Supplement No. 1 to Part 736 - General Orders
15:2.1.3.4.24.0.1.3.29 :
Supplement No. 1 to Part 736 - General Orders
(a) General Order No. 1:
General Order No. 1 of September 16, 1998; Establishing a
24-month validity period on reexport authorizations issued without
a validity period and revoking those exceeding that period.
(1) Reexport authorizations issued within 24-months of the
General Order. All reexport authorizations issued with no validity
period within the 24-months preceding September 16, 1998 shall be
deemed to have an expiration date which shall be the date 24-months
from the date of issuance of the reexport authorization or November
16, 1998, whichever is longer.
(2) Reexport authorizations issued before the 24-month period
preceding the General Order. For reexport authorizations issued
with no validity period before the 24-month period preceding
September 16, 1998:
(i) Effective September 16, 1998, all such outstanding reexport
authorizations for terrorist-supporting countries (see parts 742
and 746 of the EAR) are revoked.
(ii) Effective November 16, 1998, all other such outstanding
reexport authorizations are revoked.
(3) Extensions. If necessary, you may request extensions of such
authorizations according to procedures set forth in § 750.7(g) of
the EAR.
(4) Specific Notice from BIS. If you have received, or should
you receive, specific notice from BIS with regard to a reexport
authorization covered by this General Order, informing you of a
revocation, suspension, or revision (including validity period) of
any such reexport authorization, then the terms of that specific
notice will be controlling.
(5) Definition of “authorization”. The term “authorization” as
used in this General Order encompasses the range of reexport
authorizations granted by BIS, which includes licenses, individual
letters, and other types of notifications.
(b) General Order No. 2:
General Order No. 2; section 5(b) of the Syria Accountability
and Lebanese Sovereignty Restoration Act of 2003 (SAA) gives the
President authority to waive the application of certain
prohibitions set forth in the SAA if the President determines that
it is in the national security interest of the United States to do
so. The President made such a determination in Executive Order
13338, finding that it was “in the national security interest of
the United States to waive application of subsection 5(a)(1) and
5(a)(2)(A) of the SAA so as to permit the exportation or
reexportation of certain items as specified in the Department of
Commerce's General Order No. 2.” The President's reference to
General Order No. 2 addresses applications to export and reexport
the following items, which are considered on a case-by-case basis
as opposed to the general policy of denial set forth in section
746.9 of the Regulations: Items in support of activities,
diplomatic or otherwise, of the United States Government (to the
extent that regulation of such exportation or reexportation would
not fall within the President's constitutional authority to conduct
the nation's foreign affairs); medicine (on the CCL) and medical
devices (both as defined in part 772 of the EAR); parts and
components intended to ensure the safety of civil aviation and the
safe operation of commercial passenger aircraft; aircraft chartered
by the Syrian Government for the transport of Syrian Government
officials on official Syrian Government business;
telecommunications equipment and associated computers, software and
technology; items in support of United Nations operations in Syria;
and items necessary for the support of the Syrian people,
including, but not limited to, items related to water supply and
sanitation, agricultural production and food processing, power
generation, oil and gas production, construction and engineering,
transportation, and educational infrastructure. The total dollar
value of each approved license for aircraft parts for flight safety
normally will be limited to no more than $2 million over the
24-month standard license term, except in the case of complete
overhauls.
Note to General Order No. 2:
The controls for exports and reexports to Syria are set forth in
§ 746.9 of the EAR.
(c) General Order No. 3:
General Order No. 3 of July 22, 2015. Certain licenses issued by
BIS prior to July 22, 2015 contain conditions that restrict the
export, reexport, or transfer (in-country) to or within Country
Group E:1 as specified in supplement no. 1 to part 740 of the EAR.
At the time those license were issued, Cuba was in Country Group
E:1. Many of those restrictions were intended to apply to Cuba, not
only as a State Sponsor of Terrorism but also as a country subject
to unilateral embargo. However, BIS did not always list both
Country Groups E:1 and E:2 in license conditions because, at the
time, doing so would have been redundant. However, with the
rescission of Cuba's designation as a State Sponsor of Terrorism
and resultant removal from Country Group E:1, continuing those
conditions with respect to Cuba is consistent with the embargo.
Accordingly, all conditions that apply to Country Group E:1 on
licenses issued prior to July 22, 2015 that are in effect on that
date, are revised to apply to Country Groups E:1 and E:2 as
specified in supplement no. 1 to part 740 of the EAR. Licensees who
seek authorization for transactions that are affected by this
General Order No. 3 may submit license applications that refer to
General Order No. 3 and explain the reason for the request in Block
24 of the application. All license applications involving Cuba are
reviewed pursuant to the licensing policy in § 746.2(b) of the EAR.
The request should provide any available information in support of
the argument that the transaction would be consistent with the
licensing policy in § 746.2(b) of the EAR.
(d) General Order No. 4 [Reserved]
(e) General Order No. 5:
General Order No. 5 of April 16, 2013; Authorization for Items
the President Determines No Longer Warrant Control under the United
States Munitions List (USML).
(1) Continued use of DDTC approvals from the Department of
State's Directorate of Defense Trade Controls (DDTC) for items that
become subject to the EAR. Items the President has determined
no longer warrant control under the USML will become subject to the
EAR as published final rules that transfer the items to the CCL
become effective. DDTC licenses, agreements, or other approvals
that contain items transitioning from the USML to the CCL and that
are issued prior to the effective date of the final rule
transferring such items to the CCL may continue to be used in
accordance with the Department of State's final rule, Amendments
to the International Traffic in Arms Regulations: Initial
Implementation of Export Control Reform, published on April 16,
2013 in the Federal Register.
(2) BIS authorization.
(i) Where continued use of DDTC authorization is not or is no
longer an available option, or a holder of an existing DDTC
authorization returns or terminates that authorization, any
required authorization to export, reexport, or transfer
(in-country) a transitioned item on or after the effective date of
the applicable final rule must be obtained under the EAR. Following
the publication date and prior to the effective date of a final
rule moving an item from the USML to the CCL, applicants may submit
license applications to BIS for authorization to export, reexport,
or transfer (in-country) the transitioning item. BIS will process
the license applications in accordance with § 750.4 of the EAR,
hold the license application without action (HWA) if necessary, and
issue a license, if approved, to the applicant no sooner than the
effective date of the final rule transitioning the items to the
CCL.
(ii) Following the effective date of a final rule moving items
from the USML to the CCL, exporters, reexporters, and transferors
of such items may return DDTC licenses in accordance with § 123.22
of the ITAR or terminate Technical Assistance Agreements,
Manufacturing License Agreements, or Warehouse and Distribution
Agreements in accordance with § 124.6 of the ITAR and thereafter
export, reexport, or transfer (in-country) such items under
applicable provisions of the EAR, including any applicable license
requirements. No transfer (in-country) may be made of an item
exported under a DDTC authorization containing provisos or other
limitations without a license issued by BIS unless (i) the transfer
(in-country) is authorized by an EAR license exception and the
terms and conditions of the License Exception have been satisfied,
or (ii) no license would otherwise be required under the EAR to
export or reexport the item to the new end user.
(3) Prior commodity jurisdiction determinations. If the
U.S. State Department has previously determined that an item is not
subject to the jurisdiction of the ITAR and the item was not listed
in a then existing “018” series ECCN (for purposes of the “600
series” ECCNs, or the 0x5zz ECCNs) or in a then existing ECCN
9A004.b or related software or technology ECCN (for purposes of the
9x515 ECCNs), then the item is per se not within the scope of a
“600 series” ECCN, a 0x5zz ECCN, or a 9x515 ECCN. If the item was
not listed elsewhere on the CCL at the time of such determination
(i.e., the item was designated EAR99), the item shall remain
designated as EAR99 unless specifically enumerated by BIS or DDTC
in an amendment to the CCL or to the USML, respectively.
(4) Voluntary Self-Disclosure. Parties to transactions
involving transitioning items are cautioned to monitor closely
their compliance with the EAR and the ITAR. Should a possible or
actual violation of the EAR, or of any license or authorization
issued thereunder, be discovered, the person or persons involved
are strongly encouraged to submit a Voluntary Self-Disclosure to
the Office of Export Enforcement, in accordance with § 764.5 of the
EAR. Permission from the Office of Exporter Services, in accordance
with § 764.5(f) of the EAR, to engage in further activities in
connection with that item may also be necessary. Should a possible
or actual violation of the ITAR, or of any license or authorization
issued thereunder, be discovered, the person or persons involved
are strongly encouraged to submit a Voluntary Disclosure to DDTC,
in accordance with § 127.12 of the ITAR. For possible or actual
violations of both the EAR and ITAR, the person or persons involved
are strongly encouraged to submit disclosures to both BIS and DDTC,
indicating to each agency that they also have made a disclosure to
the other agency.
[78 FR 13468, Feb. 28, 2013, as amended at 78 FR 22707, Apr. 16,
2013; 78 FR 43973, July 23, 2013; 78 FR 61745, Oct. 3, 2013; 79 FR
32623, June 5, 2014; 79 FR 77865, Dec. 29, 2014; 80 FR 2289, Jan.
16, 2015; 80 FR 43318, July 22, 2015; 85 FR 4173, Jan. 23, 2020]
Supplement No. 2 to Part 736 - Administrative Orders
15:2.1.3.4.24.0.1.3.30 :
Supplement No. 2 to Part 736 - Administrative Orders
Administrative Order One: Disclosure of License Issuance and
Other Information. Consistent with section 12(c) of the Export
Administrati on Act of 1979, as amended, information obtained by
the U.S. Department of Commerce for the purpose of consideration of
or concerning license applications, as well as related information,
will not be publicly disclosed without the approval of the
Secretary of Commerce. Electronic Export Information (EEI) filings
via the Automated Export System (AES) are also exempt from public
disclosure, except with the approval of the Secretary of Commerce,
in accordance with § 301(g) of Title 13, United States Code.
Administrative Order Two: Conduct of Business and Practice in
Connection with Export Control Matters.
(a) Exclusion of persons guilty of unethical conduct or not
possessing required integrity and ethical standards.
(1) Who may be excluded. Any person, whether acting on
his own behalf or on behalf of another, who shall be found guilty
of engaging in any unethical activity or who shall be demonstrated
not to possess the required integrity and ethical standards, may be
excluded from (denied) export privileges on his own behalf, or may
be excluded from practice before BIS on behalf of another, in
connection with any export control matter, or both, as provided in
part 764 of the EAR.
(2) Grounds for exclusion. Among the grounds for
exclusion are the following:
(i) Inducing or attempting to induce by gifts, promises, bribes,
or otherwise, any officer or employee of BIS or any customs or post
office official, to take any action with respect to the issuance of
licenses or any other aspects of the administration of the Export
Administration Act, whether or not in violation of any
regulation;
(ii) Offering or making gifts or promises thereof to any such
officer or employee for any other reason;
(iii) Soliciting by advertisement or otherwise the handling of
business before BIS on the representation, express or implied, that
such person, through personal acquaintance or otherwise, possesses
special influence over any officer or employee of BIS;
(iv) Charging, or proposing to charge, for any service performed
in connection with the issuance of any license, any fee wholly
contingent upon the granting of such license and the amount or
value thereof. This provision will not be construed to prohibit the
charge of any fee agreed to by the parties; provided that the
out-of-pocket expenditures and the reasonable value of the services
performed, whether or not the license is issued and regardless of
the amount thereof, are fairly compensated; and
(v) Knowingly violating or participating in the violation of, or
an attempt to violate, any regulation with respect to the export of
commodities or technical data, including the making of or inducing
another to make any false representations to facilitate any export
in violation of the Export Administration Act or any order or
regulation issued thereunder.
(3) Definition. As used in this Administrative Order, the
terms “practice before BIS” and “appear before BIS” include:
(i) The submission on behalf of another of applications for
export licenses or other documents required to be filed with BIS,
or the execution of the same;
(ii) Conferences or other communications on behalf of another
with officers or employees of BIS for the purpose of soliciting or
expediting approval by BIS of applications for export licenses or
other documents, or with respect to quotas, allocations,
requirements or other export control actions, pertaining to matters
within the jurisdiction of BIS;
(iii) Participating on behalf of another in any proceeding
pending before BIS;
(iv) Submission on behalf of another of a license or other
export control document to U.S. Customs and Border Protection
(CBP); and
(v) Reporting on behalf of another Electronic Export Information
via the Automated Export System (AES) to CBP.
(4) Proceedings. All proceedings under this
Administrative Order shall be conducted in the same manner as
provided in part 766 of the EAR.
(b) Employees and former employees. Persons who are or at
any time have been employed on a full-time or part-time,
compensated or uncompensated, basis by the U.S. Government are
subject to the provisions of 18 U.S.C. 203, 205, and 207 (Pub. L.
87-849, 87th Congress) in connection with representing a private
party or interest before the U.S. Department of Commerce in
connection with any export control matter.
[61 FR 12754, Mar. 25, 1996, as amended at 70 FR 54628, Sept. 16,
2005; 70 FR 62238, Oct. 31, 2005; 79 FR 4615, Jan. 29, 2014; 79 FR
32623, June 5, 2014]