unless prior authorization is obtained from the Office of Export Control, the importer will not knowingly:

(a) Reexport, directly or indirectly, to Country Group W, Y, or Z, any technical data relating to commodities identified by the symbol "W" in the column of the Commodity Control List indicating the country groups for which a validated license is required;

6

(b) Export, directly or indirectly, to Country Group Z, any direct product of the technical data if such direct product is identified by the symbol "W” in the column of the Commodity Control List indicating the country groups for which a validated license is required; or

(c) Export, directly or indirectly, to any destination in Country Group W or Y any direct product of the technical data if such direct product is identified by the symbol "A" in the last column of the Commodity Control List.

(ii) If the direct product of any technical data is a complete plant or any major component of a plant which is capable of producing a commodity identified by the symbol "W" in the column of the Commodity Control List indicating the country groups for which a validated license is required, or appears in the U.S. Munitions List, a written assurance by the person who is or will be in control of the distribution of the products of the plant (whether or not such person is the importer) shall be obtained by the U.S. exporter (via the foreign importer), stating that, unless prior authorization is obtained from the Office of Export Control, such person will not knowingly:

(a) Reexport, directly or indirectly, to Country Group W, Y, or Z, the technical data relating to the plant or the major component of a plant;

(b) Export, directly or indirectly, to Country Group Z, the plant or the major component of a plant (depending upon which is the direct product of the technical data) or any product of such plant or of such major component if such product of the plant is identified by the symbol "W" in the column of the Commodity Control List indicating the country groups for which a validated license is required, or appears in the U.S. Munitions List; or

The term "direct product" used in this sentence and in this context only is defined to mean the immediate product (including processes and services) produced directly by use of the technical data.

(c) Export, directly or indirectly, to Country Group W or Y, the plant or the major component of a plant (depending upon which is the direct product of the technical data) or any product of such plant or of such major component, if such product is identified by the symbol "A" in the last column of the Commodity Control List, or appears in the U.S. Munitions List.

NOTE: Pursuant to the provisions of Current Export Bulletin 891, effective April 1, 1964, §§ 385.2 (c) (5) (ii) (b) and (c) required certain written assurances relating to the disposition of the products of a complete plant or major component of a plant which is the direct product of unpublished technical data of U.S. origin exported under General License GTDU.

Except as to items which are identified in the last column of the Commodity Control List by the symbol "A," and items on the U.S. Munitions List, the effective date of the written assurance requirements for plant products as a condition of using General License GTDU for export of this type of technical data is hereby deferred until further notice, subject to the following limitations:

1. The exporter shall, at least 2 weeks before the initial export of the technical data, notify the Office of Export Control, by letter, of the facts required to be disclosed in an application for a validated export license covering such technical data; and

2. The exporter shall obtain from the person who is or will be in control of the distribution of the products of the plant (whether or not such person is the importer) a written commitment that he will notify the U.S. Government, directly or through the exporter, whenever he enters into negotiations to export any product of the plant to any destination covered by § 385.2 (c) (5) (ii) (b) above, when such product is not identified by the symbol "A" in the last column of the Commodity Control List and requires a validated license for export to Country Group W by the information set forth in the column titled "Validated License Required for Country Groups Shown Below." The notification should state the product, quantity, country of destination, and the estimated date of shipment.

Moreover, during the period of deferment, the remaining written assurance requirement of §§ 385.2 (c) (5) (ii) (b) and (c) as to plant products which are identified by the symbol "A" in the last column of the Commodity Control List, or are on the U.S. Munitions List, will be waived if the plant is located in one of the following Cocom countries: Belgium, Canada, Denmark, The Federal Republic of Germany, France, Greece, Italy, Japan, Luxembourg, The Netherlands, Norway, Portugal, Turkey, and the United Kingdom.

This deferment applies to exports of technical data pursuant to any type of contract

or arrangement, including licensing agreements, regardless of whether entered into before or after April 1, 1964.

(iii) The required assurance may be in the form of a letter or other written communication from the importer or, if applicable, the person in control of the distribution of the products of a plant; or the assurance may be incorporated into a licensing agreement which restricts disclosure of the technical data to use only in authorized destinations, and prohibits shipment of the direct product" thereof by the licensee to any unauthorized destination. An assurance included in a licensing agreement will be acceptable for all exports made during the life of the agreement. If such assurance is not received this general license is not applicable and a validated export license is required. An application for such validated license shall include an explanatory statement setting forth the reasons why such assurance can not be obtained.

(iv) In addition, this general license is not applicable to any export of technical data of the kind described in this subparagraph (5) if, at the time of export of the technical data from the United States, the exporter knows or has reason to believe that the direct product to be manufactured abroad by use of the technical data is intended to be exported directly or indirectly to any unauthorized destination.

6

(v) The limitations set forth in this subparagraph (5) do not apply to the export of:

(a) Technical data included in an application for the foreign filing of a patent provided such foreign filing of a patent application is in accordance with the regulations of the U.S. Patent Office; and

(b) Technical data supporting a price quotation as described in subparagraph (2) (ii) of this paragraph.

NOTE: A written assurance is not required for the export under this General License GTDU of any technical data which do not fall within the description set forth in subparagraph (4) or (5) of this paragraph.

(d) General License GTDS; scientific and educational technical data. A general license designated GTDS is hereby established authorizing the export to all destinations of unclassified scientific and educational technical data involving:

(1) Dissemination of information not directly and significantly related to design, production and utilization in in

dustrial processes, including such dissemination by correspondence and attendance at, or participation in, meetings; or

(2) Instruction in academic institutions and academic laboratories. "Instruction" is interpreted not to include research under contract where the research relates directly and significantly to design, production, and utilization in industrial processes.

[11th Gen. Rev. of Export Regs., 33 F.R. 8993, June 18, 1968, as amended by Amdt. 4, 33 F.R. 10007, July 12, 1968; Amdt. 10, 33 F.R. 14370, Sept. 24, 1968; Amdt. 13, 33 F.R. 19945, Dec. 28, 1968]

§ 385.3 Security provisions for certain types of technical data.

(a) General. (1) This § 385.3 establishes a procedure whereby persons or firms may obtain, through the Office of Export Control, official U.S. Government opinions as to the desirability of exporting or releasing for use in friendly foreign countries certain types of unpublished technical data which have significance to the common security and defense of the United States.

(2) Official opinions are not necessary in order to export advertising catalogs or pamphlets; sales technical data supporting a proposal or quotation for installation of U.S. origin equipment; maintenance, repair, and operating data for existing installations of U.S. origin equipment; technical data for the assembly, erection and installation of U.S. origin equipment licensed for export.

(b) Scope. The scope of this § 385.3 is concerned with technical data in connection with:

(1) Advanced developments, technology, and production "know-how"; (2) Prototypes; and (3) Special installations.

(c) Substance. Before completing arrangements to export or release for use in any friendly foreign country any unpublished technical data included in the scope of the security provisions, an exporter should request an official opinion from the U.S. Government, through the Office of Export Control, as to the desirability of exporting or releasing the technical data. A request for official opinion from the U.S. Government shall be submitted by letter, in duplicate, to the Office of Export Control (Attention: 866), U.S. Department of Commerce, Washington, D.C. 20230. Information included in this request will be treated in

confidence so that competitive relationships will not be disturbed. The request shall set forth all the necessary facts required to present to the Office of Export Control a complete disclosure of the relationships existing between the applicant and the consignee and an adequate description of the type of technical data to be exported. The request should present a composite picture of the kind and types of technical data, the uses for which and by whom such data will be employed, identification of all parties to the transaction, and specification of the conditions or agreements relative thereto. As a minimum, the letter should include the following information:

(1) A detailed itemization of the technical data to be exported, including a detailed description of the nature of the specific technical data, processes involved, if any, and whether new installations, developments or projects are concerned.

(2) A list of names and addresses of the firms in foreign countries who will use or see the technical data.

(3) Whether the technical data will be used abroad in the production of any material or product that is to be exported from the country of ultimate destination, and if so, name of the country (ies) to which the material or product is to be exported, and if possible, the estimated quantities of each material or product.

(4) Whether the technical information is required for the national defense, public health, or safety of the country of destination. If the technical data are to be used in a project sponsored by the U.S. Government, it should be so indicated.

(5) The form in which the information will be furnished to the foreign consignee (e.g., blue prints, specifications, technical aid contracts, manufacturing agreements, patent licensing arrangements, instructional or training material, training in the United States or abroad of foreign personnel, supervision or operation abroad by U.S. personnel, or any other form of communication). § 385.4 Export under a validated license.

(a) Scope. (1) Under the provisions of this § 385.4, there is established a procedure for the export of technical data not exportable under a general license.

(2) Pursuant to this procedure, application may be made for a validated license which, if issued, authorizes the export of specified technical data to a

designated foreign consignee or consignees, within a validity period of one year.

(b) Application form and application processing card. An application for a technical data license shall be submitted on Form FC-419, Application for Export License (Rev. January 1966), accompanied by a Form FC-420, Application Processing Card, as described in paragraph (c) of this section, and the letter of explanation described in paragraph (d) of this section.

(c) Completion of application form and application processing card—(1) General instructions for completing Application Form, FC-419: Form FC-419 shall be completed as provided in § 372.5, except that the items for producer or supplier, quantity to be shipped, Export Control Commodity Number, and price, shall be left blank. The commodity description item shall contain a general statement which specifies the form (s) of the technical data (blue prints, manuals, etc.). In addition, the words "TD License" shall be entered across the top of Form FC-419 immediately above the printed words "United States of America."

(2) Special provisions for maritime nuclear propulsion plants and related commodities. These special provisions are applicable to technical data relating to maritime (civil) nuclear propulsion plants, their land prototypes, and special facilities for their construction, support, or maintenance, including any machinery, device, component, or equipment specifically developed or designed for use in such plants or facilities. Every application for license to export technical data relating to any of these commodities shall include the following:

(i) A description of the foreign project for which the technical data will be furnished.

(ii) A description of the scope of the proposed services to be offered by the applicant, his consultant(s), and his subcontractor(s), including all the design data which will be disclosed.

(iii) The names, home and business addresses, and titles of personnel of the applicant, his consultant(s), and his subcontractor(s) who will discuss or disclose the technical data or be involved in the design or development of the technical data.

(iv) The beginning and termination dates of the period of time during which the technical data will be discussed or

disclosed and a proposed time schedule of reports which the applicant will submit to the U.S. Department of Commerce detailing the technical data discussed or disclosed during the period of the license. (v) The following certification:

I (We) certify that if this application is approved, I (we) and any consultants, subcontractors, or other persons employed or retained by us in connection with the project thereby licensed will not discuss with or disclose to others, directly or indirectly, any technical data relating to U.S. naval nuclear propulsion plants. I (We) further certify that I (we) will furnish to the U.S. Department of Commerce all reports and information which it may require concerning specific transmittals or disclosures of technical data pursuant to any license granted as a result of this application.

(vi) A statement of the steps which the applicant will take to assure that personnel of the applicant, his consultant(s), and his subcontractor(s) will not discuss with or disclose to others technical data relating to U.S. naval nuclear propulsion plants.

(3) Special provisions for certain commodities. These special provisions are applicable to exports to any destination, except Canada, of the technical data relating to the commodities described in subdivisions (i) and (ii) of this subparagraph. These special provisions are applicable to exports to all destinations, including Canada, of the commodities described in subdivisions (iii) and (iv) of this subparagraph.

(i) Civil aircraft, civil aircraft equipment, parts, accessories, or components not identified by the symbol "B" in the last column of the Commodity Control List (§ 399.1 of this chapter).

(ii) The following electronic commodities not identified by the symbol "B" in the last column of the Commodity Control List (§ 399.1 of this chapter):

(a) Electrical and electronic instruments, Export Control Commodity No. 72952, specially designed for testing or calibrating the airborne direction finding, navigational and radar equipment described in Export Control Commodity No. 72499;

(b) Airborne transmitters, receivers, and transceivers, Export Control Commodity No. 72499;

(c) Airborne direction finding equipment, Export Control Commodity No. 72499; or

(d) Airborne electronic navigation apparatus and airborne radar equipment, Export Control Commodity No. 72499.

(iii) Neutron generators employing the electrostatic acceleration of ions and designed for operation without an external vacuum system, and specially designed parts and accessories for such neutron generators, Export Control Commodity No. 72970.

(iv) Porous nickel.

(v) For all license applications covering technical data relating to any of the commodities in subdivision (i), (ii), (iii), or (iv) of this subparagraph for export to any destination other than Country Group S, W, Y, or Z, an applicant shall attach to the license application a written statement of assurance from his foreign consignee that the technical data will not be reexported directly or indirectly to any country without prior authorization from the Office of Export Control. The statement shall also show that the direct product' produced by use of the technical data will not be exported directly or indirectly to Country Group W, Y, or Z without prior authorization from the Office of Export Control. However, if the U.S. exporter is not able to obtain the required statement, or the consignee is unwilling to furnish assurances with respect to all of the requirements, the exporter may attach an explanatory statement to his license application setting forth the reasons therefor.

(4) Special provisions for the export of technical data for the purposes related to nuclear weapons, nuclear explosive devices, or nuclear testing, as described in § 373.7(b). These special provisions are applicable to technical data to be used in (i) designing, developing, or fabricating nuclear weapons or nuclear explosive devices, or (ii) devising, carrying out, or evaluating nuclear weapons tests or nuclear explosions. These special provisions are also applicable to technical

1 The term "direct product" used in this sentence and in this context only, is defined to mean the immediate product (including processes and services) produced directly by use of the technical data. The coverage of the term does not extend to the results of the use of such "direct product." For example, if the technical data relate to the design of a new or improved airborne transmitter, the airborne transmitter produced from such data is a direct product of the data. However, if the technical data relate to the design of equipment which will be used for the production of airborne transmitters, then the equipment rather than the transmitter is the direct product of the technical data.

data which has been specifically designed or specifically modified for use in devising, carrying out, or evaluating nuclear tests or nuclear explosions. (See § 373.7.) Each application for a license to export such technical data shall be completed in accordance with the instructions set forth in part 372 and § 373.7(d) with the following modifications:

(i) Reference to the "supplier" or "manufacturer" in § 373.7(c)(3) means, for purposes of the provisions relating to the export of technical data, the originator of the technical data whenever the exporter is not the originator thereof.

(ii) The applicant shall supply, if applicable, in the space for the commodity description, any specific modifications or adaptations of the technical data which make the data capable of use in devising, carrying out, or evaluating nuclear weapons tests or nuclear explosions, as described in § 373.7(b).

(5) Completion of Application Processing Card Form, FC-420. The Application Processing Card, Form FC-420, shall be completed as provided in § 372.5 except that the Export Control Commodity Number, Processing Number, and commodity description shall be omitted and the symbol "TD" shall be entered in the space provided for the Processing Number.

(d) Letter of explanation. Each application shall be supported by a comprehensive letter of explanation in duplicate, setting forth all the necessary facts required to present to the Office of Export Control a complete disclosure of the relationship existing between the applicant and the consignee and to describe adequately the type of technical data to be exported. The letter of explanation should present a composite picture of the kind and types of technical data, the uses for which such data will be employed, identification of all parties to the transaction, and specification of the conditions or agreements relative thereto.

(e) Issuance and use of validated licenses. When an application for a license to export technical data is approved by the Office of Export Control, an export license will be issued on Form FC-628, authorizing, subject to the provisions of the Export Regulations and to the terms and provisions of such license, the export of the types of technical data described therein.

(f) Export clearance. The Technical Data license shall be deposited with the Customs Office at the port of exit before placing the data on a pier, or dock or other place of loading, for the purpose of exporting by water or air. Similarly, the Technical Data license shall be deposited with the Postmaster before exporting the technical data by mail, including surface and air parcel post.

(g) Amendments. Requests for amendments shall be made in accordance with the provisions of § 380.2.

(h) Other applicable provisions. Insofar as consistent with the provisions of this § 385.4, all of the provisions of the Export Regulations shall apply equally to applications for licenses and licenses issued under this section.

[11th Gen. Rev. of Export Regs., 33 F.R. 8993, June 18, 1968, as amended by Amdt. 10, 33 F.R. 14370, Sept. 24, 1968]

§ 385.5 Presentation of Shipper's Export Declaration.

Prior to the export or release of technical data for foreign use a Shipper's Export Declaration, in the number of copies set forth in § 379.3 (c), shall be presented to the Customs Office at the port of exit. Technical data exported by mail, including surface or air parcel post, or by telegram, wireless, cable, or telephone do not require the presentation of a Declaration. However, where a partial shipment is made by mail under authority of a validated license deposited with the Customs Office, a duplicate Declaration, authenticated by the Customs Officer, as set forth in § 379.1(b) (1) (ii), shall be presented to the Postmaster. § 385.6

Reexports of technical data and exports of the product manufactured abroad by use of U.S. technical data. (a) Prohibited exports and reexports. Unless specifically authorized by the Office of Export Control, or otherwise authorized under the provisions of paragraph (b) of this § 385.6, no person in the United States or in a foreign country may:

(1) Reexport any technical data imported from the United States, directly or indirectly, in whole or in part, from the authorized country (ies) of ultimate destination;

(2) Export any technical data from the United States with the knowledge that it is to be reexported, directly or indirectly, in whole or in part, from the authorized country (ies) of ultimate destination; or