Export Control Assurance (ECA)


Qualcomm Incorporated


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

November 16, 2019

Dear Business Partner:

Qualcomm Incorporated, its subsidiaries and affiliates’ ("Qualcomm") hardware, software, source code and technology (collectively, “Products”) are governed by the export laws of the US and other countries where we do business.  Products obtained from Qualcomm, are subject to the US Government (“USG”) export control and economic sanctions regulations, including the Export Administration Regulations (“EAR”, 15 CFR 730 et seq.) administered by the US Department of Commerce, Bureau of Industry and Security, and the Foreign Asset Control Regulations (31 CFR 500 et seq.) administered by the Department of Treasury, Office of Foreign Assets Control (“OFAC”).  These laws prohibit export, re-export, 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 two (2) years from the date it was executed.

Corporate officer with authority to execute this certificate and to bind the company to compliance with the obligations stated herein.  If you have any questions on the form, you may email Qualcomm Export Compliance  ec.ops@qualcomm.com.

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.

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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). 

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

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

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E. Describe the intended end-use of the end items selected in section D (example: Consumer Electronics, Telecom, Oil Exploration, etc.).

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F. List all countries of ultimate destination (intended ship to country) for Products provided by Qualcomm in the form received by you.
[Note: This is not the list of countries to which you will be shipping your finished product, if you are incorporating the Qualcomm products into a new end-item]

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II. Prohibited End-Users
The undersigned company warrants, and agrees that it will not export, reexport, transfer or release hardware, software, or technology, or the direct product thereof, to parties named on the USG and international denial and parties of concern lists. The undersigned company further warrants and agrees that it is not a denied person, is not owned or controlled by a denied person, and is not acting on behalf of a denied person.

Denied Parties Lists are available at: http://export.gov/ecr/eg_main_023148.asp

III. Prohibited End-Uses
The undersigned company warrants and agrees that Products received from Qualcomm will not be  used directly or indirectly in prohibited proliferation activities (EAR § 744) related to nuclear weapons, fuel production, or propulsion systems; missile, rocket, or unmanned aerial vehicle (UAV) systems, chemical or biological weapons end-uses; or by any party engaged in such activities. 

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

IV. US Export Controls and Economic Sanctions

The Products supplied by Qualcomm are subject to the export control and economic sanctions laws and regulations of the United States. Those export control and economic sanctions laws and regulations prohibit the export, reexport or transfer of the Products to any of the following, except as specifically authorized by the competent United States Government agencies:

1. Any person or entity that is engaged, directly or indirectly, in the design, development,
    production, testing, stockpiling or use of any nuclear, chemical or biological weapons,
    or any rocket systems, space launch vehicles, sounding rockets, unmanned air vehicle (UAV):
2. Any person or entity listed on any United States Government list of prohibited and
    restricted parties (the “RPL”); or
3. Any person or entity located in any country that is subject to comprehensive United States
    export restrictions, including Cuba, Iran, North Korea, Sudan, Syria and the Crimean Region.



V. Military End-Use and End-User
The undersigned company warrants and agrees that Products received from Qualcomm will not be used for military end-uses or military end-users except to the extent authorized by US law.

Answer each question below
Are you a “military end-user” as defined under EAR § 744.17, at the following link? 

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Is the intended end-use of the Products for military end-use, or for military end-users as defined under  EAR § 744.21, at the following link? 

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

VI. Notice of National Security Export Controls
Products classified under export control classification numbers (“ECCNs”) 3A001, 3A002, 5A001, and other ECCNs are subject to EAR National Security (“NS”) export controls. A US export license may be required to export, re-export, or transfer these Products to the below list of D1/E1/E2 countries (EAR § 740). The undersigned company warrants and agrees that NS controlled products will not be sold to D1/E1/E2 countries, except to the extent authorized by US law.

EAR § 740 D1/E1/E2 Countries
Armenia Azerbaijan Belarus Cambodia China (PRC)
Cuba Georgia Iraq Iran Kazakhstan
Kyrgyzstan Laos Libya Macau Moldova
Mongolia North Korea Russia Sudan (North) Syria
Tajikistan Turkmenistan Ukraine Uzbekistan Vietnam

VII. 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 EAR restrictions on such Products, including the limitations of EAR § 740.17, License Exception ENC.


A. Examples of Restricted Encryption Products  listed in EAR § 740.17(b)(2)(i)

See section 740.17(b)(2) for a list of the types of products that are restricted:
https://www.bis.doc.gov/index.php/documents/regulations-docs/2341-740-2/file
Some examples of restricted Products include:

• Network Infrastructure including; Wide Area Network (WAN), Metropolitan Area Network
  (MAN), Virtual Private Network (VPN), Backhaul and Long-Haul Throughput,
   Satellite Infrstructure Media Gateway and other Unified Communications (UC)
   Infrastructure, ​including Voice-over-Internet Protocol (VoIP) Services
   Voice/Video/Data encryption or encrypted signaling to more than 2,500 end-points,
   including Centralized Key Management and Terrestrial Wireless Infrastructure
   (Air Interface Coverage).

• Proprietary Encryption Source Code

• Open Cryptographic Interface or Cryptanalytic Products

• Encryption Modified for Government or to Customer/Supplier Specification,
  or Easily Changed by User (If  Not Publicly Available)

• Providing Quantum Encryption Functions

• Encryption Modified or Customized for 4A003 Computers

• Products Used for Cyber Attacks

• Public Safety/First Responder Radios

• Encryption Technology

B. Government End-Users under EAR § 740.17(b)(2)(ii)
The undersigned company agrees not to export, re-export, transfer or release Restricted Encryption Products directly or indirectly to “Government End-Users” without prior written authorization of the US Government, except that such Products may be exported, re-exported, or re-transferred, in compliance with License Exception ENC, EAR § 740.17(b)(2), to Government End-Users located or headquartered in: Australia, Austria, Belgium, Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Latvia, Lithuania, Luxembourg, Malta, Netherlands, New Zealand, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United States

C. EAR § 772 defines “Government End-User”as follows

a) Any foreign central, regional or local government department, agency, or other entity performing governmental functions

b) Including governmental research institutions, governmental corporations or their
    separate business units1 (as defined in EAR § 772) which are engaged in
    the manufacture or distribution of Products or services controlled
    on the Wassenaar Munitions List and international governmental organizations.
    (http://www.wassenaar.org/controllists/index.html) and

c) Includes more sensitive government end users to national/federal/royal
    (departments, agencies and entities). An example of a more sensitive
    government end-use is defined as state/national telecommunications and
    information technology agencies, boards, councils and development
    authorities (including national information/critical infrastructure data centers,
    and Information and communications Technology (ICT) telecommunications
    infrastructure/spectrum planning, policy, regulation and testing.
    See Part 772 of the Export Administration Regulation (EAR)
    https://www.bis.doc.gov/index.php/component/docman/?task=doc_download&gid=2344
    for an additional list of more sensitive government end-users.

d) 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.

"Business Unit" as applied to encryption items, means a unit of a business which, whether or not separately incorporated, has :
a) A distinct organizational structure which does not overlap with other business units of the same business
b) A distinct set of accounts; and
c) Separate facilities for purchase, sale, delivery, and production of goods and services. 

Answer each question below
Are you a Government End-User as defined under EAR § 772?(Check applicable box)
 
Please Answer this question.
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Is the end-use of the Products for government end-use?(Check applicable box)
 
Please Answer this question.
Please enter details.


VIII. 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’ export control laws, as applicable.

I certify Exports from Qualcomm CDMA Technologies Asia-Pacific Pte. Ltd. (QCTAP) Singapore, STS bulk permits T3U7766C01P and Qualcomm Global Trading Pte. Ltd. (QGT) Singapore STS bulk permits T3U7853D01P, 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, DL5E001A, DL5E001B3, DL5E001C4A, DL3E002C, DL3B002 and DL5A001 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.   

IX. Certification of ECA
The undersigned company understands that the USG and other applicable governments from time to time may amend their export control laws and regulations including the lists of prohibited entities, restricted destinations, or 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.

I certify that I am the Corporate officer with authority to execute this certificate and to bind the company to compliance with the obligations stated herein.

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