[Federal Register Volume 64, Number 70 (Tuesday, April 13, 1999)]
[Rules and Regulations]
[Pages 17968-17975]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-9160]
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DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 738, 740, 742, 748, 762, and 774
[Docket No. 981222316-8316-01]
RIN 0694-AB68
Exports of Firearms
AGENCY: Bureau of Export Administration, Commerce.
ACTION: Interim rule with request for comments.
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SUMMARY: On April 18, 1998, President Clinton announced at the Santiago
Summit in Chile that the United States would promulgate regulations
based on the Organization of American States (OAS) Model Regulations
for the Control of the International Movement of Firearms, their Parts
and Components and Ammunition (referred to as the ``OAS Model
Regulations''). The Bureau of Export Administration (BXA) is revising
the Export Administration Regulations (EAR) to implement export control
measures agreed to by members of the OAS and set forth in the OAS Model
Regulations. The OAS Model Regulations were developed to assist OAS
member countries in implementing the Inter-American Convention Against
the Illicit Manufacturing of and Trafficking in Firearms, Ammunition,
Explosives, and Other Related Materials (Firearms Convention). OAS
member countries agreed to impose an import and export license
requirement to effectively combat the illicit manufacturing of and
trafficking in firearms, ammunition, explosives, and other related
materials. Though the Firearms Convention has yet to enter into force,
most OAS member countries, including the United States, are taking
actions in advance of the Convention's entry into force based on the
OAS agreed Model Regulations to control the flow of firearms items
because of their links to such activities as drug trafficking,
terrorism, transnational organized crime, and mercenary and other
criminal activities.
DATES: Effective Date: This rule is effective April 13, 1999.
Grace Period: A 90-day grace period will apply to the requirement
to obtain the Firearms Import Certificate or equivalent official
document. During the grace period, applications will be accepted
whether or not supported by the Firearms Import Certificate.
COMMENTS: Comments on this rule must be received on or before May 28,
1999.
ADDRESSES: Written comments on this rule should be sent to Patricia
Muldonian, Regulatory Policy Division, Bureau of Export Administration,
Department of Commerce, P.O. Box 273, Washington, DC 20044.
FOR FURTHER INFORMATION CONTACT: Joan Roberts, Director, Foreign Policy
Division, Bureau of Export Administration, Telephone: (202) 482-0171.
SUPPLEMENTARY INFORMATION:
Background
On November 14, 1997, twenty-nine members of the Organization of
American States (OAS), including the United States, signed the Inter-
American Convention Against the Illicit Manufacturing of and
Trafficking in Firearms, Ammunition, Explosives, and Other Related
Materials (Firearms Convention). Subsequently, the Bahamas and Trinidad
and Tobago signed the Treaty bringing the number of signatories to
thirty-one. The Firearms Convention requires all OAS Member States to
establish a program to issue authorizations for the import and export
of firearms. The Firearms Convention will enter into force after the
deposit of instruments of ratification by two Signatory States. To
date, only one Convention Signatory, Belize, has ratified the Treaty.
The Firearms Convention constitutes the first multilateral treaty
of its kind in the world, and it is expected to enhance multilateral
cooperation among the governments of the Americas in the battle against
the illicit manufacturing of and trafficking in firearms, ammunition,
explosives, and other related materials. The problem of illicit
transnational trade in firearms is of particular concern to the
governments of North and South America due to the violence it breeds
and the links it often has with organized criminal activity, such as
drug trafficking and terrorism.
The OAS member countries include: Antigua and Barbuda, Argentina,
the Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile,
Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El
Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico,
Nicaragua, Panama, Paraguay, Peru, Saint Kitts and Nevis, Saint Lucia,
Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, the
United States, Uruguay, and Venezuela.
OAS members also approved, in November 1997, the Model Regulations
for the Control of the International Movement of Firearms, Their Parts
and Components and Ammunition (OAS Model Regulations) to promote
harmonized procedures for import and export controls over the legal
international movement of firearms. The OAS Model Regulations do not
address explosives and related materials.
On April 18, 1998, at the Santiago Summit held in Chile, President
Clinton announced that the United States would issue regulations based
on the OAS Model Regulations and that the Firearms Convention would be
sent to the Senate for its advice and consent for ratification.
President Clinton stated that these measures will further multilateral
cooperation to prevent and combat illicit transnational traffic in
firearms and ammunition, while establishing and strengthening systems
to enhance the tracing of firearms used in criminal activities.
The OAS Model Regulations affect most firearms items on the
Commerce Control List (CCL) classified under the following Export
Control Classification Numbers (ECCNs): (1) 0A984, Shotguns with a
barrel length 18 inches or over and related parts, and buckshot shotgun
shells; (2) 0A986, Shotgun shells, and related parts; and (3) 0A987,
Optical sighting devices. Following the President's directive, BXA is
imposing a new license requirement for exports to Canada of all items
controlled by ECCN 0A984, 0A986, or 0A987. A license is already
required for crime control
[[Page 17969]]
reasons albeit subject to different licensing policies for the export
of most firearms items to other OAS member countries.
The OAS Model Regulations also set forth requirements for the
government of OAS importing countries to issue an Import Certificate to
the importer of firearms, which is to include the total quantity of
firearms and a detailed description of the item(s). Accordingly, BXA is
imposing a new Import Certificate requirement for export of items
classified as ECCNs 0A984, 0A986, or 0A987 to all OAS member countries,
including Canada. The Import Certificate or an equivalent official
document must be sent by the importer to the exporter as support
documentation for a license application. The exporter must obtain the
Import Certificate or equivalent official document prior to applying
for a license. While the exporter may submit the application on receipt
of a facsimile copy of the Import Certificate or equivalent official
document, he must have the original in his possession before export.
The exporter must retain the Import Certificate or equivalent official
document in his files and produce it if requested to do so by BXA, in
accordance with the recordkeeping requirements of the EAR.
In addition, for clarity and consistency, this rule transfers
optical sighting devices from ECCN 0A985 to a newly created ECCN 0A987.
Although the Export Administration Act (EAA) expired on August 20,
1994, the President invoked the International Emergency Economic Powers
Act and continued in effect the Export Administration Regulations and,
to the extent permitted by law, the provisions of the EAA in Executive
Order 12924 of August 19, 1994, as extended by the President's notices
of August 15, 1995 (60 FR 42767), August 14, 1996 (61 FR 42527), August
13, 1997 (62 FR 43629) and August 13, 1998 (63 FR 44121).
Under a policy of conforming actions under the Executive Order to
those under the EAA, insofar as appropriate, the Department of Commerce
notified the Congress of this imposition of foreign policy controls on
December 28, 1998.
Rulemaking Requirements
1. This interim rule has been determined to be significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to, nor shall any person be subject to a penalty for failure
to comply with a collection of information, subject to the Paperwork
Reduction Act (PRA), unless that collection of information displays a
currently valid OMB Control Number. This rule also contains a new
collection-of-information requirement subject to the PRA that has
received emergency approval under OMB control number 0694-0114. The new
information requirement and estimated public burden hours include:
import certificates and associated activities (5 minutes to one hour
each) and licenses to Canada (42.5 minutes each). This rule also
involves a collection of information approved by the Office of
Management and Budget under control number 0694-0088, ``Multi-Purpose
Application,'' which carries a burden hour estimate of 42.5 minutes per
submission. These estimates include the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collections of information. Comments are invited on: (a) whether the
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information shall
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the proposed collection of information; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.
Comments regarding these burden estimates or any other aspect of the
collection of information, including suggestions for reducing the
burdens, should be forwarded to Patricia Muldonian, Regulatory Policy
Division, Office of Exporter Services, Bureau of Export Administration,
Department of Commerce, P.O. Box 273, Washington, DC 20044, and David
Rostker, Office of Management and Budget, OMB/OIRA, 725 17th Street,
NW., NEOB Rm. 10202, Washington, DC 20503.
3. This rule does not contain policies with Federalism implications
sufficient to warrant preparation of a Federalism assessment under
Executive Order 12612.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (Sec. 5 U.S.C. 553(a)(1)). Further, no
other law requires that a notice of proposed rulemaking and an
opportunity for public comment be given for this interim rule. Because
a notice of proposed rulemaking and an opportunity for public comment
are not required to be given for this rule under 5 U.S.C. 553 or by any
other law, the analytical requirements of the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.) are not applicable.
However, because of the importance of the issues raised by these
regulations, this rule is being issued in interim form and BXA will
consider comments in the development of the final regulations.
Accordingly, the Department encourages interested persons who wish
to comment to do it at the earliest possible time to permit the fullest
consideration of their views.
The period for submission of comments will close May 28, 1999. The
Department will consider all comments received before the close of the
comment period in developing final regulations. Comments received after
the end of the comment period will be considered if possible, but their
consideration cannot be assured. The Department will not accept public
comments accompanied by a request that a part or all of the material be
treated confidentially because of its business proprietary nature or
for any other reason. The Department will return such comments and
materials to the persons submitting the comments and will not consider
them in the development of final regulations. All public comments on
these regulations will be a matter of public record and will be
available for public inspection and copying. In the interest of
accuracy and completeness, the Department requires comments in written
form.
Oral comments must be followed by written memoranda, which will
also be a matter of public record and will be available for public
review and copying.
The public record concerning these regulations will be maintained
in the Bureau of Export Administration Freedom of Information Records
Inspection Facility, Room 6881, Department of Commerce, 14th Street and
Pennsylvania Avenue, N.W., Washington, D.C. 20230. Records in this
facility, including written public comments and memoranda summarizing
the substance of oral communications, may be inspected and copied in
accordance with regulations published in part 4 of Title 15 of the Code
of Federal Regulations. Information about the inspection and copying of
records at the facility may be obtained from Henry Gaston, Bureau of
Export Administration Freedom of Information Officer, at the above
address or by calling (202) 482-5653.
[[Page 17970]]
List of Subjects
15 CFR Parts 738, 742 and 774
Exports, Foreign Trade.
15 CFR Parts 740 and 748
Administrative practice and procedure, Exports, Foreign Trade,
Reporting and recordkeeping requirements.
15 CFR Part 762
Administrative practice and procedures, Business and industry,
Confidential business information, Exports, Foreign Trade, Reporting
and recordkeeping requirements.
Accordingly, parts 738, 740, 742, 748, 762, and 774 of the Export
Administration Regulations (15 CFR parts 730-799) are amended to read
as follows:
1. The authority citation for parts 738 and 774 is revised to read
as follows:
Authority: 50 U.S.C. app. 2401 et seq., 1701 et seq., app. 5; 10
U.S.C. 7420, 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C. 287c, 3201
et seq., 6004; Sec. 201, Pub. L. 104-58, 109 Stat. 557 (30 U.S.C.
185(s), 185(u)); 42 U.S.C. 2139a, 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; E.O. 12924, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 3 CFR,
1996 Comp., p. 228; and Notice of August 13, 1998 (63 FR 44121,
August 17, 1998).
2. The authority citation for parts 740, 748, and 762 is revised to
read as follows:
Authority: 50 U.S.C. app. 2401 et seq., 1701 et seq.; E.O.
12924, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 3 CFR, 1996 Comp., p.
228 (1997); Notice of August 13, 1998 (63 FR 44121, August 17,
1998); and Pub. L. 105-85, 111 Stat. 1629.
3. The authority citation for part 742 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq., 1701 et seq.; 18 U.S.C.
2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; E.O. 12058, 3
CFR, 1978 Comp., p. 179; E.O. 12851, 3 CFR 1993 Comp., p. 608; E.O.
12924, 3 CFR, 1994 Comp., p. 917; E.O. 12938, 3 CFR, 1994 Comp., p.
950; E.O. 13026, 3 CFR, 1996 Comp., p. 228 (1997); Notice of August
13, 1998 (63 FR 44121, August 17, 1998); and Pub. L. 105-85, 111
Stat. 1629.
PART 738--[AMENDED]
Sec. 738.2 [Amended]
4. Section 738.2 is amended by adding ``FC Firearms Convention'' in
alphabetical order to the list of Reasons for Control in paragraph
(d)(2)(i)(A).
5. Supplement No. 1 to part 738, the Commerce Country Chart, is
amended by adding ``FC Column 1''. For the convenience of the reader,
the chart is revised to read as follows:
Supplement No. 1 to Part 738--[Amended]
Supplement No. 1 to Part 738--Commerce Country Chart
[Reason for control]
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Chemical and biological Nuclear National security Missile Regional Firearms Crime control Anti-terrorism
weapons nonproliferation -------------------- tech stability convention -------------------------------------------------
Countries -------------------------------------------------- ------------------------------------------
CB 1 CB 2 CB 3 NP 1 NP 2 NS 1 NS 2 MT 1 RS 1 RS 2 FC 1 CC 1 CC 2 CC 3 AT 1 AT 2
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Afghanistan................... X X X X X X X X X X X
Albania....................... X X X X X X X X X X
Algeria....................... X X X X X X X X X X
Andorra....................... X X X X X X X X X X
Angola \1\.................... X X X X X X X X X X
Antigua and Barbuda........... X X X X X X X X X X X
Argentina..................... X X X X X X X X X
Armenia....................... X X X X X X X X X X X
Australia..................... X X X X
Austria....................... X X X X X X X
Azerbaijan.................... X X X X X X X X X X X
Bahamas, The.................. X X X X X X X X X X X
Bahrain....................... X X X X X X X X X X X
Bangladesh.................... X X X X X X X X X X
Barbados...................... X X X X X X X X X X X
Belarus....................... X X X X X X X X X X X
Belgium....................... X X X X
Belize........................ X X X X X X X X X X X
Benin......................... X X X X X X X X X X
Bhutan........................ X X X X X X X X X X
Bolivia....................... X X X X X X X X X X X
Bosnia and Herzegovina........ X X X X X X X X X X
Botswana...................... X X X X X X X X X X
Brazil........................ X X X X X X X X X X
Brunei........................ X X X X X X X X X X
Bulgaria...................... X X X X X X X X X X
Burkina Faso.................. X X X X X X X X X X
Burma......................... X X X X X X X X X X X
Burundi....................... X X X X X X X X X X
Cambodia...................... X X X X X X X X X X
Cameroon...................... X X X X X X X X X X
Canada........................ X
Cape Verde.................... X X X X X X X X X X
Central African Republic...... X X X X X X X X X X
Chad.......................... X X X X X X X X X X
Chile......................... X X X X X X X X X X X
China......................... X X X X X X X X X X X
Colombia...................... X X X X X X X X X X X
Comoros....................... X X X X X X X X X X
Congo......................... X X X X X X X X X X
Costa Rica.................... X X X X X X X X X X X
Cote d'Ivoire................. X X X X X X X X X X
Croatia....................... X X X X X X X X X X
Cuba.......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination.
Cyprus........................ X X X X X X X X X X
Czech Republic................ X X X X X X X X
[[Page 17971]]
Denmark....................... X X X X
Djibouti...................... X X X X X X X X X X
Dominica...................... X X X X X X X X X X X
Dominican Republic............ X X X X X X X X X X X
Ecuador....................... X X X X X X X X X X X
Egypt......................... X X X X X X X X X X X
El Salvador................... X X X X X X X X X X X
Equatorial Guinea............. X X X X X X X X X X
Eritrea....................... X X X X X X X X X X
Estonia....................... X X X X X X X X X X
Ethiopia...................... X X X X X X X X X X
Fiji.......................... X X X X X X X X X X X
Finland....................... X X X X X X X
France........................ X X X X
Gabon......................... X X X X X X X X X X
Gambia, The................... X X X X X X X X X X
Georgia....................... X X X X X X X X X X X
Germany....................... X X X X
Ghana......................... X X X X X X X X X X
Greece........................ X X X X
Grenada....................... X X X X X X X X X X X
Guatemala..................... X X X X X X X X X X X
Guinea........................ X X X X X X X X X X
Guinea-Bissau................. X X X X X X X X X X
Guyana........................ X X X X X X X X X X X
Haiti......................... X X X X X X X X X X X
Honduras...................... X X X X X X X X X X X
Hong Kong..................... X X X X X \2\ X X X X X
Hungary....................... X X X X X X X X
Iceland....................... X X X X X X
India......................... X X X X X X X X X X X X
Indonesia..................... X X X X X X X X X X
Iran.......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination.
Iraq \1\...................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination.
Ireland....................... X X X X X X X
Israel........................ X X X X X X X X X X X X
Italy......................... X X X X
Jamaica....................... X X X X X X X X X X X
Japan......................... X X X X
Jordan........................ X X X X X X X X X X X
Kazakhstan.................... X X X X X X X X X X X
Kenya......................... X X X X X X X X X X
Kiribati...................... X X X X X X X X X X
Korea, North.................. See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination.
Korea, South.................. X X X\2\ X X X X X
Kuwait........................ X X X X X X X X X X X
Kyrgyzstan.................... X X X X X X X X X X X
Laos.......................... X X X X X X X X X X
Latvia........................ X X X X X X X X X X
Lebanon....................... X X X X X X X X X X X
Lesotho....................... X X X X X X X X X X
Liberia....................... X X X X X X X X X X
Libya......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination.
Liechtenstein................. X X X X X X X X X X
Lithuania..................... X X X X X X X X X X
Luxembourg.................... X X X X
FYROM (Macedonia)............. X X X X X X X X X X
Madagascar.................... X X X X X X X X X X
Malawi........................ X X X X X X X X X X
Malaysia...................... X X X X X X X X X X
Maldives...................... X X X X X X X X X X
Mali.......................... X X X X X X X X X X
Malta......................... X X X X X X X X X X
Marshall Islands.............. X X X X X X X X X X
Mauritania.................... X X X X X X X X X X
Mauritius..................... X X X X X X X X X X
Mexico........................ X X X X X X X X X X X
Micronesia.................... X X X X X X X X X X
Moldova....................... X X X X X X X X X X X
Monaco........................ X X X X X X X X X X
Mongolia...................... X X X X X X X X X X X
Morocco....................... X X X X X X X X X X
Mozambique.................... X X X X X X X X X X
Namibia....................... X X X X X X X X X X
Nauru......................... X X X X X X X X X X
Nepal......................... X X X X X X X X X X
[[Page 17972]]
Netherlands................... X X X X
New Zealand................... X X X X
Nicaragua..................... X X X X X X X X X X X
Niger......................... X X X X X X X X X X
Nigeria....................... X X X X X X X X X X
Norway........................ X X X X
Oman.......................... X X X X X X X X X X X
Pakistan...................... X X X X X X X X X X X X
Palau......................... X X X X X X X X X X
Panama........................ X X X X X X X X X X X
Papua New Guinea.............. X X X X X X X X X X
Paraguay...................... X X X X X X X X X X X
Peru.......................... X X X X X X X X X X X
Philippines................... X X X X X X X X X X
Poland........................ X X X X X X X X
Portugal...................... X X X X
Qatar......................... X X X X X X X X X X X
Romania....................... X X X X X X X X
Russia........................ X X X X X X X X X X
Rwanda \1\.................... X X X X X X X X X X X
St. Kitts and Nevis........... X X X X X X X X X X X X
St. Lucia..................... X X X X X X X X X X X
St. Vincent and Grenadines.... X X X X X X X X X X X
San Marino.................... X X X X X X X X X X
Sao Tome and Principe......... X X X X X X X X X X
Saudi Arabia.................. X X X X X X X X X X X
Senegal....................... X X X X X X X X X X
Serbia and Montenegro......... X X X X X X X X X X
Seycheles..................... X X X X X X X X X X
Sierra Leone.................. X X X X X X X X X X
Singapore..................... X X X X X X X X X X
Slovakia...................... X X X X X X X X
Slovenia...................... X X X X X X X X X X
Solomon Islands............... X X X X X X X X X X
Somalia....................... X X X X X X X X X X
South Africa.................. X X X X X X X X X
Spain......................... X X X X
Sri Lanka..................... X X X X X X X X X X
Sudan......................... X X X X X X X X X X X X
Suriname...................... X X X X X X X X X X X
Swaziland..................... X X X X X X X X X X
Sweden........................ X X X X X X X
Switzerland................... X X X X X X X
Syria......................... X X X X X X X X X X X X
Taiwan........................ X X X X X X X X X X X
Tajikistan.................... X X X X X X X X X X X
Tanzania...................... X X X X X X X X X X
Thailand...................... X X X X X X X X X X
Togo.......................... X X X X X X X X X X
Tonga......................... X X X X X X X X X X
Trinidad and Tobago........... X X X X X X X X X X X
Tunisia....................... X X X X X X X X X X
Turkey........................ X X X X X X
Turkmenistan.................. X X X X X X X X X X X
Tuvalu........................ X X X X X X X X X X
Uganda........................ X X X X X X X X X X
Ukraine....................... X X X X X X X X X X
United Arab Emirates.......... X X X X X X X X X X X
United Kingdom................ X X X X
Uruguay....................... X X X X X X X X X X X
Uzbekistan.................... X X X X X X X X X X X
Vanuatu....................... X X X X X X X X X X
Vatican City.................. X X X X X X X X X X
Venezuela..................... X X X X X X X X X X X
Vietnam....................... X X X X X X X X X X X
Western Sahara................ X X X X X X X X X X
Western Samoa................. X X X X X X X X X X
Yemen......................... X X X X X X X X X X X
Zaire......................... X X X X X X X X X X
Zambia........................ X X X X X X X X X X
Zimbabwe...................... X X X X X X X X X X
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\1\ This country is subject to United Nations Sanctions. See part 746 of the EAR for additional OFAC licensing requirements that may apply to your proposed transaction.
\2\ A license is required only for computers controlled by 4A001, 4A002, & 4A003 if the CTP is greater than 10,000 Mtops. A license is NOT required for any other items subject to NS Column 2.
[[Page 17973]]
PART 740--[AMENDED]
6. Section 740.14 is amended by adding a sentence to the end of
paragraph (e)(1)(iii) to read as follows:
Sec. 740.14 Baggage (BAG).
* * * * *
(e) * * *
(1) * * *
(iii) * * * Note that since certain countries may require an Import
Certificate or a U.S. export license before allowing the import of a
shotgun, you should determine the import requirements of your country
of destination in advance.
* * * * *
PART 742--[AMENDED]
7. Part 742 is amended by adding a new Sec. 742.17 to read as
follows:
Sec. 742.17 Exports of firearms to OAS member countries.
(a) License requirements. BXA maintains a licensing system for the
export of shotguns and related items to all OAS member countries. This
action is based on the Organization of American States (OAS) Model
Regulations for the Control of the International Movement of Firearms,
their Parts and Components and Munitions (OAS Model Regulations) which
were developed to assist OAS member countries to implement the Inter-
American Convention Against the Illicit Manufacturing of and
Trafficking in Firearms, Ammunition, Explosives, and Other Related
Materials (Firearms Convention).1 Items subject to these
controls are identified by ``FC Column 1'' in the ``License
Requirements'' section of their Export Control Classification Number
(ECCN) on the Commerce Control List (CCL). If ``FC Column 1'' of the
Commerce Country Chart (Supplement No. 1 to part 738 of the EAR) is
indicated for a particular country, a license is required for export to
that destination. Licenses will generally be issued on an Import
Certificate or equivalent official document, satisfactory to BXA,
issued by the government of the importing country is also required for
the export of such items to OAS member countries.
---------------------------------------------------------------------------
\1\ Status of Convention as of April 13, 1999 had not entered
into force.
---------------------------------------------------------------------------
(b) Licensing policy. Applications supported by an Import
Certificate or equivalent official document issued by the government of
the importing country for such items will generally be approved, except
there is a policy of denial for applications to export items linked to
such activities as drug trafficking, terrorism, and transnational
organized crime.
(c) Contract sanctity. Contract sanctity provisions are not
available for license applications under this Sec. 742.17.
(d) OAS Model Regulations. The OAS Model Regulations on which
regulations are based are designed by OAS member countries to combat
illicit manufacturing of and trafficking in firearms, ammunition,
explosives, and other related materials in North and South America
because of their links to such activities as drug trafficking,
terrorism, and transnational organized crime.
(e) OAS member countries to which firearms controls under this
section apply. The OAS member countries include: Antigua and Barbuda,
Argentina, the Bahamas, Barbados, Belize, Bolivia, Brazil, Canada,
Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El
Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico,
Nicaragua, Panama, Paraguay, Peru, St. Kitts and Nevis, Saint Lucia,
Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, the
United States, Uruguay, and Venezuela.
(f) Items/Commodities. Items requiring a license under this section
are ECCNs 0A984 (shotguns with a barrel length 18 inches or over and
related parts, and buckshot shotgun shells), 0A986 (shotgun shells, and
related parts) and 0A987 (optical sighting devices). (See Supplement
No. 1 to Part 774 of the EAR.)
(g) Validity period for licenses. Although licenses generally will
be valid for a period of two years, your ability to ship items that
require an Import Certificate or equivalent official document under
this section may be affected by the validity of the Import Certificate
or equivalent official document (see Sec. 748.14(f) of the EAR).
PART 748--[AMENDED]
8. Section 748.9 is amended by revising the introductory text of
paragraph (a) to read as follows:
Sec. 748.9 Support documents for license applications.
(a) Exemptions. If you plan to submit a license application
involving one of the following situations and your item is not a
firearms item destined for an OAS member country, no support
documentation is required. Simply submit the license application. If
your item is a firearms item (Reason for Control identified as ``FC''
on the Commerce Control List, Supplement No. 1 to part 774 of the EAR)
destined for an OAS member country, proceed to Sec. 748.14 of this
part.
* * * * *
9. Part 748 is amended by adding a new Section 748.14 to read as
follows:
Sec. 748.14 Import Certificate for firearms destined for Organization
of American States member countries.
(a) Scope. Consistent with the OAS Model Regulations, BXA requires
from all OAS member countries an Import Certificate issued by the
government of the importing country for items classified as ECCNs
0A984, 0A986, or 0A987. For those OAS member countries that have not
yet established or implemented an Import Certificate procedure, BXA
will accept an equivalent official document (e.g., import license or
letter of authorization) issued by the government of the importing
country as supporting documentation for the export of firearms. This
section describes the requirements for Import Certificates or official
equivalents in support of license applications submitted to BXA for
firearms items that are identified by ``FC Column 1'' in the ``License
Requirements'' section of the Commerce Control List.
(b) Import Certificate Procedure. An Import Certificate or
equivalent official document must be obtained from the government of
the importing OAS member country for firearms items classified as ECCNs
0A984, 0A986, or 0A987. Except as provided by Sec. 748.9(a) of the EAR,
the applicant must obtain and retain on file either the original or
certified copy of the Import Certificate, or an original or certified
copy of equivalent official document issued by the government of the
importing country in support of any license application for export of
firearms items classified as 0A984, 0A986, or 0A987. All the
recordkeeping provisions of Sec. 762.2 of the EAR apply to this
requirement. The applicant must clearly note the number and date of the
Import Certificate or equivalent official document on all export
license applications (BXA Form 748P, Multipurpose Application Form,
Block 13) supported by that Certificate or equivalent official
document. The applicant must also indicate in Block 7 of the
application that the Certificate or equivalent official document has
been received and will be retained on file. However, the applicant may
submit an application before obtaining the original or certified copy
of the Import Certificate, or the official original or certified copy
of the equivalent document, provided that:
[[Page 17974]]
(1) The applicant has received a facsimile of the Import
Certificate or equivalent official document at the time the license
application is filed; and
(2) The applicant states on the application that a facsimile of the
Import Certificate or equivalent official document has been received
and that no shipment will be made against the license prior to
obtaining the original or certified copy of the Import Certificate or
the original or certified copy of the equivalent official document
issued by the importing country and retaining it on file. Generally,
BXA will not consider any license application for the export of
firearms items if the application is not supported by an Import
Certificate or its official equivalent. If the government of the
importing country will not issue an Import Certificate or its official
equivalent, the applicant must supply the information described in
paragraphs (g)(2)(i) and (g)(2)(vi) through (viii) of this section on
company letterhead.
(c) Countries to which firearms controls apply. The firearms
controls apply to all OAS member countries: Antigua and Barbuda,
Argentina, the Bahamas, Barbados, Belize, Bolivia, Brazil, Canada,
Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El
Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico,
Nicaragua, Panama, Paraguay, Peru, St. Kitts and Nevis, Saint Lucia,
Saint Vincent and the Grenadines, Suriname, Trinidad and Tobago, the
United States, Uruguay, and Venezuela.
(d) Items/Commodities. An Import Certificate or equivalent official
document is required for items controlled under Export Control
Classification Numbers (ECCNs) 0A984, 0A986, or 0A987.
(e) Use of the Import Certificate. An Import Certificate or
equivalent official document can only be used to support one BXA Form-
748P, Multipurpose Application. The BXA Form-748P, Multipurpose
Application, must include the same items as those listed on the Import
Certificate or the equivalent official document.
(f) Validity period. Import Certificates or equivalent official
documents issued by an OAS member country will be valid for a period of
one year or less. Although licenses generally are valid for two years,
your ability to ship may be affected by the validity of the Import
Certificate or equivalent official document.
(g) How to obtain an Import Certificate for firearms items destined
to OAS member countries. (1) Applicants must request that the importer
(e.g., ultimate consignee or purchaser) obtain the Import Certificate
or an equivalent official document from the government of the importing
country, and that it be issued covering the quantities and types of
items that the applicant intends to export. Upon receipt of the Import
Certificate or its official equivalent, the importer must provide the
original or a certified copy of the Import Certificate or the original
or a certified copy of the equivalent official document to the
applicant. The applicant shall obtain the required documents prior to
submitting a license application, except as provided in paragraphs
(b)(1) and (b)(2) of this section.
(2) The Import Certificate or its official equivalent must contain
the following information:
(i) Applicant's name and address. The applicant may be either the
exporter, supplier, or order party.
(ii) Import Certificate Identifier/Number.
(iii) Name of the country issuing the certificate or unique country
code.
(iv) Date the Import Certificate was issued, in international date
format (e.g., 24/12/98 (24 December 1998), or 3/1/99 (3 January 1999)).
(v) Name of the agency issuing the certificate, address, telephone
and facsimile numbers, signing officer name, and signature.
(vi) Name of the importer, address, telephone and facsimile
numbers, country of residence, representative's name if commercial or
government body, citizenship, and signature.
(vii) Name of the end-user(s), if known and different from the
importer, address, telephone and facsimile numbers, country of
residence, representative's name if commercial (authorized distributor
or reseller) or government body, citizenship, and signature. Note that
BXA does not require the identification of each end-user when the
firearms items will be resold by a distributor or reseller if unknown
at the time of export.
(viii) Description of the items approved for import including a
technical description and total quantity of firearms, parts and
components, ammunition and parts.
Note to paragraph (g)(2)(viii): You must furnish the consignee
with a detailed technical description of each item to be given to
the government for its use in issuing the Import Certificate. For
example, for shotguns, provide the type, barrel length, overall
length, number of shots, the manufacturer's name, the country of
manufacture, and the serial number for each shotgun. For ammunition,
provide the caliber, velocity and force, type of bullet,
manufacturer's name and country of manufacture.
(ix) Expiration date of the Import Certificate in international
date format (e.g., 24/12/98) or the date the items must be imported,
whichever is earlier.
(x) Name of the country of export (i.e., United States).
(xi) Additional information. Certain countries may require the
tariff classification number, by class, under the Brussels Convention
(Harmonized Tariff Code) or the specific technical description of an
item. For example, shotguns may need to be described in barrel length,
overall length, number of shots, manufacturer's name and country of
manufacture. The technical description is not the Export Control
Classification Number (ECCN).
(h) Where to obtain Import Certificates. See Supplement No. 6 to
this part for a list of the OAS member countries' authorities
administering the Import Certificate System.
(i) Alterations. After an Import Certificate or official equivalent
document is used to support the issuance of a license, no corrections,
additions, or alterations may be made on the Certificate by any person.
If you desire to explain any information contained on the Import
Certificate or official equivalent document, you may attach a signed
statement to the Import Certificate or official equivalent.
(j) Request for return of Import Certificates. A U.S. exporter may
be requested by a foreign importer to return an unused Import
Certificate. Refer to Sec. 748.9(j) of this part for procedures and
recordkeeping requirements for returning an Import Certificate retained
by the applicant.
10. Part 748 is amended by adding a new Supplement No. 6 to read as
follows:
Supplement No. 6. To part 748--Authorities Issuing Import
Certificates Under the Firearms Convention
[Reserved]
[Status of Convention as of April 13, 1999 had not entered into force.]
PART 762--[AMENDED]
11. Section 762.2 is amended by revising paragraph (b)(36) and
adding (b)(37) and paragraph (b)(38) to read as follows:
Sec. 762.2 Records to be retained.
* * * * *
(b) * * *
(36) Sec. 766.10, Subpoenas;
(37) Sec. 743.1, Wassenaar reports; and
(38) Sec. 748.14, Exports of firearms.
PART 774--[AMENDED]
12. In Supplement No. 1 to part 774 (the Commerce Control List),
Category
[[Page 17975]]
0--Nuclear Materials, Facilities, and Equipment [and Miscellaneous
Items], the following Export Control Classification Numbers (ECCNs) are
amended:
a. By revising the License Requirements section for ECCNs 0A984 and
0A986;
b. By revising the entry heading for ECCN 0A985; and
c. By adding a new ECCN 0A987, to read as follows:
0A984 Shotguns, barrel length 18 inches (45.72 cm) inches or over;
buckshot shotgun shells; except equipment used exclusively to treat or
tranquilize animals, and except arms designed solely for signal, flare,
or saluting use; and parts, n.e.s.
License Requirements
Reason for Control: CC, FC, UN
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
FC applies to entire entry............... FC Column 1
CC applies to shotguns with a barrel CC Column 1
length over 18 in. (45.72 cm) but less
than 24 in. (60.96 cm) or buckshot
shotgun shells controlled by this entry,
regardless of end-user.
CC applies to shotguns with a barrel CC Column 2
length greater than or equal to 24 in.
(60.96 cm), regardless of end-user.
CC applies to shotguns with a barrel CC Column 3
length greater than or equal to 24 in.
(60.96 cm) if for sale or resale to
police or law enforcement.
UN applies to entire entry............... Rwanda; Federal Republic of
Yugoslavia (Serbia and
Montenegro)
------------------------------------------------------------------------
* * * * *
0A985 Discharge type arms (for example, stun guns, shock batons,
electric cattle prods, immobilization guns and projectiles, etc.)
except equipment used exclusively to treat or tranquilize animals, and
except arms designed solely for signal, flare, or saluting use; and
parts, n.e.s.
* * * * *
0A986 Shotgun shells, except buckshot shotgun shells, and parts.
License Requirements
Reason for Control: FC, UN
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
FC applies to entire entry............... FC Column 1
UN applies to entire entry............... Rwanda; Federal Republic of
Yugoslavia (Serbia and
Montenegro)
------------------------------------------------------------------------
* * * * *
0A987 Optical sighting devices for firearms (including shotguns
controlled by 0A984); and parts, n.e.s.
License Requirements
Reason for Control: FC, CC, UN
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
FC applies to optical sights for FC Column 1
firearms, including shotguns described
in ECCN 0A984, and related parts.
CC applies to entire entry............... CC Column 1
UN applies to entire entry............... Rwanda; Federal Republic of
Yugoslavia (Serbia and
Montenegro)
------------------------------------------------------------------------
* * * * *
Dated: April 6, 1999.
R. Roger Majak,
Assistant Secretary for Export Administration.
[FR Doc. 99-9160 Filed 4-12-99; 8:45 am]
BILLING CODE 3510-33-P