PART 743—SPECIAL REPORTING AND NOTIFICATION Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq. et seq. § 743.1 Wassenaar Arrangement. (a) Scope. Note to paragraph ( a For purposes of part 743, the term “you” has the same meaning as the term “exporter”, as defined in part 772 of the EAR. (b) Requirements. (1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS, APP, and the cooperating government portions (§ 740.11(c) of the EAR) of GOV (see part 740 of the EAR). Note that exports of technology and source code under License Exception TSR to foreign nationals located in the U.S. should not be reported; and (2) [Reserved] (3) Exports authorized under the Validated End-User authorization (see § 748.15 of the EAR). (4) Exports authorized under License Exception STA (See § 740.20 of the EAR). (c) Items for which reports are required. (d) Country Exceptions. (e) Information that must be included in each report. (i) Export Control Classification Number and paragraph reference as identified on the Commerce Control List; (ii) Number of units in the shipment; and Note to paragraph ( e ii For exports of technology for which reports are required under § 743.1(c) of this section, the number of units in the shipment should be reported as one (1) for the initial export of the technology to a single ultimate consignee. Additional exports of the technology must be reported only when the type or scope of technology changes or exports are made to other ultimate consignees. Additionally, do not report the release of technology or source code subject to the EAR to foreign nationals in the U.S. (iii) Country of ultimate destination. (2) [Reserved] (f) Frequency and timing of reports. (1) The first report must be submitted to and received by BIS no later than August 1, 1998 for the partial reporting period beginning January 15, 1998 and ending June 30, 1998. Thereafter, reports are due according to the provisions of paragraphs (f)(2) and (f)(3) of this section. (2) Reports for the reporting period ending June 30 must be submitted to and received by BIS no later than August 1. (3) Reports for the reporting period ending December 31 must be submitted to and received by BIS no later than February 1. (g) Where to submit Wassenaar reports Email. [email protected]. (2) Mail. (3) Facsimile. (h) Contacts. [email protected]. [63 FR 2458, Jan. 15, 1998] Editorial Note: For Federal Register www.govinfo.gov. § 743.2 High performance computers: Post shipment verification reporting. (a) Scope. (b) Requirement. (c) Information that must be included in each post-shipment report. (1) Exporter name, address, and telephone number; (2) License number; (3) Date of export; (4) End-user name, point of contact, address, telephone number; (5) Carrier; (6) Air waybill or bill of lading number; (7) Commodity description, quantities—listed by model numbers, serial numbers, and APP level in WT; and (8) Certification line for exporters to sign and date. The exporter must certify that the information contained in the report is accurate to the best of his or her knowledge. Note to paragraph ( c Exporters are required to provide the PRC End-User Certificate Number to BIS as part of their post-shipment report. When providing the PRC End-User Certificate Number to BIS, you must identify the transaction in the post shipment report to which that PRC End-User Certificate Number applies. (d) Address. [71 FR 20886, Apr. 24, 2006, as amended at 73 FR 35, Jan. 2, 2008; 76 FR 36988, June 24, 2011; 77 FR 39369, July 2, 2012; 79 FR 45296, Aug. 4, 2014; 81 FR 64675, Sept. 20, 2016] § 743.3 Thermal imaging camera reporting. (a) General requirement. (b) Transactions to be reported. (c) Party responsible for reporting. (d) Information to be included in the reports. Note (e) Where to submit reports. [email protected]. (f) Reporting periods and due dates. [74 FR 23947, May 22, 2009, as amended at 74 FR 68146, Dec. 23, 2009; 76 FR 58397, Sept. 21, 2011; 80 FR 29444, May 21, 2015; 80 FR 75635, Dec. 3, 2015; 85 FR 56299, Sept. 11, 2020; 89 FR 28600, Apr. 19, 2024] § 743.4 Conventional arms reporting. (a) Scope. www.disarmament.unoda.org/convarms/register/ Wassenaar Arrangement's Basic Documents https://www.wassenaar.org/app/uploads/2021/12/Public-Docs-Vol-I-Founding-Documents.pdf (b) Information included in the reports Authorizations reported. (2) ECCNs reported. (3) Quantity and recipient state reported. (c) Contacts. [89 FR 34706, Apr. 30, 2024] § 743.5 Prior notifications to Congress of Exports of “600 Series Major Defense Equipment.” (a) General requirement. (1) Exports of “600 Series Major Defense Equipment” to U.S. Government end users under License Exception GOV (§ 740.11(b) of the EAR) do not require such notification. (2) Exports of “600 Series Major Defense Equipment” that have been or will be described in a notification filed by the U.S. State Department under the Arms Export Control Act do not require such notification by BIS. (b) BIS will notify Congress prior to issuing a license authorizing the export of items to a country outside (c) BIS will notify Congress prior to issuing a license authorizing the export of items to a country listed in Country Group A:5 (see supplement no. 1 to part 740 of the EAR) that are sold under a contract that includes $25,000,000 or more of “600 Series Major Defense Equipment.” (d) In addition to information required on the application, the exporter must include a copy of the signed contract (including a statement of the value of the “600 Series Major Defense Equipment” items to be exported under the contract) for any proposed export described in paragraphs (b) or (c) of this section. (e) Address. [email protected] [78 FR 22722, Apr. 16, 2013, as amended at 87 FR 32987, June 1, 2022] § 743.6 [Reserved] § 743.7 Reporting on GAAFET General License. (a) Transactions to be reported Annual reports. (2) Termination reports. (b) Party responsible for reporting. (c) Information to be included in the reports Annual report information. (i) Description of the “technology”; (ii) All parties, including name and address, involved in the collaboration; and (iii) End item of the “technology,” including a description and ECCN of the end item (if known). (2) Termination report information. (i) Name of foreign person; (ii) Name of host company; (iii) If they are leaving the United States to go to a destination specified in Country Group D:1 or D:5 (if known); and (iv) If they are leaving to change employers within the United States. (d) Annual reporting requirement. (2) Annual reports for the reporting period ending December 31 must be received by BIS no later than February 1. (e) Where to submit GAAFET General License reports [email protected] (f) Contacts. [email protected]. [89 FR 72939, Sept. 6, 2024, as amended at 89 FR 105449, Dec. 27, 2024] § 743.8 Reporting on quantum deemed exports and deemed reexports. (a) Requirement. (b) Party responsible for reporting. (c) Information to be included in the reports. (1) The name, address and point of contact of the entity that made the release; (2) Description of the “software” or “technology;” (3) Foreign person information, including all the information that would be provided in a deemed export license application, see guidelines for deemed export license applications under the learn and support tab of the BIS website at www.bis.gov; (4) End item of the “technology” or “software” including a description and ECCN of the end item (if known); and (5) The exporting company's name and address must appear at the top of each page. (d) Annual reporting requirement. (2) Reports for the reporting period ending December 31 must be received by BIS no later than February 1. (e) Termination reporting. (f) Where to submit Quantum General License reports [email protected] (g) Contacts. [email protected]. [89 FR 72939, Sept. 6, 2024] § 743.9 Reporting requirements for “front-end fabricators” producing “applicable advanced logic integrated circuits” for authorized integrated circuit designers. (a) Requirement. (b) Information to be included in the reports. (1) The name, address, and point of contact of the authorized integrated circuit designer; (2) The “front-end fabricator's” name and address must appear at the top of each page; (3) The end-user Know Your Customer (KYC) vetting form included in supplement no. 2 of this part; (4) Description of each category of integrated circuit classified under ECCN 3A090.a sold by the “front-end fabricator” to the authorized integrated circuit designer during the reporting quarter, including all of the following: (i) Designer of the integrated circuit classified under ECCN 3A090.a; (ii) Product names associated with the integrated circuit specified or presumed to be specified under ECCN 3A090.a, including model number (if known); and (iii) Quantity of the integrated circuits classified under ECCN 3A090.a sold by the “front-end fabricator” to the integrated circuit designer during the reporting quarter. (c) Quarterly reporting requirement. (2)(i) After May 31, 2025, you must submit a report for each reporting period. There are four reporting periods: (A) May 1 to July 31; (B) August 1 to October 31; (C) November 1 to January 31; and (D) February 1 to April 30. (ii) The report for a given period shall cover any exports, reexports, or transfers (in-country) of integrated circuits classified under ECCN 3A090.a during that period. Each report is due no later than 30 days after the end of the relevant reporting period. (d) Where to submit reports required under this section. [email protected] (e) Contacts. [email protected]. [90 FR 5310, Jan. 16, 2025] Supplement No. 1 to Part 743—Wassenaar Arrangement Participating States Argentina Australia Austria Belgium Bulgaria Canada Croatia Czech Republic Denmark Estonia Finland France Germany Greece Hungary India Ireland Italy Japan Latvia Lithuania Luxembourg Malta Mexico Netherlands New Zealand Norway Poland Portugal Romania Russia Slovakia Slovenia South Africa South Korea Spain Sweden Switzerland Turkey Ukraine United Kingdom United States [63 FR 55020, Oct. 14, 1998, as amended at 70 FR 41102, July 15, 2005; 71 FR 52964; Sept. 7, 2006; 77 FR 39369, July 2, 2012; 83 FR 38021, Aug. 3, 2018] Supplement No. 2 to Part 743 Authorized Integrated Circuit Designer Know Your Customer (KYC) Vetting Form This supplement contains a questionnaire that must be completed as part of the reporting requirements for authorized integrated circuit designers in § 743.9 of the EAR. The questions in the form are KYC best practices that are especially critical in this context where there is a risk of companies seeking advanced foundry services in circumvention of controls on advanced computing items. They are not an exhaustive list of due diligence requirements but provide important information that should be part of KYC screening. Vetting For Authorized Integrated Circuit Designer Yes/no If yes, insert how you resolved Section 1: Legitimacy of the authorized integrated circuit designer: 1.A. Does the entity lack a website? 1.B. Does the entity's website IP address correspond to a different geographical region than the entity's physical address? 1.C. Is the country code of the entity's phone number different than the entity's physical address? 1.D. Does the entity's email address not 1.E. Is the entity's physical address invalid? 1.F. Is the entity purportedly a civil end user but its address is co-located with a military “facility”? 1.G. Do publicly available corporate records contradict the entity's assertions regarding its business ( e.g., Section 2: Screening: 2.A. Does the entity's name match an entry in the Consolidated Screening List? 2.B. Does the entity's address match an entry in the Consolidated Screening List? 2.C. Does the customer's senior management or technical leadership ( e.g., Section 3: Additional Party Screening: 3.A. Are any companies within the entity's corporate hierarchy ( i.e., 3.B. Do any companies within the entity's corporate hierarchy ( i.e., 3.C. Are any other parties to the transaction ( e.g., Section 4: General Red Flags: 4.A. Is the entity's stated end use inconsistent with the nature of their business? 4.B. Is the requested quantity inconsistent with the entity's size? 4.C. Is a freight forwarding firm listed as the final destination? 4.D. Does the transaction involve multiple freight forwarders located in third countries? 4.E. Has the entity refused to answer questions about the end users and end uses of the product? 4.F. Do supporting documents such as commercial invoices list parties that are not the entity? 4.G. Is the entity overpaying for a product based on known market prices? 4.H Does the transaction involve payments from entities in third countries not otherwise involved in the transaction? [90 FR 5311, Jan. 16, 2025]