[Code of Federal Regulations]
[Title 15, Volume 2]
[Revised as of January 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR743.1]

[Page 332-334]
 
                  TITLE 15--COMMERCE AND FOREIGN TRADE
 
  CHAPTER VII--BUREAU OF INDUSTRY AND SECURITY, 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 BIS 
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.
    Note to paragraph (a) of this section:
    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. 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 for the following:
    (1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS, 
CTP, and the cooperating government portions (Sec. Sec.  
740.11(b)(2)(iii) and 740.11(b)(2)(iv) 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) Exports authorized under the Special Comprehensive License 
procedure (see part 752 of the EAR).
    (c) Items for which reports are required. (1) You must submit 
reports to BIS 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 for 
``development'' of 1A002, 1C007.c and .d, and 1C010.c and .d; 1E001 for 
``development'' and ``production'' of 1A002, 1C007.c and .d, and 1C010.c 
and .d ; 1E002.e and .f;
    (ii) Category 2: 2D001 (certain items only; see Note to this 
paragraph), 2E001 (certain items only; see Note to this paragraph), and 
2E002 (certain items only; see Note to this paragraph);
    Note to paragraph (c)(1)(ii): Reports for 2D001, for ``software'', 
other than that controlled by 2D002, specially designed for the 
``development'' or ``production'' of the equipment in 2B003 or 2B001.a 
or .b (changing 6 [mu]m to 5.1 [mu]m in 2B001.a.1 and 2B001.b.1.a; and 
adding ``a positioning accuracy with ``all compensations available'' 
equal to or less (better) than 5.1 [mu]m along any linear axis'' to the 
existing text for 2B001.b.2) of the Commerce Control List (CCL).
    Reports for 2E001, are for ``technology'' according to the General 
Technology Note for ``development'' of ``software'' as described in this 
paragraph for 2D001, or for the equipment in 2B003 or 2B001.a or .b 
(changing 6[mu]m to 5.1[mu]m in 2B001.a.1 and 2B001.b.1.a; and adding 
``a positioning accuracy with ``all compensations available'' equal to 
or less (better) than 5.1 [mu]m along any linear axis'' to the existing 
text for 2B001.b.2) of the CCL.
    Reports for 2E002, are for ``technology'' according to the General 
Technology Note for ``production'' of the equipment in 2B003 or 2B001.a 
or .b (changing 6 [mu]m to 5.1 [mu]m in 2B001.a.1 and 2B001.b.1.a; and 
adding ``a positioning accuracy with ``all compensations available'' 
equal to or less (better) than 5.1 [mu]m along any linear axis'' to the 
existing text for 2B001.b.2) of the CCL.

    (iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001 for ``development'' or 
``production'' of 3A002.g.2 or 3B001.a.2, and 3E001 for ``development'' 
or ``production'' of 3A002.g.2 or 3B001.a.2;
    (iv) Category 4: 4A001.a.2; 4D001 (see paragraph (c)(2) of this 
section); and 4E001 (see paragraph (c)(2) of this section);
    (v) Category 5: 5A001.b.3 or b.5; 5B001.a (items specially designed 
for 5A001.b.3

[[Page 333]]

or b.5); 5D001.a (specially designed for the ``development'' or 
``production'' of equipment, function, or features in 5A001.b.3 or b.5) 
and 5D001.b (specially designed or modified to support ``technology'' 
under 5E001.a); and 5E001.a (for the ``development'' or ``production'' 
of equipment, function, features, or ``software'' in 5A001.b.3 or b.5, 
5B001.a, 5D001.a and .b);
    (vi) Category 6: 6A001.a.1.b (changing 10 kHz to 5 kHz and adding 
the text ``or a sound pressure level exceeding 224 dB (reference 1 
[mu]Pa at 1 m) for equipment with an operating frequency in the band 
from 5kHz to 10 kHz inclusive'' to the existing text in 6A001.a.1.b.1) , 
and .a.2.d; 6A002.b; 6A004.c and d; 6A006.g (excluding compensators 
which provide only absolute values of the earth's magnetic field as 
output (i.e., the frequency bandwidth of the output extends from DC to 
at least 0.8 Hz) and h; 6A008.d, .h, and .k; 6D001 (for 6A004.c and .d 
and 6A008.d, .h, and .k); 6D003.a; 6E001 (for equipment and software 
listed in this paragraph); and 6E002 (for equipment listed in this 
paragraph);
    (vii) Category 8: 8A001.c; 8A002.b (for 8A001.c), .h, .j, .o.3, and 
.p; 8D001 (for commodities listed in this paragraph); 8D002; 8E001 (for 
commodities listed in this paragraph); and 8E002.a; and
    (viii) Category 9: 9B001.b.
    (2) Reports for ``software'' controlled by 4D001(that is specially 
designed), and ``technology'' controlled by 4E001 (according to the 
General Technology Note in Supplement No. 2 to part 774 of the EAR) are 
required for the ``development'' or ``production'' of computers 
controlled under 4A001.a.2, or for the ``development'' or ``production'' 
of ``digital computers'' having a CTP exceeding 75,000 MTOPS. For the 
calculation of CTP, see the Technical Note for Category 4 in the 
Commerce Control List (Supplement No. 2 to part 774 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 BIS 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 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) Mailing address and facsimile number: (1) Two (2) copies of 
reports required under this section shall be delivered to one of the 
following addresses. BIS will not accept reports sent C.O.D.

[[Page 334]]

    (i) For deliveries by U.S. postal service:

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

    (ii) For courier deliveries:

Bureau of Industry and Security, 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; 66 FR 461, Jan. 3, 2002; 67 FR 10615, 10610, Mar. 8, 2002; 68 FR 
10591, Mar. 5, 2003; 68 FR 68980, Dec. 10, 2003]