80 FR 13210 - Revisions To Support Document Requirements for License Applications Under the Export Administration Regulations
DEPARTMENT OF COMMERCE
Bureau of Industry and Security Federal Register Volume 80, Issue 49 (March 13, 2015)
Bureau of Industry and Security
Federal Register Volume 80, Issue 49 (March 13, 2015)
| Page Range | 13210-13222 | |
| FR Document | 2015-05784 |
[Federal Register Volume 80, Number 49 (Friday, March 13, 2015)] [Rules and Regulations] [Pages 13210-13222] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-05784] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 742, 748 and 762 [Docket No. 131018874-5199-02] RIN 0694-AG00 Revisions To Support Document Requirements for License Applications Under the Export Administration Regulations AGENCY: Bureau of Industry and Security, Department of Commerce. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: This rule finalizes changes to the support document requirements for license applications submitted to the Bureau of Industry and Security (BIS) and is part of BIS's retrospective regulatory review under Executive Order 13563. In addition to clarifying and streamlining the support document requirements for license applications in part 748 of the Export Administration Regulations (EAR), this final rule removes the requirement to obtain an International Import Certificate or Delivery Verification in connection with a license application and limits the requirement to obtain a Statement by Ultimate Consignee and Purchaser to exports, reexports, and transfers (in-country) of 600 Series Major Defense Equipment. Revisions to the EAR affecting BIS's participation in issuing documents for the Import Certificate and Delivery Verification system for imports into the United States will be addressed in a future final rule, as will potential substantive changes to information collections under the Paperwork Reduction Act. DATES: This rule is effective March 13, 2015. FOR FURTHER INFORMATION CONTACT: Patricia Muldonian, Office of National Security and Technology Transfer Controls, 202-482-4479, [email protected], or Steven Emme, Office of the Assistant Secretary for Export Administration, 202-482-5491, [email protected]. SUPPLEMENTARY INFORMATION: Background On April 9, 2014, the Bureau of Industry and Security (BIS) published a proposed rule (79 FR 19552) (hereinafter, the ``April 9 rule'') to revise the support document requirements of the Export Administration Regulations (EAR). This proposed rule was part of BIS's retrospective regulatory review being undertaken under Executive [[Page 13211]] Order 13563, which requires each agency to ``periodically review its existing significant regulations to determine whether any such regulations should be modified, streamlined, expanded, or repealed so as to make the agency's regulatory program more effective or less burdensome in achieving the regulatory objectives.'' The EAR's support document requirements are largely premised on the Import Certificate/ Delivery Verification (IC/DV) system. As described in the proposed rule, the IC/DV system, while intended to prevent diversion and increase awareness among participating countries of potential enforcement concerns, has limited utility today and imposes unnecessary burdens on license applicants and BIS. To further the aims of Executive Order 13563, BIS proposed to streamline and clarify the support document requirements as well as reduce unnecessary burdens for license applicants by removing the requirement to obtain International Import Certificates (ICs) for applications and by increasing the value threshold for requiring a Statement by Ultimate Consignee and Purchaser for an application. In addition, BIS proposed to eliminate the agency's participation in issuing United States ICs, ICs with triangular transaction stamp, and DV certificates. The proposals to change BIS's participation in issuing U.S. ICs and DVs will be addressed in a subsequent final rule. In addition, any other changes that substantively affect information collection burden hour estimates under the Paperwork Reduction Act will also be addressed in the subsequent, final rule. In response to the proposed rule, BIS received eight public comments. Generally, commenters believed that the proposed rule provided greater clarity and flexibility, streamlined requirements, and ended outdated and ineffective requirements under the IC/DV system. However, to address public comments and to further the aims of Executive Order 13563, BIS is making additional changes to the proposed rule, as described herein. This final rule changes the implementation of the IC/DV system. That system is not addressed in the Wassenaar Arrangement Initial Elements nor is there an applicable U.S. statutory requirement for the system. A summary of the public comments and changes made to the proposed rule are addressed below. Support Document Requirements for License Applications Submitted to BIS Elimination of Import Certificate Requirement and Changes to Requirement to Obtain Statement by Ultimate Consignee and Purchaser The April 9 rule would have eliminated the requirement to obtain an IC in conjunction with a BIS license application, and instead proposed the imposition of a requirement to obtain a Statement by Ultimate Consignee and Purchaser for certain license applications for commodities destined for countries (other than the People's Republic of China (PRC)) or territories not in the ``Americas'' (as proposed to be defined in Sec. 772.1). This final rule maintains the elimination of Import Certificates but also limits the scope of applications requiring a Statement by Ultimate Consignee and Purchaser. Commenters largely supported the proposal to eliminate the requirement to obtain ICs. They stated that the proposal would eliminate an outdated, burdensome requirement that creates red tape and obstacles for U.S. exporters that are not faced by exporters in other countries. One commenter, however, disagreed and stated that some U.S. exporters and their foreign affiliates have established timely procedures for obtaining ICs. Further, the commenter stated that the IC notifies the government that items controlled for national security reasons are being imported and that the government commits to take responsibility for any subsequent exports of the items. While some U.S. exporters may have developed efficient procedures for handling the IC requirement, such procedures do not justify the imposition of a burdensome requirement that provides little utility. In addition, BIS believes that the commenter overstates the purpose of the IC requirement. The IC only notifies the government of the importing country that the national security controlled items are planned to be imported into the country. Also, it is not the role of the government to take responsibility for subsequent exports; under U.S. law, the exporter must comply with any applicable requirements for the subsequent export of items subject to the EAR or other applicable regulations. While commenters largely supported the elimination of the IC requirement, some commenters expressed concerns about requiring a Statement by Ultimate Consignee and Purchaser for commodities controlled for national security reasons valued over $50,000 and destined for a location not in the PRC or the ``Americas.'' Three commenters stated that the proposed requirement would still be more restrictive than the International Traffic in Arms Regulations (ITAR), 22 CFR parts 120-130. The commenters stated that under the ITAR, the DSP-83 Nontransfer and Use Certificate is the equivalent support document for license applications to the Department of State's Directorate of Defense Trade Controls (DDTC), and the DSP-83 is only required for significant military equipment (SME), as defined in Sec. 120.7 of the ITAR. Thus, for 600 series items and 9x515 spacecraft items transitioning from the USML to the CCL, the proposed support document requirements would actually be more burdensome under the EAR than the ITAR. Further, one commenter also stated that requiring a Statement by Ultimate Consignee and Purchaser would prevent industry in allied countries from optimizing procurement of U.S. equipment for ``long lead items or bulk procurement'' in advance of identifying a customer. The commenter stated that such capability is necessary for affordability and timeliness of space and military assets for U.S. allies and that imposing a more strict support document requirement than the ITAR is inconsistent for items that have been deemed to not require the strictest controls of the ITAR. In order to address these concerns, commenters provided different suggestions. Two commenters suggested requiring a Statement by Ultimate Consignee and Purchaser for items on the Wassenaar Very Sensitive List. One commenter suggested the requirement be tied to countries in Country Group D:5 and that the value threshold be raised to $1 million. Also, one commenter suggested amending the scope of locations subject to the requirement by pointing out that many allied countries, such as those in NATO, would be subject to the requirement as they are not part of the exclusion for the ``Americas.'' BIS agrees that the EAR should not impose additional or more burdensome requirements than the ITAR, and has repeated this assertion in many Federal Register publications pertaining to Export Control Reform (see e.g., Proposed Revisions to the Export Administration Regulations: Implementation of Export Control Reform; Revisions to License Exceptions After Retrospective Regulatory Review, 77 FR 37524 (June 21, 2012); Revisions to the Export Administration Regulations: Initial Implementation of Export Control Reform, 78 FR 22660 (Apr. 16, 2013)). [[Page 13212]] The support document requirements should not hinder the benefits articulated under ECR by imposing more strict requirements for items moving to the EAR that do not warrant the controls of the ITAR. In addition, non-munitions items subject to the EAR should not have more onerous support document requirements than those items providing a critical military or intelligence capability that are listed on the USML. Consequently, in addition to removing the IC requirement, BIS is amending Sec. 748.11(a)(1) to limit the requirement to obtain a Statement by Ultimate Consignee and Purchaser to commodities that are ``600 Series Major Defense Equipment.'' BIS agrees with the approach stated by one commenter that the requirement should match the ITAR in focusing on the type of item rather than situational parameters, such as value. BIS believes that using ``600 Series Major Defense Equipment'' best follows this approach and avoids requiring greater support document requirements for items subject to the EAR than items subject to the ITAR. With this change to the requirement for providing a Statement by Ultimate Consignee and Purchaser, BIS is also eliminating the proposed $50,000 value threshold and the exclusion for locations in the ``Americas.'' All commodities that are ``600 Series Major Defense Equipment,'' as defined in Sec. 772.1, will require a Statement by Ultimate Consignee and Purchaser to any destination other than the PRC, regardless of value. However, BIS will maintain discretion to require applicants to obtain a Statement by Ultimate Consignee and Purchaser for a license application that would not otherwise require one. Also, BIS may add, as a condition on a license, a requirement to obtain a Statement by Ultimate Consignee and Purchaser or a purchase order prior to shipment. Such requests may be common for license applications involving items controlled for Nuclear Nonproliferation, Chemical and Biological Weapons, or Missile Technology reasons to countries in Country Group D:2, D:3, or D:4, respectively. Additional changes to the proposed rule on the requirement to obtain a Statement by Ultimate Consignee and Purchaser are reflected below under changes to Sec. 748.11. Because this final rule removes the requirement to obtain an IC in conjunction with a license application submitted to BIS, this final rule also removes the requirement to obtain a DV in conjunction with a license application. This is reflected in the removal of text in prior Sec. 748.13 and Supplement No. 4 to part 748. BIS did not receive any public comments on this topic. Section 748.6--General Instructions for License Applications The April 9 rule proposed to revise Sec. 748.6(a) to provide greater clarity on general instructions for license applications and support documents, reference the specific requirements for support documents in proposed Sec. Sec. 748.9 through 748.13, and refer to a new chart in Supplement No. 4 to part 748. BIS did not receive any public comments on Sec. 748.6, and this final rule adopts that language with one exception. Because this final rule removes the proposed chart in Supplement No. 4 (as further explained herein), the sentence referencing the chart has been deleted. Section 748.9--General Instructions for Support Documents In the proposed rule, Sec. 748.9 described the scope of support document requirements for license applications; the type of applications requiring a support document (i.e., PRC End-User Statement, Statement by Ultimate Consignee and Purchaser, or Firearms Convention (FC) Import Certificate); exceptions to such requirements; content requirements; recordkeeping requirements; and other general requirements. This final rule largely adopts the description set forth in Sec. 748.9 with additional modifications based on public comments and other changes, as described below. Two commenters requested that BIS insert a clarifying note that applicants are not required to obtain support documents from end users. BIS did not accept this recommendation because the proposed rule did not include a requirement that applicants must obtain a support document from end users. However, if an end user is also an ultimate consignee on the license application, then that end user would be subject to applicable support document requirements. In addition, BIS notes that the agency may request additional information from any party listed on the license application, including end users. Two commenters recommended that BIS delete the phrase, ``for certain transactions'' from proposed Sec. 748.9(b)(1), which described the support document requirements for license applications involving the PRC. BIS does not accept this recommendation as not all license applications involving the PRC require a PRC End-User Statement. Thus, the qualifying phrase is needed. With respect to the scope of the requirements for a Statement by Ultimate Consignee and Purchaser and for an FC Import Certificate, two commenters recommended that the Organization of American States (OAS) be made new Country Group A:7 and that ``Americas'' be replaced with ``destinations not identified in Country Group A:7.'' BIS rejects these recommendations as the term ``Americas'' is removed under this final rule due to the changes to requirements for the Statement by Ultimate Consignee and Purchaser, as described above. Further, since the OAS is only used in conjunction with one requirement under the EAR, BIS believes it is inappropriate to make it a Country Group so this final rule continues to list the countries in Sec. 748.12. One commenter pointed out that proposed Sec. 748.9(b)(1)-(b)(3) used the term ``ultimately destined'' with respect to the PRC End-User Statement and Statement by Ultimate Consignee and Purchaser, but only used ``destined'' for the FC Import Certificate. Under this final rule, this wording no longer appears in new Sec. 748.9(b) because the description for the requirements to obtain a support document has been further streamlined. However, this final rule only uses ``destined'' in Sec. Sec. 748.10(a), 748.11(a), and 748.12(a) when describing the requirements for the three support documents. One commenter stated that the final rule should remove any ambiguity over whether support documents must be submitted as part of the license application, and the commenter cited to differing requirements in Sec. 748.9(f), (g), and (i). Additionally, with respect to PRC End-User Statements, two commenters recommended that proposed Sec. 748.10(d)(1) be revised to allow for applications requiring a PRC End-User Statement to be submitted to BIS prior to the PRC's issuance of the statement, and condition the license such that no items may be shipped under the license until the statement is obtained by the applicant. BIS agrees that the final rule should remove ambiguity on this topic, but BIS only partially accepts the recommendation regarding the PRC End-User Statement. This final rule adds new Sec. 748.9(e)(1), which applies to all support documents required under the EAR. Unless BIS informs an applicant that a support document must be submitted with a specific application, the applicant may submit an application prior to receipt of a copy of the support document. However, rather than conditioning the license, new Sec. 748.9(e)(1) provides that the license holder may not ship items authorized on the license until [[Page 13213]] obtaining a copy of the support document. Thus, for those applications BIS believes require support documentation in addition to that specified in part 748, BIS will have discretion to consider a support document contemporaneous with the license application. For all other applications, applicants may obtain the support document after submitting the application. However, applicants may not ship prior to receipt of a copy of the support document, and they must retain the original or a copy of the document in conformance with the recordkeeping requirements of the EAR (see further below for a discussion on allowing retention of copies). One commenter noted that there was no exception to the support document requirements when the U.S. Government is an end user in a foreign country in proposed Sec. 748.9(d)(1). BIS agrees that for transactions for which License Exception GOV is not available, the U.S. Government should not have to supply a support document. Therefore, this final rule adds a new exception in new Sec. 748.9(c)(1) for when the purchaser or ultimate consignee is an ``Agency of the United States Government,'' as defined in Sec. 740.11(b)(1). If another party listed on the license application is an ultimate consignee or purchaser and does not qualify for an exception listed under new Sec. 748.9(c)(1), then such party is still subject to any applicable support document requirements. One commenter requested guidance on a situation where a support document may be required under proposed Sec. 748.9(d)(1)(i), which described the exception to support document requirements for foreign governments excluding the PRC. Under this final rule, if a license application involving the export of 600 series MDE lists a non- governmental entity as a purchaser and a foreign government agency (excluding an agency of the PRC) as an ultimate consignee and end user, then a Statement by Ultimate Consignee and Purchaser would be required from the purchaser but not the ultimate consignee. One commenter questioned whether the English translation requirement for proposed Sec. 748.9(e)(1), should be included in that section. BIS confirms that the English translation requirement should be in Sec. 748.9 as the requirement applies to all support documents. For proposed Sec. 748.9(f)(1), two commenters stated that obtaining an electronic copy of a support document should suffice and thus the requirement to obtain an original support document should be removed. BIS agrees and has removed references to obtaining an original version of the support document throughout this final rule. Two commenters recommended striking the reference to ``import certificate'' in proposed Sec. 748.9(h). Proposed Sec. 748.9(h) applied to the grace period for complying with the support document requirements following a regulatory change. Given that this final rule removes the requirement to obtain an IC for any license application, BIS is changing the reference from ``import certificate'' to ``FC Import Certificate'' since future regulatory changes may affect the requirements for that support document. To further streamline and clarify the support document requirements, BIS is making additional changes to this section. First, since the final rule further simplifies the support document requirements, BIS eliminated much of the text in new Sec. 748.9(b) to eliminate redundancy. The specific requirements triggering a support document requirement are now fully described in the applicable section applying to the specific support document. Also, this final rule adds a new note to Sec. 748.9(b) to make more clear that BIS may request that an applicant obtain a support document for any application. This final rule also removes the distinction for support document requirements applying to reexport and in-country transfer license applications. This change simplifies the requirements, and given the changes for ICs and Statements by Ultimate Consignee and Purchaser described above, the only impact would be to require a Statement by Ultimate Consignee and Purchaser for 600 series MDE destined for a country not in Country Group D:1 or E:1. New Sec. 748.9(d)(2)(i), which addresses responsibility for full disclosure, has been revised from the proposed rule. As proposed, that provision indicated that support documents do not have to be submitted to BIS as part of the application unless the applicant is informed by BIS to do so. In addition to the revisions described above, that section has also been updated to provide that information contained in a support document obtained after submission of a license application and not submitted to BIS as part of the application cannot be construed as modifying the specific information supplied in a license application or a license. This change is made in accordance with BIS's policy on license conditions, which began on December 8, 2014. New Sec. 748.9(h)(2) has been revised to indicate BIS retains discretion to require additional information for applications filed during the 45-day grace period for complying with the support document requirements. As part of the simplification effort, this final rule also harmonizes certain support document requirements that varied slightly among the documents. New Sec. 748.9(e)(2) describes the requirements to follow in SNAP-R for license applications requiring a support document, regardless of whether BIS has informed the applicant that the document must be submitted as part of the application. Further, new Sec. 748.9(f) describes the recordkeeping requirements for all support documents, and this final rule removes references to original document requirements, random sampling of documents (which is redundant of other sections of the EAR that apply to BIS's ability to request documents), and returning support documents to foreign importers (which is now obsolete due to the ability to retain copies). Section 748.10--PRC End-User Statement The proposed rule described the requirements for obtaining a PRC End-User Statement under Sec. 748.10. This final rule largely adopts the requirements under the proposed rule, with the following changes described below. Two commenters stated that it was unclear whether the value threshold requirement for any commodity requiring a license for any reason on the Commerce Control List (CCL) applies to one unit, line item value, or total license value in proposed Sec. 748.10(a)(3). That value threshold requirement applies to the aggregate value for all commodities listed in the application that require a license to the PRC based on any reason on the CCL. To make this requirement clearer, BIS is revising that description, under new Sec. 748.10(a)(3), to indicate that the license application includes ``any commodity(ies) requiring a license to the PRC for any reason on the Commerce Control List, and the total value of such commodity(ies) requiring a license exceeds $50,000.'' One commenter recommended removing the last sentence in proposed Sec. 748.10(b)(1) that required obtaining an original PRC End-User Statement. As described above, BIS accepts this comment throughout this final rule and has revised the text accordingly. Two commenters suggested putting the contact information for the PRC's Ministry of Commerce (MOFCOM) on the BIS Web site, which would be referred to by the EAR. BIS has added a reference to the BIS Web site in new [[Page 13214]] Sec. 748.10(b)(2) to obtain the current contact information for MOFCOM. Two commenters stated that proposed Sec. 748.10(d)(5), which required that the first application used in conjunction with a PRC End- User Statement be submitted within six months from the date the statement was signed does not take into account the impact of multi- year programs and MOFCOM's reluctance to issue new statements until all items identified in the original statement have been shipped. In place of the six-month validity period, the commenters requested that BIS use a validity period based on whether the quantities identified on the statement have been shipped. BIS accepts this recommendation, which is addressed in new Sec. 748.10(d)(3). To reflect this change, BIS has also amended new Sec. 748.10(d)(1), which describes the requirements for using a PRC End-User Statement for multiple applications. One commenter recommended removing the requirement under proposed Sec. 748.10(e)(1) to obtain an original support document, and two commenters suggested eliminating the requirement under proposed Sec. 748.10(e)(2), which described the requirements for returning a PRC End- User Statement to the foreign importer. As previously addressed, BIS is removing the requirement to obtain an original support document, which makes the text in proposed Sec. Sec. 748.10(e)(1)-(e)(2) and 748.9(f)(2) obsolete. Thus, this final rule removes those paragraphs. All recordkeeping requirements for PRC End-User Statements, as well as the other support documents, are now reflected in new Sec. 748.9(f). To further streamline and clarify the support document requirements, BIS is making additional changes to this section. First, all information regarding corrections, additions, or alterations has been moved to new Sec. 748.10(d)(2), including a revised requirement that if the PRC End-User Statement contains any inaccuracies, then the applicant should note any necessary corrections in a statement on file with the applicant rather than submitting such a statement with the application. In addition, the requirement to provide a certification on quantities of items in Block 24 of the application when using a PRC End-User Statement with multiple applications has been removed. This requirement is redundant and unnecessary. Also, this rule revises the wording in new Sec. 748.10(a)(1) and (a)(2) to clarify that the requirement for a PRC End-User Statement applies to 6A003 cameras and computers if there are any license requirements under the EAR for those commodities to the PRC, not just for reasons on the Commerce Control List. This revised text conforms to the prior requirements for PRC End- User Statements. Other changes to new Sec. 748.10, including to recordkeeping and retention of original documents, are addressed above under new Sec. 748.9. Section 748.11--Statement by Ultimate Consignee and Purchaser The proposed rule put forward new requirements for obtaining a Statement by Ultimate Consignee and Purchaser. The proposed rule increased the value threshold for requiring a Statement by Ultimate Consignee and Purchaser from $5,000 to $50,000, and it proposed to require the statement in place of an IC for most license applications that currently require an IC. As addressed above, commenters expressed concerns that these changes would make the support document requirements of the EAR more burdensome than the ITAR. Consequently, this final rule limits the requirement to obtain a Statement by Ultimate Consignee and Purchaser to exports, reexports, or in-country transfers of ``600 Series Major Defense Equipment,'' regardless of value and destination (excluding the PRC). In addition to the comparison to the ITAR's support document requirements, commenters also raised additional concerns. One commenter suggested that the permissive use of a Statement by Ultimate Consignee and Purchaser for the PRC, as described in proposed Sec. 748.11(a)(2), be moved to Sec. 748.10 so that all support document requirements pertaining to the PRC reside in one section. While BIS understands the concern, the agency did not accept this recommendation because the support document requirements are organized by document rather than by destination. However, this final rule adds a new note to new Sec. 748.10(a) to provide a cross-reference to new Sec. 748.11(a)(2). Two commenters requested clarification or examples on proposed Note 2 to Sec. 748.11(a). That proposed note, which is retained in this final rule, states that BIS has discretion to require a Statement by Ultimate Consignee and Purchaser for an application even though the EAR would not normally require one. For example, under this final rule, BIS may require a statement for an application not involving the PRC for items that are not ``600 Series Major Defense Equipment.'' BIS may make this request when additional information is needed to help verify the bona fides of a party involved in the transaction. One commenter expressed concerns regarding proposed Sec. 748.11(b)(5)(iii), which, inter alia, requires that the consignee and/ or purchaser ``promptly send a new statement to the applicant if changes in the facts or intentions contained in the statement(s) occur after the statement(s) have been forwarded to the applicant.'' The commenter stated it was unclear which party is responsible for reporting changes to the license applicant, especially if the changes are a result of the actions of a different party involved in the transaction. BIS notes that an individual party is responsible for ensuring that its representations are true and correct to the best of the party's knowledge. Further, all parties participating in a transaction subject to the EAR must comply with the EAR, including the requirement that a party not proceed with a transaction with knowledge that a violation has occurred or is about to occur as a result of actions by another party. Two commenters recommended moving proposed Sec. 748.11(c), which describes the content requirements of the statement, to a new supplement to make Sec. 748.11 easier to read. BIS accepts this recommendation and moved the information that was in proposed Sec. 748.11(c) to newly revised Supplement No. 3 to part 748. One commenter stated that the Form BIS-711 and the information required for a letter on company letterhead vary in the following ways: The letter allows for naming any country while the BIS-711 limits action to a single country (the country of residence of the ultimate consignee); the letter requires indicating whether the Statement by Ultimate Consignee and Purchaser is for a single transaction or multiple transactions while the BIS-711 does not require this; the letter requires identifying the name of the license applicant while the BIS-711 does not; and the letter does not require naming a party that assisted in preparing the letter while the BIS-711 does so in block 5. With respect to the country scope of the letter versus the BIS-711, BIS notes that the BIS-711 is not limited to a single country in that boxes B and D under block 2 allow for the identification of other countries, so BIS believes no changes are necessary to either the letter or BIS- 711 requirements. The additional issues identified by the commenter will be addressed in a different rule. BIS will evaluate these concerns as part of the agency's separate review of Information Collection 0694- 0021 under the Paperwork Reduction Act, which authorizes BIS to collect the information described in Sec. 748.11. Any substantive changes to Information Collection 0694-0021 will be finalized under an additional rule. [[Page 13215]] Two commenters stated that the validity period for a Statement by Ultimate Consignee and Purchaser to be used for multiple license applications should be increased from two years to four years, which would correlate with the new license validity period in the EAR. BIS accepts this recommendation, which is reflected in new Sec. 748.11(d)(1)(ii) and Supplement No. 3 to part 748. One commenter also suggested that the name ``Statement by Ultimate Consignee and Purchaser'' be changed to ``Recipient Statement'' to better identify the appropriate parties to make the relevant representations on the document. BIS does not accept this recommendation as part of this final rule. While using the term ``recipient'' would provide greater flexibility, it may also increase ambiguity since ``recipient'' is not a defined term, unlike both ``ultimate consignee'' and ``purchaser.'' BIS will, however, monitor the effects this final rule will have on support document requirements and will re-evaluate if further clarifications or changes are warranted. To further streamline and clarify the support document requirements, BIS is making additional changes to this section. First, the term ``sub-assemblies'' has been replaced with ``components'' under new Sec. 748.11(a)(2) since ``components'' is a defined term in part 772 and reflects the intent of the scope of ``sub-assemblies.'' Also, new Sec. 748.11(d) has been revised to extend the validity period by allowing an applicant to submit the first license application within one year from the date the statement was signed rather than the prior six months. This change reflects the increased license validity period for BIS licenses and DDTC's practice of allowing purchase orders for DSP-5 licenses to be used within one year. Section 748.12--Firearms Convention Import Certificate The proposed rule made no substantive changes to the scope of the support document requirements for firearms and related commodities, but it did propose changing certain submission requirements to recordkeeping requirements and clarifying the name of the support document as a Firearms Convention (FC) Import Certificate. BIS did not receive any public comments specific to the FC Import Certificate requirements, and this final rule largely adopts the proposed requirements in Sec. 748.12, as well as references to the revised name in Sec. 742.17. However, to further clarify and streamline the proposed rule, BIS is making additional changes in this final rule. This final rule revises new Sec. 748.12(b)(1) to reflect that obtaining a copy of the FC Import Certificate or equivalent official document is permissible and that the application may be submitted prior to receipt of the original or copy. New Sec. 748.12(b)(2) has been revised to incorporate text on the procedure to follow if the government of the importing country will not issue a document; this information was previously in proposed Sec. 748.12(d)(1)(ii). New Sec. 748.12(d)(2) has been revised to incorporate similar wording in prior sections addressing alterations, and new Sec. 748.12(d)(3) has been revised to more closely harmonize, to the extent possible, the validity period on an FC Import Certificate (or equivalent official document) to that of a Statement by Ultimate Consignee and Purchaser. Unless the Certificate or equivalent official document has an expiration date, the new validity period will be four years rather than the prior limit of one year. Multiple license applications may be submitted using the same Certificate or equivalent official document so long as the document is still valid. Section 748.13--Granting of Exceptions to the Support Document Requirements The proposed rule suggested moving the information on granting exceptions to the support document requirements into Sec. 748.13 and made no substantive changes to the existing text, which was previously in Sec. 748.12(c) and (d). One commenter believed that the EAR's requirements for granting an exception are too onerous, and two commenters suggested replacing the process with a requirement for the applicant to keep a letter on file or provide such letter with the application describing why a required support document could not be obtained. BIS believes that a recordkeeping requirement would not be sufficient for utilizing an exception. However, this final rule revises new Sec. 748.13 to streamline the process by requiring that information supporting the request be in or referred to in Block 24 of the application. Thus, a separate letter is not required. Additionally, this final rule revises new Sec. 748.13 to give the agency greater discretion on adjudicating such requests. Additional Public Comments on Support Document Requirements for License Applications and Additional Conforming Changes Two commenters believed that the table in proposed Supplement No. 4 to part 744, which provided informal guidance on support document requirements, was confusing; one commenter believed that the proposed table was helpful. Because of changes described above to the requirements for obtaining a Statement by Ultimate Consignee and Purchaser, BIS believes that the support document requirements are sufficiently clear without the need for the table. Thus, this final rule removes the proposed table. One commenter requested that BIS clarify the definition of ``ultimate consignee'' since it affects which party must fill out the Statement by Ultimate Consignee and Purchaser. The commenter further proposed a new definition for the term. BIS does not accept this comment as it is outside the scope of the proposed rule. The proposed changes to the support document requirements were premised on the existing definition of ``ultimate consignee.'' Moreover, any changes to the definition of that term should go through the proposed rulemaking process. Accordingly, at this time, BIS does not believe that such a proposal is warranted. One commenter recommended that BIS add and define the term ``support document'' in part 772 to avoid inconsistency with the existing definition of ``export control document.'' BIS does not accept this recommendation. Support documents already fall under the definition of ``export control document,'' and BIS believes that new Sec. Sec. 748.6(a)(3) and 748.9(a) provide sufficient guidance to applicants on the use of the term ``support documents.'' Finally, due to the removal of Import Certificate and Delivery Verification requirements, as well as the revised name for FC Import Certificates, this rule finalizes the references to support document names in Sec. 762.2. Export Administration Act Since August 21, 2001, the Export Administration Act of 1979, as amended, has been in lapse. However, the President, through Executive Order 13222 of August 17, 2001, 3 CFR, 2001 Comp., p. 783 (2002), as amended by Executive Order 13637 of March 8, 2013, 78 FR 16129 (March 13, 2013), and as extended by the Notice of August 7, 2014, 79 FR 46959 (August 11, 2014) has continued the EAR in effect under the International Emergency Economic Powers Act. BIS continues to carry out the provisions of the Export Administration Act, as appropriate and to the extent permitted by law, pursuant to Executive Order 13222 as amended by Executive Order 13637. [[Page 13216]] Rulemaking Requirements 1. Executive Orders 13563 and 12866 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distribute impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This final rule is part of BIS's retrospective regulatory review being undertaken under Executive Order 13563. This rule has been determined to be not significant for purposes of Executive Order 12866. 2. Notwithstanding any other provision of law, no person is required to respond to, nor is subject to a penalty for failure to comply with, a collection of information, subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), unless that collection of information displays a currently valid OMB control number. This final rule affects two collection numbers: Statement by Ultimate Consignee and Purchaser (0694-0021) and Import Certificates And End-User Certificates (0694-0093). This final rule amends the requirements for support documents required in conjunction with a license application. Collection number 0694-0093 addresses Import Certificates and End-User Certificates, changes to Import Certificates and End-User Certificates, exception requests to Import Certificates and End-User Certificates, Delivery Verifications, exception requests to Delivery Verifications, and related recordkeeping. This final rule eliminates the requirement for obtaining a Delivery Verification in conjunction with a license application submitted to BIS. This results in an annual reduction in burden of 361 hours for Delivery Verifications and 0.5 hours for Delivery Verification exception requests. Also, this rule eliminates the requirement to obtain an Import Certificate in conjunction with a license application. This change results in the reduction of the following annual burden hour estimates: 354.5 hours for preparing the Import Certificate, 23.6 hours for recordkeeping related to the Import Certificate, 99 hours for changes to Import Certificates, and 7 hours for Import Certificate exception requests. The changes to support documents required in conjunction with a license application also impact collection number 0694-0021, which addresses the Statement by Ultimate Consignee and Purchaser. This final rule limits the requirement to obtain a Statement by Ultimate Consignee and Purchaser to license applications involving ``600 Series Major Defense Equipment,'' as defined in part 772 of the EAR. Since Export Control Reform was initially implemented in October 2013, BIS has not received an application to export, reexport, or transfer (in-country) ``600 Series Major Defense Equipment.'' Therefore, BIS estimates this final rule will result in one application per year requiring a Statement by Ultimate Consignee and Purchaser. Based on the aggregate number of license applications in SNAP-R that have the entry for ``Statement by Ultimate Consignee and Purchaser/BIS 711'' checked, and those applications BIS believes were mistakenly checked as ``Import Certificate or End User Certificate'' but in fact were also Statements by Ultimate Consignee and Purchaser due to the destination of the application, BIS believes the changes in this final rule will decrease the burden hours measured under collection number 0694-0021 by approximately 1160.5 hours. 3. This rule does not contain policies with Federalism implications as that term is defined under E.O. 13132. 4. The Regulatory Flexibility Act (RFA), as amended by the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C. 601 et seq., generally requires an agency to prepare an initial regulatory flexibility analysis (IRFA) for any rule subject to the notice and comment rulemaking requirements under the Administrative Procedure Act (5 U.S.C. 553) or any other statute. However, under section 605(b) of the RFA, if the head of an agency certifies that a rule will not have a significant impact on a substantial number of small entities, the RFA does not require the agency to prepare a regulatory flexibility analysis. BIS does not collect data on the size of entities that apply for and are issued export licenses. Although BIS is unable to estimate the exact number of small entities that would be affected by this rule, it acknowledges that this rule would affect some unknown number by reducing the burden of having to obtain certain support documents for certain license applications. Therefore, the impact on any affected small entities will be wholly positive. Pursuant to section 605(b), the Chief Counsel for Regulation, Department of Commerce, submitted a memorandum to the Chief Counsel for Advocacy, Small Business Administration, certifying that this final rule, will not have a significant impact on a substantial number of small entities. No comments were received on the certification and therefore no regulatory flexibility analysis is required. Pursuant to 5 U.S.C. 553(d)(1) good cause exists to waive the otherwise applicable 30 day delay in effectiveness. Because the information obtained through the pertinent support documents is collected elsewhere, there is no need for regulated entities to come into compliance with any regulatory requirements. Furthermore, there is a strong public interest in making these changes. The information contained in the support documents is collected in the license applications themselves, so there is no government or public interest in a duplicative collection. In addition, this rule decreases the burden on the regulated parties. A primary goal of the President's Export Control Reform Initiative is that the transition to jurisdiction under BIS should be no more burdensome under the EAR than the ITAR. However, under the existing regulations, the EAR's support document requirements are more restrictive than the ITAR, which control articles that provide the United States with a critical military or intelligence advantage or otherwise warrant more restrictive controls. There is no need for items subject to the EAR to have more restrictive requirements than defense articles under the ITAR. Indeed, any ongoing requirement that these documents be collected would undermine public policy goals. There is also a public interest in moving this process along to ensure that entities that are transitioning from being regulated by the ITAR to being regulated by the EAR are not temporarily burdened by having to comply with a requirement that they did not previously have to comply with under the ITAR. For all these reasons, BIS finds good cause to waive the 30 day delay in effective date and implement this rule upon publication in the Federal Register. List of Subjects 15 CFR Part 742 Exports, Terrorism. 15 CFR Part 748 Administrative practice and procedure, Exports, Reporting and recordkeeping requirements. 15 CFR Part 762 Administrative practice and procedure, Business and industry, Confidential business information, [[Page 13217]] Exports, Reporting and recordkeeping requirements. For the reasons stated in the preamble, the Export Administration Regulations (15 CFR parts 730-774) are amended as follows: PART 742--[AMENDED] 0 1. The authority citation for part 742 continues to read as follows: Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential Determination 2003-23 of May 7, 2003, 68 FR 26459, May 16, 2003; Notice of August 7, 2014, 79 FR 46959 (August 11, 2014); Notice of November 7, 2014, 79 FR 67035 (November 12, 2014). 0 2. Section 742.17 is amended by: 0 a. Revising the last sentence of paragraph (a); 0 b. Removing ``Import Certificate'' and adding in its place ``FC Import Certificate'' in paragraph (b); and 0 c. Revising paragraph (g), to read as follows: Sec. 742.17 Exports of firearms to OAS member countries. * * * * * (a) * * * Licenses will generally be issued on a Firearms Convention (FC) Import Certificate or equivalent official document, satisfactory to BIS, issued by the government of the importing OAS member country. * * * * * (g) Validity period for licenses. Although licenses generally will be valid for a period of four years, your ability to ship items that require an FC Import Certificate or equivalent official document under this section may be affected by the validity of the FC Import Certificate or equivalent official document (see Sec. 748.12(d)(4) of the EAR). PART 748--[AMENDED] 0 3. The authority citation for part 748 continues to read as follows: Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 7, 2014, 79 FR 46959 (August 11, 2014). 0 4. Section 748.6 is amended by revising paragraph (a) to read as follows: Sec. 748.6 General instructions for license applications. (a) Instructions. (1) General instructions for filling out license applications are in Supplement No. 1 to this part. (2) License applications may require additional information due to the type of items requested in the application or the characteristics of the transaction. Special instructions for applications requiring such additional information are listed in Sec. 748.8 and described fully in Supplement No. 2 to this part. (3) License applications may also require additional information for evaluation of the parties in the transaction. Special instructions for applications requiring such additional information are listed in Sec. Sec. 748.9 through 748.13. * * * * * 0 5. Section 748.9 is revised to read as follows: Sec. 748.9 Support documents for evaluation of foreign parties in license applications. (a) Scope. License applicants may be required to obtain support documents concerning the foreign parties and the disposition of the items intended for export, reexport, or transfer (in-country). Some support documents are issued by foreign governments, while other support documents are signed and issued by the purchaser and/or ultimate consignee. For support documents issued by foreign governments, any foreign legal restrictions or obligations exercised by the government issuing the support document are in addition to the conditions and restrictions placed on the transaction by BIS. However, the laws and regulations of the United States are in no way modified, changed, or superseded by the issuance of a support document by a foreign government. (b) Requirements to obtain support documents for license applications. Unless an exception in paragraph (c) of this section applies, a support document is required for certain license applications for the People's Republic of China (PRC) (see Sec. Sec. 748.10 and 748.11(a)(2)), ``600 Series Major Defense Equipment'' (see Sec. 748.11), and firearms and related commodities to member countries of the Organization of American States (see Sec. 748.12). Note 1 to paragraph (b): On a case-by-case basis, BIS may require license applicants to obtain a support document for any license application. Note 2 to paragraph (b): For End-Use Certificate requirements under the Chemical Weapons Convention, see Sec. 745.2 of the EAR. (c) Exceptions to requirements to obtain support documents. (1) Even if a support document requirement is imposed by paragraph (b) of this section, no support document is required for any of the following situations: (i) The ultimate consignee or purchaser is an ``Agency of the United States Government'' (see Sec. 740.11(b)(1) for definition). If either the ultimate consignee or purchaser is not an agency of the United States government, however, a support document may still be required from the non-U.S. governmental party; (ii) The ultimate consignee or purchaser is a foreign government(s) or foreign government agency(ies), other than the government of the People's Republic of China. To determine whether the parties in a transaction meet the definition of ``foreign government agency,'' refer to the definition contained in part 772 of the EAR. If either the ultimate consignee or purchaser is not a foreign government or foreign government agency, however, a support document may still be required from the nongovernmental party; (iii) The license application is filed by, or on behalf of, a relief agency registered with the Advisory Committee on Voluntary Foreign Aid, U.S. Agency for International Development, for export to a member agency in the foreign country; (iv) The license application is submitted for commodities for temporary exhibit, demonstration, or testing purposes; (v) The license application is submitted for commodities controlled for short supply reasons (see part 754 of the EAR); (vi) The license application is submitted under the Special Comprehensive License procedure described in part 752 of the EAR; (vii) The license application is submitted for software or technology; or (viii) The license application is submitted for encryption commodities controlled under ECCN 5A002 or 5B002. (2) BIS will consider granting an exception to the requirement for obtaining a support document where the requirements cannot be met due to circumstances beyond the applicant's control. An exception will not be granted contrary to the objectives of the U.S. export control laws and regulations. Refer to Sec. 748.13 of this part for specific instructions on procedures for requesting an exception. (d) Content of support documents. In addition to specific requirements described for each support document in Sec. Sec. 748.10, 748.11, and 748.12, the use [[Page 13218]] and submission of support documents must comply with the following requirements. (1) English translation. All abbreviations, coded terms, or other expressions on support documents having special significance in the trade or to the parties to the transaction must be explained on an attachment to the document. Documents in a language other than English must be accompanied by an attachment giving an accurate English translation, either made by a translating service or certified by the applicant to be correct. Explanations or translations should be provided on a separate piece of paper, and not entered on the support documents themselves. (2) Responsibility for full disclosure. (i) The license application covering the transaction discloses all facts pertaining to the transaction. Information contained in a support document obtained after submission of a license application and not submitted to BIS as part of the application cannot be construed as extending or expanding or otherwise modifying the specific information supplied in a license application or license issued by BIS. The authorizations contained in the resulting license are not extended by information contained in the support document regarding reexport from the country of destination, transfer (in-country), or any other facts relative to the transaction that are not reported on the license application. (ii) Misrepresentations, either through failure to disclose facts, concealing a material fact, or furnishing false information, may subject responsible parties to administrative or criminal action by BIS. (iii) In obtaining the required support document, the applicant is not relieved of the responsibility for full disclosure of any other information concerning the ultimate destination, end use, or end user of which the applicant knows, even if inconsistent with the representations made in the applicable support document. The applicant is responsible for promptly notifying BIS of any change in the facts contained in the support document that comes to the applicant's attention. (e) Procedures for using support document with license application.--(1) Timing for obtaining support document. When a support document is required for a license application in Sec. Sec. 748.10, 748.11, and 748.12, license applicants may submit the application prior to receipt of a copy of the support document, unless BIS informs the applicant that the support document must be submitted with the application. However, if the license is granted, items authorized on the license may not be exported, reexported, or transferred (in- country) until the license holder obtains a copy of the support document. (2) Information necessary for license application. When a support document is required for a license application, applicants should mark the appropriate box in Block 7, regardless of whether a copy of the support document is on file with the applicant at the time of submission. (f) Recordkeeping provisions. License applicants must retain on file the original or a copy of any support document issued in support of a license application submitted to BIS. All recordkeeping provisions in part 762 of the EAR apply to this requirement. (g) Effect on license application review. BIS reserves the right in all respects to determine to what extent any license will be issued covering items for which a support document has been issued. If a support document was issued by a foreign government, BIS will not seek or undertake to give consideration to recommendations from the foreign government as to the action to be taken on a license application. A support document will be only one of the factors upon which BIS will base its licensing action, since end uses and other considerations are important factors in the decision making process. (h) Grace period for complying with requirements following regulatory change. (1) Whenever the requirement for a PRC End-User Statement, Statement by Ultimate Consignee or Purchaser, or Firearms Convention Import Certificate is imposed or extended by a change in the regulations, the license application need not conform to the new support documentation requirements for a period of 45 days after the effective date of the regulatory change published in the Federal Register. (2) License applications filed during the 45-day grace period may require the submission of evidence available to the applicant that will support representations concerning the ultimate consignee, ultimate destination, and end use, such as copies of the order, letters of credit, correspondence between the applicant and ultimate consignee, or other documents received from the ultimate consignee. If such evidence is required, applicants must also identify the regulatory change (including its effective date) that justifies exercise of the 45-day grace period. 0 6. Section 748.10 is revised to read as follows: Sec. 748.10 People's Republic of China (PRC) End-User Statement. (a) Requirement to obtain document. Unless the provisions of Sec. Sec. 748.9(c) or 748.11(a)(2) apply, a PRC End-User Statement is required for license applications including any of the following commodities destined for the PRC: (1) Cameras classified under ECCN 6A003 requiring a license to the PRC for any reason, and the value of such cameras exceeds $5,000; (2) Computers requiring a license to the PRC for any reason, regardless of the value of the computers; or (3) Any commodity(ies) requiring a license to the PRC for any reason on the Commerce Control List, and the total value of such commodity(ies) requiring a license exceeds $50,000. Note 1 to paragraph (a): If an order meets the commodity(ies) and value requirements listed above, then a PRC End-User Statement is required. An order may not be split into multiple license applications solely to avoid a requirement to obtain a PRC End-User Statement. Note 2 to paragraph (a): If an order includes both items that do require a license to the PRC and items that do not require a license to the PRC, the value of the latter items should not be factored into the value thresholds described above. Also, if a license application includes 6A003 cameras and other items requiring a license to the PRC, then the value of the 6A003 cameras should be factored into the value threshold described in paragraph (a)(3). Note 3 to paragraph (a): See Sec. 748.11(a)(2) for permissive use of a Statement by Ultimate Consignee and Purchaser in place of a PRC End-User Statement. Note 4 to paragraph (a): On a case-by-case basis, BIS may require license applicants to obtain a PRC End-User Statement for a license application that would not otherwise require a PRC End-User Statement under the requirements of paragraph (a) of this section. (b) Obtaining the document. (1) If a PRC End-User Statement is required for any reason under paragraph (a) of this section, then applicants must request that the importer obtain a PRC End-User Statement for all items on a license application that require a license to the PRC for any reason listed on the CCL. (2) PRC End-User Statements are issued and administered by the Ministry of Commerce; Department of Mechanic, Electronic and High Technology Industries; Export Control Division I; Chang An Jie No. 2; Beijing 100731 China; Phone: (86)(10) 6519 7366 or 6519 7390; Fax: (86)(10) 6519 7543; http://zzyhzm.mofcom.gov.cn/. See the BIS Web site (www.bis.doc.gov) for the current contact information. [[Page 13219]] (c) Content of the document. (1) The license applicant's name must appear on the PRC End-User Statement submitted to BIS as the applicant, supplier, or order party. (2) License applicants must ensure that the following information is included on the PRC End-User Statement signed by an official of the Department of Mechanic, Electronic and High Technology Industries, Export Control Division I, of the PRC Ministry of Commerce (MOFCOM), with MOFCOM's seal affixed to it: (i) Title of contract and contract number (optional); (ii) Names of importer and exporter; (iii) End user and end use; (iv) Description of the commodity, quantity and dollar value; and (v) Signature of the importer and date. Note to paragraph (c): The license applicant should furnish the consignee with the commodity description contained in the CCL to be used in applying for the PRC End-User Statement. It is also advisable to furnish a manufacturer's catalog, brochure, or technical specifications if the commodity is new. (d) Procedures for using document with license application. (1) Using a PRC End-User Statement for multiple applications. A PRC End- User Statement may cover more than one purchase order and more than one item. Where the Statement includes items for which more than one license application will be submitted, the applicant should ensure that the total quantities on the license application(s) do not exceed the total quantities shown on the PRC End-User Statement. (2) Alterations. After a PRC End-User Statement is issued by the Government of the People's Republic of China, no corrections, additions, or alterations may be made on the certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant. (3) Validity period. A PRC End-User Statement is valid until the quantities of items identified on the Statement have been shipped. 0 7. Section 748.11 is revised to read as follows: Sec. 748.11 Statement by Ultimate Consignee and Purchaser. (a) Requirement to obtain document. (1) General requirement for all countries excluding the People's Republic of China (PRC). Unless an exception in Sec. 748.9(c) or paragraph (a)(3) of this section applies, a Statement by Ultimate Consignee and Purchaser is required if the license application includes ``600 Series Major Defense Equipment'' (600 series MDE) requiring a license for any reason on the Commerce Control List and such items are destined for a country other than the PRC. (2) Permissive substitute of Statement by Ultimate Consignee and Purchaser in place of PRC End-User Statement. The requirement to obtain a support document for license applications involving the PRC is generally determined by Sec. 748.10(a) of the EAR. However, a Statement by Ultimate Consignee and Purchaser may be substituted in place of a PRC End-User Statement when the commodities to be exported (i.e., replacement parts and components) are valued at $75,000 or less and are for servicing previously exported commodities. (3) Exception to general requirement. The general requirement described in paragraph (a)(1) of this section does not apply if the applicant is the same person as the ultimate consignee, provided the required statements are contained in Block 24 on the license application. This exemption does not apply, however, where the applicant and consignee are separate entities, such as parent and subsidiary, or affiliated or associated firms. Note 1 to paragraph (a): An order may not be split into multiple license applications solely to avoid a requirement to obtain a Statement by Ultimate Consignee and Purchaser. Note 2 to paragraph (a): On a case-by-case basis, BIS may require license applicants to obtain a Statement by Ultimate Consignee and Purchaser for a license application that would not otherwise require a Statement by Ultimate Consignee and Purchaser under the requirements of paragraph (a) of this section. (b) Obtaining the document. (1) The ultimate consignee and purchaser must complete either a statement on company letterhead, or Form BIS-711, Statement by Ultimate Consignee and Purchaser, as described in paragraph (c) of this section. Unless otherwise specified, any reference in this section to ``Statement by Ultimate Consignee and Purchaser'' applies to both the statement on company letterhead and to Form BIS-711. (2) If the consignee and purchaser elect to complete the statement on letterhead and both the ultimate consignee and purchaser are the same entity, only one statement is necessary. (3) If the ultimate consignee and purchaser are separate entities, separate statements must be prepared and signed. (4) If the ultimate consignee and purchaser elect to complete Form BIS-711, only one Form BIS-711 (containing the signatures of the ultimate consignee and purchaser) need be completed. (5) Whether the ultimate consignee and purchaser sign a written statement or complete Form BIS-711, the following constraints apply: (i) Responsible officials representing the ultimate consignee or purchaser must sign the statement. ``Responsible official'' is defined as someone with personal knowledge of the information included in the statement, and authority to bind the ultimate consignee or purchaser for whom they sign, and who has the power and authority to control the use and disposition of the licensed items. (ii) The authority to sign the statement may not be delegated to any person (agent, employee, or other) whose authority to sign is not inherent in his or her official position with the ultimate consignee or purchaser for whom he or she signs. The signing official may be located in the United States or in a foreign country. The official title of the person signing the statement must also be included. (iii) The consignee and/or purchaser must submit information that is true and correct to the best of their knowledge and must promptly send a new statement to the applicant if changes in the facts or intentions contained in their statement(s) occur after the statement(s) have been forwarded to the applicant. Once a statement has been signed, no corrections, additions, or alterations may be made. If a signed statement is incomplete or incorrect in any respect, a new statement must be prepared, signed and forwarded to the applicant. (c) Content of the document. See Supplement No. 3 to this part for the information necessary to complete a statement on company letterhead or on Form BIS-711. (d) Procedures for using document with license application.--(1) Validity period. (i) If a Statement by Ultimate Consignee and Purchaser is obtained prior to submission of the license application and the Statement is required to support one or more license applications, an applicant must submit the first license application within one year from the date the statement was signed. (ii) All subsequent license applications supported by the same Statement by Ultimate Consignee and Purchaser must be submitted within four years of signature by the consignee or purchaser, whichever was last. (2) [Reserved] 0 8. Section 748.12 is revised to read as follows: [[Page 13220]] Sec. 748.12 Firearms Convention (FC) Import Certificate. (a) Requirement to obtain document. Unless an exception in Sec. 748.9(c) applies, an FC Import Certificate is required for license applications for firearms and related commodities, regardless of value, that are destined for member countries of the Organization of American States (OAS). This requirement is consistent with the OAS Model Regulations described in Sec. 742.17 of the EAR. (1) Items subject to requirement. Firearms and related commodities are those commodities controlled for ``FC Column 1'' reasons under ECCNs 0A984, 0A986, or 0A987. (2) Countries subject to requirement. (i) OAS member countries include: Antigua and Barbuda, Argentina, Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, Uruguay, and Venezuela. (ii) [Reserved] (3) Equivalent official document in place of FC Import Certificate. For those OAS member countries that have not yet established or implemented an FC Import Certificate procedure, BIS will accept an equivalent official document (e.g., import license or letter of authorization) issued by the government of the importing country as supporting documentation for the export of firearms. (b) Obtaining the document. (1) Applicants must request that the importer (e.g., ultimate consignee or purchaser) obtain the FC Import Certificate or an equivalent official document from the government of the importing country, and that it be issued covering the quantities and types of firearms and related items that the applicant intends to export. (See Supplement No. 6 to this part for a list of the OAS member countries' authorities administering the FC Import Certificate System.) Upon receipt of the FC Import Certificate, its official equivalent, or a copy, the importer must provide the original or a certified copy of the FC Import Certificate or the original or a certified copy of the equivalent official document to the license applicant. (2) If the government of the importing country will not issue an FC Import Certificate or its official equivalent, the applicant must supply the information described in paragraphs (c)(1) and (c)(6) through (c)(8) of this section on company letterhead. (c) Content of the document. The FC Import Certificate or its official equivalent must contain the following information: (1) Applicant's name and address. The applicant may be either the exporter, supplier, or order party. (2) FC Import Certificate Identifier/Number. (3) Name of the country issuing the certificate or unique country code. (4) Date the FC Import Certificate was issued, in international date format (e.g., 24/12/12 for 24 December 2012, or 3/1/99 for 3 January 1999). (5) Name of the agency issuing the certificate, address, telephone and facsimile numbers, signing officer name, and signature. (6) Name of the importer, address, telephone and facsimile numbers, country of residence, representative's name if commercial or government body, citizenship, and signature. (7) Name of the end user(s), if known and different from the importer, address, telephone and facsimile numbers, country of residence, representative's name if commercial (authorized distributor or reseller) or government body, citizenship, and signature. Note that BIS does not require the identification of each end user when the firearms and related commodities will be resold by a distributor or reseller if unknown at the time of export. (8) Description of the commodities approved for import including a technical description and total quantity of firearms, parts and components, ammunition and parts. Note to paragraph (c)(8): You must furnish the consignee with a detailed technical description of each commodity to be given to the government for its use in issuing the FC Import Certificate. For example, for shotguns, provide the type, barrel length, overall length, number of shots, the manufacturer's name, the country of manufacture, and the serial number for each shotgun. For ammunition, provide the caliber, velocity and force, type of bullet, manufacturer's name and country of manufacture. (9) Expiration date of the FC Import Certificate in international date format (e.g., 24/12/12) or the date the items must be imported, whichever is earlier. (10) Name of the country of export (i.e., United States). (11) Additional information. Certain countries may require the tariff classification number, by class, under the Brussels Convention (Harmonized Tariff Code) or the specific technical description of a commodity. For example, shotguns may need to be described in barrel length, overall length, number of shots, manufacturer's name and country of manufacture. The technical description is not the Export Control Classification Number (ECCN). (d) Procedures for using document with license application.--(1) Information necessary for license application. The license application must include the same commodities as those listed on the FC Import Certificate or the equivalent official document. (2) Alterations. After an FC Import Certificate or equivalent official document is used to support the issuance of a license, no corrections, additions, or alterations may be made on the FC Import Certificate by any person. Any necessary corrections, additions, or alterations should be noted by the applicant in a separate statement on file with the applicant. (3) Validity period. FC Import Certificates or equivalent official documents issued by an OAS member country will be valid until the expiration date on the Certificate or for a period of four years, whichever is shorter. 0 9. Section 748.13 is revised to read as follows: Sec. 748.13 Granting of exceptions to the support documentation requirements. (a) Overview. A request for an exception to obtaining the required support documentation will be considered by BIS; however, an exception will not be granted contrary to the objectives of the U.S. export control program. A request for exception may involve either a single transaction or, where the reason necessitating the request is continuing in nature, multiple transactions. If satisfied by the evidence presented, BIS may waive the support document requirement and accept the license application for processing. (b) Procedure for requesting an exception. The request for an exception must be submitted with the license application to which the request relates, and the reason(s) for requesting the exception must be described in Block 24 or referred to in Block 24. Where the request relates to more than one license application, it should be submitted with the first license application and referred to in Block 24 on any subsequent license application. (c) Action by BIS.--(1) Single transaction request. Where a single transaction is involved, BIS will act on the request for exception at the same time as the license application with which the request is submitted. In those instances where the related license application is approved, the issuance of the license will serve as an automatic notice to the applicant that the [[Page 13221]] exception was approved. If any restrictions are placed on granting of the exception, these will appear on the approval. If the request for exception is not approved, BIS will advise the applicant. (2) Multiple transactions request. Where multiple transactions are involved, BIS will advise the applicant of the action taken on the exception request. The response from BIS will contain any conditions or restrictions that BIS finds necessary to impose (including an exception termination date if appropriate). In addition, a written acceptance of these conditions or restrictions may be required from the parties to the transaction. Sec. 748.14 [Removed and reserved] 0 10. Section 748.14 is removed and reserved. 0 11. Supplement No. 3 to part 748 is revised to read as follows: SUPPLEMENT NO. 3 TO PART 748--STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER CONTENT REQUIREMENTS If a statement on company letterhead will be used to meet the requirement to obtain a Statement by Ultimate Consignee and Purchaser, as described in Sec. 748.11(a), follow the requirements described in paragraph (a) of this appendix. If Form BIS-711 will be used to meet the requirement, follow the requirements described in paragraph (b) of this appendix. (a) Statement on company letterhead. Information in response to each of the following criteria must be included in the statement. If any information is unknown, that fact should be disclosed in the statement. Preprinted information supplied on the statement, including the name, address, or nature of business of the ultimate consignee or purchaser appearing on the letterhead or order form is acceptable but will not constitute evidence of either the signer's identity, the country of ultimate destination, or end use of the items described in the license application. (1) Paragraph 1. One of the following certifications must be included depending on whether the statement is proffered in support of a single license application or multiple license applications: (i) Single. This statement is to be considered part of a license application submitted by [name and address of applicant]. (ii) Multiple. This statement is to be considered a part of every license application submitted by [name and address of applicant] until four years from the date this statement is signed. (2) Paragraph 2. One or more of the following certifications must be included. Note that if any of the facts related to the following statements are unknown, this must be clearly stated. (i) The items for which a license application will be filed by [name of applicant] will be used by us as capital equipment in the form in which received in a manufacturing process in [name of country] and will not be reexported or incorporated into an end product. (ii) The items for which a license application will be filed by [name of applicant] will be processed or incorporated by us into the following product(s) [list products] to be manufactured in [name of country] for distribution in [list name of country or countries]. (iii) The items for which a license application will be filed by [name of applicant] will be resold by us in the form in which received for use or consumption in [name of country]. (iv) The items for which a license application will be filed by [name of applicant] will be reexported by us in the form in which received to [name of country or countries]. (v) The items received from [name of applicant] will be [describe use of the items fully]. (3) Paragraph 3. The following two certifications must be included: (i) The nature of our business is [possible choices include: broker, distributor, fabricator, manufacturer, wholesaler, retailer, value added reseller, original equipment manufacturer, etc.]. (ii) Our business relationship with [name of applicant] is [possible choices include; contractual, franchise, distributor, wholesaler, continuing and regular individual business, etc.] and we have had this business relationship for [number of years]. (4) Paragraph 4. The final paragraph must include all of the following certifications: (i) We certify that all of the facts contained in this statement are true and correct to the best of our knowledge and we do not know of any additional facts that are inconsistent with the above statements. We shall promptly send a replacement statement to [name of the applicant] disclosing any material change of facts or intentions described in this statement that occur after this statement has been prepared and forwarded to [name of applicant]. We acknowledge that the making of any false statement or concealment of any material fact in connection with this statement may result in imprisonment or fine, or both, and denial, in whole or in part, of participation in U.S. exports or reexports. (ii) Except as specifically authorized by the U.S. Export Administration Regulations, or by written approval from the Bureau of Industry and Security, we will not reexport, resell, or otherwise dispose of any items approved on a license supported by this statement: (A) To any country not approved for export as brought to our attention by the exporter; or (B) To any person if there is reason to believe that it will result directly or indirectly in disposition of the items contrary to the representations made in this statement or contrary to the U.S. Export Administration Regulations. (iii) We understand that acceptance of this statement as a support document cannot be construed as an authorization by BIS to reexport or transfer (in country) the items in the form in which received even though we may have indicated the intention to reexport or transfer (in country), and that authorization to reexport (or transfer in country) is not granted in an export license on the basis of information provided in the statement, but as a result of a specific request in a license application. (b) Form BIS-711. Form BIS-711 is available at http://www.bis.doc.gov/index.php/component/rsform/form/21-request-bis-forms?task=forms.edit. Instructions on completing Form BIS-711 are described below. The ultimate consignee and purchaser may sign a legible copy of Form BIS-711. It is not necessary to require the ultimate consignee and purchaser to sign an original Form BIS-711, provided all information contained on the copy is legible. All information must be typed or legibly printed in each appropriate Block or Box. (1) Block 1: Ultimate Consignee. The Ultimate Consignee must be the person abroad who is actually to receive the material for the disposition stated in Block 2. A bank, freight forwarder, forwarding agent, or other intermediary is not acceptable as the Ultimate Consignee. (2) Block 2: Disposition or Use of Items by Ultimate Consignee named in Block 1. Place an (X) in ``A.,'' ``B.,'' ``C.,'' ``D.,'' and ``E.,'' as appropriate, and fill in the required information. (3) Block 3: Nature of Business of Ultimate Consignee named in Block 1. Complete both ``A'' and ``B''. Possible choices for ``A'' include: broker, distributor, fabricator, manufacturer, wholesaler, retailer, value added reseller, original equipment manufacturer, etc. Possible choices for ``B'' include: contractual, franchise, distributor, wholesaler, continuing and regular individual business, etc. (4) Block 4: Additional Information. Provide any other information not appearing elsewhere on the form such as other parties to the transaction, and any other material facts that may be of value in considering license applications supported by this statement. (5) Block 5: Assistance in Preparing Statement. Name all persons, other than employees of the ultimate consignee or purchaser, who assisted in the preparation of this form. (6) Block 6: Ultimate Consignee. Enter the requested information and sign the statement in ink. (For a definition of ultimate consignee, see Sec. 748.5(e) of this part.) (7) Block 7: Purchaser. This form must be signed in ink by the Purchaser, if the Purchaser is not the same as the Ultimate Consignee identified in Block 1. (For a definition of purchaser, see Sec. 748.5(c) of this part.) (8) Block 8: Certification for Exporter. This Block must be completed to certify that no correction, addition, or alteration on this form was made subsequent to the signing by the Ultimate Consignee in Block 6 and Purchaser in Block 7. [[Page 13222]] Supplement No. 4 to part 748 [Removed and reserved] 0 12. Supplement No. 4 to part 748 is removed and reserved. PART 762--[AMENDED] 0 13. The authority citation for part 762 continues to read as follows: Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 7, 2014, 79 FR 46959 (August 11, 2014). 0 14. Section 762.2 is amended by: 0 a. Revising paragraphs (b)(22) and (b)(24); and 0 b. Removing and reserving paragraph (b)(25), to read as follows: Sec. 762.2 Records to be retained. * * * * * (b) * * * (22) Sec. 748.10, PRC End-User Statement; * * * * * (24) Sec. 748.12, Firearms Convention (FC) Import Certificate; (25) [Reserved] * * * * * Dated: March 5, 2015. Kevin J. Wolf, Assistant Secretary of Commerce for Export Administration. [FR Doc. 2015-05784 Filed 3-12-15; 8:45 am] BILLING CODE 3510-33- P
![13210 Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations
Availability and Summary of Environmental Review DEPARTMENT OF COMMERCE
Documents for Incorporation by
Reference The FAA has determined that this Bureau of Industry and Security
action qualifies for categorical exclusion
This document amends FAA Order under the National Environmental 15 CFR Parts 742, 748 and 762
7400.9Y, Airspace Designations and Policy Act in accordance with FAA
Reporting Points, dated August 6, 2014, Order 1050.1E, ‘‘Environmental [Docket No. 131018874–5199–02]
and effective September 15, 2014. FAA Impacts: Policies and Procedures,’’ RIN 0694–AG00
Order 7400.9Y is publicly available as paragraph 311a. This airspace action is
listed in the ADDRESSES section of this not expected to cause any potentially Revisions To Support Document
final rule. FAA Order 7400.9Y lists significant environmental impacts, and Requirements for License Applications
Class A, B, C, D, and E airspace areas, no extraordinary circumstances exist Under the Export Administration
air traffic service routes, and reporting that warrant preparation of an Regulations
points. environmental assessment. AGENCY: Bureau of Industry and
The Rule Lists of Subjects in 14 CFR Part 71 Security, Department of Commerce.
This amendment to Title 14, Code of ACTION: Final rule.
Federal Regulations (14 CFR) part 71 Airspace, Incorporation by reference,
establishes Class E en route domestic Navigation (air). SUMMARY: This rule finalizes changes to
airspace extending upward from 1,200 the support document requirements for
Adoption of the Amendment license applications submitted to the
feet above the surface at Bend, OR. By
this action, aircraft are contained while Bureau of Industry and Security (BIS)
In consideration of the foregoing, the
in IFR conditions under control of and is part of BIS’s retrospective
Federal Aviation Administration
Seattle ARTCC by vectoring aircraft regulatory review under Executive
amends 14 CFR part 71 as follows:
from en route airspace to terminal areas. Order 13563. In addition to clarifying
This action enhances the safety and PART 71—DESIGNATION OF CLASS A, and streamlining the support document
management of controlled airspace B, C, D, AND E AIRSPACE AREAS; AIR requirements for license applications in
within the NAS. TRAFFIC SERVICE ROUTES; AND part 748 of the Export Administration
The FAA has determined that this REPORTING POINTS Regulations (EAR), this final rule
regulation only involves an established removes the requirement to obtain an
body of technical regulations for which International Import Certificate or
■ 1. The authority citation for Part 71
frequent and routine amendments are Delivery Verification in connection with
continues to read as follows:
necessary to keep them operationally a license application and limits the
Authority: 49 U.S.C. 106(g); 40103, 40113, requirement to obtain a Statement by
current, is non-controversial and
40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Ultimate Consignee and Purchaser to
unlikely to result in adverse or negative 1963 Comp., p. 389.
comments. It, therefore, (1) is not a exports, reexports, and transfers (in-
‘‘significant regulatory action’’ under country) of 600 Series Major Defense
§ 71.1 [Amended]
Executive Order 12866; (2) is not a Equipment. Revisions to the EAR
‘‘significant rule’’ under DOT ■ 2. The incorporation by reference in affecting BIS’s participation in issuing
Regulatory Policies and Procedures (44 14 CFR 71.1 of FAA Order 7400.9Y, documents for the Import Certificate
FR 11034; February 26, 1979); and (3) Airspace Designations and Reporting and Delivery Verification system for
does not warrant preparation of a Points, dated August 6, 2014, and imports into the United States will be
Regulatory Evaluation as the anticipated effective September 15, 2014, is addressed in a future final rule, as will
impact is so minimal. Since this is a amended as follows: potential substantive changes to
routine matter that only affects air traffic information collections under the
Paragraph 6006 En route domestic airspace Paperwork Reduction Act.
procedures and air navigation, it is areas.
certified that this rule, when DATES: This rule is effective March 13,
* * * * * 2015.
promulgated, does not have a significant
economic impact on a substantial ANM WA E6 Bend, OR [New] FOR FURTHER INFORMATION CONTACT:
number of small entities under the Bend, OR
Patricia Muldonian, Office of National
criteria of the Regulatory Flexibility Act. Security and Technology Transfer
That airspace extending upward from
The FAA’s authority to issue rules Controls, 202–482–4479,
1,200 feet above the surface within an area
regarding aviation safety is found in patricia.muldonian@bis.doc.gov, or
bounded by a line beginning at lat. 45°09′13″
Title 49 of the United States Code. Steven Emme, Office of the Assistant
N., long. 119°01′43″ W.; to lat. 43°41′51″ N.,
Subtitle I, Section 106 describes the Secretary for Export Administration,
long. 120°00′19″ W.; to lat. 43°27′19″ N.,
authority of the FAA Administrator. long. 119°56′31″ W.; to lat. 42°50′00″ N.,
202–482–5491, steven.emme@
Subtitle VII, Aviation Programs, long. 124°50′00″ W.; to lat. 46°15′00″ N., bis.doc.gov.
describes in more detail the scope of the long. 124°30′00″ W.; to lat. 46°23′19″ N., SUPPLEMENTARY INFORMATION:
agency’s authority. This rulemaking is long. 121°07′50″ W.; thence to the point of
promulgated under the authority Background
beginning, excluding that airspace beyond
described in Subtitle VII, Part A, 12-miles of the shoreline. On April 9, 2014, the Bureau of
Subpart I, Section 40103. Under that Industry and Security (BIS) published a
Issued in Seattle, Washington, on February
section, the FAA is charged with proposed rule (79 FR 19552)
tkelley on DSK3SPTVN1PROD with RULES
27, 2015.
prescribing regulations to assign the use (hereinafter, the ‘‘April 9 rule’’) to revise
of airspace necessary to ensure the Johanna Forkner, the support document requirements of
safety of aircraft and the efficient use of Acting Manager, Operations Support Group, the Export Administration Regulations
airspace. This regulation is within the Western Service Center, AJV–W2. (EAR). This proposed rule was part of
scope of that authority as it establishes [FR Doc. 2015–05704 Filed 3–12–15; 8:45 am] BIS’s retrospective regulatory review
controlled airspace at Bend, OR. BILLING CODE 4910–13–P being undertaken under Executive
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![Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations 13217
Exports, Reporting and recordkeeping § 748.6 General instructions for license (c) Exceptions to requirements to
requirements. applications. obtain support documents. (1) Even if a
For the reasons stated in the (a) Instructions. (1) General support document requirement is
preamble, the Export Administration instructions for filling out license imposed by paragraph (b) of this
Regulations (15 CFR parts 730–774) are applications are in Supplement No. 1 to section, no support document is
amended as follows: this part. required for any of the following
(2) License applications may require situations:
PART 742—[AMENDED] additional information due to the type (i) The ultimate consignee or
of items requested in the application or purchaser is an ‘‘Agency of the United
■ 1. The authority citation for part 742 the characteristics of the transaction. States Government’’ (see § 740.11(b)(1)
continues to read as follows: Special instructions for applications for definition). If either the ultimate
requiring such additional information consignee or purchaser is not an agency
Authority: 50 U.S.C. app. 2401 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; are listed in § 748.8 and described fully of the United States government,
42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22 in Supplement No. 2 to this part. however, a support document may still
U.S.C. 7210; Sec. 1503, Pub. L. 108–11, 117 (3) License applications may also be required from the non-U.S.
Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, require additional information for governmental party;
1978 Comp., p. 179; E.O. 12851, 58 FR 33181, (ii) The ultimate consignee or
evaluation of the parties in the
3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 purchaser is a foreign government(s) or
FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. transaction. Special instructions for
foreign government agency(ies), other
13026, 61 FR 58767, 3 CFR, 1996 Comp., p. applications requiring such additional
than the government of the People’s
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 information are listed in §§ 748.9
Republic of China. To determine
Comp., p. 783; Presidential Determination through 748.13.
2003–23 of May 7, 2003, 68 FR 26459, May
whether the parties in a transaction
* * * * * meet the definition of ‘‘foreign
16, 2003; Notice of August 7, 2014, 79 FR
46959 (August 11, 2014); Notice of November ■ 5. Section 748.9 is revised to read as government agency,’’ refer to the
7, 2014, 79 FR 67035 (November 12, 2014). follows: definition contained in part 772 of the
EAR. If either the ultimate consignee or
■ 2. Section 742.17 is amended by: § 748.9 Support documents for evaluation
purchaser is not a foreign government or
■ a. Revising the last sentence of of foreign parties in license applications.
foreign government agency, however, a
paragraph (a); (a) Scope. License applicants may be support document may still be required
■ b. Removing ‘‘Import Certificate’’ and required to obtain support documents from the nongovernmental party;
adding in its place ‘‘FC Import concerning the foreign parties and the (iii) The license application is filed
Certificate’’ in paragraph (b); and disposition of the items intended for by, or on behalf of, a relief agency
■ c. Revising paragraph (g), to read as export, reexport, or transfer (in-country). registered with the Advisory Committee
follows: Some support documents are issued by on Voluntary Foreign Aid, U.S. Agency
foreign governments, while other for International Development, for
§ 742.17 Exports of firearms to OAS support documents are signed and export to a member agency in the
member countries. issued by the purchaser and/or ultimate foreign country;
* * * * * consignee. For support documents (iv) The license application is
(a) * * * Licenses will generally be issued by foreign governments, any submitted for commodities for
issued on a Firearms Convention (FC) foreign legal restrictions or obligations temporary exhibit, demonstration, or
Import Certificate or equivalent official exercised by the government issuing the testing purposes;
document, satisfactory to BIS, issued by support document are in addition to the (v) The license application is
the government of the importing OAS conditions and restrictions placed on submitted for commodities controlled
member country. the transaction by BIS. However, the for short supply reasons (see part 754 of
* * * * * laws and regulations of the United the EAR);
States are in no way modified, changed, (vi) The license application is
(g) Validity period for licenses. submitted under the Special
or superseded by the issuance of a
Although licenses generally will be Comprehensive License procedure
support document by a foreign
valid for a period of four years, your described in part 752 of the EAR;
government.
ability to ship items that require an FC (vii) The license application is
Import Certificate or equivalent official (b) Requirements to obtain support
documents for license applications. submitted for software or technology; or
document under this section may be (viii) The license application is
affected by the validity of the FC Import Unless an exception in paragraph (c) of
this section applies, a support document submitted for encryption commodities
Certificate or equivalent official controlled under ECCN 5A002 or 5B002.
document (see § 748.12(d)(4) of the is required for certain license
applications for the People’s Republic of (2) BIS will consider granting an
EAR). exception to the requirement for
China (PRC) (see §§ 748.10 and
748.11(a)(2)), ‘‘600 Series Major Defense obtaining a support document where the
PART 748—[AMENDED] requirements cannot be met due to
Equipment’’ (see § 748.11), and firearms
and related commodities to member circumstances beyond the applicant’s
■ 3. The authority citation for part 748 control. An exception will not be
continues to read as follows: countries of the Organization of
American States (see § 748.12). granted contrary to the objectives of the
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S. export control laws and
U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767, Note 1 to paragraph (b): On a case-by-case regulations. Refer to § 748.13 of this part
tkelley on DSK3SPTVN1PROD with RULES
3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 basis, BIS may require license applicants to for specific instructions on procedures
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice obtain a support document for any license
application.
for requesting an exception.
of August 7, 2014, 79 FR 46959 (August 11,
(d) Content of support documents. In
2014).
Note 2 to paragraph (b): For End-Use addition to specific requirements
■ 4. Section 748.6 is amended by Certificate requirements under the Chemical described for each support document in
revising paragraph (a) to read as follows: Weapons Convention, see § 745.2 of the EAR. §§ 748.10, 748.11, and 748.12, the use
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![Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations 13219
(c) Content of the document. (1) The series MDE) requiring a license for any (5) Whether the ultimate consignee
license applicant’s name must appear reason on the Commerce Control List and purchaser sign a written statement
on the PRC End-User Statement and such items are destined for a or complete Form BIS–711, the
submitted to BIS as the applicant, country other than the PRC. following constraints apply:
supplier, or order party. (2) Permissive substitute of Statement
(i) Responsible officials representing
(2) License applicants must ensure by Ultimate Consignee and Purchaser in
the ultimate consignee or purchaser
that the following information is place of PRC End-User Statement. The
must sign the statement. ‘‘Responsible
included on the PRC End-User requirement to obtain a support
official’’ is defined as someone with
Statement signed by an official of the document for license applications
personal knowledge of the information
Department of Mechanic, Electronic and involving the PRC is generally
determined by § 748.10(a) of the EAR. included in the statement, and authority
High Technology Industries, Export
However, a Statement by Ultimate to bind the ultimate consignee or
Control Division I, of the PRC Ministry
Consignee and Purchaser may be purchaser for whom they sign, and who
of Commerce (MOFCOM), with
substituted in place of a PRC End-User has the power and authority to control
MOFCOM’s seal affixed to it:
(i) Title of contract and contract Statement when the commodities to be the use and disposition of the licensed
number (optional); exported (i.e., replacement parts and items.
(ii) Names of importer and exporter; components) are valued at $75,000 or (ii) The authority to sign the statement
(iii) End user and end use; less and are for servicing previously may not be delegated to any person
(iv) Description of the commodity, exported commodities. (agent, employee, or other) whose
quantity and dollar value; and (3) Exception to general requirement. authority to sign is not inherent in his
(v) Signature of the importer and date. The general requirement described in or her official position with the ultimate
Note to paragraph (c): The license paragraph (a)(1) of this section does not consignee or purchaser for whom he or
applicant should furnish the consignee with apply if the applicant is the same person she signs. The signing official may be
the commodity description contained in the as the ultimate consignee, provided the located in the United States or in a
CCL to be used in applying for the PRC End- required statements are contained in foreign country. The official title of the
User Statement. It is also advisable to furnish Block 24 on the license application. person signing the statement must also
a manufacturer’s catalog, brochure, or This exemption does not apply,
technical specifications if the commodity is
be included.
however, where the applicant and
new. consignee are separate entities, such as (iii) The consignee and/or purchaser
(d) Procedures for using document parent and subsidiary, or affiliated or must submit information that is true and
with license application. (1) Using a associated firms. correct to the best of their knowledge
PRC End-User Statement for multiple and must promptly send a new
Note 1 to paragraph (a): An order may not statement to the applicant if changes in
applications. A PRC End-User be split into multiple license applications
Statement may cover more than one solely to avoid a requirement to obtain a the facts or intentions contained in their
purchase order and more than one item. Statement by Ultimate Consignee and statement(s) occur after the statement(s)
Where the Statement includes items for Purchaser. have been forwarded to the applicant.
which more than one license Once a statement has been signed, no
Note 2 to paragraph (a): On a case-by-case corrections, additions, or alterations
application will be submitted, the basis, BIS may require license applicants to
applicant should ensure that the total may be made. If a signed statement is
obtain a Statement by Ultimate Consignee
quantities on the license application(s) and Purchaser for a license application that incomplete or incorrect in any respect,
do not exceed the total quantities shown would not otherwise require a Statement by a new statement must be prepared,
on the PRC End-User Statement. Ultimate Consignee and Purchaser under the signed and forwarded to the applicant.
(2) Alterations. After a PRC End-User requirements of paragraph (a) of this section. (c) Content of the document. See
Statement is issued by the Government (b) Obtaining the document. (1) The Supplement No. 3 to this part for the
of the People’s Republic of China, no ultimate consignee and purchaser must information necessary to complete a
corrections, additions, or alterations complete either a statement on company statement on company letterhead or on
may be made on the certificate by any letterhead, or Form BIS–711, Statement Form BIS–711.
person. Any necessary corrections, by Ultimate Consignee and Purchaser, (d) Procedures for using document
additions, or alterations should be noted as described in paragraph (c) of this with license application.—(1) Validity
by the applicant in a separate statement section. Unless otherwise specified, any period. (i) If a Statement by Ultimate
on file with the applicant. reference in this section to ‘‘Statement
(3) Validity period. A PRC End-User Consignee and Purchaser is obtained
by Ultimate Consignee and Purchaser’’
Statement is valid until the quantities of prior to submission of the license
applies to both the statement on
items identified on the Statement have application and the Statement is
company letterhead and to Form BIS–
been shipped. required to support one or more license
711.
(2) If the consignee and purchaser applications, an applicant must submit
■ 7. Section 748.11 is revised to read as
elect to complete the statement on the first license application within one
follows:
letterhead and both the ultimate year from the date the statement was
§ 748.11 Statement by Ultimate Consignee consignee and purchaser are the same signed.
and Purchaser. entity, only one statement is necessary. (ii) All subsequent license
(a) Requirement to obtain document. (3) If the ultimate consignee and applications supported by the same
(1) General requirement for all countries purchaser are separate entities, separate Statement by Ultimate Consignee and
excluding the People’s Republic of statements must be prepared and Purchaser must be submitted within
tkelley on DSK3SPTVN1PROD with RULES
China (PRC). Unless an exception in signed. four years of signature by the consignee
§ 748.9(c) or paragraph (a)(3) of this (4) If the ultimate consignee and or purchaser, whichever was last.
section applies, a Statement by Ultimate purchaser elect to complete Form BIS–
(2) [Reserved]
Consignee and Purchaser is required if 711, only one Form BIS–711 (containing
the license application includes ‘‘600 the signatures of the ultimate consignee ■ 8. Section 748.12 is revised to read as
Series Major Defense Equipment’’ (600 and purchaser) need be completed. follows:
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![13220 Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations
§ 748.12 Firearms Convention (FC) Import through (c)(8) of this section on length, number of shots, manufacturer’s
Certificate. company letterhead. name and country of manufacture. The
(a) Requirement to obtain document. (c) Content of the document. The FC technical description is not the Export
Unless an exception in § 748.9(c) Import Certificate or its official Control Classification Number (ECCN).
applies, an FC Import Certificate is equivalent must contain the following (d) Procedures for using document
required for license applications for information: with license application.—(1)
firearms and related commodities, (1) Applicant’s name and address. Information necessary for license
regardless of value, that are destined for The applicant may be either the application. The license application
member countries of the Organization of exporter, supplier, or order party. must include the same commodities as
American States (OAS). This (2) FC Import Certificate Identifier/ those listed on the FC Import Certificate
requirement is consistent with the OAS Number. or the equivalent official document.
Model Regulations described in § 742.17 (3) Name of the country issuing the (2) Alterations. After an FC Import
of the EAR. certificate or unique country code. Certificate or equivalent official
(1) Items subject to requirement. (4) Date the FC Import Certificate was document is used to support the
Firearms and related commodities are issued, in international date format (e.g., issuance of a license, no corrections,
those commodities controlled for ‘‘FC 24/12/12 for 24 December 2012, or 3/1/ additions, or alterations may be made
Column 1’’ reasons under ECCNs 99 for 3 January 1999). on the FC Import Certificate by any
0A984, 0A986, or 0A987. (5) Name of the agency issuing the person. Any necessary corrections,
(2) Countries subject to requirement. certificate, address, telephone and additions, or alterations should be noted
(i) OAS member countries include: facsimile numbers, signing officer name, by the applicant in a separate statement
Antigua and Barbuda, Argentina, and signature. on file with the applicant.
Bahamas, Barbados, Belize, Bolivia, (6) Name of the importer, address, (3) Validity period. FC Import
Brazil, Canada, Chile, Colombia, Costa telephone and facsimile numbers, Certificates or equivalent official
Rica, Dominica, Dominican Republic, country of residence, representative’s documents issued by an OAS member
Ecuador, El Salvador, Grenada, name if commercial or government country will be valid until the
Guatemala, Guyana, Haiti, Honduras, body, citizenship, and signature. expiration date on the Certificate or for
Jamaica, Mexico, Nicaragua, Panama, (7) Name of the end user(s), if known a period of four years, whichever is
Paraguay, Peru, Saint Kitts and Nevis, and different from the importer, shorter.
Saint Lucia, Saint Vincent and the address, telephone and facsimile ■ 9. Section 748.13 is revised to read as
Grenadines, Suriname, Trinidad and numbers, country of residence, follows:
Tobago, Uruguay, and Venezuela. representative’s name if commercial
(ii) [Reserved] (authorized distributor or reseller) or § 748.13 Granting of exceptions to the
(3) Equivalent official document in support documentation requirements.
government body, citizenship, and
place of FC Import Certificate. For those signature. Note that BIS does not require (a) Overview. A request for an
OAS member countries that have not yet the identification of each end user when exception to obtaining the required
established or implemented an FC the firearms and related commodities support documentation will be
Import Certificate procedure, BIS will will be resold by a distributor or reseller considered by BIS; however, an
accept an equivalent official document if unknown at the time of export. exception will not be granted contrary
(e.g., import license or letter of (8) Description of the commodities to the objectives of the U.S. export
authorization) issued by the government approved for import including a control program. A request for exception
of the importing country as supporting technical description and total quantity may involve either a single transaction
documentation for the export of of firearms, parts and components, or, where the reason necessitating the
firearms. ammunition and parts. request is continuing in nature, multiple
(b) Obtaining the document. (1) transactions. If satisfied by the evidence
Applicants must request that the Note to paragraph (c)(8): You must furnish presented, BIS may waive the support
importer (e.g., ultimate consignee or the consignee with a detailed technical
description of each commodity to be given to
document requirement and accept the
purchaser) obtain the FC Import the government for its use in issuing the FC license application for processing.
Certificate or an equivalent official Import Certificate. For example, for shotguns, (b) Procedure for requesting an
document from the government of the provide the type, barrel length, overall exception. The request for an exception
importing country, and that it be issued length, number of shots, the manufacturer’s must be submitted with the license
covering the quantities and types of name, the country of manufacture, and the application to which the request relates,
firearms and related items that the serial number for each shotgun. For and the reason(s) for requesting the
applicant intends to export. (See ammunition, provide the caliber, velocity exception must be described in Block 24
Supplement No. 6 to this part for a list and force, type of bullet, manufacturer’s or referred to in Block 24. Where the
of the OAS member countries’ name and country of manufacture. request relates to more than one license
authorities administering the FC Import (9) Expiration date of the FC Import application, it should be submitted with
Certificate System.) Upon receipt of the Certificate in international date format the first license application and referred
FC Import Certificate, its official (e.g., 24/12/12) or the date the items to in Block 24 on any subsequent
equivalent, or a copy, the importer must must be imported, whichever is earlier. license application.
provide the original or a certified copy (10) Name of the country of export (c) Action by BIS.—(1) Single
of the FC Import Certificate or the (i.e., United States). transaction request. Where a single
original or a certified copy of the (11) Additional information. Certain transaction is involved, BIS will act on
equivalent official document to the countries may require the tariff the request for exception at the same
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license applicant. classification number, by class, under time as the license application with
(2) If the government of the importing the Brussels Convention (Harmonized which the request is submitted. In those
country will not issue an FC Import Tariff Code) or the specific technical instances where the related license
Certificate or its official equivalent, the description of a commodity. For application is approved, the issuance of
applicant must supply the information example, shotguns may need to be the license will serve as an automatic
described in paragraphs (c)(1) and (c)(6) described in barrel length, overall notice to the applicant that the
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![Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations 13221
exception was approved. If any applicant] will be used by us as capital construed as an authorization by BIS to
restrictions are placed on granting of the equipment in the form in which received in reexport or transfer (in country) the items in
exception, these will appear on the a manufacturing process in [name of country] the form in which received even though we
and will not be reexported or incorporated may have indicated the intention to reexport
approval. If the request for exception is into an end product.
not approved, BIS will advise the or transfer (in country), and that
(ii) The items for which a license authorization to reexport (or transfer in
applicant. application will be filed by [name of country) is not granted in an export license
(2) Multiple transactions request. applicant] will be processed or incorporated on the basis of information provided in the
Where multiple transactions are by us into the following product(s) [list statement, but as a result of a specific request
involved, BIS will advise the applicant products] to be manufactured in [name of
in a license application.
of the action taken on the exception country] for distribution in [list name of
country or countries]. (b) Form BIS–711. Form BIS–711 is
request. The response from BIS will available at http://www.bis.doc.gov/
contain any conditions or restrictions (iii) The items for which a license
application will be filed by [name of index.php/component/rsform/form/21-
that BIS finds necessary to impose applicant] will be resold by us in the form request-bis-forms?task=forms.edit.
(including an exception termination in which received for use or consumption in Instructions on completing Form BIS–711 are
date if appropriate). In addition, a [name of country]. described below. The ultimate consignee and
written acceptance of these conditions (iv) The items for which a license purchaser may sign a legible copy of Form
or restrictions may be required from the application will be filed by [name of BIS–711. It is not necessary to require the
parties to the transaction. applicant] will be reexported by us in the ultimate consignee and purchaser to sign an
form in which received to [name of country original Form BIS–711, provided all
§ 748.14 [Removed and reserved] or countries]. information contained on the copy is legible.
■ 10. Section 748.14 is removed and (v) The items received from [name of All information must be typed or legibly
applicant] will be [describe use of the items printed in each appropriate Block or Box.
reserved. fully]. (1) Block 1: Ultimate Consignee. The
■ 11. Supplement No. 3 to part 748 is (3) Paragraph 3. The following two Ultimate Consignee must be the person
revised to read as follows: certifications must be included: abroad who is actually to receive the material
(i) The nature of our business is [possible for the disposition stated in Block 2. A bank,
SUPPLEMENT NO. 3 TO PART 748— choices include: broker, distributor,
STATEMENT BY ULTIMATE freight forwarder, forwarding agent, or other
fabricator, manufacturer, wholesaler, retailer,
CONSIGNEE AND PURCHASER intermediary is not acceptable as the
value added reseller, original equipment
CONTENT REQUIREMENTS Ultimate Consignee.
manufacturer, etc.].
(ii) Our business relationship with [name (2) Block 2: Disposition or Use of Items by
If a statement on company letterhead will Ultimate Consignee named in Block 1. Place
be used to meet the requirement to obtain a of applicant] is [possible choices include;
contractual, franchise, distributor, an (X) in ‘‘A.,’’ ‘‘B.,’’ ‘‘C.,’’ ‘‘D.,’’ and ‘‘E.,’’ as
Statement by Ultimate Consignee and appropriate, and fill in the required
Purchaser, as described in § 748.11(a), follow wholesaler, continuing and regular
individual business, etc.] and we have had information.
the requirements described in paragraph (a) (3) Block 3: Nature of Business of Ultimate
of this appendix. If Form BIS–711 will be this business relationship for [number of
years]. Consignee named in Block 1. Complete both
used to meet the requirement, follow the
(4) Paragraph 4. The final paragraph must ‘‘A’’ and ‘‘B’’. Possible choices for ‘‘A’’
requirements described in paragraph (b) of
this appendix. include all of the following certifications: include: broker, distributor, fabricator,
(a) Statement on company letterhead. (i) We certify that all of the facts contained manufacturer, wholesaler, retailer, value
Information in response to each of the in this statement are true and correct to the added reseller, original equipment
following criteria must be included in the best of our knowledge and we do not know manufacturer, etc. Possible choices for ‘‘B’’
statement. If any information is unknown, of any additional facts that are inconsistent include: contractual, franchise, distributor,
that fact should be disclosed in the with the above statements. We shall wholesaler, continuing and regular
statement. Preprinted information supplied promptly send a replacement statement to individual business, etc.
on the statement, including the name, [name of the applicant] disclosing any (4) Block 4: Additional Information.
address, or nature of business of the ultimate material change of facts or intentions Provide any other information not appearing
consignee or purchaser appearing on the described in this statement that occur after elsewhere on the form such as other parties
letterhead or order form is acceptable but this statement has been prepared and to the transaction, and any other material
will not constitute evidence of either the forwarded to [name of applicant]. We facts that may be of value in considering
signer’s identity, the country of ultimate acknowledge that the making of any false license applications supported by this
destination, or end use of the items described statement or concealment of any material fact statement.
in the license application. in connection with this statement may result (5) Block 5: Assistance in Preparing
(1) Paragraph 1. One of the following in imprisonment or fine, or both, and denial, Statement. Name all persons, other than
certifications must be included depending on in whole or in part, of participation in U.S. employees of the ultimate consignee or
whether the statement is proffered in support exports or reexports. purchaser, who assisted in the preparation of
of a single license application or multiple (ii) Except as specifically authorized by the
this form.
license applications: U.S. Export Administration Regulations, or
(6) Block 6: Ultimate Consignee. Enter the
(i) Single. This statement is to be by written approval from the Bureau of
requested information and sign the statement
considered part of a license application Industry and Security, we will not reexport,
resell, or otherwise dispose of any items in ink. (For a definition of ultimate
submitted by [name and address of
applicant]. approved on a license supported by this consignee, see § 748.5(e) of this part.)
(ii) Multiple. This statement is to be statement: (7) Block 7: Purchaser. This form must be
considered a part of every license application (A) To any country not approved for export signed in ink by the Purchaser, if the
submitted by [name and address of applicant] as brought to our attention by the exporter; Purchaser is not the same as the Ultimate
until four years from the date this statement or Consignee identified in Block 1. (For a
is signed. (B) To any person if there is reason to definition of purchaser, see § 748.5(c) of this
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(2) Paragraph 2. One or more of the believe that it will result directly or part.)
following certifications must be included. indirectly in disposition of the items contrary (8) Block 8: Certification for Exporter. This
Note that if any of the facts related to the to the representations made in this statement Block must be completed to certify that no
following statements are unknown, this must or contrary to the U.S. Export Administration correction, addition, or alteration on this
be clearly stated. Regulations. form was made subsequent to the signing by
(i) The items for which a license (iii) We understand that acceptance of this the Ultimate Consignee in Block 6 and
application will be filed by [name of statement as a support document cannot be Purchaser in Block 7.
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![13222 Federal Register / Vol. 80, No. 49 / Friday, March 13, 2015 / Rules and Regulations
Supplement No. 4 to part 748 [Removed DEPARTMENT OF ENERGY eLibrary. The full text of this document
and reserved] is available on eLibrary in PDF and
Federal Energy Regulatory Microsoft Word format for viewing,
■ 12. Supplement No. 4 to part 748 is Commission printing, and/or downloading. To access
removed and reserved. this document in eLibrary, type the
18 CFR Part 381 docket number excluding the last three
PART 762—[AMENDED] [Docket No. RM15–6–000] digits of this document in the docket
number field and follow other
■ 13. The authority citation for part 762 Annual Update of Filing Fees directions on the search page.
continues to read as follows:
AGENCY: Federal Energy Regulatory User assistance is available for
Authority: 50 U.S.C. app. 2401 et seq.; 50 Commission, DOE. eLibrary and other aspects of FERC’s
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, ACTION: Final rule; annual update of Web site during normal business hours.
3 CFR, 2001 Comp., p. 783; Notice of August Commission filing fees. For assistance, contact FERC Online
7, 2014, 79 FR 46959 (August 11, 2014). Support at FERCOnlineSupport@
SUMMARY: In accordance with ferc.gov or toll free at (866) 208–3676, or
■ 14. Section 762.2 is amended by: Commission regulations, the for TTY, contact (202) 502–8659.
■ a. Revising paragraphs (b)(22) and Commission issues this update of its
(b)(24); and filing fees. This notice provides the Annual Update of Filing Fees
yearly update using data in the
■ b. Removing and reserving paragraph (Issued March 4, 2015)
Commission’s Financial System to
(b)(25), to read as follows:
calculate the new fees. The purpose of The Federal Energy Regulatory
§ 762.2 Records to be retained. updating is to adjust the fees on the Commission (Commission) is issuing
basis of the Commission’s costs for this notice to update filing fees that the
* * * * *
Fiscal Year 2014. Commission assesses for specific
(b) * * * DATES: Effective Date: April 13, 2015. services and benefits provided to
(22) § 748.10, PRC End-User FOR FURTHER INFORMATION CONTACT: identifiable beneficiaries. Pursuant to 18
Statement; Raymond D. Johnson Jr., Office of the CFR 381.104, the Commission is
* * * * * Executive Director, Federal Energy establishing updated fees on the basis of
Regulatory Commission, 888 First Street the Commission’s Fiscal Year 2014
(24) § 748.12, Firearms Convention NE., Room 42–66, Washington, DC
(FC) Import Certificate; costs. The adjusted fees announced in
20426, 202–502–8402. this notice are effective April 13, 2015.
(25) [Reserved] SUPPLEMENTARY INFORMATION: Document The Commission has determined, with
* * * * * Availability: In addition to publishing the concurrence of the Administrator of
the full text of this document in the the Office of Information and Regulatory
Dated: March 5, 2015.
Federal Register, the Commission Affairs of the Office of Management and
Kevin J. Wolf, provides all interested persons an Budget, that this final rule is not a major
Assistant Secretary of Commerce for Export opportunity to view and/or print the rule within the meaning of section 251
Administration. contents of this document via the
of Subtitle E of Small Business
[FR Doc. 2015–05784 Filed 3–12–15; 8:45 am] Internet through FERC’s Home Page
Regulatory Enforcement Fairness Act, 5
BILLING CODE 3510–33– P (http://www.ferc.gov) and in FERC’s
U.S.C. 804(2). The Commission is
Public Reference Room during normal
submitting this final rule to both houses
business hours (8:30 a.m. to 5:00 p.m.
of the United States Congress and to the
Eastern time) at 888 First Street NE.,
Room 2A, Washington DC 20426. Comptroller General of the United
From FERC’s Web site on the Internet, States.
this information is available in the The new fee schedule is as follows:
FEES APPLICABLE TO THE NATURAL GAS POLICY ACT
1. Petitions for rate approval pursuant to 18 CFR 284.123(b)(2). (18 CFR 381.403) ...................................................................... $12,310
FEES APPLICABLE TO GENERAL ACTIVITIES
1. Petition for issuance of a declaratory order (except under Part I of the Federal Power Act). (18 CFR 381.302(a)) ................ $24,730
2. Review of a Department of Energy remedial order:.
Amount in controversy
$0–9,999. (18 CFR 381.303(b)) ............................................................................................................................................ $100
$10,000–29,999. (18 CFR 381.303(b)) ................................................................................................................................. $600
$ 30,000 or more. (18 CFR 381.303(a)) ............................................................................................................................... $36,100
3. Review of a Department of Energy denial of adjustment:.
Amount in controversy
$0–9,999. (18 CFR 381.304(b)) ............................................................................................................................................ $100
$10,000–29,999. (18 CFR 381.304(b)) ................................................................................................................................. $600
$30,000 or more. (18 CFR 381.304(a)) ................................................................................................................................ $18,920
4. Written legal interpretations by the Office of General Counsel. (18 CFR 381.305(a)) ............................................................... $7,090
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FEES APPLICABLE TO NATURAL GAS PIPELINES
1. Pipeline certificate applications pursuant to 18 CFR 284.224. (18 CFR 381.207(b)) ................................................................. * $1,000
FEES APPLICABLE TO COGENERATORS AND SMALL POWER PRODUCERS
1. Certification of qualifying status as a small power production facility. (18 CFR 381.505(a)) .................................................. $21,260
2. Certification of qualifying status as a cogeneration facility. (18 CFR 381.505(a)) ..................................................................... $24,070
* This fee has not been changed.
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Document Created: 2015-12-18 11:42:33
Document Modified: 2015-12-18 11:42:33
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Dates | This rule is effective March 13, 2015. | |
| Contact | Patricia Muldonian, Office of National Security and Technology Transfer Controls, 202-482-4479, [email protected], or Steven Emme, Office of the Assistant Secretary for Export Administration, 202-482-5491, [email protected] | |
| FR Citation | 80 FR 13210 | |
| RIN Number | 0694-AG00 | |
| CFR Citation | 15
CFR
742 15 CFR 748 15 CFR 762 | |
| CFR Associated | Exports; Terrorism; Administrative Practice and Procedure; Reporting and Recordkeeping Requirements; Business and Industry and Confidential Business Information |
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