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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
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
AUTHORITIES ADMINISTERING IMPORT CERTIFICATE/DELIVERY
VERIFICATION (IC/DV) AND END USE CERTIFICATE SYSTEMS IN
Export Administration Regulations

August 6, 2007

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 ELIGIBLE
ITEMS 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

August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 1

§748.1

§748.2

GENERAL PROVISIONS

OBTAINING FORMS; MAILING
ADDRESSES

(a) Scope
In this part, references to the EAR are references
to 15 CFR chapter VII, subchapter C. The
provisions of this part involve applications,
whether submitted in writing or electronically, for
classifications, advisory opinions or licenses
subject to the Export Administration Regulations
(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 the Form BIS-748P: Multipurpose
Application or its electronic equivalent. If a
provision contained in this part relates solely to a
license application the term “license application”
will appear.

(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 P ennsylvania A ve., N.W .
Room H1099D
Washington, D.C. 20230
Tel: (202) 482-4811
Fax: (202) 482-2927
W estern Regional Office:
U.S. Department of Commerce
3300 Irvine Avenue, Suite 345
Newport Beach, CA 92660
Tel: (949) 660-0144
Fax: (949) 660-9347

(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.

Export Administration Regulations

Bureau o f Industry and S ecurity
U.S. Department of Commerce
96 No rth 3 rd Street
Suite 250
San Jose, CA 95112
Tel: (408) 291-4212
Fax: (408) 291-4320

(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.
(c) All applications should be mailed to the
following address, unless otherwise specified:
Bureau of Industry and Security, U.S.
Department of Commerce, P.O. Box 273,
Washington, D.C. 20044. If you wish to submit
your application using an overnight courier, use
the following address: Bureau of Industry and
Security, U.S. Department of Commerce, 14th
Street and Pennsylvania Avenue, NW., Room
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Applications (Classification, Advisory, and License) and Documentation

2705, Washington, D.C. 20230, Attn:
“Application Enclosed”. BIS will not accept
applications sent C.O.D.
§748.3
CLASSIFICATION REQUESTS,
ADVISORY OPINIONS, AND
ENCRYPTION REVIEW REQUESTS
(a) Introduction
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
assist in determining whether you must submit an
encryption review request (see paragraph (d) of
this section) for your particular item.

Part 748–page 2

using Form BIS-748P or its electronic equivalent.
See the instructions contained in Supplement No.
1 to part 748 to complete the Blocks identified for
this type of request. Classification Requests must
be sent to BIS at one of the addresses listed in
§748.2(c) of this part or submitted electronically.
Be certain that your request is complete and does
not omit any essential information.
(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.
(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 Form BIS-748P.
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 Opinions must be submitted in writing to
the address listed in §748.2(c) of the EAR. 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:

(b) Classification requests
You must submit your Classification Request
Export Administration Regulations

(i) The name, title, and telephone and facsimile
numbers of the person to contact;
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Applications (Classification, Advisory, and License) and Documentation

(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
complete list of technical information that is
required for encryption review requests. Refer
also to §742.15(b) of the EAR for instructions
Export Administration Regulations

Part 748–page 3

regarding mass market encryption commodities
and software. Refer to §740.17 of the EAR for the
provisions of License Exception ENC.

§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-of-attorney or other
written authorization from the foreign principal
party in interest, unless there is a preexisting
relationship by ownership, control, position of
responsibility or affiliation.
See power-ofAugust 6, 2007

Applications (Classification, Advisory, and License) and Documentation

attorney requirements in paragraph (b)(2) of this
section.

(b) Disclosure of parties on license
applications and the power of attorney
(1) Disclosure of parties. License applicants
must disclose the names and addresses of all
parties to a transaction. When the applicant is the
U.S. agent of the foreign principal party in
interest, the applicant must disclose the fact of the
agency relationship, and the name and address of
the agent’s principal. If there is any doubt about
which persons should be named as parties to the
transaction, the applicant should disclose the
names of all such persons and the functions to be
performed by each in Block 24 (Additional
Information) of the BIS-748P Multipurpose
Application form. 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 of this part.
(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.
Export Administration Regulations

Part 748–page 4

(ii) Application. When completing the BIS-748P
Multipurpose Application Form, Block 7
(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.
(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:
Office of Export Enforcement
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Applications (Classification, Advisory, and License) and Documentation

U.S. Department of Commerce
14th and Pennsylvania Avenue, N.W., H4520
Washington, D.C. 20230
The letter must state why a license was not
obtained and disclose all facts concerning the
shipment that would normally have been
disclosed on the license application. You will be
informed of any action and furnished any
instructions by the Office of Export Enforcement.
(e) Multiple shipments
Your license application need not be limited to a
single shipment, but may represent a reasonable
estimate of items to be shipped throughout the
validity of the license. Do not wait until the
license you are using expires before submitting a
new application. You may submit a new
application prior to the expiration of your current
license in order to ensure uninterrupted shipping.
(f) Second application
You may not submit a second license application
covering the same proposed transaction while the
first is pending action by BIS.
(g) Resubmission
If a license application is returned without action
to you by BIS or your application represents a
transaction previously denied by BIS, and you
want to resubmit the license application, a new
license application must be completed in
accordance with the instructions contained in
Supplement No. 1 to part 748. Cite the
Application Control Number on your original
application in Block 24 on the new license
application.
(h) Emergency processing
Applicants may request emergency processing of
license applications by contacting the Outreach
and Educational Services Division of the Office
Export Administration Regulations

Part 748–page 5

of Exporter Services by telephone on (202)
482-4811 or by facsimile on (202) 482-2927.
Refer to the Application Control Number when
making emergency processing requests. BIS will
expedite its evaluation, and attempt to expedite the
evaluations of other government agencies, of a
license application when, in its sole judgement, the
circumstances justify emergency processing.
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 BIS748P Multipurpose Application Form or electronic
equivalent. The definitions, which also appear in
Part 772 of the EAR, are set out here for your
convenience to assist you in filling out your
application correctly.
(a) Applicant
The person who applies for an export or reexport
license, and who has the authority of a principal
party in interest to determine and control the
export or reexport of items. See §748.4(a) and
definition of “exporter” in part 772 of the EAR.
(b) Other party authorized to receive license
The person authorized by the applicant to receive
the license. If a person and address is listed in
Block 15 of the BIS-748P Multipurpose
Application Form or the electronic equivalent, the
Bureau of Industry and Security will send the
license to that person instead of the applicant.
Designation of another party to receive the license
does not alter the responsibilities of the applicant,
licensee or exporter.
(c) Purchaser
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Applications (Classification, Advisory, and License) and Documentation

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.

Part 748–page 6

748P are contained in Supplement No. 1 to this
part 748.
See §748.7(a) of this part for
instructions on submitting license applications
electronically.
(b) Application Control Number
Each application form includes a preprinted
Application Control Number. The Application
Control Number, consisting of a letter followed by
six digits, is for use by BIS when processing
applications, and by applicants when
communicating with BIS concerning pending
applications. This number is used for tracking
purposes within the U.S. Government. The
Application Control Number is not a license
number.
(c) Approval or denial in entirety

(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.

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.

(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.
§748.6
GENERAL INSTRUCTIONS FOR
LICENSE APPLICATIONS

(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.

(a) Form and instructions
An application for license, whether to export or
reexport, must be submitted on Form BIS-748P,
Multipurpose Application (revised June 15, 1996
or later), and Form BIS-748P-A, Item Appendix,
and Form BIS-748P-B, End-User Appendix.
Facsimiles or copies of these forms are not
acceptable. Instructions for preparing Form BISExport Administration Regulations

(e) Assembly and additional
information
All documents or correspondence accompanying
your license application should bear the
Application Control Number, and be stapled
together. Where necessary, BIS may require you
to submit additional information beyond that stated
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Applications (Classification, Advisory, and License) and Documentation

in the EAR confirming or amplifying information
contained in your license application.

(f) Changes in facts
Answers to all items on the license application
will be deemed to be continuing representations of
the existing facts or circumstances. Any material
or substantive change in the terms of the order, or
in the facts relating to the transaction, must be
promptly reported to BIS, whether a license has
been granted or the license application is still
under consideration. If a license has been granted
and such changes are not excepted in §750.7(c) of
the EAR, they must be reported immediately to
BIS, even though shipments against the license
may be partially or wholly completed, during the
validity period of the license.
(g) Request for extended license
validity period
An extended validity period will generally be
granted if your transaction is related to a 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
Export Administration Regulations

Part 748–page 7

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
reason that any electronic application be
resubmitted in writing, in whole or in part.
(1) Requesting approval to submit applications
electronicall y. To submit applications
electronically, your company must submit a
written request to BIS at 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;
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Applications (Classification, Advisory, and License) and Documentation

(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.

Export Administration Regulations

Part 748–page 8

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

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Applications (Classification, Advisory, and License) and Documentation

Part 748–page 9

(l) Reexports.
§748.8
UNIQUE APPLICATION AND
SUBMISSION REQUIREMENTS

(m) Robots.
(n) Short Supply controlled items.
(o) Technology.

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:

(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.

(a) Chemicals, medicinals, and pharmaceuticals.
(s) Foreign National Review Request.
(b) Communications intercepting devices.
(c) Digital computers, telecommunications, and
related equipment.

(t) Foreign National Support Statement for deemed
exports.
(u) Aircraft and vessels on temporary sojourn.

(d) Gift parcels; consolidated in a single
shipment.

(v) In-country transfers.

(e) Intransit shipments through the United States.
§748.9
(f) Intransit shipments outside of the United
States.

SUPPORT DOCUMENTS FOR LICENSE
APPLICATIONS

(g) Nuclear Nonproliferation items and end-uses.
(a) Exemptions
(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.

Export Administration Regulations

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
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Applications (Classification, Advisory, and License) and Documentation

destinations:
Bahamas
Barbados
Belize
Bermuda
Bolivia
Brazil
Canada
Chile
Colombia
Costa Rica
Dominican Republic
Ecuador
El Salvador
French West Indies
French Guiana
Greenland
Guatemala
Guyana
Haiti
Honduras
Jamaica
Leeward and Windward Islands
Mexico
Miquelon and St. Pierre Islands
Netherlands Antilles
Nicaragua
Panama
Paraguay
Peru
Surinam
Trinidad and Tobago
Uruguay
Venezuela
(2) The ultimate consignee or purchaser is a
foreign government(s) or foreign government
agency(ies), 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
Export Administration Regulations

Part 748–page 10

the nongovernmental party.
(3) The license application is filed by, or on behalf
of, a relief agency registered with the Advisory
Committee on Voluntary Foreign Aid, U.S.
Agency for International Development, for export
to a member agency in the foreign country.
(4) The license application is submitted to export
or reexport items for temporary exhibit,
demonstration, or testing purposes.
(5) The license application is submitted for items
controlled for short supply reasons (see part 754 of
the EAR).
(6) The license application is submitted under the
Special Comprehensive License procedure
described in part 752 of the EAR.
(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
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Applications (Classification, Advisory, and License) and Documentation

your transaction involve items destined for the
People's Republic of China (PRC)?
(i) If yes, continue with question number 2 in
paragraph (b)(2) of this section.
(ii) If no, your transaction may require a
Statement by Ultimate Consignee and Purchaser.
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
Export Administration Regulations

Part 748–page 11

Portugal
Romania
Singapore
Slovakia
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
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Applications (Classification, Advisory, and License) and Documentation

action unless the satisfactory reasons for failing to
obtain the document are supplied in Block 24 or
in an attachment to your license application.
!(1) License applications supported by an
Import or End User 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,
Export Administration Regulations

Part 748–page 12

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
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
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 13

of destination any other facts relative to the
transaction that are not reported on the license
application.

End-User Certificate submitted to BIS in support
of a license application, the procedure provided in
this paragraph (i) should be followed:

(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.

(1) The applicant must send a letter request for
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”.

(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
Export Administration Regulations

(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.
(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:
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Applications (Classification, Advisory, and License) and Documentation

(i) A statement citing the foreign importer's
request for return of the certificate;
(ii) The license number(s) that have been
issued against the certificate (including both
outstanding and expired licenses); and
(iii) If the certificate covers a quantity greater
that the total quantity stated on the license(s), you
must include a statement that the certificate will
not be used in connection with another license
application.
(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.

Part 748–page 14

Statements, and applies only to transactions
involving national security controlled items
destined for one of the countries identified in
§748.9(b)(2) of this part. In the case of the PRC,
this section applies to transactions involving all
items that require a license to the PRC for any
reason.
!(b) Import Certificate or
End-User Statement
An Import Certificate or End-User Statement must
be obtained, unless your transaction meets one of
the exemptions stated in §748.9(a) of this part, if:
(1) Any commodities on your license application
are controlled for national security (NS) reasons,
except for item controlled under ECCN 5A002 or
5B002.
(2) The ultimate destination is a country listed in
§748.9(b)(2) of this part.
(3) Your transaction involves an export to the
People's Republic of China (PRC) of a computer,
regardless of dollar value, that requires a license
application.

!§748.10
IMPORT CERTIFICATES AND
END-USER STATEMENTS
!(a) Scope
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
true for both Import Certificates and End-User
Export Administration Regulations

!(4) Your license application involves the export
of commodities and software 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 this $50,000 threshold does not apply to
exports to the PRC of computers subject to the
provisions of §748.10(b)(3) or to items classified
under ECCN 6A003.
(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
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Applications (Classification, Advisory, and License) and Documentation

PRC for any reason listed on the CCL exceeds
$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.

Part 748–page 15

purchaser, even though they are different parties,
as long as both are located in the same country.
(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;
(iii) End-User and end-use;
(iv) Description of the item, quantity and
dollar value; and
(v) Signature of the importer and date.

!(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
Export Administration Regulations

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
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Applications (Classification, Advisory, and License) and Documentation

symbol is notification that the importer does not
intend to import or retain the items in the country
issuing the certificate, but that, in any case, the
items will not be delivered to any destination
except in accordance with the export regulations
of the issuing country.
(2) If you receive an IIC bearing a triangular
symbol, you must identify all parties to the
transaction on the license application, including
those located outside the country issuing the IIC.
If the importer declines to provide you with this
information, you may advise the importer to
provide the information directly to BIS, through a
U.S. Foreign Commercial Service office, or in a
sealed envelope to you marked “To be opened by
BIS only”.
(f) Multiple license applications
supported by one certificate
An Import or End-User Certificate may cover
more than one purchase order and more than one
item. Where the certificate includes items for
which more than one license application will be
submitted, you must include in Block 24 on your
application, or in an attachment to each license
application submitted against the certificate, the
following certification:
I (We) certify that the quantities of items shown
on this license application, based on the
Certificate identified in Block 13 of this license
application, when added to the quantities shown
on all other license applications submitted to
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

Part 748–page 16

application. For more information on what Import
Certificate and End-User Statement information
must be included in license applications, refer to
§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.

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
Export Administration Regulations

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Applications (Classification, Advisory, and License) and Documentation

§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
Export Administration Regulations

Part 748–page 17

permit identification of the signature as that of the
signer. The applicant must receive the manuallysigned 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 person signing the
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Applications (Classification, Advisory, and License) and Documentation

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
single license application or multiple license
applications:

Export Administration Regulations

Part 748–page 18

(i) Single. This statement is to be considered
part of a license application submitted by [name
and address of applicant].
(ii) Multiple. This statement is to be considered
a part of every license application submitted by
[name and address of applicant] until 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].
(3) Paragraph 3. The following two certifications
must be included:
(i) The nature of our business is [possible
choices include; broker, distributor, fabricator,
manufacturer, wholesaler, retailer, value added
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

reseller, original equipment manufacturer, etc.].

Part 748–page 19

(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].

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.

(4) Paragraph 4. The final paragraph must
include all of the following certifications:

§748.12

(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.

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:

(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:

(i) Addition or removal of national security
controls over a particular item; or

(A) To any country not approved for export
as brought to our attention by the exporter; or

(iii) Removal of an item from eligibility under
the Special Comprehensive License described in
part 752 of the EAR, when you hold such a special
license and have been exporting the item under
that license.

(B) To any person if there is reason to
believe that it will result directly or indirectly in
disposition of the items contrary to the
representations made in this statement or contrary
to the U.S. Export Administration Regulations.
(iii) We understand that acceptance of this
Export Administration Regulations

( i i) D e v e l o p m en t
of
an
Import
Certificate/Delivery Verification or End-User
Certificate program by a foreign country; or

(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,
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

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 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:

Export Administration Regulations

Part 748–page 20

(1) Imposes an undue hardship on you and/or
ultimate consignee (e.g., refusal by the foreign
government to issue an Import or End-User
Certificate and such refusal constitutes
discrimination against you); or
(2) Cannot be complied with (e.g., the items will
be held in a foreign trade zone or bonded
warehouse for subsequent distribution in one or
more countries); or
(3) Is not applicable to the transaction (e.g., the
items will not be imported for consumption into
the named country of destination).
(d) Procedures for requesting an exception
(1) Requests for exception must be submitted with
the license application to which the request relates.
Where the request relates to more than one license
application it should be submitted with the first
license application and referred to in Block 24 on
any subsequent license application. The request
for exception must be submitted in writing on the
applicant's letterhead.
(2) In instances where you are requesting
exception from obtaining an Import or End-User
Certificate, the request must be accompanied by a
manually-signed original Statement by Ultimate
Consignee and Purchaser as described in §748.11
of this part.
(3) At a minimum, the letter request must include:
(i) Name and address of ultimate consignee;
(ii) Name and address of purchaser, if different
from ultimate consignee;
(iii) Location of foreign trade zone or bonded
warehouse if the items will be exported to a
foreign trade zone or bonded warehouse;
(iv) Type of request, i.e., whether for a single
transaction or multiple transactions;
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

(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

Part 748–page 21

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.

§748.13
DELIVERY VERIFICATION (DV)
(a) Scope

(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 these conditions or restrictions may
be required from the parties to the transaction.
(e) Availability of original
The original certificate or statement must be kept
on file, and made available for inspection in
Export Administration Regulations

(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.
(b) Exception to obtaining
Delivery Verification
The DV requirement for a particular transaction is
automatically canceled if, subsequent to the
issuance of a license, the item is no longer
controlled for national security reasons. In this
instance, the licensee must send a letter to 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
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Applications (Classification, Advisory, and License) and Documentation

Part 748–page 22

accordingly, the request for DV will not be
fulfilled by the licensee.

title and signature of the authorized representative,
and one of the following statements:

(c) Procedure for obtaining
Delivery Verification

(i) The total quantity authorized by license
number _____ has been exported, and all delivery
verification documents are attached.

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 EndUser 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.

(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

(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.

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.

(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
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.

IMPORT CERTIFICATE FOR FIREARMS
DESTINED FOR ORGANIZATION OF
AMERICAN STATES MEMBER
COUNTRIES

(3) The documents must be forwarded with a
dated letter giving the license number, the name,
Export Administration Regulations

§748.14

(a) Scope
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
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

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, 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:
(1) The applicant has received a facsimile of the
Import Certificate or equivalent official document
at the time the license application is filed; and
(2) The applicant states on the application that a
facsimile of the Import Certificate or equivalent
Export Administration Regulations

Part 748–page 23

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
and Tobago, the United States, Uruguay, and
Venezuela.
(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
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.
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

Part 748–page 24

December 1998), or 3/1/99 (3 January 1999)).
(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 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.

(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
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.

(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
Export Administration Regulations

(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
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Applications (Classification, Advisory, and License) and Documentation

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).

Part 748–page 25

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.

(h) Where to obtain Import Certificates
(a) Eligible end-users
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.
(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
Export Administration Regulations

The only end-users to whom eligible items may be
exported, reexported, or transferred under VEU are
those validated end-users identified in Supplement
No. 7 to Part 748, according to the provisions in
this section and those set forth in Supplement Nos.
8 and 9 to this part that have been granted VEU
status by the End-User Review Committee (ERC)
according to the process set forth in Supplement
No. 9 to this part.
(1) Requests for authorization must be submitted
in the form of an advisory opinion request, as
described in §748.3(c)(2), and should include a list
of items (items for purposes of authorization VEU
include commodities, software and technology,
except as excluded by paragraph (c) of this
section), identified by ECCN, that exporters or
reexporters intend to export, reexport or transfer to
an eligible end-user, once approved. To ensure a
thorough review, requests for VEU authorization
must include the information described in
Supplement No. 8 to this part. Requests for
authorization will be accepted from exporters,
reexporters or end-users. Submit the request to:
The Office of Exp orter Services
Bureau o f Industry and S ecurity
U.S. Department of Commerce
14th Street and Pennsylvania Avenue, NW
Room 2705
Washington, DC 20230
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Applications (Classification, Advisory, and License) and Documentation

Part 748–page 26

or to

(1) The People's Republic of China.

The Office of Exporter Services
Bureau o f Industry and S ecurity
U.S. Department of Commerce
P.O. Box 273
Washington, DC 20044

(2) [RESERVED]

Mark the package sent to either address "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 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.

(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;
(2) Consume such items during use; or
(3) Transfer or reexport such items only as
authorized by BIS.
Note to paragraph (d): Authorizations set forth
in Supplement No. 7 to this part are
country-specific. Authorization as a validated
end-user for one country specified in paragraph (b)
of this section does not constitute authorization as
a validated end-user for any other country
specified in that paragraph.

(b) Eligible destinations
Authorization VEU may be used for the following
destinations:

Export Administration Regulations

(e) Certification and recordkeeping
Prior to an initial export or reexport to a validated
end-user under authorization VEU, exporters or
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Applications (Classification, Advisory, and License) and Documentation

reexporters must obtain certifications from the
validated end-user regarding end-use and
compliance with VEU requirements. Such
certifications must include the contents set forth
in Supplement No. 8 to this part. Certifications
and all records relating to VEU must be retained
by exporters or reexporters in accordance with the
recordkeeping requirements set forth in part 762
of the EAR.

(f) Reporting and review requirements
(1) (i) Reports. Exporters and 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 exported or
reexported;
(B) The eligible destination to which the
items were exported or reexported;

Part 748–page 27

(D) The value of such items; and
(E) The ECCN(s) of such items.
(ii) Reports are due by February 15 of each
year, and must cover the period of January 1
through December 31 of the prior year. Reports
must be sent to:
Office of Exporter Services
Bureau o f Industry and S ecurity
U.S. Department of Commerce
14th Street and Constitution Avenue, NW
Room 2705
Washington, DC 20230

Mark the package "Authorization Validated
End-User Reports".
(2) Reviews. Records related to activities covered
by authorization VEU that are maintained by
exporters, reexporters, and validated end-users
who make use of authorization VEU will be
reviewed on a periodic basis. Upon request by
BIS, exporters, reexporters, and validated
end-users must allow review of records, including
on-site reviews covering the information set forth
in paragraphs (e) and (f)(1) of this section.

(C) The quantity of such items;

Export Administration Regulations

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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).

August 6, 2007

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
August 6, 2007

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.

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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
August 6, 2007

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.

August 6, 2007

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 in-country transfers 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,
August 6, 2007

Applications (Classification, Advisory, and License) and Documentation

and in-country transfers 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
August 6, 2007

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
(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

(C) Description of the manner in which a
computer will be connected to the CNC unit for
on-line processing of CAD data. Specify the
make and model of the computer;
(D) Number of axes the control unit is
capable of simultaneously controlling in a
coordinated contouring mode, and type of
interpolation (linear, circular, and other);
(E) Minimum programmable increment;
(F) A description and an itemized list of all
software/firmware to be supplied with the control
device or motion control board, including
software/firmware for axis interpolation function
and for any programmable control unit or device
August 6, 2007

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

August 6, 2007

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;

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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):

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
(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

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.

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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.

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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:
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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.

Supplement No. 2 to Part 748–page 9

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;

(q) Chemicals controlled for CW reasons
under ECCN 1C350

(iii) In Block 5 (Type of Application), place
an “X” in the box marked “Other”;

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.

(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;

(r) Encryption review requests

(vi) In Block 14 (Applicant), insert the name
of the applicant;

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)(2) of
the EAR). If you seek an encryption review for
another reason, enter “encryption - other”.
(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
Export Administration Regulations

(v)

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

(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
regarding the export of the technology or
source code;
(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
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Applications (Classification, Advisory, and License) and Documentation

signer; and

Supplement No. 2 to Part 748–page 10

received) (if any): degree, subject, university,
city, state, country, month/year - month/year;

(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;

(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,
country;

To request an in-country transfer, you must
specify “in-country transfer” in Block 9 (Special
Purpose) and mark “Reexport” in Block 5 (Type
of Application) of the BIS-748P “Multipurpose
Application” form. The application also must
specify the same foreign country for both the
original ultimate consignee and the new ultimate
consignee.

(8) I-94 No. xxxxxxx, dd/ mm/ yyyy;
(9) Passport and Country of Issue: xxxxxxxx,
country
(10) U.S. Education(schools, degrees, and dates
Export Administration Regulations

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Export Administration Regulations

Supplement No. 2 to Part 748–page 11

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Supplement No. 3 to Part 748

BIS-711, STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER
INSTRUCTIONS
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”.

parties to the transaction, and any
other material facts that may be of
value in considering license
applications supported by this
statement.
Block 5:

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

Block 6:

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

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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

Export Control Division I
Department of M, E & HT I
No. 2 Dong Chang An Street
Beijing,
Phone: 8610-6519-7366
Fax: 8610-6519-7926

PRC
End-User
Statement

Czech Republic

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

IC/DV

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Supplement No. 4 to Part 748–page 2

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
Indian IC
Trade Udyog Bhawan,
Maulana Azad
Road New Delhi 11011:
For small scale industries and entities, and those not elsewhere specified

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Applications (Classification, Advisory, and License) and Documentation

Supplement No. 4 to Part 748–page 3

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

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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

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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

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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

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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

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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 mail to the Bureau of Industry and
Security, P.O. Box 273, Washington D.C. 20044,
Attn: Import Certificate Request; or
(ii) In person or by mail at one of the following
Department of Commerce U.S. and Foreign
Commercial Service District Offices:
Boston, MA
Buffalo, NY
Chicago, IL
Cincinnati, OH
Cleveland, OH
Dallas, TX
Detroit, MI
Houston, TX
Kansas City, MO
Los Angeles, CA
Miami, FL
New Orleans, LO
New York, NY
Philadelphia,PA
Phoenix, AZ
Pittsburgh,PA
Portland, OR
St. Louis, MO
San Francisco, CA
Savannah, GA
Seattle, WA
Trenton, NJ
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Supplement No. 5 to Part 748–page 2

(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
amendment giving the reasons for your failure to
submit the original certificate.
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Applications (Classification, Advisory, and License) and Documentation

(5) Certificates for Triangular transaction
(items will not enter the U.S. or applicant is
not sure that they will enter the United States).
(i) In accordance with international practice,
BIS will, upon request, stamp the certificate with
a triangular symbol as notification to the
government of the exporting country that the U.S.
importer is uncertain whether the items will be
imported into the U. S. or knows that the items
will not be imported into the U.S., but that, in any
case, the items will not be delivered to any other
destination except in accordance with the EAR.
(ii) The triangular symbol on a certificate U.S.
International Import Certificate is not, in and of
itself, an approval by BIS to transfer or sell items
to a foreign consignee. Note that a triangular
Certificate will not be issued covering foreign
excess property sold abroad by the U.S.
Department of Defense.
(6) Approval to export items to a foreign
consignee prior to delivery under a U.S.
International Import Certificate. The written
approval of BIS is required before items covered
by a U.S. International Import Certificate
(whether or not bearing a triangular symbol) may
be shipped to a destination other than the U.S. or
Canada or sold to a foreign purchaser, and before
title to or possession of such items may be
transferred to a foreign transferee.
This
requirement does not apply after the items have
been delivered in accordance with the
undertaking set forth in the Certificate or if at the
time of such shipment, sale, passage of possession
or passage of title, a License Exception or a NLR
provision of the EAR would authorize the
transaction.
(i) If prior approval is required, a letter
requesting authorization to release the shipment
shall be submitted to BIS at the address listed in
paragraph (a)(2)(i) of this supplement.

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Supplement No. 5 to Part 748–page 3

(ii) The letter must contain the certificate
number; date issued; location of the issuing
office; names, addresses, and identities of all
parties to the complete transaction; and the
quantity, dollar value, and description of the
items. The letter must be accompanied by the
U.S. International Import Certificate, and all other
documentation required by the EAR for the item
and country of ultimate destination, as identified
in part 748 of the EAR. If requirements stated in
part 748 of the EAR do not apply to your
transaction, you must identify the intended
end-use of the items in your letter.
(iii) Where the letter request is approved and is
supported by a foreign import certificate, no
further approval from BIS is required for the
purchaser or transferee to resell or again transfer
the items. However, where BIS approves a
request that was not supported by a foreign
import certificate, the person to whom approval is
granted is required to inform the purchaser or
transferee, in writing, that the items are to be
shipped to the approved destination only and that
no other disposition of the items is permitted
without the approval of BIS.
(iv) If the transaction is approved, a validated
letter of approval will be sent to the U.S.
purchaser for retention in his records. Where a
DV or other official government confirmation of
delivery is required, the letter will so indicate.
(v) If the items covered by a certificate have
been imported into a destination other than the
U.S. and the foreign exporter of the items
requests a Delivery Verification, the person who
obtained the certificate must obtain a DV from
the person to whom the items were delivered in
the actual importing country. (If a DV is
unobtainable, other official government
confirmation of delivery must be obtained.) The
DV or other official government confirmation of
delivery must be submitted to BIS together with
an explanatory letter giving the U.S. International
Import Certificate number, date issued, and
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Applications (Classification, Advisory, and License) and Documentation

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

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Supplement No. 5 to Part 748–page 4

(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.

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Applications (Classification, Advisory, and License) and Documentation

(ix) Unused U.S. International Import
Certificates. If the transaction will not be
completed and the U.S. International Import
Certificate will not be used, return the certificate
for cancellation to BIS at the address listed in
paragraph (a)(2)(i) of this supplement.
(b) Delivery Verification Certificate
U.S. importers may be requested by their foreign
suppliers to furnish them with a certified Form
BIS-647P, Delivery Verification Certificate,
covering items imported into the U.S. These
requests are made by foreign governments to
assure that strategic items shipped to the U.S. are
not diverted from their intended destination. In
these instances, the issuance of an export license
by the foreign country is conditioned upon the
subsequent receipt of a Delivery Verification
Certificate from the U.S. importer. Accordingly,
your compliance with your foreign exporter's
request for a Delivery Verification is necessary to
ensure your foreign exporter fulfills its
government obligations and is able to participate
in future transactions with you. Failure to comply
may subject your exporter to penalties that may
prevent future trade.
(1) The responsibility of a person or firm
executing a U.S. International Import Certificate
for providing the foreign exporter with
confirmation of delivery of the items includes
instances where the items are resold or transferred
to another U.S. person or firm prior to actual
delivery to the U.S. or to an approved foreign
destination. The person who executed the U.S.
International Import Certificate shall secure in
writing from the U.S. purchaser or transferee, and
retain in your files in accordance with the
recordkeeping provisions stated in part 762 of the
EAR:
(i) Acceptance of the obligation to provide the
purchaser or transferee with either the Delivery
Verification (or other official government
confirmation of delivery if a Delivery
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Supplement No. 5 to Part 748–page 5

Verification is unobtainable) or assurance that
this document was submitted to BIS; and
(ii) An undertaking that each succeeding U.S.
transferee or purchaser will assume the same
obligation or assurance. In each case the seller or
transferor must transmit to the U.S. purchaser or
transferee the U.S. International Import
Certificate number covering the export from the
foreign country and request that they pass it on to
any other U.S. purchasers or transferees.
(2) Completion and certification of Delivery
Verification Certificates. If you are requested
by your foreign exporter to provide a Delivery
Verification, you must obtain Form BIS-647P
from a U.S. customs office or one of the offices
listed in paragraph (a)(2) of this supplement and
complete all blocks (except those below the line
titled “To be completed by U.S. Customs
Service”) on the form. The language used in the
block titled “Description of Goods” must
describe the items in the same terms as those
shown on the applicable U.S. International Import
Certificate. Upon completion Form BIS-647P
must be presented, in duplicate, to a U.S. customs
office. The U.S. customs office will certify Form
BIS-647P only where the import is made under a
warehouse or consumption entry.
(3) Disposition of certified Delivery
Verification Certificates. The importer must
send the original certified Delivery Verification
Certificate to the foreign exporter or otherwise
dispose of it in accordance with the instructions
of the exporting country. The duplicate copy will
be retained by the U.S. customs office.
(4)(i) Issuance of a U.S. Delivery Compliance
Notice in lieu of a Delivery Verification
Certificate. If you are requested to provide a
Delivery Verification Certificate but do not wish
to disclose the name of your customer to the
foreign exporter (e.g., in the event that the items
are resold or transferred to another person or firm
before the items enter the U.S.), you may submit
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Applications (Classification, Advisory, and License) and Documentation

an originally completed Form BIS-647P together
with an explanatory letter requesting a Delivery
Compliance Notice, to BIS at the address listed in
(a)(2)(i) of this supplement.
(ii) BIS will provide you with a notice
signifying that the items were imported into the
U.S. and that a satisfactory DV has been
submitted to BIS. You must then forward the
original notice to your foreign exporter for
submission to the foreign government. A copy of
the notice should be retained in your files in
accordance with the recordkeeping provisions
stated in part 762 of the EAR.
(5)(i) Lost or destroyed Delivery Verification
Certificate. When a Delivery Verification
Certificate is lost or destroyed, the U.S. importer
must submit a letter to BIS at the address listed in
paragraph (a)(2)(i) of this supplement certifying
that:
(A) The original Delivery Verification
Certificate has been lost or destroyed;
(B) The circumstances under which it was
lost or destroyed;
(C) The type of customs entry (warehouse or
consumption), entry number, and date of entry;
and

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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.

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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

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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 ELIGIBLE ITEMS AND ELIGIBLE DESTINATIONS
[RESERVED]

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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
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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.

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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

August 6, 2007