[Code of Federal Regulations]
[Title 15, Volume 2]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR743.1]

[Page 327-328]
 
                  TITLE 15--COMMERCE AND FOREIGN TRADE
 
  CHAPTER VII--BUREAU OF EXPORT ADMINISTRATION, DEPARTMENT OF COMMERCE
 
PART 743--SPECIAL REPORTING--Table of Contents
 
Sec. 743.1  Wassenaar Arrangement.

    (a) Scope. This section outlines special reporting requirements for 
exports of certain commodities, software and technology controlled under 
the Wassenaar Arrangement. Such reports must be submitted to BXA 
semiannually in accordance with the provisions of paragraph (f) of this 
section, and records of all exports subject to the reporting 
requirements of this section must be kept in accordance with part 762 of 
the EAR. This section does not require reports for reexports.
    (b) Requirements. You must submit two (2) copies of each report 
required under the provisions of this section and maintain accurate 
supporting records (see Sec. 762.2(b) of the EAR) for all exports of 
items specified in paragraph (c) of this section under any of the 
following License Exceptions authorized by part 740 of the EAR: License 
Exceptions GBS, CIV, TSR, LVS, CTP, and GOV. Exports of technology and 
source code under License Exception TSR to foreign nationals in the U.S. 
should not be reported. For purposes of this part 743, ``you'' has the 
same meaning as `` exporter'', as defined in part 772 of the EAR.
    (c) Items for which reports are required. (1) You must submit 
reports to BXA under the provisions of this section only for exports of 
items controlled under the following ECCNs:
    (i) Category 1: 1A002, 1C007.c and .d, 1C010.c and .d, 1D002, 1E001, 
1E002.e, and 1E002.f.;
    (ii) Category 2: 2B001.a or .b (certain items only; see Note to this 
paragraph) 2B001.d and .f, 2B003, 2D001, 2E001, and 2E002;

    Note to paragraph (c)(1)(ii): The following are not controlled for 
NP reasons: turning machines controlled by 2B001.a with a capacity equal 
to or less than 35 mm diameter; bar machines (Swissturn), limited to 
machining only bar feed through, if maximum bar diameter is equal to or 
less than 42 mm and there is no capability of mounting chucks (machines 
may have drilling and/or milling capabilities for machining parts with 
diameters less than 42 mm); or milling machines controlled by 2B001.b 
with x-axis travel greater than two meters and overall ``positioning 
accuracy'' on the x-axis more (worse) than 0.030 mm. Therefore, exports 
of such items under License Exception GOV are subject to reporting 
requirements.

    (iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001, and 3E001;
    (iv) Category 4: 4A001.a.2 and .b, 4A003.b and .c (see paragraph 
(c)(2) of this section), 4D001, 4D003.c, and 4E001;
    (v) Category 5: 5A001.b.3, 5B001 (items specially designed for 
5A001.b.3), 5D001.a and .b, and 5E001.a;
    (vi) Category 6: 6A001.a.1.b, .a.2.c, .a.2.d, and .a.2.e; 6A002.b, 
6A004.c and d, 6A006.g and h, 6A008.d, .h, and .k; 6D001, 6D003.a, 
6E001, and 6E002;
    (vii) Category 8: 8A001.c; 8A002.b, .h, .j, .o.3.a, and .p; 8D001, 
8D002, 8E001, and 8E002.a; and
    (viii) Category 9: 9B001.b, 9D001, 9D002, 9D004.a and .c, 9E001, 
9E002, 9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
    (2) Reports for ``digital computers'' and ``electronic assemblies'' 
controlled under ECCN 4A003.b and .c are required only for computers 
with a composite theoretical performance (CTP) exceeding 6,500 MTOPS or 
computer enhancements thereof such that the CTP exceeds 6,500 MTOPS. 
Records for software controlled by 4D001 are required for software 
specially designed for the development or production of computers having 
a CTP exceeding 6,500 MTOPS. For the calculation of CTP, see the 
Technical Note for Category 4

[[Page 328]]

in the Commerce Control List (Supplement No. 2 to part 774 of the EAR).

    Note to paragraph (c)(2):
    Exports of computers controlled under 4A003.b to destinations in 
Computer Tier 3 (see Sec. 740.7(d)(1) of the EAR) should not be included 
in the reports required under paragraph (c) of this section. Reporting 
for computers under 4A003.b to Computer Tier 3 destinations should be 
reported under the post-shipment verification reporting provisions of 
Sec. 740.7(d)(5)(v) or under Sec. 742.12(b)(3)(iv) of the EAR.

    (d) Country Exceptions. You must report each export subject to the 
provisions of this section, except for exports to Wassenaar member 
countries, as identified in Supplement No. 1 to part 743.
    (e) Information that must be included in each report. (1) Each 
report submitted to BXA for items other than those identified in 
paragraph (e)(2) of this section must include the following information 
for each export during the time periods specified in paragraph (f) of 
this section:
    (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)(1)(ii):
    For exports of technology for which reports are required under 
Sec. 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. You must submit reports subject 
to the provisions of this section semiannually. The reports must be 
labeled with the exporting company's name and address at the top of each 
page and must include for each such export all the information specified 
in paragraph (e) of this section. The reports shall cover exports made 
during six month time periods spanning from January 1 through June 30 
and July 1 through December 31.
    (1) The first report must be submitted to and received by BXA 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 BXA no later than August 1.
    (3) Reports for the reporting period ending December 31 must be 
submitted to and received by BXA no later than February 1.
    (g) Mailing address and facsimile number: (1) Two (2) copies of 
reports required under this section shall be delivered to one of the 
following addresses. BXA will not accept reports sent C.O.D.
    (i) For deliveries by U.S. postal service:

Bureau of Export Administration, U.S. Department of Commerce, P.O. Box 
273, Attn: ``Wassenaar Reports'', Washington, D.C. 20044

    (ii) For courier deliveries:

Bureau of Export Administration, U.S. Department of Commerce, Attn: 
``Wassenaar Reports'', Room 2705, 14th Street and Pennsylvania Ave., 
N.W., Washington, D.C. 20230

    (2) Reports may also be sent by facsimile to: (202) 482-3345, Attn: 
``Wassenaar Reports''.
    (h) Contacts. General information concerning the Wassenaar 
Arrangement and reporting obligations thereof is available from the 
Office of Strategic Trade and Foreign Policy Controls, Tel. (202) 482-
0092, Fax: (202) 482-4094.

[63 FR 2458, Jan. 15, 1998, as amended at 63 FR 55020, Oct. 14, 1998; 63 
FR 72165, Dec. 31, 1998; 64 FR 3214, Jan. 21, 1999; 64 FR 40110, July 
23, 1999; 64 FR 47105, Aug. 30, 1999; 65 FR 12922, Mar. 10, 2000; 65 FR 
34075, May 26, 2000; 65 FR 42568, July 10, 2000; 65 FR 60856, Oct. 13, 
2000]

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