The following guidance has been prepared for exporters to use in submitting export license applications involving High Performance Computers (HPCs). You are encouraged to follow these guidelines to assist us in processing your application more efficiently. It is in your best interest to provide all the necessary information when the application is first submitted so that we can properly analyze the transaction and refer it to the appropriate U.S. Government agencies.
This section is a clarification of instructions for license application. Please refer to Part 748 of the Export Administration Regulations for additional guidance.
Blocks 1-3: Name and numbers of a contact person able to answer technical questions
Block 4: Date application submitted
Block 5: Mark "Export" or "Reexport"
Block 6: Mark applicable blocks - at a minimum, applicant must submit a letter of explanation and technical specifications; Import/end-user certificate if applicable.
Block 7: Mark applicable blocks
Block 8: N/A
Block 9: Type: "High-Perf. Computer"
Block 10: Provide only if applicable
Block 11: Provide only if applicable
Block 12: N/A
Block 13: Provide for only those countries requiring import/end-user certificates.
Block 14: Applicant
Block 15: Provide only if applicable
Block 16: Purchaser name and address
Block 17: Provide only if applicable
Block 18: This block must contain the "installation address" for the HPC
Block 19: May be same as Block 18, or used for 2 or more systems at different locations
Block 20: Provide only if a re-export
Block 21: Provide specific end-use information
Block 22a: Provide ECCN of the item(s) (e.g., 4A003.b, 4A001)
Block 22b: Provide the final WT value of the computer system. For example, if the end user already has received a HPC and this export is upgrading the current system, provide the value of the final system with the upgrade.
Block 22c: Model Number
Block 22d: Provide only if applicable
Block 22e: Number of systems or CPUs for an upgrade
Block 22f: "Each"
Block 22g: Unit price
Block 22h: Total price of all units
Block 22i: Manufacturer
Block 22j: Provide number of CPUs, GHz, WT value , whether a system upgrade or cluster. The following is a good example:
Block 23: Dollar value of all items listed on the application
Block 24: Provide a short description in 2 important areas: 1) State whether or not there will be remote access end-users. If there are remote access end-users, identify the type of computational access; 2) Status of relevant support documents.
Block 25: Signature
Insufficient information or lack of proper support documents will delay the license application or lead to the application being returned without action (RWA). To avoid such delays, please submit the following documents with your license application.
In addition to the required support documents, a letter of explanation should accompany each license application. The letter should contain the following information (for electronic submissions, this information may be submitted in the additional information block, but if you intend to send extra information please inform us in the additional information block that this information is forthcoming):
Identify name, location, type of business of the end-user.
Identify the specific end-use/s of the HPC and, if known, the types of software applications that will be loaded on the HPC.
Discuss configuration of the HPC: Number of CPUs, MHZ, WT value of each CPU , and total WT value of the computer system. Identify whether this transaction is an upgrade to the existing system, an upgraded swap-out of an old system, a cluster or aggregation of machines, etc. Diagrams of system configurations are often useful tools to explain your systems.
Identify the presence and location(s) of remote access end-users and the extent and nature of the remote access end-user(s) computational access (full vs. limited).
Additional technical specifications are not required if the exporter submits all the above information on the license application itself or in the letter of explanation. However, if BIS has not reviewed the product before, the exporter must submit adequate product literature and technical specifications for a complete technical determination.
The applicant must reference the IC# in the license application (Block 13). BIS will begin processing a license application without an IC, however, the exporter may not ship the product until they have received the IC from the importing country. BIS will begin processing a license application without a BIS-711, but the exporter may not ship the product until they have received the BIS-711 from the end user (fax copy).
A BIS-711 is required for any Computer Tier 3 country identified in Section 748.11 of the Export Administration Regulations (EAR). The applicant must keep this form on file and provide an end-use statement on behalf of the end user in the letter of explanation or, if submitting the license electronically, type the end-use statement in Block 21 of the 748P.
Per paragraph (c) of Supplement 2 to Part 748 of the EAR, if the end user is in Country Group D:1 (see Supplement 1 to Part 740 of the EAR), the applicant is required to furnish a signed statement by a responsible representative of the end user or importing agency describing the end use and certifying:
The computers or related equipment: a) will be used only for civil applications; and b) will not be reexported or otherwise disposed of without prior written authorization from BIS;
A full description of the equipment and its intended application and workload; and
A complete identification of all end-users and their activities.
Inform us as to whether the order is an actual or competing order. If you are facing international/domestic competition for a contract, please inform BIS in the letter of explanation.
If the WT value is unusually high for the intended application, please provide a thorough explanation regarding the types of applications for which the HPC will be used and justification for the WT value.
Have you reviewed the application thoroughly to ensure that all information required in Section II is correct?
Does your letter of explanation contain a thorough description of the criteria listed in Section II?
Have you included (if applicable) the IC and BIS-711 or end-user statement? If you have not yet obtained an IC or a BIS-711, but are in the process of doing so, have you noted this in your application in Block 24?
Does the APP reflect the final APP level of the systems?
Did you include an item appendix for each system or upgrade?
Did you include remote access end-user computational ability Information?