PART 702—INDUSTRIAL BASE SURVEYS—DATA COLLECTIONS Authority: 50 U.S.C. 4501 et seq.; Source: 80 FR 41430, July 15, 2015, unless otherwise noted. § 702.1 Introduction. In accordance with 50 U.S.C. app. 2155, the Bureau of Industry and Security (BIS) may obtain such information from, require such reports and the keeping of such records by, make an inspection of the books, records, and other writings, premises or property of, take the sworn testimony of and administer oaths and affirmations to, any person as may be necessary or appropriate, in its discretion, to the enforcement or the administration of its authorities and responsibilities under the Defense Production Act of 1950 as amended (DPA) and any regulations or orders issued thereunder. BIS's authorities under the DPA (50 U.S.C. app. 2061 et seq. § 702.2 Scope and purpose of surveys—avoiding duplicative requests for information. (a) BIS will not send any survey to any person for completion unless the scope and purpose of the survey have been established, that scope and purpose are consistent with BIS's authorities under the DPA, and the data requested by the survey does not duplicate adequate and authoritative data already available to BIS from a Federal or other authoritative source. (b) BIS personnel of appropriate competence and authority will ensure that the requirements of paragraph (a) of this section are met. (c) This section shall not be construed as limiting the criteria that BIS may consider in determining whether to proceed with a survey. This paragraph shall not be construed as replacing or in any way modifying the requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq. § 702.3 Confidential information. This section implements section 705(d) of the DPA. (a) BIS deems all information submitted in response to a survey issued pursuant to this part to be confidential. (b) Any person submitting information in response to a survey issued pursuant to this part may request confidential treatment of that information. (c) The President's authority under the DPA to protect confidential information has been delegated to the Under Secretary for Industry and Security. The information described in paragraphs (a) and (b) of this section shall not be published or disclosed unless the Under Secretary for Industry and Security determines that the withholding thereof is contrary to the interest of the national defense. (d) Any person convicted of willfully violating the prohibition in paragraph (c) of this section may be fined not more than $10,000 or imprisoned for not more than one year, or both. § 702.4 Requirement to comply with surveys or other requests for information. (a) Requirement to comply. (b) Grounds for exemption. (i) Has no physical presence in the United States of any kind; (ii) Does not provide, produce, distribute, utilize, procure, research, develop, consult or advise on, or have any other direct or indirect association with the materials, products, services or technology that are within the scope of the survey; (iii) Has ceased business operations more than 12 months prior to receipt of the survey; (iv) Has been in business for less than one year; or (v) BIS determines that extenuating circumstances exist that make responding impractical. (2) BIS may also grant an exemption if, based on the totality of the circumstances, it concludes that compliance would be impractical and/or that requiring compliance would be unduly time intensive. (3) Existence of a pre-existing private non-disclosure agreement or information sharing agreement between a person and another party ( e.g., (c) Extensions of time to complete. (d) Procedure for requesting exemptions or extensions of time. (e) Responses that are incomplete or inadequate. § 702.5 Consequences of failure to comply. (a) Civil. (b) Criminal. § 702.6 Definitions. The definitions in this section apply throughout this part. Confidential. Initial distribution letter. Person. (1) An individual, corporation, partnership, association, or any other organized group of persons, or legal successor or representative thereof; (2) Any State or local government or agency thereof; (3) The Government of the United States, of the District of Columbia, of any commonwealth, territory or possession of the United States, or any department, agency or commission thereof. Note to the definition of “person”: Paragraph (1) of this definition is not limited to commercial or for-profit organizations. For example, the term “any other organized group of persons” may encompass labor unions, academic institutions, charitable organizations or any group of persons who are organized in some manner. The term corporation is not limited to publicly traded corporations or corporations that exist for the purpose of making a profit. Survey. Supplement No. 1 to Part 702—General Survey Information This supplement provides general information about surveys and the content of the typical survey. The content of this supplement is purely an example of a typical survey, and in no way limits the content that may appear in a specific Bureau of Industry and Security (BIS)-issued survey. Procedures and content vary from survey to survey, and as such, there is no set template to follow. Nonetheless, BIS is offering this information as a basic guide to some elements of a survey. Survey Structure Most surveys include the following sections: Cover Page; Table of Contents; General Instructions; Glossary of Terms; Organizational Information, and sector-specific sections. —The cover page typically includes the title of the survey, its scope, an explanation of the legal requirement to comply, the burden estimate for compliance with the survey, the Office of Management and Budget (OMB) control number, and the survey date of expiration. —The General Instructions section normally includes process steps necessary for a person's survey submittal. These include but are not limited to instructions for survey completion, survey support staff point-of-contact information, the name and address of the presiding BIS official, and instructions for both survey certification and submittal. —The Glossary of Terms section explains terms contained in the survey. Terms contained in the survey may be unique to the subject matter of the industry assessment, and therefore may change in meaning from survey to survey. Therefore, it is important to follow the specific instructions and defined terms contained in the specific survey you receive, regardless of any previous survey you might have completed. —The Organization Information section requests information related to the person in receipt of the survey, including address information, the source level of response ( e.g., The survey is generally organized in a question and answer format and is presented on an electronic survey system. Each survey is specially tailored to collect the specific information requested. Therefore, specific detailed information is what should be submitted in response to a survey requesting such information. —For example, if we ask for a listing of your customers that order widget A, your response should not be a listing of your entire customer base. Only the information pertaining to customers' ordering widget A is responsive to that kind of question. Also note that your reply to a survey request is compulsory, unless you meet the criteria for exemption set forth in the body of the regulation. Therefore, any non-disclosure agreements or similar agreements you may have with your customers or clients are not applicable to a survey's request for information. Compliance with the survey is required by the DPA. Accordingly, compliance with that statutory requirement is paramount to any private agreement you have with your customers or other parties. In addition to the aforementioned sections, each survey contains sections tailored to the specific scope of the study, including but not limited to Facility Locations, Products and Services, Inventories, Suppliers and Customers, Challenges and Organizational Outlook, Employment, Operations, Financial Statements, Sales, Research and Development, and Capital Expenditures. Examples of survey terms. Certification: Facility: Sole source: Survey template: Supplier: