How to file an annual self-classification report
How to create the annual self-classification report in .CSV file format
How and when to file semi-annual reports

How to file an Annual Self-Classification Report

An annual self-classification report is a requirement for items exported under License Exception ENC - 740.17(b)(1) and Mass Market - 742.15(b)(1).

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

How to report:

The annual self-classification report must be submitted as an attachment to an e-mail to BIS and the ENC Encryption Request Coordinator.

What to report:

The report has very specific format requirements outlined in Supplement No. 8 to Part 742. 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. Click here to learn how to create the annual self-classification report in .CSV file format.

Where to report:

Reports should be emailed to BIS and the ENC Encryption Request Coordinator at This email address is being protected from spambots. You need JavaScript enabled to view it. and This email address is being protected from spambots. You need JavaScript enabled to view it.. In lieu of e-mail, submissions of disks and CDs may be mailed to BIS and the ENC Encryption Request Coordinator as specified in section 742.15(c)(2)(ii) of the EAR, only if necessary.

When to report:

A 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 e-mail 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 pursuant to an encryption registration were made during the calendar year.

How to create the annual self-classification report in .CSV file format

Annual self-classification report is required for commodities exported or reexported under 740.17(b)(1) and 742.15(b)(1), effective June 25, 2010.

CCATS for commodities issued by or submitted to BIS prior June 25, 2010 and that are now described under 740.17(b)(1) or 742.15(b)(1) are not required to be listed in the Annual Self-Classification Report, provided the cryptographic functionality of the item has not changed. These items are grandfathered under the June 25th rule.

The following table provides an example of the various fields required within the Annual Self-Classification Report as required per 742.15(c) 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 six entries: PRODUCT NAME, MODEL NAME, MANUFACTURER, ECCN, AUTHORIZATION TYPE, ITEM TYPE.
- 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).
- The only permitted use of a comma is as the necessary separator between the 6 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.

PRODUCT NAME

MODEL NUMBER

MANUFACTURER

ECCN

AUTHORIZATION TYPE

ITEM TYPE

XtraGood VPN

2010

ABC XYZ Manufacturing Inc

5A002

ENC

virtual private networking (VPN)

XtraGood Firewall

1100

SELF

5A002

MMKT

firewall

XtraGood WLAN chipset

XG-80211-xxxx

MULTIPLE

5A002

ENC

wireless local area networking (WLAN)

XtraGood Client Manager Suite

1xx

PDQ123 Software Services LLC

5D992

MMKT

network or systems management (OAM/OAM&P)

XtraGood Connectivity AP

300-xxx

MULTIPLE

5A992

MMKT

access point

XtraGood Connectivity Client Manager

NONE

PDQ123 Software Services LLC

5D992

MMKT

network or systems management (OAM/OAM&P)

XclusiveAgent – Pro Ed.

5xx

SELF

5D002

ENC

file encryption

XclusiveAgent – Home Ed.

100

SELF

5D992

MMKT

file encryption

Xclusive Agent Secure Storage Device

XA-SHD-xxx

MULTIPLE

5A992

MMKT

disk / drive encryption

XclusiveAgent Enterprise Key Token

XA-KT-xxx

ABC XYZ Manufacturing Inc

5A002

ENC

key storage

XclusiveAgent PKI

NONE

SELF

5D002

ENC

key management

Xclusive Agent Secure USB Drive

XA-SUSB-xxx

MULTIPLE

5A992

MMKT

disk/drive encryption

 

The following screen shots provide guidance on how to create the .csv file for submission:

  1. Sample screen shot of spreadsheet, including doing a "Save As..." [into .CSV format] from the spreadsheet application, like the exporter would do in creating their actual self-classification report for submission to BIS and NSA.
  2. Sample screen shot of .CSV file as viewed in the spreadsheet application. This is the file that exporters will attach to their e-mails to BIS and NSA.
  3. Sample .CSV file when viewed in Notepad. To check the validity of your CSV file, you may open the new file from a plain-text reading program such as Notepad or TextEdit.

Submit your annual self-classification report electronically to BIS as an email attachment to This email address is being protected from spambots. You need JavaScript enabled to view it. and This email address is being protected from spambots. You need JavaScript enabled to view it. with subject “Self-classification report for ERN R######”, using your most recent Encryption Registration Number. In your submission, specify the export time frame that your report spans and identify points of contact to whom questions or other inquires pertaining to the report should be directed.

How and when to file semi-annual reports

The semi-annual reporting requirement for License Exception ENC can be found in 740.17(e) of the EAR.

Semi-annual reporting is required for exports to all destinations other than Canada, and for reexports from Canada ONLY for items described under paragraphs 740.17(b)(2) and 740.17(b)(3)(iii).

Items other than those described in 740.17(b)(2) and 740.17(b)(3)(iii) will no longer require a report to BIS.

Certain encryption items and transactions are excluded from this reporting requirement, see paragraph 740.17(e)(1)(iii) of this section. These exclusions include:

  • Encryption commodities or software with a symmetric key length not exceeding 64 bits.
  • Encryption items exported (or reexported from Canada) via free and anonymous download.
  • Encryption items from or to a U.S. bank, financial institution or its subsidiaries, affiliates, customers or contractors for banking or financial operations.
  • Items listed in paragraph 740.17(b)(4), unless it is a foreign item described in 740.17(b)(4)(ii) that has entered the United States.
  • Foreign products developed by bundling or compiling of source code.

What to file:

  • Commodity Classification Automated Tracking System (CCATS) number.
  • Name of the item(s) exported (or reexported from Canada).
  • Distributors or resellers. For items exported (or reexported from Canada) to a distributor or other reseller, including subsidiaries of U.S. firms, the name and address of the distributor or reseller, the item and the quantity exported or reexported and, if collected by the exporter as part of the distribution process, the end user’s name and address.
  • Direct sales. For items exported (or reexported from Canada) through direct sale, the name and address of the recipient, the item, and the quantity exported.
  • Foreign manufacturers and products that use encryption items. See 740.17(e)(1)(i)(C) for full details.

When to file:

  • For exports occurring between January 1 and June 30, a report is due no later than August 1 of that year.
  • For exports occurring between July 1 and December 31, a report is due no later than February 1 the following year.
  • These reports must be provided in electronic form.
  • Recommended file formats for electronic submission include spreadsheets, tabular text or structured text.
  • Exporters may request other reporting arrangements with BIS to better reflect their business models.
  • Reports may be sent electronically to BIS at This email address is being protected from spambots. You need JavaScript enabled to view it. and to the ENC Encryption Request Coordinator at This email address is being protected from spambots. You need JavaScript enabled to view it., or disks and CDs containing the reports may be sent to the following addresses:

     Department of Commerce
     Bureau of Industry and Security
     Office of National Security and Technology Transfer Controls
     14th Street and Pennsylvania Ave., NW
     Room 2705, Washington, DC  20230
     Attn: Encryption Reports

     and

     Attn: ENC Encryption Request Coordinator
     9800 Savage Road, Suite 6940
     Ft. Meade, MD  20755-6000

Reporting Key Length Increases

Reporting is required for commodities and software that, after having been classified and authorized for License Exception ENC in accordance with paragraphs (b)(2) or (b)(3) of this section, are modified only to upgrade the key length used for confidentiality or key exchange algorithms. Such items may be exported or reexported under the previously authorized provision of License Exception ENC without a classification resubmission.

What to file for reporting key length increases:

  • Certification that no other encryption changes have been made.
  • Original Commodity Classification Automated Tracking System (CCATS).
  • New key length.

When and where to file for reporting key length increases:

  • The report must be received by BIS and the ENC Encryption Request Coordinator before the export or reexport of the upgraded product; and
  • The report must be e-mailed to This email address is being protected from spambots. You need JavaScript enabled to view it. and This email address is being protected from spambots. You need JavaScript enabled to view it..
   
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