Export Control Assurance (ECA)

Qualcomm Incorporated

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5775 Morehouse Drive San Diego, CA 92121 www.qualcomm.com

Dear Business Partner:

Qualcomm Incorporated, together with its subsidiaries and affiliates (collectively, "Qualcomm") develops and offers hardware, software, source code and technology (collectively, “Products”) that are governed by the export laws of the United States and other countries where we do business.  Products obtained from Qualcomm are subject to the US government export control and economic sanctions regulations, including without limitation the Export Administration Regulations (“EAR”) and the Office of Foreign Assets Control Regulations.

These laws prohibit the export, reexport, and transfer of Qualcomm Products to certain countries, certain parties or for certain end uses.
The attached Export Control Assurance (“ECA”) (1) collects end use information on Qualcomm's Products, (2) serves as a notification
to you of applicable US and international laws and regulations, and (3) obtains an assurance that your company and
affiliates will comply with applicable requirements. This ECA will remain in effect for one (1) year from the date it was executed.

This Export Control Assurance must be executed by a Corporate Officer with the authority to bind the Company to the compliance obligations herein.  If you have any questions on the form, you may email Qualcomm Export and Sanctions Compliance ec.ops@qualcomm.com.

The ECA is a required document. Thank you in advance for your cooperation in accurately completing and returning the ECA. 

I. End-Use Certification 
A. Complete this section for the location to which Qualcomm is shipping Products. 

B. If the address listed in ‘A’ is your company's headquarters you may request additional locations to be covered under this ECA.  Include the Company Name, Address, City/State, Country, Postal Code, Phone Number, email address, and Web Site for each location. (Incomplete information may cause delays or rejection of the ECA). 

Please enter details.


C. Describe your company business (examples: Original Equipment Manufacturer, Original Design Manufacturer, Foundry, Semiconductor Assembly & Test Facility, Research & Development, Reseller, Distributor, etc.). 

Please enter details.


D. End items produced with Products you receive from Qualcomm. Select all that apply.




E. Describe the intended end-use(s) of the end items selected in section D (example: Consumer Electronics, Telecom, Oil Exploration, Automotive, etc.). Please list all end-uses that apply.

Please enter details.


II. Prohibited End-Users
The undersigned company warrants and agrees that it will not export, reexport, transfer or release any Products received from Qualcomm, or any direct products thereof, to any parties that are subject to US or other applicable sanctions or export control restrictions, including without limitation any parties named on the US Commerce Department’s Denied Persons List, Entity List or Unverified List, or the US Treasury Department’s List of Specially Designated Nationals and Blocked Persons (OFAC SDN List), or any entity fifty percent (50%) or more owned, directly or indirectly, by one or more parties on the OFAC SDN List, either individually or in the aggregate

Denied Parties Lists are available at: https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern/denied-persons-list

III. Prohibited End-Uses
The undersigned company agrees to fully comply with the end use and end user controls in Part 744 of the EAR and will not directly or indirectly employ any Products in missile or unmanned air vehicle (UAV) technology (where the UAV is or may be capable of a range of 300 kilometers or will be used for a prohibited military UAV end use), sensitive nuclear, chemical or biological weapons activities, advanced semiconductor manufacturing or supercomputer end use, or any prohibited military end use or in any manner Export any Products without prior US government authorization. 

Link to EAR § 744: https://www.bis.doc.gov/index.php/documents/regulations-docs/2343-744-1/file

IV. Prohibited Destinations
The undersigned company agrees that it will not export, reexport, transfer (in-country), or release (collectively, “Export”) any Qualcomm Products, or any direct products thereof, to any country or territory, its government, any entity organized under the laws of such country or territory, or any individual resident in such country or territory, if at the time of export, reexport or transfer the country or territory is subject to a US government embargo or comprehensive sanctions. The US government currently maintains comprehensive embargoes and sanctions against Cuba, Iran, North Korea, Syria, and the Crimea, Donetsk and Luhansk regions of Ukraine, but any amendments to these controls shall apply.  The US government also has imposed extensive export control and sanctions restrictions on Russia and Belarus.

The undersigned company further agrees to comply with all destination restrictions under the EAR when Exporting any Qualcomm Products, based on the reasons for control imposed by the Product’s export controls classification on the EAR’s Commerce Control List and the destination controls identified on the Commerce Country Chart available here:  https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C/part-738/appendix-Supplement%20No.%201%20to%20Part%20738.

V. Military End-user/End-use Licensing Requirement for Belarus, Burma (Myanmar), Cambodia, the People's Republic of China, Nicaragua, the Russian Federation, or Venezuela Customers
It is prohibited to export, reexport, or transfer certain Qualcomm Products to any entity in Belarus, Burma (Myanmar), Cambodia, the People's Republic of China, Nicaragua, the Russian Federation, or Venezuela with knowledge that the entity is a "military end-user" or that the Qualcomm Products will be used in any "military end-use", as those terms are defined below.   There also are additional restrictions on certain exports, reexports, or transfers of microprocessors and associated software and technology for military end uses or military end users in the EAR’s Country Group D:1.  We request that you complete this questionnaire to assist Qualcomm in determining if and when such US export licenses may be required for the sale and supply of Qualcomm Products to your company.

A “military end user” is：

1. the national armed service (army, navy, marine, air force, coast guard, national guard, or national police); 
2. a government intelligence or reconnaissance organization; or 
3. any person or entity whose actions or functions are intended to support “military end uses” as defined in this document.

A “military end use” means:

1. incorporation [of a Qualcomm Product] into a military item described on the US Munitions List (“USML”) (22 CFR Part 121) of the International Traffic in Arms Regulations (22 C.F.R. Parts 120-130) or the Wassenaar Arrangement Munitions List (as set out on the Wassenaar Arrangement website at https://www.wassenaar.org/); 
2. incorporation [of a Qualcomm Product] into items classified under Export Control Classification Numbers (“ECCNs) ending in “A018” or under “600 series” ECCNs.
3. or any item that supports or contributes to the design, use, operation, deployment, installation (including on-site installation), maintenance (checking), repair, overhaul, refurbishing, development, or production, of military items described on the USML, the Wassenaar Arrangement Munitions List, or items classified under ECCNs ending in “A018” or under “600 series” ECCNs. 

For the avoidance of doubt, the phrase “any item that supports or contributes to” goes beyond incorporation into a military item to mean direct facilitation, such as installation, inspection, or test equipment and related software and technology, of the design, use, operation, deployment installation (including on-site installation), maintenance (checking), repair, overhaul, refurbishing, development, or production of military items described on the USML, the Wassenaar Arrangement Munitions List, or classified in an ECCN ending in “A018” or under “600 series” ECCNs.

#1:  Is your Company a national armed service (e.g., army, navy, marine, air force, coast guard,
national guard, or national police), a government intelligence or reconnaissance organization, or an entity whose actions or functions are intended to support “military end uses” as defined in this document?
  Yes No N/A Please Answer this question.


#2:  Is your Company owned, in whole or in part, by a “military end user” as defined above?
  Yes No N/A Please Answer this question.


#3:  Does the Company otherwise have any dealings with a national armed service (e.g., army,
navy, marine, air force, coast guard, national guard, or national police), a government intelligence or reconnaissance organization, or entity whose actions or functions are intended to support “military end uses,” as defined in this document, of Belarus, Myanmar (Burma), China (including Hong Kong), Cambodia, Russia, or Venezuela? 
Examples include sales, servicing, research, sourcing, collaboration, or any other activities.
  Yes No N/A Please Answer this question.


#4:  Will your Company use the Qualcomm Products for a “military end use,” as defined above?
  Yes No N/A Please Answer this question.


#5:  Will the Company resell or transfer the Qualcomm Products to a third party for a “military end use,” as defined above?
  Yes No N/A Please Answer this question.


#6:  Will the Company provide the Qualcomm Products to a “military end user”, as defined above, for a civil application?
  Yes No N/A Please Answer this question.


Link to EAR § 744
https://www.bis.doc.gov/index.php/documents/regulations-docs/2343-part-744-control-policy-end-user-and-end-use-based-2/file


VI. Restricted Encryption Products under EAR § 740.17(b)(2)
The undersigned company, if in possession of Qualcomm Products that are considered Restricted Encryption Products, agrees to comply with all EAR restrictions on such Products, including the limitations of EAR § 740.17 as applied to exports, reexports, and in-country transfers to certain end users in certain countries.

See section 740.17(b)(2) for a list of the items that are Restricted Encryption Products:
https://www.bis.doc.gov/index.php/documents/regulations-docs/2341-740-2/file.

Additional guidance about Restricted Encryption Products, and the export control restrictions applicable to them, can be found on the US Department of Commerce, Bureau of Industry and Security’s website at the following link:  https://www.bis.doc.gov/index.php/policy-guidance/encryption/3-license-exception-enc-and-mass-market/c-740-17-b-2

There are enhanced restrictions on exporting, reexporting, or transferring Restricted Encryption Products to Government End-Users under License Exception ENC.  We therefore request that you answer the questions below to assist Qualcomm in determining what export control requirements apply to providing Restricted Encryption Products to your company. 

The following definitions apply to the questions below:

The term “Government End User” includes: Any foreign central, regional or local government department, agency, or other entity performing governmental functions, including governmental research institutions, governmental corporations or their separate business units (as defined at EAR § 772) which are engaged in the manufacture or distribution of Products or services controlled on the Wassenaar Munitions List (https://www.wassenaar.org/control-lists/), and international governmental organizations (UN, NATO, OPEC etc.).

Note: The term “Government End-User” does not include: utilities (including telecommunications companies and Internet service providers); banks and financial institutions; transportation; broadcast or entertainment; educational organizations (except public schools and universities); civil health and medical organizations (including public civilian hospitals); retail
or wholesale firms; and manufacturing or industrial entities not engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List.

The term “Less Sensitive Government End User” includes:

a) Local/state/provincial “government end users,” including local/state/provincial executive, legislative, judicial, police, fire, rescue, and public safety agencies; and

b) National/federal/royal “government end users” providing civil government functions and services (see EAR § 772 for an illustrative list of examples).

Note: The term “Less Sensitive Government End User” does not include agencies, departments, boards and councils for science and technology; research development, and national laboratories; and national telecommunications and information technology agencies, boards, councils, and development authorities.
 

Answer each question below
#1: Are you a Government End User (as defined above)?

Select the applicable option
  Yes No Please Answer this question.
Please enter details.


#2: If your answer to question #1 is “Yes,” please answer the following question:
Does the undersigned company engage in the manufacture or distribution of any items or services controlled on the Wassenaar Arrangement Munitions List (the "Wassenaar List," available on the Wassenaar Arrangement website at https://www.wassenaar.org/control-lists/)?

Select the applicable option
  Yes No N/A Please Answer this question.
Please enter details.


#3: If your answer to question #1 is “Yes,” are you a Less Sensitive Government End User (as defined above)?

Select the applicable option
  Yes No N/A Please Answer this question.
Please enter details.


#4: Is the end-use of the Products for any government end-use?

Select the applicable option
If yes, list countries 
  Yes No Please Answer this question.
Please enter details.


VII. Singapore Strategic Trade Requirements
To: Director-General, Singapore Customs

I confirm that all goods loaned/gifted/purchased/received (directly/indirectly) from Qualcomm CDMA Technologies Asia-Pacific Pte. Ltd (QCTAP) and Qualcomm Global Trading Pte. Ltd. (QGT) will not be used in relation to nuclear, biological or chemical weapons, or missiles capable of delivering these weapons. Furthermore, I also confirm that all goods loaned/gifted/purchased/received (directly/indirectly) from Qualcomm CDMA Technologies Asia-Pacific Pte. Ltd (QCTAP) and Qualcomm Global Trading Pte. Ltd. (QGT) will not be re-exported or sold to a third party who is known or suspected to be involved in relation to nuclear, biological or chemical weapons, or missiles capable of delivering these weapons, or to any sanctioned entities. I also confirm that any re-export or sale to a third party, is carried out in compliance with the originating/supplying and receiving countries’/regions' export control laws, as applicable.

I certify Exports from Qualcomm CDMA Technologies Asia-Pacific Pte. Ltd. (QCTAP) Singapore, STS bulk permits T3U7853D01P/T3U7853D02P and Qualcomm Global Trading Pte. Ltd. (QGT) Singapore STS  bulk permits T3U7766C01P/T3U7766C02P, both located at No. 6 Serangoon North Avenue 5, #04-02 Singapore 554910 and 51 Alps Ave#04-02 Singapore 498783 originating in Singapore are authorized under the current Singapore Customs Bulk Permit, if the Products are classified under specific Strategic Goods Product Codes including DL5A002*, DL5B002*, DL5D002*, DL5E002*, DL5D001D4, DL5E001B3, DL5E001C4A, DL3E002C and DL3B002 among others according to the Strategic Goods Control Act (SGCA).  The ECCN block of the Commercial Invoice will indicate the DLXX001/002 code or NOCLASS (for non-strategic goods) when applicable. These strategic goods may include goods classified under Harmonized System (HS) Codes 8542.31, 8542.32, 8542.33, 8542.39, 8471.30, 8517.62 and/or 9030.40, 9030.89, 9030.90 among others. The products to be authorized are but not limited to Qualcomm controlled chipsets and development test platform (DTP). Products classified under other Strategic Goods Product Codes require an individual export permit.

*Applicable to China, Hong Kong, and Vietnam only

VIII. Certification of ECA
The undersigned company understands that the US government and other applicable governments from time to time may amend their export control laws and regulations including the lists of prohibited entities, restricted destinations, restricted end-users/end-uses, or prohibited proliferation activities and that all such amendments shall be applicable to this certification, and that the undersigned company is ultimately responsible for complying with any applicable US and applicable international export control laws and regulations. This provision and the assurances shall survive termination of any purchase order, agreement, or contract. The undersigned company agrees to notify Qualcomm of any changes to this ECA or if the end-use or end-user of any Products change prior to any shipment or transfer.