Part 743 - Special Reporting Requirements Export Administration Regulations January 2001 Special Reporting Part 743 - page §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 §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 in the Commerce Control List (Supplement No. 2 to part 774 of the EAR). łNote to paragraph (c)(2): Exports of computers controlled under 4A003.b to destinations in Computer Tier 3 (see §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 §740.7(d) (5)(v) or under §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 §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 Attn: "Wassenaar Reports" P.O. Box 273 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. §743.2 [Reserved] Special Reporting Supplement No. 1 to Part 743 WASSENAAR ARRANGEMENT MEMBER COUNTRIES Argentina Australia Austria Belgium Bulgaria Canada Czech Republic Denmark Finland France Germany Greece Hungary Ireland Italy Japan Luxembourg Netherlands New Zealand Norway Poland Portugal Romania Russia Slovakia South Korea Spain Sweden Switzerland Turkey Ukraine United Kingdom United States