0694.NEW.LicExempt-Exclus.SS.030510

SUPPORTING STATEMENT
U.S. Department of Commerce
Bureau of Industry and Security
License Exceptions and Exclusions
OMB CONTROL NO. 0694-XXXX

A.

JUSTIFICATION

This is a request to consolidate ten BIS collections involving a licensing exception or exclusion
under a new single information collection authority.

1. Explain the circumstances that make the collection of information necessary.
Section 15(b) of the Export Administration Act (EAA) of 1979, as amended, authorizes the
President and the Secretary of Commerce to issue regulations to implement the EAA including
those provisions authorizing the control of exports of U.S. goods and technology to all foreign
destinations, as necessary for the purpose of national security, foreign policy and short supply,
and the provision prohibiting U.S. persons from participating in certain foreign boycotts. Export
control authority has been assigned directly to the Secretary of Commerce by the EAA and
delegated by the President to the Secretary of Commerce. This authority is administered by the
Bureau of Industry and Security through the Export Administration Regulations (EAR). The
EAA is not permanent legislation, and when it has lapsed due to the failure to enact a timely
extension, executive orders under the International Emergency Economic Powers Act
(IEEPA) have directed and authorized the continuation in force of the EAR.
Under current regulations, an individual validated export license is required for U.S. companies
to export certain commodities, technical data or software to specific destinations. Exporters are
required to submit these license applications to the Department of Commerce under existing
collection authority OMB Control No. 0694-0088, “Simplified Network Application Process and
Multipurpose Application Form.”
Over the years, BIS has worked with other Government agencies and the affected public to
identify areas where export licensing requirements may be relaxed without jeopardizing U.S.
national security or foreign policy. Many of these relaxations have taken the form of licensing
exceptions and exclusions. Some of these license exceptions and exclusions have a reporting or
recordkeeping requirement to enable the Government to continue to monitor exports of these
items. Exporters may choose to utilize the license exception and accept the reporting or
recordkeeping burden in lieu of submitting a license application. These exceptions and
exclusions have resulted in a large reduction of licensing burden in OMB Control No. 0694-0088
and allow exporters to ship items quickly, without having to wait for license approval. This has
also created ten small collections involving these license exceptions and exclusions.

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These collections are designed to reduce export licensing burden. It is up to the individual
company to decide whether it is most advantageous to continue to submit license applications or
to comply with the reporting or recordkeeping requirements and take advantage of the licensing
exception or exclusion.
The following table identifies all 10 existing BIS information collections that involve license
exceptions or exclusions.
Control
No. 0694
-0023

-0025
-0029
-0033
-0086
-0101

-0104

-0106
-0123
-0133

Collection Title

Responses

Hours

Written Assurances for Exports of
Technical Data Under License
Exception TSR
Short Supply – Unprocessed
Western Red Cedar
License Exception TMP: Special
Requirements
Humanitarian Donations
Report of Sample Shipments of
Chemical Weapons Precursors
One-time Report For Foreign
Software or Technology Eligible
For De Minimis Exclusion
Commercial Encryption Items
Under the Jurisdiction of the
Department of Commerce
Recordkeeping Requirements
Under the Wassenaar Arrangement
Prior Notification of Exports Under
License Exception AGR
Thermal Imaging Camera
Reporting
TOTALS

500

258

Exception/
Exclusion
TSR

35

35

WRC

3

1

TMP

2
28

10
16

GFT
NLR

237

5,925

De Minimis

940

8,090

ENC, KMI, TSU

210

20

167

161

LVS, GBS, CIV,
CTP, TSR, GOV
AGR

60

60

NLR

2,182

14,576

The purpose of this new collection is to consolidate all BIS license exceptions and exclusions
into a single collection authority. All future exceptions or exclusions may be more easily
implemented as amendments to this collection, rather than as new information collection
authorities. This consolidation will also reduce the personnel costs and Federal Register notice
publication costs associated with renewing 10 collections every three years.

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2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
Exporters may take advantage of licensing exceptions and exclusions to avoid the time and
expense of submitting an individual validated export license. If they elect to do this, the
licensing requirement is replaced by a reporting and/or recordkeeping requirement. In most
cases, the reporting is only periodic and the commodity or technology may be exported without
the delays normally associated with obtaining an individual validated export license.
This information is used by BIS and other Governmental agencies to monitor patterns in the
export of sensitive goods and technology to insure that each license exception and exclusion is
being used appropriately and that the potential for diversion of these sensitive goods and
technologies to inappropriate end users and uses is minimized.
There are no plans to disseminate this information to the public.
A summary of each of the 10 collections is provided in the following table.
Control
Collection Title
No. 0694
Written Assurances for
-0023
Exports of Technical
Data Under License
Exception TSR
(Technical Data
Restricted)
Short Supply -0025
Unprocessed Western
Red Cedar (WRC)
-0029

License Exception
TMP: Special
Requirements
(Temporary Exports)

Description Of Export License Exception of Exclusion
Software and technical data may be exported to certain
countries without an individual validated export license under
license exception TSR, if the exporter first obtains written
assurance from the importer that they will not reexport that
technology or software to certain destinations without prior
approval.
Unprocessed Western Red Cedar not harvested from State or
Federal lands may be exported under license exception WRC,
if the exporter obtains and retains documentation that the
timber was not harvested from State or Federal lands.
Sophisticated news-gathering equipment and software may be
exported to any destination without an individual validated
export license under license exemption TMP if the exporter
first sends a packing list of the exported commodities to BIS,
along with destinations and estimated dates. The 12-month
time limit for TMP may be extended by submitting a license
application.

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Control
Collection Title
No. 0694
Humanitarian
Donations
-0033

-0086

Report of Sample
Shipments of Chemical
Weapons Precursors

-0101

One-time Report for
Foreign Software or
Technology Eligible
for De Minimis
Exclusion
Commercial
Encryption Items
Under the Jurisdiction
of the Department of
Commerce

-0104

-0106

Recordkeeping
Requirements Under
the Wassenaar
Arrangement

-0123

Prior Notification of
Exports Under License
Exception AGR

-0133

Thermal Imaging
Camera Reporting

Description Of Export License Exception of Exclusion
Donations to meet basic human needs may be exported to any
destination under license exception GFT (gift) if the exporter
retains records of the donor program, the recipients, the
distribution program, and funding sources.
Chemical samples may be exported to certain destinations in
small quantities without a license (NLR, no license required),
if the exporter submits quarterly reports on the chemicals
exported, quantity, names and addresses of recipients and the
dates shipped.
Reexports of foreign technology commingled with controlled
U.S. origin technology valued at 10% or less of the total value
of the foreign technology may be exported under license
exceptions De Minimus, if the foreign
reexporter first submits a one-time report to BIS.
Commercial encryption items under Commerce jurisdiction
may be exported under license exceptions ENC (encryption),
KMI (key management infrastructure), and TSU (technology
and software unrestricted), if the exporter submits semiannual reports and/or submits documentation/notifications to
BIS.
Items controlled for national security purposes under the
Wassenaar Arrangement may be exported under license
exceptions LVS (limited value shipments), GBS (Country
Group B shipments), CIV (civil end user), CTP (computers),
TSR (technology and software under restriction), and GOV
(government end user), if the exporter complies with certain
recordkeeping and reporting requirements.
Exports and reexports of agricultural (AGR) items to Cuba
may be made under license exception AGR, if the exporter
first submits prior notification of the export to BIS and no
objection is raised by a Government agency.
Exports of certain thermal imaging cameras may be made
under NLR, if the exporter provides BIS with semi-annual
reports on these exports.

The Section 515 Information Quality Guidelines apply to this information collection and comply
with all applicable information quality guidelines, i.e., OMB, Department of Commerce, and
specific operating unit guidelines.

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3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
In most cases, the reporting information may be submitted in electronic formats to the Bureau of
Industry and Security. The Bureau allows parties in the export transaction to retain records in an
electronic format.

4. Describe efforts to identify duplication.
The information required by this collection is unique to each company and each export
transaction. The information is not duplicated anywhere else in Government nor is it available
from any other source.

5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
The information required to exempt a company from export licensing requirements must be
submitted by exporters regardless of size. This reporting and recordkeeping is necessary to
monitor patterns in the export of sensitive goods and technology to insure that each license
exception and exclusion is being used appropriately and that the potential for diversion of these
sensitive goods and technologies to inappropriate end users and uses is minimized.
BIS maintains an active seminar and counseling program to help all businesses understand and
comply with BIS requirements.

6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
Submission of this information is voluntary and necessary for the parties in the export transaction
to obtain the benefits of these license exceptions and exclusions. If this information is not
submitted, a company may not utilize the license exception or exclusion and must continue to
submit individual validated export licenses to the Department.

7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
There are no special circumstances that require the collection to be conducted in a manner
inconsistent with OMB guidelines.

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8. Provide information for the PRA Federal Register notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
The notice requesting public comment was published in the Federal Register on December 14,
2009, p. 66086. No comments were received.

9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
There are no plans to provide payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
Export licensing information submitted to the Department is protected from release to the public
under article 12(c) of the EAA.

11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
There are no questions of a sensitive nature.

12. Provide an estimate in hours of the burden of the collection of information.
The total estimated annual burden for this collection is 14,576 hours. The estimated annual cost
is $510,160 (14,576 x $35 hour).
The table in Question 1 summarizes the estimated number of responses and burden hours
associated with each licensing exception or exclusion. Each of these existing collections will be
represented by one or more IC’s under the new consolidated ICR.

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13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in
Question 12 above).
No special equipment or software is required for these collections so there is no capitol cost to
the respondents.
14. Provide estimates of annualized cost to the Federal government.
BIS estimates the cost to the Federal Government as follows, using a flat loaded personnel rate
of $40 per hour:
Control No.
0694
-0023
-0025
-0029
-0033
-0086
-0101
-0104
-0106
-0123
-0133

Collection Title

Cost

Written Assurances for Exports of Technical Data Under License
Exception TSR
Short Supply – Unprocessed Western Red Cedar
License Exception TMP: Special Requirements
Humanitarian Donations
Report of Sample Shipments of Chemical Weapons Precursors
One-time Report For Foreign Software or Technology Eligible For
De Minimis Exclusion
Commercial Encryption Items Under the Jurisdiction of the
Department of Commerce
Recordkeeping Requirements Under the Wassenaar Arrangement
Prior Notification of Exports Under License Exception AGR
Thermal Imaging Camera Reporting
Estimated Total Annual Cost to Federal Govt.

0
0
0
0
175
2,963
59,200
292
10,020
2,400
$75,050

15. Explain the reasons for any program changes or adjustments.
This is a new information collection.

16. For collections whose results will be published, outline the plans for tabulation and
publication.
There are no plans to publish information obtained under this collection.

17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
Not applicable.
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18. Explain each exception to the certification statement.
Not applicable.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not utilize statistical methods.

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