Federal Register / Vol. 78, No. 244 / Thursday, December 19, 2013 / Rules and Regulations 76741 

PART 747—[AMENDED] 

■ 12. The authority citation for 15 CFR 

part 747 is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; Sec 1503, Pub. L. 108– 

11, 117 Stat. 559; E.O. 12918, 59 FR 28205, 

3 CFR, 1994 Comp., p. 899; 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 8, 2013, 78 FR 49107 (August 12, 

2013). 

PART 748—[AMENDED] 

■ 13. The authority citation for 15 CFR 

part 748 is revised 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 8, 2013, 78 FR 49107 (August 12, 

2013). 

PART 750—[AMENDED] 

■ 14. The authority citation for 15 CFR 

part 750 is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; Sec 1503, Pub. L. 108– 

11, 117 Stat. 559; E.O. 13026, 61 FR 58767, 

3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 

FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 

13637 of March 8, 2013, 78 FR 16129 (March 

13, 2013); Presidential Determination 2003– 

23 of May 7, 2003, 68 FR 26459, May 16, 

2003; Notice of August 8, 2013, 78 FR 49107 

(August 12, 2013). 

PART 752—[AMENDED] 

■ 15. The authority citation for 15 CFR 

part 752 is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; E.O. 13020, 61 FR 54079, 

3 CFR, 1996 Comp., p. 219; E.O. 13222, 66 

FR 44025, 3 CFR, 2001 Comp., p. 783; Notice 

of August 8, 2013, 78 FR 49107 (August 12, 

2013). 

PART 754—[AMENDED] 

■ 16. The authority citation for 15 CFR 

part 754 is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7430(e); 30 U.S.C. 185(s), 185(u); 42 U.S.C. 

6212; 43 U.S.C. 1354; 15 U.S.C. 1824a; E.O. 

11912, 41 FR 15825, 3 CFR, 1976 Comp., p. 

114; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783; Notice of August 8, 2013, 78 

FR 49107 (August 12, 2013). 

PART 756—[AMENDED] 

■ 17. The authority citation for 15 CFR 

part 756 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 758—[AMENDED] 

■ 18. The authority citation for 15 CFR 

part 758 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 760—[AMENDED] 

■ 19. The authority citation for 15 CFR 

part 760 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 762—[AMENDED] 

■ 20. The authority citation for 15 CFR 

part 762 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 764—[AMENDED] 

■ 21. The authority citation for 15 CFR 

part 764 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 766—[AMENDED] 

■ 22. The authority citation for 15 CFR 

part 766 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 768—[AMENDED] 

■ 23. The authority citation for 15 CFR 

part 768 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 770—[AMENDED] 

■ 24. The authority citation for 15 CFR 

part 770 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 772—[AMENDED] 

■ 25. The authority citation for 15 CFR 

part 772 is revised 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

PART 774—[AMENDED] 

■ 26. The authority citation for 15 CFR 

part 774 is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et 

seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 

42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 

1354; 15 U.S.C. 1824a; 50 U.S.C. app. 5; 22 

U.S.C. 7201 et seq.; 22 U.S.C. 7210; 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 8, 2013, 78 

FR 49107 (August 12, 2013). 

Dated: December 11, 2013. 

Kevin J. Wolf, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2013–30116 Filed 12–18–13; 8:45 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 730, 740, 744, 756, 758, 

and 762 

[Docket No. 20524116–3986–02] 

RIN 0694–AF70 

Revisions to the Export Administration 

Regulations (EAR): Unverified List 

(UVL) 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) is amending the Export 

Administration Regulations (EAR) by: 

Requiring exporters to file an 

Automated Export System (AES) record 

for all exports subject to the EAR 

involving a party or parties to the 

transaction who are listed on the 

Unverified List (the ‘‘Unverified List’’ or 

UVL); suspending the availability of 

license exceptions for exports, 

reexports, and transfers (in-country) 

involving a party or parties to the 

transaction who are listed on the UVL; 

requiring exporters, reexporters, and 

transferors to obtain a UVL statement 

from a party or parties to the transaction 

who are listed on the UVL before 

proceeding with exports, reexports, and 

transfers (in-country) involving items 

subject to the EAR, but where the item 

does not require a license, i.e., No 

License Required (NLR); publishing the 

UVL in the EAR; and adding to the EAR 

the procedures to request removal or 

modification of a UVL entry. 

These changes to the UVL enhance 

the U.S. Government’s ability to verify 

the bona fides of parties to exports, 


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reexports, or transfers (in-country) of 

items subject to the EAR and provide 

the U.S. Government increased visibility 

into such exports, reexports, and 

transfers involving persons whose bona 

fides could not be verified. 

DATES: Effective Date: This rule is 

effective: January 21, 2014. 

FOR FURTHER INFORMATION CONTACT: 

Kevin Kurland, Director, Office of 

Enforcement Analysis, Bureau of 

Industry and Security, Department of 

Commerce, Phone: (202) 482–2385 or by 

email at Kevin.Kurland@bis.doc.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

On June 14, 2002, the Bureau of 

Industry and Security (‘‘BIS’’) published 

a notice in the Federal Register (67 FR 

40910) establishing (the ‘‘Unverified 

List’’ or ‘‘UVL’’), a list of persons in 

foreign countries who were parties to 

past export transactions with respect to 

which pre-license checks or postshipment verifications could not be 

conducted for reasons outside the 

control of the U.S. Government, reasons 

such as lack of cooperation by the host 

government authority, the end user, or 

the ultimate consignee. That Federal 

Register notice also indicated that BIS 

may add to the UVL names of persons 

that BIS discovers are affiliated with a 

person on the UVL by virtue of 

ownership, control, position of 

responsibility, or other affiliation or 

connection in the conduct of trade or 

business. Since that time, BIS has issued 

subsequent notices that added to or 

removed persons from the UVL, as 

circumstances have warranted. Prior to 

publication of this rule, the UVL was 

published in the Federal Register in its 

entirety and updated as foreign persons 

are added to or removed from that list. 

The UVL is also available on the BIS 

Web site at http://www.bis.doc.gov/

enforcement/unverifiedlist/unverified_

parties.html. 

The participation of a person listed on 

the UVL in any proposed transaction 

raises a ‘‘red flag’’ for purposes of the 

‘‘Know Your Customer’’ guidance set 

forth in Supplement No. 3 to Part 732 

of the EAR. See 67 FR 40910 (June 14, 

2002) and 69 FR 42652 (July 16, 2004). 

Under that guidance, whenever there is 

a ‘‘red flag,’’ exporters have an 

affirmative duty to inquire, verify, or 

otherwise satisfy themselves that the 

transaction does not involve a 

proliferation activity prohibited by Part 

744 and does not violate other 

provisions of the EAR. 

On July 16, 2004, BIS expanded the 

criteria for adding persons to the UVL 

to include situations in which BIS is not 

able to verify the existence or 

authenticity of the end user, 

intermediate consignee, ultimate 

consignee, or other party to an export 

transaction. 

On August 21, 2008 (73 FR 49311), 

BIS expanded the scope of reasons to 

add persons to the Entity List. That rule 

amended Section 744.11 of the EAR to 

provide illustrative examples of the 

types of conduct that the U.S. 

Government could determine are 

contrary to U.S. national security or 

foreign policy interests for purposes of 

changes to the Entity List. One example 

listed in that section is, ‘‘[p]reventing 

accomplishment of an end use check 

conducted by or on behalf of BIS or the 

Directorate of Defense Trade Controls of 

the Department of State by: Precluding 

access to; refusing to provide 

information about; or providing false or 

misleading information about parties to 

the transaction or the item to be 

checked.’’ That notice also included a 

discussion of the apparent overlap in 

criteria for adding foreign persons to the 

Entity List and the Unverified List based 

on a lack of cooperation with an end-use 

check. 

End-use checks sometimes cannot be 

completed for reasons unrelated to the 

cooperation of the foreign party subject 

to the end-use check. In such situations, 

BIS has added parties to the UVL where 

BIS or federal officials acting on BIS’s 

behalf have been unable to verify a 

foreign person’s bona fides (i.e., 

legitimacy and reliability relating to the 

end use and end user of items subject 

to the EAR), where an end-use check, 

such as a pre-license check (PLC) or a 

post-shipment verification (PSV), 

cannot be completed satisfactorily for 

such purposes for reasons outside the 

U.S. Government’s control. For 

example, BIS sometimes initiates enduse checks and cannot find a foreign 

party at the address indicated on export 

documents, and cannot locate the party 

by telephone or email. Additionally, BIS 

sometimes is unable to conduct end-use 

checks when host government agencies 

do not respond to requests to conduct 

end-use checks or refuse to schedule 

them in a timely manner. Under these 

circumstances, there may not be a basis 

to add the foreign persons at issue to the 

Entity List, particularly if there is no 

nexus between the foreign person’s 

conduct and the failure to produce a 

complete, accurate and useful check 

(see § 744.11(b)(4) of the EAR (Criteria 

for revising the Entity List)). 

Furthermore, BIS sometimes conducts 

end-use checks but cannot verify the 

bona fides of a foreign party. For 

example, BIS may be unable to verify 

bona fides if during the conduct of an 

end-use check a recipient of items 

subject to the EAR is unable to produce 

those items for visual inspection or 

provide sufficient documentation or 

other evidence to confirm the 

disposition of those items. The inability 

of foreign persons subject to end-use 

checks to demonstrate their bona fides 

raises concerns about the suitability of 

such persons as participants in future 

exports, reexports, or transfers (incountry) and indicates a risk that items 

subject to the EAR may be diverted to 

prohibited end uses and/or end users. 

However, BIS may have insufficient 

information to establish that such 

persons are involved in activities 

described in § 744.11 of the EAR, 

preventing the placement of the persons 

on the Entity List. In such 

circumstances, those foreign persons 

may be added to the Unverified List. 

On September 11, 2013 (78 FR 55664), 

BIS published a proposed rule to 

address the issues outlined above. The 

public comment period for the proposed 

rule closed on October 11, 2013. BIS 

received one (1) public comment in 

response. The comment can be found on 

the BIS Web site at http://

efoia.bis.doc.gov/index.php/electronicfoia/index-of-documents. 

The recommendations set forth in the 

comment were broken into two 

categories: ‘‘Suggestions regarding the 

language of several affected paragraphs’’ 

and ‘‘Clarify the government’s position 

regarding the applicability of this 

proposed rule to intangible exports of 

technology and software.’’ The first 

category included recommended 

changes to clarify or strengthen the 

proposed rule by modifying proposed: 

§ 744.15(a) to state that exports, 

reexports, or transfers (in-country) 

subject to the EAR involving parties to 

the transaction who are listed on the 

UVL must be made in accordance with 

the criteria set forth in proposed 

§ 744.15; § 744.15(b)(2) and (b)(2)(i) to 

require UVL statement signers to 

provide their titles and all relevant UVL 

party addresses on the Statement, and 

sign and date the Statement; 

§ 744.15(c)(2) to state that BIS will 

remove persons from the UVL when 

their bona fides are validated; and 

§ 758.1(b)(8) to remove the phrase 

‘‘regardless of value or destination.’’ BIS 

accepted the recommendations covering 

§ 744.15(a), (b)(2), (b)(2)(i), and (c)(2). 

BIS did not accept the suggested change 

to § 758.1(b)(8). While BIS agrees that 

‘‘all exports’’ is unlimited in scope, BIS 

does not believe the modifying phrase 

‘‘regardless of value or destination’’ is 

unnecessarily redundant. BIS is 

including this phrase to avoid confusion 

with the general Foreign Trade 


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Regulations exemptions for Automated 

Export System filings involving low 

value shipments and exports to Canada 

not subject to a BIS license. The 

modifier is included to clarify that the 

UVL rule requires filings for any 

shipments to UVL persons, including 

any low value shipments and exports to 

Canada. This clarifying language also 

appears in § 758.1(b)(1) and (b)(2). BIS 

understands that the removal of the 

modifier would not change the scope, 

but it was included to be consistent 

with other parts of the EAR. 

The second public comment category 

suggested that BIS clarify whether the 

proposed rule applies to intangible 

technology and software. BIS intends 

the provisions of § 744.15 to apply to 

intangible exports, reexports, and 

transfers (in-country) of software and 

technology to persons listed on the 

UVL. Therefore, BIS made edits to the 

regulatory text and the preamble to 

indicate that the newly implemented 

requirements are applicable to 

commodities, software, and technology. 

The term ‘‘item’’ is defined in § 772.1 to 

include technology and software. The 

only other word in the regulatory text 

that could have been interpreted as 

restricted to tangible commodities was 

‘‘shipment.’’ Therefore, BIS removed 

‘‘shipment’’ and replaced it with 

‘‘export, reexport, and transfer (incountry).’’ This, coupled with the 

general EAR definition of item, should 

make it clear that these new 

requirements are applicable to 

technology and software, as well as 

commodities. However, the requirement 

to file an AES record ‘‘for all exports’’ 

cannot be fulfilled in the case of 

intangible technology or software 

exports. In any case, these exports are 

exempt from AES filings. Therefore, 

while the regulation applies to 

technology and software, in addition to 

commodities, the amendment to 

§ 758.1(b)(8) only applies to exports of 

tangible items. 

BIS also amended the proposed text of 

§ 744.15(b)(2)(iv). As proposed, the UVL 

statement required cooperation with a 

pre-license check. However, under the 

terms of paragraph (b) of that section, 

the UVL statement is only necessary 

when no license is required. As such, 

this final rule omits the requirement 

that the UVL statement include an 

agreement for a pre-license check 

because no license is required under 

these circumstances. The UVL statement 

does retain the proposed rule’s 

requirement that an end-use check, 

including a post-shipment verification, 

must be agreed to and cooperated with. 

Reasons for This Rule 

This rule eliminates ambiguity for 

listing foreign persons on the UVL and 

the Entity List by removing lack of 

cooperation by a foreign party as a basis 

for revising the UVL. Where the U.S. 

Government determines that the foreign 

party’s lack of cooperation prevented 

the accomplishment of an end-use 

check, BIS may add such parties to the 

Entity List on the basis of § 744.11(b)(4) 

of the EAR. 

Specifically, BIS is amending the EAR 

to include the criteria for listing persons 

in the UVL, including examples of 

actions that could result in a person 

being listed on the UVL. These 

amendments, consistent with past 

practice, will apply to foreign persons 

who are parties to an export, reexport, 

and transfer (in-country) subject to the 

EAR if BIS, or federal officials acting on 

BIS’s behalf, cannot verify the bona 

fides of such persons because an enduse check, such as a PLC or a PSV, 

cannot be completed satisfactorily for 

reasons outside of the U.S. 

Government’s control. Examples of 

actions that could result in a person 

being listed on the UVL include: The 

subject of the check is unable to 

demonstrate the disposition of items 

during an end-use check; the existence 

or authenticity of the subject of an enduse check cannot be verified because, 

inter alia, the subject of the check 

cannot be located or contacted; or lack 

of cooperation by the host government 

authority. 

In addition, BIS is no longer 

considering affiliation with a person on 

the UVL as a basis for adding foreign 

persons without further substantiation 

(e.g., conduct of an end-use check at the 

affiliate). A determination to list a 

particular person on the UVL is 

premised on BIS’s inability to evaluate 

the bona fides of that person by 

conducting an end-use check. The fact 

that another, separate person is 

affiliated with a person on the UVL will 

no longer be considered a dispositive 

criterion forming the basis for listing the 

affiliate. If BIS discovers a foreign 

person may be affiliated with a person 

listed on the UVL, BIS will initiate an 

end-use check on an export, reexport, or 

transfer (in-country) to which that 

person was a party. That person may be 

listed on the UVL if BIS is unable to 

verify that person’s bona fides through 

an end-use check in accordance with 

the criteria described above. 

BIS is implementing these changes to 

the UVL to address concerns raised by 

the public in the past about how to 

address a ‘‘red flag’’ identified by the 

U.S. Government. Accordingly, this 

regulation provides guidance on how 

exporters can conduct business with a 

UVL person. Any license requirements 

for exports, reexports, or transfers (incountry) of items subject to the EAR 

continue to apply. For items not subject 

to a license requirement, the exporter, 

reexporter, or transferor (in-country) 

must receive from the UVL-listed person 

a UVL statement prior to the export, 

reexport, or transfer (in-country), in 

which the UVL-listed party certifies the 

end use, end user, and country of 

ultimate destination of items subject to 

the EAR and consents to an end-use 

check by the U.S. Government. The enduse check may include checks to any 

transaction to which that person was a 

party for items subject to the EAR 

exported, reexported, or transferred (in 

country) in the last five years, to enable 

the U.S. Government to satisfy earlier 

concerns with the UVL-listed party as 

well as its concerns with the current 

transaction. 

Changes to the EAR 

BIS is amending the EAR by: (1) 

Requiring exporters to file an AES 

record for all exports subject to the EAR 

involving persons listed on the UVL; (2) 

suspending the availability of license 

exceptions for exports, reexports, and 

transfers (in-country) involving persons 

listed on the UVL; (3) requiring 

exporters, reexporters and transferors 

(in-country) to obtain a UVL statement 

from UVL-listed persons before 

proceeding with exports, reexports, and 

transfers (in-country) that are not 

otherwise subject to a license 

requirement under the EAR involving 

such persons; (4) adding the UVL to 

Supplement No. 6 to Part 744, and (5) 

adding to the EAR procedures to request 

removal or modification of a UVL entry. 

The first of these changes, requiring 

the filing of an AES record for all 

exports to which a person listed on the 

UVL is a party, as described in 

§ 748.5(d)–(f) of the EAR, increases U.S. 

Government awareness of exports 

involving U.S.-origin items to such 

persons. Under current regulations, an 

AES filing is only required if an export 

license is also required or if the 

transaction is above a certain value. 

This rule, through a change to § 758.1, 

implements a requirement to submit an 

AES filing for all exports, regardless of 

value or destination, if a person 

involved in the transaction as described 

above is listed on the UVL. 

Secondly, under § 740.2, this rule 

suspends license exceptions for exports, 

reexports, and transfers (in-country) of 

U.S.-origin items to persons listed on 

the UVL. The change increases U.S. 

Government insight into certain 


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transactions involving such persons of 

items on the Commerce Control List (set 

forth in Supplement No. 1 to Part 774 

of the EAR) by requiring a license for 

those transactions. This suspension is 

also consistent with § 740.2(b) of the 

EAR, which states, ‘‘all License 

Exceptions are subject to revision, 

suspension, or revocation, in whole or 

in part, without notice.’’ 

Third, this rule requires exporters to 

obtain a signed and dated UVL 

statement from UVL-listed persons 

before proceeding with any export, 

reexport, or transfer (in-country) 

involving such persons, when such 

persons are parties to a transaction as 

described in § 748.5 of the EAR, and 

when the item at issue is subject to the 

EAR but does not require a license 

under the EAR. 

That section also requires that the 

statement certify the end use, end user, 

and country of ultimate destination of 

the items, and set forth the person’s 

consent to an end-use check by the U.S. 

Government. To facilitate any future 

end-use checks by the U.S. Government, 

the UVL-listed person must also include 

its complete contact information in the 

UVL statement, including all relevant 

physical addresses (e.g., shipping 

address, corporate address, intended 

end user address, etc.). This statement 

establishes that the UVL-listed party 

knows that it is required to comply with 

the EAR and agrees to an end-use check. 

The statement also provides the U.S. 

Government with some assurance that 

the U.S.-origin item will be delivered to 

an identified end user and end use and 

that the transaction will comply with 

the EAR. In the absence of such 

compliance, the UVL statement will 

assist the U.S. Government’s ability to 

take enforcement action. 

The suspension of license exceptions, 

which will allow prior review by the 

U.S. Government of exports, reexports, 

and transfers (in-country) of certain 

controlled items involving persons 

listed on the UVL, coupled with the 

requirement for exporters to obtain a 

UVL statement for exports, reexports, 

and transfers (in-country) involving 

such persons of items not subject to a 

license requirement, provides greater 

guidance on what steps are necessary in 

order to undertake an export, reexport, 

or re-transfer (in-country) of items 

subject to the EAR involving a party to 

the transaction who is listed on the 

UVL. 

Specifically, when an export, 

reexport, or transfer (in-country) is 

otherwise eligible for a license 

exception, if a party to the transaction 

as described in § 748.5 of the EAR is 

listed on the UVL, the use of license 

exceptions is not authorized. Under 

these circumstances, an exporter must 

apply to BIS for a license. If an export, 

reexport, or transfer (in-country) 

involving a person listed on the UVL is 

not subject to a license requirement 

under the EAR, the possible availability 

of a license exception does not arise. In 

such a case, an exporter may proceed 

with the export, reexport, or transfer (incountry) once the exporter obtains the 

signed UVL statement described herein 

and files an AES record in accordance 

with § 758.1 of the EAR, as amended. 

The signed UVL statement is not needed 

for transactions in which a license is 

required because BIS oversight of the 

transaction resulting from the grant of 

the license renders a UVL statement 

unnecessary. 

Fourth, this rule adds the UVL to the 

EAR in Supplement No. 6 to Part 744, 

but removes all persons previously 

listed on the UVL. BIS will add persons 

to and remove them from the UVL 

whenever a decision is made in 

accordance with the criteria for revising 

the UVL set forth in § 744.15(c). 

Henceforth, when adding a person to 

the UVL, BIS will list the person’s name 

and address, and the date on which the 

person was added to the UVL by 

publication in the Federal Register. 

Updates to the UVL will continue to be 

published in the Federal Register, and 

will remain available on the BIS Web 

site. The UVL will also continue to be 

included in the Consolidated Screening 

List, available at www.export.gov. 

Supplement No. 6 to Part 744 (‘‘the 

UVL’’) contains the names and 

addresses of foreign persons who are or 

have been parties to a transaction, as 

that term is described in § 748.5 of the 

EAR, involving the export, reexport, or 

transfer (in-country) of items subject to 

the EAR, and whose bona fides BIS has 

been unable to verify through an enduse check. Any changes to the UVL will 

be published in the Federal Register as 

an amendment to the UVL. 

In addition to adding the UVL to 

Supplement No. 6 to Part 744, this rule 

adds to the regulations an overview of 

the UVL, the conditions it imposes with 

respect to exports, reexports, and 

transfers (in-country) to listed persons, 

the criteria for revising the UVL, and the 

procedures for requesting removal or 

modification of a UVL entry. 

BIS adds a person to the UVL under 

certain circumstances. For example, in 

some instances, BIS may not be able to 

conduct an end-use check, such as a 

PLC or a PSV, at all because, among 

other potential reasons, BIS was unable 

to locate or contact the subject of the 

check or the host government declined 

to schedule the check in a timely 

manner. Alternatively, BIS may not be 

able to complete a satisfactory end-use 

check because, inter alia the foreign 

party is unable to demonstrate its bona 

fides or the disposition of the items in 

question during the end-use check. In 

either circumstance, BIS may determine 

to add the foreign person to the UVL. 

BIS removes a person listed on the 

UVL using certain procedures. The 

successful completion of an end-use 

check, or, in the limited circumstance 

where such a check cannot be 

completed due to lack of host 

government cooperation, a suitable 

alternative process to verify the bona 

fides of the foreign party at issue is a 

prerequisite for removing persons from 

the UVL. One illustrative example of 

alternative authentication could involve 

the U.S. exporter or license applicant 

visiting the foreign person subject to the 

end-use check, at that person’s request, 

and providing sufficient information to 

the U.S. Government to verify the 

foreign person’s bona fides and satisfy 

questions relating to the end use and 

end user of the items in question. 

Procedures for requesting an alternative 

process to verify the bona fides of a 

foreign person in this circumstance are 

identical to the procedures for 

requesting removal of a UVL listing, set 

forth in § 744.15 of the EAR. 

If BIS confirms the bona fides of a 

listed person based on the criteria in 

§ 744.15(b)(2) of the EAR, BIS will 

publish a final rule in the Federal 

Register removing that person from the 

UVL. A determination to remove a 

person from the UVL is independent of 

any determination BIS may make 

pursuant to § 744.11(b) of the EAR. 

Once a foreign person is removed from 

the UVL, the provisions in the EAR 

regarding persons listed on the 

Unverified List will no longer apply to 

that person though other provisions in 

the EAR will continue to apply as 

appropriate. BIS will regularly review 

the UVL for the purpose of identifying 

and implementing any needed 

corrections and updates. 

Lastly, this rule modifies the 

procedures for requesting removal of a 

person listed on the UVL by adding 

decisions on requests to remove or 

modify a UVL entry to the list of 

administrative actions that are not 

subject to Part 756 appeals. Requests for 

removal of a UVL entry must be made 

in accordance with § 744.15(d) of the 

EAR. Decisions regarding the removal or 

modification of UVL listings will be 

made by the Deputy Assistant Secretary 

for Export Enforcement, based on a 

demonstration by the listed person of its 

bona fides. 


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Amendment to Supplement No. 1 to 

Part 730 

Due to this rule’s addition to the EAR 

of § 744.15 below, this rule also amends 

Supplement No. 1 to Part 730 of the 

EAR to include references to the two 

additional information collections: (1) 

The UVL statement and (2) requests to 

remove or modify listings on the UVL. 

The collection and retention of the UVL 

statement by private parties in 

connection with the export, reexport, or 

transfer (in-country) to a person listed 

on the UVL of items not subject to a 

license requirement under the EAR shall 

be made under Office of Management 

and Budget (OMB) control number 

0694–0122 (‘‘Licensing Responsibilities 

and Enforcement’’). The submission of 

information to BIS by persons listed on 

the UVL in support of an appeal for 

removal a UVL listing will be made 

under OMB control number 0694–0134. 

Accordingly, this rule amends 

Supplement No. 1 to Part 730 of the 

EAR by adding a reference to new 

§ 744.15 in connection with existing 

collection number 0694–0122, and by 

changing the title of existing collection 

number 0694–0134 to ‘‘Procedure for 

parties on the Entity List or Unverified 

List to Request Removal or Modification 

of their Listing’’ and adding a reference 

to new § 744.15 in connection with that 

collection number. 

Amendments to § 740.2 

This rule adds a new paragraph 

(a)(17) to § 740.2 ‘‘Restrictions on all 

License Exceptions.’’ This paragraph 

explains that license exceptions may not 

be used where a party to the transaction 

as described in § 748.5 of the EAR is 

listed on the Unverified List. 

New § 744.15 and Amendment to 

§ 756.1 

This rule adds a new section to Part 

744 to set forth the new provisions 

pertaining to persons listed on the UVL. 

New § 744.15 provides an overview of 

the UVL, the conditions it imposes with 

respect to exports, reexports, and 

transfers (in-country) to listed persons, 

and the criteria for revising the UVL. 

This new section also includes the 

procedures for requesting removal or 

modification of a person on the UVL. 

This rule excludes appeals for 

removal of Unverified List entries from 

the provisions of Part 756 of the EAR. 

Requests for removal instead must made 

according to the procedures set forth in 

new § 744.15 of the EAR. Accordingly, 

paragraph (a)(3) of § 756.1 of the EAR is 

amended by adding a reference to 

decisions on requests to remove UVL 

entries made pursuant to new § 744.15 

of the EAR. Although the proposed rule 

did not include a revision to § 744.1, 

this rule makes an inconsequential 

revision to § 744.1(a)(1), by adding a 

description of the new § 744.15 and a 

reference to the new Supplement No. 6 

to Part 744. 

New Supplement No. 6 to Part 744 

The UVL is added to the EAR in 

Supplement No. 6 to Part 744. Each 

listing grouped by country, and 

accompanied by the person’s 

address(es) as well as the Federal 

Register citation and date the person 

was added to the UVL. In addition, the 

UVL includes a citation to § 744.15, 

indicating that exports, reexports, and 

transfers (in-country) where parties to 

the transactions are listed on the 

Unverified List are subject to the 

provisions of § 744.15. 

Amendment to § 758.1 

This rule adds a new § 758.1(b)(8) of 

the EAR, which states that filing an AES 

record is required for all exports of 

items subject to the EAR where a party 

to the transaction as described in 

§ 748.5(d)–(f) is listed on the Unverified 

List, regardless of value or destination. 

Amendment to § 762.2 

Section 762.2(b) of the EAR contains 

references to parts, sections, and 

supplements of the EAR which require 

the retention of records or contain 

recordkeeping provisions. New § 744.15 

of the EAR contains a recordkeeping 

requirement related to the retention of 

UVL statements. Therefore, this rule 

modifies reserved paragraph 

§ 762.2(b)(13) of the EAR to reference 

the UVL statement recordkeeping 

requirement in new § 744.15 of the EAR. 

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 

8, 2013, 78 FR 49107 (August 12, 2013) 

has continued the EAR in effect under 

the International Emergency Economic 

Powers Act (50 U.S.C. 1701 et seq.). 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. 

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, distributive 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 rule 

has not been designated a ‘‘significant 

regulatory action,’’ under section 3(f) 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 

Office of Management and Budget 

(OMB) Control Number. This regulation 

involves collections previously 

approved by OMB under the following 

control numbers: 0694–0088, 0694– 

0122, 0694–0134, and 0694–0137. 

Specifically, BIS has requested a 

revision and extension of existing 

collection OMB 0694–0134 (Procedure 

for parties on the Entity List to Request 

Removal or Modification of their 

Listing) and non-substantive changes to 

OMB Control Numbers 0694–0088 

(Simplified Network Application 

Processing and Multipurpose 

Application Form), 0694–0122 

(Licensing Responsibilities and 

Enforcement), and 0694–0137 (License 

Exemptions and Exclusions). 

This rule slightly increases public 

burden in a collection of information 

approved by OMB under control 

number 0694–0088, which authorizes, 

among other things, export license 

applications. The removal of license 

exceptions for listed parties on the 

Unverified List will result in increased 

license applications being submitted to 

BIS by exporters. Total burden hours 

associated with the Paperwork 

Reduction Act and OMB control number 

0694–0088 are expected to increase 

minimally, as the suspension of license 

exceptions will only affect transactions 

involving parties listed on the 

Unverified List and not all export 

transactions. Since license exceptions 

are restricted from use, this rule 

decreases public burden in a collection 

of information approved by OMB under 

control number 0694–0137 minimally, 


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as this will only affect a very small 

number of individual listed parties. The 

increased burden under 0694–0088 is 

reciprocal to the decrease of burden 

under 0694–0137, and results in no 

change of burden to the public. This 

rule also increases public burden in a 

collection of information under OMB 

control number 0694–0122, as a result 

of the exchange of UVL statements 

between private parties, and under OMB 

control number 0694–0134 as a result of 

appeals from persons listed on the UVL 

for removal of their listing. The total 

increase in burden hours associated 

with both of these collections is 

expected to be minimal, as they involve 

a limited number of persons listed on 

the UVL. 

3. This rule does not contain policies 

with Federalism implications as that 

term is defined in Executive Order 

13132. 

4. The Chief Counsel for Regulation of 

the Department of Commerce has 

certified to the Chief Counsel for 

Advocacy of the Small Business 

Administration that this rule will not 

have a significant economic impact on 

a substantial number of small entities. 

Number of Small Entities 

Currently, 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 will be impacted 

by this rule, it acknowledges that this 

rule will impact some unknown 

number. This rule will affect exporters 

and freight forwarders, with obligations 

to apply for export licenses, obtain and 

retain UVL statements, and/or file AES 

records in connection with exports, 

reexports, or transfers (in-country) in 

which a person listed on the UVL is a 

party to the transaction. These 

requirements apply to all entities 

proceeding with such transactions, 

regardless of size. 

Economic Impact 

BIS is unable to determine whether 

there are a substantial number of small 

entities affected by this rule. However, 

this rule is not expected to affect a 

disproportionate number of small 

entities because it is directed at a 

limited number of foreign persons and 

will impact all export transactions to 

these persons, regardless of whether the 

exports are made or intended to be 

made by small, medium, or large 

entities. BIS has administered the UVL 

based on listing criteria similar to those 

set forth in this rule since 2002. This 

rule will impact transactions involving 

persons listed on the UVL, which 

currently has 36 persons listed. Due to 

the limited number of persons expected 

to be maintained on the UVL, BIS 

estimates that the number of 

transactions involving these persons 

represents only a small fraction of the 

total number of transactions recorded in 

AES. BIS estimates that regulated 

entities will incur minimal economic 

burdens on transactions involving UVL 

persons as a result of this rule because 

there are few transactions involving 

such persons and for those transactions 

where they are involved, there is no 

monetary fee to apply for a BIS license 

or file a record in AES. Moreover, 

obtaining a signed UVL statement from 

UVL persons for items not subject to a 

license requirement will result in 

minimal burden to U.S. exporters, as the 

statement can simply be copied from the 

EAR and forwarded to the UVL person 

for review and signature. The 

maintenance of any such UVL statement 

also will have minimal burden on U.S. 

exporters as the EAR already has similar 

recordkeeping requirements under 

Section 762.2 of the EAR. As a result, 

the requirements of this rule will 

amount to very little economic burden. 

For the reasons above, the Chief 

Counsel for Regulation certified that this 

rule will not have a significant 

economic impact on a substantial 

number of small entities. 

No comments were received regarding 

the economic impact of this final rule. 

As a result, a final regulatory flexibility 

analysis is not required and one was not 

prepared. 

List of Subjects 

15 CFR Part 730 

Administrative practice and 

procedure, Advisory committees, 

Exports, Reporting and recordkeeping 

requirements, Strategic and critical 

materials. 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 744 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

15 CFR Part 756 

Appeals. 

15 CFR Part 758 

Export clearance requirements. 

15 CFR Part 762 

Recordkeeping. 

Accordingly, Parts 730, 740, 744, 756, 

758, and 762 of the Export 

Administration Regulations (15 CFR 

parts 730–774) are amended as follows: 

PART 730—[AMENDED] 

■ 1. The authority citation for 15 CFR 

Part 730 continues to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7430(e); 22 U.S.C. 287c; 22 U.S.C. 2151 note; 

22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 

U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42 

U.S.C. 6212; 43 U.S.C. 1354; 15 U.S.C. 1824a; 

50 U.S.C. app. 5; 22 U.S.C. 7201 et seq.; 22 

U.S.C. 7210; E.O. 11912, 41 FR 15825, 3 CFR, 

1976 Comp., p. 114; E.O. 12002, 42 FR 35623, 

3 CFR, 1977 Comp., p. 133; E.O. 12058, 43 

FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 

12214, 45 FR 29783, 3 CFR, 1980 Comp., p. 

256; E.O. 12851, 58 FR 33181, 3 CFR, 1993 

Comp., p. 608; E.O. 12854, 58 FR 36587, 3 

CFR, 1993 Comp., p. 179; E.O. 12918, 59 FR 

28205, 3 CFR, 1994 Comp., p. 899; E.O. 

12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 

950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 

Comp., p. 356; E.O. 12981, 60 FR 62981, 3 

CFR, 1995 Comp., p. 419; E.O. 13020, 61 FR 

54079, 3 CFR, 1996 Comp., p. 219; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 

Comp., p. 208; E.O. 13222, 66 FR 44025, 3 

CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 

49079, 3 CFR, 2001 Comp., p. 786; E.O. 

13338, 69 FR 26751, 3 CFR, 2004 Comp., p 

168; E.O. 13637 of March 8, 2013, 78 FR 

16129 (March 13, 2013); Notice of January 17, 

2013, 78 FR 4303 (January 22, 2013); Notice 

of May 7, 2013, 78 FR 27301 (May 9, 2013); 

Notice of August 8, 2013, 78 FR 49107 

(August 12, 2013); Notice of September 18, 

2013, 78 FR 58151 (September 20, 2013) ; 

Notice of November 7, 2013, 78 FR 67289 

(November 12, 2013). 

■ 2. Supplement No. 1 to Part 730 is 

amended by: 

■ a. Removing the phrase ‘‘Part 758, and 

§ 748.4’’ and adding in its place 

‘‘§§ 744.15(b) and 748.4 and Part 758’’ 

in the ‘‘Reference in the EAR’’ column 

of 0694–0122 row; 

■ b. Removing the Title ‘‘Procedure for 

parties on the Entity List to Request 

Removal or Modification of their 

Listing’’ and adding in its place 

‘‘Procedure for parties on the Entity List 

or the Unverified List to Request 

Removal or Modification of their 

Listing’’ in the Title Column of the 

0694–0134 row; and 

■ c. Removing the reference ‘‘§ 744.16’’ 

and adding in its place ‘‘§§ 744.15 and 

744.16’’ in the Reference in the EAR 

column of the 0694–0134 row. 

PART 740—[AMENDED] 

■ 3. The authority citation for 15 CFR 

Part 740 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. 7201 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 8, 2013, 78 

FR 49107 (August 12, 2013). 


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■ 4. Section 740.2 is amended by adding 

paragraph (a)(17) to read as follows: 

§ 740.2 Restrictions on all license 

exceptions. 

(a) * * * 

(17) A party to the transaction, as 

described in § 748.5 of the EAR, is listed 

on the Unverified List in Supplement 

No. 6 to Part 744, see § 744.15 of the 

EAR. 

* * * * * 

PART 744—[AMENDED] 

■ 5. The authority citation for 15 CFR 

Part 744 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; 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. 

12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 

356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 

Comp., p. 228; E.O. 13099, 63 FR 45167, 3 

CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 

44025, 3 CFR, 2001 Comp., p. 783; E.O. 

13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 

786; Notice of January 17, 2013, 78 FR 4303 

(January 22, 2013); Notice of August 8, 2013, 

78 FR 49107 (August 12, 2013); Notice of 

September 18, 2013, 78 FR 58151 (September 

20, 2013) ; Notice of November 7, 2013, 78 

FR 67289 (November 12, 2013). 

■ 6. Section 744.1 is amended by adding 

the sentence set forth below after the 

tenth sentence in paragraph (a)(1). 

§ 744.1 General provisions. 

(a)(1) * * * Section 744.15 sets forth 

the conditions for exports, reexports, 

and transfers (in-country) to persons 

listed on the Unverified List (UVL) in 

Supplement No. 6 of this part, the 

criteria for revising the UVL, as well as 

procedures for requesting removal or 

modification of a listing on the UVL. 

* * * 

■ 7. Adding § 744.15 to read as follows: 

§ 744.15 Restrictions on exports, 

reexports and transfers (in-country) to 

persons listed on the unverified list. 

(a) General requirement. In addition 

to the requirements set forth elsewhere 

in the EAR, exports, reexports, or 

transfers (in-country) subject to the EAR 

involving parties to the transaction who 

are listed on the Unverified List (UVL) 

must be made in accordance with 

paragraph (b) of this section. The names 

and addresses of foreign persons subject 

to end-user controls based on the 

criteria described in paragraph (c) of 

this section are identified in the 

Unverified List found in Supplement 

No. 6 to this part. Requirements found 

elsewhere in the EAR also apply, 

including but not limited to any license 

requirements, the record filing 

requirements pursuant to § 758.1(b)(8), 

and the restrictions on license 

exceptions described in § 740.2(a)(17) of 

the EAR. 

(b) UVL statement. Before proceeding 

with any export, reexport, or transfer 

(in-country) subject to the EAR that is 

not subject to a license requirement, 

involving a person listed on the 

Unverified List as a party described in 

§ 748.5 of the EAR, an exporter, 

reexporter, or transferor (in-country) 

must obtain a UVL statement from such 

person, according to the provisions set 

forth in this section. The statement must 

be retained in accordance with part 762 

of the EAR. 

(1) One UVL statement may be used 

for multiple exports, reexports, and 

transfers (in-country) of the same items 

between the same parties, so long as the 

party names, the description(s) of the 

items and the ECCNs are correct. If one 

UVL statement is used for multiple 

exports, reexports, and transfers (incountry), the exporter, reexporter, and 

transferor must maintain a log or other 

record that identifies each export, 

reexport, and transfer (in-country) made 

pursuant to this section and the specific 

UVL statement that is associated with 

each. The log or record must be retained 

in accordance with Part 762 of the EAR. 

(2) The UVL statement must be in 

writing, signed and dated by an 

individual of sufficient authority to 

legally bind the UVL party, and state the 

following: 

(i) Name of UVL party; complete 

physical address, to include shipping, 

corporate, and end user addresses, if 

different (simply listing a post office box 

is insufficient); telephone number; fax 

number; email address; Web site (if 

available); and name and title of 

individual signing the UVL statement. 

(ii) Agrees not to use the item(s) for 

any use prohibited by the United States 

Export Administration Regulations 

(EAR), 15 CFR Parts 730–772, and 

agrees not to reexport or transfer (incountry) the item(s) to any destination, 

use or user prohibited by the EAR. 

(iii) Declares that the end use, end 

user, and country of ultimate 

destination of the item(s) subject to the 

EAR are as follows: [INSERT END USE, 

END USER, AND COUNTRY OF 

ULTIMATE DESTINATION]. 

(iv) Agrees to cooperate with end-use 

checks, including a Post-Shipment 

Verification, conducted by or on behalf 

of the Bureau of Industry and Security, 

U.S. Department of Commerce, for any 

item subject to the EAR in transactions 

to which they were a party in the last 

five years. This cooperation includes 

facilitating the timely conduct of the 

check and providing full and accurate 

information concerning the disposition 

of items subject to the EAR. 

(v) Agrees to provide copies of this 

document and all other export, reexport 

or transfer (in-country) records required 

to be retained in part 762 of the EAR. 

(vi) Certifies that the individual 

signing the UVL statement has sufficient 

authority to legally bind the party. 

(c) Criteria for revising the Unverified 

List. (1) Foreign persons who are parties 

to an export, reexport, and transfer (incountry) subject to the EAR may be 

added to the Unverified List if BIS or 

federal officials acting on BIS’s behalf 

cannot verify the bona fides (i.e., 

legitimacy and reliability relating to the 

end use and end user of items subject 

to the EAR) of such persons because an 

end-use check, such as a pre-license 

check (PLC) or a post-shipment 

verification (PSV), cannot be completed 

satisfactorily for reasons outside of the 

U.S. Government’s control. Examples in 

paragraphs (c)(1)(i) through (iii) of this 

section provide an illustrative list of 

those circumstances. 

(i) During the conduct of an end-use 

check, the subject of the check is unable 

to demonstrate the disposition of items 

subject to the EAR. 

(ii) The existence or authenticity of 

the subject of an end-use check cannot 

be verified (e.g., the subject of the check 

cannot be located or contacted). 

(iii) Lack of cooperation by the host 

government authority prevents an enduse check from being conducted. 

(2) BIS will remove a person from the 

Unverified List when BIS is able to 

verify the bona fides of the listed person 

as an end user, consignee, or other party 

to exports, reexports, or transfers (incountry) involving items subject to the 

EAR by completing a PLC or PSV. In the 

limited circumstance involving a PLC or 

PSV that cannot be completed due to 

lack of host government cooperation, an 

alternative bona fides verification 

process may be determined by BIS to be 

sufficient. A determination to remove a 

person from the Unverified List based 

on the criteria in this paragraph is 

separate from any determination made 

by BIS pursuant to § 744.11(b) of the 

EAR, and must be requested through 

paragraph (d) of this section. 

(d) Procedure for requesting removal 

of a person on the Unverified List. Any 

person listed on the Unverified List may 

request that its listing be amended or 

removed. 

(1) All such requests, including 

reasons therefor and information that 

verifies the bona fides, i.e., legitimacy 

and reliability of the person listed on 

the Unverified List as an end user, 

consignee or other party to exports, 


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reexports, and transfers (in-country) of 

items subject to the EAR, must be in 

writing and sent to: Director, Office of 

Enforcement Analysis, Bureau of 

Industry and Security, U.S. Department 

of Commerce, 14th Street and 

Pennsylvania Avenue NW., Room 4065, 

Washington, DC 20230, via fax to (202) 

482–0971, or by email to UVLRequest@

bis.doc.gov. 

(2) The Deputy Assistant Secretary for 

Export Enforcement will review such 

requests and will convey the decision 

on the request to the requester in 

writing based on an assessment of the 

listed person’s bona fides as a party to 

exports, reexports, and transfers (incountry) subject to the EAR. That 

decision will be the final agency action 

on the request. 

■ 8. Supplement No. 6 to Part 744 is 

added to read as follows: 

Supplement No. 6 to Part 744— 

Unverified List 

Exports, reexports, and transfers (incountry) involving parties to the 

transaction who are listed in this 

supplement are subject to the 

restrictions outlined in § 744.15 of the 

EAR. 

Country Listed person 

and address 

Federal Register citation 

and date of 

publication 

Reserved ...... Reserved ...... Reserved. 

PART 756—[AMENDED] 

■ 9. The authority citation for 15 CFR 

Part 756 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

■ 10. Section 756.1 is amended by 

revising paragraph (a)(3) to read as 

follows: 

§ 756.1 Introduction. 

(a) * * * 

(3) A decision on a request to remove 

or modify an Entity List entry made 

pursuant to § 744.16 of the EAR or a 

decision on a request to remove an 

Unverified List entry made pursuant to 

§ 744.15 of the EAR. 

* * * * * 

PART 758—[AMENDED] 

■ 11. The authority citation for 15 CFR 

Part 758 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 

8, 2013, 78 FR 49107 (August 12, 2013). 

■ 12. Section 758.1 is amended by 

adding paragraph (b)(8) to read as 

follows: 

§ 758.1 The Automated Export System 

(AES) record. 

* * * * * 

(b) * * * 

(8) For all exports of tangible items 

subject to the EAR where parties to the 

transaction, as described in § 748.5(d)– 

(f) of the EAR, are listed on the 

Unverified List (Supplement 6 to Part 

744 of the EAR), regardless of value or 

destination. 

* * * * * 

PART 762—[AMENDED] 

■ 13. The authority citation for 15 CFR 

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 

8, 2013, 78 FR 49107 (August 12, 2013). 

■ 14. Section 762.2 is amended by 

revising paragraph (b)(13) to read as 

follows: 

§ 762.2 Records to be retained. 

* * * * * 

(b) * * * 

(13) § 744.15(b), UVL statement as 

well as any logs or records created for 

multiple exports, reexports, and 

transfers (in-country); 

* * * * * 

Dated: December 12, 2013. 

Kevin J. Wolf, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2013–30117 Filed 12–18–13; 8:45 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

21 CFR Part 10 

[Docket No. FDA 2013–S–0610] 

Citizen Petition Submission; Technical 

Amendment 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Final rule; technical 

amendment. 

SUMMARY: The Food and Drug 

Administration (FDA) is modernizing its 

administrative regulations regarding 

submission of citizen petitions to 

explicitly provide for electronic 

submission. The current regulation does 

not recognize electronic methods for 

submitting citizen petitions; thus, this 

action will enable efficiency and ease in 

the filing of citizen petitions. 

DATES: This final rule is effective 

December 19, 2013. 

FOR FURTHER INFORMATION CONTACT: Lisa 

M. Helmanis, Office of Policy, 

Regulations Policy Management Staff, 

Food and Drug Administration, 10903 

New Hampshire Ave., Silver Spring, MD 

20993, 301–796–9135. 

SUPPLEMENTARY INFORMATION: FDA is 

updating its administrative regulations 

in 21 CFR part 10 to include an 

electronic method for citizen petition 

submissions and to remove references 

only to written documents. The Agency 

still allows for non-electronic 

submissions, however, electronic 

submissions of a citizen petition to a 

specific electronic docket presents a 

simpler and straightforward approach. 

FDA has created a single docket on 

http://www.regulations.gov, the U.S. 

Government’s consolidated docket Web 

site for Federal Agencies, for the initial 

electronic submission of all citizen 

petitions. The FDA Electronic Method 

for Submission of Citizen Petitions 

Docket, Docket No. FDA 2013–S–0610, 

allows the petitioner to create an 

electronic submission through http://

www.regulations.gov and provides an 

alternative to the current system of 

submission for citizen petitions. 

Electronic submissions through http://

www.regulations.gov will provide the 

submitter with an immediate record of 

the time of submission. FDA’s Division 

of Dockets Management (DDM) (http:// 

www.fda.gov/RegulatoryInformation/

Dockets/default.htm) will continue to 

inform the submitter of formal filing; 

however, tracking will be more easily 

accomplished through electronic 

submission. 

DDM will receive the electronically 

submitted citizen petition through the 

Federal Dockets Management System, 

the Agency component of http://

www.regulations.gov. Subsequently, 

DDM will review the electronic 

submission and when it accepts the 

citizen petition for filing, DDM will 

assign a docket number to that petition, 

different from the FDA electronic 

submission docket number. This unique 

docket number from DDM identifies the 

docket for that particular citizen 

petition for all future filings and 

submissions related only to that citizen 

petition. Subsequent submissions 

associated with that citizen petition will 

refer to the assigned unique docket 

number. The advantage to this change is 

that it ensures efficiency and ease in 

communication, quicker interaction 

between citizen petitioners and FDA, 


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