Attachment "D", 1605.001.000.000, Page 1
CUSTOMER EXPORT COMPLIANCE CHECKLIST
A.TABS/TBS Sales Personnel to Complete:
1.Diversion Risk Screen. Are any of the attached high risk of diversion elements present (see below questionnaire)?
___ No. (Proceed to next item.)
___ Yes. (Hold order, and consult with ECA. Note any satisfactory explanations.
.)
2.Sensitive Nuclear Screen. Does TABS or Toshiba Business Solutions have any information that the customer is involved in: design, development, fabrication, or testing of nuclear weapons or explosive devices; or design, construction, fabrication, or operation of facilities or components of facilities for chemical processing of irradiated special nuclear or source material, heavy water production, separation of isotopes of source and special nuclear material, or fabrication of nuclear reactor fuel containing plutonium, or unsafeguarded nuclear facilities)?
___ No. (Proceed to next item.)
___ Yes, or unclear. (Flag to hold orders and consult with ECA. Note how any questions were resolved here.
.)
3.Missile Screening. Does TABS or Toshiba Business Solutions have any information that the customer is involved in direct or indirect assistance in the design, fabrication, operation, or maintenance of rocket systems (including ballistic missile systems, space launch vehicles, and sounding rockets); or unmanned air vehicle systems (including cruise missile systems, target drones, remotely piloted vehicles, and reconnaissance drones)?
___ No. (Proceed to next item.)
___ Yes. (Flag to hold orders and consult with ECA. Note how any questions were resolved here.
.)
4.Chemical and Biological Weapons Screening. Does TABS or Toshiba Business Solutions have any information that the customer is involved in design, development, production, stockpiling or use of chemical or biological weapons?
___ No. (Proceed to next item.)
___ Yes. (Flag to hold orders and consult with ECA. Note how any questions were resolved here.
.)
5.Embargoed Countries. Does TABS or Toshiba Business Solutions have any information that the customer is located in or intends to ship TABS products to Cuba, Iran, Iraq, North Korea, Syria, Afghanistan or Sudan or any other country subject to a current U.S. embargo.
___ No. (Proceed to next item.)
___ Yes. (Flag to hold orders and consult with ECA. Note how any questions were resolved here.
.)
- Military End-Users/End-Uses. Does TABS or Toshiba Business Solutions have any information that the customer is part of the military or will be putting TABS products to military end-uses.
___ No. (Proceed to next item.)
___ Yes. (Flag to hold orders and consult with ECA. Note how any questions were resolved here.
.)
TABS/TBSSales Personnel Name/Date: /
B.TABS Export Compliance Administrator to Complete:
1.Denial Lists Screening. Are any parties listed on any of the current Denial Lists?
___ No. (Proceed.)
___ Yes. (Consult with Director of Export Control for resolution. Note how resolved.
.)
2.Product Classification/Licensing. Using current TABS/TBS Division Product Matrix, are all products eligible for export under a License Exception to the applicable destination?
___ No. (Hold orders and flag to apply for License or use existing one if applicable, logging shipment against available License limits. Note License Number ______and proceed after License obtained.
___ Yes. (Note NLR or License Exception Symbol on shipping documents and proceed: .)
NB: If using LVS or TEMP, create/add to log for customer to ensure not over 12 shipments per year or return within 12 months, respectively.
TABS Export Compliance Administrator Name: Isabel Salazar
Attachment "D", 1605.001.000.000, Page 4
High Risk of Diversion Profile
YESNO
Financial information on the customer is unavailable from normal commercial
sources and corporate principals are unknown by trade sources;
Customer does not wish to utilize commonly available installation and maintenance
services;
Customer is reluctant to provide enduser/enduse information;
Customer requests atypical payment terms or currencies;
Order amounts, packaging, or delivery routing do not correspond with normal
practice;
Performance/design characteristics of commodity ordered are incompatible with
customer's line of business or stated enduse;
Customer uses only "P.O. Box" address or other unclear location or has facilities
that appear inappropriate for the commodity(ies) ordered (P.O. Boxes may not be
used on License applications);
Customer's order is for parts known to be inappropriate or abnormally large or for
which the customer appears to have no legitimate need (e.g., there is no indication
of prior authorized shipment of a system for which parts are sought);
The location at which the product or technology in question is to be installed or
applied is near a military facility or a high-security area where entry is strictly
regulated;
Demand for safety equipment and measures for transportation or installation is
excessive;
Customer is known to have, or is suspected of having, unauthorized dealings with
parties and/or destinations in Cuba, Iran, Iraq, Libya, North Korea, Sudan, Afghanistan, Syria,or any country for which most exports are embargoed from time to time.
DateTABS/TBS Sales Person in Charge of AccountPrint Name
DateDealer PrincipalPrint Name
Isabel Salazar
TABS Division Export AdministratorInitial