a. Annual self-classification

An annual self-classification report is a requirement for items exported under License Exception ENC - 740.17(b)(1), UNLESS a Commodity Classification (CCATS) has been submitted for the item. 

You will need a copy of Supplement No. 8 to Part 742 "Self-Classification Report. 

The annual self-classification report must be submitted as an attachment to an email to BIS and the ENC Encryption Request Coordinator or sent by regular mail. 

The report has very specific format requirements outlined in Supplement No. 8 to Part 742. See example below. The information in the report must be provided in tabular or spreadsheet form, as an electronic file in comma separated values format (CSV) only. CSV format is the only format that will be accepted. 

Note: If the item is submitted for a classification request with BIS and the classification request has been issued, that item does not need to be included on the annual self-classification report. 

Each product must be included in the report only one time, in the report for the year the item was self-classified. 

Reports should be emailed to BIS and the ENC Encryption Request Coordinator at [email protected] and [email protected]. In lieu of email, submissions of disks and CDs may be mailed to BIS and the ENC Encryption Request Coordinator as specified in section 740.17(e)(3)(iii)(B) of the EAR, only if necessary. 

An annual self-classification report for applicable encryption commodities, software and components exported or reexported during a calendar year (January 1 through December 31) must be received by BIS and the ENC Encryption Request Coordinator no later than February 1 of the following year. 

If no information has changed since the previous report, an email must be sent stating that nothing has changed since the previous report, or a copy of the previously submitted report must be submitted. No self-classification report is required if no exports or reexports of applicable items were made during the calendar year. 

The table in this sample annual self-classification report  provides an example of the various fields required within the Annual Self-Classification Report as required per Supp. 8 to Part 742, section (b) and demonstrates how various instructions & tips published in Supplement 8 to part 742 works out in practice. 

• First line of the annual self-classification report must consist of the following 12 entries: PRODUCT NAME, MODEL NUMBER, MANUFACTURER, ECCN, AUTHORIZATION TYPE, ITEM TYPE, SUBMITTER NAME, TELEPHONE NUMBER, E-MAIL ADDRESS, MAILING ADDRESS, NON-U.S. COMPONENTS, NON-U.S. MANUFACTURING LOCATIONS.
• No entry may be left blank.
• PRODUCT NAME and ECCN must be completed.
• For MODEL NUMBER and MANUFACTURER, if necessary, enter "NONE" or "N/A".
• For AUTHORIZATION TYPE, enter ENC or MMKT.
• For ITEM TYPE, pick from the list of item types provided in the Supp. 8 to Part 742 (a)(6).
• Column headers SUBMITTER NAME through NON-U.S. MANUFACTURING LOCATIONS relate to the company as a whole, and thus should be entered the same for each product (i.e., only one point of contact, one ‘YES’ or ‘NO’ answer to whether any of the reported products incorporate non-U.S. sourced encryption components, and one list of non-U.S. manufacturing locations, is required for the report). Duplicate this information into each row of the spreadsheet
• The only permitted use of a comma is the necessary separator between the 12 entries for each line item. The only commas allowed are the ones inserted automatically during spreadsheet conversion.
• An encryption self-classification report data table created and stored in spreadsheet format can be converted and saved into a comma delimited file (.CSV) format directly from the spreadsheet program.