
though we may have indicated the intention to
reexport, and that authorization to reexport is not
granted in an export license on the basis of
information provided in the statement, but as a
result of a specific request in a license
application.

§748.12
SPECIAL PROVISIONS FOR
SUPPORT DOCUMENTS
(a) Grace periods.
Whenever the requirement for an Import
Certificate or End-User Statement or Statement
by Ultimate Consignee or Purchaser is imposed or
extended by a change in the regulations, the
license application need not conform to the new
support documentation requirements for a period
of 45 days after the effective date of the
regulatory change published in the Federal
Register.
(1) Requirements are usually imposed or
extended by virtue of one of the following:
(i) Addition or removal of national security
controls over a particular item; or
(ii)Development
of
an
I mp o r t
Certificate/Delivery Verification or End-User
Certificate program by a foreign country; or
(iii) Removal of an item from eligibility under
the Special Comprehensive License described in
part 752 of the EAR, when you hold such a
Export Administration Regulations

Part 748–page 20

special license and have been exporting the item
under that license.
(2) License applications filed during the 45 day
grace period must be accompanied by any
evidence available to you that will support
representations concerning the ultimate consignee,
ultimate destination, and end use, such as copies of
the order, letters of credit, correspondence between
you and ultimate consignee, or other documents
received from the ultimate consignee. You must
also identify the regulatory change (including its
effective date) that justifies exercise of the 45 day
grace period. Note that an Import Certificate or
End-User Statement will not be accepted, after the
stated grace period, for license applications
involving items that are no longer controlled for
national security reasons. If an item is removed
from national security controls, you must obtain a
Statement by Ultimate Consignee and Purchaser as
described in § 748.11 of this part. Likewise, any
item newly controlled for national security
purposes requires support of an Import Certificate
or End-User Statement as described in § 748.10 of
this part after expiration of the stated grace period.
(b) Reexports
If a support document would be required for an
export from the United States, the same document
would be required for reexport to Country Group
D:1 and E:2 (see Supplement No. 1 to part 740 of
the EAR).
(c) Granting of exceptions to the support
documentation requirement
An exception to obtaining the required support
documentation will be considered by 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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

requirement and accept the license application for
processing. Favorable consideration of a request
for exception generally will be given in instances
where the support document requirement:
(1) Imposes an undue hardship on you and/or
ultimate consignee (e.g., refusal by the foreign
government to issue an Import or End-User
Certificate and such refusal constitutes
discrimination against you); or
(2) Cannot be complied with (e.g., the items will
be held in a foreign trade zone or bonded
warehouse for subsequent distribution in one or
more countries); or
(3) Is not applicable to the transaction (e.g., the
items will not be imported for consumption into
the named country of destination).

Part 748–page 21

(iii) Location of foreign trade zone or bonded
warehouse if the items will be exported to a
foreign trade zone or bonded warehouse;
(iv) Type of request, i.e., whether for a single
transaction or multiple transactions;
(v) Full explanation of the reason(s) for
requesting the exception;
(vi) Nature and duration of the business
relationship between you and ultimate consignee
and purchaser shown on the license application;
(vii) Whether you have previously obtained
and/or submitted to BIS an Import or End-User
Certificate issued in the name of the ultimate
consignee and/or purchaser, and a list of the
Application Control Number(s) to which the
certificate(s) applied; and

(d) Procedures for requesting an exception
(1) Requests for exception must be submitted
with the license application to which the request
relates. Where the request relates to more than
one license application it should be submitted
with the first license application and referred to in
Block 24 on any subsequent license application.
The request for exception must be submitted in
writing on the applicant's letterhead.
(2) In instances where you are requesting
exception from obtaining an Import or End-User
Certificate, the request must be accompanied by a
manually-signed original Statement by Ultimate
Consignee and Purchaser as described in §748.11
of this part.
(3) At a minimum, the letter request must
include:
(i) Name and address of ultimate consignee;
(ii) Name and address of purchaser, if different
from ultimate consignee;

Export Administration Regulations

(viii) Any other facts to justify granting an
exception.
(4) Action by BIS.
(i) 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 you by letter.
(ii) Multiple transactions request. Where
multiple transactions are involved, BIS will advise
you by letter of the action taken on the exception
request. The letter 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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 22

these conditions or restrictions may be required
from the parties to the transaction.

(b) Exception to obtaining
Delivery Verification

(e) Availability of original

The DV requirement for a particular transaction is
automatically canceled if, subsequent to the
issuance of a license, the item is no longer
controlled for national security reasons. In this
instance, the licensee must send a letter to BIS at
the address listed in §748.2(c) of this part, stating
that the items on the license are no longer
controlled for national security reasons, and
accordingly, the request for DV will not be
fulfilled by the licensee.

The original certificate or statement must be kept
on file, and made available for inspection in
accordance with the provisions of part 762 of the
EAR. To ensure compliance with this
recordkeeping requirement, BIS will require
applicants, on a random basis, to submit specific
original certificates and statements that have been
retained on file. Applicants will be notified in
writing of any such request.

(c) Procedure for obtaining
Delivery Verification
§748.13
DELIVERY VERIFICATION (DV)
(a) Scope
(1) BIS may request the licensee to obtain
verifications of delivery on a selective basis. A
Delivery Verification Certificate (DV) is a
document issued by the government of the
country of ultimate destination after the export
has taken place and the items have either entered
the export jurisdiction of the recipient country or
are otherwise accounted for by the importer to the
issuing government. Governments that issue DVs
are listed in Supplement No. 4 to this part.
(2) If BIS decides to request verification of
delivery, the request will appear as a condition on
the face of the license. If the license is sent
directly to a party other than the applicant
authorized to receive the license (e.g., agent,
forwarder, broker, etc.), such party is responsible
for notifying the licensee immediately in writing
that a DV is required.

Export Administration Regulations

When notified that a DV is required by BIS, the
licensee must transmit to the importer a written
request for a DV at the time of making each
shipment under the license (whenever possible,
this request should be submitted together with the
related bill of lading or air waybill). The request
must include the number of the Import or End-User
Certificate for the transaction referred to on the
license, and notify the importer that this same
Import or End-User Certificate number should be
shown on the DV.
(1) The importer must obtain the DV from the
appropriate government ministry identified in
Supplement No. 4 to this part, and forward the
completed DV to the licensee. The DV must cover
the items described on the license that have been
shipped. Note that BIS must be able to relate the
description provided in the DV to the approved
license. In order to ensure the same terminology is
used, the licensee should provide the importer with
the description as it appears on the license.
(2) The original copy of the DV must be sent to
BIS within 90 days after the last shipment has been
made against the license. If verification of
delivery is required for items covered by a license
against which partial shipments have been made,
the licensee shall obtain the required DV for each
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

partial shipment, and retain these on file until all
shipments have been made against the license.
Once all shipments against the license have been
made (or the licensee has determined that none
will be), the licensee must forward, in one
package, all applicable DVs to BIS at the address
listed in §748.2(c) of this part.

Part 748–page 23

§748.14
IMPORT CERTIFICATE FOR FIREARMS
DESTINED FOR ORGANIZATION OF
AMERICAN STATES MEMBER
COUNTRIES
(a) Scope

(3) The documents must be forwarded with a
dated letter giving the license number, the name,
title and signature of the authorized
representative, and one of the following
statements:
(i) The total quantity authorized by license
number _____ has been exported, and all delivery
verification documents are attached.
(ii) A part of the quantity authorized by license
number _____ will not be exported. Delivery
verification documents covering all items
exported are attached.
(iii) No shipment has been made against this
license, and none is contemplated.
(d) Inability to obtain Delivery Verification
Certificates
If a licensee is unable to obtain the required DV
(within the time frame stated above, or at all)
from the importer, the licensee must promptly
notify BIS and, upon request, make available
all information and records, including
correspondence, regarding the attempt to obtain
the DV.

Export Administration Regulations

Consistent with the OAS Model Regulations, BIS
requires from all OAS member countries an Import
Certificate issued by the government of the
importing country for items classified as ECCNs
0A984, 0A986, or 0A987. For those OAS member
countries that have not yet established or
implemented an 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. This section describes the requirements
for Import Certificates or official equivalents in
support of license applications submitted to BIS
for firearms items that are identified by “FC
Column 1” in the “License Requirements” section
of the Commerce Control List.
(b) Import Certificate Procedure
An Import Certificate or equivalent official
document must be obtained from the government
of the importing OAS member country for firearms
items classified as ECCNs 0A984, 0A986, or
0A987. Except as provided by §748.9(a) of the
EAR, the applicant must obtain and retain on file
either the original or certified copy of the Import
Certificate, or an original or certified copy of
equivalent official document issued by the
government of the importing country in support of
any license application for export of firearms items
classified as 0A984, 0A986, or 0A987. All the
recordkeeping provisions of part 762 of the EAR
apply to this requirement. The applicant must
clearly note the number and date of the Import
Certificate or equivalent official document on all
export license applications (BIS Form 748P,
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 24

Multipurpose Application Form, Block 13)
supported by that Certificate or equivalent official
document. The applicant must also indicate in
Block 7 of the application that the Certificate or
equivalent official document has been received
and will be retained on file. However, the
applicant may submit an application before
obtaining the original or certified copy of the
Import Certificate, or the official original or
certified copy of the equivalent document,
provided that:

and Tobago, the United States, Uruguay, and
Venezuela.

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

An Import Certificate or equivalent official
document can only be used to support one BIS
Form-748P, Multipurpose Application. The BIS
Form-748P, Multipurpose Application, must
include the same items as those listed on the
Import Certificate or the equivalent official
document.

(2) The applicant states on the application that a
facsimile of the Import Certificate or equivalent
official document has been received and that no
shipment will be made against the license prior to
obtaining the original or certified copy of the
Import Certificate or the original or certified copy
of the equivalent official document issued by the
importing country and retaining it on file.
Generally, BIS will not consider any license
application for the export of firearms items if the
application is not supported by an Import
Certificate or its official equivalent. If the
government of the importing country will not
issue an Import Certificate or its official
equivalent, the applicant must supply the
information described in paragraphs (g)(2)(i) and
(g)(2)(vi) through (viii) of this section on
company letterhead.
(c) Countries to which firearms controls apply
The firearms controls apply to all OAS member
countries: 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
Export Administration Regulations

(d) Items/Commodities
An Import Certificate or equivalent official
document is required for items controlled under
Export Control Classification Numbers (ECCNs)
0A984, 0A986, or 0A987.
(e) Use of the Import Certificate

(f) Validity Period
Import Certificates or equivalent official
documents issued by an OAS member country will
be valid for a period of one year or less. Although
licenses generally are valid for two years, your
ability to ship may be affected by the validity of
the Import Certificate or equivalent official
document.
(g) How to obtain an Import Certificate for
firearms items destined to OAS member
countries
(1) Applicants must request that the importer (e.g.,
ultimate consignee or purchaser) obtain the 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
items that the applicant intends to export. Upon
receipt of the Import Certificate or its official
equivalent, the importer must provide the original
or a certified copy of the Import Certificate or the
original or a certified copy of the equivalent
official document to the applicant. The applicant
shall obtain the required documents prior to
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

submitting a license application, except as
provided in paragraphs (b)(1) and (b)(2) of this
section.
(2) The Import Certificate or its official
equivalent must contain the following
information:
(i) Applicant’s name and address.
The
applicant may be either the exporter, supplier, or
order party.
(ii) Import Certificate Identifier/Number.
(iii) Name of the country issuing the certificate
or unique country code.
(iv) Date the Import Certificate was issued, in
international date format (e.g., 24/12/98 (24
December 1998), or 3/1/99 (3 January 1999)).
(v) Name of the agency issuing the certificate,
address, telephone and facsimile numbers, signing
officer name, and signature.
(vi) Name of the importer, address, telephone
and facsimile numbers, country of residence,
representative’s name if commercial or
government body, citizenship, and signature.
(vii) 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 items will be resold by a distributor
or reseller if unknown at the time of export.
(viii) Description of the items approved for
import including a technical description and total
quantity of firearms, parts and components,
ammunition and parts.
NOTE to paragraph (g)(2)(viii): You must
Export Administration Regulations

Part 748–page 25

furnish the consignee with a detailed technical
description of each item to be given to the
government for its use in issuing the 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.
(ix) Expiration date of the Import Certificate in
international date format (e.g., 24/12/98) or the
date the items must be imported, whichever is
earlier.
(x) Name of the country of export (i.e., United
States).
(xi) 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 an item. 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).
(h) Where to obtain Import Certificates
See Supplement No. 6 to this part for a list of the
OAS member countries' authorities administering
the Import Certificate System.
(i) Alterations
After an Import Certificate or official equivalent
document is used to support the issuance of a
license, no corrections, additions, or alterations
may be made on the Certificate by any person. If
you desire to explain any information contained on
the Import Certificate or official equivalent
document, you may attach a signed statement to
the Import Certificate or official equivalent.
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(j) Request for return of Import Certificates
A U.S. exporter may be requested by a foreign
importer to return an unused Import Certificate.
Refer to §748.9(j) of this part for procedures and
recordkeeping requirements for returning an
Import Certificate retained by the applicant.

§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
Export Administration Regulations

Part 748–page 26

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 2705
Washington, DC 20230
Mark the package “Request for Authorization
Validated End-User.”
(2) In evaluating an end-user for eligibility
under authorization VEU, the ERC will consider a
range of information, including such factors as:
the entity's record of exclusive engagement in civil
end-use activities; the entity's compliance with
U.S. export controls; the need for an on-site review
prior to approval; the entity's capability of
complying with the requirements of authorization
VEU; the entity's agreement to on-site reviews to
ensure adherence to the conditions of the VEU
authorization by representatives of the U. S.
Government; and the entity's relationships with
U.S. and foreign companies. In addition, when
evaluating the eligibility of an end-user, the ERC
will consider the status of export controls and the
support and adherence to multilateral export
control regimes of the government of the eligible
destination.
(3) The VEU authorization is subject to
revision, suspension or revocation entirely or in
part.
(4) Information submitted in a VEU request is
deemed to constitute continuing representations of
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 27

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.

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.

(b) Eligible destinations

(e) Certification and recordkeeping

Authorization VEU may be used for the following
destinations:

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.

(1) The People's Republic of China.
(2) India.
(c) Item restrictions
Items controlled under the EAR for missile
technology (MT) and crime control (CC) reasons
may not be exported or reexported under this
authorization.
(d) End-use restrictions
Items obtained under authorization VEU may be
used only for civil end-uses and may not be used
for any activities described in part 744 of the
EAR. Exports, reexports, or transfers made under
authorization VEU may only be made to an
end-user listed in Supplement No. 7 to this part if
the items will be consigned to and for use by the
validated end-user. Eligible end-users who obtain
items under VEU may only:
(1) Use such items at the end-user's own facility
located in an eligible destination or at a facility
located in an eligible destination over which the
end-user demonstrates effective control;

(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.

(2) Consume such items during use; or
(3) Transfer or reexport such items only as
authorized by BIS.

(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:

Note to paragraph (d): Authorizations set
forth in Supplement No. 7 to this part are

Office of Exporter Services

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Bureau of Industry and Security
U.S. Department of Commerce
14th Street and Constitution Avenue, NW
Room 2705
Washington, DC 20230
Mark the package “Authorization Validated
End-User Reports”.

Export Administration Regulations

Part 748–page 28

(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.

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 1 to Part 748–page 1

BIS-748P, BIS-748P-A: ITEM APPENDIX, AND BIS-748P-B: END-USER APPENDIX;
MULTIPURPOSE APPLICATION INSTRUCTIONS
Encryption Review.
If you are
requesting encryption review under
License Exception ENC (§740.17 of
the EAR) or “mass market”
encryption provisions (§742.15(b)(2)
of the EAR), mark the Box labeled
“Classification Request” with an (X).
Special Comprehensive License. If
you are submitting a Special
Comprehensive License application in
accordance with the procedures
described in part 752 of the EAR,
mark the Box labeled “Special
Comprehensive License” with an (X).

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).

Export Administration Regulations

Block 6:

D o c u m e nt s s u b m i t t e d w i t h
Application. Review t he
documentation you are required to
submit with your application in
accordance with the provisions of part
748 of the EAR, and mark all
applicable Boxes with an (X).

Mark the Box “Foreign Availability” with an
(X) if you are submitting an assertion of
foreign availability with your license
application. See part 768 of the EAR for
instructions on foreign availability
submissions.
Mark the “Tech. Specs.” box with an (X) if
you are submitting descriptive literature,
brochures, technical specifications, etc. with
your application.
Block 7:

Documents on File with Applicant.
Certify that you have retained on file
all applicable documents as required
by the provisions of part 748 by
placing an (X) in the appropriate
Box(es).

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 1 to Part 748–page 2

Block 8:

Special Comprehensive License.
Complete this Block only if you are
submitting an application for a Special
Comprehensive License in accordance
with part 752 of the EAR.

Block 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 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 14: Applicant.
Enter the applicant's
n a m e , s t r e e t a ddress, c i t y,
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 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.

Export Administration Regulations

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
Export Administration Regulations

Supplement No. 1 to Part 748–page 3

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 enduser'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.

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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 enduser(s) and indicate any other countries
for which resale or reexport is
requested.
If additional space is
necessary, use Block 21 on Form BIS748P-A or B. Be specific—such 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.

Export Administration Regulations

Supplement No. 1 to Part 748–page 4

(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” identified for the ECCN entered
in Block 22(a). If the “Unit” for an item
is “$ value”, enter the quantity in units
commonly used in the trade.
(f) Units. The “Unit” paragraph within each
ECCN will list a specific “Unit” for those
items controlled by the entry. The “Unit”
must be entered on all license
applications submitted to BIS. If an item
is licensed in terms of “$ value”, the unit
of quantity commonly used in trade must
also be shown on the license application.
This Block may be left blank on license
applications only if the “Unit” for the
ECCN entered in Block 22(a) is shown as
“N/A” on the CCL.
(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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 1 to Part 748–page 5

the items you wish to export, reexport, or
have BIS classify, if different from the
applicant.

If your application represents a previously denied
application, you must provide the Application
Control Number from the original application.

(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).

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.

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.

Export Administration Regulations

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

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 2 to Part 748–page 1

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,

Export Administration Regulations

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, Sudan, or Syria
you must include with your license application a
security safeguard plan signed by the end-user,
who may also be the ultimate consignee. This
requirement also applies to exports, reexports,
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
webpage at http://www.bis.doc.gov/hpcs/
SecuritySafeguardPlans.html.
(d) Gift parcels; consolidated in a single
shipment
If you are submitting a license application to
export multiple gift parcels for delivery to
individuals residing in a foreign country, you
must include the following information in your
license application. NOTE: Each gift parcel
must meet the terms and conditions described for
gift parcels in License Exception GFT (see
§740.12(a) of the EAR).
(1) In Block 16, enter the word “None”;
(2) In Block 18, enter the word “Various” instead
of the name and address of a single ultimate
consignee;
(3) In Block 21, enter the phrase “For personal
use by recipients”;
(4) In Block 22(e), indicate a reasonable estimate
of the number of parcels to be shipped during the
validity of the license;
(5) In Block 22(j), enter the phrase “Gift Parcels”;
and
(6) In Block 23, indicate a reasonable value
approximation proportionate to the quantity of
gift parcels identified in Block 22(e).
(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
Export Administration Regulations

Supplement No. 2 to Part 748–page 2

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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.

Supplement No. 2 to Part 748–page 3

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

(2) License application requirements. Along
with the required certification, you must include
the following information in your license
application:

(1) If you are submitting a license application to
export, reexport, or request BIS to classify
numerical control devices, motion control boards,
numerically controlled machine tools,
dimensional inspection machines, and specially
designed software you must include the following
information in your license application:

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

(i) For numerical control devices and motion
control boards:

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

(A) Make and model number of the control
unit;

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

(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;

(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

(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;

(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
Export Administration Regulations

(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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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;

Supplement No. 2 to Part 748–page 4

(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

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
Export Administration Regulations

Supplement No. 2 to Part 748–page 5

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 ipn Country Group D:1 or E:2 (see
Supplement No. 1 to part 740 of the EAR)
describe in Block 24 the type of technology and
how it will be used.
(j) Ship stores, plane stores,
supplies, and equipment
(1) Vessels under construction. If you are
submitting a license application for the export or
reexport of items, including ship stores, supplies,
and equipment, to a vessel under construction you
must include the following information in your
license application:
(i) In Block 18, enter the name, street address,
city, and country of the shipyard where vessel is
being constructed;

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(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:
Export Administration Regulations

Supplement No. 2 to Part 748–page 6

(i) In Block 18, enter the name of the owner,
the name of the vessel, if applicable, and port or
point where the items will be taken aboard;
(ii) In Block 18, enter the following statement
if, at the time of filing the license application, it is
uncertain where the vessel or aircraft will take on
the items, but it is known that the items will not
be shipped to a country listed in Country Group
D:1 or E:2 (see Supplement No. 1 to part 740 of
the EAR):
Uncertain; however, shipment(s) will not be
made to Country Groups D:1 or E:2.
(iii) Provide information as described in
paragraph (j)(1)(ii) of this supplement for vessels
or information contained in paragraph (j)(2)(ii) of
this supplement for aircraft.
(k) Regional stability controlled items
If you are submitting a license application for the
export or reexport of items controlled for regional
stability reasons and subject to licensing under
RS Column 1 on the Country Chart, your license
application must be accompanied by full technical
specifications.
(l) Reexports
If you know that an item that requires a license to
be exported from the United States to a certain
foreign destination will be reexported to a third
destination also requiring approval, such a request
must be included on the license application. The
license application must specify the country to
which the reexport will be made in Block 24. If
the export does not require a license but the
reexport does, you may apply for a license for the
reexport, or you may export without a license and
notify the consignee of the requirement to seek a
license to reexport.

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(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

Supplement No. 2 to Part 748–page 7

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;

(n) Short Supply controlled items

(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

If you are submitting a license application for the
export of items controlled for short supply

(vii) The availability abroad of comparable
foreign technology.

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

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

(3) Special provisions.
(i) Technology controlled for national security
reasons. If you are submitting a license
application to export technology controlled for
national security reasons to a country not listed in
Country Group D:1 or E:2 (see Supplement No. 1
to part 740 of the EAR), upon request, you must
provide BIS a copy of the written letter from the
ultimate consignee assuring that, unless prior
authorization is obtained from BIS, the consignee
will not knowingly reexport the technology to any
destination, or export the direct product of the
technology, directly or indirectly, to a country
listed in Country Group D:1 or E: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.
(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
Export Administration Regulations

Supplement No. 2 to Part 748–page 8

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:
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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 review requests
Enter, in Block 9 (Special Purpose) of the
BIS–748P, “License Exception ENC” if you are
submitting an encryption review request for
License Exception ENC (§740.17 of the EAR) or
“mass market encryption” if you are submitting
an encryption review request under the mass
market encryption provisions (§742.15(b) of the
EAR). If you seek an encryption review for
another reason, enter “encryption - other”.
Neither the electronic nor paper forms provide a
separate Block to check for the submission of
encryption review requests, therefore you must
also, place an “X” in the box marked
“Classification Request” in Block 5 (Type of
Application) of Form BIS-748P or select
“Commodity Classification” if filing
Export Administration Regulations

Supplement No. 2 to Part 748–page 9

electronically. Failure to properly complete these
items may delay consideration of your review
request.
(s) Foreign National Review Request
(1) BIS-748P “Multipurpose Application”
form. If you are submitting a Foreign National
Review (FNR) request for the deemed export of
technology or source code, you must include the
following information on the BIS-748P
“Multipurpose Application” form:
(i)

In Block 1 through 3, insert name,
telephone, and facsimile of the person
that is most knowledgeable about the
foreign national;

(ii)

In Block 4 (Date of Application), enter
the date;

(iii) In Block 5 (Type of Application), place
an “X” in the box marked “Other”;
(iv) In Block 6 (Documents Submitted with
Application), place an “X” in “Other” to
signify that you are submitting the
Foreign National Review Support
Statement(s) with the BIS-748P, and
place an “X” in “BIS-748P-B” if you are
submitting this FNR for multiple foreign
nationals;
(v)

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

(vi) In Block 14 (Applicant), insert the name
of the applicant;
(vii) In Block 18 (Ultimate Consignee), insert
the name and address of the Foreign
National;
(viii) In Block 21 (Specific End-Use), insert
any information which may be of interest
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

regarding the export of the technology or
source code;

Supplement No. 2 to Part 748–page 10

country;
(8) I-94 No. xxxxxxx, dd/ mm/ yyyy;

(ix) In Block 24 (Additional Information),
insert contact email information;
(x)

In Block 25 (Signature), sign the BIS748P, and insert the name and title of the
signer; and

(xi) All other Blocks on the application may
be left blank.
(2) Multiple Foreign Nationals. If you are
submitting a Foreign National Review Request
for more than one individual, you may add other
foreign nationals by completing and attaching
form BIS-748P-B “End-User Appendix.”
(t) Foreign National Review
Support Statement
To request review of your FNR, you must submit
to BIS a FNR support statement as set forth below
on company letterhead, along with Form BIS748P (Multipurpose Application), or its electronic
equivalent. For FNRs that include multiple
foreign nationals, an FNR support statement must
be submitted for each foreign national.
(1) Case number (Z number): Zxxxxxx;
(2) Name, and all other names ever used;
(3) Date of birth: dd/mm/yyyy;
(4) Place of birth: city, state/province, and
country;

(9) Passport and Country of Issue: xxxxxxxx,
country
(10) U.S. Education(schools, degrees, and dates
received) (if any): degree, subject, university,
city, state, country, month/year - month/year;
(11) Foreign Education: degree, subject,
university, city, state, country, month/year month/year;
(12) Employer (applicant) and address: company,
street address, city, state, zip;
(13) Detailed explanation of position
requirements and individual’s qualifications
related to the position; and
(14) Prior Employment Record, (including
overseas employment) addresses and dates;
explain any periods of unemployment.
(u) Aircraft and vessels on temporary sojourn.
If the application is for an aircraft or a vessel
traveling on a temporary sojourn, state the value
of the aircraft or vessel as $0 in box 22(g) (unit
price) and 22(h) (total price). In box 23 (Total
Application Dollar Value), insert the total value
of items other than the aircraft or vessel that are
included in the same application. If the
application is only for the aircraft or vessel on
temporary sojourn, insert $0.
(v) In-country transfers.

(5) U.S. Address: street address, city, state, zip;
(6) Overseas Address:
province, country;

street address, city,

(7) Visa type (with expiration date and place
issued, if available): type, dd/mm/yyyy, city,
Export Administration Regulations

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 2 to Part 748–page 11

original ultimate consignee and the new ultimate
consignee.

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 3 to Part 748

BIS-711, STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER
INSTRUCTIONS
parties to the transaction, and any
other material facts that may be of
value in considering license
applications supported by this
statement.

All information must be typed or legibly printed
in each appropriate Block or Box.
Block 1:

Block 2:

Block 3:

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.
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.
Nature of Business of Ultimate
Consignee named in Block 1.
Complete both “A” and “B”.

Block 5:

Assistance in Preparing Statement.
Name all persons, other than
employees of the ultimate consignee
or purchaser, who assisted in the
preparation of this form.

Block 6:

Ultimate Consignee. Enter the requested information and sign the statement in ink. (For a definition of
ultimate consignee, see §748.5(e) of
this part.)

Block 7:

Purchaser. This form must be signed
in ink by the Purchaser, if the Purchaser is not the same as the Ultimate
Consignee identified in Block 1. (For
a definition of purchaser, see
§748.5(c) of this part.)

Block 8:

Certification for Exporter. This
Block must be completed to certify
that no correction, addition, or
alteration on this form was made
subsequent to the signing by the
Ultimate Consignee in Block 6 and
Purchaser in Block 7.

Possible choices for “A” include: broker,
distributor, fabricator, manufacturer,
wholesaler, retailer, value added reseller,
original equipment manufacturer, etc.
Possible choices for “B” include: contractual,
franchise, distributor, wholesaler, continuing
and regular individual business, etc.
Block 4:

Additional Information. Provide
any other information not appearing
elsewhere on the form such as other

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 1

AUTHORITIES ADMINISTERING IMPORT CERTIFICATE/DELIVERY VERIFICATION
(IC/DV) AND END-USER STATEMENT SYSTEMS IN FOREIGN COUNTRIES
Country

IC/DV Authorities

System Administered

Argentina

Secretaria Ejecutiva de la Comision
Nacional de Control de Exportaciones
Sensitivas y Material Belico
Balcarce 362 - ler. piso Capital Federal - CP 1064
Buenos Aires
Tel. 334-0738, Fax 331-1618

IC/DV

Australia

Director, Strategic Trade Policy
and Operations, Industry & Procurement
Infrastructure Division, Department of
Defence, Campbell Park 4-1-53,
Canberra ACT 2600
Phone: +61 (0)2 6266 3717,
Fax: +61 (0)2 6266 2997

IC/DV

Austria

Bundesministerium fur Handel Gewerbe
und Industrie
Landstr. Haupstr. 55-57,
Vienna 1031

IC/DV

Belgium

Ministere Des Affaires Economiques,
Administration Des Relations Economiques
Rue General Leman, 60 1040 Bruxelles
Phone: 02/206.58.16, Fax: 02/230.83.22

IC/DV

Bulgaria

Ministry of Trade
12 Al. Batenberg
1000 Sofia

IC/DV

China,
People's
Republic of

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://cys.mofcom.gov.cn/ag/ag.html

PRC
End-User
Statement

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 2

Czech Republic

Federal Ministry of Foreign Trade
Head of Licensing Politickych
Veznu 20 112 49 Praha 1

IC/DV

Denmark

Handelsministeriets
Licenskontor
Kampmannsgade 1,
DK 1604, Copenhagen V

IC/DV

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

DV

Finland

Hensingin Piiritullikamari,
Kanavakatu 6 (or P.O. Box 168)
00161 Helsinki

IC/DV

France

Ministere de l'Economie et des
Finances Direction Generale des
Douanes et Droits Indirects
Division des Affaires Juridiques et
Contentieuses
8, Rue de la Tour des Dames,
Bureau D/3, 75436,
Paris Cedex 09

IC/DV

Germany

Bundesamt fur gewerbliche
Wirtschaft Frankfurter Strasse
29-31 65760 Eschborn

IC/DV

Greece

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

IC/DV

Hong Kong

Trade Department, Ocean Centre,
Canton Road, Tsimshatsui, Kowloon,

IC/DV

Hungary

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

IC/DV

India

Deputy Director General of Foreign
Trade Udyog Bhawan,
Maulana Azad

Indian IC

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 3

Road New Delhi 11011:
For small scale industries and entities, and those not elsewhere specified
Directorate General of Technical
Indian IC
Development,
Udyog Bhawan, Maulana
Azad Road, New Delhi 11011:
For the “organized” sector, except for computers and related equipment
Defense Research and Development
Organization
Room No. 224, “B” Wing Sena Bhawan,
New Delhi 110011:
For Defense organizations

Indian IC

Department of Electronics,
Lok Nayak Bhawan,
New Delhi 110003:
For computers and related electronic items

Indian IC

Assistant Director,
Embassy of India, Commerce Wing,
2536 Massachusetts Ave. NW,
Washington D.C. 20008:
For any of the above

Indian IC

Ireland,
Republic of

Department of Industry, Trade,
Commerce and Tourism,
Frederick House, South Frederick Street,
Dublin 2

IC/DV

Italy

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

Japan

Ministry of International Trade
IC
and Industry in:
Fukuoka, Hiroshima, Kanmon (Kitakyushu-shi),
Kobe, Nagoya, Osaka, Sapporo, Sendai,
Shikoku (Takamatsu-shi), Shimizu, Tokyo,
and Yokohama
Japanese Customs Offices
DV

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 4

Korea,
Republic of

Trade Administration Division
Trade Bureau Ministry of Trade and Industry
Jungang-Dong,
Kyonggi-Do, Building 3
Kwachon

IC

Republic of Korea Customs House

DV

Liechtenstein

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

IC/DV

Luxembourg

Office des Licences
Avenue de la Liberte, 10

IC/DV

Netherlands

Centrale Dienst voor In-en Uitvoer
Engelse Kamp 2,
Groningen

IC/DV

New Zealand

Comptroller for Customs
P.O. Box 2218,
Wellington

IC/DV

Norway

Handelsdepartmentet
Direktoratet for Eksport-og-Importregulering
Fr. Nansens plass 5, Oslo

IC/DV

Pakistan

Chief Controller of Imports
and Exports
5, Civic Center
Islamabad

IC

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

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

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 5

Portugal

Reparticao do Comercio Externo
Direccao-Geral do Comercio
Secretaria de Estado do Comercio
Ministerio da Economia, Lisbon

IC/DV

Romania

National Agency for Control of
Strategic Exports and Prohibition
of Chemical Weapons, 13,
Calea 13 Septembrie Casa (or P.O. Box 5-10)
Republicii, Gate A1, Bucharest, Sector 5,
Phone: 401-311-2083, Fax: 401-311-1265

IC/DV

Singapore

Controller of Imports and Exports,
Trade Development Board
World Trade Centre,
1 Maritime Square, Telok Blangah Road

IC/DV

Slovakia

Ministry of Foreign Affairs
Licensing-Registration Department
Spitalska 8, 813 15 Bratislava

IC

Spain

Secretary of State for Commerce
Paseo la Cistellana 162,
Madrid 28046

IC/DV

Sweden

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

IC/DV

Switzerland

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

IC/DV

Taiwan

Board of Foreign Trade Ministry of
Economic Affairs
1 Hu-Kou Street,
Taipei

IC/DV

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

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 6

Export Processing Zone Administration
600 Chiachang Road
Nantz, Kaohsiung
Turkey

United Kingdom

Ministry of Commerce,
Department of Foreign Commerce,
Ankara

IC

Head Customs Office at the point
of entry

DV

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

IC

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

DV

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 5 to Part 748–page 1

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
Export Administration Regulations

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 submit in
triplicate a completed Form BIS-645P/ATF4522/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

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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, Office 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 2705, 14th Street and
Pennsylvania Ave., NW., Washington, DC 20230,
Attn: Import Certificate Request; or
(ii) In person or by mail at one of the following
Department of Commerce U.S. and Foreign
Commercial Service District Offices:
Boston, MA
Buffalo, NY
Chicago, IL
Cincinnati, OH
Cleveland, OH
Dallas, TX
Detroit, MI
Houston, TX
Kansas City, MO
Los Angeles, CA
Miami, FL
New Orleans, LO
New York, NY
Philadelphia,PA
Phoenix, AZ
Pittsburgh,PA
Portland, OR
St. Louis, MO
San Francisco, CA
Savannah, GA
Seattle, WA
Export Administration Regulations

Supplement No. 5 to Part 748–page 2

Trenton, NJ
(3) U.S. International Import Certificate
validity periods. The U.S. International Import
Certificate must be submitted to the foreign
government within six months from the date of
certification by the U.S. Department of
Commerce. The expiration of this six-month
period in no way affects the responsibility of the
importer to fulfill the commitments made in
obtaining the certificate. If the certificate is not
presented to the government of the exporting
country before the expiration of its validity
period, the exporter must apply for a new
certificate.
The original unused U.S.
International Import Certificate must be returned
to 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, the
you must submit a written statement with your
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
Export Administration Regulations

Supplement No. 5 to Part 748–page 3

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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.
(iii) 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)

Export Administration Regulations

Supplement No. 5 to Part 748–page 4

Unused

U.S.

International

Import

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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
Export Administration Regulations

Supplement No. 5 to Part 748–page 5

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

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

Export Administration Regulations

Supplement No. 5 to Part 748–page 6

(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.

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 6 to Part 748 page 1

AUTHORITIES ISSUING IMPORT CERTIFICATES UNDER THE FIREARMS CONVENTION
[RESERVED]
[Status of Convention as of April 13, 1999 had not entered into force]

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 7 to Part 748 page 1

AUTHORIZATION VALIDATED END-USER (VEU): LIST OF VALIDATED END-USERS,
RESPECTIVE ITEMS ELIGIBLE FOR EXPORT, REEXPORT AND TRANSFER, AND
ELIGIBLE DESTINATIONS
Validated End-User
Applied Materials China, Ltd.

Eligible Items (By ECCN)

Eligible Destination

2B230; 2B350.g.3; 3B001.b.1;
3B001.c.2; 3B001.e; 3B001.f.3;
3C001; 3C002

Applied Materials China, Ltd. Shanghai Depot
c/o Shanghai Applied Materials
Technical Service Center
368 Zhang Jiang Road,
Pudong Zhangjiang Hi-Tech
Park
Shanghai, China 201203
Applied Materials China, Ltd. Beijing Depot
c/o Beijing Applied Materials
Technical Service Center
Bldg. 9, Area A, No. 1 North Di
Sheng Street, BDA
Beijing, China 100176
Applied Materials China, Ltd. Wuxi Depot
c/o Sinotrans Jiangsu Group
Fuchang Co.
J5 A-B Wuxi Export Processing
Zone
287 Gaolang Road, Wuxi New
District
Wuxi Jiangsu China 214028

BHA Aerocomposite Parts Co.,
Ltd.

Export Administration Regulations

1A002.a; 1B001.f; 1C010.b;
1C010.e; 1D001 (limited to
"software" specially designed or
modified for the "development",
"production" or "use" of
equipment controlled by
1B001.f); 1E001 (limited to
"technology" according to the
General Technology Note for
the "development" or
"production" of items controlled
by 1A002.a, 1B001.f, 1C010.b
& .e, and 2B001.a);

BHA Aerocomposite Parts Co.,
Ltd.
No. 4-388 Heibei Road
Tanggu Tianjin, China

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Validated End-User

Eligible Items (By ECCN)

Supplement No. 7 to Part 748 page 2

Eligible Destination

2B001.e.1.a; 2D001 (limited to
"software," other than that
controlled by 2D002, specially
designed or modified for the
"development", "production" or
"use" of equipment controlled
by 2B001.e.1.a); 2D002
(limited to "software" for
electronic devices, even when
residing in an electronic device
or system, enabling such
devices or systems to function
as a "numerical control" unit,
capable of coordinating
simultaneously more than 4
axes for "contouring control"
controlled by 2B001.e.1.a).
National Semiconductor
Corporation

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

National Semiconductor Hong
Kong Limited
Beijing Representative Office
Room 604, CN Resources
Building
No. 8 Jianggumenbei A
Beijing, China 100005
National Semiconductor Hong
Kong Limited
Shanghai Representative Office
Room 903-905 Central Plaza
No. 227 Huangpi Road North
Shanghai, China 200003
National Semiconductor Hong
Kong Limited
Shenzhen Representative Office
Room 1709 Di Wang
Commercial Centre
Shung Hing Square
5002 Shenna Road East
Shenzhen, China 518008

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Validated End-User
Semiconductor Manufacturing
International Corporation

Eligible Items (By ECCN)
1C350.c.3; 1C350.d.7;
2B006.b.1;
2B230; 2B350.d.2; 2B350.g.3;
2B350.i.4; 3B001.a; 3B001.b;
3B001.c; 3B001.d; 3B001.e;
3B001.f; 3C001; 3C002;
3C004;
5B002; 5E002 (limited to
"technology" according to the
General Technology Note for
the "production" of integrated
circuits controlled by ECCN
5A002 that has been
successfully reviewed under the
encryption review process
specified in §§ 740.17.b.2 or
740.17.b.3 and 742.15 of the
EAR).

Supplement No. 7 to Part 748 page 3

Eligible Destination
Semiconductor Manufacturing
International (Shanghai)
Corporation
18 Zhang Jiang Rd., Pudong
New Area
Shanghai, China 201203
Semiconductor Manufacturing
International (Tianjin)
Corporation
19 Xing Hua Avenue
Xi Qing Economic
Development Area
Tianjin, China 300385
Semiconductor Manufacturing
International (Beijing)
Corporation
No. 18 Wen Chang Road
Beijing
Economic-Technological
Development Area
Beijing, China 100176
Semiconductor Manufacturing
International (Chengdu)
Corporation
Assembly and Testing (AT2)
Facility
8-8 Kexin Road, Export
Processing Zone (West Area)
Chengdu, China 611731
Cension Semiconductor
Manufacturing Corporation
3/F, 8-1 Kexin Road, Export
Processing Zone (West Area)
Chengdu, China 611731

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Validated End-User
Shanghai Hua Hong NEC
Electronics Company, Ltd.

Eligible Items (By ECCN)
1C350.c.3; 1C350.d.7; 2B230;
2B350.d.2 2B350.g.3 2B350.i.4;
3B001.c.2; 3C002; 3C004.

Supplement No. 7 to Part 748 page 4

Eligible Destination
Headquarters and Fab. 1 of
HHNEC
No. 1188 Chuan Qiao Rd.
Pu Dong, Shanghai, China
201206
Fab. 2 of HHNEC
No. 668 Guo Shou Jing Rd.
Zhang Jiang High Tech Park
Pu Dong, Shanghai, China
201203

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 8 to Part 748 page 1

INFORMATION REQUIRED IN REQUESTS FOR VALIDATED
END-USER (VEU) AUTHORIZATION
VEU authorization applicants must provide to
BIS certain information about the prospective
validated end-user. This information must be
included in requests for authorization submitted
by prospective validated end-users, or exporters
or reexporters who seek to have certain entities
approved as validated end-users. BIS may, in the
course of its evaluation, request additional
information.
Required Information for Validated End-User
Authorization Requests
(1) Name of proposed VEU candidates, including
all names under which the candidate conducts
business; complete company physical address
(simply listing a post office box is insufficient);
telephone number; fax number; e-mail address;
company Web site (if available); and name of
individual who should be contacted if BIS has any
questions. If the entity submitting the application
is different from the prospective validated
end-user identified in the application, this
information must be submitted for both entities.
If the candidate has multiple locations, all
physical addresses located in the eligible
destination must be listed.
(2) Provide an overview of the structure,
ownership and business of the prospective
validated end-user. Include a description of the
entity, including type of business activity,
ownership, subsidiaries, and joint-venture
projects, as well as an overview of any business
activity or corporate relationship that the entity
has with either government or military
organizations.
(3) List the items proposed for VEU
authorization approval and their intended
end-uses. Include a description of the items; the
ECCN for all items, classified to the
subparagraph level, as appropriate; technical
Export Administration Regulations

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
November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 8 to Part 748 page 2

authorization VEU will only be used for civil
end-uses and may not be used for any activities
described in part 744 of the EAR;
(iii) Will comply with VEU recordkeeping
requirements; and
(iv) Agrees to allow on-site reviews by U.S.
Government officials to verify the end-user's
compliance with the conditions of the VEU
authorization.

Export Administration Regulations

November 18, 2008

Applications (Classification, Advisory, and License) and Documentation

Supplement No. 9 to Part 748 page 1

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.

(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.

(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.

(6) A final determination at the appropriate
decision-making level to amend the VEU
authorization list set forth in Supplement No. 7 to
this part operates as clearance by all member
agencies to publish the amendment in the Federal
Register.

(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.

(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.

(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.
Export Administration Regulations

November 18, 2008