PART 730—GENERAL INFORMATION Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; et seq.; et seq.; et seq.; Source: 61 FR 12734, Mar. 25, 1996, unless otherwise noted. § 730.1 What these regulations cover. In this part, references to the Export Administration Regulations (EAR) are references to 15 CFR chapter VII, subchapter C. The EAR are issued by the United States Department of Commerce, Bureau of Industry and Security (BIS) under laws relating to the control of certain exports, reexports, and activities. In addition, the EAR implement antiboycott law provisions requiring regulations to prohibit specified conduct by United States persons that has the effect of furthering or supporting boycotts fostered or imposed by a country against a country friendly to United States. Supplement no. 1 to part 730 lists the control numbers assigned to information collection requirements under the EAR by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995. § 730.2 Statutory authority. The EAR have been designed primarily to implement the Export Administration Act of 1979, as amended, 50 U.S.C. app. 2401-2420 (EAA). There are numerous other legal authorities underlying the EAR. These are listed in the Federal Register § 730.3 “Dual use” and other types of items subject to the EAR. The term “dual use” is often used to describe the types of items subject to the EAR. A “dual-use” item is one that has civil applications as well as terrorism and military or weapons of mass destruction (WMD)-related applications. The precise description of what is “subject to the EAR” is in § 734.3, which does not limit the EAR to controlling only dual-use items. In essence, the EAR control any item warranting control that is not exclusively controlled for export, reexport, or transfer (in-country) by another agency of the U.S. Government or otherwise excluded from being subject to the EAR pursuant to § 734.3(b) of the EAR. Thus, items subject to the EAR include purely civilian items, items with both civil and military, terrorism or potential WMD-related applications, and items that are exclusively used for military applications but that do not warrant control under the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 et seq. [78 FR 22705, Apr. 16, 2013] § 730.4 Other control agencies and departments. In addition to the departments and agencies mentioned in § 730.3 of this part, other departments and agencies have jurisdiction over certain narrower classes of exports and reexports. These include the Department of Treasury's Office of Foreign Assets Control (OFAC), which administers controls against certain countries that are the object of sanctions affecting not only exports and reexports, but also imports and financial dealings. For your convenience, supplement no. 3 to part 730 identifies other departments and agencies with regulatory jurisdiction over certain types of exports and reexports. This is not a comprehensive list, and the brief descriptions are only generally indicative of the types of controls administered and/or enforced by each agency. § 730.5 Coverage of more than exports. The core of the export control provisions of the EAR concerns exports from the United States. You will find, however, that some provisions give broad meaning to the term “export”, apply to transactions outside of the United States, or apply to activities other than exports. (a) Reexports. (b) Foreign products. de minimis (c) Scope of “exports”. (d) “ U.S. person” activities. [61 FR 12734, Mar. 25, 1996, as amended at 61 FR 68577, Dec. 30, 1996; 74 FR 52882, Oct. 15, 2009; 85 FR 29852, May 19, 2020; 86 FR 4869, Jan. 15, 2021] § 730.6 Control purposes. The export control provisions of the EAR are intended to serve the national security, foreign policy, nonproliferation of weapons of mass destruction, and other interests of the United States, which in many cases are reflected in international obligations or arrangements. Some controls are designed to restrict access to items subject to the EAR by countries or persons that might apply such items to uses inimical to U.S. interests. These include controls designed to stem the proliferation of weapons of mass destruction and controls designed to limit the military and terrorism support capability of certain countries. The effectiveness of many of the controls under the EAR is enhanced by their being maintained as part of multilateral control arrangements. Multilateral export control cooperation is sought through arrangements such as the Nuclear Suppliers Group, the Australia Group, and the Missile Technology Control Regime. The EAR also include some export controls to protect the United States from the adverse impact of the unrestricted export of commodities in short supply. [61 FR 12734, Mar. 25, 1996, as amended at 78 FR 22705, Apr. 16, 2013] § 730.7 License requirements and exceptions. A relatively small percentage of exports and reexports subject to the EAR require an application to BIS for a license. Many items are not on the Commerce Control List (CCL) (supplement no. 1 to § 774.1 of the EAR), or, if on the CCL, require a license to only a limited number of countries. Other transactions may be covered by one or more of the License Exceptions in the EAR. In such cases no application need be made to BIS. § 730.8 How to proceed and where to get help. (a) How the EAR are organized. (1) How do you go about determining your obligations under the EAR? (2) Are your items or activities subject to the EAR at all? (3) If subject to the EAR, what do the EAR require? (4) Do you need a license for your item or activity? What policies will BIS apply if you do need to submit license application? (i) The EAR may require a license to a country if your item is listed on the CCL and the Country Chart in part 738 of the EAR tells that a license is required to that country. Virtually all Export Control Classification Numbers (ECCN) on the CCL are covered by the Country Chart in part 738 of the EAR. That part identifies the limited number of entries that are not included on the Chart. These ECCNs will state the specific countries that require a license or refer you to a self-contained section, i.e., Short Supply in part 754 of the EAR, or Embargoes in part 746 of the EAR. If a license is required, you should consult part 740 of the EAR which describes the License Exception that may be available for items on the CCL. Part 742 of the EAR describes the licensing policies that BIS will apply in reviewing an application you file. Note that part 754 of the EAR on short supply controls and part 746 on embargoes are self-contained parts that include the available exceptions and licensing policy. (ii) A license requirement may be based on the end-use or end-user in a transaction, primarily for proliferation reasons. Part 744 of the EAR describes such requirements and relevant licensing policies and includes both restrictions on items and restrictions on the activities of U.S. persons. (iii) A license is required for virtually all exports to embargoed destinations, such as Cuba. Part 746 of the EAR describes all the licensing requirements, license review policies and License Exceptions that apply to such destinations. If your transaction involves one of these countries, you should first look at this part. This part also describes controls that may be maintained under the EAR to implement UN sanctions. (iv) In addition, under §§ 736.2(b)(9) and (10) of the EAR, you may not engage in a transaction knowing a violation is about to occur or violate any orders, terms, and conditions under the EAR. Part 764 of the EAR describes prohibited transactions with a person denied export privileges or activity that violates the terms or conditions of a denial order. (5) How do you file a license application and what will happen to the application once you do file it? What if you need authorization for multiple transactions? (6) How do you clear shipments with the U.S. Customs Service? (7) Where do you find the rules on restrictive trade practices and boycotts? (8) Where are the rules on recordkeeping and enforcement? (9) What is the effect of foreign availability? (10) Do the EAR provide definitions and interpretations? (b) Why the EAR are so detailed. (c) Where to get help. [61 FR 12734, Mar. 25, 1996, as amended at 69 FR 5687, Feb. 6, 2004; 70 FR 14386, Mar. 22, 2005; 70 FR 22249, Apr. 29, 2005; 72 FR 3945, Jan. 29, 2007; 73 FR 35, Jan. 2, 2008; 73 FR 75944, Dec. 15, 2008; 76 FR 40604, July 11, 2011; 80 FR 51729, Aug. 26, 2015] § 730.9 Organization of the Bureau of Industry and Security. The head of the Bureau of Industry and Security is the Under Secretary for Industry and Security. The Under Secretary is assisted by a Deputy Under Secretary for Industry and Security, the Assistant Secretary for Export Administration, the Assistant Secretary for Export Enforcement, the Director of Administration, the Director of the Office of Congressional and Public Affairs, and the Chief Information Officer. The functions and authorities of the Under Secretary are described in the Department's Organizational Order 10-16. The Department's organizational and administrative orders are available via Office of Management and Organization's Web page on the Department's Web site at http://www.osec.doc.gov/omo/DMPHome.htm. (a) Export Administration is headed by the Assistant Secretary for Export Administration, who is assisted by a Deputy Assistant Secretary. Its substantive work is carried out by six sub-units: the Office of Nonproliferation and Treaty Compliance, the Office of National Security and Technology Transfer Controls, the Office of Exporter Services, the Operating Committee, the Office of Strategic Industries and Economic Security, and the Office of Technology Evaluation. The functions of the Operating Committee are described in § 750.4(f)(1) of the EAR. The roles of the other units are described on BIS's Web site at http://www.bis.doc.gov/about/programoffices.htm. (b) Export Enforcement is headed by the Assistant Secretary for Export Enforcement who is assisted by a Deputy Assistant Secretary. Its substantive work is carried out by three sub-units: the Office of Export Enforcement, the Office of Enforcement Analysis and the Office of Antiboycott Compliance. The roles of these units are described on BIS's Web site at http://www.bis.doc.gov/about/programoffices.htm. (c) BIS is also assisted in its work by six technical advisory committees. The procedures and criteria for establishing and operating the technical advisory committees is at supplement No. 2 to this part. Information about the specific roles of each committee, meeting schedules, and membership selection is available on BIS's Web site at http://tac.bis.doc.gov/. [70 FR 8248, Feb. 18, 2005, as amended at 72 FR 25196, May 4, 2007] § 730.10 Advisory information. The general information in this part is just that—general. To achieve brevity, so as to give you a quick overview, the information in this part is selective, incomplete, and not expressed with regulatory precision. The controlling language is the language of succeeding parts of the EAR and of any other laws or regulations referred to or applicable. The content of this part is not to be construed as modifying or interpreting any other language or as in any way, limiting the authority of BIS, any of its components or any other government department or agency. You should not take any action based solely on what you read in this part. Supplement No. 1 to Part 730—Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers This supplement lists the control numbers assigned to the information collection requirements for the Bureau of Industry and Security by the Office of Management and Budget (OMB), pursuant to the Paperwork Reduction Act of 1995. This supplement complies with the requirements of section 3506(c)(1)(B)(i) of the Paperwork Reduction Act requiring agencies to display current control numbers assigned by the Director of OMB for each agency information collection requirement. Collection number Title Reference in the EAR 0694-0004 Foreign Availability Procedures and Criteria part 768. 0694-0009 Approval of Triangular Transactions Involving Commodities Covered by a U.S. Import Certificate § 748.10(e). 0694-0012 Report of Requests for Restrictive Trade Practice or Boycott—Single or Multiple Transactions part 760 and § 762.2(b). 0694-0013 Computers and Related Equipment EAR Supplement 2 to Part 748 part 774. 0694-0016 Delivery Verification Certificate §§ 748.13 and 762.2(b). 0694-0017 International Import Certificate § 748.10. 0694-0021 Statement by Ultimate Consignee and Purchaser §§ 748.11 and 762.2(b). 0694-0026 Short Supply Regulations—Petroleum Products § 754.3. 0694-0047 Technology Letter of Explanation Supplement No. 2 to part 748, paragraph (o)(2). 0694-0058 Procedure for Voluntary Self-Disclosure of Violations §§ 762.2(b) and 764.5. 0694-0073 Export Controls of High Performance Computers Supplement No. 2 to part 748, paragraph (c)(2), and § 762.2(b). 0694-0088 Simplified Network Application Processing+ System (SNAP+) and the Multipurpose Export License Application parts 746 and 748, and § 762.2(b). 0694-0093 Import Certificates And End-User Certificates §§ 748.9, 748.10, 762.5(d), 762.6 764.2(g)(2). 0694-0096 Five Year Records Retention Period part 760, § 762.6(a). 0694-0100 Requests for Appointment of Technical Advisory Committee Supplement No. 1 to part 730. 0694-0102 Registration of U.S. Agricultural Commodities For Exemption From Short Supply Limitations on Export, and Petitions For The Imposition of Monitoring Or Controls On Recyclable Metallic Materials; Public Hearings §§ 754.6 and 754.7. 0694-0107 National Defense Authorization Act (NDAA) §§ 740.7, 742.12. 0694-0117 Chemical Weapons Convention Provisions of the Export Administration Regulations (Schedule 1 Advance Notifications and Reports and Schedule 3 End-use Certificates) part 745. 0694-0122 Licensing Responsibilities and Enforcement §§ 744.15(b) and 748.4 and part 758. 0694-0125 BIS Seminar Evaluation N/A 0694-0126 Export License Services—Transfer of License Ownership, Requests for a Duplicate License § 750.9. 0694-0129 Export and Reexport Controls For Iraq §§ 732.3, 738, 744.18, 746.3(b)(1), 750, 758, 762, 772, 774. 0694-0132 Voluntary Self-Disclosure of Antiboycott Violations § 764.8. 0694-0134 Procedure for parties on the Entity List or the Unverified List to Request Removal or Modification of their Listing §§ 744.15 and 744.16 0694-0137 License Exceptions and Exclusions § 734.4, Supplement No. 2 to part 734, §§ 740.3(d), 740.4(c), 740.9(a)(2)(viii)(B), 740.9(c), 740.12(b)(7), 740.17, 740.18, Supp. No. 2 to part 740, §§ 742.15, 743.1, 743.3, 754.4, 762.2(b) and Supplement No. 1 to part 774. 0607-0152 Automated Export System (AES) Program §§ 740.1(d), 740.3(a)(3), 754.4(c), 758.1, 758.2, and 758.3 of the EAR. [61 FR 12734, Mar. 25, 1996] Editorial Note: For Federal Register www.govinfo.gov. Supplement No. 2 to Part 730—Technical Advisory Committees (a) Purpose. (b) Technical advisory committees. (1) Form and substance of requests. The request shall include: (i) A description of the articles, materials, or supplies including technology and software, in terms of a clear, cohesive grouping (citing the applicable Export Control Classification Numbers where practical); (ii) A statement of the reasons for requesting the appointment of a TAC; and (iii) Any information in support of any contention that may be made that the request meets the criteria described in paragraph (b)(2) of this supplement. (2) Consideration of request for establishment of a TAC. (i) That a substantial segment of the industry producing the specified articles, materials, or supplies including technology desires such a committee; and (ii) That the evaluation of such articles, materials, or supplies including technology and software for export control purposes is difficult because of questions involving technical matters, worldwide availability and actual utilization of production and software technology, or licensing procedures. (3) Requests by a substantial segment of an industry. (i) The number of persons or firms requesting the establishment of a TAC for a particular grouping of commodities, software and technology in relation to the total number of U.S. producers of such items; and (ii) The volume of annual production by such persons or firms of each item in the grouping in relation to the total U.S. production. Generally, a substantial segment of an industry (for purposes of this supplement) shall consist of: (A) Not less than 30 percent of the total number of U.S. producers of the items concerned; or (B) Three or more U.S. producers who produce a combined total of not less than 30 percent of the total U.S. annual production, by dollar value of the items concerned; or (C) Not less than 20 percent of the total number of U.S. producers of the items concerned, provided that the total of their annual production thereof is not less than 20 percent of the total U.S. annual production, by dollar value. (iii) If it is determined that a substantial segment of the industry concerned has requested the establishment of a TAC concerning a specific grouping of items that the Department of Commerce determines difficult to evaluate for export control purposes, BIS will establish and use the TAC requested. (4) Requests from trade associations or other representatives. (i) The total number of firms in the particular industry; (ii) The total number of firms in the industry that have authorized the trade association or other representative to act in their behalf in this matter; (iii) The approximate amount of total U.S. annual production by dollar value of the items concerned produced by those firms that have authorized the trade association or other representative to act in their behalf; and (iv) A description of the method by which authorization to act on behalf of these producers was obtained. (5) Nominations for membership on TACs. (6) Selection of industry members of committee. (7) Government members. (8) Invitation to serve on committee. (9) Election of Chair. (c) Charter. (i) The committee's official designation; (ii) The committee's objectives and the scope of its activities; (iii) The period of time necessary for the committee to carry out its purposes; (iv) The agency or official to whom the committee reports; (v) The agency responsible for providing the necessary support for the committee; (vi) A description of the duties for which the committee is responsible, and, if such duties are not solely advisory, a specification of the authority for such functions; (vii) The estimated annual operating costs in dollars and years for such committee; (viii) The estimated number and frequency of committee meetings; (ix) The committee's termination date, if less than two years from the date of the committee's establishment; and (x) The date the charter is filed. (d) Meetings. (2) No TAC may meet except at the call of its Chair. (3) Each meeting of a TAC shall be conducted in accordance with an agenda approved by a designated Federal government employee. (4) No TAC shall conduct a meeting in the absence of a designated Federal government employee who shall be authorized to adjourn any advisory committee meeting, whenever the Federal government employee determines adjournment to be in the public interest. (e) Public notice. Federal Register. (f) Public attendance and participation. (2) A request for an opportunity to deliver an oral statement relevant to matters on the agenda of a meeting of a TAC will be granted to the extent that the time available for the meeting permits. A committee may establish procedures requiring such persons to obtain advance approval for such participation. (3) Attendance at meetings of TACs will be open to the public unless it is determined pursuant to section 10(d) of the Federal Advisory Committee Act to be necessary to close all, or some portion, of the meeting to the public. A determination that a meeting or portion thereof be closed to the public may be made if all or a specific portion of a meeting of a TAC is concerned with matters described in section 552(b) of Title 5, U.S.C. (4) Participation by members of the public in open TAC meetings or questioning of committee members or other participants shall not be permitted except in accordance with procedures established by the committee. (5) Every effort will be made to accommodate all members of the public who wish to attend. (g) Minutes. (2) The accuracy of all the minutes will be certified to by the TAC Chair. (h) Records. (2) Each TAC will prepare once each year a report describing its membership, functions, activities, and such related matters as would be informative to the public consistent with the policy of section 552(b) of Title 5, U.S.C. (3)(i) Requests for records should be addressed to: Bureau of Industry and Security, Freedom of Information, Records Inspection Facility, U.S. Department of Commerce, Room 4513, Washington, DC 20230, Telephone (202) 482-2593. (ii) Rules concerning the use of the Records Inspection Facility are contained in 15 CFR part 4, Subtitle A, or may be obtained from this facility. (i) Compensation. (j) Scope of advisory committee functions. (k) Duration of committees. (l) Miscellaneous. (2) Whenever the Department of Commerce desires the advice or assistance of a particular segment of an industry with respect to any export control problem for which the service of a TAC, as described in paragraph (b) of this supplement is either unavailable or impracticable, an advisory committee may be established pursuant to the provisions of section 9 of the Federal Advisory Committee Act. Such committees will be subject to the requirements of the Federal Advisory Committee Act, OMB Circular A-63 (Revision of March 1974), “Advisory Committee Management,” Department of Commerce Administrative Order 205-12, “Public Information,” and any other applicable Department of Commerce regulations or procedures affecting the establishment or operation of advisory committees. (3) Nothing in the provisions of this supplement shall be construed to restrict in any manner the right of any person or firm to discuss any export control matter with the Department of Commerce or to offer advice or information on export control matters. Similarly, nothing in these provisions shall be construed to restrict the Department of Commerce in consulting any person or firm relative to any export control matter. [61 FR 12734, Mar. 25, 1996, as amended at 73 FR 35, Jan. 2, 2008; 73 FR 75945, Dec. 15, 2008; 78 FR 13468, Feb. 28, 2013] Supplement No. 3 to Part 730—Other U.S. Government Departments and Agencies With Export Control Responsibilities Note: The departments and agencies identified with an asterisk control exports for foreign policy or national security reasons and, in certain cases, such controls may overlap with the controls described in the EAR (see part 734 of the EAR). Defense Services and Defense Articles *Department of State, Directorate of Defense Trade Controls, Tel. (202) 663-2700, Fax: (202) 261-8695, Internet: http://www.pmddtc.state.gov/index.html. 22 CFR parts 120 through 130. Drugs, Chemicals and Precursors Chemicals: Drug Enforcement Administration, Office of Diversion Control, Import-Export Unit, Tel. (202) 307-4916, Fax: 202-307-4702, Internet: http://www.deadiversion.usdoj.gov/imp_exp/index.html. 21 CFR Parts 1311 Through 1313 Controlled Substances: Drug Enforcement Administration, Office of Diversion Control, Import-Export Unit, Tel. (202) 307-7182 or (202) 307-7181, Fax: (202) 307-7503, Internet: http://www.deadiversion.usdoj.gov/imp_exp/index.html. 21 CFR Parts 1311 Through 1313 Drugs and Biologics: Food and Drug Administration, Import/Export, Tel. (301) 594-3150, Fax: (301) 594-0165. 21 U.S.C. 301 et seq Investigational drugs permitted: Food and Drug Administration, International Affairs, Tel. (301) 443-4480, Fax: (301) 443-0235. 21 CFR 312.1106 Fish and Wildlife Controls; Endangered Species Department of the Interior, Chief Office of Management Authority, Tel. (703) 358-2093, Fax: (703) 358-2280. 50 CFR 17.21, 17.22, 17.31, 17.32. Foreign Assets and Transactions Controls * Department of Treasury, Office of Foreign Assets Control, Licensing, Tel. (202) 622-2480, Fax: (202) 622-1657. 31 CFR parts 500 through 590. Medical Devices Food and Drug Administration, Office of Compliance, Tel. (301) 594-4699, Fax: (301) 594-4715. 21 U.S.C. 301 et seq. Natural Gas and Electric Power Department of Energy, Office of Fuels Programs, Tel. (202) 586-9482, Fax: (202) 586-6050. 10 CFR 205.300 through 205.379 and part 590. Nuclear Materials and Equipment * Nuclear Regulatory Commission, Office of International Programs, Tel. (301) 415-2344, Fax: (301) 415-2395. 10 CFR part 110. Nuclear Technologies and Services Which Contribute to the Production of Special Nuclear Material (Snm). Technologies Covered Include Nuclear Reactors, Enrichment, Reprocessing, Fuel Fabrication, and Heavy Water Production. Department of Energy Office of Export Control Policy & Cooperation (NA-24) Tel. (202) 586-2331, Fax (202) 586-1348. 10 CFR part 810. Ocean Freight Forwarders Federal Maritime Commission, Office of Freight Forwarders, Tel. (202) 523-5843, Fax: (202) 523-5830. 46 CFR part 510. Patent Filing Data Sent Abroad * Department of Commerce, Patent and Trademark Office, Licensing and Review; Tel. (703) 308-1722, Fax: (703) 305-3603, 3604. 37 CFR part 5. U.S. Flagged or U.S. Manufactured Vessels Over 1,000 Gross Tons U.S. Maritime Administration, Division of Vessel Transfer and Disposal, Tel. (202) 366-5821, Fax: (202) 366-3889. 46 CFR part 221. [61 FR 12734, Mar. 25, 1996, as amended at 65 FR 38149, June 19, 2000; 69 FR 5687, Feb. 6, 2004; 72 FR 20222, Apr. 24, 2007; 78 FR 13468, Feb. 28, 2013]