[Title 15 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2025 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 15
Commerce and Foreign Trade
________________________
Parts 745 to 799
Revised as of January 1, 2025
Containing a codification of documents of general
applicability and future effect
As of January 1, 2025
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
As of January 1, 2025
Title 15, Parts 300-799
Revised as of January 1, 2024
Is Replaced by
Title 15, Parts 300-744
and
Parts 745-799
[[Page v]]
Table of Contents
Page
Explanation................................................. vii
Title 15:
SUBTITLE B--Regulations Relating to Commerce and Foreign
Trade (Continued)
Chapter VII--Bureau of Industry and Security,
Department of Commerce 5
Finding Aids:
Table of CFR Titles and Chapters........................ 735
Alphabetical List of Agencies Appearing in the CFR...... 755
List of CFR Sections Affected........................... 765
[[Page vi]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 15 CFR 745.1 refers
to title 15, part 745,
section 1.
----------------------------
[[Page vii]]
EXPLANATION
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[[Page viii]]
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[[Page ix]]
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Office of the Federal Register
January 1, 2025
[[Page xi]]
THIS TITLE
Title 15--Commerce and Foreign Trade is composed of four volumes.
The parts in these volumes are arranged in the following order: Parts 0-
299, 300-744, 745-799, and part 800-End. The first volume containing
parts 0-299 is comprised of Subtitle A--Office of the Secretary of
Commerce, Subtitle B, chapter I--Bureau of the Census, Department of
Commerce, and chapter II--National Institute of Standards and
Technology, Department of Commerce. The second volume containing parts
300-744, is comprised of a portion of chapter III--International Trade
Administration, Department of Commerce. The third volume containing
parts 745-799 is comprised of the remainder of chapter III--
International Trade Administration, Department of Commerce, chapter IV--
Foreign-Trade Zones Board, and chapter VII--Bureau of Industry and
Security, Department of Commerce. The fourth volume containing part 800-
End is comprised of chapter VIII--Bureau of Economic Analysis,
Department of Commerce, chapter IX--National Oceanic and Atmospheric
Administration, Department of Commerce, chapter XI--Technology
Administration, Department of Commerce, chapter XIII--East-West Foreign
Trade Board, chapter XIV--Minority Business Development Agency, chapter
XV--Office of the Under-Secretary for Economic Affairs, Department of
Commerce, Subtitle C, chapter XX--Office of the United States Trade
Representative, and Subtitle D, chapter XXIII--National
Telecommunications and Information Administration, Department of
Commerce. The contents of these volumes represent all current
regulations codified under this title of the CFR as of January 1, 2025.
For this volume, Ann Worley was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum
Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 15--COMMERCE AND FOREIGN TRADE
(This book contains parts 745 to 799)
--------------------------------------------------------------------
SUBTITLE B--Regulations Relating to Commerce and Foreign Trade
(Continued)
Part
chapter vii--Bureau of Industry and Security, Department of
Commerce (Continued)...................................... 745
[[Page 3]]
Subtitle B--Regulations Relating to Commerce and Foreign Trade
(Continued)
[[Page 5]]
CHAPTER VII--BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE
(CONTINUED)
--------------------------------------------------------------------
Editorial Note: Nomenclature changes to chapter VII appear at 67 FR
20632, Apr. 26, 2002 and 69 FR 60546 and 60547, Oct. 12, 2004.
SUBCHAPTER C--EXPORT ADMINISTRATION REGULATIONS (CONTINUED)
Part Page
745 Chemical Weapons Convention requirements.... 7
746 Embargoes and other special controls........ 13
747
[Reserved]
748 Applications (classification, advisory, and
license) and documentation.............. 112
750 Application processing, issuance, and denial 157
752
[Reserved]
754 Short supply controls....................... 168
756 Appeals and judicial review................. 175
758 Export clearance requirements and
authorities............................. 177
760 Restrictive trade practices or boycotts..... 189
762 Recordkeeping............................... 256
764 Enforcement and protective measures......... 261
766 Administrative enforcement proceedings...... 274
768 Foreign availability determination
procedures and criteria................. 300
770 Interpretations............................. 310
772 Definitions of terms........................ 317
774 The Commerce Control List................... 351
775-780
[Reserved]
SUBCHAPTER D--ADDITIONAL PROTOCOL REGULATIONS
781 General information and overview of the
additional protocol regulations (APR)... 670
782 General information regarding reporting
requirements and procedures............. 674
783 Civil nuclear fuel cycle-related activities
not involving nuclear materials......... 676
784 Complementary access........................ 696
[[Page 6]]
785 Enforcement................................. 703
786 Records and recordkeeping................... 710
787-789
[Reserved]
SUBCHAPTER E--INFORMATION AND COMMUNICATIONS TECHNOLOGY AND SERVICE
REGULATIONS
790
[Reserved]
791 Securing the information and communications
technology and services supply chain.... 712
792-799
[Reserved]
[[Page 7]]
SUBCHAPTER C_EXPORT ADMINISTRATION REGULATIONS (CONTINUED)
PART 745_CHEMICAL WEAPONS CONVENTION REQUIREMENTS--Table of Contents
Sec.
745.1 Advance notification and annual report of all exports of Schedule
1 chemicals to other States Parties.
745.2 End-Use Certificate reporting requirements under the Chemical
Weapons Convention.
Supplement No. 1 to Part 745--Schedules of Chemicals
Supplement No. 2 to Part 745--States Parties to the Convention on the
Prohibition of the Development, Production, Stockpiling, and
Use of Chemical Weapons and on Their Destruction
Supplement No. 3 to Part 745--Foreign Government Agencies Responsible
for Issuing End-Use Certificates Pursuant to Sec. 745.2
Authority: 50 U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR,
1994 Comp., p. 950); 22 U.S.C. 6701 et seq.; E.O. 13128, 64 FR 36703, 3
CFR 1999 Comp., p. 199; 50 U.S.C. 4801-4852; Notice of November 12,
2019, 84 FR 61817 (November 13, 2019).
Source: 64 FR 27143, May 18, 1999, unless otherwise noted.
Sec. 745.1 Advance notification and annual report of all exports of
Schedule 1 chemicals to other States Parties.
Pursuant to the Convention, the United States is required to notify
the Organization for the Prohibition of Chemical Weapons (OPCW) not less
than 30 days in advance of every export of a Schedule 1 chemical, in any
quantity, to another State Party. In addition, the United States is
required to provide a report of all exports of Schedule 1 chemicals to
other States Parties during each calendar year. If you plan to export
any quantity of a Schedule 1 chemical controlled under the EAR and
licensed by the Department of Commerce or controlled under the
International Traffic in Arms Regulations (ITAR) and licensed by the
Department of State, you are required under this section to notify the
Department of Commerce in advance of this export. You are also required
to provide an annual report of exports that actually occurred during the
previous calendar year. The United States will transmit the advance
notifications and an aggregate annual report to the OPCW of exports of
Schedule 1 chemicals from the United States. Note that the notification
and annual report requirements of this section do not relieve the
exporter of any requirement to obtain a license from the Department of
Commerce for the export of Schedule 1 chemicals subject to the EAR or
from the Department of State for the export of Schedule 1 chemicals
subject to the ITAR.
(a) Advance notification of exports. You must notify BIS at least 45
calendar days prior to exporting any quantity of a Schedule 1 chemical
listed in supplement no. 1 to this part to another State Party, except
that notifications for exports of 5 milligrams or less of saxitoxin (for
medical or diagnostic purposes only) must be submitted to BIS at least 3
calendar days prior to the date of export (see 15 CFR 712.6(a)). This is
in addition to the requirement to obtain an export license under the EAR
for chemicals controlled by ECCN 1C350 or 1C351 for any reason for
control, or from the Department of State for Schedule 1 chemicals
controlled under the ITAR. Note that such notifications may be sent to
BIS prior to or after submission of a license application to BIS for
Schedule 1 chemicals controlled subject to the EAR and under ECCNs 1C350
or 1C351 or to the Department of State for Schedule 1 chemicals
controlled on the ITAR. Such notices must be submitted separately from
license applications.
(1) Such notification should be on company letterhead or must
clearly identify the reporting entity by name of company, complete
address, name of contact person and telephone and fax numbers, along
with the following information:
(i) Common Chemical Name;
(ii) Structural formula of the chemical;
(iii) Chemical Abstract Service (CAS) Registry Number;
(iv) Quantity involved in grams;
(v) Planned date of export;
[[Page 8]]
(vi) Purpose (end-use) of export;
(vii) Name of recipient;
(viii) Complete street address of recipient;
(ix) Export license or control number, if known; and
(x) Company identification number, once assigned by BIS.
(2) Send the notification either by fax to (202) 482-1731 or by mail
or courier delivery to the following address: Information Technology
Team, Treaty Compliance Division, Bureau of Industry and Security, U.S.
Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue,
NW., Washington, DC 20230. Attn: ``Advance Notification of Schedule 1
Chemical Export''.
(3) Upon receipt of the notification, BIS will inform the exporter
of the earliest date the shipment may occur under the notification
procedure. To export the Schedule 1 chemical, the exporter must have
applied for and been granted a license (see Sec. Sec. 742.2 and 742.18
of the EAR, or the ITAR at 22 CFR part 121.
(b) Annual report of exports. (1) You must report all exports of any
quantity of a Schedule 1 chemical to another State Party during the
previous calendar year, starting with exports taking place during
calendar year 1997. Reports for exports during calendar years 1997 and
1998 are due to the Department of Commerce August 16, 1999. Thereafter,
annual reports of exports are due on February 13 of the following
calendar year. The report should be on company letterhead or must
clearly identify the reporting entity by name of company, complete
address, name of contact person and telephone and fax numbers along with
the following information for each export:
(i) Common Chemical Name;
(ii) Structural formula of the chemical;
(iii) CAS Registry Number;
(iv) Quantity involved in grams;
(v) Date of export;
(vi) Export license number;
(vii) Purpose (end-use) of export;
(viii) Name of recipient;
(ix) Complete address of recipient, including street address, city
and country; and (x) Company identification number, once assigned by
BIS.
(2) The report must be signed by a responsible party, certifying
that the information provided in the annual report is, to the best of
his/her knowledge and belief, true and complete.
(3) Send the report either by fax to (202) 482-1731 or by mail or
courier delivery to the following address: Information Technology Team,
Treaty Compliance Division, Bureau of Industry and Security, U.S.
Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue,
NW., Washington, DC 20230. Attn: ``Annual Report of Schedule 1 Chemical
Export''.
[64 FR 27143, May 18, 1999, as amended at 64 FR 28909, May 28, 1999; 65
FR 12923, Mar. 10, 2000; 73 FR 38910, July 8, 2008; 83 FR 13855, Apr. 2,
2018]
Sec. 745.2 End-Use Certificate reporting requirements under the Chemical
Weapons Convention.
Note: The End-Use Certificate requirement of this section does not
relieve the exporter of any requirement to obtain a license from the
Department of Commerce for the export of Schedule 3 chemicals subject to
the Export Administration Regulations or from the Department of State
for the export of Schedule 3 chemicals subject to the International
Traffic in Arms Regulations.
(a)(1) No U.S. person, as defined in Sec. 744.6(c) of the EAR, may
export from the United States any Schedule 3 chemical identified in
supplement no. 1 to this part to countries not party to the Chemical
Weapons Convention (destinations not listed in supplement no. 2 to this
part) unless the U.S. person obtains from the consignee an End-Use
Certificate issued by the government of the importing destination. This
Certificate must be issued by the foreign government's agency
responsible for foreign affairs or any other agency or department
designated by the importing government for this purpose. Supplement no.
3 to this part includes foreign authorized agencies responsible for
issuing End-Use Certificates pursuant to this section. Additional
foreign authorized agencies responsible for issuing End-Use Certificates
will be included in supplement no. 3 to this part when known. End-Use
Certificates may be issued to cover aggregate quantities against which
multiple shipments may be made to a single consignee. An End-Use
Certificate
[[Page 9]]
covering multiple shipments may be used until the aggregate quantity is
shipped. End-Use Certificates must be submitted separately from license
applications.
(2) Submit a copy of the End-Use Certificate, no later than 7 days
after the date of export, either by fax to (202) 482-1731 or by mail or
courier delivery to the following address: Information Technology Team,
Treaty Compliance Division, Bureau of Industry and Security, U.S.
Department of Commerce, Room 4515, 14th Street and Pennsylvania Avenue,
NW., Washington, DC 20230. Attn: ``CWC End-Use Certificate Report''.
(b) The End-Use Certificate described in paragraph (a) of this
section must state the following:
(1) That the chemicals will be used only for purposes not prohibited
under the Chemical Weapons Convention;
(2) That the chemicals will not be transferred to other end-user(s)
or end-use(s);
(3) The types and quantities of chemicals;
(4) Their specific end-use(s); and
(5) The name(s) and complete address(es) of the end-user(s).
[64 FR 27143, May 18, 1999, as amended at 64 FR 49381, Sept. 13, 1999;
66 FR 49525, Sept. 28, 2001; 73 FR 38910, July 8, 2008]
Sec. Supplement No. 1 to Part 745--Schedules of Chemicals
------------------------------------------------------------------------
CAS registry No.
------------------------------------------------------------------------
Schedule 1
------------------------------------------------------------------------
A. Toxic Chemicals:
1. Family: O-Alkyl(<=C10, incl. cycloalkyl) alkyl
(Me, Et, n-Pr or i-Pr)- phosphonofluoridates
Not limited to the following examples:
Sarin: O-Isopropyl 107-44-8
methylphosphonofluoridate................
Soman: O-Pinacolyl 96-64-0
methylphosphonofluoridate................
2. Family: O-Alkyl (<=C10, incl. cycloalkyl) N,N-
dialkyl (Me, Et, n-Pr or i-Pr)
phosphoramidocyanidates
Not limited to the following example:
Tabun: O-Ethyl N,N-dimethyl 77-81-6
phosphoramidocyanidate...................
3. Family: O-Alkyl (H or <=C10, incl. cycloalkyl)
S-2-dialkyl (Me, Et, n-Pr or i-Pr)-aminoethyl
alkyl (Me, Et, n-Pr or i-Pr) phosphonothiolates
and corresponding alkylated or protonated salts
Not limited to the following example:
VX: O-Ethyl S-2-diisopropylaminoethyl 50782-69-9
methyl phosphonothiolate.................
4. Sulfur mustards:
2-Chloroethylchloromethylsulfide.............. 2625-76-5
Mustard gas: Bis(2-chloroethyl)sulfide........ 505-60-2
Bis(2-chloroethylthio)methane................. 63869-13-6
Sesquimustard: 1,2-Bis(2- 3563-36-8
chloroethylthio)ethane.......................
1,3-Bis(2-chloroethylthio)-n-propane.......... 63905-10-2
1,4-Bis(2-chloroethylthio)-n-butane........... 142868-93-7
1,5-Bis(2-chloroethylthio)-n-pentane.......... 142868-94-8
Bis(2-chloroethylthiomethyl)ether............. 63918-90-1
O-Mustard: Bis(2-chloroethylthioethyl)ether... 63918-89-8
5. Lewisites:
Lewisite 1: 2-Chlorovinyldichloroarsine....... 541-25-3
Lewisite 2: Bis(2-chlorovinyl)chloroarsine.... 40334-69-8
Lewisite 3: Tris(2-chlorovinyl)arsine......... 40334-70-1
6. Nitrogen mustards:
HN1: Bis(2-chloroethyl)ethylamine............. 538-07-8
HN2: Bis(2-chloroethyl)methylamine............ 51-75-2
HN3: Tris(2-chloroethyl)amine................. 555-77-1
7. Saxitoxin...................................... 35523-89-8
8. Ricin.......................................... 9009-86-3
13. Family: P-alkyl (H or <=C10, incl. cycloalkyl)
N-(1-(dialkyl(<=C10, incl.
cycloalkyl)amino))alkylidene(H or <=C10, incl.
cycloalkyl) phosphonamidic fluorides and
corresponding alkylated or protonated salts
Not limited to the following examples:
N-(1-(di-n-decylamino)-n-decylidene)-P- 2387495-99-8
decylphosphonamidic fluoride.............
Methyl-(1- 2387496-12-8
(diethylamino)ethylidene)phosphonamidoflu
oridate..................................
14. Family: O-alkyl (H or <=C10, incl. cycloalkyl)
N-(1-(dialkyl(<=C10, incl.
cycloalkyl)amino))alkylidene(H or <=C10, incl.
cycloalkyl) phosphoramidofluoridates and
corresponding alkylated or protonated salts
Not limited to the following examples:
O-n-Decyl N-(1-(di-n-decylamino)-n 2387496-00-4
decylidene)phosphoramidofluoridate.......
Methyl (1- 2387496-04-8
(diethylamino)ethylidene)phosphoramidoflu
oridate..................................
Ethyl (1- 2387496-06-0
(diethylamino)ethylidene)phosphoramidoflu
oridate..................................
[[Page 10]]
15. Methyl- 2387496-14-0
(bis(diethylamino)methylene)phosphonamidofluorida
te...............................................
16. Carbamates (quaternaries and bisquaternaries
of dimethylcarbamoyloxypyridines)
16.1. Family: Quaternaries of
dimethylcarbamoyloxypyridines: 1-[N,N-
dialkyl(<=C10)-N-(n-(hydroxyl, cyano,
acetoxy)alkyl(<=C10)) ammonio]-n-[N-(3-
dimethylcarbamoxy-[alpha]-picolinyl)-N,N-
dialkyl(<=C10) ammonio]decane dibromide (n=1-8)
Not limited to the following example:
1-[N,N-dimethyl-N-(2-hydroxy)ethylammonio]- 77104-62-2
10-[N-(3-dimethylcarbamoxy-[alpha]-
picolinyl)-N,N-dimethylammonio]decane
dibromide................................
16.2. Family: Bisquaternaries of
dimethylcarbamoyloxypyridines:1,n-Bis[N-(3-
dimethylcarbamoxy-[alpha]-picolyl)-N,N-
dialkyl(<=C10) ammonio]-alkane-(2,(n-1)-dione)
dibromide (n=2-12)...............................
Not limited to the following example:
1,10-Bis[N-(3-dimethylcarbamoxy-[alpha]- 77104-00-8
picolyl)-N-ethyl-N- methylammonio]decane-
2,9-dione dibromide......................
B. Precursors:
9. Family: Alkyl (Me, Et, n-Pr or i-Pr)
phosphonyldifluorides
Not limited to the following example:
DF: Methylphosphonyldifluoride............ 676-99-3
10. Family: O-Alkyl (H or <=C10, incl. cycloalkyl)
O-2-dialkyl (Me, Et, n-Pr or i-Pr)-aminoethyl
alkyl (Me, Et, n-Pr or i-Pr) phosphonites and
corresponding alkylated or protonated salts
Not limited to the following example:
QL: O-Ethyl O-2-diisopropylaminoethyl 57856-11-8
methylphosphonite........................
11. Chlorosarin: O-Isopropyl 1445-76-7
methylphosphonochloridate........................
12. Chlorosoman: O-Pinacolyl 7040-57-5
methylphosphonochloridate........................
------------------------------------------------------------------------
Schedule 2
------------------------------------------------------------------------
A. Toxic Chemicals:
1. Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] 78-53-5
phosphorothiolate and corresponding alkylated or
protonated salts.................................
2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)- 382-21-8
1-propene........................................
3. BZ: 3-Quinuclidinyl benzilate.................. 6581-06-2
B. Precursors:
4. Family: Chemicals, except for those listed in
Schedule 1, containing a phosphorus atom to which
is bonded one methyl, ethyl or propyl (normal or
iso) group but not further carbon atoms,
Not limited to the following examples:
Methylphosphonyl dichloride............... 676-97-1
Dimethyl methylphosphonate................ 756-79-6
Exemption: Fonofos: O-Ethyl S-phenyl 944-22-9
ethylphosphonothiolothionate.................
5. Family: N,N-Dialkyl (Me, Et, n-Pr or i-Pr)
phosphoramidic dihalides
6. Family: Dialkyl (Me, Et, n-Pr or i-Pr) N,N-
dialkyl (Me, Et, n-Pr or i-Pr)-phosphoramidates
7. Arsenic trichloride............................ 7784-34-1
8. 2,2-Diphenyl-2-hydroxyacetic acid.............. 76-93-7
9. Quinuclidine-3-ol.............................. 1619-34-7
10. Family: N,N-Dialkyl (Me, Et, n-Pr or i-Pr)
aminoethyl-2-chlorides and corresponding
protonated salts
11. Family: N,N-Dialkyl (Me, Et, n-Pr or i-Pr)
aminoethane-2-ols and corresponding protonated
salts
Exemptions: N,N-Dimethylaminoethanol and 108-01-0
corresponding protonated salts...............
N,N-Diethylaminoethanol and corresponding 100-37-8
protonated salts.........................
12. Family: N,N-Dialkyl (Me, Et, n-Pr or i-Pr)
aminoethane-2-thiols and corresponding protonated
salts
13. Thiodiglycol: Bis(2-hydroxyethyl)sulfide...... 111-48-8
14. Pinacolyl alcohol: 3,3-Dimethylbutane-2-ol.... 464-07-3
------------------------------------------------------------------------
Schedule 3
------------------------------------------------------------------------
A. Toxic Chemicals:
1. Phosgene: Carbonyl dichloride.................. 75-44-5
2. Cyanogen chloride.............................. 506-77-4
3. Hydrogen cyanide............................... 74-90-8
4. Chloropicrin: Trichloronitromethane............ 76-06-2
B. Precursors:
5. Phosphorus oxychloride......................... 10025-87-3
6. Phosphorus trichloride......................... 7719-12-2
7. Phosphorus pentachloride....................... 10026-13-8
8. Trimethyl phosphite............................ 121-45-9
9. Triethyl phosphite............................. 122-52-1
10. Dimethyl phosphite............................ 868-85-9
11. Diethyl phosphite............................. 762-04-9
12. Sulfur monochloride........................... 10025-67-9
13. Sulfur dichloride............................. 10545-99-0
14. Thionyl chloride.............................. 7719-09-7
15. Ethyldiethanolamine........................... 139-87-7
[[Page 11]]
16. Methyldiethanolamine.......................... 105-59-9
17. Triethanolamine............................... 102-71-6
------------------------------------------------------------------------
Note to Supplement 1: The numerical sequence of the ``Schedule 1''
Toxic Chemicals and Precursors is not consecutive so as to align with
the December 23, 2019, consolidated textual changes to ``Schedule 1'' of
the Annex on Chemicals to the Chemical Weapons Convention (CWC), which
reflect the decisions adopted by the CWC Conference of the States
Parties in November 2019.
[86 FR 942, Jan. 7, 2021]
Sec. Supplement No. 2 to Part 745--States Parties to the Convention on
the Prohibition of the Development, Production, Stockpiling, and Use of
Chemical Weapons and on Their Destruction
List of States Parties as of June 1, 2016
Afghanistan
Albania
Algeria
Andorra
Angola
Antigua and Barbuda
Argentina
Armenia
Australia
Austria
Azerbaijan
Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belgium
Belize
Benin
Bhutan
Bolivia
Bosnia-Herzegovina
Botswana
Brazil
Brunei Darussalam
Bulgaria
Burkina Faso
Burma
Burundi
Cambodia
Cameroon
Canada
Cape Verde
Central African Republic
Chad
Chile
China *
Colombia
Comoros
Congo (Democratic Republic of the)
Congo (Republic of the)
Cook Islands
Costa Rica
Cote d'Ivoire (Ivory Coast)
Croatia
Cuba
Cyprus
Czech Republic
Denmark
Djibouti
Dominica
Dominican Republic
Ecuador
El Salvador
Equatorial Guinea
Eritrea
Estonia
Ethiopia
Fiji
Finland
France
Gabon
Gambia
Georgia
Germany
Ghana
Greece
Grenada
Guatemala
Guinea
Guinea-Bissau
Guyana
Haiti
Holy See
Honduras
Hungary
Iceland
India
Indonesia
Iran
Iraq
Ireland
Italy
Jamaica
Japan
Jordan
Kazakhstan
Kenya
Kiribati
Korea (Republic of)
Kuwait
Kyrgyzstan
Laos (P.D.R.)
Latvia
Lebanon
Lesotho
Liberia
Libya
Liechtenstein
[[Page 12]]
Lithuania
Luxembourg
Macedonia
Madagascar
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Mauritius
Mauritania
Mexico
Micronesia
Moldova (Republic of)
Monaco
Mongolia
Montenegro
Morocco
Mozambique
Namibia
Nauru
Nepal
Netherlands (Kingdom of the) ***
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norway
Oman
Pakistan
Palau
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Poland
Portugal
Qatar
Romania
Russian Federation
Rwanda
Saint Kitts and Nevis
Saint Lucia
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Senegal
Serbia
Seychelles
Sierra Leone
Singapore
Slovak Republic
Slovenia
Solomon Islands
Somalia
South Africa
Spain
Sri Lanka
Sudan
Suriname
Swaziland
Sweden
Switzerland
Syria
Tajikistan
Tanzania
Thailand
Timor-Leste
Togo
Tonga
Trinidad and Tobago
Tunisia
Turkey
Turkmenistan
Tuvalu
Uganda
Ukraine
United Arab Emirates
United Kingdom
United States
Uruguay
Uzbekistan
Vanuatu
Venezuela
Vietnam
Yemen
Zambia
Zimbabwe
* For CWC purposes only, China includes Macau.
*** For CWC purposes only, the Netherlands (Kingdom of) includes:
Aruba, Cura[ccedil]ao, and Saint Maarten (the Dutch two-fifths of the
island of Saint Martin).
[85 FR 83791, Dec. 23, 2020]
Sec. Supplement No. 3 to Part 745--Foreign Authorized Agencies
Responsible for Issuing End-Use Certificates Pursuant to Sec. 745.2
Israel
Chemical, Environment Technology Administration, Ministry of Industry &
Trade, 30 Agron Street, Jerusalem 94190, Israel
Contact: Josef Dancona, Deputy Director, Telephone: 972-2-6220193, Fax:
972-2-6241987
Taiwan \1\
---------------------------------------------------------------------------
\1\ Two of the three offices (Export Processing Zone Administration
and the Science-Based Industrial Park Administration) are in special
economic zones and are responsible for the activity in their respective
zones.
---------------------------------------------------------------------------
Board of Foreign Trade, Ministry of Economic Affairs, 1 Hukou St.,
Taipei, Tel: (02) 2351-0271, Fax: (02) 2351-3603
Export Processing Zone Administration, Ministry of Economic Affairs, 600
Chiachang Rd., Nantze, Kaohsiung, Tel: (07) 361-1212, Fax: (07) 361-4348
Science-Based Industrial Park Administration, National Science Council,
Executive Yuan, 2 Hsin-an Rd., Hsinchu, Tel: (03) 577-3311, Fax: (03)
577-6222
[64 FR 27143, May 18, 1999, as amended at 64 FR 43982, Sept. 13, 1999]
[[Page 13]]
PART 746_EMBARGOES AND OTHER SPECIAL CONTROLS--Table of Contents
Sec.
746.1 Introduction.
746.2 Cuba.
746.3 Iraq.
746.4 North Korea.
746.5 [Reserved]
746.6 Temporarily occupied Crimea region of Ukraine and covered regions
of Ukraine.
746.7 Iran.
746.8 Sanctions against Russia and Belarus.
746.9 Syria.
746.10 [Reserved]
Supplement No. 1 to Part 746--Examples of Luxury Goods
Supplement No. 2 to Part 746--Russian and Belarusian Industry Sector
Sanction List Pursuant to Sec. 746.8(a)(4)
Supplement No. 3 to Part 746--Countries Excluded from Certain License
Requirements of Sec. Sec. 746.6, 746.7, and 746.8
Supplement No. 4 to Part 746--Russian and Belarusian Industry Sector
Sanctions Pursuant to Sec. 746.8(a)(5)
Supplement No. 5 to Part 746--'Luxury Goods' Sanctions for Russia and
Belarus Pursuant to Sec. 746.8(a)(7)
Supplement No. 6 to Part 746--Russian and Belarusian Industry Sector
Sanctions Pursuant to Sec. 746.8(a)(6)
Supplement No. 7 to Part 746--Supplement No. 7 to Part 746--Items That
Require a License Under Sec. 746.6 When Destined to the
Temporarily Occupied Crimea Region of Ukraine, Under Sec.
746.7 When Destined to Iran, and Under Sec. 746.8 When
Destined to Russia or Belarus
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 22 U.S.C. 287c; Sec 1503, Pub. L. 108-11, 117 Stat. 559;
22 U.S.C. 2151 note; 22 U.S.C. 6004; 22 U.S.C. 7201 et seq.; 22 U.S.C.
7210; E.O. 12854, 58 FR 36587, 3 CFR, 1993 Comp., p. 614; E.O. 12918, 59
FR 28205, 3 CFR, 1994 Comp., p. 899; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; E.O. 13338, 69 FR 26751, 3 CFR, 2004 Comp., p 168;
Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp., p.
320; Presidential Determination 2007-7, 72 FR 1899, 3 CFR, 2006 Comp.,
p. 325; Notice of May 8, 2024, 89 FR 40355 (May 9, 2024); Pub. L. 118-
50.
Source: 61 FR 12806, Mar. 25, 1996, unless otherwise noted.
Sec. 746.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C. This part implements broad based controls for items
and activities subject to the EAR imposed to implement U.S. government
policies. Two categories of controls are included in this part.
(a) Comprehensive controls. This part contains or refers to all the
BIS licensing requirements, licensing policies, and License Exceptions
for countries subject to general embargoes or comprehensive sanctions,
currently Cuba, Iran, and Syria. This part is the focal point for all
the EAR requirements for transactions involving these countries.
(1) Cuba. All the items on the Commerce Control List (CCL) require a
license to Cuba. In addition, most other items subject to the EAR, but
not included on the CCL, designated by the Number ``EAR99'', require a
license to Cuba. Most items requiring a license to these destinations
are subject to a general policy of denial. Because these controls extend
to virtually all exports, they do not appear in the Country Chart in
part 738 of the EAR, nor are they reflected in the Commerce Control List
in part 774 of the EAR.
(2) Iran. BIS maintains license requirements and other restrictions
on exports and reexports to Iran. A comprehensive embargo on
transactions involving this country is administered by the Department of
The Treasury's Office of Foreign Assets Control (OFAC).
(3) Syria. Pursuant to Sections 5(a)(1) and 5(a)(2)(A) of the Syria
Accountability and Lebanese Sovereignty Restoration Act of 2003 (Pub. L.
108-175, codified as a note to 22 U.S.C. 2151) (the SAA), since May 14,
2004 BIS has maintained a prohibition on the export to Syria of all
items on the Commerce Control List (in 15 CFR part 774) (CCL) and a
prohibition on the export to Syria of products of the United States,
other than food and medicine. The President also exercised national
security waiver authority pursuant to Section 5(b) of the SAA for
certain transactions. Section 746.9 of this part sets forth the specific
license requirements, licensing policy and license exceptions applicable
to Syria as a sanctioned country under the EAR. These provisions were
issued consistent with Executive Order 13338 of May 11, 2004 which
implemented the SAA.
(b) Sanctions on selected categories of items to specific
destinations. (1) BIS controls the export and reexport of selected
categories of items to countries
[[Page 14]]
under United Nations Security Council arms embargoes. See the Commerce
Control List in supplement no. 1 to part 774. See also Sec. Sec. 746.3
(Iraq) and 746.4 (North Korea).
(2) The countries subject to United Nations Security Council arms
embargoes are: Central African Republic, Democratic Republic of the
Congo, Eritrea, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, and
Sudan.
(3) A license is required to export or reexport items identified in
Part 774 as having a ``UN'' reason for control to countries identified
in paragraph (b)(2) of this section. To the extent consistent with
United States national security and foreign policy interests, BIS will
not approve applications for such licenses if the authorization would be
contrary to the relevant United Nations Security Council Resolution.
(4) You may not use any License Exception, other than License
Exception GOV, for items for personal or official use by personnel and
agencies of the U.S. Government or agencies of cooperating governments
as set forth in Sec. 740.11(b) of the EAR, to export or reexport items
with a UN reason for control to countries listed in paragraph (b)(2) of
this section. This paragraph does not apply to Iraq, which is governed
by Sec. 746.3(c) of this part; North Korea, which is governed by Sec.
746.4(c) of this part; or Iran, which is governed by Sec. 746.7(c) of
this part.
(c) Russian Industry Sector Sanctions. The Russian Industry Sector
Sanctions are set forth under Sec. 746.5 and referenced under the
License Requirements section of certain Export Control Classification
Numbers (ECCNs) in supplement no. 1 to part 774 (Commerce Control List),
as well as in a footnote to the Commerce Country Chart in supplement no.
1 to part 738.
(d) This part also contains descriptions of controls maintained by
the Office of Foreign Assets Control in the Treasury Department and by
the Directorate of Defense Trade Controls in the Department of State.
Comprehensive embargoes and supplemental controls implemented by BIS
under the EAR usually also involve controls on items and activities
maintained by these agencies. This part sets forth the allocation of
licensing responsibilities between BIS and these other agencies.
References to the requirements of other agencies are informational; for
current, complete, and authoritative requirements, you should consult
the appropriate agency's regulations.
[61 FR 12806, Mar. 25, 1996, as amended at 62 FR 25459, May 9, 1996; 65
FR 38160, June 19, 2000; 67 FR 70546, Nov. 25, 2002; 69 FR 3005, Jan.
22, 2004; 69 FR 23638, Apr. 29, 2004; 69 FR 46076, July 30, 2004; 72 FR
3725, Jan. 26, 2007; 73 FR 36, Jan. 2, 2008; 76 FR 77117, Dec. 12, 2011;
77 FR 42975, July 23, 2012; 78 FR 22723, Apr. 16, 2013; 79 FR 32625,
June 5, 2014; 79 FR 45679, Aug. 6, 2014; 81 FR 76861, Nov. 4, 2016]
Sec. 746.2 Cuba.
(a) License requirements. As authorized by section 6 of the Export
Administration Act of 1979, as amended (EAA) and by the Trading with the
Enemy Act of 1917, as amended, you will need a license to export or
reexport all items subject to the EAR (see part 734 of the EAR for the
scope of items subject to the EAR) to Cuba, including any release of
technology or source code subject to the EAR to a Cuban national, except
as follows:
(1) License exceptions. You may export or reexport without a license
if your transaction meets all the applicable terms and conditions of any
of the following License Exceptions. To determine the scope and
eligibility requirements, you will need to turn to the sections or
specific paragraphs of part 740 of the EAR (License Exceptions). Read
each License Exception carefully, as the provisions available for
embargoed countries are generally narrow.
(i) Temporary exports and reexports (TMP) by the news media (see
Sec. 740.9(a)(9) of the EAR).
(ii) Operation technology and software (TSU) for legally exported
commodities or software (see Sec. 740.13(a) of the EAR).
(iii) Sales technology (TSU) (see Sec. 740.13(b) of the EAR).
(iv) Software updates (TSU) for legally exported software (see Sec.
740.13(c) of the EAR).
(v) Parts (RPL) for one-for-one replacement in certain legally
exported commodities (see Sec. 740.10(a) of the EAR).
(vi) Baggage (BAG) (see Sec. 740.14 of the EAR).
[[Page 15]]
(vii) Governments and international organizations (GOV) (see Sec.
740.11 of the EAR).
(viii) Gift parcels and humanitarian donations (GFT) (see Sec.
740.12 of the EAR).
(ix) Items in transit (TMP) from Canada through the U.S. (see Sec.
740.9(b)(1)(iv) of the EAR).
(x) Aircraft, vessels and spacecraft (AVS) for certain aircraft on
temporary sojourn; equipment and spare parts for permanent use on a
vessel or aircraft, and ship and plane stores; vessels on temporary
sojourn; or cargo transiting Cuba on aircraft or vessels on temporary
sojourn (see Sec. 740.15(a), (b), (d), and (e) of the EAR).
(xi) Permissive reexports of certain spare parts in foreign-made
equipment (see Sec. 740.16(h) of the EAR).
(xii) Exports of agricultural commodities, classified as EAR99,
under License Exception Agricultural Commodities (AGR) and certain
reexports of U.S. origin agricultural commodities, classified as EAR99,
under License Exception AGR (see Sec. 740.18 of the EAR).
(xiii) Commodities and software authorized under License Exception
Consumer Communications Devices (CCD) (see Sec. 740.19 of the EAR).
(xiv) License Exception Support for the Cuban People (SCP) (see
Sec. 740.21 of the EAR).
(2) Deemed exports and deemed reexports. A license is not required
to release technology or source code subject to the EAR but not on the
Commerce Control List (i.e., EAR99 technology or source code) to a Cuban
national in the United States or a third country.
(b) Licensing policy. Items requiring a license are subject to a
general policy of denial, except as follows:
(1) Medicines and Medical Devices. Applications to export medicines
and medical devices as defined in part 772 of the EAR will generally be
approved, except:
(i) To the extent restrictions would be permitted under section 5(m)
of the Export Administration Act of 1979, as amended (EAA), or section
203(b)(2) of the International Emergency Economic Powers Act;
(ii) If there is a reasonable likelihood that the item to be
exported will be used for purposes of torture or other human rights
abuses;
(iii) If there is a reasonable likelihood that the item to be
exported will be reexported;
(iv) If the item to be exported could be used in the production of
any biotechnological product; or
(v) If it is determined that the United States government is unable
to verify, by on-site inspection or other means, that the item to be
exported will be used for the purpose for which it was intended and only
for the use and benefit of the Cuban people, but this exception shall
not apply to donations of medicines for humanitarian purposes to a
nongovernmental organization in Cuba.
(2) Exports and reexports that generally will be approved.
Applications for licenses to export or reexport the following generally
will be approved:
(i) Telecommunications items that would improve communications to,
from, and among the Cuban people;
(ii) Commodities and software to human rights organizations or to
individuals and non-governmental organizations that promote independent
activity intended to strengthen civil society in Cuba;
(iii) Commodities and software to U.S. news bureaus in Cuba whose
primary purpose is the gathering and dissemination of news to the
general public;
(iv) Agricultural items that are outside the scope of agricultural
commodities as defined in part 772 of the EAR, such as insecticides,
pesticides and herbicides, and agricultural commodities not eligible for
License Exception AGR;
(v) Items necessary to ensure the safety of civil aviation and the
safe operation of commercial aircraft engaged in international air
transportation, excluding the export or reexport of such aircraft leased
to state-owned enterprises; and
(vi) Items necessary for the environmental protection of U.S. and
international air quality, waters, or coastlines (including items
related to renewable energy or energy efficiency).
[[Page 16]]
(3) Exports and reexports that may be authorized on a case-by-case
basis. (i) Applications for licenses to export or reexport items to meet
the needs of the Cuban people, including exports and reexports of such
items to state-owned enterprises, agencies, and other organizations of
the Cuban government that provide goods and services for the use and
benefit of the Cuban people may be authorized on a case-by-case basis.
This policy of case-by-case review includes applications for licenses to
export or reexport items for:
(A) Agricultural production, artistic endeavors (including the
creation of public content, historic and cultural works and
preservation), education, food processing, disaster preparedness, relief
and response, public health and sanitation, residential construction and
renovation and public transportation;
(B) Wholesale and retail distribution for domestic consumption by
the Cuban people;
(C) Construction of facilities for treating public water supplies,
facilities for supplying electricity or other energy to the Cuban
people, sports and recreation facilities, and other infrastructure that
directly benefits the Cuban people; and
(D) Items that will enable or facilitate export from Cuba of items
produced by the private sector.
Note 1 to paragraph (b)(3)(i): Licenses issued pursuant to the
policy set forth in this paragraph generally will have a condition
prohibiting both reexports from Cuba to any other destination and uses
that enable or facilitate the export of goods or services from Cuba,
that primarily generate revenue for the state.
Note 2 to paragraph (b)(3)(i): The policy of case-by-case review in
this paragraph is intended to facilitate exports and reexports to meet
the needs of the Cuban people. Accordingly, BIS generally will deny
applications to export or reexport items for use by state-owned
enterprises, agencies, and other organizations that primarily generate
revenue for the state, including those engaged in tourism and those
engaged in the extraction or production of minerals or other raw
materials. Applications for export or reexport of items destined to the
Cuban military, police, intelligence or security services also generally
will be denied. Additionally, pursuant to section 3(a) of the National
Security Presidential Memorandum on Strengthening the Policy of the
United States Toward Cuba (NSPM), dated June 16, 2017, BIS generally
will deny applications to export or reexport items for use by entities
or subentities identified by the Department of State in the Federal
Register or at https://www.state.gov/e/eb/tfs/spi /cuba/
cubarestrictedlist/index.htm, unless such transactions are determined to
be consistent with sections 2 and 3(a)(iii) of the NSPM.
(ii) [Reserved]
(4) Temporary sojourns of aircraft and vessels. Applications for
exports or reexports of aircraft or vessels on temporary sojourn to
Cuba, other than aircraft operated by certificated air carriers or cargo
vessels for hire, are subject to a general policy of denial unless
consistent with the foreign policy or national security interests of the
United States. Applications for exports or reexports of aircraft
operated by certificated air carriers or cargo vessels for hire on
temporary sojourn to Cuba may be authorized on a case-by-case basis.
Note 1 to paragraph (b)(4): Applications for exports or reexports of
private and corporate aircraft, cruise ships, sailboats, fishing
vessels, and other similar aircraft and vessels on temporary sojourn to
Cuba will generally be denied.
(c) Definitions. For purposes of this section, ``U.S. person'' means
any person subject to the jurisdiction of the United States, as
described in Sec. 515.329 of the Cuban Assets Control Regulations (31
CFR 515.329).
(d) Related controls. OFAC maintains controls on the activities of
persons subject to U.S. jurisdiction, wherever located, involving
transactions with Cuba or any Cuban national, as provided in 31 CFR part
515. Exporters and reexporters should consult with OFAC for further
guidance on its related controls.
[61 FR 12802, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting Sec.
746.2, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Sec. 746.3 Iraq.
Pursuant to United Nations Security Council (UNSC) Resolutions 1483
and 1546 and other relevant resolutions, the United Nations maintains an
embargo on the sale or supply to Iraq of arms
[[Page 17]]
and related materiel and their means of production, except items
required by the Government of Iraq to serve the purposes of Resolution
1546. UNSC Resolutions 707 and 687 require that Iraq eliminate its
nuclear weapons program and restrict its nuclear activities to the use
of isotopes for medical, industrial or agricultural purposes. Such
resolutions further mandate that Iraq eliminate its chemical and
biological weapons programs as well as its ballistic missile program. In
support of the applicable UNSC resolutions, certain Iraq specific
license requirements and licensing policies are detailed in this
section. In addition, this section details restrictions on transfers of
items subject to the EAR within Iraq. Exporters should be aware that
other provisions of the EAR, including parts 742 and 744, will continue
to apply with respect to exports and reexports to Iraq and transfers
within Iraq.
(a) License requirements. (1) A license is required for the export
or reexport to Iraq or transfer within Iraq of any item controlled on
the Commerce Control List for NS, MT, NP, CW, CB, RS, CC, EI, SI, or SL
reasons. See part 742 of the EAR.
(2) A license is required for the export or reexport to Iraq or
transfer within Iraq of any item controlled on the Commerce Control List
for UN reasons.
(3) A license is required for the export or reexport to Iraq or
transfer within Iraq of items on the Commerce Control List controlled
for RS reasons under the following ECCNs: 0B999, 0D999, 1B999, 1C992,
1C995, 1C997, 1C999 and 6A992.
(4) A license is required for the export or reexport to Iraq or
transfer within Iraq of any item subject to the EAR if, at the time of
the export, reexport or transfer, you know, have reason to know, or are
informed by BIS that the item will be, or is intended to be, used for a
``military end-use'' or by a ``military end-user'', as defined in this
section. This license requirement does not apply to exports, reexports
or transfers of items for the official use by personnel and agencies of
the U.S. Government or exports, reexports or transfers to the Government
of Iraq. See Sec. 740.11(b)(3) of the EAR for the definition of
``agency of the U.S. Government.'' BIS may inform an exporter,
reexporter, or other person, either individually by specific notice or
through amendment to the EAR, that a license is required for export,
reexport or transfer of items subject to the EAR to specified end-users,
because BIS has determined that there is an unacceptable risk of
diversion to the uses or users described in this paragraph. Specific
notice is to be given only by, or at the direction of, the Deputy
Assistant Secretary for Export Administration. When such notice is
provided orally, it will be followed by a written notice within two
working days signed by the Deputy Assistant Secretary for Export
Administration. The absence of any such notification does not excuse the
exporter, reexporter or other person from compliance with the license
requirements of this paragraph.
(i) Military end-use. In this section, the phrase ``military end-
use'' means incorporation into a military item described on the U.S.
Munitions List (USML) (22 CFR part 121, International Traffic in Arms
Regulations) or the Wassenaar Arrangement Munitions List (WAML) (as set
out on the Wassenaar Arrangement website at http://www.wassenaar.org);
or use, development, or deployment of military items described on the
USML or the WAML.
(ii) Military end-user. In this section, the term ``military end-
user'' means any ``person'' whose actions or functions are intended to
support ``military end-uses'' as defined in paragraph (a)(4)(i) of this
section and who is not recognized as a legitimate military organization
by the U.S. Government.
(5) Definitions. For purposes of exports or reexports to Iraq or
transfers within Iraq, ``ballistic missile'' is defined as any missile
capable of a range greater than 150 kilometers.
(b) Licensing policy. (1) License applications for the export or
reexport to Iraq or transfer within Iraq of items listed in paragraph
(a)(1), (a)(2), or (a)(3) of this section for Iraqi civil nuclear or
military nuclear activity, except for use of isotopes for medical,
industrial or agricultural purposes, will be subject to a policy of
denial.
[[Page 18]]
(2) License applications for the export or reexport to Iraq or
transfer within Iraq of machine tools controlled for national security
(NS) or nuclear nonproliferation (NP) reasons, as well as for any items
controlled for crime control (CC) or United Nations (UN) reasons
(including items classified under ECCN 0A505.c) or ECCNs that end in the
number ``018'' or items classified under ``600 series'' ECCNs, that
would make a material contribution to the production, research, design,
development, support, maintenance or manufacture of Iraqi weapons of
mass destruction, ballistic missiles or arms and related materiel will
be subject to a general policy of denial. Exports of ``600 series''
items to the Government of Iraq will be reviewed under the policies set
forth for such items in Sec. Sec. 742.4(b) and 742.6(b) of the EAR.
(3) License applications for the export or reexport to Iraq or
transfer within Iraq of items listed in paragraph (a)(3) of this section
will be reviewed on a case-by-case basis to determine if they would
contribute to the building of Iraqi civil infrastructure. Applications
determined not to contribute to the building of Iraqi civil
infrastructure will be subject to a general policy of denial.
(4) License applications for the export or reexport to Iraq or
transfer within Iraq of items listed in paragraph (a)(4) of this section
will be subject to a policy of denial.
(c) License exceptions. You may export or reexport without a license
if your transaction meets all the requirements of any of the following
License Exceptions: CIV, APP, TMP, RPL, GOV, GFT, TSU, BAG, AVS, or ENC.
For specific requirements of each of these License Exceptions, refer to
part 740 of the EAR. Notwithstanding the above, this paragraph may not
be applied to exports or reexports that require a license under
paragraph (a)(4) of this section.
(d) Related State Department controls. The Department of State,
Directorate of Defense Trade Controls, maintains controls on arms and
military equipment to Iraq under the International Traffic in Arms
Regulations (22 CFR parts 120 through 130).
(e) Transition for licenses issued by the Department of the
Treasury's Office of Foreign Assets Control. Prior to July 30, 2004, the
Department of the Treasury's Office of Foreign Assets Control (OFAC)
exercised primary licensing jurisdiction for transactions with Iraq, as
provided in 31 CFR part 575. This section establishes a validity period
for licenses issued by OFAC for exports or reexports to Iraq.
(1) Validity period. Licenses issued by OFAC for the export or
reexport of items that require a license to Iraq under the Export
Administration Regulations (EAR) shall continue to be valid under the
EAR. For those licenses with specified expiration dates, such dates will
continue to apply. Licenses without specified expiration dates will be
valid through July 30, 2005. The recordkeeping requirements applicable
to exports and reexports of items pursuant to licenses issued by OFAC
are described in paragraph (e)(3) of this section.
Note to paragraph (e)(1): Persons that have been authorized by OFAC
to export or reexport items that are subject to the export control
jurisdiction of other agencies must consult with OFAC and the other
relevant agencies with regard to the expiration date of the
authorization granted by OFAC.
(2) Reexports or transfers. Items subject to a license requirement
under the EAR for export or reexport to Iraq as of July 30, 2004, that
were previously exported or reexported to Iraq under a specific license
granted by OFAC:
(i) May not be transferred within Iraq to a new end-user without a
license from BIS,
(ii) May be reexported to the United States without a license,
(iii) May be reexported to third countries subject to the license
requirements for the destination, end-use or end-user set forth
elsewhere in the EAR.
(3) Recordkeeping requirement. Persons in receipt of a specific
license granted by OFAC described in paragraph (e)(1) of this section
must maintain a record of those items exported or reexported to Iraq
pursuant to such specific license and record when the items are consumed
or destroyed in the normal course of their use in Iraq, reexported
[[Page 19]]
to a third country not requiring further authorization from BIS, or
returned to the United States. This requirement applies only to items
subject to a license requirement under the EAR for export to Iraq as of
July 30, 2004. These records must be maintained in accordance with
recordkeeping requirements set forth in part 762 of the EAR and must
include the following information:
(i) Date of export or reexport and related details (including means
of transport);
(ii) Description of items (including ECCN) and value of items in
U.S. Dollars;
(iii) Description of proposed end-use and locations in Iraq where
items are intended to be used;
(iv) Parties other than specific OFAC licensee who may be given
temporary access to the items; and
(v) Date of consumption or destruction, if the items are consumed or
destroyed in the normal course of their use in Iraq, or the date of
reexport to a third country not requiring further authorization from
BIS, or return to the United States.
(f) License Requirements for certain transfers within Iraq of items
subject to the EAR--(1) Licensed items. A license is required for the
transfer within Iraq of any item subject to the EAR exported or
reexported pursuant to a specific license issued by the Department of
the Treasury or a Department of Commerce specific license or License
Exception.
(2) Other items. (i) A license is required for the transfer within
Iraq of any item subject to the EAR, if, at the time of the transfer,
you know, have reason to know, or are informed by BIS that the item will
be used in the design, development, production or use of weapons of mass
destruction or the means of their delivery, as set forth in part 744 of
the EAR.
(ii) A license is required for the transfer within Iraq to
designated terrorists or terrorist organizations, as set forth in Sec.
744.12, Sec. 744.13, or Sec. 744.14 of the EAR.
[69 FR 46077, July 30, 2004, as amended at 71 FR 20886, Apr. 24, 2006;
71 FR 51718, Aug. 31, 2006; 71 FR 67036, Nov. 20, 2006; 73 FR 57509,
Oct. 3, 2008; 78 FR 22723, Apr. 16, 2013; 79 FR 32625, June 5, 2014; 85
FR 4177, Jan. 23, 2020]
Sec. 746.4 North Korea.
(a) Licensing requirements. As authorized by section 6 of the Export
Administration Act of 1979, as amended, and consistent with United
Nations Security Council Resolution 1718, a license is required to
export or reexport any item subject to the EAR (see part 734 of the EAR)
to the Democratic People's Republic of Korea (North Korea), except food
and medicines classified as EAR99 (definitions in part 772 of the EAR).
Portions of certain license exceptions, set forth in paragraph (c) of
this section, may be available. Exporters should be aware that other
provisions of the EAR, including parts 742 and 744, also apply to
exports and reexports to North Korea.
(b) Licensing policy. Items requiring a license are subject to case-
by-case review, except as follows:
(1) Luxury goods. Applications to export or reexport luxury goods,
e.g., luxury automobiles; yachts; gems; jewelry; other fashion
accessories; cosmetics; perfumes; furs; designer clothing; luxury
watches; rugs and tapestries; electronic entertainment software and
equipment; recreational sports equipment; tobacco; wine and other
alcoholic beverages; musical instruments; art; and antiques and
collectible items, including but not limited to rare coins and stamps
are subject to a general policy of denial. For further information on
luxury goods, see supplement no. 1 to part 746.
(2) Applications to export or reexport arms and related materiel are
subject to a general policy of denial. In addition, applications to
export or reexport items specified by UN documents S/2006/814, S/2006/
815 and S/2006/853 and other items that the UN Security Council or the
Sanctions Committee established pursuant to UN Security Council
Resolution 1718 has determined could contribute to North Korea's
nuclear-related, ballistic missile-related or other weapons of mass
destruction-
[[Page 20]]
related programs are also subject to a general policy of denial.
(3) Applications to export or reexport items controlled for NP and
MT reasons (except ECCN 7A103 items) are subject to a general policy of
denial.
(4) Applications to export or reexport humanitarian items (e.g.,
blankets, basic footwear, heating oil, and other items meeting
subsistence needs) intended for the benefit of the North Korean people;
items in support of United Nations humanitarian efforts; and
agricultural commodities or medical devices items that are determined by
BIS, in consultation with the interagency license review community, not
to be luxury goods are subject to a general policy of approval.
(5) Other items on the CCL. See Section 742.19(b) of the EAR.
(c) License exceptions. You may export or reexport without a license
if your transaction meets all the applicable terms and conditions of any
of the license exception subsections specified in this paragraph. To
determine scope and eligibility requirements, you will need to refer to
the sections or specific paragraphs of part 740 (License Exceptions).
Read each license exception carefully, as the provisions available for
countries subject to sanctions are generally narrow.
(1) TMP for items for use by the news media as set forth in Sec.
740.9(a)(9) of the EAR.
(2) GOV for items for personal or official use by personnel and
agencies of the U.S. Government, the International Atomic Energy Agency
(IAEA), or the European Atomic Energy Community (Euratom) as set forth
in Sec. 740.11(a), (b)(2) of the EAR.
(3) GFT, except that GFT is not available to export or reexport
luxury goods as described in this section to North Korea.
(4) TSU for operation technology and software for lawfully exported
commodities as set forth in Sec. 740.13(a) and sales technology as set
forth in Sec. 740.13 (b) of the EAR.
(5) BAG for exports of items by individuals leaving the United
States as personal baggage as set forth in Sec. 740.14(a) through (d)
of the EAR.
(6) AVS for civil aircraft as set forth in Sec. 740.15(a)(4) of the
EAR.
(d) The Secretary of State has designated North Korea as a country
the government of which has repeatedly provided support for acts of
international terrorism. For anti-terrorism controls, see Section 742.19
of the EAR.
(e) OFAC maintains controls on certain transactions involving
persons subject to U.S. jurisdiction and North Korean entities or any
specially designated North Korean national.
[72 FR 3725, Jan. 26, 2007, as amended at 72 FR 20223, Apr. 24, 2007; 79
FR 32625, June 5, 2014]
Sec. 746.5 [Reserved]
Sec. 746.6 Temporarily occupied Crimea region of Ukraine and covered
regions of Ukraine.
(a) License requirements--(1) General prohibition--Temporarily
Occupied Crimea Region of Ukraine. (i) A license is required to export
or reexport to or transfer within the temporarily occupied Crimea region
of Ukraine any item subject to the EAR other than food and medicine
designated as EAR99, or 'software necessary to enable the exchange of
personal communications over the Internet'; and
(ii) Except as described in paragraph (a)(4) of this section, a
license is required to reexport, export from abroad, or transfer (in-
country) to any destination any foreign-produced item subject to the EAR
under the Russia/Belarus/Temporarily occupied Crimea region of Ukraine
FDP rule described in Sec. 734.9(f) of the EAR.
(2) General prohibition--Donetsk People's Republic (DNR) and Luhansk
People's Republic (LNR). A license is required to export or reexport to,
or transfer within, the so-called DNR or LNR regions of Ukraine any item
subject to the EAR other than: Food and medicine designated as EAR99, or
'software necessary to enable the exchange of personal communications
over the internet'.
(3) Deemed exports or reexports. For purposes of applying the EAR
deemed export and deemed reexport requirements pursuant to the general
prohibitions described in this paragraph (a)(3), the nationality of the
foreign national (as determined by accepted methods, such as looking to
the passport or
[[Page 21]]
other nationality document(s) recognized by the United States
Government) is what is used for purposes of determining whether a
license is required for a deemed export or deemed reexport.
(4) Exclusion from license requirements under paragraph (a)(1)(ii)
of this section. The countries listed in supplement No. 3 to this part
have committed to implementing substantially similar export controls on
Russia and Belarus under their domestic laws. Therefore, exports or
reexports from the countries listed in supplement No. 3 to this part or
transfers (in-country) within the countries listed in this supplement
are not subject to the license requirements described in paragraphs
(a)(1)(ii) of this section, unless a limit to the exclusion is described
in the Scope column in supplement no. 3 to this part.
(5) Exclusion for deployments by the Government of Ukraine to or
within the temporarily occupied Crimea region of Ukraine or covered
regions of Ukraine. The license requirements of paragraph (a) of this
section do not apply to exports, reexports, and transfers (in country)
used in or for deployments by the Government of Ukraine to or within the
temporarily occupied Crimea region of Ukraine or covered regions of
Ukraine.
(b) License review policy. With limited exceptions, applications for
the export, reexport, or transfer (in-country) of any item that requires
a license pursuant to the requirements of this section will be reviewed
with a policy of denial. The following types of license applications for
licenses required under paragraphs (a)(1) and (2) of this section will
be reviewed on a case-by-case basis: applications related to safety of
flight; applications related to maritime safety; applications for civil
nuclear safety; applications to meet humanitarian needs; applications
that support government space cooperation; applications for items
destined to wholly-owned U.S. subsidiaries, foreign subsidiaries of U.S.
companies that are joint ventures with other U.S. companies, joint
ventures of U.S. companies with companies headquartered in countries
from Country Group A:5 and A:6 in supplement No. 1 to part 740 of the
EAR, the wholly-owned subsidiaries of companies headquartered in
countries from Country Group A:5 and A:6 in supplement no. 1 to part
740, joint ventures of companies headquartered in Country Groups A:5 and
A:6 with other companies headquartered in Country Groups A:5 and A:6;
applications for companies headquartered in the United States or in
Country Groups A:5 and A:6 to support civil telecommunications
infrastructure; and government-to-government activities. In reviewing
such applications, whether the transaction in question would benefit the
Russian or Belarusian government or defense sector or would otherwise be
detrimental to the country or people of Ukraine are factors that will be
taken into consideration.
(c) License exceptions. You may export, reexport or transfer (in-
country) without a license if your transaction meets all the applicable
terms and conditions of any of the license exception paragraphs
specified in this paragraph (c). To determine scope and eligibility
requirements, you will need to refer to the sections or specific
paragraphs of part 740 (License Exceptions) of the EAR, as well as Sec.
740.2 license exception restrictions. Read each license exception
carefully, as the provisions available for countries subject to
sanctions are generally narrow.
(1) TMP for items for use by the news media as set forth in Sec.
740.9(a)(9) of the EAR.
(2) GOV for items for personal or official use by personnel and
agencies of the U.S. Government, the International Atomic Energy Agency
(IAEA), or the European Atomic Energy Community (Euratom) as set forth
in Sec. 740.11(a) and (b)(2) of the EAR.
(3) GFT for gift parcels and humanitarian donations as set forth in
Sec. 740.12 of the EAR.
(4) TSU for operation technology and software for lawfully exported
commodities as set forth in Sec. 740.13(a) and sales technology as set
forth in Sec. 740.13 (b) of the EAR.
(5) BAG for exports of items by individuals leaving the United
States as personal baggage as set forth in Sec. 740.14(a) through (d)
of the EAR.
[[Page 22]]
(6) AVS for civil aircraft and vessels as set forth in Sec.
740.15(a)(4) and (d) of the EAR.
(7) License Exception MED (Sec. 740.23 of the EAR).
(d) Definitions. For purpose of this section, use the following
definitions of terms:
(1) 'Crimea region of Ukraine' includes the land territory in that
region as well as any maritime area over which sovereignty, sovereign
rights, or jurisdiction is claimed based on occupation of that land
territory.
(2) 'Donetsk People's Republic (DNR) region' or 'Luhansk People's
Republic (LNR) region' include the land territory in those regions as
well as any maritime area over which sovereignty, sovereign rights, or
jurisdiction is claimed based on purported sovereignty over that land
territory or area.
(3) 'Software necessary to enable the exchange of personal
communications over the internet' includes only software (such as
software for instant messaging, chat and email, social networking,
sharing of photos and movies, Web browsing, and blogging), designated
EAR99 or classified as mass market software under Export Control
Classification Number (ECCN) 5D992.c of the EAR, provided that such
software is widely available to the public at no cost to the user.
[87 FR 12248, Mar. 3, 2022, as amended at 87 FR 34152, June 6, 2022; 88
FR 33429, May 23, 2023; 89 FR 4811, Jan. 25, 2024; 89 FR 33228, Apr. 29,
2024]
Sec. 746.7 Iran.
The Treasury Department's Office of Foreign Assets Control (OFAC)
administers a comprehensive trade and investment embargo against Iran.
This embargo includes prohibitions on exports and certain reexport
transactions involving Iran, including transactions dealing with items
subject to the EAR. These prohibitions are set forth in OFAC's Iranian
Transactions Regulations (31 CFR part 560). In addition, BIS maintains
licensing requirements on exports and reexports to or from Iran under
the EAR as described in paragraphs (a)(1)(i) through (iii) of this
section or elsewhere in the EAR (see, e.g., Sec. 742.8).
(a) License Requirements--(1) EAR license requirements--(i) CCL-
based license requirements. A license is required under the EAR to
export or reexport to Iran any item on the CCL containing a CB Column 1,
CB Column 2, CB Column 3, NP Column 1, NP Column 2, NS Column 1, NS
Column 2, MT Column 1, RS Column 1, RS Column 2, CC Column 1, CC Column
2, CC Column 3, AT Column 1 or AT Column 2 in the Country Chart Column
of the License Requirements section of an ECCN or classified under ECCNs
0A503, 0A980, 0A982, 0A983, 0E982, 1C355, 1C395, 1C980, 1C982, 1C983,
1C984, 2A994, 2D994, 2E994, 5A001.f.1, 5A980, 5D001 (for 5A001.f.1or for
5E001.a (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)), 5D980, 5E001.a
(for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) or 5E980.
(ii) Supplement no. 7 to part 746 of the EAR license requirements. A
license is required under the EAR to export or reexport to Iran any item
identified in supplement no. 7 to part 746 of the EAR when such item is
subject to the EAR for any reason other than Sec. 734.9(j) of the EAR.
(iii) Foreign-produced items subject to the EAR under Sec. 734.9(j)
of the EAR (Iran FDP rule). Except as described in paragraph (a)(1)(iv)
of this section, a license is required to reexport or export from abroad
to, or transfer (in-country) within Iran any foreign-produced item
subject to the EAR under the Iran FDP rule that is located in or
destined to Iran. A Department of Commerce license is not required for
transactions described in this paragraph (a)(1)(iii) that would have
otherwise met all of the terms and conditions of an OFAC general license
or other authorization if the transactions had been subject to OFAC
jurisdiction.
(iv) Exclusion from license requirements under paragraph (a)(1)(iii)
of this section. (A) Exports from abroad or reexports from the countries
described in supplement no. 3 to this part are not subject to the
license requirements described in paragraph (a)(1)(iii) of this section,
unless a limit to the exclusion is described in the ``Scope'' column in
supplement no. 3 to this part.
(B) An item is excluded from license requirements under paragraph
(a)(1)(iii) of this section if the item is any of the following:
[[Page 23]]
(1) Food, ``medicine,'' or ``medical devices'' designated as EAR99;
(2) Necessary and ordinarily incident to communications, designated
as EAR99 or specified in ECCN 5A992.c or 5D992.c, and classified in
accordance with Sec. 740.17 of the EAR; and would otherwise meet all of
the terms and conditions of an OFAC general license or other
authorization if the transaction were subject to OFAC jurisdiction.
(v) Exclusion from scope of U.S.-origin controlled content under
paragraph (a)(1) of this section. For purposes of determining U.S.-
origin controlled content under supplement no. 2 to part 734 of the EAR
when making a de minimis calculation for reexports and exports from a
country described in supplement no. 3 to this part to Iran, the license
requirements in paragraph (a)(1)(ii) of this section are not used to
determine controlled U.S.-origin content in a foreign-made item,
provided the U.S.-origin content is identified in supplement no. 7 to
this part and is designated EAR99 and is not otherwise excluded from the
applicable ``Scope'' column in supplement no. 3 to this part.
(2) BIS authorization. To avoid duplication, exporters or
reexporters are not required to seek separate authorization from BIS for
an export or reexport subject both to the EAR and to OFAC's Iranian
Transactions Regulations. Therefore, if OFAC authorizes an export or
reexport, such authorization is considered authorization for purposes of
the EAR as well. Transactions that are not subject to OFAC regulatory
authority may require BIS authorization.
(b) Licensing Policy. Applications for licenses for transactions for
humanitarian reasons or for the safety of civil aviation and safe
operation of U.S-origin aircraft will be considered on a case-by-case
basis. Licenses for other purposes generally will be denied.
(c) License Exceptions. No license exceptions may be used for
exports or reexports to Iran.
(d) EAR Anti-terrorism controls. The Secretary of State has
designated Iran as a country that has repeatedly provided support for
acts of international terrorism. Anti-terrorism license requirements and
licensing policy regarding Iran are set forth in Sec. 742.8 of the EAR.
(e) Prohibition on exporting or reexporting EAR items without
required OFAC authorization. No person may export or reexport any item
that is subject to the EAR if such transaction is prohibited by the
Iranian Transactions Regulations (31 CFR part 560) and not authorized by
OFAC. The prohibition of this paragraph (e) applies whether or not the
EAR requires a license for the export or reexport.
[74 FR 2358, Jan. 15, 2009, as amended at 77 FR 39369, July 2, 2012; 78
FR 37383, June 20, 2013; 81 FR 29486, May 12, 2016; 85 FR 4177, Jan. 23,
2020; 88 FR 12154, Feb. 27, 2023; 89 FR 60565, July 26, 2024]
Sec. 746.8 Sanctions against Russia and Belarus.
(a) License requirements. Except as described in the exclusions in
paragraph (a)(12), and in addition to license requirements specified on
the Commerce Control List (CCL) in supplement no. 1 to part 774 of the
EAR and in other provisions of the EAR, including part 744 and other
sections of part 746, a license is required as specified under
paragraphs (a)(1) through (8) of this section. These license
requirements follow an order of review, which provides guidance on the
relationship between the different license requirements and which ones
take precedence for certain items. For purposes of paragraphs (a)(5)
through (7) of this section, a license is not required for any item that
is listed in supplement nos. 4, 5 or 6 to this part that is also
classified under an Export Control Classification Number (ECCN) on the
Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR.
See paragraph (a)(1) of this section and part 742 for license
requirements for exports, reexports, and transfers to or within Russia
or Belarus for items classified in ECCNs, as well as part 744 for end-
use and end-user controls that may apply to your transaction. Paragraphs
(a)(1) and (2) of this section, are also used for determining license
requirements for exports, reexports, and transfers to or within Russia
or Belarus of any item that is listed in supplement nos. 4, 5, or 6 to
this part and is classified in an ECCN on the CCL in supplement no. 1
[[Page 24]]
to part 774 of the EAR. License requirements in paragraph (a)(4) of this
section that apply to exports, reexports, and transfers (in-country)
involved in certain end uses should be reviewed only after license
requirements in paragraphs (a)(1) through (3) and (5) through (8) of
this section are reviewed.
(1) Items classified in any ECCN on the CCL. A license is required
to export, reexport, or transfer (in-country) to or within Russia or
Belarus any item subject to the EAR and specified in any Export Control
Classification Number (ECCN) on the CCL.
(2) Russia/Belarus/Temporarily occupied Crimea region of Ukraine
foreign ``direct product'' (FDP) rule. A license is required to
reexport, export from abroad, or transfer (in-country) to any
destination any foreign-produced item subject to the EAR under the
Russia/Belarus/Temporarily occupied Crimea region of Ukraine under the
FDP rule described in Sec. 734.9(f) of the EAR.
(3) Russia/Belarus-Military End User and Procurement FDP rule. A
license is required to reexport, export from abroad, or transfer (in-
country) to or within any destination or to any end user or party any
foreign-produced item subject to the EAR under Sec. 734.9(g) of the
EAR.
(4) Oil and Gas--(i) Certain exploration or production of oil or
gas. A license is required to export, reexport, or transfer (in-country)
any item subject to the EAR listed in supplement no. 2 to this part and
items specified in ECCNs 0A998, 1C992, 3A229, 3A231, 3A232, 6A991,
8A992, and 8D999 when you ``know'' that the item will be used directly
or indirectly in exploration for, or production of, oil or gas in
Russian deepwater (greater than 500 feet) or Arctic offshore locations
or shale formations in Russia or Belarus, or are unable to determine
whether the item will be used in such projects. Such items include, but
are not limited to, drilling rigs, parts for horizontal drilling,
drilling and completion equipment, subsea processing equipment, Arctic-
capable marine equipment, wireline and down hole motors and equipment,
drill pipe and casing, software for hydraulic fracturing, high pressure
pumps, seismic acquisition equipment, remotely operated vehicles,
compressors, expanders, valves, and risers.
(ii) Additional prohibition on those informed by BIS. BIS may inform
persons, either individually by specific notice or through amendment to
the EAR, that a license is required for a specific export, reexport, or
transfer (in-country) or for the export, reexport, or transfer (in-
country) of specified items to a certain end-user or end-use, because
there is an unacceptable risk of use in, or diversion to, the activities
specified in this section in Russia or Belarus. Specific notice is to be
given only by, or at the direction of, the Principal Deputy Assistant
Secretary for Strategic Trade and Technology Security or the Deputy
Assistant Secretary for Strategic Trade. When such notice is provided
orally, it will be followed by a written notice within two working days
signed by either the Principal Deputy Assistant Secretary for Strategic
Trade and Technology Security or the Deputy Assistant Secretary for
Strategic Trade. However, the absence of any such notification does not
excuse persons from compliance with the license requirements of this
section.
(5) Industrial Goods. A license is required to export, reexport, or
transfer (in-country) any item subject to the EAR listed in supplement
no. 4 to this part to or within Russia or Belarus.
(6) Itemized Items. A license is required to export, reexport, or
transfer (in-country) any item subject to the EAR listed in supplement
no. 6 to this part to or within Russia or Belarus.
(7) 'Luxury goods.' A license is required to export, reexport, or
transfer (in-country) any item subject to the EAR listed in supplement
no. 5 to this part to or within Russia or Belarus.
Note 2 to paragraph (a)(7): For purposes of paragraph (a)(7) of this
section, a 'luxury good' means any item that is identified in supplement
no. 5 to this part.
(8) EAR99 designated software. (i) A license is required to export,
reexport, or transfer (in-country) to or within Russia or Belarus any
``software'' subject to the EAR and described in paragraph (a)(8)(ii) of
this section.
(ii) The following types of software subject to the EAR are in the
scope of paragraph (a)(8): Enterprise resource planning (ERP); customer
relationship
[[Page 25]]
management (CRM); business intelligence (BI); supply chain management
(SCM); enterprise data warehouse (EDW); computerized maintenance
management system (CMMS); project management software, product lifecycle
management (PLM); building information modelling (BIM); computer aided
design (CAD); computer-aided manufacturing (CAM); engineering to order
(ETO); and software for the operation of computer numerical control
(CNC) machine tools. The scope of paragraph (a)(8) also includes
software updates for software identified in this paragraph that are
subject to the EAR and designated as EAR99.
(9)-(11) [Reserved]
(12) Exclusions from license requirements and scope of U.S.-origin
controlled content. Paragraphs (a)(12)(i), (ii), and (iii)(A) of this
section exclude certain exports, reexports, and transfers (in-country)
from the scope of the license requirements of this section. Paragraph
(a)(12)(iii)(B) excludes certain items from the scope of U.S.-origin
content for purposes of de minimis calculations from certain
destinations.
(i) Deemed exports and deemed reexports. The license requirements in
paragraph (a) do not apply to deemed exports or reexports. However, the
exclusion for deemed exports and deemed reexports is limited to the
license requirements specified only in this section of the EAR. Any
deemed export or deemed reexport to a Russian or Belarusian national
must be made in accordance with all other applicable EAR license
requirements, such as CCL-based license requirements. For example, the
release of NS1 controlled technology to a Russian or Belarusian national
in the United States or in a third country would require a CCL-based
deemed export or deemed reexport license (as applicable). Consequently,
authorization (in the form of a deemed export or deemed reexport
license, or license exception eligibility) would be required under the
EAR notwithstanding the exclusion in this paragraph (b).
(ii) Mass market encryption commodities and software, and software
designated EAR99. Commodities specified under ECCN 5A991, and
commodities and software classified under ECCNs 5A992.c or 5D992.c that
have been 'classified in accordance with Sec. 740.17,' as well as
software designated EAR99 and identified in paragraph (a)(8)(ii) of this
section do not require a license to export, reexport, or transfer (in-
country) to or within Russia or Belarus for the following civil end-
users:
(A) Wholly owned U.S. subsidiaries, branches, or sales offices;
(B) Joint ventures between two or more U.S. companies, including the
wholly owned subsidiaries, branches, or sales offices of such joint
ventures;
(C) Joint ventures between U.S. companies and companies
headquartered in countries from Country Group A:5 and A:6 in supplement
no. 1 to part 740 of the EAR, including the wholly owned subsidiaries,
branches, or sales offices of such joint ventures;
(D) Wholly owned subsidiaries, branches, or sales offices of
companies headquartered in countries from Country Group A:5 and A:6 in
supplement no. 1 to part 740;
(E) Joint ventures between two or more companies headquartered in
Country Group A:5 and A:6 in supplement no. 1 to part 740, including the
wholly owned subsidiaries, branches, or sales offices of such joint
ventures; or
(F) For official business of diplomatic or consular missions of the
governments of Country Group A:5 and A:6 destinations.
(iii) Global Export Control Coalition (GECC). The countries listed
in supplement no. 3 to this part have committed to implementing
substantially similar export controls on Russia, Belarus, and the
temporarily occupied Crimea region of Ukraine under their domestic laws.
Therefore, exports or reexports from the countries listed in supplement
no. 3 to this part or transfers (in-country) within the countries listed
in this supplement are not subject to the following license requirements
in paragraph (a) of this section unless a limit to the exclusion is
described in the Scope column in supplement no. 3 to this part:
(A) Foreign direct product rules. The license requirement described
in paragraphs (a)(2) and (3) of this section;
(B) De minimis. For purposes of determining U.S.-origin controlled
content under supplement no. 2 to part 734 of
[[Page 26]]
the EAR, when making a de minimis calculation for reexports and exports
from abroad to Russia or Belarus, the license requirements in paragraphs
(a)(1) and (a)(4) through (7) of this section are not used to determine
controlled U.S.-origin content in a foreign-made item, provided the
criteria of paragraphs (a)(12)(B)(1) and (2) of this section are met:
(1) The U.S.-origin content is described in an Anti-Terrorism (AT)-
only ECCN or is designated EAR99. For purposes of this paragraph, AT-
only items mean any ECCN that only specifies either only AT in the
reason for control paragraph of the ECCN or is classified under ECCN
9A991; and
(2) The foreign made item will be reexported or exported from abroad
from a destination described in supplement no. 3 to this part.
(iv) Software designated EAR99. Software that is subject to the EAR
and designated EAR99 is excluded from the license requirement in
paragraph (a)(8) when destined to entities engaged exclusively in the
agriculture or medical industries.
(b) Licensing policy. (1) License applications required under
paragraph (a)(3) of this section will be reviewed under a policy of
denial in all cases.
(2) Applications for the export, reexport, or transfer (in-country)
of any item pursuant to paragraph (a)(4) of this section that require a
license for Russia or Belarus will be reviewed under a policy of denial
when for use directly or indirectly for exploration or production from
deepwater (greater than 500 feet), Arctic offshore, or shale projects in
Russia or Belarus that have the potential to produce oil or gas.
(3) Applications for the export, reexport, or transfer (in-country)
of any item pursuant to paragraphs (a)(1), (2), and (a)(5) through (8)
of this section will be reviewed under a policy of denial. However, the
following types of license applications submitted pursuant to paragraphs
(a)(1), (2), and (4) through (8) will be reviewed on a case-by-case
basis to determine whether the transaction in question would benefit the
Russian or Belarusian government or defense sector:
(i) Applications for export, reexport, or transfer (in-country) of
items that may be necessary for health and safety reasons, including the
safety of flight, maritime safety, and civil nuclear safety;
(ii) Applications for the disposition of items by companies not
headquartered in Country Group D:1, D:5, E:1, or E:2 in supplement no. 1
to part 740 that are winding down or closing all operations in Russia or
Belarus;
(iii) Applications for items that meet humanitarian needs, including
applications for items that are predominantly agricultural or medical in
nature;
(iv) Applications for government-to-government activities or to
support government space cooperation;
(v) Replacement licenses for exports and reexports to and transfers
within Russia and Belarus of items described in HTS-6 Codes or items
described in supplement no. 6 to part 746 that were added to the EAR and
made subject to license requirements after the validation date of the
BIS license.
(vi) Applications for items destined to:
(A) Wholly owned U.S. subsidiaries, branches, or sales offices;
(B) Foreign subsidiaries, branches, or sales offices of U.S.
companies that are joint ventures with other U.S. companies;
(C) Joint ventures of U.S. companies with companies headquartered in
countries from Country Group A:5 and A:6 in supplement no. 1 to part 740
of the EAR;
(D) The wholly owned subsidiaries, branches, or sales offices of
companies headquartered in countries from Country Group A:5 and A:6 in
supplement no. 1 to part 740;
(E) Joint ventures of companies headquartered in Country Groups A:5
and A:6 with other companies headquartered in Country Groups A:5 and
A:6; or
(F) For official business of governments of Country Group A:5 and
A:6 destinations.
(vii) Applications for companies headquartered in Country Groups A:5
and A:6 to support civil telecommunications infrastructure.
Note 3 to paragraph (b): See also Sec. 750.7(c)(1)(xi) of the EAR
for the divesture of items within Russia or Belarus or the transfer of
items within Russia or Belarus
[[Page 27]]
for the purpose of reexporting such items from Russia or Belarus. For
purposes of Sec. 750.7(c)(1)(xi), divesture means the action or process
of selling off subsidiary business interests or investments involving
items subject to the EAR.
(c) License exceptions. Consistent with Sec. 740.2(b), BIS may
revise, suspend, or revoke License Exception availability under this
section consistent with U.S. national security and foreign policy
interests, including on a case-by-case basis, to prevent Russian or
Belarusian persons from circumventing the restrictions in this section.
(1) No license exceptions may overcome the license requirements in
paragraph (a)(3) of this section, except as specified in the entry for a
Footnote 3 entity on the Entity List in supplement no. 4 to part 744 of
the EAR.
(2) No license exceptions may overcome the license requirements in
paragraphs (a)(1), (2), and (4) through (8) of this section except the
following:
(i) License Exception TMP for items for use by the news media as set
forth in Sec. 740.9(a)(9) of the EAR.
(ii) License Exception GOV (Sec. 740.11(b) of the EAR) may overcome
the license requirements in paragraphs (a)(1), (2), and (4) through (7)
of this section. License Exception GOV under (Sec. 740.11(e) of the
EAR) may overcome the license requirements in paragraphs (a)(1) and (2)
of this section for ECCN 9A004.
(iii) License Exception TSU for software updates for civil end-users
that are wholly-owned U.S. subsidiaries, branches, or sales offices;
foreign subsidiaries, branches, or sales offices of U.S. companies that
are joint ventures with other U.S. companies; joint ventures of U.S.
companies with companies headquartered in countries from Country Group
A:5 and A:6 in supplement no. 1 to part 740 of the EAR countries; the
wholly-owned subsidiaries, branches, or sales offices of companies
headquartered in countries from Country Group A:5 and A:6 in supplement
no. 1 to part 740; or joint ventures of companies headquartered in
Country Group A:5 and A:6 with other companies headquartered in Country
Groups A:5 and A:6 (Sec. 740.13(c) of the EAR).
(iv) License Exception BAG, excluding firearms and ammunition (Sec.
740.14, excluding paragraph (e), of the EAR).
(v) License Exception AVS, excluding any aircraft registered in,
owned or controlled by, or under charter or lease by Russia or Belarus
or a national of Russia or Belarus (Sec. 740.15(a) and (b) of the EAR).
(vi) License Exception Encryption commodities, software, and
technology (ENC) for civil end-users that are wholly-owned U.S.
subsidiaries, branches, or sales offices; foreign subsidiaries,
branches, or sales offices of U.S. companies that are joint ventures
with other U.S. companies; joint ventures of U.S. companies with
companies headquartered in countries from Country Group A:5 and A:6 in
supplement no. 1 to part 740 of the EAR countries; the wholly-owned
subsidiaries, branches, or sales offices of companies headquartered in
countries from Country Group A:5 and A:6 in supplement no. 1 to part
740; joint ventures of companies headquartered in Country Group A:5 and
A:6 with other companies headquartered in Country Groups A:5 and A:6; or
for official business of diplomatic or consular missions of the
governments of Country Group A:5 and A:6 destinations (Sec. Sec.
740.13(c) and 740.17 of the EAR).
(vii) License Exception CCD (Sec. 740.19 of the EAR).
(viii) License Exception MED (Sec. 740.23 of the EAR).
(d) License Applications. License applications submitted to BIS
under this section may include the phrase ``Sec. 746.8'' and identify
the paragraph (a) license requirement(s) from this section that are
applicable. You should include a description such as ``paragraph (a)(1)
or any of the other paragraph (a) paragraphs that may be applicable to a
license application'' in Block 9 (Special Purpose) of your license
application as described in supplement no. 1 to part 748 of the EAR.
[89 FR 51662, June 18, 2024, as amended at 89 FR 68543, Aug. 27, 2024;
89 FR 51664, June 18, 2024; 89 FR 68543, Aug. 27, 2024; 89 FR 84777,
Oct. 23, 2024; 89 FR 87282, Nov. 1, 2024]
Sec. 746.9 Syria.
Sections 5(a)(1) and 5(a)(2)(A) of the Syria Accountability and
Lebanese Sovereignty Restoration Act of 2003 (Pub. L. 108-175, codified
as a note to 22
[[Page 28]]
U.S.C. 2151) (the SAA) require a prohibition on the export to Syria of
all items on the Commerce Control List (in 15 CFR part 774) (CCL) and a
prohibition on the export to Syria of products of the United States,
other than food and medicine. The President also exercised national
security waiver authority pursuant to Section 5(b) of the SAA for
certain transactions. The provisions in this section were issued
consistent with Executive Order 13338 of May 11, 2004 which implemented
the SAA.
(a) License requirements. A license is required for the export or
reexport to Syria of all items subject to the EAR, except food and
medicine classified as EAR99 (food and medicine are defined in part 772
of the EAR). A license is required for the deemed export and deemed
reexport, as described in Sec. Sec. 734.13(b) and 734.14(b) of the EAR,
respectively, of any technology or source code on the Commerce Control
List (CCL) to a Syrian foreign national. Deemed exports and deemed
reexports to Syrian foreign nationals involving technology or source
code subject to the EAR but not listed on the CCL do not require a
license.
(b) License Exceptions. No License Exceptions to the license
requirements set forth in paragraph (a) of this section are available
for exports or reexports to Syria, except the following:
(1) TMP for items for use by the news media as set forth in Sec.
740.9(a)(9) of the EAR,
(2) GOV for items for personal or official use by personnel and
agencies of the U.S. Government as set forth in Sec. 740.11(b)(2) of
the EAR,
(3) TSU for operation technology and software, sales technology, and
software updates pursuant to the terms of Sec. 740.13(a), (b), or (c)
of the EAR,
(4) BAG for exports of personally-owned items by individuals leaving
the United States as personal baggage pursuant to the terms of Sec.
740.14(a) through (d), only, of the EAR, and
(5) AVS for the temporary sojourn of civil aircraft reexported to
Syria pursuant to the terms of Sec. 740.15(a)(4) of the EAR.
(c) Licensing policy. (1) Except as described in this paragraph (c),
all license applications for export or reexport to Syria are subject to
a general policy of denial. License applications for ``deemed exports''
and ``deemed reexports'' of technology and source code will be reviewed
on a case-by-case basis. BIS may consider, on a case-by-case basis,
license applications for exports and reexports of items necessary to
carry out the President's constitutional authority to conduct U.S.
foreign affairs and as Commander-in-Chief, including exports and
reexports of items necessary for the performance of official functions
by the United States Government personnel abroad.
(2) BIS may also consider the following license applications on a
case-by-case basis: items in support of activities, diplomatic or
otherwise, of the United States Government (to the extent that
regulation of such exportation or reexportation would not fall within
the President's constitutional authority to conduct the nation's foreign
affairs); medicine (on the CCL) and medical devices (both as defined in
part 772 of the EAR); parts and components intended to ensure the safety
of civil aviation and the safe operation of commercial passenger
aircraft; aircraft chartered by the Syrian Government for the transport
of Syrian Government officials on official Syrian Government business;
telecommunications equipment and associated computers, software and
technology; items in support of United Nations operations in Syria; and
items necessary for the support of the Syrian people, including, but not
limited to, items related to water supply and sanitation, agricultural
production and food processing, power generation, oil and gas
production, construction and engineering, transportation, and
educational infrastructure. The total dollar value of each approved
license for aircraft parts for flight safety normally will be limited to
no more than $2 million over the 24-month standard license term, except
in the case of complete overhauls.
(3) In addition, consistent with part 734 of the EAR, the following
are not subject to the EAR and therefore not subject to this General
Order: informational materials in the form of books and other media;
publicly available software and technology; and technology exported in
the form of a patent
[[Page 29]]
application or an amendment, modification, or supplement thereto or a
division thereof (see 15 CFR 734.3(b)(1)(v), (b)(2) and (b)(3)).
Note to Sec. 746.9: For administrative reasons, BIS continues to
maintain provisions in General Order No. 2, supplement no. 1 to part 736
of the EAR relating to the President's waiver of certain prohibitions.
This section contains all of the substantive controls against Syria,
including the waiver-related provisions maintained in General Order No.
2.
[76 FR 77117, Dec. 12, 2011, as amended at 78 FR 43973, July 23, 2013;
79 FR 32625, June 5, 2014; 82 FR 61157, Dec. 27, 2017]
Sec. 746.10 [Reserved]
Sec. Supplement No. 1 to Part 746--Examples of Luxury Goods
The following further amplifies the illustrative list of luxury
goods set forth in Sec. 746.4(b)(1):
(a) Tobacco and tobacco products
(b) Luxury watches: Wrist, pocket, and others with a case of
precious metal or of metal clad with precious metal
(c) Apparel and fashion items, as follows:
(1) Leather articles
(2) Silk articles
(3) Fur skins and artificial furs
(4) Fashion accessories: Leather travel goods, vanity cases,
binocular and camera cases, handbags, wallets, designer fountain pens,
silk scarves
(5) Cosmetics, including beauty and make-up
(6) Perfumes and toilet waters
(7) Designer clothing: Leather apparel and clothing accessories
(d) Decorative items, as follows:
(1) Rugs and tapestries
(2) Tableware of porcelain or bone china
(3) Items of lead crystal
(4) Works of art (including paintings, original sculptures and
statuary), antiques (more than 100 years old), and collectible items,
including rare coins and stamps
(e) Jewelry: Jewelry with pearls, gems, precious and semi-precious
stones (including diamonds, sapphires, rubies, and emeralds), jewelry of
precious metal or of metal clad with precious metal
(f) Electronic items, as follows:
(1) Flat-screen, plasma, or LCD panel televisions or other video
monitors or receivers (including high-definition televisions), and any
television larger than 29 inches; DVD players
(2) Personal digital assistants (PDAs)
(3) Personal digital music players
(4) Computer laptops
(g) Transportation items, as follows:
(1) Yachts and other aquatic recreational vehicles (such as personal
watercraft)
(2) Luxury automobiles (and motor vehicles): Automobiles and other
motor vehicles to transport people (other than public transport),
including station wagons
(3) Racing cars, snowmobiles, and motorcycles
(4) Personal transportation devices (stand-up motorized scooters)
(h) Recreational items, as follows:
(1) Musical instruments
(2) Recreational sports equipment
(i) Alcoholic beverages: wine, beer, ales, and liquor
[72 FR 3726, Jan. 26, 2007, as amended at 72 FR 20223, Apr. 24, 2007]
Sec. Supplement No. 2 to Part 746--Russian and Belarusian Industry
Sector Sanction List Pursuant to Sec. 746.8(a)(4)
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and
descriptions in this list comes from the United States International
Trade Commission (USITC's) Harmonized Tariff Schedule of the United
States (2023). The items described in supplement no. 2 to part 746
include any modified or designed ``components,'' ``parts,''
``accessories,'' and ``attachments'' therefor regardless of the HTS Code
or HTS Description of the ``components,'' ``parts,'' ``accessories,''
and ``attachments,'' apart from any ``part'' or minor ``component'' that
is a fastener (e.g., screw, bolt, nut, nut plate, stud, insert, clip,
rivet, pin), washer, spacer, insulator, grommet, bushing, spring, wire,
or solder. The exclusion of fasteners from this control does not apply
to fasteners that are designated under an HTS Code under this
supplement. Although generally fasteners (e.g., screws, bolts, nuts, nut
plates, studs, inserts, clips, rivets, pins), and washers, spacers,
insulator, grommets, bushings, springs, wires, and solders are excluded
from the scope of this supplement, certain part 744 license requirements
for Russia and Belarus extend to all items ``subject to the EAR,'' and
would therefore not exclude these items from the license requirements
under that part (e.g., Sec. 744.21 of the EAR and the Entity List
license requirements, which in most cases extend to all items ``subject
to the EAR''). This supplement includes two columns consisting of the
HTS Codes and HTS Descriptions to assist exporters, reexporters, and
transferors in identifying the products in this supplement. For
information on HTS codes in general, you may contact a local import
specialist at U.S. Customs and Border Protection at the nearest port.
HTS-6 codes 730424, 731100, 761300, 841350, 841360, 841382, 841392,
842139, 843049, 843139, 843143, 847989, and 870520 are listed in both
this supplement and supplement no. 4 to this part, so exporters,
reexporters, and transferors must comply with
[[Page 30]]
the license requirements under both Sec. 746.8(a)(4) and (5) as
applicable.
(b) The items identified in the HTS-6 Code column of this supplement
are subject to the license requirement under Sec. 746.8(a)(4). The
other column--HTS Description--is intended to assist exporters with
their Automated Export System (AES) filing responsibilities. The other
column--HTS Description--is intended to assist exporters with their
Automated Export System (AES) filing responsibilities. The license
requirements apply to HTS Codes at the 8 and 10 digit level (HTS-8 and
HTS-10 Codes, respectively) when such longer HTS codes begin with the
HTS-6 Codes as their first 6 numbers.
------------------------------------------------------------------------
HTS-6 code HTS description
------------------------------------------------------------------------
730411................................. LINE PIPE FOR OIL AND GAS
PIPELINES, OF STAINLESS STEEL.
730419................................. LINE PIPE FOR OIL AND GAS
PIPELINES, OF SEAMLESS IRON
(OTHER THAN CAST IRON) OR
STEEL, NES.
730422................................. DRILL PIPE OF A KIND USED IN
DRILLING FOR OIL OR GAS, OF
STAINLESS STEEL.
730423................................. DRILL PIPE OF A KIND USED IN
DRILLING FOR OIL OR GAS, OF
IRON (EXCEPT CAST IRON) OR
STEEL. NES.
730424................................. CASING & TUBING USED IN
DRILLING FOR OIL OR GAS, OTHER
OF STAINLESS STEEL.
730429................................. CASING AND TUBING OF A KIND
USED IN DRILLING FOR OIL OR
GAS, OF IRON (EXCEPT CAST
IRON) OR STEEL.
730511................................. LINE PIPE FOR OIL OR GAS
PIPELINES, EXTERNAL DIAMETER
OVER 406.4 MM (16 IN.), OF
IRON OR STEEL, LONGITUDINALLY
SUBMERGED ARC WELDED.
730512................................. LINE PIPE FOR OIL OR GAS
PIPELINES, EXTERNAL DIAMETER
OVER 406.4 MM (16 IN.), OF
IRON OR STEEL, LONGITUDINALLY
WELDED NESOI.
730519................................. LINE PIPE FOR OIL OR GAS
PIPELINES, EXTERNAL DIAMETER
OVER 406.4 MM (16 IN.), OF
IRON OR STEEL, RIVETED OR
SIMILARLY CLOSED NESOI.
730520................................. CASING FOR OIL OR GAS DRILLING,
EXTERNAL DIAMETER OVER 406.4
MM (16 IN.), OF IRON OR STEEL.
730611................................. LINE PIPE FOR OIL OR GAS
PIPELINES, WELDED, OF
STAINLESS STEEL, NESOI.
730619................................. LINE PIPE FOR OIL OR GAS
PIPELINES, OF IRON OR STEEL,
NESOI.
731100................................. CONTAINERS FOR COMPRESSED OR
LIQUEFIED GAS, OF IRON OR
STEEL.
761300................................. ALUMINUM CONTAINERS FOR
COMPRESSED OR LIQUEFIED GAS.
820713................................. ROCK DRILLING OR EARTH BORING
TOOLS WITH WORKING PART OF
CERMETS, AND PARTS THEREOF.
820719................................. INTERCHANGEABLE TOOLS FOR
HANDTOOLS, WHETHER OR NOT
POWER-OPERATED, OR FOR MACHINE-
TOOLS, INCLUDING ROCK DRILLING
OR EARTH BORING TOOLS; BASE
METL PARTS.
841350................................. RECIPROCATING POSITIVE
DISPLACEMENT PUMPS, NESOI.
841360................................. ROTARY POSITIVE DISPLACEMENT
PUMPS, NESOI.
841382................................. LIQUID ELEVATORS.
841392................................. PARTS OF LIQUID ELEVATORS.
842139................................. FILTERING OR PURIFYING
MACHINERY AND APPARATUS FOR
GASES, NESOI.
843049................................. BORING OR SINKING MACHINERY,
NESOI, OTHER THAN SELF-
PROPELLED.
843139................................. PARTS FOR LIFTING, HANDLING,
LOADING OR UNLOADING
MACHINERY, NESOI.
843143................................. PARTS FOR BORING OR SINKING
MACHINERY, NESOI.
847989................................. MACHINES AND MECHANICAL
APPLIANCES HAVING INDIVIDUAL
FUNCTIONS, NESOI.
870520................................. MOBILE DRILLING DERRICKS.
870899................................. PARTS AND ACCESSORIES FOR MOTOR
VEHICLES, NESOI.
890520................................. FLOATING OR SUBMERSIBLE
DRILLING OR PRODUCTION
PLATFORMS.
890590................................. LIGHT VESSELS, FIRE FLOATS,
FLOATING CRANES AND OTHER
VESSELS WITH NAVIGABILITY NOT
THE MAIN FUNCTION, NESOI;
FLOATING DOCKS.
------------------------------------------------------------------------
[88 FR 12182, Feb. 27, 2023, as amended at 88 FR 33430, May 23, 2023; 89
FR 4812, Jan. 25, 2024; 89 FR 51665, June 18, 2024]
[[Page 31]]
Sec. Supplement No. 3 to Part 746--Countries Excluded from Certain
License Requirements of Sec. Sec. 746.6, 746.7, and 746.8
Countries listed in this supplement have committed to implementing
substantially similar export controls on Russia and Belarus under their
domestic laws and are consequently excluded from certain requirements in
Sec. Sec. 746.6 and 746.8 of the EAR, as described in Sec. Sec.
746.6(a)(4) and 746.8(a)(12)(iii). In addition, these countries are
excluded from the license requirements related to Iran in Sec. 746.7,
as described in Sec. 746.7(a)(1)(iv) and (v). The Scope column of the
following table identifies whether the country receives a full or
partial exclusion. For countries with partial exclusions, the items for
which such exclusions apply are listed in the Scope column.
------------------------------------------------------------------------
Federal Register
Country Scope citation
------------------------------------------------------------------------
Australia....................... Full.............. 87 FR 12250, 3/3/
2022.
Austria......................... Full.............. 87 FR 12250, 3/3/
2022.
Belgium......................... Full.............. 87 FR 12250, 3/3/
2022.
Bulgaria........................ Full.............. 87 FR 12250, 3/3/
2022.
Canada.......................... Full.............. 87 FR 12250, 3/3/
2022.
Croatia......................... Full.............. 87 FR 12250, 3/3/
2022.
Cyprus.......................... Full.............. 87 FR 12250, 3/3/
2022.
Czech Republic.................. Full.............. 87 FR 12250, 3/3/
2022.
Denmark......................... Full.............. 87 FR 12250, 3/3/
2022.
Estonia......................... Full.............. 87 FR 12250, 3/3/
2022.
Finland......................... Full.............. 87 FR 12250, 3/3/
2022.
France.......................... Full.............. 87 FR 12250, 3/3/
2022.
Germany......................... Full.............. 87 FR 12250, 3/3/
2022.
Greece.......................... Full.............. 87 FR 12250, 3/3/
2022.
Hungary......................... Full.............. 87 FR 12250, 3/3/
2022.
Iceland......................... Full.............. 87 FR 21555, 4/12/
2022.
Ireland......................... Full.............. 87 FR 12250, 3/3/
2022.
Italy........................... Full.............. 87 FR 12250, 3/3/
2022.
Japan........................... Full.............. 87 FR 12250, 3/3/
2022.
Latvia.......................... Full.............. 87 FR 12250, 3/3/
2022.
Liechtenstein................... Full.............. 87 FR 21555, 4/12/
2022.
Lithuania....................... Full.............. 87 FR 12250, 3/3/
2022.
Luxembourg...................... Full.............. 87 FR 12250, 3/3/
2022.
Malta........................... Full.............. 87 FR 12250, 3/3/
2022.
Netherlands..................... Full.............. 87 FR 12250, 3/3/
2022.
New Zealand..................... Full.............. 87 FR 12250, 3/3/
2022.
Norway.......................... Full.............. 87 FR 21555, 4/12/
2022.
Poland.......................... Full.............. 87 FR 12250, 3/3/
2022.
Portugal........................ Full.............. 87 FR 12250, 3/3/
2022.
Romania......................... Full.............. 87 FR 12250, 3/3/
2022.
Slovakia........................ Full.............. 87 FR 12250, 3/3/
2022.
Slovenia........................ Full.............. 87 FR 12250, 3/3/
2022.
South Korea..................... Full.............. 87 FR 13628, 3/10/
2022.
Spain........................... Full.............. 87 FR 12250, 3/3/
2022.
Sweden.......................... Full.............. 87 FR 12250, 3/3/
2022.
Switzerland..................... Full.............. 87 FR 21555, 4/12/
2022.
Taiwan.......................... Full.............. 87 FR 12183, 2/27/
2023.
United Kingdom.................. Full.............. 87 FR 12250, 3/3/
2022.
------------------------------------------------------------------------
[87 FR 12250, Mar. 3, 2022, as amended at 87 FR 13063, Mar. 8, 2022; 87
FR 13628, Mar. 11, 2022; 87 FR 21555, Apr. 12, 2022; 88 FR 12154, 12183,
Feb. 27, 2023; 88 FR 33430, May 23, 2023; 89 FR 51665, June 18, 2024]
Sec. Supplement No. 4 to Part 746--Russian and Belarusian Industry
Sector Sanctions Pursuant to Sec. 746.8(a)(5)
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and
descriptions in this list is the United States International Trade
Commission (USITC)'s Harmonized Tariff Schedule of the United States
(2023). The items described in supplement no. 4 to part 746 include any
modified or designed ``components,'' ``parts,'' ``accessories,'' and
``attachments'' therefor regardless of the HTS Code or HTS Description
of the ``components,'' ``parts,'' ``accessories,'' and ``attachments,''
apart from any ``part'' or minor ``component'' that is a fastener (e.g.,
screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer,
spacer, insulator, grommet, bushing, spring, wire, or solder. The
exclusion of fasteners from this control does not apply to fasteners
that are designated under an HTS Code under this supplement. Although
generally fasteners (e.g., screws, bolts, nuts, nut plates, studs,
inserts, clips, rivets, pins), and washers, spacers,
[[Page 32]]
insulators, grommets, bushings, springs, wires, and solders are excluded
from the scope of this supplement, certain part 744 license requirements
for Russia and Belarus apply to all items ``subject to the EAR,'' and
would therefore not exclude these items from the license requirements
under that part (e.g., Sec. 744.21 and the Entity List license
requirements, which in most cases apply to all items ``subject to the
EAR.''). This supplement includes two columns consisting of the HTS
Codes and HTS Descriptions to assist exporters, reexporters, and
transferors in identifying the products in this supplement. For
information on HTS codes in general, you may contact a local import
specialist at U.S. Customs and Border Protection at the nearest port.
HTS-6 codes 730424, 731100, 761300, 841350, 841360, 841382, 841392,
842139, 843049, 843139, 843143, 847989, and 870520 are listed in both
this supplement and supplement no. 2 to this part, so exporters,
reexporters, and transferors must comply with the license requirements
under both Sec. 746.8(a)(4) and (5) as applicable. HTS-6 Codes 590500,
840710, 840721, 840729, 840731, 840732, 840733, 840734, 840790, 840810,
840820, 840890, 840910, 840991, 840999, 841111, 841112, 841121, 841122,
841181, 841182, 841191, 841199, 841229, 841290, 841451, 841459, 841460,
841510, 841810, 841821, 841829, 841830, 841840, 841981, 842211, 842310,
842860, 843139, 844312, 844331, 844332, 844339, 845011, 845012, 845019,
845121, 845210, 847010, 847021, 847029, 847030, 847130, 847141, 847149,
847150, 847160, 847170, 847180, 847190, 847290, 847960, 848310, 848320,
848330, 848340, 848350, 848360, 848390, 850811, 850819, 850860, 850980,
851110, 851120, 851130, 851140, 851150, 851180, 851190, 851220, 851230,
851240, 851631, 851650, 851660, 851671, 851672, 851679, 851711, 851713,
851718, 851761, 851762, 851769, 851920, 851930, 851981, 851989, 852110,
852190, 852691, 852712, 852713, 852719, 852721, 852729, 852791, 852792,
852799, 852871, 852872, 852910, 853110, 854370, 854430, 870310, 870321,
870322, 870323, 870324, 870331, 870332, 870333, 870340, 870350, 870360,
870370, 870380, 870390, and 902000 are listed in both this supplement
and supplement no. 5 to this part, so exporters, reexporters, and
transferors must comply with the license requirements under both Sec.
746.8(a)(5) and (7) as applicable.
(b) The items identified in the HTS-6 Code column of this supplement
are subject to the license requirement under Sec. 746.8(a)(5). The
other column--HTS Description--is intended to assist exporters with
their AES filing responsibilities. The license requirements extend to
HTS Codes at the 8 and 10 digit level (HTS-8 and HTS-10 codes,
respectively) when such longer HTS Codes begin with the HTS-6 Codes as
their first 6 numbers. When a description mentions parts related to one
or more numerical headings, this means parts related to any HS codes
that begin with the digits in the range specified. For example,
'headings 8524 to 8528' means any HS code, HTS code, or Schedule B which
has 8524, 8525, 8526, 8527, or 8528 as the first four digits.
------------------------------------------------------------------------
HTS-6 code HTS description
------------------------------------------------------------------------
250200................................. UNROASTED IRON PYRITES.
250300................................. SULFUR OF ALL KINDS, OTHER THAN
SUBLIMED SULFUR, PRECIPITATED
SULFUR AND COLLOIDAL SULFUR.
250410................................. NATURAL GRAPHITE, IN POWDER OR
IN FLAKES.
250490................................. NATURAL GRAPHITE, EXCEPT POWDER
OR FLAKES.
250510................................. SILICA SANDS AND QUARTZ SANDS,
NATURAL.
250590................................. SANDS, NATURAL, EXCEPT METAL
BEARING OR SILICA OR QUARTZ
SANDS.
250610................................. QUARTZ (OTHER THAN NATURAL
SANDS).
250620................................. QUARTZITE.
250700................................. KAOLIN AND OTHER KAOLINIC
CLAYS, WHETHER OR NOT
CALCINED.
250810................................. BENTONITE, WHETHER OR NOT
CALCINED.
250830................................. FIRE CLAY, WHETHER OR NOT
CALCINED.
250840................................. CLAYS (EXCLUDING EXPANDED
CLAYS), NESOI, INCLUDING
COMMON BLUE CLAY AND OTHER
BALL CLAYS, WHETHER OR NOT
CALCINED.
250850................................. ANDALUSITE, KYANITE AND
SILLIMANITE, WHETHER OR NOT
CALCINED.
250860................................. MULLITE.
250870................................. CHAMOTTE OR DINAS EARTH.
250900................................. CHALK.
251110................................. NATURAL BARIUM SULFATE
(BARYTES).
251120................................. NATURAL BARIUM CARBONATE
(WITHERITE).
251200................................. SILICEOUS FOSSIL MEALS
(INCLUDING KIESELGUHR,
TRIPOLITE AND DIATOMITE) AND
SIMILAR SILICEOUS EARTHS, OF
AN APPARENT SPECIFIC GRAVITY
OF 1 OR LESS.
251310................................. PUMICE STONE.
251320................................. EMERY, NATURAL CORUNDUM,
NATURAL GARNET AND OTHER
NATURAL ABRASIVES.
251400................................. SLATE, WHETHER OR NOT ROUGHLY
TRIMMED OR MERELY CUT, BY
SAWING ETC. INTO BLOCKS OR
SLABS OF RECTANGULAR OR SQUARE
SHAPE.
251511................................. MARBLE AND TRAVERTINE, CRUDE OR
ROUGHLY TRIMMED.
251512................................. MARBLE AND TRAVERTINE, MERELY
CUT INTO BLOCKS OR SLABS OF
RECTANGULAR OR SQUARE SHAPE.
[[Page 33]]
251520................................. CALCAREOUS MONUMENTAL OR
BUILDING STONE, EXCEPT MARBLE
AND TRAVERTINE; ALABASTER.
251611................................. GRANITE, CRUDE OR ROUGHLY
TRIMMED.
251612................................. GRANITE, MERELY CUT INTO BLOCKS
OR SLABS OF RECTANGULAR OR
SQUARE SHAPE.
251620................................. SANDSTONE.
251690................................. BASALT, PORPHYRY AND OTHER
MONUMENTAL OR BUILDING STONE,
NESOI, WHETHER OR NOT TRIMMED
OR MERELY CUT INTO BLOCKS ETC.
OF RECTANGULAR OR SQUARE
SHAPE.
251710................................. PEBBLES, GRAVEL, BROKEN OR
CRUSHED STONES FOR CONCRETE
AGGREGATES, FOR ROAD METALLING
OR BALLAST, SHINGLE AND FLINT,
WHETHER OR NOT HEAT TREATED.
251720................................. MACADAM OF SLAG, DROSS OR
SIMILAR INDUSTRIAL WASTE,
WHETHER OR NOT INCORPORATING
PEBBLES, GRAVEL, BROKEN OR
CRUSHED STONES, CITED IN
SUBHEADING 251710.
251730................................. TARRED MACADAM.
251741................................. MARBLE GRANULES, CHIPPINGS AND
POWDER.
251749................................. GRANULES, CHIPPINGS AND POWDER
OF MONUMENTAL OR BUILDING
STONES (CALCAREOUS NESOI,
ALABASTER, GRANITE, PORPHYRY,
BASALT, SANDSTONE ETC.),
NESOI.
251810................................. DOLOMITE NOT CALCINED.
251820................................. CALCINED DOLOMITE.
251910................................. NATURAL MAGNESIUM CARBONATE
(MAGNESITE).
251990................................. FUSED MAGNESIA; DEAD-BURNED
(SINTERED) MAGNESIA; OTHER
MAGNESIUM OXIDE NESOI, WHETHER
OR NOT PURE.
252010................................. GYPSUM; ANHYDRITE.
252020................................. PLASTERS CONSISTING OF CALCINED
GYPSUM OR CALCIUM SULFATE.
252100................................. LIMESTONE FLUX; LIMESTONE AND
OTHER CALCAREOUS STONE, OF A
KIND USED FOR THE MANUFACTURE
OF LIME OR CEMENT (OR FOR SOIL
IMPROVEMENT).
252210................................. QUICKLIME.
252220................................. SLAKED LIME.
252230................................. HYDRAULIC LIME.
252310................................. CEMENT CLINKERS.
252321................................. WHITE PORTLAND CEMENT, WHETHER
OR NOT ARTIFICIALLY COLORED.
252329................................. PORTLAND CEMENT, EXCEPT WHITE
PORTLAND CEMENT.
252330................................. ALUMINOUS CEMENT.
252390................................. HYDRAULIC CEMENTS, NESOI.
252410................................. CROCIDOLITE ASBESTOS.
252490................................. ASBESTOS, EXCLUDING
CROCIDOLITE.
252510................................. CRUDE MICA AND MICA RIFTED INTO
SHEETS OR SPLITTINGS.
252520................................. MICA POWDER.
252530................................. MICA WASTE.
252610................................. NATURAL STEATITE AND TALC, NOT
CRUSHED, NOT POWDERED.
252620................................. NATURAL STEATITE AND TALC,
CRUSHED OR POWDERED.
252800................................. NATURAL BORATES & CONCENTRATES
THEREOF, NOT INCLUDING BORATES
SEPARATED FROM NATURAL BRINE;
NATURAL BORIC ACID CONTAINING
LT=85% H3BO3 CALC ON DRY WGT.
252910................................. FELDSPAR.
252921................................. FLUORSPAR, CONTAINING BY WEIGHT
97% OR LESS OF CALCIUM
FLUORIDE.
252922................................. FLUORSPAR, CONTAINING BY WEIGHT
MORE THAN 97% OF CALCIUM
FLUORIDE.
252930................................. LEUCITE; NEPHELINE AND
NEPHELINE SYENITE.
253010................................. VERMICULITE, PERLITE AND
CHLORITES, UNEXPANDED.
253020................................. KIESERITE, EPSOM SALTS (NATURAL
MAGNESIUM SULFATES).
253090................................. MINERAL SUBSTANCES, NESOI.
260111................................. IRON ORE CONCENTRATES (OTHER
THAN ROASTED IRON PYRITES) AND
NON-AGGLOMERATED IRON ORES.
260112................................. AGGLOMERATED IRON ORES.
260120................................. ROASTED IRON PYRITES.
260200................................. MANGANESE ORES AND
CONCENTRATES, INCLUDING
FERRUGINOUS MANGANESE ORES AND
CONCENTRATES WITH A MANGANESE
CONTENT OF 20% OR MORE, BASED
ON DRY WEIGHT.
260300................................. COPPER ORES AND CONCENTRATES.
260400................................. NICKEL ORES AND CONCENTRATES.
260500................................. COBALT ORES AND CONCENTRATES.
260600................................. ALUMINUM ORES AND CONCENTRATES.
260700................................. LEAD ORES AND CONCENTRATES.
260800................................. ZINC ORES AND CONCENTRATES.
260900................................. TIN ORES AND CONCENTRATES.
261000................................. CHROMIUM ORES AND CONCENTRATES.
261100................................. TUNGSTEN ORES AND CONCENTRATES.
261220................................. THORIUM ORES AND CONCENTRATES.
261310................................. MOLYBDENUM ORES AND
CONCENTRATES, ROASTED.
[[Page 34]]
261390................................. MOLYBDENUM ORES AND
CONCENTRATES, NOT ROASTED.
261400................................. TITANIUM ORES AND CONCENTRATES.
261510................................. ZIRCONIUM ORES AND
CONCENTRATES.
261590................................. NIOBIUM, TANTALUM AND VANADIUM
ORES AND CONCENTRATES.
261610................................. SILVER ORES AND CONCENTRATES.
261690................................. PRECIOUS METAL ORES AND
CONCENTRATES, OTHER THAN
SILVER.
261710................................. ANTIMONY ORES AND CONCENTRATES.
261790................................. ORES AND CONCENTRATES, NESOI.
261800................................. GRANULATED SLAG (SLAG SAND)
FROM IRON OR STEEL
MANUFACTURE.
261900................................. SLAG, DROSS (OTHER THAN
GRANULATED SLAG), SCALINGS AND
OTHER WASTE FROM THE
MANUFACTURE OF IRON OR STEEL.
262011................................. HARD ZINC SPELTER.
262019................................. ASH AND RESIDUE (OTHER THAN
FROM THE MANUFACTURE OF IRON
OR STEEL) CONTAINING MAINLY
ZINC, OTHER THAN HARD ZINC
SPELTER.
262021................................. ASHES AND RESIDUES OF LEADED
GASOLINE SLUDGES AND LEADED
ANTI-KNOCK COMPOUND SLUDGES.
262029................................. ASH AND RESIDUES CONTAINING
MAINLY LEAD, NESOI.
262030................................. ASH AND RESIDUES NESOI,
CONTAINING MAINLY COPPER.
262040................................. ASH AND RESIDUES NESOI,
CONTAINING MAINLY ALUMINUM.
262060................................. ASH & RESIDUES CONTAINING
ARSENIC, MERCURY, THALLIUM OR
THEIR MIXTURES, USED FOR
EXTRACTION OF THOSE METALS.
262091................................. ASH & RESIDUES OF ANTIMONY,
BERYLLIUM, CADMIUM, CHROMIUM
OR THEIR MIXTURES, NESOI.
262099................................. ASH AND RESIDUES NESOI,
CONTAINING METALS OR METALLIC
COMPOUNDS NESOI.
262110................................. ASH AND RESIDUES FROM THE
INCINERATION OF MUNICIPAL
WASTE.
262190................................. ASH AND SLAG, INCLUDING SEAWEED
ASH (KELP), NESOI.
270111................................. ANTHRACITE COAL, WHETHER OR NOT
PULVERIZED, BUT NOT
AGGLOMERATED.
270112................................. BITUMINOUS COAL, WHETHER OR NOT
PULVERIZED, BUT NOT
AGGLOMERATED.
270119................................. COAL, OTHER THAN ANTHRACITE OR
BITUMINOUS, WHETHER OR NOT
PULVERIZED, BUT NOT
AGGLOMERATED.
270120................................. BRIQUETTES, OVOIDS AND SIMILAR
SOLID FUELS FROM COAL.
270210................................. LIGNITE, NOT AGGLOMERATED,
EXCLUDING JET.
270220................................. AGGLOMERATED LIGNITE, EXCLUDING
JET.
270300................................. PEAT (INCLUDING PEAT LITTER)
WHETHER OR NOT AGGLOMERATED.
270400................................. COKE AND SEMICOKE OF COAL, OF
LIGNITE OR OF PEAT, WHETHER OR
NOT AGGLOMERATED; RETORT
CARBON.
270500................................. COAL GAS, WATER GAS, PRODUCER
GAS AND SIMILAR GASES, EXCEPT
PETROLEUM GASES AND OTHER
GASEOUS HYDROCARBONS.
270600................................. MINERAL TARS, INCLUDING
RECONSTITUTED TARS.
270710................................. BENZENE.
270720................................. TOLUENE.
270730................................. XYLENES.
270740................................. NAPHTHALENE.
270750................................. AROMATIC HYDROCARBONS NESOI, OF
WHICH 65% OR MORE BY VOLUME
(INCLUDING LOSSES) DISTILLS AT
250 DEGREES CENTIGRADE BY THE
ASTM D 86 METHOD.
270791................................. CREOSOTE OILS.
270799................................. OILS AND PRODUCTS OF THE
DISTILLATION OF HIGH
TEMPERATURE COAL TAR, NESOI;
SIMILAR PRODUCTS WHICH HAVE A
PREDOMINATE (WT.) AROMATIC
CONSTITUENT, NESOI.
270810................................. PITCH FROM COAL AND OTHER
MINERAL TARS.
270820................................. PITCH COKE FROM COAL AND OTHER
MINERAL TARS.
270900................................. PETROLEUM OILS AND OILS FROM
BITUMINOUS MINERALS, CRUDE.
271012................................. LIGHT OILS AND PREPARATIONS
CONTAINING GT=70% BY WEIGHT
PETROLEUM OILS OR OILS FROM
BITUMINOUS MINERALS, NOT
CONTAINING BIODIESEL, NOT
WASTE OILS.
271019................................. PETROLEUM OILS, OILS FROM
BITUMINOUS MINERALS (OTHER
THAN CRUDE) & PRODUCTS
CONTAINING BY WEIGHT GT=70% OR
MORE OF THESE OILS, NOT
BIODIESEL OR WASTE.
[[Page 35]]
271020................................. PETROLEUM OILS AND PREPARATIONS
CONTAINING BIODIESEL,
CONTAINING BY WEIGHT GT=70%
PETROLEUM OILS OR OILS OF
BITUMINOUS MINERALS, OTHER
THAN WASTE OILS.
271091................................. WASTE OILS CONTAINING
POLYCHLORINATED BIPHENYLS
(PBC), POLYCHLORINATED
TERPHENYLS (PCT) OR
POLYBROMINATED BIPHENYLS
(PBB).
271099................................. WASTE OILS, NESOI.
271111................................. NATURAL GAS, LIQUEFIED.
271112................................. PROPANE, LIQUEFIED.
271113................................. BUTANES, LIQUEFIED.
271114................................. ETHYLENE, PROPYLENE, BUTYLENE
AND BUTADIENE, LIQUEFIED.
271119................................. PETROLEUM GASES AND OTHER
GASEOUS HYDROCARBONS,
LIQUEFIED, NESOI.
271121................................. NATURAL GAS, GASEOUS.
271129................................. PETROLEUM GASES AND OTHER
GASEOUS HYDROCARBONS IN A
GASEOUS STATE, NESOI (OTHER
THAN NATURAL GAS).
271210................................. PETROLEUM JELLY.
271220................................. PARAFFIN WAX CONTAINING BY
WEIGHT LESS THAN 0.75% OIL.
271290................................. MICROCRYSTALLINE PETROLEUM WAX,
SLACK WAX, OZOKERITE, LIGNITE
WAX, PEAT WAX, OTHER MINERAL
WAXES, AND SIMILAR PRODUCTS,
NESOI.
271311................................. PETROLEUM COKE, NOT CALCINED.
271312................................. PETROLEUM COKE, CALCINED.
271320................................. PETROLEUM BITUMEN.
271390................................. RESIDUES OF PETROLEUM OILS OR
OF OILS OBTAINED FROM
BITUMINOUS MINERALS, NESOI.
271410................................. BITUMINOUS OR OIL SHALE AND TAR
SANDS.
271490................................. BITUMEN AND ASPHALT, NATURAL;
ASPHALTITES AND ASPHALTIC
ROCKS.
271500................................. BITUMINOUS MIXTURES BASED ON
NATURAL ASPHALT, NATURAL
BITUMEN, PETROLEUM BITUMEN,
MINERAL TAR OR MINERAL TAR
PITCH.
280110................................. CHLORINE.
280200................................. SULFUR, SUBLIMED OR
PRECIPITATED; COLLODIAL
SULFUR.
280410................................. HYDROGEN.
280430................................. NITROGEN.
280461................................. SILICON, CONTAINING BY WEIGHT
NOT LESS THAN 99.99% OF
SILICON.
280470................................. PHOSPHORUS.
280480................................. ARSENIC.
280511................................. SODIUM.
280610................................. HYDROGEN CHLORIDE (HYDROCHLORIC
ACID).
280620................................. CHLOROSULFURIC ACID.
281111................................. HYDROGEN FLUORIDE (HYDROFLUORIC
ACID).
281129................................. INORGANIC OXYGEN COMPOUNDS OF
NONMETALS, NESOI.
281310................................. CARBON DISULFIDE.
281410................................. ANHYDROUS AMMONIA.
281420................................. AMMONIA IN AQUEOUS SOLUTION.
281512................................. SODIUM HYDROXIDE (CAUSTIC
SODA), IN AQUEOUS SOLUTION
(SODA LYE OR LIQUID SODA).
281820................................. ALUMINUM OXIDE, EXCEPT
ARTIFICIAL CORUNDUM, NESOI.
281830................................. ALUMINUM HYDROXIDE.
281990................................. CHROMIUM OXIDES AND HYDRIDES,
EXCEPT CHROMIUM TRIOXIDE,
NESOI.
282010................................. MANGANESE DIOXIDE.
282110................................. IRON OXIDES AND HYDROXIDES.
282510................................. HYDRAZINE AND HYDROXYLAMINE AND
THEIR INORGANIC SALTS.
282731................................. MAGNESIUM CHLORIDE.
282732................................. ALUMINUM CHLORIDE.
282735................................. NICKEL CHLORIDE.
282751................................. BROMIDES OF SODIUM OR OF
POTASSIUM.
282890................................. HYPOCHLORITES, CHLORITES, AND
HYPOBROMITES, NESOI.
282911................................. SODIUM CHLORATE.
282990................................. PERCHLORATES; BROMATES AND
PERBROMATES; IODATES AND
PERIODATES.
283220................................. SULFITES, EXCEPT SODIUM
SULFITES, NESOI.
283324................................. NICKEL SULFATE.
283330................................. ALUMS.
283410................................. NITRITES.
283539................................. POLYPHOSPHATES, NESOI.
283630................................. SODIUM HYDROGENCARBONATE
(SODIUM BICARBONATE).
283650................................. CALCIUM CARBONATE.
283990................................. SILICATES; COMMERCIAL ALKALI
METAL SILICATES, NESOI.
284030................................. PEROXOBORATES (PERBORATES).
284150................................. CHROMATES AND DICHROMATES,
NESOI; PEROXOCHROMATES.
284180................................. TUNGSTATES (WOLFRAMATES).
284310................................. COLLOIDAL PRECIOUS METALS.
284329................................. SILVER COMPOUNDS, EXCEPT SILVER
NITRATE, NESOI.
284330................................. GOLD COMPOUNDS.
284700................................. HYDROGEN PEROXIDE, WHETHER OR
NOT SOLIDIFIED WITH UREA.
284910................................. CARBIDES OF CALCIUM, WHETHER OR
NOT CHEMICALLY DEFINED.
320110................................. QUEBRACHO EXTRACT.
320120................................. WATTLE EXTRACT.
320190................................. TANNING EXTRACTS OF VEGETABLE
ORIGIN, NESOI; TANNINS AND
THEIR SALTS, ETHERS, ESTERS
AND OTHER DERIVATIVES.
320210................................. SYNTHETIC ORGANIC TANNING
SUBSTANCES.
[[Page 36]]
320290................................. INORGANIC TANNING SUBSTANCES;
TANNING PREPARATIONS;
ENZYMATIC PREPARATIONS FOR PRE-
TANNING.
320300................................. COLORING MATTER OF VEGETABLE OR
ANIMAL ORIGIN AND PREPARATIONS
BASED THEREON.
320490................................. SYNTHETIC ORGANIC COLORING
MATTER, NESOI.
320500................................. COLOR LAKES; PREPARATIONS BASED
ON COLOR LAKES.
320611................................. PIGMENTS AND PREPARATIONS
CONTAINING 80% OR MORE BY
WEIGHT OF TITANIUM DIOXIDE
CALCULATED ON THE DRY MATTER.
320641................................. ULTRAMARINE AND PREPARATIONS
BASED THEREON.
320649................................. COLORING MATTER OF A KIND USED
FOR COLORING ANY MATERIAL OR
USED IN THE MANUFACTURE OF
COLORING PREPARATIONS (OTHER
THAN PAINTS OR ENAMELS),
NESOI.
320710................................. PREPARED PIGMENTS, PREPARED
OPACIFIERS, PREPARED COLORS
AND SIMILAR PREPARATIONS.
320720................................. VITRIFIABLE ENAMELS AND GLAZES,
ENGOBES (SLIPS) AND SIMILAR
PREPARATIONS.
320730................................. LIQUID LUSTRES AND SIMILAR
PREPARATIONS.
320740................................. GLASS FRIT AND OTHER GLASS, IN
THE FORM OF POWDER, GRANULES
OR FLAKES.
320810................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS AND LACQUERS) BASED ON
SYNTHETIC AND OTHER POLYMERS,
IN A NONAQUEOUS MEDIUM, BASED
ON POLYESTERS.
320820................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS AND LACQUERS) BASED ON
SYNTHETIC AND OTHER POLYMERS
IN A NONAQUEOUS MEDIUM, BASED
ON ACRYLIC OR VINYL POLYMERS.
320890................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS AND LACQUERS) BASED ON
SYNTHETIC AND OTHER POLYMERS
IN A NONAQUEOUS MEDIUM, NESOI.
320910................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS AND LACQUERS) BASED ON
SYNTHETIC AND OTHER POLYMERS
IN AN AQUEOUS MEDIUM, BASED ON
ACRYLIC OR VINYL POLYMERS.
320990................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS AND LACQUERS) BASED ON
SYNTHETIC AND OTHER POLYMERS
IN AN AQUEOUS MEDIUM, NESOI.
321000................................. PAINTS AND VARNISHES (INCLUDING
ENAMELS, LACQUERS AND
DISTEMPERS); PREPARED WATER
PIGMENTS OF A KIND USED FOR
FINISHING LEATHER.
321290................................. PIGMENTS (INCLUDING METALLIC
POWDERS AND FLAKES) IN
NONAQUEOUS MEDIA FOR PAINT
MANUFACTURE; DYES AND COLORS
PACKAGED FOR RETAIL SALES.
321410................................. MASTICS (INCLUDING GLAZIERS'
PUTTY, GRAFTING PUTTY, RESIN
CEMENTS AND CAULKIING
COMPOUNDS); PAINTERS'
FILLINGS.
321490................................. NONREFRACTORY SURFACING
PREPARATIONS FOR FACADES,
INDOOR WALLS, FLOORS, CEILINGS
OR THE LIKE.
321511................................. PRINTING INK, BLACK.
321519................................. PRINTING INK, OTHER THAN BLACK.
340311................................. LUBRICATING PREPARATIONS FOR
THE TREATMENT OF TEXTILE
MATERIALS, LEATHER, FURSKINS
OR OTHER MATERIALS, CONTAINING
PETROLEUM OR BITUMINOUS
MINERAL OILS.
340319................................. LUBRICATING PREPARATIONS
CONTAINING PETROLEUM OILS OR
OILS OBTAINED FROM BITUMINOUS
MINERALS, NESOI.
340391................................. LUBRICATNG PREPARTIONS FOR THE
TREATMENT OF TEXTILE
MATERIALS, LEATHER, FUR OR
OTHER MATERIALS, NOT
CONTAINING PETROLEUM OR
BITUMINOUS MINERAL OILS.
340399................................. LUBRICATING PREPARATIONS NOT
CONTAINING PETROLEUM OILS OR
OILS OBTAINED FROM BITUMINOUS
MINERALS, NESOI.
350510................................. DEXTRINS AND OTHER MODIFIED
STARCHES.
350699................................. PREPARED GLUES AND ADHESIVES,
NESOI.
370120................................. INSTANT PRINT FILM IN THE FLAT.
370191................................. PHOTOGRAPHIC PLATES AND FLAT
FILM (OF MATERIAL OTHER THAN
PAPER, PAPERBOARD OR TEXTILES)
FOR COLOR PHOTOGRAPHY
(POLYCHROME), SENSITIZED,
UNEXPOSED.
370210................................. X-RAY FILM IN ROLLS,
SENSITIZED, UNEXPOSED.
370231................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
NOT OVER 105 MM IN WIDTH, FOR
COLOR PHOTOGRAPHY
(POLYCHROME), SENSITIZED,
UNEXPOSED.
[[Page 37]]
370232................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
NOT OVER 105 MM (4.1 IN.) IN
WIDTH, WITH SILVER HALIDE
EMULSION, SENSITIZED,
UNEXPOSED.
370239................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
NOT OVER 105 MM (4.1 IN.) IN
WIDTH, NESOI, SENSITIZED,
UNEXPOSED.
370241................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
OVER 610 MM IN WIDTH AND OVER
200 M IN LENGTH, FOR COLOR
PHOTOGRAPHY, SENSITIZED,
UNEXPOSED.
370242................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
OVER 610 MM IN WIDTH AND OVER
200 M IN LENGTH, NESOI,
SENSITIZED, UNEXPOSED.
370243................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
OVER 610 MM (24 IN.) IN WIDTH
AND NOT OVER 200 M (656 FT.)
IN LENGTH, SENSITIZED,
UNEXPOSED.
370244................................. PHOTOGRAPHIC FILM IN ROLLS,
NESOI, WITHOUT SPROCKET HOLES,
OVER 105 MM (4.1 IN.) BUT NOT
OVER 610 MM (24 IN.) IN WIDTH,
SENSITIZED, UNEXPOSED.
370252................................. PHOTOGRAPHIC FILM IN ROLLS WITH
PERFORATIONS, FOR COLOR
PHOTOGRAPHY (POLYCHROME), NOT
OVER 16 MM (0.6 IN.) WIDE,
SENSITIZED, UNEXPOSED, ETC.
370253................................. PHOTOGRAPHIC FILM ROLLS, NESOI,
FILM NESOI, FOR COLOR SLIDES,
OVER 16 MM, NOT OVER 35 MM
WIDE AND NOT OVER 30 M LONG,
SENSITIZED, UNEXPOSED.
370254................................. PHOTOGRAPHIC FILM ROLLS, NESOI,
FILM NESOI, FOR COLOR
PHOTOGRAPHY NESOI, OVER 16 MM,
NOT OVER 35 MM WIDE AND NOT
OVER 30 M LONG, SENSITIZED,
UNEXPOSED.
370255................................. PHOTOGRAPHIC FILM ROLLS, NESOI,
FILM NESOI, FOR COLOR
PHOTOGRAPHY, OVER 16 MM, BUT
NOT OVER 35 MM WIDE AND OVER
30 M LONG, SENSITIZED,
UNEXPOSED.
370256................................. PHOTOGRAPHIC FILM ROLLS, NESOI,
FILM NESOI, FOR COLOR
PHOTOGRAPHY, OVER 35 MM (1.4
IN.) WIDE, SENSITIZED,
UNEXPOSED.
370296................................. PHOTOGRAPHIC FILM OF A WIDTH
NOT EXCEEDING 35 MM (1.4 IN.)
AND OF A LENGTH NOT EXCEEDING
30 M (98 FT.), MONOCHROME,
SENSITIZED, UNEXPOSED, NESOI.
370297................................. PHOTOGRAPHIC FILM OF A WIDTH
NOT EXCEEDING 35 MM (1.4 IN.)
AND OF A LENGTH EXCEEDING 30 M
(98 FT.), MONOCHROME,
SENSITIZED, UNEXPOSED, NESOI.
370298................................. PHOTOGRAPHIC FILM OF A WIDTH
EXCEEDING 35 MM (1.4 IN.),
MONOCHROME (BLACK AND WHITE),
SENSITIZED, UNEXPOSED, NOT OF
PAPER, PAPERBOARD ETC, NESOI.
370310................................. PHOTOGRAPHIC PAPER, PAPERBOARD
AND TEXTILES IN ROLLS, OVER
610 MM (24 IN.) WIDE,
SENSITIZED, UNEXPOSED.
370320................................. PHOTOGRAPHIC PAPER, PAPERBOARD
AND TEXTILES, NESOI, FOR COLOR
PHOTOGRAPHY (NOT IN ROLLS OVER
610 MM (24 IN.) WIDE),
SENSITIZED, UNEXPOSED.
370390................................. PHOTOGRAPHIC PAPER, PAPERBOARD
AND TEXTILES, NESOI, OTHER
THAN FOR COLOR PHOTOGRAPHY
(NOT IN ROLLS OVER 610 MM (24
IN.) WIDE), SENSITIZED,
UNEXPOSED.
370500................................. PHOTOGRAPHIC PLATES AND FILM,
EXPOSED AND DEVELOPED, OTHER
THAN CINEMATOGRAPHIC FILM.
370610................................. MOTION-PICTURE FILM, EXPOSED
AND DEVELOPED, 35 MM (1.4 IN.)
OR OVER IN WIDTH.
370690................................. MOTION-PICTURE FILM, EXPOSED
AND DEVELOPED, LESS THAN 35 MM
(1.4 IN.) IN WIDTH.
380120................................. COLLOIDAL OR SEMI-COLLOIDAL
GRAPHITE.
380620................................. SALTS OF ROSIN OR OF RESIN
ACIDS OR OF DERIVATIVES OF
ROSIN OR RESIN ACIDS, EXCEPT
SALTS OF ROSIN ADDUCTS.
380700................................. WOOD TAR; WOOD TAR OILS; WOOD
CRESOTE; WOOD NAPHTHA;
VEGETABLE PITCH; BREWERS'
PITCH AND LIKE PRODUCTS BASED
ON ROSIN, RESIN ACIDS OR
VEGETABLE PITCH.
380910................................. FINISHING AGENTS, DYE CARRIERS
AND DRESSINGS USED IN THE
TEXTILE, PAPER ETC.
INDUSTRIES, WITH A BASIS OF
AMYLACEOUS SUBSTANCES.
380991................................. FINISHING AGENTS, DYE CARRIERS
AND PREPARATIONS NESOI, OF A
KIND USED IN THE TEXTILE OR
LIKE INDUSTRIES.
[[Page 38]]
380992................................. FINISHING AGENTS, DYE CARRIERS
AND PREPARATIONS NESOI, OF A
KIND USED IN THE PAPER OR LIKE
INDUSTRIES.
380993................................. FINISHING AGENTS, DYE CARRIERS
AND PREPARATION NESOI, OF A
KIND USED IN THE LEATHER OR
LIKE INDUSTRIES.
381010................................. PICKLING PREPARATION FOR METAL
SURFACES; SOLDERING, BRAZING
OR WELDING POWDERS AND PASTES
CONSISTING OF METAL AND OTHER
MATERIALS.
381090................................. FLUXES AND OTHER AUXILIARY
PREPARATIONS FOR SOLDERING,
BRAZING OR WELDING, NESOI;
PREPARED CORES OR COATINGS FOR
WELDING ELECTRODES OR RODS.
381111................................. ANTIKNOCK PREPARATIONS, BASED
ON LEAD COMPOUNDS.
381119................................. ANTIKNOCK PREPARATIONS, NESOI.
381121................................. ADDITIVES FOR LUBRICATING OILS
CONTAINING PETROLEUM OILS OR
OILS OBTAINED FROM BITUMINOUS
MINERALS.
381129................................. ADDITIVES FOR LUBRICATING OILS,
NESOI.
381190................................. PREPARED ADDITIVES FOR MINERAL
OILS (INCLUDING GASOLINE) OR
FOR OTHER LIQUIDS USED FOR THE
SAME PURPOSE AS MINERAL OILS,
NESOI.
381220................................. COMPOUND PLASTICIZERS FOR
RUBBER OR PLASTICS.
381300................................. PREPARATIONS AND CHARGES FOR
FIRE-EXTINGUISHERS; CHARGED
FIRE-EXTINGUISHNG GRENADES.
381400................................. ORGANIC COMPOSITE SOLVENTS AND
THINNERS, NESOI; PREPARED
PAINT OR VARNISH REMOVERS.
381511................................. SUPPORTED CATALYSTS WITH NICKEL
OR NICKEL COMPOUNDS AS THE
ACTIVE SUBSTANCE.
381512................................. SUPPORTED CATALYSTS WITH
PRECIOUS METAL OR PRECIOUS
METAL COMPOUNDS AS THE ACTIVE
SUBSTANCE.
381519................................. SUPPORTED CATALYSTS, NESOI.
381590................................. REACTION INITIATORS, REACTION
ACCELERATORS AND CATALYTIC
PREPARATIONS, NESOI.
381600................................. REFRACTORY CEMENTS, MORTARS,
CONCRETES, AND SIMILAR
COMPOSITIONS (EXCEPT OF
GRAPHITE OR OTHER CARBON
PREPARATIONS), NESOI.
381700................................. MIXED ALKYLBENZENES AND MIXED
ALKLNAPHTHALENES, OTHER THAN
THOSE OF HEADING 2707 OR 2902.
381800................................. CHEMICAL ELEMENTS DOPED FOR USE
IN ELECTRONICS, IN THE FORM OF
DISCS, WAFERS OR SIMILAR
FORMS; CHEMICAL COMPOUNDS
DOPED FOR USE IN ELECTRONICS.
381900................................. HYDRAULIC BRAKE FLUIDS AND
PREPARED LIQUIDS FOR HYDRAULIC
TRANSMISSION, WITH LESS THAN
70% (IF ANY) BY WEIGHT OF
PETROLEUM OR BITUMINOUS
MINERAL OILS.
382000................................. ANTIFREEZING PREPARATIONS AND
PREPARED DEICING FLUIDS.
382313................................. TALL OIL FATTY ACIDS.
382481................................. MIXTURES AND PREPARATIONS
CONTAINING OXIRANE (ETHYLENE
OXIDE).
382484................................. MIX AND PREPS CONTAINING
ALDRIN, CAMPHECHLOR,
CHLORDANE, CHLORDECONE, DDT,
1,1,1-TRICHLORO-2-2BIS(P-
CHLOROPHENYL)ETHANES),DIELDRIN
, ENDOSULFAN,ETC.
382499................................. CHEMICAL PRODUCTS AND
PREPARATIONS OF THE CHEMICAL
OR ALLIED INDUSTRIES,
N.E.S.O.I.; RESIDUAL PRODUCTS
OF THE CHEMICAL OR ALLIED
INDUSTRIES, N.E.S.O.I.
382590................................. WASTE AS SPECIFIED IN CHAPTER
38 NOTES, NESOI.
382600................................. BIODIESEL AND MIXTURES THEREOF,
NOT CONTAINING OR CONTAINING
LESS THAN 70% BY WEIGHT OF
PETROLEUM OILS OR OILS
OBTAINED FROM BITUMINOUS
MATERIALS.
382790................................. ACYCLIC PERHALOGENATED
DERIVATIVES, NESOI.
390140................................. ETHYLENE-ALPHA-OLEFIN
COPOLYMERS, HAVING A SPECIFIC
GRAVITY OF LESS THAN 0.94.
390220................................. POLYISOBUTYLENE, IN PRIMARY
FORMS.
390230................................. PROPYLENE COPOLYMERS, IN
PRIMARY FORMS.
390290................................. POLYMERS OF PROPYLENE OR OTHER
OLEFINS NESOI, IN PRIMARY
FORMS.
390319................................. POLYSTYRENE NESOI, IN PRIMARY
FORMS.
390390................................. POLYMERS OF STYRENE NESOI, IN
PRIMARY FORMS.
390410................................. POLYVINYL CHLORIDE, NOT MIXED
WITH ANY OTHER SUBSTANCES, IN
PRIMARY FORMS.
390450................................. VINYLIDENE CHLORIDE POLYMERS,
IN PRIMARY FORMS.
390512................................. POLYMERS OF VINYL ACETATE,IN
AQUEOUS DISPERSION.
[[Page 39]]
390519................................. POLYMERS OF VINYL ACETATE, NOT
IN AQUEOUS DISPERSION, IN
PRIMARY FORMS.
390521................................. VINYL ACETATE COPOLYMERS,IN
AQUEOUS DISPERSION.
390529................................. VINYL ACETATE COPOLYMERS,
NESOI.
390530................................. POLYVINYL ALCOHOLS, WHETHER OR
NOT CONTAINING UNHYDROLYZED
ACETATE GROUPS.
390591................................. COPOLYMERS OF VINYL ESTERS, IN
PRIMARY FORMS, N.E.S.O.I.
390599................................. VINYL POLYMERS IN PRIMARY
FORMS, N.E.S.O.I.
390610................................. POLYMETHYL METHACRYLATE, IN
PRIMARY FORMS.
390690................................. ACRYLIC POLYMERS NESOI, IN
PRIMARY FORMS.
390721................................. POLYETHERS NESOI, IN PRIMARY
FORMS.
390740................................. POLYCARBONATES, IN PRIMARY
FORMS.
390770................................. POLY(LACTIC) ACID, IN PRIMARY
FORMS.
390791................................. POLYESTERS NESOI, UNSATURATED,
IN PRIMARY FORMS.
390810................................. POLYAMIDE-6,-11,-12,-6,6,-6,9,-
6,10 OR -6,12 (NYLON TYPE), IN
PRIMARY FORMS.
390890................................. POLYAMIDES NESOI, IN PRIMARY
FORMS.
390920................................. MELAMINE RESINS, IN PRIMARY
FORMS.
390939................................. AMINO-RESINS, NESOI.
390940................................. PHENOLIC RESINS, IN PRIMARY
FORMS.
390950................................. POLYURETHANES, IN PRIMARY
FORMS.
391211................................. CELLULOSE ACETATES,
NONPLASTICIZED, IN PRIMARY
FORMS.
391220................................. CELLULOSE NITRATES (INCLUDING
COLLODIONS), IN PRIMARY FORMS.
391290................................. CELLULOSE AND ITS CHEMICAL
DERIVATIVES NESOI, IN PRIMARY
FORMS.
391520................................. WASTE, PARINGS AND SCRAP, OF
POLYMERS OF STYRENE.
391710................................. ARTIFICIAL GUTS (SAUSAGE
CASING), OF HARDENED PROTEIN
OR OF CELLULOSIC PLASTIC
MATERIALS.
391723................................. TUBES, PIPES AND HOSES, RIGID,
OF POLYMERS OF VINYL CHLORIDE.
391731................................. FLEXIBLE TUBES, PIPES AND
HOSES, HAVING A MINIMUM BURST
PRESSURE OF 27.6 MPA, OF
PLASTICS.
391732................................. TUBES, PIPES AND HOSES NESOI,
NOT REINFORCED OR OTHERWISE
COMBINED WITH OTHER MATERIALS,
OF PLASTICS, WITHOUT FITTINGS.
391733................................. TUBES, PIPES AND HOSES NESOI,
NOT REINFORCED OR OTHERWISE
COMBINED WITH OTHER MATERIALS,
OF PLASTICS, WITH FITTINGS.
392010................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS, NOT SELF-
ADHESIVE, NON-CELLULAR, NOT
REINFORCED OR LAMINATED ETC.,
OF POLYMERS OF ETHYLENE.
392061................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS, NOT SELF-
ADHESIVE, NON-CELLULAR, NOT
REINFORCED ETC., OF
POLYCARBONATES.
392069................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS, NOT SELF-
ADHESIVE, NON-CELLULAR, NOT
REINFORCED OR LAMINATED ETC.,
OF POLYESTERS NESOI.
392073................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS, NOT SELF-
ADHESIVE, NON-CELLULAR, NOT
REINFORCED OR LAMINATED ETC.,
OF CELLULOSE ACETATE.
392091................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS, NOT SELF-
ADHESIVE, NON-CELLULAR, NOT
REINFORCED OR LAMINATED ETC.,
OF POLYVINYL BUTYRAL.
392119................................. PLATES, SHEETS, FILM, FOIL AND
STRIP OF PLASTICS NESOI,
CELLULAR PLASTICS NESOI.
392290................................. BIDETS, LAVATORY PANS, FLUSHING
CISTERNS AND SIMILAR SANITARY
WARE, OF PLASTICS.
392520................................. DOORS, WINDOWS AND THEIR FRAMES
AND THRESHOLDS FOR DOORS, OF
PLASTICS.
400211................................. LATEX OF STYRENE-BUTADIENE
RUBBER (SBR) OR CARBOXYLATED
STYRENE-BUTADIENE RUBBER
(XSBR).
400219................................. STYRENE-BUTADIENE RUBBER (SBR)
OR CARBOXYLATED STYRENE-
BUTADIENE RUBBER (XSBR) IN
PRIMARY FORMS (EXCEPT LATEX)
OR IN PLATES, SHEETS OR STRIP.
400220................................. BUTADIENE RUBBER (BR) IN
PRIMARY FORMS OR IN PLATES,
SHEETS OR STRIP.
400231................................. ISOBUTENE-ISOPRENE (BUTYL)
RUBBER (IIR) IN PRIMARY FORMS
OR IN PLATES, SHEETS OR STRIP.
[[Page 40]]
400239................................. HALO-ISOBUTENE-ISOPRENE RUBBER
(CIIR OR BIIR) IN PRIMARY
FORMS OR IN PLATES, SHEETS OR
STRIP.
400241................................. LATEX OF CHLOROPRENE
(CHLOROBUTADIENE) RUBBER (CR).
400249................................. CHLOROPRENE (CHLOROBUTADIENE)
RUBBER (CR) IN PRIMARY FORMS
(EXCEPT LATEX) OR IN PLATES,
SHEETS OR STRIP.
400251................................. LATEX OF ACRYLONITRILE-
BUTADIENE RUBBER (NBR).
400259................................. ACRYLONITRILE-BUTADIENE RUBBER
(NBR) IN PRIMARY FORMS (EXCEPT
LATEX) OR IN PLATES, SHEETS OR
STRIP.
400260................................. ISOPRENE RUBBER (IR) IN PRIMARY
FORMS OR IN PLATES, SHEETS OR
STRIP.
400270................................. ETHYLENE-PROPYLENE-
NONCONJUGATED DIENE RUBBER
(EPDM) IN PRIMARY FORMS OR IN
PLATES, SHEETS OR STRIP.
400280................................. MIXTURES OF NATURAL RUBBER OR
SIMILAR NATURAL GUMS WITH
SYNTHETIC RUBBER AND FACTICE
DERIVED FROM OILS, IN PRIMARY
FORMS OR IN PLATES, SHEETS OR
STRIP.
400291................................. LATEX OF SYNTHETIC RUBBER AND
FACTICE DERIVED FROM OILS,
NESOI.
400299................................. SYNTHETIC RUBBER AND FACTICE
DERIVED FROM OILS, IN PRIMARY
FORMS OR IN PLATES, SHEETS OR
STRIP, NESOI.
400510................................. COMPOUNDED RUBBER,
UNVULCANIZED, COMPOUNDED WITH
CARBON BLACK OR SILICA, IN
PRIMARY FORMS OR IN PLATES,
SHEETS OR STRIP.
400520................................. COMPOUNDED RUBBER,
UNVULCANIZED, IN SOLUTION;
DISPERSIONS OTHER THAN THOSE
COMPOUNDED WITH CARBON BLACK
OR SILICA.
400591................................. COMPOUNDED RUBBER,
UNVULCANIZED, IN PLATES,
SHEETS, AND STRIP, NESOI.
400599................................. COMPOUNDED RUBBER,
UNVULCANIZED, IN PRIMARY
FORMS, NESOI.
400610................................. CAMEL-BACK STRIPS FOR
RETREADING RUBBER TIRES, OF
UNVULCANIZED RUBBER.
400821................................. PLATES, SHEETS AND STRIP OF
VULCANIZED RUBBER, EXCEPT HARD
RUBBER, OF NONCELLULAR RUBBER.
400912................................. TUBES, PIPE, AND HOSES, OF
VULCANIZED RUBBER, EXC HARD
RUBBER, NOT REINFORCED OR
OTHERWISE COMBINED WITH OTHER
MATERIALS, WITH FITTINGS.
400941................................. TUBES, PIPES AND HOSES, OF
VULCANIZED RUBBER, EXCEPT HARD
RUBBER, REINFORCED OR
OTHERWISE COMBINED WITH OTHER
MATERIALS, NESOI, WITHOUT
FITTINGS.
401011................................. CONVEYOR BELTS OR BELTING
REINFORCED ONLY WITH METAL.
401012................................. CONVEYOR BELTS OR BELTING
REINFORCED ONLY WITH TEXTILE
MATERIALS.
401019................................. CONVEYOR BELTS OR BELTING OF
VULCANIZED RUBBER, NESOI.
401031................................. ENDLESS TRANSMISSION BELTS OF
TRAPEZOIDAL CROSS SECTION (V-
BELTS), V-RIBBED, OF
CIRCUMFERENCE EXCEEDING 60CM
BUT NOT EXCEEDING 180 CM.
401032................................. ENDLESS TRANSMISSION BELTS OF
TRAPEZOIDAL CROSS SECTION (V-
BELTS), OF CIRCUMFERENCE
EXCEEDING 60CM BUT NOT
EXCEEDING 180 CM, NESOI.
401033................................. ENDLESS TRANSMISSION BELTS OF
TRAPEZOIDAL CROSS SECTION (V-
BELTS), V-RIBBED, OF
CIRCUMFERENCE EXCEEDING 180CM
BUT NOT EXCEEDING 240 CM.
401034................................. ENDLESS TRANSMISSION BELTS OF
TRAPEZOIDAL CROSS SECTION (V-
BELTS), OF CIRCUMFERENCE
EXCEEDING 180CM BUT NOT
EXCEEDING 240 CM, NESOI.
401035................................. ENDLESS SYNCHRONOUS BELTS OF A
CIRCUMFERENCE EXCEEDING 60 CM
BUT NOT EXCEEDING 150 CM.
401036................................. ENDLESS SYNCHRONOUS BELTS OF A
CIRCUMFERENCE EXCEEDING 150 CM
BUT NOT EXCEEDING 198 CM.
401039................................. TRANSMISSION BELTS OR BELTING,
OF VULCANIZED RUBBER, NESOI.
401120................................. NEW PNEUMATIC TIRES, OF RUBBER,
OF A KIND USED ON BUSES OR
TRUCKS.
401130................................. NEW PNEUMATIC TIRES, OF RUBBER,
OF A KIND USED ON AIRCRAFT.
401211................................. RETREADED TIRES OF RUBBER, OF A
KIND USED ON MOTOR CARS
(INCLUDING STATION WAGONS AND
RACING CARS).
401212................................. RETREADED TIRES OF RUBBER, OF A
KIND USED ON BUSES OR TRUCKS.
[[Page 41]]
401213................................. RETREADED TIRES OF RUBBER, OF A
KIND USED ON AIRCRAFT.
401219................................. RETREADED TIRES OF RUBBER,
NESOI.
401220................................. USED PNEUMATIC TIRES, OF
RUBBER.
401290................................. SOLID OR CUSHION TIRES,
INTERCHANGEABLE TIRE TREADS
AND TIRE FLAPS, OF RUBBER.
401693................................. GASKETS, WASHERS AND OTHER
SEALS, OF VULCANIZED RUBBER
OTHER THAN HARD RUBBER.
401699................................. ARTICLES OF VULCANIZED RUBBER
OTHER THAN HARD RUBBER, NESOI.
440711................................. PINE WOOD SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED,
OF A THICKNESS EXCEEDING 6MM.
440712................................. FIR WOOD SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED,
OF A THICKNESS EXCEEDING 6MM.
440713................................. OTHER CONIFEROUS WOOD SAWN OR
CHIPPED LENGTHWISE, SLICED OR
PEELED, THICKNESS EXCEEDING
6MM.
440714................................. OTHER CONIFEROUS WOOD SAWN OR
CHIPPED LENGTHWISE, SLICED OR
PEELED, THICKNESS EXCEEDING
6MM.
440719................................. OTHER CONIFEROUS WOOD SAWN OR
CHIPPED LENGTHWISE, SLICED OR
PEELED, THICKNESS EXCEEDING
6MM.
440721................................. MAHOGANY (SWIETENIA SPP.), SAWN
OR CHIPPED LENGTHWISE, SLICED
OR PEELED.
440722................................. VIROLA, IMBUIA AND BALSA, SAWN
OR CHIPPED LENGTHWISE, SLICED
OR PEELED.
440723................................. TROPICAL WOOD SAWN ETC.,
BABOEN, MAHOGANY (SWIETENIA
SPP.), IMBUIA AND BALSA,
SLICED OR PEELED, PLANED OR
NOT ETC., OVER 6 MM (.236 IN.)
THICK.
440725................................. DARK RED MERANTI, LIGHT RED
MERANTI AND MERANTI BAKAU,
WOOD SAWN OR CHIPPED
LENGTHWISE,SLICED OR PEELED,
WHETHER OR NOT PLANED, SANDED
OR ETC.
440726................................. WHITE LAUAN, WHITE MERANTI,
WHITE SERAYA, YELLOW MERANTI
AND ALAN, LUMBER.
440727................................. SAPELLI, SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED.
440728................................. IROKO, SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED.
440729................................. OTHER TROPICAL WOOD SPECIFIED
IN SUBHEADING NOTE 2 TO THIS
CHAPTER, WOOD SAWN OR CHIPED
LENGTHWISE, SLICED OR PEELED
WHETHER OR NOT PLANED, SANDED
ETC.
440791................................. OAK WOOD, SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED,
WHETHER OR NOT PLANED ETC.,
OVER 6 MM (.236 IN.) THICK.
440792................................. BEECH WOOD SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED,
WHETHER OR NOT PLANED ETC.,
OVER 6 MM (.236 IN.) THICK.
440793................................. MAPLE (ACER SPP.), SAWN OR
CHIPPED LENGTHWISE, SLICED OR
PEELED.
440794................................. CHERRY, SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED.
440795................................. ASH, SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED.
440796................................. BIRCH WOOD SAWN OR CHIPPED
LENGTHWISE, SLICED OR PEELED,
OF A THICKNESS EXCEEDING 6MM.
440797................................. POPLAR AND ASPEN WOOD SAWN OR
CHIPPED LENGTHWISE, SLICED OR
PEELED, OF A THICKNESS
EXCEEDING 6 MM.
440799................................. NONCONIFEROUS WOOD NESOI, SAWN
OR CHIPPED LENGTHWISE, SLICED
OR PEELED, WHETHER OR NOT
PLANED, ETC., OVER 6 MM (.236
IN.) THICK.
440810................................. VENEER SHEETS AND SHEETS FOR
PLYWOOD, ETC. WHETHER OR NOT
PLANED, ETC., NOT OVER 6 MM
(.236 IN.) THICK, OF
CONIFEROUS WOOD.
440890................................. VENEER SHEETS AND SHEETS FOR
PLYWOOD, ETC. WHETHER OR NOT
PLANED, ETC., NOT OVER 6 MM
(.236 IN.) THICK, OF
NONCONIFEROUS WOOD, NESOI.
441113................................. MEDIUM DENSITY FIBERBOARD
(MDF), OF A THICKNESS
EXCEEDING 5 MM BUT NOT
EXCEEDING 9 MM.
441194................................. FIBERBOARD OF WOOD OR OTHER
LIGNEOUS MATERIALS, OF A
DENSITY NOT EXCEEDING 0.5 G/
M3, NESOI.
441210................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, OF
BAMBOO.
441231................................. PLYWOOD CONSISTING SOLELY OF
SHEETS OF WOOD (EXC BAMBOO),
EACH PLY NOT EXCEEDING 6 MM IN
THICKNESS, TROP WD SPEC IN
SUBHEAD NT 1.
[[Page 42]]
441233................................. PLYWOOD, VENEERED PANELS, SIM
LAMINATD WOOD, NES, AT LEAST
ONE OUTER PLY OF NONCONIFEROUS
WOOD OF THE SPECIES SPECIFIED
IN THIS SUBHEADING.
441234................................. PLYWOOD CONSISTING SOLELY OF
SHEETS OF WOOD, EACH PLY NOT
GT 6MM THICKNESS AT LEAST ONE
OUTER PLY OF NONCONIF WOOD NOT
SPECIFIED UNDER 4412.33, NES.
441239................................. PLYWOOD CONSISTING SOLELY OF
SHEETS OF WOOD (EXC BAMBOO),
EACH PLY NOT EXCEEDING 6 MM IN
THICKNESS, CONIFEROUS WD,
NESOI.
441241................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, NESOI.
441242................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, NESOI.
441249................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, NESOI.
441251................................. BLOCKBOARD, LAMINBOARD AND
BATTENBOARD, OTHER THAN OF
BAMBOO.
441252................................. BLOCKBOARD, LAMINBOARD AND
BATTENBOARD, OTHER THAN OF
BAMBOO.
441259................................. BLOCKBOARD, LAMINBOARD AND
BATTENBOARD, OTHER THAN OF
BAMBOO.
441291................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, NESOI,
CONTAINING AT LEAST ONE LAYER
OF PARTICLE BOARD.
441292................................. VENEERED PANELS AND SIMILAR
LAMINATED WOOD, PLYWOOD NESOI,
ALL WITH AT LEAST ONE PLY OF
TROPICAL WOOD, N.E.S.O.I.
441299................................. PLYWOOD, VENEERED PANELS AND
SIMILAR LAMINATED WOOD, NESOI.
441600................................. CASKS, BARRELS, VATS, TUBS AND
OTHER COOPERS' PRODUCTS AND
PARTS THEREOF, OF WOOD,
INCLUDING STAVES.
441830................................. PARQUET PANELS, OF WOOD.
441840................................. FORMWORK (SHUTTERING) FOR
CONCRETE CONSTRUCTIONAL WORK,
OF WOOD.
441879................................. ASSEMBLED FLOORING PANELS, OF
WOOD, NESOI.
450310................................. CORKS AND STOPPERS OF NATURAL
CORK.
450390................................. ARTICLES OF NATURAL CORK,
NESOI.
450410................................. BLOCKS, PLATES, SHEETS AND
STRIP, TILES OF ANY SHAPE,
SOLID CYLINDERS, INCLUDING
DISKS, OF AGGLOMERATED CORK.
450490................................. AGGLOMERATED CORK (WITH OR
WITHOUT BINDING SUBSTANCES)
AND ARTICLES OF AGGLOMERATED
CORK, NESOI.
470100................................. MECHANICAL WOODPULP.
470311................................. CHEMICAL WOODPULP, SODA OR
SULFATE, OTHER THAN DISSOLVING
GRADE, UNBLEACHED, CONIFEROUS.
470319................................. CHEMICAL WOODPULP, SODA OR
SULFATE, OTHER THAN DISSOLVING
GRADE, UNBLEACHED,
NONCONIFEROUS.
470321................................. CHEMICAL WOODPULP, SODA OR
SULFATE, OTHER THAN DISSOLVING
GRADES, SEMIBLEACHED OR
BLEACHED, CONIFEROUS.
470329................................. CHEMICAL WOODPULP, SODA OR
SULFATE, OTHER THAN DISSOLVING
GRADES, SEMIBLEACHED OR
BLEACHED, NONCONIFEROUS.
470411................................. CHEMICAL WOODPULP, SULFITE,
OTHER THAN DISSOLVING GRADE,
UNBLEACHED, CONIFEROUS.
470419................................. CHEMICAL WOODPULP, SULFITE,
OTHER THAN DISSOLVING GRADES,
UNBLEACHED, NONCONIFEROUS.
470421................................. CHEMICAL WOODPULP, SULFITE,
OTHER THAN DISSOLVING GRADES,
SEMIBLEACHED OR BLEACHED,
CONFIEROUS.
470429................................. CHEMICAL WOODPULP, SULFITE,
OTHER THAN DISSOLVING GRADES,
SEMIBLEACHED OR BLEACHED,
NONCONIFEROUS.
470500................................. WOOD PULP OBTAINED BY A
COMBINATION OF MECHANICAL AND
CHEMICAL PULPING PROCESSES.
470610................................. COTTON LINTERS PULP.
470620................................. PULPS OF FIBERS DERIVED FROM
RECOVERED (WASTE AND SCRAP)
PAPER OR PAPERBOARD.
470630................................. PULPS OF FIBERS DERIVED OF
OTHER FIBROUS CELLULOSIC
MATERIAL, OTHER, OF BAMBOO.
470691................................. MECHANICAL PULPS OF FIBROUS
CELLULOSIC MATERIAL (OTHER
THAN WOOD), NESOI.
470692................................. CHEMICAL PULPS OF FIBROUS
CELLULOSIC MATERIAL (OTHER
THAN WOOD), NESOI.
[[Page 43]]
470693................................. PULPS OF FIBROUS CELLULOSIC
MATERIAL OBTAINED BY A
COMBINATION OF MECHANICAL AND
CHEMICAL PROCESSES, NESOI.
470710................................. WASTE AND SCRAP OF UNBLEACHED
KRAFT PAPER OR PAPERBOARD OR
OF CORRUGATED PAPER OR
PAPERBOARD.
470720................................. RECOVERED (WASTE AND SCRAP)
PAPER OR PAPERBOARD, MADE
MAINLY OF BLEACHED CHEMICAL
PULP, NOT COLORED IN THE MASS.
470730................................. RECOVERED (WASTE AND SCRAP)
PAPER OR PAPERBOARD, MADE
MAINLY OF MECHANICAL PULP (FOR
EXAMPLE, NEWSPAPERS, JOURNALS
AND SIMILAR PRINTED MATTER.
470790................................. WASTE AND SCRAP OF PAPER OR
PAPERBOARD, NESOI, INCLUDING
UNSORTED WASTE AND SCRAP.
480220................................. PAPER AND PAPERBOARD USED AS A
BASE FOR PHOTO-SENSITIVE, HEAT-
SENSITIVE OR ELECTRO-SENSITIVE
PAPER OR PAPERBOARD, UNCOATED,
IN ROLLS OR SHEETS.
480240................................. WALLPAPER BASE (HANGING PAPER),
UNCOATED, IN ROLLS OR SHEETS.
480258................................. PAPER AND PAPERBOARD, NESOI,
NOT OVER 10% (WT.) OF FIBERS
(IF ANY) OBTAINED BY
MECHANICAL PROCESS, WEIGHING
OVER 150 G/M2, UNCOATED, ROLLS
OR SHEETS.
480261................................. PAPER & PAPERBOARD, UNCOATED,
OVER 10% BY WEIGHT MECHANICAL
FIBERS, IN ROLLS.
480411................................. KRAFTLINER, UNCOATED,
UNBLEACHED, IN ROLLS OR
SHEETS.
480419................................. KRAFTLINER, UNCOATED, BLEACHED,
IN ROLLS OR SHEETS.
480421................................. SACK KRAFT PAPER, UNCOATED,
UNBLEACHED, IN ROLLS OR
SHEETS.
480429................................. SACK KRAFT PAPER, UNCOATED,
BLEACHED, IN ROLLS OR SHEETS.
480431................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING NOT OVER 150 G/
M2, UNCOATED, UNBLEACHED, IN
ROLLS OR SHEETS.
480439................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING NOT OVER 150 G/
M2, UNCOATED, BLEACHED, IN
ROLLS OR SHEETS.
480441................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING OVER 150 G/M2
BUT LESS THAN 225 G/M2,
UNCOATED, UNBLEACHED, IN ROLLS
OR SHEETS.
480442................................. KRAFT PAPER AND PAPERBOARD,
NESOI, OVER 150 G/M2 BUT UNDER
225 G/M2, UNCOATED, BLEACHED,
OVER 95% (WT.) WOOD FIBERS BY
CHEMICAL PROCESS, IN ROLLS
ETC.
480449................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING OVER 150 G/M2
BUT UNDER 225 G/M2, UNCOATED,
BLEACHED NESOI, IN ROLLS OR
SHEETS.
480451................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING 225 G/M2 OR
OVER, UNCOATED, UNBLEACHED, IN
ROLLS OR SHEETS.
480452................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING 225 G/M2 OR
OVER, UNCOATED, BLEACHED, OVER
95% (WT.) WOOD FIBERS BY
CHEMICAL PROCESS, IN ROLLS OR
SHEETS.
480459................................. KRAFT PAPER AND PAPERBOARD,
NESOI, WEIGHING 225 G/M2 OR
OVER, UNCOATED, BLEACHED
NESOI, IN ROLLS OR SHEETS.
480511................................. SEMICHEMICAL FLUTING PAPER
(CORRUGATING MEDIUM),
UNCOATED, IN ROLLS OR SHEETS.
480512................................. STRAW FLUTING PAPER, UNCOATED,
IN ROLLS/SHEETS, NOT FURTHER
WORKED/PROCESSED THAN AS
SPECIFIED IN NOTE 3 TO CHAPTER
48.
480519................................. FLUTING PAPER, UNCOATED, IN
ROLLS/SHEETS, NOT FUTHER
WORKED OR PROCESSED THAT AS
SPECIFIED IN NOTE 3 TO CHAPTER
48, NESOI.
480524................................. TESTLINER (RECUCLED LINER
BOARD),UNCOATED, IN ROLLS/
SHEETS, NOT FURTHER WORKED
THAN AS SPECIFIED IN NOTE 3 TO
CHAPTER 48, WEIGHTING 150 G/M2
OR LESS.
480525................................. TESTLINER (RECYCLED LINER
BOARD, UNCOATED, IN ROLLS/
SHEETS, NOT FUTHER WORKED THAN
AS SPECIFIED IN NOTE 3 TO
CHAPTER 48, WEIGHING MORE THAN
150 G/M2.
480530................................. SULFITE WRAPPING PAPER,
UNCOATED, IN ROLLS OR SHEETS.
480540................................. FILTER PAPER AND PAPERBOARD,
UNCOATED, IN ROLLS OR SHEETS.
480550................................. FELT PAPER AND PAPERBOARD,
UNCOATED, IN ROLLS OR SHEETS.
[[Page 44]]
480591................................. PAPER & PAPERBOARD, UNCOATED,
WEIGHING 150 G/M2 OR LESS, IN
ROLLS OR SHEETS, NESOI.
480592................................. PAPER & PAPERBOARD, UNCOATED,
IN ROLLS/SHEETS, WEIGHTING
MORE THAN 150 BUT LESS THAN
225 G/M2, NESOI.
480593................................. PAPER & PAPERBOARD, UNCOATED,
IN ROLLS/SHEETS, WEIGHING 225
G/M2 OR MORE, NESOI.
480610................................. VEGETABLE PARCHMENT PAPER, IN
ROLLS OR SHEETS.
480620................................. GREASEPROOF PAPERS (AS
MANUFACTURED), IN ROLLS OR
SHEETS.
480630................................. TRACING PAPERS, IN ROLLS OR
SHEETS.
480640................................. GLASSINE AND OTHER GLAZED
TRANSPARENT OR TRANSLUCENT
PAPERS, IN ROLLS OR SHEETS.
480700................................. COMPOSITE PAPER & PAPERBOARD
(MADE BY STICKING FLAT LAYERS
OF PAPER/PBRD TOGETHER W/AN
ADHESIVE), NOT SURFACE-COATED
OR IMPREGNATED, IN ROLLS/
SHEETS.
480810................................. CORRUGATED PAPER AND
PAPERBOARD, WHETHER OR NOT
PERFORATED, NESOI, IN ROLLS OR
SHEETS.
480840................................. KRAFT PAPER IN ROLLS OR SHEETS,
CREPED OR CRINKLED, WHETHER OR
NOT EMBOSSED OR PERFORATED,
NESOI.
480890................................. PAPER AND PAPERBOARD, NESOI,
CREPED, CRINKLED, EMBOSSED OR
PERFORATED, IN ROLLS OR
SHEETS.
480920................................. SELF-COPY PAPER, IN ROLLS OVER
36 CM WIDE OR RECTANGULAR
SHEETS WITH AT LEAST ONE SIDE
OVER 36 CM IN UNFOLDED STATE.
480990................................. COPYING OR TRANSFER PAPERS,
COATED OR IMPREGNATED,
INCLUDING FOR DUPLICATOR
STENCILS OR OFFSET PLATES, IN
ROLLS OR RECTANGULAR SHEETS
OVER 36CM WIDE.
481013................................. PAPER & PAPERBOARD,FOR WRITING/
PRINTING/GRAPHIC PURPOSE, CLAY
COATED, NOT OVER 10% MECH
FIBERS,IN ROLLS.
481014................................. PAPER & PAPERBOARD,FOR WRITING/
PRINTING/GRAPHIC PURPOSE,CLAY
COATED, IN SHEETS 1 SIDE NOT
EXCEEDING 435 MM OTHER <297MM,
UNFOLDED.
481019................................. PAPER & PAPERBOARD, FOR WRITING/
PRINTING/GRAPHIC PURPOSE, CLAY
COATED, NOT OVER 10% MECH
FIBERS, NESOI.
481022................................. PAPER, LIGHT-WEIGHT COATED,
USED FOR WRITING, PRINTING OR
OTHER GRAPHIC PURPOSES, OVER
10% (WT.) MECHANICAL FIBERS,
IN ROLLS OR SHEETS.
481029................................. PAPER AND PAPERBOARD FOR
WRITING, PRINTING OR OTHER
GRAPHIC PURPOSES, OVER 10%
(WT.) MECHANICAL FIBERS, CLAY
COATED NESOI, IN ROLLS OR
SHEETS.
481031................................. KRAFT PAPER AND PAPERBOARD (NOT
FOR WRITING, ETC.), OVER 95%
WOOD FIBER BY CHEMICAL
PROCESS, NOT OVER 150 G/M2,
CLAY COATED, BLEACHED, IN
ROLLS ETC.
481032................................. KRAFT PAPER AND PAPERBOARD (NOT
FOR WRITING, ETC.), OVER 95%
WOOD FIBER BY CHEMICAL
PROCESS, OVER 150 G/M2, CLAY
COATED, BLEACHED, IN ROLLS OR
SHEETS.
481039................................. KRAFT PAPER AND PAPERBOARD (NOT
FOR WRITING, PRINTING OR OTHER
GRAPHIC PURPOSES), CLAY
COATED, UNBLEACHED, IN ROLLS
OR SHEETS.
481092................................. PAPER AND PAPERBOARD (OTHER
THAN KRAFT OR GRAPHIC), MULTI-
PLY, CLAY COATED, IN ROLLS OR
SHEETS.
481099................................. PAPER AND PAPERBOARD (OTHER
THAN KRAFT OR GRAPHIC), NESOI,
CLAY COATED, IN ROLLS OR
SHEETS.
481110................................. PAPER AND PAPERBOARD COATED OR
IMPREGNATED WITH TAR, BITUMEN
OR ASPHALT, NESOI, IN ROLLS OR
SHEETS.
481151................................. PAPER & PAPERBOARD, COATED,
IMPREGNATED OR COVERED WITH
PLASTICS (EXCLUDING
ADHESIVES), BLEACHED, WEIGHING
MORE THAN 150 G/M2.
481159................................. PAPER & PAPERBOARD, COATED
IMPREGNATED OR COVERED WITH
PLASTICS .(EXCLUDING
ADHESIVES), NESOI
481160................................. PAPER & PAPERBOARD, COATED,
IMPREGNATED OR COVERED WITH
WAX, PARAFIN, STEAIN, OIL, OR
GLYCEROL.
481190................................. PAPER, PAPERBOARD, CELLULOSE
WADDING AND WEBS OF CELLULOSE
FIBERS, COATED, IMPREGNATED,
ETC. NESOI, IN ROLLS OR
SHEETS.
[[Page 45]]
481490................................. WALLPAPER AND SIMILAR
WALLCOVERING, NESOI; WINDOW
TRANSPARENCIES OF PAPER.
481920................................. FOLDING CARTONS, BOXES AND
CASES, OF NON-CORRUGATED PAPER
OR PAPERBOARD USED IN OFFICES,
SHOPS, OR THE LIKE.
482210................................. BOBBINS, SPOOLS, COPS AND
SIMILAR SUPPORTS OF PAPER
PULP, PAPER OR PAPERBOARD OF A
KIND USED FOR WINDING TEXTILE
YARN.
482290................................. BOBBINS, SPOOLS, COPS AND
SIMILAR SUPPORTS OF PAPER
PULP, PAPER OR PAPERBOARD,
NESOI.
482320................................. FILTER PAPER AND PAPERBOARD,
CUT TO SIZE OR SHAPE.
482340................................. ROLLS, SHEETS AND DIALS,
PRINTED FOR SELF-RECORDING
APPARATUS, CUT TO SIZE OR
SHAPE, OF PAPER OR PAPERBOARD.
482361................................. TRAYS, DISHES, PLATES, CUPS AND
THE LIKE OF PAPER OR
PAPERBOARD, OF BAMBOO.
482369................................. TRAYS, DISHES, PLATES, CUPS AND
THE LIKE, OF PAPER OR
PAPERBOARD, NES.
482370................................. MOLDED OR PRESSED ARTICLES OF
PAPER PULP.
482390................................. ARTICLES OF PAPER PULP, PAPER,
PAPERBOARD, CELLULOSE WADDING
OR WEBS OF CELLULOSE FIBERS,
NESOI.
490600................................. PLANS AND DRAWINGS FOR
ARCHITECTURAL, ENGINEERING,
INDUSTRIAL, COMMERCIAL,
TOPOGRAPHICAL OR SIMILAR
PURPOSES, ORIGINALS AND
SPECIFIC REPRODUCTIONS.
510510................................. WOOL, CARDED.
510521................................. WOOL, COMBED, IN FRAGMENTS.
510529................................. WOOL TOPS AND OTHER COMBED
WOOL, NESOI.
510531................................. WOOL AND FINE ANIMAL HAIR, OF
KASHMIR (CASHMERE) GOATS,
CARDED OR COMBED (INCLUDING
COMBED WOOL IN FRAGMENTS).
510539................................. FINE ANIMAL HAIR, CARDED OR
COMBED, NESOI.
510540................................. COARSE ANIMAL HAIR, CARDED OR
COMBED.
510610................................. YARN OF CARDED WOOL, NOT PUT UP
FOR RETAIL SALE, CONTAINING
85% OR MORE BY WEIGHT OF WOOL.
510620................................. YARN OF CARDED WOOL, NOT PUT UP
FOR RETAIL SALE, CONTAINING
LESS THAN 85% BY WEIGHT OF
WOOL.
510710................................. YARN OF COMBED WOOL, NOT PUT UP
FOR RETAIL SALE, CONTAINING
85% OR MORE BY WEIGHT OF WOOL.
510720................................. YARN OF COMBED WOOL, NOT PUT UP
FOR RETAIL SALE, CONTAINING
LESS THAN 85% BY WEIGHT OF
WOOL.
511211................................. WOVEN FABRICS CONTAINING 85% OR
MORE BY WEIGHT OF COMBED WOOL
OR FINE ANIMAL HAIR, NOT OVER
200 G/M2.
511219................................. WOVEN FABRICS CONTAINING 85% OR
MORE BY WEIGHT OF COMBED WOOL
OR FINE ANIMAL HAIR, NESOI.
511220................................. WOVEN FABRICS OF COMBED WOOL OR
OF FINE ANIMAL HAIR, NESOI,
MIXED MAINLY OR SOLELY WITH
MANMADE FILAMENTS.
511230................................. WOVEN FABRICS OF COMBED WOOL OR
OF FINE ANIMAL HAIR, NESOI,
MIXED MAINLY OR SOLELY WITH
MANMADE STAPLE FIBERS.
511290................................. WOVEN FABRICS OF COMBED WOOL OR
FINE ANIMAL HAIR, NESOI.
520511................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
UNCOMBED YARN, NOT OVER 14 NM.
520512................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
UNCOMBED YARN, OVER 14 NM BUT
NOT OVER 43 NM.
520513................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
UNCOMBED YARN, OVER 43 NM BUT
NOT OVER 52 NM.
520514................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
UNCOMBED YARN, OVER 52 NM BUT
NOT OVER 80 NM.
520515................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
UNCOMBED YARN, OVER 80 NM.
520521................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
COMBED YARN, NOT OVER 14 NM.
520522................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
COMBED YARN, OVER 14 NM BUT
NOT OVER 43 NM.
520523................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
COMBED YARN, OVER 43 NM BUT
NOT OVER 52 NM.
[[Page 46]]
520524................................. COTTON YARN NESOI, 85% OR MORE
BY WEIGHT OF COTTON, NOT PUT
UP FOR RETAIL SALE, SINGLE
COMBED YARN, OVER 52 NM BUT
NOT OVER 80 NM.
520526................................. COTTON YARN (OTH THAN SEWING
THREAD) 85% OR MORE BY WGT
COTTON, NT FOR RETAIL SALE:
SINGLE YARN OF COMBED FIBER
80NM AND LESS THAN
94NM.
520527................................. COTTON YARN (OTH THAN SEWING
THREAD) 85% OR MORE BY WGT
COTTON, NT FOR RETAIL SALE:
SINGLE YARN OF COMBED FIBER
94NM BUT LESS THAN
120NM.
520528................................. COTTON YARN (OTH THAN SEWING
THREAD) 85% OR MORE BY WGT
COTTON, NT FOR RETAIL SALE:
SINGLE YARN OF COMBED FIBER
GREATER THAN 120NM.
520531................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
UNCOMBED YARN, NOT OVER 14 NM
PER SINGLE YARN.
520532................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
UNCOMBED YARN, OVER 14 NM BUT
NOT OVER 43 NM PER SINGLE
YARN.
520533................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
UNCOMBED YARN, OVER 43 NM BUT
NOT OVER 52 NM PER SINGLE
YARN.
520534................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
UNCOMBED YARN, OVER 52 NM BUT
NOT OVER 80 NM PER SINGLE
YARN.
520535................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
UNCOMBED YARN, OVER 80 NM PER
SINGLE YARN.
520541................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
COMBED YARN, NOT OVER 14 NM
PER SINGLE YARN.
520542................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
COMBED YARN, OVER 14 NM BUT
NOT OVER 43 NM PER SINGLE
YARN.
520543................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
COMBED YARN, OVER 43 NM BUT
NOT OVER 52 NM PER SINGLE
YARN.
520544................................. COTTON YARN NESOI, 85% OR MORE
(WT.) COTTON, NOT FOR RETAIL
SALE, MULTIPLE OR CABLED
COMBED YARN, OVER 52 NM BUT
NOT OVER 80 NM PER SINGLE
YARN.
520546................................. COTTON YARN (NOT SEWING THREAD)
85% OR BY WGT OF
COTTON NT FOR RET AIL SALE:
MULTI OR CBLD YRN OF COMBED
FIBERS 80NM BUT <
94NM.
520547................................. COTTON YARN (NOT SEWING THREAD)
85% OR BY WGT OF
COTTON NT FOR RET AIL SALE:
MULTI OR CBLD YRN OF COMBED
FIBERS 94NM BUT <
120NM.
520548................................. COTTON YARN (NOT SEWING THREAD)
85% OR BY WGT OF
COTTON NT FOR RET AIL SALE:
MULTI OR CBLD YRN OF COMBED
FIBERS 120NM.
520642................................. COTTON YARN NESOI, LESS THAN
85% (WT.) COTTON, NOT FOR
RETAIL SALE, MULTIPLE OR
CABLED COMBED YARN, OVER 14 NM
BUT NOT OVER 43 NM PER SINGLE
YARN.
520911................................. WOVEN FABRICS OF COTTON, 85% OR
MORE COTTON BY WEIGHT,
UNBLEACHED, PLAIN WEAVE,
WEIGHING OVER 200 G/M2.
521111................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, UNBLEACHED, PLAIN
WEAVE, WEIGHING OVER 200 G/M2.
521112................................. WOVEN FABRICS OF COTTON, UNDER
85% COTTON (WT.) MIXED MAINLY
WITH MANMADE FIBERS,
UNBLEACHED, 3-THREAD, 4-THREAD
OR CROSS TWILL, OVER 200 G/M2.
521119................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, UNBLEACHED, EXCEPT
PLAIN WEAVE, NESOI, OVER 200 G/
M2.
521120................................. WOVEN FABRICS OF COTTON,
CONTAINING LESS THAN 85% WT
COTTON, MIXED W/MANMADE
FIBERS, WEIGHING MORE THAN 200
G/M2, BLEACHED, PLAIN WEAVE.
[[Page 47]]
521131................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, DYED, PLAIN WEAVE,
WEIGHING OVER 200 G/M2.
521132................................. WOVEN FABRICS OF COTTON, UNDER
85% COTTON (WT.) MIXED MAINLY
WITH MANMADE FIBERS, DYED, 3-
THREAD, 4-THREAD OR CROSS
TWILL, WEIGHING OVER 200 G/M2.
521139................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, DYED, EXCEPT PLAIN
WEAVE, NESOI, WEIGHING OVER
200 G/M2.
521141................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, DIFFERENT COLORED
YARNS, PLAIN WEAVE, OVER 200 G/
M2.
521142................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, DENIM, WEIGHING OVER
200 G/M2.
521143................................. WOVEN FABRICS OF COTTON, UNDER
85% COTTON (WT.) MIXED MAINLY
WITH MANMADE FIBERS, DIFFERENT
COLORED YARNS, 3-, 4-THREAD OR
CROSS TWILL, OVER 200 G/M2.
521149................................. WOVEN FABRICS OF COTTON, UNDER
85% COTTON (WT.) MIXED MAINLY
WITH MANMADE FIBERS, DIFFERENT
COLORED YARNS, EXCEPT PLAIN
WEAVE, NESOI, OVER 200 G/M2.
521151................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, PRINTED, PLAIN WEAVE,
WEIGHING OVER 200 G/M2.
521152................................. WOVEN FABRICS OF COTTON, UNDER
85% COTTON (WT.) MIXED MAINLY
WITH MANMADE FIBERS, PRINTED,
3-THREAD, 4-THREAD OR CROSS
TWILL, WEIGHING OVER 200 G/M2.
521159................................. WOVEN FABRICS OF COTTON, LESS
THAN 85% COTTON BY WEIGHT,
MIXED MAINLY WITH MANMADE
FIBERS, PRINTED, EXCEPT PLAIN
WEAVE, NESOI, WEIGHING OVER
200 G/M2.
530810................................. YARN OF COCONUT TEXTILE FIBERS
(COIR YARN).
530820................................. YARN OF TRUE HEMP TEXTILE
FIBERS.
530890................................. YARN OF VEGETABLE TEXTILE
FIBERS, NESOI.
540249................................. SYNTHETIC FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, SINGLE YARN NESOI, NOT
OVER 50 TURNS PER METER IF
TWISTED, OF YARNS NESOI.
540263................................. POLYPROPYLENE YARN, MUTIPLE
(FOLEDED) OR CABLES, NOT FOR
RETAIL SALE,NESOI.
540310................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, HIGH TENACITY YARN OF
VISCOSE RAYON.
540331................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, SINGLE YARN NESOI, NOT
OVER 120 TURNS PER METER IF
TWISTED, OF VISCOSE RAYON.
540332................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, SINGLE YARN NESOI,
TWISTED WITH OVER 120 TURNS
PER METER, OF VISCOSE RAYON.
540333................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, SINGLE YARN NESOI, OF
CELLULOSE ACETATE.
540339................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, SINGLE YARN NESOI, OF
YARNS NESOI.
540341................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, YARN NESOI, MULTIPLE OR
CABLED, OF VISCOSE RAYON.
540342................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, YARN NESOI, MULTIPLE OR
CABLED, OF CELLULOSE ACETATE.
540349................................. ARTIFICIAL FILAMENT YARN EXCEPT
SEWING THREAD, NOT FOR RETAIL
SALE, YARN NESOI, MULTIPLE OF
CABLED, OF YARNS NESOI.
540411................................. SYNTHETIC ELASTOMERIC
MONOFILAMENT OF 67 DECITEX OR
MORE AND OF WHICH NO CROSS-
SECTIONAL DIMENSION EXCEEDS 1
MM, NESOI.
540412................................. POLYPROPYLENE MONOFILAMENT OF
67 DECITEX OR MORE AND OF
WHICH NO CROSS-SECTIONAL
DIMENSION EXCEEDS 1 MM, NESOI.
540419................................. SYNTHETIC MONOFILAMENT OF 67
DECITEX AND OF WHICH NO CROSS-
SECTIONAL DIMENSION EXCEEDS 1
MM, NESOI.
[[Page 48]]
540490................................. SYNTHETIC STRIP AND THE LIKE
(FOR EXAMPLE, ARTIFICIAL
STRAW) OF SYNTHETIC TEXTILE
MATERIALS OF AN APPARENT WIDTH
NOT OVER 5 MM.
540730................................. WOVEN FABRICS OF SYNTHETIC
FILAMENT YARN SPECIFICALLY
BONDED IN LAYERS.
550111................................. SYNTHETIC FILAMENT TOW OF NYLON
OR OTHER POLYAMIDES.
550119................................. SYNTHETIC FILAMENT TOW OF NYLON
OR OTHER POLYAMIDES.
550120................................. SYNTHETIC FILAMENT TOW OF
POLYESTERS.
550130................................. SYNTHETIC FILAMENT TOW, ACRYLIC
OR MODACRYLIC.
550140................................. SYNTHETIC FILAMENT TOW, OF
POLYPROPYLENE.
550190................................. SYNTHETIC FILAMENT TOW, NESOI.
550210................................. ARTIFICIAL FILAMENT TOW OF
CELLULOSE ACETATE.
550290................................. ARTIFICIAL FILAMENT TOW OTHER
THEN OF CELLULOSE ACETATE.
550311................................. STAPLE FIBERS, OF ARAMIDS, NOT
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING.
550319................................. STAPLE FIBERS, OF NYLONS OR
OTHER POLYAMIDES, EXCLUDING
ARAMIDS, NOT CARDED, COMBED OR
OTHERWISE PROCESSED FOR
SPINNING.
550320................................. SYNTHETIC STAPLE FIBERS, NOT
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING, OF
POLYESTERS.
550330................................. SYNTHETIC STAPLE FIBERS, NOT
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING,
ACRYLIC OR MODACRYLIC.
550340................................. SYNTHETIC STAPLE FIBERS, NOT
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING,
POLYPROPYLENE.
550390................................. SYNTHETIC STAPLE FIBERS, NOT
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING, NESOI.
550490................................. ARTIFICIAL STAPLE FIBERS, NOT
CARDED, COMBED OR OTHERWISED
PROCESSED FOR SPINNING, OTHER
THAN VISCOSE RAYON.
550610................................. SYNTHETIC STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING, OF
NYLON OR OTHER POLYAMIDES.
550620................................. SYNTHETIC STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING, OF
POLYESTERS.
550630................................. SYNTHETIC STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING,
ACRYLIC OR MODACRYLIC.
550640................................. SYNTHETIC STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING OF
POLYPROPYLENE.
550690................................. SYNTHETIC STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING, NESOI.
550700................................. ARTIFICAL STAPLE FIBERS,
CARDED, COMBED OR OTHERWISE
PROCESSED FOR SPINNING.
551221................................. WOVEN FABRICS OF SYNTHETIC
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF ACRYLIC
OR MODACRYLIC STAPLE FIBERS,
UNBLEACHED OR BLEACHED.
551299................................. WOVEN FABRICS OF SYNTHETIC
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF SYNTHETIC
STAPLE FIBERS NESOI, PRINTED,
DYED OR COLORED.
551611................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF SUCH
FIBERS, UNBLEACHED OR
BLEACHED.
551612................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF SUCH
FIBERS, DYED.
551613................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF SUCH
FIBERS, OF DIFFERENT COLORED
YARNS.
551614................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING 85%
OR MORE BY WEIGHT OF SUCH
FIBERS, PRINTED.
551621................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH MANMADE
FILAMENTS, UNBLEACHED OR
BLEACHED.
551622................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH MANMADE
FILAMENTS, DYED.
551623................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH MANMADE
FILAMENTS, OF DIFFERENT
COLORED YARNS.
[[Page 49]]
551624................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH MANMADE
FILAMENTS, PRINTED.
551631................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH WOOL OR
FINE ANIMAL HAIR, UNBLEACHED
OR BLEACHED.
551632................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH WOOL OR
FINE ANIMAL HAIR, DYED.
551633................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH WOOL OR
FINE ANIMAL HAIR, OF DIFFERENT
COLORED YARNS.
551634................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH WOOL OR
FINE ANIMAL HAIR, PRINTED.
551641................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH COTTON,
UNBLEACHED OR BLEACHED.
551642................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH COTTON,
DYED.
551643................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH COTTON, OF
DIFFERENT COLORED YARNS.
551644................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH COTTON,
PRINTED.
551691................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH OTHER
FIBERS NESOI, UNBLEACHED OR
BLEACHED.
551692................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH OTHER
FIBERS NESOI, DYED.
551693................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH OTHER
FIBERS NESOI, OF DIFFERENT
COLORED YARNS.
551694................................. WOVEN FABRICS OF ARTIFICIAL
STAPLE FIBERS, CONTAINING
UNDER 85% (WT.) OF SUCH
FIBERS, MIXED WITH OTHER
FIBERS NESOI, PRINTED.
560129................................. WADDING AND ARTICLES OF WADDING
NESOI, OF TEXTILE MATERIALS
OTHER THAN COTTON OR MANMADE
FIBERS.
560130................................. TEXTILE FLOCK (TEXTILE FIBERS
NOT EXCEEDING 5 MM IN LENGTH)
AND DUST AND MILL NEPS.
560410................................. RUBBER THREAD AND CORD, TEXTILE
COVERED.
560490................................. MANMADE TEXTILE YARN OF 67
DECITEX OR MORE, NO CROSS-
SECTIONAL DIMENSION OVER 1 MM
AND STRIP NOT OVER 5 MM WIDE,
RUBBER OR PLASTICS COATED
ETC., NESOI.
560500................................. METALLIZED MANMADE TEXTILE YARN
OF 67 DECITEX OR MORE, NO
CROSS-SECTION OVER 1 MM,
GIMPED OR NOT, AND STRIP NOT
OVER 5 MM WIDE COMBINED WITH
METAL.
560741................................. BINDER OR BALER TWINE, WHETHER
OR NOT PLAITED OR BRAIDED OR
COATED ETC. WITH RUBBER OR
PLASTICS, OF POLYETHYLENE OR
POLYPROPYLENE.
580127................................. WARP PILE FABRICS OF COTTON.
580300................................. GAUZE, OTHER THAN NARROW
FABRICS OF HEADING 5806.
580640................................. NARROW FABRICS CONSISTING OF
WARP WITHOUT WEFT ASSEMBLED BY
MEANS OF AN ADHESIVE
(BOLDUCS).
590110................................. TEXTILE FABRICS COATED WITH GUM
OR AMYLACEOUS SUBSTANCES, OF A
KIND USED FOR THE OUTER COVERS
OF BOOKS OR THE LIKE.
590190................................. TRACING CLOTH; PREPARED
PAINTING CANVAS; BUCKRAM AND
SIMILAR STIFFENED TEXTILE
FABRICS OF A KIND USED FOR HAT
FOUNDATIONS.
590500................................. TEXTILE WALL COVERINGS.
590800................................. TEXTILE WICKS FOR LAMPS,
STOVES, LIGHTERS, CANDLES ETC;
GAS MANTLES AND TUBULAR
KNITTED GAS MANTLE FABRIC,
WHETHER OR NOT IMPREGNATED.
[[Page 50]]
591000................................. TRANSMISSION OR CONVEYOR BELTS
OR BELTING, OF TEXTILE
MATERIAL, WHETHER OR NOT
REINFORCED WITH METAL OR OTHER
MATERIAL OR COATED IMPREG WITH
PLASTICS.
591110................................. TEXTILE FABRICS, FELT AND FELT-
LINED WOVEN WITH LAYERS OF
RUBBER, LEATHER, ETC. FOR CARD
CLOTHING, AND SIMILAR FABRIC
FOR OTHER TECHNICAL USES.
591131................................. TEXTILE FABRICS AND FELTS,
ENDLESS OR FITTED WITH LINKING
DEVICES, OF A KIND USED IN
PAPERMAKING OR SIMILAR
MACHINES, WEIGHING LESS THAN
650 G/M2.
591132................................. TEXTILE FABRICS AND FELTS,
ENDLESS OR FITTED WITH LINKING
DEVICES, OF A KIND USED IN
PAPERMAKING OR SIMILAR
MACHINES, WEIGHING 650 G/M2 OR
MORE.
591140................................. TEXTILE STRAINING CLOTH OF A
KIND USED IN OIL PRESSES OR
THE LIKE, INCLUDING HUMAN
HAIR.
591190................................. TEXTILE PRODUCTS AND ARTICLES
FOR TECHNICAL USES NESOI.
600199................................. PILE FABRICS NESOI, KNITTED OR
CROCHETED, OF TEXTILE
MATERIALS NESOI.
600310................................. KNIT/CROCHETED FABRICS OF A
WIDTH NOT EXCEEDING 30 CM,
OTHER THAN OF HEADINGS 6001 OR
6002, OF WOOL OR FINE ANIMAL
HAIR.
600320................................. KNIT/CROCHETED FABRICS OF A
WIDTH NOT EXCEEDING 30 CM,
OTHER THAN OF HEADINGS 6001 OR
6002, OF COTTON.
600330................................. KNIT OR CROCHETED FABRICS OF A
WIDTH NOT EXCEEDING 30CM, OF
SYNTHETIC FIBERS, OTHER THAN
THOSE OF HEADING 6001 OR 6002.
600340................................. KNIT OR CROCHETED FABRICS OF A
WIDTH NOT EXCEEDING 30CM, OF
ARTIFICIAL FIBERS, OTHER THAN
THOSE OF HEADING 6001 OR 6002.
600390................................. KNIT/CROCHETED FABRICS OF A
WIDTH NOT EXCEEDING 30CM,
OTHER THAN THOSE OF HEADING
6001 OR 6002, NESOI.
600536................................. WARP KNIT FABRICS, OF SYNTHETIC
FIBERS, OTHER, UNBLEACHED OR
BLEACHED.
600544................................. WARP KNIT FABRICS (INCLUDING
THOSE MADE ON GALLOON KNITTING
MACHINES) OF PRINTED
ARTIFICIAL FIBERS.
600610................................. KNITTED OR CROCHETED FABRICS
NESOI, OF WOOL OR FINE ANIMAL
HAIR.
630900................................. WORN CLOTHING AND OTHER WORN
TEXTILE ARTICLES.
680292................................. WORKED MONUMENTAL OR BUILDING
STONE NESOI, OF CALCAREOUS
STONE NESOI.
680423................................. MILLSTONES, GRINDSTONES,
GRINDING WHEELS AND THE LIKE
NESOI, OF NATURAL STONE.
680520................................. ABRASIVE POWDER OR GRAIN, ON A
BASE OF PAPER OR PAPERBOARD
ONLY.
680610................................. SLAG WOOL, ROCK WOOL AND
SIMILAR MINERAL WOOLS
(INCLUDING INTERMIXTURES
THEREOF), IN BULK, SHEETS OR
ROLLS.
680620................................. EXFOLIATED VERMICULITE,
EXPANDED CLAYS, FOAMED SLAG
AND SIMILAR EXPANDED MINERAL
MATERIALS (INCLUDING
INTERMIXTURES THEREOF).
680690................................. MIXTURES AND ARTICLES OF HEAT-
INSULATING, SOUND-INSULATING
OR SOUND-ABSORBING MINERAL
MATERIALS NESOI.
680710................................. ARTICLES OF ASPHALT OR OF
SIMILAR MATERIAL (PETROLEUM
BITUMEN OR COAL TAR PITCH
ETC.), IN ROLLS.
680790................................. ARTICLES OF ASPHALT OR OF
SIMILAR MATERIAL (PETROLEUM
BITUMEN OR COAL TAR PITCH
ETC.) NESOI.
680919................................. PANELS, SHEETS, TILES AND
SIMILAR ARTICLES, NOT
ORNAMENTED, OF PLASTER OR
COMPOSITIONS BASED ON PLASTER,
NESOI.
681091................................. PREFABRICATED STRUCTURAL
COMPONENTS FOR BUILDING OR
CIVIL ENGINEERING MADE OF
CEMENT, CONCRETE OR ARTIFICIAL
STONE, WHETHER OR NOT
REINFORCED.
681140................................. ARTICLES OF ASBESTOS-CEMENT, OF
CELLULOSE FIBER-CEMENT OR THE
LIKE, CONTAINING ASBESTOS.
681181................................. CORRUGATED SHEETS, OF CELLULOSE
FIBER-CEMENT OR THE LIKE, NOT
CONTAINING ASBESTOS.
681182................................. SHEETS, PANELS, TILES AND
SIMILAR ARTICLES, OF CELLULOSE
FIBER-CEMENT OR THE LIKE, NOT
CONTAINING ASBESTOS, EXCLUDING
CORRUGATED SHEETS.
681189................................. ARTICLES OF CELLULOSE FIBER-
CEMENT OR THE LIKE, NOT
CONTAINING ASBESTOS, NESOI.
[[Page 51]]
681299................................. ARTICLES OF FABRICATED ASBESTOS
FIBERS AND ARTICLES OF
ASBESTOS MIXTURES, NESOI.
681320................................. FRICTION MATERIAL AND ARTICLES
THEREOF, UNMOUNTED, WITH A
BASIS OF ASBESTOS.
681381................................. BRAKE LININGS AND PADS NOT OF
ASBESTOS, OTHER MINERAL
SUBSTANCES OR CELLULOSE.
681389................................. FRICTION MATERIAL AND ARTICLES
THEREOF (EXCEPT BRAKE LININGS
OR PADS), UNMOUNTED, NOT
CONTAINING ASBESTOS, OTHER
MINERALSUBSTANCES OR OF
CELLULOSE,NES.
681490................................. WORKED MICA AND ARTICLES OF
MICA, NESOI.
681511................................. NONELECTRICAL ARTICLES OF
GRAPHITE OR CARBON, NESOI.
690100................................. BRICKS, BLOCKS, TILES AND OTHER
CERAMIC GOODS OF SILICEOUS
FOSSIL MEALS (INCLUDING
KIESELGUHR, TRIPOLITE OR
DIATOMITE) OR SIMILAR
SILICEOUS EARTHS.
690410................................. CERAMIC BUILDING BRICKS.
690510................................. CERAMIC ROOFING TILES.
690590................................. CERAMIC CHIMNEY POTS, COWLS,
CHIMNEY LINERS, ARCHITECTURAL
ORNAMENTS AND OTHER CERAMIC
CONSTRUCTIONAL GOODS NESOI.
690600................................. CERAMIC PIPES, CONDUITS,
GUTTERING AND PIPE FITTINGS.
690722................................. CERAMIC FLAGS AND PAVING,
HEARTH OR WALL TILES, OF A
WATER ABSORPTION COEFFICIENT
BY WEIGHT EXCEEDING 0.5 BUT
NOT EXCEEDING 10%.
690740................................. FINISHING CERAMICS.
690919................................. CERAMIC WARES FOR LABORATORY,
CHEMICAL OR OTHER TECHNICAL
USES, OF OTHER THAN PORCELAIN
OR CHINA, NESOI.
690990................................. CERAMIC TROUGHS, TUBS ETC. USED
IN AGRICULTURE; CERAMIC POTS,
JARS AND SIMILAR ARTICLES FOR
THE CONVEYANCE OR PACKING OF
GOODS.
700210................................. GLASS BALLS (EXCEPT MICROSHERES
NOT OVER 1 MM IN DIAMETER),
UNWORKED.
700220................................. GLASS RODS, UNWORKED.
700231................................. TUBES OF FUSED QUARTZ OR OTHER
FUSED SILICA, UNWORKED.
700232................................. GLASS NESOI, HAVING A LINEAR
COEFFICIENT OF EXPANSION NOT
OVER 5X10-6 PER KELVIN WITHIN
A TEMPERATURE RANGE OF 0 TO
300 DEGREES C, UNWORKED.
700239................................. TUBES OF GLASS NESOI, UNWORKED.
700312................................. CAST AND ROLLED GLASS, NONWIRED
SHEETS, COLORED THROUGHOUT THE
MASS, OPACIFIED, FLASHED, WITH
AN ABSORBENT, REFLECTING OR
NONREFLECTING LAYER.
700319................................. CAST GLASS AND ROLLED GLASS, IN
NONWIRED SHEETS NESOI (NOT
BODY TINTED, OPACIFIED OR
FLASHED AND WITHOUT AN
ABSORBENT OR REFLECTING
LAYER), UNWORKED.
700320................................. CAST GLASS AND ROLLED GLASS, IN
WIRED SHEETS, WHETHER OR NOT
HAVING AN ABSORBENT OR
REFLECTING LAYER, BUT NOT
OTHERWISE WORKED.
700330................................. CAST GLASS AND ROLLED GLASS, IN
PROFILES, WHETHER OR NOT
HAVING AN ABSORBENT OR
REFLECTING LAYER, BUT NOT
OTHERWISE WORKED.
700420................................. GLASS, COLORED THROUGHOUT THE
MASS, OPACIFIED, FLASHED OR AN
ABSORBENT, REFLECTING OR
NONREFLECTING LAYER, DRAWN OR
BLOWN, SHEETS NOT OTHERWISE
WORKED.
700490................................. DRAWN GLASS AND BLOWN GLASS, IN
SHEETS, WHETHER OR NOT HAVING
AN ABSORBENT OR REFLECTING
LAYER, BUT NOT OTHERWISE
WORKED, NESOI.
700510................................. FLOAT GLASS AND SURFACE GROUND
OR POLISHED GLASS, IN SHEETS,
NONWIRED, WITH AN ABSORBENT,
REFLECTING OR NONREFLECTING
LAYER, BUT NOT OTHERWISE
WORKED.
700521................................. FLOAT AND OTHER GLASS, IN
NONWIRED SHEETS, COLORED
THROUGHOUT THE MASS,
OPACIFIED, FLASHED OR SURFACE
GROUND, WITHOUT AN ABSORBENT
OR REFLECTING LAYER.
700529................................. FLOAT GLASS AND SURFACE GROUND
OR POLISHED GLASS, IN NONWIRED
SHEETS, NESOI.
700530................................. FLOAT GLASS AND SURFACE GROUND
OR POLISHED GLASS, IN WIRED
SHEETS, WHETHER OR NOT HAVING
AN ABSORBENT OR REFLECTING
LAYER, BUT NOT OTHERWISE
WORKED.
700711................................. TOUGHENED (TEMPERED) SAFETY
GLASS, OF SIZE AND SHAPE
SUITABLE FOR INCORPORATION IN
VEHICLES, AIRCRAFT, SPACECRAFT
OR VESSELS.
[[Page 52]]
700729................................. LAMINATED SAFETY GLASS, NOT
SUITABLE FOR INCORPORATION IN
VEHICLES, AIRCRAFT, SPACECRAFT
OR VESSELS.
701110................................. GLASS ENVELOPES, OPEN, AND
GLASS PARTS THEREOF, WITHOUT
FITTINGS, FOR ELECTRIC
LIGHTING.
701911................................. CHOPPED STRANDS OF GLASS FIBERS
NOT OVER 50 MM LONG.
701912................................. GLASS FIBER ROVINGS.
701913................................. GLASS FIBERS (INCLUDING GLASS
WOOL) AND ARTICLES THEREOF
(FOR EXAMPLE, YARN, WOVEN
FABRICS), N.E.S.O.I.
701990................................. GLASS FIBERS AND ARTICLES
THEREOF NESOI.
720110................................. NONALLOY PIG IRON CONTAINING
0.5% (WT.) OR LESS PHOSPHORUS,
IN PRIMARY FORMS.
720120................................. NONALLOY PIG IRON CONTAINING
MORE THAN 0.5% (WT.)
PHOSPHORUS, IN PRIMARY FORMS.
720150................................. ALLOY PIG IRON; SPIEGELEISEN,
IN PRIMARY FORMS.
720211................................. FERROMANGANESE, CONTAINING MORE
THAN 2% (WT.) CARBON.
720219................................. FERROMANGANESE, CONTAINING 2%
(WT.) OR LESS CARBON.
720221................................. FERROSILICON, CONTAINING MORE
THAN 55% (WT.) SILICON.
720229................................. FERROSILICON, CONTAINING 55%
(WT.) OR LESS SILICON.
720230................................. FERROSILICON MANGANESE.
720241................................. FERROCHROMIUM, CONTAINING MORE
THAN 4% (WT.) CARBON.
720249................................. FERROCHROMIUM, CONTAINING 4%
(WT.) OR LESS CARBON.
720250................................. FERROSILICON CHROMIUM.
720260................................. FERRONICKEL.
720270................................. FERROMOLYBDENUM.
720280................................. FERROTUNGSTEN AND FERROSILICON
TUNGSTEN.
720291................................. FERROTITANIUM AND FERROSILICON
TITANIUM.
720292................................. FERROVANADIUM.
720293................................. FERRONIOBIUM.
720299................................. FERROALLOYS, NESOI.
720310................................. FERROUS PRODUCTS OBTAINED BY
DIRECT REDUCTION OF IRON ORE.
720390................................. SPONGY FERROUS PRODUCTS NESOI,
IN LUMPS, PELLETS OR SIMILAR
FORMS; IRON WITH MINIMUM
PURITY OF 99.94% (WT.), IN
LUMPS, PELLETS OR SIMILAR
FORMS.
720410................................. CAST IRON WASTE AND SCRAP.
720421................................. STAINLESS STEEL WASTE AND
SCRAP.
720429................................. ALLOY STEEL WASTE AND SCRAP,
OTHER THAN STAINLESS.
720430................................. TINNED IRON OR STEEL WASTE AND
SCRAP.
720441................................. FERROUS WASTE AND SCRAP NESOI,
TURNINGS, SHAVINGS, CHIPS,
MILLING WASTE, SAWDUST,
FILINGS, TRIMMINGS AND
STAMPINGS, WHETHER OR NOT IN
BUNDLES.
720449................................. FERROUS WASTE AND SCRAP, NESOI.
720450................................. REMELTING SCRAP INGOTS OF IRON
OR STEEL.
720510................................. IRON OR STEEL GRANULES.
720521................................. ALLOY STEEL POWDERS.
720529................................. IRON OR NONALLOY STEEL POWDERS.
720610................................. IRON AND NONALLOY STEEL INGOTS.
720690................................. IRON AND NONALLOY STEEL IN
PRIMARY FORMS, OTHER THAN
INGOTS.
720711................................. SEMIFINISHED PRODUCTS OF IRON
OR NONALLOY STEEL, UNDER 0.25%
(WT.) CARBON, RECTANGULAR OR
SQUARE CROSS SECTION, WIDTH
LESS THAN TWICE THE THICKNESS.
720712................................. SEMIFINISHED PRODUCTS OF IRON
OR NONALLOY STEEL, UNDER 0.25%
(WT.) CARBON, RECTANGULAR
CROSS SECTION, WIDTH NOT LESS
THAN TWICE THE THICKNESS.
720719................................. SEMIFINISHED PRODUCTS OF IRON
OR NONALLOY STEEL, UNDER 0.25%
(WT.) CARBON, CROSS SECTION
OTHER THAN RECTANGULAR, NESOI.
720720................................. SEMIFINISHED PRODUCTS OF IRON
OR NONALLOY STEEL, CONTAINING
0.25% (WT.) OR MORE OF CARBON.
720810................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, OF A WIDTH OF
600 MM OR MORE, IN COILS, NOT
FURTHER WORKED THAN HOT-
ROLLED, WITH PATTERNS IN
RELIEF.
720825................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, OF A WIDTH OF
600 MM OR MORE, COILS, HOT-
ROLLED WORKED ONLY, PICKLED,
THICKNESS 4.75 MM OR MORE,
NESOI.
720826................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, OF A WIDTH OF
600 MM OR MORE, COILS, HOT-
ROLLED WORKED ONLY, PICKLED, 3
MM BUT <4.75 MM THICK,
N.E.S.O.I.
[[Page 53]]
720827................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH OF 600
MM OR MORE, IN COILS, HOT-
ROLLED WORKED ONLY, PICKLED,
LESS THAN 3 MM THICK,
N.E.S.O.I.
720836................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH OF 600
MM OR MORE IN COILS, HOT-
ROLLED WORKED ONLY, OF A
THICKNESS EXCEEDING 10 MM,
N.E.S.O.I.
720837................................. FLAT-ROLLED PRODUCTS OF IRN OR
NONALLOY STEEL, WIDTH OF 600
MM OR MORE, IN COILS, HOT-
ROLLED WORKED ONLY, OF A
THICKNESS 4.75 MM BUT NOT OVER
10 MM NESOI.
720838................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS,HOT-ROLLED
WORKED ONLY, OF A THICKNESS 3
MM OR MORE BUT UNDER 4.75 MM,
NESOI.
720839................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS,HOT-ROLLED
WORKED ONLY, OF A THICKNESS OF
LESS THAN 3 MM, N.E.S.O.I.
720840................................. FLAT-ROLLED IRON OR NONALLOY
STEEL, 600 MM OR MORE WIDE,
HOT-ROLLED, NOT CLAD, PLATED
OR COILS, PATTERNS IN RELIEF.
720851................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, NOT IN COILS, HOT-
ROLLED WORKED ONLY, OF A
THICKNESS EXCEEDING 10 MM,
N.E.S.O.I.
720852................................. FLAT-ROLLED IRON OR NONALLOY
STEEL, 600 MM OR MORE WIDE,
HOT-ROLLED, NOT CLAD, PLATED,
COATED OR COILS, 4.75 MM TO 10
MM THICK.
720853................................. FLAT-ROLLED IRON OR NONALLOY
STEEL, 600 MM OR MORE WIDE,
HOT-ROLLED, NOT CLAD, PLATED,
COATED OR COILS, 3 MM TO UNDER
4.75 MM THICK.
720854................................. FLAT-ROLLED IRON OR NONALLOY
STEEL, 600 MM OR MORE WIDE,
HOT-ROLLED, NOT CLAD, PLATED,
COATED OR COILS, LESS THAN 3
MM THICK.
720890................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, HOT-ROLLED, NOT CLAD,
PLATED OR COATED, NESOI.
720915................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS, COLD-ROLLED
WORKED ONLY, OF A THICKNESS OF
3 MM OR MORE.
720916................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS, COLD-ROLLED
WORKED ONLY, OF A THICKNESS
OVER ONE MM BUT LESS THAN 3
MM.
720917................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS, COLD-ROLLED
WORKED ONLY, OF A THICKNESS
0.5 MM OR MORE BUT NOT OVER 1
MM.
720918................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, IN COILS, COLD-ROLLED
WORKED ONLY, OF A THICKNESS OF
LESS THAN 0.5 MM.
720925................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, NOT IN COILS, COLD-
ROLLED WORKED ONLY, OF A
THICKNESS OF 3 MM OR MORE.
720926................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, NOT IN COILS, COLD-
ROLLED WORKED ONLY, OF A
THICKNESS OVER 1 MM BUT LESS
THAN 3 MM.
720927................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, NOT IN COILS, COLD-
ROLLED WORKED ONLY, OF A
THICKNESS 0.5 MM OR MORE BUT N/
O 1 MM.
720928................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH 600 MM
OR MORE, NOT IN COILS, COLD-
ROLLED WORKED ONLY, OF A
THICKNESS OF LESS THAN 0.5 MM.
720990................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, COLD-ROLLED, NOT CLAD,
PLATED OR COATED, NESOI.
721011................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, PLATED OR COATED WITH
TIN, 0.5 MM OR MORE THICK.
721012................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, PLATED OR COATED WITH
TIN, UNDER 0.5 MM THICK.
[[Page 54]]
721020................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, PLATED OR COATED WITH
LEAD, INCLUDING TERNE-PLATE.
721030................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH OF 600
MM OR MORE, ELECTROLYTICALLY
PLATED OR COATED WITH ZINC.
721041................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, CORRUGATED,
600 MM OR MORE WIDE, PLATED OR
COATED WITH ZINC OTHER THAN
ELECTROLYTICALLY.
721049................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, NOT
CORRUGATED, 600 MM OR MORE
WIDE, PLATED OR COATED WITH
ZINC OTHER THAN
ELECTROLYTICALLY.
721050................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, PLATED OR COATED WITH
CHROMIUM OXIDES OR WITH
CHROMIUM AND CHROMIUM OXIDES.
721061................................. FLAT-ROLLED IRON OR NONALLOY
STEEL 600 MM OR MORE, PLATED
OR COATED WITH ALUMINUM-ZINC
ALLOYS.
721069................................. FLAT-ROLLED IRON OR NONALLOY
STEEL 600 MM OR MORE, PLATED
OR COATED WITH OTHER ALUMINUM.
721070................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, PAINTED, VARNISHED OR
COATED WITH PLASTICS.
721090................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, 600 MM OR MORE
WIDE, CLAD, PLATED OR COATED,
NESOI.
721113................................. FLAT-ROLLED HIGH-STRNGTH IRON
OR NONALLOY STEEL UNDER 600MM
WIDE HOT-ROLLED, NOT CLAD,
COATED OR PLATED, UNIVERSAL
MILLPLATE.
721114................................. FLAT-ROLLD HIGH-STRNGTH IRON OR
NONALLOY STEEL UNDER 600MM
WIDE HOT-ROLLD, NOT CLAD,
COATED OR PLATED 4.75MM THICK
OR MORE.
721119................................. FLAT-ROLLED HIGH-STRENGTH
NONALLLOY STEEL PRODUCTS
NESOI, UNDER 600 MM WIDE, HOT-
ROLLED, NOT CLAD, PLATED OR
COATED, UNDER 4.75 MM THICK.
721123................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH LESS
THAN 600 MM, NOT FURTHER
WORKED THAN COLD-ROLLED, NOT
CLAD, PLATED OR COATED, <0.25%
CARBON.
721129................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS UNDER 600 MM
WIDE, COLD-ROLLED, NOT CLAD,
PLATED OR COATED, NESOI.
721190................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, NOT CLAD, PLATED OR
COATED, NESOI.
721210................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, PLATED OR COATED WITH
TIN.
721220................................. FLAT-ROLLED PRODUCTS OF IRON OR
NONALLOY STEEL, WIDTH OF LESS
THAN 600 MM, ELECTROLYTICALLY
PLATED OR COATED WITH ZINC.
721230................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, PLATED OR COATED WITH
ZINC OTHER THAN
ELECTROLYTICALLY.
721240................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, PAINTED, VARNISHED OR
COATED WITH PLASTICS.
721250................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, PLATED OR COATED, NESOI.
721260................................. FLAT-ROLLED IRON OR NONALLOY
STEEL PRODUCTS, UNDER 600 MM
WIDE, CLAD.
721310................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, HOT-ROLLED, IN
IRREGULLARLY WOUND COILS,
CONCRETE REINFORCING.
721320................................. BARS AND RODS OF FREE-CUTTING
NONALLOY STEEL, HOT-ROLLED, IN
IRREGULARLY WOUND COILS.
721391................................. BARS AND RODS,HOT-ROLLED, IN
IRREGULARLY WOUND COILS, OF
IRON OR NONALLOY STEEL, OF
CIRCULAR CROSS-SECTION
MEASURING LESS THAN 14MM IN
DIAMETER, NESOI.
721399................................. BARS AND RODS, HOT-ROLLED, IN
IRREGULARLY WOUND COILS, OF
IRON OR NONALLOY STEEL,
N.E.S.O.I.
721410................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, FORGED.
721420................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, HOT-WORKED
NESOI, CONCRETE REINFORCING.
[[Page 55]]
721430................................. BARS AND RODS OF FREE-CUTTING
NONALLOY STEEL, HOT-WORKED
NESOI.
721491................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, NOT FURTHER
WORKED THAN HOT-ROLLED, HOT-
DRAWN OR HOT-EXTRUDED BUT INCL
TWISTED, RECTANGULAR CROSS
SECTN, NESOI.
721499................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, NOT FURTHER
WORKED THAN HOT-ROLLED, HOT-
DRAWN OR HOT-EXTRUDED, BUT
INCLUDING TWISTED AFTER
ROLLING, N.E.S.O.I.
721510................................. BARS AND RODS OF FREE-CUTTING
NONALLOY STEEL, COLD-FORMED OR
COLD-FINISHED.
721550................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, NOT FURTHER
WORKED THAN COLD-FORMED OR
COLD-FINISHED, N.E.S.O.I.
721590................................. BARS AND RODS OF IRON OR
NONALLOY STEEL, NESOI.
721610................................. U, I OR H SECTIONS OF IRON OR
NONALLOY STEEL, HOT-WORKED,
LESS THAN 80 MM HIGH.
721621................................. L SECTIONS OF IRON OR NONALLOY
STEEL, HOT-WORKED, LESS THAN
80 MM HIGH.
721622................................. T SECTIONS OF IRON OR NONALLOY
STEEL, HOT-WORKED, LESS THAN
80 MM HIGH.
721631................................. U SECTIONS OF IRON OR NONALLOY
STEEL, HOT-WORKED, 80 MM OR
MORE HIGH.
721632................................. I SECTIONS OF IRON OR NONALLOY
STEEL, HOT-WORKED, 80 MM OR
MORE HIGH (STANDARD BEAMS).
721633................................. H SECTIONS OF IRON OR NONALLOY
STEEL, HOT-WORKED, 80 MM OR
MORE HIGH.
721640................................. L OR T SECTIONS OF IRON OR
NONALLOY STEEL, HOT-WORKED, 80
MM OR MORE HIGH.
721650................................. ANGLES, SHAPES AND SECTIONS
NESOI OF IRON OR NONALLOY
STEEL, HOT-WORKED.
721661................................. ANGLES, SHAPES AND SECTIONS,
IRON OR NONALLOY STEEL, NOT
FURTHER WORKED THAN COLD-
FORMED OR COLD-FINISHED,
OBTAINED FROM FLAT-ROLLED
PRODUCTS.
721669................................. ANGLES, SHAPES AND SECTIONS,
IRON OR NONALLOY STEEL, NOT
FURTHER WORKED THAN COLD-
FORMED OR COLD-FINISHED, NOT
OBTAINED FROM FLAT-ROLLED
PRODUCTS.
721691................................. ANGLES, SHAPES AND SECTIONS,
IRON OR NONALLOY STEEL, OTHER
COLD-FORMED OR COLD-FINISHED
FROM FLAT-ROLLED PRODUCTS.
721699................................. ANGLES, SHAPES AND SECTIONS
IRON OR NONALLOY STEEL NESOI.
721710................................. WIRE OF IRON OR NONALLLOY
STEEL, NOT PLATED OR COATED,
WHETHER OR NOT POLISHED.
721720................................. WIRE OF IRON OR NONALLOY STEEL,
PLATED OR COATED WITH ZINC.
721730................................. WIRE OF IRON OR NONALLOY STEEL,
PLATED OR COATED WITH BASE
METAL OTHER THAN ZINC.
721790................................. WIRE OF IRON OR NONALLOY STEEL
LESS THAN 0.25 PERCENT CARBON,
NESOI.
721810................................. STAINLESS STEEL INGOTS AND
OTHER PRIMARY FORMS.
721891................................. SEMIFINISHED PRODUCTS OF
STAINLESS STEEL, RECTANGULAR
(OTHER THAN SQUARE) CROSS-
SECTION.
721899................................. OTHER SEMIFINISHED PRODUCTS OF
STAINLESS STEEL.
721911................................. FLAT-ROLLED STAINLESS STEEL IN
COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, OVER 10 MM THICK.
721912................................. FLAT-ROLLED STAINLESS STEEL IN
COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, 4.75 MM BUT NOT
OVER 10 MM THICK.
721913................................. FLAT-ROLLED STAINLESS STEEL IN
COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, 3 MM BUT UNDER
4.75 MM THICK.
721914................................. FLAT-ROLLED STAINLESS STEEL IN
COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, UNDER 3 MM THICK.
721921................................. FLAT-ROLLED STAINLESS STEEL NOT
IN COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, OVER 10 MM THICK.
721922................................. FLAT-ROLLED STAINLESS STEEL NOT
IN COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, 4.75 MM BUT NOT
OVER 10 MM THICK.
721923................................. FLAT-ROLLED STAINLESS STEEL NOT
IN COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, 3 MM BUT UNDER
4.75 MM THICK.
721924................................. FLAT-ROLLED STAINLESS STEEL NOT
IN COILS, 600 MM OR MORE WIDE,
HOT-ROLLED, UNDER 3 MM THICK.
721931................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
COLD-ROLLED, 4.75 MM OR MORE
THICK.
[[Page 56]]
721932................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
COLD-ROLLED, 3 MM BUT UNDER
4.75 MM THICK.
721933................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
COLD-ROLLED, OVER 1 MM BUT
UNDER 3 MM THICK.
721934................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
COLD-ROLLED, 0.5 MM BUT NOT
OVER 1 MM THICK.
721935................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
COLD-ROLLED, UNDER 0.5 MM
THICK.
721990................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, 600 MM OR MORE WIDE,
NESOI.
722011................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, UNDER 600 MM WIDE,
HOT-ROLLED, 4.75 MM OR MORE
THICK.
722012................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, UNDER 600 MM WIDE,
HOT-ROLLED, UNDER 4.75 MM
THICK.
722020................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, UNDER 600 MM WIDE,
COLD-ROLLED.
722090................................. FLAT-ROLLED STAINLESS STEEL
PRODUCTS, UNDER 600 MM WIDE,
NESOI.
722100................................. BARS AND RODS OF STAINLESS
STEEL, HOT-ROLLED, IN
IRREGULARLY WOUND COILS.
722211................................. OTHER BARS AND RODS OF
STAINLESS STEEL, HOT-ROLLED,
CIRCULAR CROSS-SECTION.
722219................................. OTHER BARS AND RODS OF
STAINLESS STEEL, HOT-ROLLED,
OTHER THAN CIRCULAR CROSS-
SECTION.
722220................................. BARS AND RODS OF STAINLESS
STEEL, COLD-FORMED OR COLD-
FINISHED.
722230................................. BARS AND RODS OF STAINLESS
STEEL, NESOI.
722240................................. ANGLES, SHAPES AND SECTIONS OF
STAINLESS STEEL.
722300................................. WIRE OF STAINLESS STEEL.
722410................................. INGOTS AND OTHER PRIMARY FORMS
OF ALLOY STEEL (OTHER THAN
STAINLESS) NESOI.
722490................................. SEMIFINISHED PRODUCTS OF ALLOY
STEEL (OTHER THAN STAINLESS)
NESOI.
722511................................. FLAT-ROLLED SILICON ELECTRICAL
STEEL 600 MM OR MORE WIDE,
GRAIN-ORIENTED.
722519................................. FLAT-ROLLED SILICON ELECTRICAL
STEEL 600MM OR MORE WIDE, NOT
GRAIN-ORIENTED.
722530................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) IN COILS, 600
MM OR MORE WIDE, HOT-ROLLED,
NESOI.
722540................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) NOT IN COILS,
600 MM OR MORE WIDE, HOT-
ROLLED, NESOI.
722550................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) PRODUCTS, 600
MM OR MORE WIDE, COLD-ROLLED,
NESOI.
722591................................. FLAT-ROLLED ALLOY STEEL NESOI,
600 MM OR MORE WIDE,
ELECTROLYTICALLY PLATED OR
COATED WITH ZINC.
722592................................. FLAT-ROLLED ALLOY STEEL NESOI
600 MM OR MORE WIDE PLATED OR
COATED WITH ZINC, NOT
ELECTROLYTICALLY.
722599................................. FLAT-ROLLED ALLOY STEEL NOT
STAINLESS, 600 MM OR MORE
WIDE, NESOI.
722611................................. FLAT-ROLLED SILICON ELECTRICAL
STEEL UNDER 600 MM WIDE, GRAIN-
ORIENTED.
722619................................. FLAT-ROLLED SILICON ELECTRICAL
STEEL UNDER 600 MM WIDE, NOT
GRAIN-ORIENTED.
722620................................. FLAT-ROLLED HIGH-SPEED STEEL
PRODUCTS, UNDER 600 MM WIDE.
722691................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) PRODUCTS,
UNDER 600 MM WIDE, HOT-ROLLED,
NESOI.
722692................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) PRODUCTS,
UNDER 600 MM WIDE, COLD-
ROLLED, NESOI.
722699................................. FLAT-ROLLED ALLOY STEEL (OTHER
THAN STAINLESS) PRODUCTS,
UNDER 600 MM WIDE, NESOI.
722710................................. BARS AND RODS OF HIGH-SPEED
STEEL, HOT-ROLLED, IN
IRREGULARLY WOUND COILS.
722720................................. BARS AND RODS OF SILICO-
MANGANESE STEEL, HOT-ROLLED,
IN IRREGULARLY WOUND COILS.
722790................................. BARS AND RODS OF ALLOY STEEL
(OTHER THAN STAINLESS), HOT-
ROLLED, IN IRREGULARLY WOUND
COILS, NESOI.
722810................................. BARS AND RODS OF HIGH-SPEED
STEEL NESOI.
722820................................. BARS AND RODS OF SILICO-
MANGANESE STEEL NESOI.
722830................................. BARS AND RODS OF ALLOY STEEL
(OTHER THAN STAINLESS), HOT-
WORKED, NESOI.
722840................................. BARS AND RODS OF ALLOY STEEL
(OTHER THAN STAINLESS),
FORGED, NESOI.
[[Page 57]]
722850................................. BARS AND RODS OF ALLOY STEEL
(OTHER THAN STAINLESS), COLD-
FORMED OR COLD-FINISHED,
NESOI.
722860................................. BARS AND RODS OF ALLOY STEEL
(OTHER THAN STAINLESS), NESOI.
722870................................. ANGLES, SHAPES AND SECTIONS OF
ALLOY STEEL (OTHER THAN
STAINLESS), NESOI.
722880................................. HOLLOW DRILL BARS AND RODS OF
ALLOY OR NONALLOY STEEL.
722920................................. WIRE OF SILICO-MANGANESE STEEL.
722990................................. WIRE OF ALLOY STEEL NESOI.
730110................................. SHEET PILING OF IRON OR STEEL,
WHETHER OR NOT DRILLED,
PUNCHED OR MADE FROM ASSEMBLED
ELEMENTS.
730120................................. WELDED ANGLES, SHAPES AND
SECTIONS OF IRON OR STEEL.
730210................................. RAILWAY OR TRAMWAY RAILS OF
IRON OR STEEL.
730230................................. RAILWAY OR TRAMWAY TRACK SWITCH
BLADES, CROSSING FROGS, POINT
RODS AND OTHER CROSSING PIECES
OF IRON OR STEEL.
730240................................. RAILWAY OR TRAMWAY TRACK FISH-
PLATES AND SOLE PLATES OF IRON
OR STEEL.
730290................................. RAILWAY OR TRAMWAY TRACK
CONSTRUCTION MATERIAL OF IRON
OR STEEL NESOI.
730300................................. TUBES, PIPES AND HOLLOW
PROFILES OF CAST IRON.
730424................................. CASING & TUBING USED IN
DRILLING FOR OIL OR GAS, OTHER
OF STAINLESS STEEL.
730431................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF IRON
OR NONALLOY STEEL, COLD-DRAWN
OR COLD-ROLLED.
730439................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF IRON
OR NONALLOY STEEL, NOT COLD-
DRAWN OR COLD-ROLLED.
730441................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF
STAINLESS STEEL, COLD-DRAWN OR
COLD-ROLLED.
730449................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF
STAINLESS STEEL, NOT COLD-
DRAWN OR COLD-ROLLED.
730451................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF
ALLOY STEEL (OTHER THAN
STAINLESS), COLD-DRAWN OR COLD-
ROLLED.
730459................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
CIRCULAR CROSS SECTION OF
ALLOY STEEL (OTHER THAN
STAINLESS), NOT COLD-DRAWN OR
COLD-ROLLED.
730490................................. TUBES, PIPES AND HOLLOW
PROFILES, SEAMLESS NESOI, OF
IRON (OTHER THAN CAST IRON) OR
STEEL.
730531................................. PIPES AND TUBES NESOI, EXTERNAL
DIAMETER OVER 406.4 MM (16
IN.), OF IRON OR STEEL,
LONGITUDINALLY WELDED.
730539................................. PIPES AND TUBES NESOI, EXTERNAL
DIAMETER OVER 406.4 MM (16
IN.), OF IRON OR STEEL, WELDED
NESOI.
730590................................. PIPES AND TUBES NESOI, EXTERNAL
DIAMETER OVER 406.4 MM (16
IN.), OF IRON OR STEEL,
RIVETED OR SIMILARLY CLOSED
NESOI.
730621................................. CASING OR TUBING FOR OIL OR GAS
DRILLING, WELDED OF STAINLESS
STEEL, NESOI.
730629................................. CASING OR TUBING FOR OIL OR GAS
DRILLING, OF IRON OR STEEL,
NESOI.
730630................................. PIPES, TUBES AND HOLLOW
PROFILES NESOI, WELDED, OF
CIRCULAR CROSS SECTION, OF
IRON OR NONALLOY STEEL.
730640................................. PIPES, TUBES AND HOLLOW
PROFILES NESOI, WELDED, OF
CIRCULAR CROSS SECTION, OF
STAINLESS STEEL.
730650................................. PIPES, TUBES AND HOLLOW
PROFILES NESOI, WELDED, OF
CIRCULAR CROSS SECTION, OF
ALLOY STEEL (OTHER THAN
STAINLESS) NESOI.
730661................................. TUBES, PIPES AND HOLLOW
PROFILES, OF IRON OR STEEL,
WELDED, OF A SQUARE OR
RECTANGULAR CROSS-SECTION,
NESOI.
730669................................. TUBES, PIPES AND HOLLOW
PROFILES, OF IRON OR STEEL,
WELDED, OF NON-CIRCULAR CROSS-
SECTION, NESOI.
730690................................. PIPES, TUBES AND HOLLOW
PROFILES NESOI, OF IRON OR
STEEL, RIVETED OR SIMILARLY
CLOSED.
730711................................. PIPE OR TUBE FITTINGS, CAST, OF
NONMALLEABLE IRON.
730719................................. PIPE OR TUBE FITTINGS, CAST, OF
IRON NESOI OR STEEL.
[[Page 58]]
730721................................. PIPE OR TUBE FITTINGS, NESOI,
STAINLESS STEEL FLANGES.
730722................................. PIPE OR TUBE FITTINGS, NESOI,
STAINLESS STEEL THREADED
ELBOWS, BENDS AND SLEEVES.
730723................................. PIPE OR TUBE FITTINGS, NESOI,
STAINLESS STEEL BUTT WELDING
FITTINGS.
730729................................. PIPE OR TUBE FITTINGS, NESOI,
STAINLESS STEEL FITTINGS
NESOI.
730791................................. PIPE OR TUBE FITTINGS, NESOI,
IRON OR NONSTAINLESS STEEL
FLANGES.
730792................................. PIPE OR TUBE FITTINGS, NESOI,
IRON OR NONSTAINLESS STEEL
THREADED ELBOWS, BENDS AND
SLEEVES.
730793................................. PIPE OR TUBE FITTINGS, NESOI,
IRON OR NONSTAINLESS STEEL
BUTT WELDING FITTINGS.
730799................................. PIPE OR TUBE FITTINGS, NESOI,
IRON OR NONSTAINLESS STEEL
FITTINGS NESOI.
730810................................. BRIDGES AND BRIDGE SECTIONS OF
IRON OR STEEL.
730820................................. TOWERS AND LATTICE MASTS OF
IRON OR STEEL.
730830................................. DOORS, WINDOWS AND FRAMES AND
THRESHOLDS FOR DOORS, OF IRON
OR STEEL.
730840................................. EQUIPMENT FOR SCAFFOLDING,
SHUTTERING PROPPING OR PIT-
PROPPING, OF IRON OR STEEL.
730890................................. STRUCTURES AND PARTS OF
STRUCTURES NESOI, OF IRON OR
STEEL.
730900................................. RESERVOIRS, TANKS, CASKS, VATS
AND SIMILAR CONTAINERS NESOI,
OF A CAPACITY OF MORE THAN 300
LITERS (79.25 GAL.), OF IRON
OR STEEL.
731010................................. TANKS, DRUMS, CANS, AND SIMILAR
PLAIN CONTAINERS, A CAPACITY
OF 50 LITERS (13.21 GAL.) OR
MORE, BUT NOT OVER 300 LITERS
(79.25 GAL.), OF IRON OR
STEEL.
731021................................. CANS, PLAIN, UNFITTED, OF A
CAPACITY OF LESS THAN 50
LITERS (13.21 GAL.), WHICH
WILL BE CLOSED BY SOLDERING OR
CRIMPING, OF IRON OR STEEL.
731029................................. TANKS, CASKS, DRUMS, CANS,
BOXES AND SIMILAR PLAIN,
UNFITTED CONTAINERS NESOI, OF
A CAPACITY OF LESS THAN 50
LITERS (13.21 GAL.), OF IRON
OR STEEL.
731100................................. CONTAINERS FOR COMPRESSED OR
LIQUEFIED GAS, OF IRON OR
STEEL.
731210................................. STRANDED WIRE, ROPES AND
CABLES, NOT ELECTRICALLY
INSULATED, OF IRON OR STEEL.
731290................................. PLAITED BANDS, SLINGS AND THE
LIKE (OTHER THAN STRANDED
WIRE, ROPES OR CABLES), NOT
ELECTRICALLY INSULATED, OF
IRON OR STEEL.
731300................................. BARBED WIRE, TWISTED HOOP OR
SINGLE FLAT WIRE, BARBED OR
NOT, AND LOOSELY TWISTED
DOUBLE WIRE, OF A KIND USED
FOR FENCING, OF IRON OR STEEL.
731412................................. ENDLESS BANDS OF STAINLESS
STEEL.
731414................................. OTHER PRODUCTS OF WOVEN
STAINLESS STEEL CLOTH.
731419................................. WOVEN PRODUCTS OF IRON OR
STEEL, NESOI.
731420................................. GRILL, NETTING AND FENCING OF
IRON OR STEEL WIRE, WELDED AT
THE INTERSECTION, MAXIMUM
CROSS-SECTION OF 3 MM OR MORE
AND MESH SIZE OF 100 CM2 OR
MORE.
731431................................. OTHER GRILL, NETTING AND
FENCING WELDED AT THE
INTERSECTION OF GALVANIZED
STEEL.
731439................................. OTHER GRILL, NETTING AND
FENCING WELDED AT THE
INTERSECTION OF IRON OR STEEL
OTHER THAN GALVANIZED STEEL.
731441................................. GRILL, NETTING AND FENCING OF
IRON OR STEEL WIRE NESOI,
PLATED OR COATED WITH ZINC.
731442................................. GRILL, NETTING AND FENCING OF
IRON OR STEEL WIRE NESOI,
COATED WITH PLASTICS.
731449................................. GRILL, NETTING AND FENCING OF
IRON OR STEEL WIRE NESOI.
731450................................. EXPANDED METAL OF IRON OR
STEEL.
731511................................. ROLLER CHAIN OF IRON OR STEEL.
731512................................. ARTICULATED LINK CHAIN OTHER
THAN ROLLER CHAIN, OF IRON OR
STEEL.
731519................................. PARTS OF ARTICULATED LINK CHAIN
OF IRON OR STEEL.
731520................................. SKID CHAIN OF IRON OR STEEL.
731581................................. STUD LINK CHAIN OF IRON OR
STEEL.
731582................................. CHAIN NESOI, WELDED LINK OF
IRON OR STEEL.
731589................................. CHAIN OF IRON OR STEEL, NESOI.
731590................................. PARTS OF CHAIN NESOI, OF IRON
OR STEEL.
731600................................. ANCHORS, GRAPNELS AND PARTS
THEREOF, OF IRON OR STEEL.
[[Page 59]]
731700................................. NAILS, TACKS, DRAWING PINS,
STAPLES (OTHER THAN IN
STRIPS), AND SIMILAR ARTICLES,
OF IRON OR STEEL, EXCLUDING
SUCH ARTICLES WITH HEADS OF
COPPER.
731811................................. COACH SCREWS, THREADED, OF IRON
OR STEEL.
731812................................. WOOD SCREWS OTHER THAN COACH
SCREWS, THREADED, OF IRON OR
STEEL.
731813................................. SCREW HOOKS AND SCREW RINGS,
THREADED, OF IRON OR STEEL.
731814................................. SELF-TAPPING SCREWS, THREADED,
OF IRON OR STEEL.
731815................................. THREADED SCREWS AND BOLTS
NESOI, WITH OR WITHOUT THEIR
NUTS OR WASHERS, OF IRON OR
STEEL.
731816................................. NUTS, THREADED, OF IRON OR
STEEL.
731819................................. THREADED ARTICLES OF IRON OR
STEEL NESOI.
731821................................. SPRING WASHERS AND OTHER LOCK
WASHERS, OF IRON OR STEEL.
731822................................. WASHERS, OTHER THAN LOCK
WASHERS, OF IRON OR STEEL.
731823................................. RIVETS OF IRON OR STEEL.
731824................................. COTTERS AND COTTER PINS, OF
IRON OR STEEL.
731829................................. NONTHREADED ARTICLES
(FASTENERS) NESOI, OF IRON OR
STEEL.
731940................................. SAFETY PINS AND OTHER PINS OF
IRON OR STEEL.
731990................................. KNITTING NEEDLES, BODKINS,
CROCHET HOOKS, EMBROIDERY
STILETTOS AND SIMILAR ARTICLES
FOR USE IN THE HAND, OF IRON
OR STEEL, NESOI.
732010................................. LEAF SPRINGS AND LEAVES
THEREFOR, OF IRON OR STEEL.
732020................................. HELICAL SPRINGS OF IRON OR
STEEL.
732090................................. SPRINGS NESOI, OF IRON OR
STEEL.
732111................................. COOKING APPLIANCES AND PLATE
WARMERS, FOR GAS FUEL OR FOR
BOTH GAS AND OTHER FUELS, OF
IRON OR STEEL.
732112................................. COOKING APPLIANCES AND PLATE
WARMERS FOR LIQUID FUEL, OF
IRON OR STEEL.
732119................................. COOKING APPLIANCES AND PLATE
WARMERS, NONELECTRIC, OF IRON
OR STEEL, NESOI.
732181................................. NONELECTRIC DOMESTIC APPLIANCES
NESOI, FOR GAS FUEL OR BOTH
GAS AND OTHER FUELS, OF IRON
OR STEEL.
732182................................. NONELECTRIC DOMESTIC APPLIANCES
NESOI, FOR LIQUID FUEL, OF
IRON OR STEEL.
732189................................. NONELECTRIC DOMESTIC
APPLIANCES, OF IRON OR STEEL,
NESOI.
732190................................. PARTS OF NONELECTRIC DOMESTIC
COOKING APPLIANCES AND PLATE
WARMERS AND SIMILAR
NONELECTRIC DOMESTIC
APPLIANCES, OF IRON OR STEEL.
732211................................. RADIATORS FOR CENTRAL HEATING
AND PARTS THEREOF, OF CAST
IRON.
732219................................. RADIATORS FOR CENTRAL HEATING
AND PARTS THEREOF, OF IRON OR
STEEL, EXCEPT CAST IRON.
732290................................. AIR HEATERS AND HOT AIR
DISTRIBUTORS, NOT ELECTRICALLY
HEATED, INCORPORATING A MOTOR-
DRIVEN FAN OR BLOWER, AND
PARTS THEREOF, OF IRON OR
STEEL.
732310................................. IRON OR STEEL WOOL; POT
SCOURERS AND SCOURING OR
POLISHING PADS, GLOVES AND THE
LIKE, OF IRON OR STEEL.
732391................................. TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF, OF CAST IRON, NOT
ENAMELED.
732392................................. TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF, OF CAST IRON,
ENAMELED.
732393................................. TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF, OF STAINLESS STEEL.
732394................................. TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF, OF IRON (NOT CAST)
AND STEEL (NOT STAINLESS),
ENAMELED.
732399................................. TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF, OF IRON (NOT CAST)
AND STEEL (NOT STAINLESS), NOT
ENAMELED.
732410................................. SINKS AND WASH BASINS OF
STAINLESS STEEL.
732421................................. BATHS OF CAST IRON, WHETHER OR
NOT ENAMELED.
732429................................. BATHS OF IRON OR STEEL, OTHER
THAN CAST IRON.
732490................................. SANITARY WARE AND PARTS THEREOF
NESOI, OF IRON OR STEEL (OTHER
THAN STAINLESS STEEL SINKS OR
WASH BASINS AND BATHS OF IRON
OR STEEL).
732510................................. ARTICLES NESOI, OF NONMALLEABLE
CAST IRON.
732591................................. GRINDING BALLS AND SIMILAR
ARTICLES FOR MILLS, CAST, OF
IRON OR STEEL, OTHER THAN
NONMALLEABLE CAST IRON.
[[Page 60]]
732599................................. CAST ARTICLES NESOI, OF IRON OR
STEEL.
732611................................. GRINDING BALLS AND SIMILAR
ARTICLES FOR MILLS, FORGED OR
STAMPED, BUT NOT FURTHER
WORKED, OF IRON OR STEEL.
732619................................. ARTICLES NESOI, FORGED OR
STAMPED, BUT NOT FURTHER
WORKED, OF IRON OR STEEL.
732620................................. ARTICLES OF IRON OR STEEL WIRE,
NESOI.
740100................................. COPPER MATTES; CEMENT COPPER
(PRECIPITATED COPPER).
740200................................. UNREFINED COPPER; COPPER ANODES
FOR ELECTROLYTIC REFINING.
740311................................. REFINED COPPER CATHODES AND
SECTIONS OF CATHODES.
740312................................. REFINED COPPER WIRE BARS,
UNWROUGHT.
740313................................. REFINED COPPER BILLETS,
UNWROUGHT.
740319................................. REFINED COPPER, UNWROUGHT,
NESOI.
740321................................. COPPER-ZINC BASE ALLOYS
(BRASS), UNWROUGHT.
740322................................. COPPER-TIN BASE ALLOYS
(BRONZE), UNWROUGHT.
740329................................. COPPER ALLOYS, UNWROUGHT,
NESOI.
740400................................. COPPER WASTE AND SCRAP.
740500................................. MASTER ALLOYS OF COPPER.
740610................................. COPPER POWDERS OF NON-LAMELLAR
STRUCTURE.
740620................................. COPPER POWDERS OF LAMELLAR
STRUCTURE; FLAKES.
740710................................. BARS, RODS AND PROFILES OF
REFINED COPPER.
740721................................. BARS, RODS AND PROFILES OF
COPPER-ZINC BASE ALLOYS
(BRASS).
740729................................. BARS, RODS AND PROFILES OF
COPPER ALLOYS, NESOI.
740811................................. WIRE OF REFINED COPPER, WITH A
MAXIMUM CROSS SECTIONAL
DIMENSION OVER 6 MM (.23 IN.).
740819................................. WIRE OF REFINED COPPER, WITH A
MAXIMUM CROSS SECTIONAL
DIMENSION NOT OVER 6 MM (.23
IN.).
740821................................. WIRE OF COPPER-ZINC BASE ALLOYS
(BRASS).
740822................................. WIRE OF COPPER-NICKEL BASE
ALLOYS (CUPRO-NICKEL) OR
COPPER-NICKEL-ZINC BASE ALLOYS
(NICKEL-SILVER).
740829................................. WIRE OF COPPER ALLOYS, NESOI.
740911................................. PLATES, SHEETS AND STRIP OF
REFINED COPPER, OVER 0.15 MM
THICK, IN COILS.
740919................................. PLATES, SHEETS AND STRIP OF
REFINED COPPER, OVER 0.15 MM
THICK, NOT IN COILS.
740921................................. PLATES, SHEETS AND STRIP OF
COPPER-ZINC BASE ALLOYS
(BRASS), OVER 0.15 MM THICK,
IN COILS.
740929................................. PLATES, SHEETS AND STRIP OF
COPPER-ZINC BASE ALLOYS
(BRASS), OVER 0.15 MM THICK,
NOT IN COILS.
740931................................. PLATES, SHEETS AND STRIP OF
COPPER-TIN BASE ALLOYS
(BRONZE), OVER 0.15 MM THICK,
IN COILS.
740939................................. PLATES, SHEETS AND STRIP OF
COPPER-TIN BASE ALLOYS
(BRONZE), OVER 0.15 MM THICK,
NOT IN COILS.
740940................................. PLATES, SHEETS AND STRIP OF
COPPER-NICKEL BASE ALLOYS
(CUPRO-NICKEL) OR COPPER-
NICKEL-ZINC BASE ALLOYS
(NICKEL SILVER), OVER 0.15 MM
THICK.
740990................................. PLATES, SHEETS AND STRIP OF
COPPER ALLOYS NESOI, OVER 0.15
MM THICK.
741011................................. COPPER FOIL, NOT BACKED, OF
REFINED COPPER, NOT OVER 0.15
MM THICK.
741012................................. COPPER ALLOY FOIL, NOT BACKED,
NOT OVER 0.15 MM THICK.
741021................................. COPPER FOIL, BACKED, OF REFINED
COPPER, NOT OVER 0.15 MM
THICK.
741022................................. COPPER FOIL, BACKED, OF COPPER
ALLOYS, NOT OVER 0.15 MM
THICK.
741110................................. TUBES AND PIPES OF REFINED
COPPER.
741121................................. TUBES AND PIPES OF COPPER-ZINC
BASE ALLOYS (BRASS).
741122................................. TUBES AND PIPES OF COPPER-
NICKEL BASE ALLOYS (CUPRO-
NICKEL) OR COPPER-NICKEL-ZINC
BASE ALLOYS (NICKEL-SILVER).
741129................................. TUBES AND PIPES OF COPPER
ALLOYS NESOI.
741210................................. TUBE OR PIPE FITTINGS OF
REFINED COPPER.
741220................................. TUBE OR PIPE FITTINGS OF COPPER
ALLOYS.
741300................................. STRANDED WIRE, CABLES, PLAITED
BANDS AND SIMILAR ARTICLES, OF
COPPER, NOT ELECTRICALLY
INSULATED.
741510................................. NAILS, TACKS, DRAWING PINS,
STAPLES (OTHER THAN IN STRIPS)
AND SIMILAR ARTICLES OF COPPER
OR OF IRON OR STEEL WITH HEADS
OF COPPER.
741521................................. WASHERS, INCLUDING SPRING
WASHERS, OF COPPER.
741529................................. RIVETS, COTTERS, COTTER PINS
AND SIMILAR ARTICLES OF COPPER
(NOT THREADED), NESOI.
[[Page 61]]
741533................................. THREADED SCREWS, BOLTS, AND
NUTS OF COPPER OR IRON OR
STEEL WITH HEADS OF COPPER.
741539................................. THREADED FASTENERS NESOI, OF
COPPER.
741810................................. COPPER TABLE, KITCHEN OR OTHER
HOUSEHOLD ARTICLES AND PARTS
THEREOF; POT SCOURERS OR
POLISHING PADS, GLOVES AND THE
LIKE, OF COPPER.
741820................................. SANITARY WARE AND PARTS
THEREOF, OF COPPER.
741920................................. ARTICLES OF COPPER, NESOI,
CAST, MOLDED, STAMPED OR
FORGED, BUT NOT FURTHER
WORKED.
741980................................. ARTICLES OF COPPER, NESOI.
750110................................. NICKEL MATTES.
750120................................. NICKEL OXIDE SINTERS AND OTHER
INTERMEDIATE PRODUCTS OF
NICKEL METALLURGY.
750210................................. NICKEL, NOT ALLOYED, UNWROUGHT.
750220................................. NICKLE ALLOYS, UNWROUGHT.
750300................................. NICKEL WASTE AND SCRAP.
750400................................. NICKLE POWDERS AND FLAKES.
750511................................. NICKEL BARS, RODS AND PROFILES,
NOT ALLOYED.
750512................................. NICKLE BARS, RODS AND PROFILES,
OF NICKLE ALLOYS.
750521................................. NICKLE WIRE, NOT ALLOYED.
750522................................. NICKLE WIRE, OF NICKLE ALLOYS.
750610................................. NICKEL PLATES, SHEETS, STRIP
AND FOIL, NOT ALLOYED.
750620................................. NICKEL PLATES, SHEETS, STRIP
AND FOIL, OF NICKLE ALLOYS.
750711................................. NICKLE TUBES AND PIPES, NOT
ALLOYED.
750712................................. NICKLE TUBES AND PIPES, OF
NICKLE ALLOYS.
750720................................. NICKLE TUBE OR PIPE FITTINGS.
750810................................. CLOTH, GRILL AND NETTING OF
NICKEL WIRE.
750890................................. OTHER ARTICLES OF NICKEL,
NESOI.
760110................................. ALUMINUM, NOT ALLOYED,
UNWROUGHT.
760120................................. ALUMINUM ALLOYS, UNWROUGHT.
760200................................. ALUMINUM WASTE AND SCRAP.
760310................................. ALUMINUM POWDERS OF NONLAMELLAR
STRUCTURE.
760320................................. ALUMINUM POWDERS OF LAMELLAR
STRUCTURE; FLAKES.
760410................................. ALUMINUM BARS, RODS AND
PROFILES, NOT ALLOYED.
760421................................. ALUMINUM ALLOY HOLLOW PROFILES.
760429................................. ALUMINUM ALLOY BARS, RODS AND
PROFILES, OTHER THAN HOLLOW
PROFILES.
760511................................. ALUMINUM WIRE OF NONALLOYED
ALUMINUM, WITH A MAXIMUM CROSS
SECTIONAL DIMENSION OF OVER 7
MM.
760519................................. ALUMINUM WIRE OF NONALLOYED
ALUMINUM, WITH A MAXIMUM CROSS
SECTIONAL DIMENSION OF 7 MM OR
LESS.
760521................................. ALUMINUM ALLOY WIRE, WITH A
MAXIMUM CROSS SECTIONAL
DIMENSION OF OVER 7 MM.
760529................................. ALUMINUM ALLOY WIRE, WITH A
MAXIMUM CROSS SECTIONAL
DIMENSION OF 7 MM OR LESS.
760611................................. ALUMINUM NONALLOYED RECTANGULAR
(INCLUDING SQUARE) PLATES,
SHEETS AND STRIP, OVER 0.2 MM
THICK.
760612................................. ALUMINUM ALLOY RECTANGULAR
(INCLUDING SQUARE) PLATES,
SHEETS AND STRIP, OVER 0.2 MM
THICK.
760691................................. ALUMINUM NONALLOYED PLATES,
SHEETS OR STRIP, OVER 0.2 MM
THICK, NESOI (OTHER THAN
RECTANGULAR OR SQUARE SHAPES).
760692................................. ALUMINUM ALLOY PLATES, SHEETS
OR STRIP, OVER 0.2 MM THICK,
NESOI (OTHER THAN RECTANGULAR
SQUARE SHAPES).
760711................................. ALUMINUM FOIL, NOT OVER 0.2 MM
THICK, NOT BACKED, ROLLED BUT
NOT FURTHER WORKED.
760719................................. ALUMINUM FOIL, NOT OVER 0.2 MM
THICK, NOT BACKED, NESOI.
760720................................. ALUMINUM FOIL, NOT OVER 0.2 MM
THICK, BACKED.
760810................................. ALUMINUM TUBES AND PIPES, NOT
ALLOYED.
760820................................. ALUMINUM ALLOY TUBES AND PIPES.
760900................................. ALUMINUM TUBE OR PIPE FITTINGS
(INCLUDING COUPLINGS, ELBOWS,
AND SLEEVES).
761010................................. ALUMINUM DOORS, WINDOWS AND
THEIR FRAMES AND THRESHOLDS
FOR DOORS.
761090................................. ALUMINUM STRUCTURES AND PARTS
OF STRUCTURES, NESOI.
761100................................. ALUMINUM TANKS, VATS AND
SIMILAR PLAIN, UNFITTED
CONTAINERS, OF A CAPACITY OVER
300 LITERS (79.30 GAL.).
761210................................. ALUMINUM COLLAPSIBLE TUBULAR
CONTAINERS, OF A CAPACITY NOT
OVER 300 LITERS (79.30 GAL.).
761290................................. ALUMINUM CASKS, DRUMS, CANS,
BOXES AND SIMILAR PLAIN,
UNFITTED CONTAINERS, OF A
CAPACITY NOT OVER 300 LITERS
(79.30 GAL.).
[[Page 62]]
761300................................. ALUMINUM CONTAINERS FOR
COMPRESSED OR LIQUEFID GAS.
761410................................. STRANDED WIRE, CABLES, PLAITED
BANDS AND SIMILAR ARTICLES OF
ALUMINUM, NOT ELECTRICALLY
INSULATED, WITH A STEEL CORE.
761490................................. STRANDED WIRE, CABLES, PLAITED
BANDS AND SIMILAR ARTICLES OF
ALUMINUM, NOT ELECTRICALLY
INSULATED, NESOI.
761510................................. ALUMINUM TABLE, KITCHEN OR
OTHER HOUSEHOLD ARTICLES AND
PARTS THEREOF; POT SCOURERS,
SCOURING OR POLISHING PADS,
GLOVES AND THE LIKE, OF
ALUMINUM ETC.
761520................................. ALUMINUM SANITARY WARE AND
PARTS THEREOF.
761610................................. NAILS, TACKS, STAPLES (OTHER
THAN IN STRIPS), SCREWS,
BOLTS, NUTS, SCREW HOOKS,
RIVETS AND SIMILAR ARTICLES,
OF ALUMINUM.
761691................................. CLOTH, GRILL, NETTING AND
FENCING OF ALUMINUM WIRE.
761699................................. ARTICLES OF ALUMINUM,
N.E.S.O.I.
780110................................. REFINED LEAD, UNWROUGHT.
780191................................. LEAD, OTHER THAN REFINED,
CONTAINING ANTIMONY BY WEIGHT
AS THE PRINCIPAL OTHER
ELEMENT, UNWROUGHT.
780199................................. LEAD, OTHER THAN REFINED,
NESOI, UNWROUGHT.
780200................................. LEAD WASTE AND SCRAP.
780411................................. LEAD SHEETS, STRIP AND FOIL NOT
OVER 0.2 MM THICK.
780419................................. LEAD PLATES, SHEETS, STRIP AND
FOIL OVER 0.2 MM THICK.
780420................................. LEAD POWDERS AND FLAKES.
780600................................. ARTICLES OF LEAD, NESOI.
790111................................. ZINC, NOT ALLOYED, CONTAINING
99.9% OR MORE BY WEIGHT OF
ZINC, UNWROUGHT.
790112................................. ZINC, NOT ALLOYED, CONTAINING
UNDER 99.99% ZINC BY WEIGHT.
UNWROUGHT.
790120................................. ZINC ALLOYS, UNWROUGHT.
790200................................. ZINC WASTE AND SCRAP.
790310................................. ZINC DUST.
790390................................. ZINC POWDERS AND FLAKES.
790400................................. ZINC BARS, RODS, PROFILES AND
WIRE.
790500................................. ZINC PLATES, SHEETS, STRIP AND
FOIL.
790700................................. ARTICLES OF ZINC, N.E.S.O.I.
800110................................. TIN, NOT ALLOYED, UNWROUGHT.
800120................................. TIN ALLOYS, UNWROUGHT.
800200................................. TIN WASTE AND SCRAP.
800300................................. TIN BARS, RODS, PROFILES AND
WIRE.
800700................................. ARTICLES OF TIN, NESOI.
810110................................. TUNGSTEN (WOLFRAM) POWDERS.
810194................................. TUNGSTEN, UNWROUGHT, INCLUDING
BARS AND RODS OBTAINED SIMPLY
BY SINTERING.
810196................................. TUNGSTEN WIRE.
810197................................. TUNGSTEN WASTE AND SCRAP.
810199................................. TUNGSTEN, WROUGHT, NESOI.
810210................................. MOLYBDENUM POWDERS.
810294................................. MOLYBDENUM, UNWROUGHT,
INCLUDING BARS AND RODS
OBTAINED SIMPLY BY SINTERING.
810295................................. MOLYBDENUM BARS AND RODS, OTHER
THAN THOSE OBTAINED SIMPLY BY
SINTERING; MOLYBDENUM
PROFILES, PLATES, SHEETS,
STRIP AND FOIL.
810296................................. MOLYBDENUM WIRE.
810297................................. MOLYBDENUM WASTE AND SCRAP.
810299................................. MOLYBDENUM AND ARTICLES
THEREOF, NESOI.
810320................................. UNWROUGHT TANTALUM, INCLUDING
BARS AND RODS OBTAINED SIMPLY
BY SINTERING; POWDERS.
810330................................. TANTALUM WASTE AND SCRAP.
810391................................. TANTALUM AND ARTICLES THEREOF,
NESOI.
810399................................. TANTALUM AND ARTICLES THEREOF,
NESOI.
810411................................. MAGNESIUM, CONTAINING 99.8% OR
MORE MAGNESIUM BY WEIGHT,
UNWROUGHT.
810419................................. MAGNESIUM, CONTAINING UNDER
99.8% MAGNESIUM BY WEIGHT,
UNWROUGHT.
810420................................. MAGNESIUM WASTE AND SCRAP.
810430................................. MAGNESIUM RASPINGS, TURNINGS
AND GRANULES, GRADED ACCORDING
TO SIZE; MAGNESIUM POWDERS.
810490................................. MAGNESIUM AND ARTICLES THEREOF,
NESOI.
810520................................. COBALT MATTES AND OTHER
INTERMEDIATE PRODUCTS OF
COBALT METALLURGY; COBALT,
UNWROUGHT; COBALT POWDERS.
810530................................. COBALT WASTE AND SCRAP.
810590................................. COBALT AND ARTICLES THEREOF,
NESOI.
810610................................. BISMUTH AND ARTICLES THEREOF,
INCLUDING WASTE AND SCRAP.
810690................................. BISMUTH AND ARTICLES THEREOF,
INCLUDING WASTE AND SCRAP.
810820................................. UNWROUGHT TITANIUM; POWDERS.
810830................................. TITANIUM WASTE AND SCRAP.
810890................................. TITANIUM AND ARTICLES THEREOF,
NESOI.
810921................................. UNWROUGHT ZIRCONIUM; POWDERS.
810929................................. UNWROUGHT ZIRCONIUM; POWDERS.
810931................................. ZIRCONIUM WASTE AND SCRAP.
810939................................. ZIRCONIUM WASTE AND SCRAP.
810991................................. ZIRCONIUM AND ARTICLES THEREOF,
NESOI.
[[Page 63]]
810999................................. ZIRCONIUM AND ARTICLES THEREOF,
NESOI.
811010................................. UNWROUGHT ANTIMONY; POWDERS.
811020................................. ANTIMONY WASTE AND SCRAP.
811090................................. ANTIMONY AND ARTICLES THEREOF,
NESOI.
811100................................. MANGANESE AND ARTICLES THEREOF,
INCLUDING WASTE AND SCRAP.
811212................................. UNWROUGHT BERYLLIUM; BERYLLIUM
POWDERS, NESOI.
811213................................. BERYLLIUM WASTE AND SCRAP.
811219................................. BERYLLIUM AND ARTICLES THEREOF,
NESOI.
811221................................. UNWROUGHT CHROMIUM; POWDERS.
811222................................. CHROMIUM WASTE AND SCRAP.
811229................................. CHROMIUM AND ARTICLES THEREOF,
NESOI.
811231................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM &
ARTICLES OF THESE METALS,
INCLUDING WASTE & SCRAP.
811239................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM
AND THALLIUM AND ARTICLES
THEREOF, NESOI.
811241................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM &
ARTICLES OF THESE METALS,
INCLUDING WASTE & SCRAP.
811249................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM
AND THALLIUM AND ARTICLES
THEREOF, NESOI.
811251................................. UNWROUGHT THALLIUM; POWDERS.
811252................................. THALLIUM WASTE AND SCRAP.
811259................................. THALLIUM AND ARTICLES THEREOF,
NESOI.
811261................................. UNWROUGHT CADMIUM; WASTE AND
SCRAP.
811269................................. UNWROUGHT CADMIUM; POWDERS.
811292................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM &
ARTICLES OF THESE METALS,
INCLUDING WASTE & SCRAP.
811299................................. GALLIUM, HAFNIUM, INDIUM,
NIOBIUM (COLUMBIUM), RHENIUM
AND THALLIUM AND ARTICLES
THEREOF, NESOI.
811300................................. CERMETS AND ARTICLES THEREOF,
INCLUDING WASTE AND SCRAP.
820110................................. SPADES AND SHOVELS AND PARTS
THEREOF, OF BASE METAL.
820130................................. MATTOCKS, PICKS, HOES AND
RAKES, AND PARTS THEREOF OF
BASE METAL.
820140................................. AXES, BILL HOOKS AND SIMILAR
HEWING TOOLS, AND PARTS
THEREOF, OF BASE METAL.
820150................................. ONE-HANDED SECATEURS AND
SIMILAR ONE-HANDED PRUNERS AND
SHEARS (INCLUDING POULTRY
SHEARS), AND PARTS THEREOF, OF
BASE METAL.
820160................................. HEDGE SHEARS, TWO-HANDED
PRUNING SHEARS AND SIMILAR TWO-
HANDED SHEARS, AND PARTS
THEREOF, OF BASE METAL.
820190................................. HANDTOOLS NESOI, OF A KIND USED
IN AGRICULTURE, HORTICULTURE
OR FORESTRY, AND PARTS
THEREOF, OF BASE METAL.
820210................................. HANDSAWS AND PARTS THEREOF
(EXCEPT BLADES) OF BASE METAL.
820220................................. BANDSAW BLADES, AND BASE METAL
PARTS THEREOF.
820231................................. CIRCULAR SAW BLADES OF BASE
METAL, WITH WORKING PART OF
STEEL, AND PARTS THEREOF.
820239................................. CIRCULAR SAW BLADES OF BASE
METAL WITH WORKING PART OF
MATERIAL OTHER THAN STEEL, AND
PARTS.
820240................................. CHAIN SAW BLADES (LENGTHS OR
CUT TO SIZE), AND PARTS
THEREOF, OF BASE METAL.
820291................................. STRAIGHT SAW BLADES FOR WORKING
METAL, OF BASE METAL.
820299................................. SAW BLADES NESOI, AND PARTS OF
SAW BLADES NESOI, OF BASE
METAL.
820310................................. FILES, RASPS AND SIMILAR TOOLS,
OF BASE METAL.
820320................................. PLIERS (INCLUDING CUTTING
PLIERS), PINCERS, TWEEZERS,
AND SIMILAR TOOLS, AND PARTS
THEREOF, OF BASE METAL.
820330................................. METAL CUTTING SHEARS AND
SIMILAR TOOLS, AND PARTS
THEREOF, OF BASE METAL.
820340................................. PIPE CUTTERS, BOLT CUTTERS,
PERFORATING PUNCHES AND
SIMILAR TOOLS, AND PARTS
THEREOF, OF BASE METAL.
820411................................. SPANNERS AND WRENCHES, HAND-
OPERATED, NON-ADJUSTABLE, AND
PARTS THEREOF, OF BASE METAL.
820412................................. SPANNERS AND WRENCHES, HAND-
OPERATED, ADJUSTABLE, AND
PARTS THEREOF, OF BASE METAL.
820420................................. SOCKET WRENCHES WITH OR WITHOUT
HANDLES, DRIVES AND
EXTENSIONS, AND PARTS THEREOF,
OF BASE METAL.
[[Page 64]]
820510................................. DRILLING, THREADING OR TAPPING
TOOLS, AND PARTS THEREOF, OF
BASE METAL.
820520................................. HAMMERS AND SLEDGE HAMMERS AND
PARTS THEREOF, OF BASE METAL.
820530................................. PLANES, CHISELS, GOUGES AND
SIMILAR CUTTING TOOLS FOR WOOD
WORKING, AND PARTS THEREOF, OF
BASE METAL.
820540................................. SCREWDRIVERS, AND PARTS
THEREOF, OF BASE METAL.
820551................................. HOUSEHOLD HANDTOOLS NESOI, AND
PARTS THEREOF, OF BASE METAL.
820559................................. HANDTOOLS NESOI, AND PARTS
THEREOF, OF BASE METAL.
820560................................. BLOW TORCHES AND SIMILAR SELF-
CONTAINED TORCHES, AND PARTS
THEREOF, OF BASE METAL.
820570................................. VISES, CLAMPS AND THE LIKE, AND
PARTS THEREOF, OF BASE METAL.
820590................................. HANDTOOLS, INCLUDING SETS OF
ARTICLES OF TWO OR MORE
SUBHEADINGS OF 8205, NESOI.
820600................................. TOOLS OF TWO OR MORE OF THE
HEADINGS 8202 TO 8205 (SAWS,
FILES, PLIERS, WRENCHES ETC.
AND HANDTOOLS ETC. NESOI) PUT
UP IN SETS FOR RETAIL SALE.
820720................................. DIES FOR DRAWING OR EXTRUDING
METAL, AND PARTS THEREOF, OF
BASE METAL.
820730................................. TOOLS FOR PRESSING, STAMPING OR
PUNCHING, AND PARTS THEREOF,
OF BASE METAL.
820740................................. TOOLS FOR TAPPING OR THREADING,
AND PARTS THEREOF, OF BASE
METAL.
820750................................. TOOLS FOR DRILLING, OTHER THAN
ROCK DRILLING, AND PARTS
THEREOF, OF BASE METAL.
820760................................. TOOLS FOR BORING OR BROACHING,
AND PARTS THEREOF, OF BASE
METAL.
820770................................. TOOLS FOR MILLING, AND PARTS
THEREOF, OF BASE METAL.
820780................................. TOOLS FOR TURNING, OF BASE
METAL.
820790................................. INTERCHANGEABLE TOOLS NESOI,
AND PARTS THEREOF, OF BASE
METAL.
820810................................. KNIVES AND CUTTING BLADES FOR
METAL WORKING, AND PARTS
THEREOF, OF BASE METAL.
820820................................. KNIVES AND CUTTING BLADES FOR
WOOD WORKING, AND PARTS
THEREOF, OF BASE METAL.
820830................................. KNIVES AND CUTTING BLADES FOR
KITCHEN APPLIANCES OR FOR
MACHINES USED BY THE FOOD
INDUSTRY, AND PARTS THEREOF,
OF BASE METAL.
820840................................. KNIVES AND CUTTING BLADES FOR
AGRICULTURAL OR FORESTRY
MACHINES, AND PARTS THEREOF,
OF BASE METAL.
820890................................. KNIVES AND CUTTING BLADES FOR
MACHINES OR MECHANICAL
APPLIANCES NESOI, AND PARTS
THEREOF, OF BASE METAL.
820900................................. PLATES, STICKS, TIPS AND THE
LIKE FOR TOOLS, UNMOUNTED, OF
CERMETS.
821000................................. HAND-OPERATED MECHANICAL
APPLIANCES, WEIGHING NOT OVER
10 KG, FOR PREPARING,
CONDITIONING OR SERVING FOOD
OR DRINK, AND BASE METAL PARTS
THEREOF.
821110................................. SETS OF ASSORTED KNIVES AND
BLADES, OTHER THAN KNIVES FOR
MACHINES OR MECHANICAL
APPLIANCES AND BLADES THEREFOR
OF HEADING 8208.
821191................................. TABLE KNIVES HAVING FIXED
BLADES, AND PARTS THEREOF, OF
BASE METAL.
821192................................. KNIVES, OTHER THAN TABLE
KNIVES, HAVING FIXED BLADES,
AND PARTS THEREOF, OF BASE
METAL.
821193................................. KNIVES HAVING OTHER THAN FIXED
BLADES, AND PARTS THEREOF
(EXCEPT BLADES), OF BASE
METAL.
821194................................. BLADES FOR KNIVES, NESOI.
821195................................. HANDLES OF BASE METAL FOR
KNIVES WITH CUTTING BLADES,
OTHER THAN THOSE OF 8208.
821210................................. RAZORS.
821220................................. SAFETY RAZOR BLADES, INCLUDING
BLADE BLANKS IN STRIPS.
821290................................. PARTS FOR RAZORS NESOI, OF BASE
METAL.
821300................................. SCISSORS, TAILORS' SHEARS AND
SIMILAR SHEARS, AND BLADES AND
OTHER BASE METAL PARTS
THEREOF.
821410................................. PAPER KNIVES, LETTER OPENERS,
ERASING KNIVES, PENCIL
SHARPENERS (NONMECHANICAL),
BLADES, AND PARTS THEREOF, OF
BASE METAL.
821420................................. MANICURE OR PEDICURE SETS AND
INSTRUMENTS (INCLUDING NAIL
FILES) AND BASE METAL PARTS
THEREOF.
821490................................. ARTICLES OF CUTLERY NESOI, AND
PARTS THEREOF, OF BASE METAL.
[[Page 65]]
821510................................. SETS OF ASSORTED KITCHENWARE OR
TABLEWARE OF BASE METAL,
CONTAINING AT LEAST ONE
ARTICLE PLATED WITH PRECIOUS
METAL.
821520................................. SETS OF ASSORTED KITCHENWARE OR
TABLEWARE OF BASE METAL,
CONTAINING NO ARTICLES PLATED
WITH PRECIOUS METAL.
821591................................. SPOONS, FORKS, LADLES, CAKE-
SERVERS, SUGAR TONGS AND LIKE
KITCHEN OR TABLEWARE OF BASE
METAL (NO SETS), AND PARTS
THEREOF, PLATED WITH PRECIOUS
METAL.
821599................................. SPOONS, FORKS, LADLES, CAKE-
SERVERS, SUGAR TONGS AND LIKE
KITCHEN OR TABLEWARE OF
UNPLATED BASE METAL (NO SETS),
AND PARTS THEREOF, NESOI.
830110................................. PADLOCKS OF BASE METAL.
830120................................. LOCKS OF A KIND USED ON MOTOR
VEHICLES, OF BASE METAL.
830130................................. LOCKS OF A KIND USED FOR
FURNITURE, OF BASE METAL.
830140................................. LOCKS (KEY, COMBINATION OR
ELECTRICALLY OPERATED), EXCEPT
FOR MOTOR VEHICLES OR
FURNITURE, OF BASE METAL.
830150................................. CLASPS AND FRAMES WITH CLASPS,
INCORPORATING LOCKS, OF BASE
METAL.
830160................................. PARTS OF LOCKS, OF BASE METAL.
830170................................. KEYS PRESENTED SEPARATELY FOR
PADLOCKS OR LOCKS, OF BASE
METAL.
830210................................. HINGES, AND PARTS THEREOF, OF
BASE METAL.
830220................................. CASTORS, AND PARTS THEREOF, OF
BASE METAL.
830230................................. MOUNTINGS, FITTINGS AND SIMILAR
ARTICLES NESOI (EXCEPT
HINGES), AND PARTS THEREOF,
SUITABLE FOR MOTOR VEHICLES,
OF BASE METAL.
830241................................. MOUNTINGS, FITTINGS AND SIMILAR
ARTICLES NESOI (EXCEPT HINGES
AND CASTORS), AND PARTS
THEREOF, SUITABLE FOR
BUILDINGS, OF BASE METAL.
830242................................. MOUNTINGS, FITTINGS AND SIMILAR
ARTICLES NESOI (EXCEPT HINGES
AND CASTORS), AND PARTS
THEREOF, SUITABLE FOR
FURNITURE, OF BASE METAL.
830249................................. MOUNTINGS, FITTINGS AND SIMILAR
ARTICLES, AND PARTS THEREOF,
NESOI, OF BASE METAL.
830250................................. HAT-RACKS, HAT PEGS, BRACKETS
AND SIMILAR FIXTURES, AND
PARTS THEREOF, OF BASE METAL.
830260................................. AUTOMATIC DOOR CLOSURES, AND
PARTS THEREOF, OF BASE METAL.
830300................................. ARMORED OR REINFORCED SAFES,
STRONG-BOXES, DOORS AND SAFE
DEPOSIT LOCKERS FOR STRONG-
ROOMS, CASH OR DEED BOXES
ETC., AND PARTS THEREOF, OF
BASE METAL.
830400................................. DESK-TOP FILING OR CARD-INDEX
CABINETS, PAPER TRAYS, PAPER
RESTS, PEN TRAYS AND SIMILAR
DESK ETC. ITEMS (NO FURNITURE)
AND THEIR PARTS, OF BASE
METAL.
830510................................. FITTINGS FOR LOOSELEAF BINDERS
OR FILES, OF BASE METAL.
830520................................. STAPLES IN STRIPS, OF BASE
METAL.
830590................................. LETTER CLIPS, LETTER CORNERS,
PAPER CLIPS, INDEXING TAGS AND
SIMILAR OFFICE ARTICLES, AND
PARTS THEREOF, OF BASE METAL.
830610................................. BELLS, GONGS AND THE LIKE, AND
PARTS THEREOF, OF BASE METAL.
830630................................. PHOTOGRAPH, PICTURE OR SIMILAR
FRAMES AND MIRRORS, AND PARTS
THEREOF, OF BASE METAL.
830710................................. FLEXIBLE TUBING, OF IRON OR
STEEL.
830790................................. FLEXIBLE TUBING, OF BASE METAL,
OTHER THAN IRON OR STEEL.
830810................................. HOOKS, EYES AND EYELETS, OF
BASE METAL.
830820................................. TUBULAR OR BIFURCATED RIVETS,
OF BASE METAL.
830890................................. CLASPS, FRAMES WITH CLASPS,
BUCKLES, BUCKLE CLASPS, AND
PARTS THEREOF, NESOI, OF BASE
METAL.
830910................................. CROWN CORKS (INCLUDING CROWN
SEALS AND CAPS), AND PARTS
THEREOF, OF BASE METAL.
830990................................. STOPPERS, CAPS AND LIDS NESOI
(NOT CROWN), CAPSULES FOR
BOTTLES, BUNGS, SEALS AND
OTHER PACKING ACCESSORIES, AND
PARTS THEREOF, OF BASE METAL.
831000................................. SIGN PLATES, NAME PLATES,
ADDRESS PLATES AND SIMILAR
PLATES, NUMBERS, LETTERS AND
OTHER SYMBOLS (NOT
ILLUMINATED), AND PARTS
THEREOF, OF BASE METAL.
831110................................. COATED ELECTRODES OF BASE
METAL, FOR ELECTRIC ARC-
WELDING.
[[Page 66]]
831120................................. CORED WIRE OF BASE METAL, FOR
ELECTRIC ARC-WELDING.
831130................................. COATED RODS AND CORED WIRE, OF
BASE METAL, FOR SOLDERING,
BRAZING OR WELDING BY FLAME.
831190................................. TUBES, PLATES ETC. OF BASE
METAL OR METAL CARBIDES WITH
FLUX MATERIAL FOR WELDING
ETC.; WIRE AND RODS OF
AGGLOMERATED BASE METAL
POWDER; PARTS THEREOF.
840110................................. NUCLEAR REACTORS.
840120................................. ISOTOPIC SEPARATION MACHINERY
AND APPARATUS, AND PARTS
THEREOF.
840130................................. FUEL ELEMENTS (CARTRIDGES), NON-
IRRADIATED, FOR NUCLEAR
REACTORS, AND PARTS THEREOF.
840140................................. PARTS OF NUCLEAR REACTORS.
840211................................. WATERTUBE BOILERS WITH A STEAM
PRODUCTION EXCEEDING 45 T PER
HOUR.
840212................................. WATERTUBE BOILERS WITH A STEAM
PRODUCTION NOT EXCEEDING 45 T
PER HOUR.
840219................................. VAPOR GENERATING BOILERS,
NESOI, INCLUDING HYBRID
BOILERS.
840220................................. SUPER-HEATED WATER BOILERS.
840290................................. PARTS FOR SUPER-HEATED WATER
BOILERS AND STEAM OR OTHER
VAPOR GENERATION BOILERS
(OTHER THAN CENTRAL HEATING
HOT WATER BOILERS).
840310................................. CENTRAL HEATING BOILERS.
840390................................. PARTS FOR CENTRAL HEATING
BOILERS.
840410................................. AUXILIARY PLANT FOR USE WITH
STEAM OR OTHER VAPOR
GENERATING BOILERS, SUPER-
HEATED WATER BOILERS AND
CENTRAL HEATING BOILERS.
840420................................. CONDENSERS FOR STEAM OR OTHER
VAPOR POWER UNITS.
840490................................. PARTS FOR AUXILIARY PLANT FOR
USE WITH STEAM OR OTHER VAPOR
GENERATING BOILERS AND
CONDENSER POWER UNITS, SUPER-
HEATED AND CENTRAL HEATING
BOILERS.
840510................................. PRODUCER GAS AND WATER GAS
GENERATORS, ACTYLENE GAS AND
SIMILAR WATER PROCESS GAS
GENERATORS, WITH OR WITHOUT
THEIR PURIFIERS.
840590................................. PARTS FOR PRODUCER GAS AND
WATER GAS GENERATORS, ACTYLENE
GAS AND SIMILAR PROCESS GAS
GENERATORS.
840610................................. TURBINES, STEAM AND OTHER VAPOR
TYPES, FOR MARINE PROPULSION.
840681................................. TURBINES, STEAM AND OTHER VAPOR
TYPES, OF AN OUTPUT EXCEEDING
40 MW, EXCEPT FOR MARINE
PROPULSION.
840682................................. TURBINES, STEAM AND OTHER VAPOR
TYPES, OF AN OUTPUT NOT
EXCEEDING 40 MW, EXCEPT FOR
MARINE PROPULSION.
840690................................. PARTS FOR STEAM AND OTHER VAPOR
TURBINES.
840710................................. AIRCRAFT SPARK-IGNITION
RECIPROCATING OR ROTARY
INTERNAL COMBUSTION PISTON
ENGINES.
840721................................. OUTBOARD ENGINES FOR MARINE
PROPULSION.
840729................................. INBOARD ENGINES FOR MARINE
PROPULSION.
840731................................. SPARK-IGNITION RECIPROCATING
PISTON ENGINES FOR PROPULSION
OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, NOT OVER 50 CC
CYLINDER CAPACITY.
840732................................. SPARK-IGNITION RECIPROCATING
PISTON ENGINES FOR PROPULSION
OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, OVER 50 BUT NOT
OVER 250 CC CYLINDER CAPACITY.
840733................................. SPARK-IGNITION RECIPROCATING
PISTON ENGINES FOR PROPULSION
OF VEHICLES EXCEPT RAIL OR
TRAMWAY STOCK, OVER 250 BUT
NOT OVER 1,000 CC CYLINDER
CAPACITY.
840734................................. SPARK-IGNITION RECIPROCATING
PISTON ENGINES FOR PROPULSION
OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, OVER 1,000 CC
CYLINDER CAPACITY.
840790................................. SPARK-IGNITION RECIPROCATING OR
ROTARY INTERNAL COMBUSTION
PISTON ENGINES, NESOI.
840810................................. MARINE COMPRESSION-IGNITION
INTERNAL COMBUSTION PISTON
ENGINES (DIESEL OR SEMI-DIESEL
ENGINES).
840820................................. COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINES
(DIESEL OR SEMI-DIESEL), FOR
THE PROPULSION OF VEHICLES
EXCEPT RAILWAY OR TRAMWAY
STOCK.
840890................................. COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINES
(DIESEL OR SEMI-DIESEL
ENGINES), NESOI.
[[Page 67]]
840910................................. PARTS FOR SPARK-IGNITION OR
ROTARY INTERNAL COMBUSTION
PISTON ENGINES OR COMPRESSION-
IGNITION INTERNAL COMBUSTION
PISTON ENGINES, FOR AIRCRAFT.
840991................................. PARTS FOR USE WITH SPARK-
IGNITION INTERNAL COMBUSTION
PISTON ENGINES (INCLUDING
ROTARY ENGINES), NESOI.
840999................................. PARTS FOR USE WITH COMPRESSION-
IGNITION INTERNAL COMBUSTION
PISTON ENGINES, NESOI.
841011................................. HYDRAULIC TURBINES AND WATER
WHEELS, OF A POWER NOT
EXCEEDING 1,000 KW.
841012................................. HYDRAULIC TURBINES AND WATER
WHEELS, OF A POWER EXCEEDING
1,000 KW BUT NOT EXCEEDING
10,000 KW.
841013................................. HYDRAULIC TURBINES AND WATER
WHEELS, OF A POWER EXCEEDING
10,000 KW.
841090................................. PARTS, INCLUDING REGULATORS,
FOR HYDRAULIC TURBINES AND
WATER WHEELS.
841111................................. TURBOJETS OF A THRUST NOT
EXCEEDING 25 KN.
841112................................. TURBOJETS OF A THRUST EXCEEDING
25 KN.
841121................................. TURBOPROPELLERS OF A POWER NOT
EXCEEDING 1,100 KW.
841122................................. TURBOPROPELLERS OF A POWER
EXCEEDING 1,100 KW.
841181................................. GAS TURBINES, EXCEPT TURBOJETS
AND TURBOPROPELLERS, OF A
POWER NOT EXCEEDING 5,000 KW.
841182................................. GAS TURBINES, EXCEPT TURBOJETS
AND TURBOPROPELLERS, OF A
POWER EXCEEDING 5,000 KW.
841191................................. PARTS OF TURBOJETS OR
TURBOPROPELLERS.
841199................................. PARTS OF GAS TURBINES, NESOI
(OTHER THAN PARTS FOR
TURBOJETS OR TURBOPROPELLERS).
841210................................. REACTION ENGINES OTHER THAN
TURBOJETS.
841221................................. HYDRAULIC POWER ENGINES AND
MOTORS, LINEAR ACTING
(CYLINDERS).
841229................................. HYDRAULIC POWER ENGINES AND
MOTORS, EXCEPT LINEAR ACTING
(CYLINDERS).
841231................................. PNEUMATIC POWER ENGINES AND
MOTORS, LINEAR ACTING
(CYLINDERS).
841239................................. PNEUMATIC POWER ENGINES AND
MOTORS, EXCEPT LINEAR ACTING
(CYLINDERS).
841280................................. ENGINES AND MOTORS, NESOI.
841290................................. PARTS FOR ENGINES AND MOTORS,
NESOI.
841311................................. PUMPS FOR DISPENSING FUEL OR
LUBRICANTS, OF A TYPE USED IN
FILLING-STATIONS OR GARAGES.
841319................................. PUMPS FITTED OR DESIGNED TO BE
FITTED WITH A MEASURING
DEVISE, NESOI.
841320................................. HAND PUMPS, OTHER THAN PUMPS
FITTED OR DESIGNED TO BE
FITTED WITH A MEASURING
DEVICE.
841330................................. FUEL, LUBRICATING OR COOLING
MEDIUM PUMPS FOR INTERNAL
COMBUSTION PISTON ENGINES.
841340................................. CONCRETE PUMPS.
841350................................. RECIPROCATING POSITIVE
DISPLACEMENT PUMPS, NESOI.
841360................................. ROTARY POSITIVE DISPLACEMENT
PUMPS, NESOI.
841370................................. CENTRIFUGAL PUMPS, NESOI.
841381................................. PUMPS FOR LIQUIDS, NESOI.
841382................................. LIQUID ELEVATORS.
841391................................. PARTS OF PUMPS FOR LIQUIDS.
841392................................. PARTS OF LIQUID ELEVATORS.
841410................................. VACUUM PUMPS.
841420................................. HAND- OR FOOT-OPERATED AIR
PUMPS.
841430................................. COMPRESSORS USED IN
REFRIGERATING EQUIPMENT
(INCLUDING AIR CONDITIONING).
841440................................. AIR COMPRESSORS MOUNTED ON A
WHEELED CHASSIS FOR TOWING.
841451................................. FANS, TABLE, FLOOR, WALL,
WINDOW, CEILING OR ROOF, WITH
SELF-CONTAINED ELECTRIC MOTOR
OF AN OUTPUT NOT EXCEEDING 125
W.
841459................................. FANS, NESOI.
841460................................. VENTILATING OR RECYCLING HOODS
INCORPORATING A FAN, HAVING A
MAXIMUM HORIZINTAL SIDE NOT
EXCEEDING 120 CM.
841470................................. FILTERING OR PURIFYING
MACHINERY AND APPARATUS FOR
GASES, NESOI.
841480................................. AIR PUMPS AND AIR OR OTHER GAS
COMPRESSORS, NESOI;
VENTILATING OR RECYCLING HOODS
INCORPORATING A FAN, NESOI.
841490................................. PARTS FOR AIR OR VACUUM PUMPS,
AIR OR OTHER GAS COMPRESSORS
AND FANS; PARTS OF VENTILATING
OR RECYCLING HOODS
INCORPORATING A FAN, NESOI.
841510................................. AIR CONDITIONING MACHINES,
WINDOW OR WALL TYPES, SELF-
CONTAINED OR ``SPLIT-SYSTEM``.
841520................................. AUTOMOTIVE AIR CONDITIONERS.
[[Page 68]]
841581................................. AIR CONDITIONING MACHINES
NESOI, INCORPORATING A
REFRIGERATING UNIT AND VALVE
FOR REVERSAL OF THE COOLING/
HEAT CYCLE (REVERSIBLE HEAT
PUMPS).
841582................................. AIR CONDITIONING MACHINES
NESOI, INCORPORATING A
REFRIGERATING UNIT, NESOI.
841583................................. AIR CONDITIONING MACHINES
NESOI, NOT INCORPORATING A
REFRIGERATING UNIT.
841590................................. PARTS, NESOI, OF AIR
CONDITIONING MACHINES.
841610................................. FURNACE BURNERS FOR LIQUID
FUEL.
841620................................. FURNACE BURNERS FOR PULVERIZED
SOLID FUEL OR FOR GAS,
INCLUDING COMBINATION BURNERS.
841630................................. MECHANICAL STOKERS INCLUDING
THEIR MECHANICAL GRATES,
MECHANICAL ASH DISCHARGERS AND
SIMILAR APPLIANCES.
841690................................. PARTS OF FURNACE BURNERS FOR
LIQUID FUEL, PULVERIZED SOLID
FUEL OR GAS; PARTS OF
MECHANICAL STOKERS, GRATES,
ASH DISCHARGERS AND SIMILAR
APPLIANCES.
841710................................. INDUSTRIAL OR LABORATORY
FURNACES AND OVENS, FOR THE
HEAT TREATMENT OF ORES,
PYRITES OR METALS,
NONELECTRIC.
841720................................. BAKERY OVENS, INCLUDING BISCUIT
OVENS, NONELECTRIC.
841780................................. INDUSTRIAL OR LABORATORY
FURNACES AND OVENS, INCLUDING
INCINERATORS, NONELECTRIC,
NESOI.
841790................................. PARTS OF INDUSTRIAL OR
LABORATORY FURNACES AND OVENS,
INCLUDING PARTS OF
INCINERATORS, NONELECTRIC.
841810................................. COMBINED REFRIGERATOR-FREEZERS
FITTED WITH SEPARATE EXTERNAL
DOORS.
841821................................. REFRIGERATORS, HOUSEHOLD,
COMPRESSION TYPE.
841829................................. REFRIGERATORS, HOUSEHOLD TYPE,
NESOI.
841830................................. FREEZERS, CHEST TYPE, CAPACITY
NOT EXCEEDING 800 LITERS.
841840................................. FREEZERS, UPRIGHT TYPE,
CAPACITY NOT EXCEEDING 900
LITERS.
841850................................. REFRIGERATING OR FREEZING
CHESTS, DISPLAY COUNTERS,
CABINETS, SHOWCASES AND
SIMILAR EQUIPMENT, NESOI.
841861................................. COMPRESSION TYPE HEAT PUMP
UNITS WHOSE CONDENSERS ARE
HEAT EXCHANGERS (EXCLUDING
REVERSIBLE HEAT PUMPS CAPABLE
OF CHANGING TEMPERATURE AND
HUMIDITY).
841869................................. REFRIGERATING OR FREEZING
EQUIPMENT, NESOI.
841891................................. FURNITURE DESIGNED TO RECEIVE
REFRIGERATING OR FREEZING
EQUIPMENT.
841899................................. PARTS OF REFRIGERATION OR
FREEZING EQUIPMENT AND HEAT
PUMPS, NESOI.
841911................................. INSTANTANEOUS GAS WATER
HEATERS.
841912................................. INSTANTANEOUS OR STORAGE WATER
HEATERS, EXCEPT INSTANTANEOUS
GAS WATER HEATERS,
NONELECTRIC.
841919................................. INSTANTANEOUS OR STORAGE WATER
HEATERS, EXCEPT INSTANTANEOUS
GAS WATER HEATERS,
NONELECTRIC.
841920................................. MEDICAL, SURGICAL OR LABORATORY
STERILIZERS.
841933................................. DRYERS FOR AGRICULTURAL
PRODUCTS.
841934................................. DRYERS FOR AGRICULTURAL
PRODUCTS.
841935................................. DRYERS FOR WOOD, PAPER PULP,
PAPER OR PAPERBOARD.
841939................................. DRYERS, NESOI.
841940................................. DISTILLING OR RECTIFYING PLANT.
841950................................. HEAT EXCHANGE UNITS, INDUSTRIAL
TYPE.
841960................................. MACHINERY FOR LIQUEFYING AIR OR
OTHER GASES.
841981................................. MACHINERY, PLANT OR EQUIPMENT
FOR MAKING HOT DRINKS OR FOR
COOKING OR HEATING FOOD.
841989................................. MACHINERY, PLANT OR LABORATORY
EQUIPMENT FOR THE TREATMENT OF
MATERIAL INVOLVING TEMPERATURE
CHANGE (EXCEPT DOMESTIC
MACHINERY), NESOI.
841990................................. PARTS FOR MACHINERY, PLANT OR
LABORATORY EQUIPMENT FOR THE
TREATMENT OF MATERIAL
INVOLVING TEMPERATURE CHANGE
(EXCEPT DOMESTIC MACHINERY),
NESOI.
842010................................. CALENDERING OR OTHER ROLLING
MACHINES, OTHER THAN FOR
METALS OR GLASS.
842091................................. CYLINDERS FOR CALENDERING OR
OTHER ROLLING MACHINES, OTHER
THAN FOR METALS OR GLASS.
[[Page 69]]
842099................................. PARTS, EXCEPT CYLINDERS, FOR
CALENDERING OR OTHER ROLLING
MACHINES, OTHER THAN FOR
METALS OR GLASS.
842111................................. CREAM SEPARATORS, CENTRIFUGAL.
842112................................. CLOTHES-DRYERS, CENTRIFUGAL.
842119................................. CENTRIFUGES, INCLUDING
CENTRIFUGAL DRYERS (OTHER THAN
CLOTHES DRYERS), NESOI.
842121................................. WATER FILTERING OR PURIFYING
MACHINERY AND APPARATUS.
842122................................. BEVERAGE FILTERING OR PURIFYING
MACHINERY AND APPARATUS, OTHER
THAN WATER.
842123................................. OIL OR FUEL FILTERS FOR
INTERNAL COMBUSTION ENGINES.
842129................................. FILTERING OR PURIFYING
MACHINERY AND APPARATUS FOR
LIQUIDS, NESOI.
842131................................. INTAKE AIR FILTERS FOR INTERNAL
COMBUSTION ENGINES.
842132................................. FILTERING OR PURIFYING
MACHINERY AND APPARATUS FOR
GASES, NESOI.
842139................................. FILTERING OR PURIFYING
MACHINERY AND APPARATUS FOR
GASES, NESOI.
842191................................. PARTS OF CENTRIFUGES, INCLUDING
CENTRIFUGAL DRYERS.
842199................................. PARTS FOR FILTERING OR
PURIFYING MACHINERY AND
APPARATUS FOR LIQUIDS OR
GASES.
842211................................. DISHWASHING MACHINES, HOUSEHOLD
TYPE.
842219................................. DISHWASHING MACHINES, EXCEPT
HOUSEHOLD TYPE.
842220................................. MACHINERY FOR CLEANING OR
DRYING BOTTLES OR OTHER
CONTAINERS.
842230................................. MACHINERY FOR FILLING, CLOSING,
SEALING, CAPSULING OR LABELING
BOTTLES, CANS, BOXES OR OTHER
CONTAINERS; MACHINERY FOR
AERATING BEVERAGES.
842240................................. PACKING OR WRAPPING MACHINERY
(INCLUDING HEAT-SHRINK
WRAPPING MACHINERY), NESOI.
842290................................. PARTS FOR MACHINES FOR
DISHWASHING, FOR CLEANING,
FILLING ETC. CONTAINERS AND
FOR PACKING AND WRAPPING;
PARTS OF MACHINES FOR AERATING
BEVERAGES.
842310................................. PERSONAL WEIGHING MACHINES,
INCLUDING BABY SCALES;
HOUSEHOLD SCALES.
842320................................. SCALES FOR CONTINUOUS WEIGHING
OF GOODS ON CONVEYORS.
842330................................. CONSTANT-WEIGHT SCALES AND
SCALES FOR DISCHARGING A
PREDETERMINED WEIGHT OF
MATERIAL INTO A BAG OR
CONTAINER, INCLUDING HOPPER
SCALES.
842381................................. WEIGHING MACHINERY, NESOI,
HAVING A MAXIMUM WEIGHING
CAPACITY NOT EXCEEDING 30 KG.
842382................................. WEIGHING MACHINERY, NESOI,
HAVING A MAXIMUM WEIGHING
CAPACITY EXCEEDING 30 KG BUT
NOT EXCEEDING 5,000 KG.
842389................................. WEIGHING MACHINERY, NESOI,
HAVING A MAXIMUM WEIGHING
CAPACITY EXCEEDING 5,000 KG.
842390................................. WEIGHING MACHINE WEIGHTS OF ALL
KINDS; PARTS OF WEIGHING
MACHINERY.
842410................................. FIRE EXTINGUISHERS, WHETHER OR
NOT CHARGED.
842420................................. SPRAY GUNS AND SIMILAR
APPLIANCES.
842430................................. STEAM OR SAND BLASTING MACHINES
AND SIMILAR JET PROJECTING
MACHINES.
842441................................. PORTABLE AGRICULTURAL OR
HORTICULTURAL SPRAYERS, FOR
PROJECTING, DISPERSING OR
SPRAYING LIQUIED OR POWDERS.
842449................................. AGRICULTURAL OR HORTICULTURAL
SPRAYERS, OTHER THAN PORTABLE
SPRAYERS.
842482................................. MECHANICAL APPLINACES FOR
AGRICULTURAL OR HORTICULTURAL
USE FOR PROJECTING, DISPERSING
OR SPRAYING LIQUIDS OR
POWEDERS, NESOI.
842489................................. MECHANICAL APPLIANCES FOR
PROJECTING, DISPERSING OR
SPRAYING LIQUIDS OR POWDERS,
NESOI.
842490................................. PARTS FOR MECHANICAL APPLIANCES
FOR PROJECTING, DISPERSING OR
SPRAYING, FIRE EXTINGUISHERS,
SPRAY GUNS, AND STEAM OR SAND
BLASTING MACHINES.
842511................................. PULLEY TACKLE AND HOISTS, OTHER
THAN SKIP HOISTS OR HOISTS OF
A KIND USED FOR RAISING
VEHICLES, POWERED BY ELECTRIC
MOTOR.
842519................................. PULLEY TACKLE AND HOISTS, OTHER
THAN SKIP HOISTS OR HOISTS OF
A KIND USED FOR RAISING
VEHICLES, NOT POWERED BY
ELECTRIC MOTOR.
842531................................. WINCHES AND CAPSTANS POWERED BY
ELECTRIC MOTORS.
[[Page 70]]
842539................................. WINCHES AND CAPSTANS, NOT
POWERED BY ELECTRIC MOTORS.
842541................................. BUILT-IN JACKING SYSTEMS OF A
TYPE USED IN GARAGES.
842542................................. JACKS AND HOISTS, HYDRAULIC,
EXCEPT BUILT-IN JACKING
SYSTEMS USED IN GARAGES.
842549................................. JACKS, NESOI; HOISTS OF A KIND
USED FOR RAISING VEHICLES,
NESOI.
842611................................. OVERHEAD TRAVELING CRANES ON
FIXED SUPPORT.
842612................................. MOBILE LIFTING FRAMES ON TIRES
AND STRADDLE CARRIERS.
842619................................. OVERHEAD TRAVELING CRANES,
TRANSPORTER CRANES, GANTRY AND
BRIDGE CRANES, MOBILE LIFTING
FRAMES AND STRADDLE CARRIES,
NESOI.
842620................................. TOWER CRANES.
842630................................. PORTAL OR PEDESTAL JIB CRANES.
842641................................. DERRICKS, CRANES, NESOI AND
WORKS TRUCKS FITTED WITH A
CRANE, SELF-PROPELLED, ON
TIRES.
842649................................. DERRICKS, CRANES, NESOI AND
WORKS TRUCKS FITTED WITH A
CRANE, SELF-PROPELLED, NOT ON
TIRES.
842691................................. LIFTING OR HANDLING MACHINERY
DESIGNED FOR MOUNTING ON ROAD
VEHICLES.
842699................................. LIFTING OR HANDLING MACHINERY,
NESOI.
842710................................. SELF-PROPELLED LIFTING OR
HANDLING TRUCKS POWERED BY AN
ELECTRIC MOTOR.
842720................................. SELF-PROPELLED LIFTING OR
HANDLING TRUCKS POWERED BY
OTHER THAN AN ELECTRIC MOTOR.
842790................................. FORK-LIFT AND OTHER WORKS
TRUCKS FITTED WITH LIFTING OR
HANDLING EQUIPMENT, OTHER THAN
SELF-PROPELLED, NESOI.
842810................................. PASSENGER OR FREIGHT ELEVATORS
OTHER THAN CONTINUOUS ACTION;
SKIP HOISTS.
842820................................. PNEUMATIC ELEVATORS AND
CONVEYORS.
842831................................. CONTINUOUS-ACTION ELEVATORS AND
CONVEYORS, FOR GOODS OR
MATERIALS, SPECIALLY DESIGNED
FOR UNDERGROUND USE.
842832................................. CONTINUOUS-ACTION ELEVATORS AND
CONVEYORS, FOR GOODS OR
MATERIALS, OTHER THAN FOR
UNDERGROUND USE, BUCKET TYPE.
842833................................. CONTINUOUS-ACTION ELEVATORS AND
CONVEYORS, FOR GOODS OR
MATERIALS, OTHER THAN FOR
UNDERGROUND USE, BELT TYPE.
842839................................. CONTINUOUS-ACTION ELEVATORS AND
CONVEYORS, FOR GOODS OR
MATERIALS, OTHER THAN FOR
UNDERGROUND USE, NESOI.
842840................................. ESCALATORS AND MOVING WALKWAYS.
842860................................. TELEFERICS, CHAIR LIFTS, SKI
DRAGLINES; TRACTION MECHANISMS
FOR FUNICULARS.
842870................................. LIFTING, HANDLING, LOADING OR
UNLOADING MACHINERY NESOI.
842890................................. LIFTING, HANDLING, LOADING OR
UNLOADING MACHINERY NESOI.
842911................................. BULLDOZERS AND ANGLEDOZERS,
SELF-PROPELLED, TRACK LAYING.
842919................................. BULLDOZERS AND ANGLEDOZERS,
SELF-PROPELLED, OTHER THAN
TRACK LAYING.
842920................................. GRADERS AND LEVELERS, SELF-
PROPELLED.
842930................................. SCRAPERS, SELF-PROPELLED.
842940................................. TAMPING MACHINES AND ROAD
ROLLERS, SELF-PROPELLED.
842951................................. MECHANICAL FRONT-END SHOVEL
LOADERS, SELF-PROPELLED.
842952................................. MECHANICAL SHOVELS, EXCAVATORS
AND SHOVEL LOADERS WITH 360
DEGREE REVOLVING
SUPERSTRUCTURE, SELF-
PROPELLED.
842959................................. MECHANICAL SHOVELS, EXCAVATORS
AND SHOVEL LOADERS NESOI, SELF-
PROPELLED.
843010................................. PILE-DRIVERS AND PILE-
EXTRACTORS.
843020................................. SNOWPLOWS AND SNOWBLOWERS.
843031................................. COAL OR ROCK CUTTERS AND
TUNNELING MACHINERY, SELF-
PROPELLED.
843039................................. COAL OR ROCK CUTTERS AND
TUNNELING MACHINERY, OTHER
THAN SELF-PROPELLED.
843041................................. BORING OR SINKING MACHINERY,
NESOI, SELF-PROPELLED.
843049................................. BORING OR SINKING MACHINERY,
NESOI, OTHER THAN SELF-
PROPELLED.
843050................................. MOVING, GRADING, LEVELING,
SCRAPING, EXCAVATING, TAMPING,
COMPACTING OR EXTRACTING
MACHINERY FOR EARTH, MINERALS
OR ORES, NESOI, SELF-
PROPELLED.
843061................................. TAMPING OR COMPACTING
MACHINERY, NOT SELF-PROPELLED.
[[Page 71]]
843069................................. MOVING, GRADING, LEVELING,
EXCAVATING, EXTRACTING
MACHINERY FOR EARTH, MINERALS
OR ORES, NESOI, NOT SELF-
PROPELLED.
843110................................. PARTS FOR PULLEY TACKLE AND
HOISTS (OTHER THAN SKIP
HOISTS), WINCHES, CAPSTANS AND
JACKS.
843120................................. PARTS FOR FORK-LIFT TRUCKS AND
OTHER WORKS TRUCKS FITTED WITH
LIFTING OR HANDLING EQUIPMENT.
843131................................. PARTS FOR PASSENGER OR FREIGHT
ELEVATORS OTHER THAN
CONTINUOUS ACTION, SKIP HOISTS
OR ESCALATORS.
843139................................. PARTS FOR LIFTING, HANDLING,
LOADING OR UNLOADING
MACHINERY, NESOI.
843141................................. BUCKETS, SHOVELS, GRABS AND
GRIPS FOR DERRICKS, CRANES,
BULLDOZERS, ANGLEDOZERS,
GRADERS, SCRAPERS, BORERS,
EXTRACTING, ETC. MACHINERY.
843142................................. BULLDOZER OR ANGLEDOZER BLADES.
843143................................. PARTS FOR BORING OR SINKING
MACHINERY, NESOI.
843149................................. PARTS AND ATTACHMENTS, NESOI,
FOR DERRICKS, CRANES, SELF-
PROPELLED BULLDOZERS, GRADERS
ETC. AND OTHER GRADING,
SCRAPING, ETC. MACHINERY.
843210................................. PLOWS FOR SOIL PREPARATION OR
CULTIVATION.
843221................................. DISC HARROWS.
843229................................. HARROWS (EXCEPT DISC),
SCARIFIERS, CULTIVATORS,
WEEDERS AND HOES.
843231................................. NO-TILL DIRECT SEEDERS,
PLANTERS AND TRANSPLANTERS.
843239................................. SEEDERS, PLANTERS AND
TRANSPLANTERS, NESOI.
843241................................. MANURE SPREADERS.
843242................................. FERTILIZER DISTRIBUTORS.
843280................................. AGRICULTURAL, HORTICULTURAL OR
FORESTRY MACHINERY FOR SOIL
PREPARATION OR CULTIVATION,
NESOI; LAWN OR SPORTS GROUND
ROLLERS.
843290................................. PARTS FOR AGRICULTURAL,
HORTICULTURAL OR FORESTRY
MACHINERY (FOR SOIL
PREPARATION OR CULTIVATION)
AND PARTS FOR LAWN OR GROUND
ROLLERS.
843311................................. MOWERS FOR LAWNS, PARKS OR
SPORTS GROUNDS, POWERED WITH
THE CUTTING DEVICE ROTATING IN
A HORIZONTAL PLANE.
843319................................. MOWERS FOR LAWNS, PARKS OR
SPORTS GROUNDS, EXCEPT POWERED
WITH THE CUTTING DEVICE
ROTATING IN A HORIZONTAL
PLANE.
843320................................. MOWERS, NESOI, INCLUDING CUTTER
BARS FOR TRACTOR MOUNTING.
843330................................. HAYING MACHINES, OTHER THAN
MOWERS.
843340................................. STRAW OR FODDER BALERS,
INCLUDING PICK-UP BALERS.
843351................................. COMBINE HARVESTER-THRESHERS.
843352................................. THRESHING MACHINERY, EXCEPT
COMBINE HARVESTER-THRESHERS.
843353................................. ROOT OR TUBER HARVESTING
MACHINES.
843359................................. HARVESTING MACHINERY, NESOI.
843360................................. MACHINES FOR CLEANING, SORTING
OR GRADING EGGS, FRUIT OR
OTHER AGRICULTURAL PRODUCE.
843390................................. PARTS FOR HARVESTING OR
THRESHING MACHINERY, MOWERS,
BALERS AND MACHINES FOR
CLEANING, SORTING OR GRADING
EGGS, FRUIT OR OTHER
AGRICULTURAL PRODUCE.
843410................................. MILKING MACHINES.
843420................................. DAIRY MACHINERY.
843490................................. PARTS OF MILKING MACHINES AND
DAIRY MACHINERY.
843510................................. PRESSES, CRUSHERS AND SIMILAR
MACHINERY USED IN THE
MANUFACTURE OF WINES, CIDER,
FRUIT JUICES OR SIMILAR
BEVERAGES.
843590................................. PARTS OF PRESSES, CRUSHERS AND
SIMILAR MACHINERY, USED IN THE
MANUFACTURE OF WINE, CIDER,
FRUIT JUICES OR SIMILAR
BEVERAGES.
843610................................. MACHINERY FOR PREPARING ANIMAL
FEEDS.
843621................................. POULTRY INCUBATORS AND
BROODERS.
843629................................. POULTRY-KEEPING MACHINERY
(OTHER THAN INCUBATORS AND
BROODERS).
843680................................. AGRICULTURAL, HORTICULTURAL,
FORESTRY, BEE-KEEPING
MACHINERY, INCLUDING
GERMINATION PLANT FITTED WITH
MECHANICAL OR THERMAL
EQUIPMENT, NESOI.
843691................................. PARTS OF POULTRY-KEEPING
MACHINERY OR POULTRY
INCUBATORS AND BROODERS.
[[Page 72]]
843699................................. PARTS OF AGRICULTURAL,
HORTICULTURAL, FORESTRY, BEE-
KEEPING MACHINERY, INCLUDING
GERMINATION PLANT FITTED WITH
MECHANICAL OR THERMAL
EQUIPMENT, NESOI.
843710................................. MACHINES FOR CLEANING, SORTING
OR GRADING SEED, GRAIN OR
DRIED LEGUMINOUS VEGETABLES.
843780................................. MACHINERY USED IN THE MILLING
INDUSTRY OR FOR THE WORKING OF
CEREALS OR DRIED LEGUMINOUS
VEGETABLES, OTHER THAN FARM
TYPE MACHINERY.
843790................................. PARTS OF MACHINES (NONFARM)
USED TO CLEAN, SORT OR GRADE
SEED, GRAIN OR DRIED
LEGUMINOUS VEGETABLES OR TO
WORK CEREALS OR DRIED
LEGUMINOUS VEGETABLES.
843810................................. BAKERY MACHINERY AND MACHINERY
FOR THE MANUFACTURE OF
MACARONI, SPAGHETTI OR SIMILAR
PRODUCTS.
843820................................. MACHINERY FOR THE MANUFACTURE
OF CONFECTIONERY, COCOA OR
CHOCOLATE.
843830................................. MACHINERY FOR SUGAR
MANUFACTURE.
843840................................. BREWERY MACHINERY.
843850................................. MACHINERY FOR THE PREPARATION
OF MEAT OR POULTRY.
843860................................. MACHINERY FOR THE PREPARATION
OF FRUITS, NUTS OR VEGETABLES.
843880................................. MACHINERY FOR THE INDUSTRIAL
PREPARATION OR MANUFACTURE OF
FOOD OR DRINK (NOT FOR THE
EXTRACTION ETC. OF ANIMAL OR
FIXED VEGETABLE FATS OR OILS)
NESOI.
843890................................. PARTS OF MACHINERY FOR THE
INDUSTRIAL PREPARATION OR
MANUFACTURE OF FOOD OR DRINK,
NESOI.
843910................................. MACHINERY FOR MAKING PULP OF
FIBROUS CELLULOSIC MATERIAL.
843920................................. MACHINERY FOR MAKING PAPER OR
PAPERBOARD.
843930................................. MACHINERY FOR FINISHING PAPER
OR PAPERBOARD.
843991................................. PARTS OF MACHINERY FOR MAKING
PULP OF FIBROUS CELLULOSIC
MATERIAL.
843999................................. PARTS FOR MACHINERY MAKING OR
FINISHING PAPER OR PAPERBOARD.
844010................................. BOOKBINDING MACHINERY,
INCLUDING BOOK-SEWING
MACHINES.
844090................................. PARTS FOR BOOKBINDING
MACHINERY, INCLUDING PARTS FOR
BOOK-SEWING MACHINES.
844110................................. CUTTING MACHINES FOR PAPER AND
PAPERBOARD.
844120................................. MACHINES FOR MAKING PAPER BAGS,
SACKS OR ENVELOPES.
844130................................. MACHINES FOR MAKING PAPER
CARTONS, BOXES, CASES, DRUMS
AND SIMILAR CONTAINERS, OTHER
THAN BY MOLDING.
844140................................. MACHINES FOR MOLDING ARTICLES
IN PAPER PULP, PAPER OR
PAPERBOARD.
844180................................. MACHINERY FOR MAKING UP PAPER
PULP, PAPER OR PAPERBOARD,
NESOI.
844190................................. PARTS OF MACHINERY FOR MAKING
UP PAPER PULP, PAPER OR
PAPERBOARD, INCLUDING PARTS OF
CUTTING MACHINES.
844230................................. MACHINERY, APPARATUS AND
EQUIPMENT, NESOI, FOR
PREPARING OR MAKING PRINTING
BLOCKS, PLATES, CYLINDERS OR
OTHER PRINTING COMPONENTS.
844240................................. PARTS OF MACHINERY, APPARATUS
AND EQUIPMENT, NESOI, FOR
TYPESETTING ETC. AND PREPARING
OR MAKING PRINTING BLOCKS OR
OTHER PRINTING COMPONENTS.
844250................................. PRINTING TYPE, BLOCKS, PLATES,
CYLINDERS AND OTHER PRINTING
COMPONENTS; BLOCKS, PLATES,
CYLINDERS AND LITHOGRAPHIC
STONES, PREPARED FOR PRINT
PURPOSES.
844311................................. OFFSET PRINTING MACHINERY, REEL-
FED.
844312................................. OFFSET PRINTING MACHINERY,
SHEET-FED, OFFICE TYPE (SHEET
SIZE NOT EXCEEDING 22X36 CM).
844313................................. OFFSET PRINTING MACHINERY,
NESOI.
844314................................. LETTERPRESS PRINTING MACHINERY,
REEL FED, EXCLUDING
FLEXOGRAPHIC PRINTING.
844315................................. LETTERPRESS PRINTING MACHINERY,
OTHER THAN REEL FED, EXCLUDING
FLEXOGRAPHIC PRINTING.
844316................................. FLEXOGRAPHIC PRINTING
MACHINERY.
844317................................. GRAVURE PRINTING MACHINERY.
844319................................. OFFSET PRINTING MACHINERY,
NESOI.
844331................................. MACHINES WHICH PERFORM TWO OR
MORE OF THE FUNCTIONS OF
PRINTING, COPYING OR FAX
TRANSMISSION, CAPABLE OF
CONNECTING TO AN ADP MACHINE
OR TO A NETWORK.
[[Page 73]]
844332................................. PRINTERS, COPYING MACHINES AND
FACSIMILE MACHINES, NOT
COMBINED, CAPABLE OF
CONNECTING TO AN AUTOMATIC
DATA PROCESSING MACHINE OR TO
A NETWORK.
844339................................. PRINTERS, COPYING MACHINES AND
FACSIMILE MACHINES, NOT
COMBINED, NESOI.
844391................................. PARTS AND ACCESSORIES OF
PRINTING MACHINERY USED FOR
PRINTING BY MEANS OF PLATES,
CYLINDERS AND OTHER PRINTING
COMPONENTS OF HEAD. 8442.
844399................................. PARTS AND ACCESSORIES OF
PRINTERS, COPYING MACHINES AND
FACSIMILE MACHINES, NESOI.
844400................................. MACHINES FOR EXTRUDING,
DRAWING, TEXTURING OR CUTTING
MANMADE TEXTILE MATERIALS.
844511................................. CARDING MACHINES FOR PREPARING
TEXTILE FIBERS.
844512................................. COMBING MACHINES FOR PREPARING
TEXTILE FIBERS.
844513................................. DRAWING OR ROVING MACHINES FOR
PREPARING TEXTILE FIBERS.
844519................................. MACHINES FOR PREPARING TEXTILE
FIBERS, NESOI.
844520................................. TEXTILE SPINNING MACHINES.
844530................................. TEXTILE DOUBLING OR TWISTING
MACHINES.
844540................................. TEXTILE WINDING (INCLUDING WEFT
WINDING) OR REELING MACHINES.
844590................................. MACHINERY FOR PRODUCING TEXTILE
YARNS NESOI; MACHINES FOR
PREPARING TEXTILE YARNS FOR
WEAVING MACHINES (LOOMS),
KNITTING AND STICH-BONDING
MACHINES.
844610................................. WEAVING MACHINES (LOOMS) FOR
WEAVING FABRICS OF A WIDTH NOT
EXCEEDING 30 CM.
844621................................. POWER LOOMS FOR WEAVING FABRICS
OF A WIDTH EXCEEDING 30 CM,
SHUTTLE TYPE.
844629................................. WEAVING MACHINES (LOOMS) FOR
WEAVING FABRICS OF A WIDTH
EXCEEDING 30 CM, SHUTTLE TYPE,
NESOI.
844630................................. WEAVING MACHINES (LOOMS) FOR
WEAVING FABRICS OF A WIDTH
EXCEEDING 30 CM, SHUTTLELESS
TYPE.
844711................................. CIRCULAR KNITTING MACHINES WITH
CYLINDER DIAMETER NOT
EXCEEDING 165 MM.
844712................................. CIRCULAR KNITTING MACHINES WITH
CYLINDER DIAMETER EXCEEDING
165 MM.
844720................................. FLAT KNITTING MACHINES; STITCH-
BONDING MACHINES.
844790................................. KNITTING MACHINES, NESOI, AND
MACHINES FOR MAKING GIMPED
YARN, TULLE, LACE, EMBROIDERY,
TRIMMINGS, BRAID OR NET AND
MACHINES FOR TUFTING.
844811................................. AUXILIARY MACHINERY FOR TEXTILE
MACHINES (HEADINGS 8444 TO
8447), DOBBIES AND JACQUARDS,
CARD REDUCING, COPYING,
PUNCHING OR ASSEMBLING
MACHINES.
844819................................. AUXILIARY MACHINERY FOR TEXTILE
MACHINES (HEADINGS 8444 TO
8447), NESOI.
844820................................. PARTS AND ACCESSORIES FOR
MACHINES FOR EXTRUDING,
DRAWING, TEXTURING OR CUTTING
MANMADE TEXTILE MATERIALS, OR
OF THEIR AUXILIARY MACHINERY.
844831................................. CARD CLOTHING.
844832................................. PARTS OF MACHINES FOR PREPARING
TEXTILE FIBERS, OTHER THAN
CARD CLOTHING.
844833................................. SPINDLES, SPINDLE FLYERS,
SPINNING RINGS AND RING
TRAVELLERS, FOR MACHINERY USED
FOR PREPARING OR PRODUCING
TEXTILE YARNS, ETC.
844839................................. PARTS AND ACCESSORIES FOR
TEXTILE SPINNING, DOUBLING OR
TWISTING, WINDING OR REELING
AND YARN PRODUCING MACHINES,
ETC., NESOI.
844842................................. REEDS FOR LOOMS, HEALDS AND
HEALD-FRAMES.
844849................................. PARTS AND ACCESSORIES OF
WEAVING MACHINES (LOOMS) OR OF
THEIR AUXILIARY MACHINERY,
NESOI.
844851................................. SINKERS, NEEDLES AND OTHER
ARTICLES USED IN FORMING
STITCHES FOR KNITTING
MACHINES, STITCH-BONDING AND
GIMPED YARN ETC. MACHINES.
844859................................. PARTS AND ACCESSORIES NESOI FOR
MACHINES FOR KNITTING, STITCH-
BONDING, MAKING GIMPED YARN,
TULLE, LACE, EMBROIDERY,
TRIMMING, BRAID, NET OR
TUFTING.
844900................................. MACHINERY FOR THE MANUFACTURE
OR FINISHING OF FELT OR
NONWOVENS IN THE PIECE OR IN
SHAPES, OR FOR MAKING OR
BLOCKING FELT HATS; PARTS
THEREOF.
[[Page 74]]
845011................................. HOUSEHOLD- OR LAUNDRY-TYPE
WASHING MACHINES, FULLY
AUTOMATIC, WITH A DRY LINEN
CAPACITY NOT EXCEEDING 10 KG.
845012................................. HOUSEHOLD- OR LAUNDRY-TYPE
WASHING MACHINES, NOT FULLY
AUTOMATIC, WITH A BUILT-IN
CENTRIFUGAL DRYER, WITH A DRY
LINEN CAPACITY NOT EXCEEDING
10 KG.
845019................................. HOUSEHOLD- OR LAUNDRY-TYPE
WASHING MACHINES, WITH A DRY
LINEN CAPACITY NOT EXCEEDING
10 KG, NESOI.
845020................................. HOUSEHOLD- OR LAUNDRY-TYPE
WASHING MACHINES, WITH A DRY
LINEN CAPACITY EXCEEDING 10
KG.
845090................................. PARTS OF HOUSEHOLD- OR LAUNDRY-
TYPE WASHING MACHINES,
INCLUDING PARTS OF MACHINES
WHICH BOTH WASH AND DRY.
845110................................. DRY-CLEANING MACHINES FOR
TEXTILES YARNS, FABRICS OR
MADE UP TEXTILE ARTICLES.
845121................................. DRYING MACHINES (EXCEPT
CENTRIFUGAL TYPE) FOR TEXTILE
YARNS, FABRICS OR MADE UP
TEXTILE ARTICLES, WITH A DRY
LINEN CAPACITY NOT EXCEEDING
10 KG.
845129................................. DRYING MACHINES (EXCEPT
CENTRIFUGAL TYPE) FOR TEXTILE
YARNS, FABRICS OR MADE UP
TEXTILE ARTICLES, WITH A DRY
LINEN CAPACITY EXCEEDING 10
KG.
845130................................. IRONING MACHINES AND PRESSES
(INCLUDING FUSING PRESSES) FOR
TEXTILE YARNS, FABRICS OR MADE
UP TEXTILE ARTICLES.
845140................................. WASHING, BLEACHING OR DYEING
MACHINES FOR TEXTILES YARNS,
FABRICS OR MADE UP TEXTILES
ARTICLES.
845150................................. MACHINES FOR REELING,
UNREELING, FOLDING, CUTTING OR
PINKING TEXTILE FABRICS.
845180................................. MACHINERY FOR FINISHING,
COATING OR IMPREGNATING
TEXTILES YARNS, FABRICS OR
MADE UP TEXTILE ARTICLES;
MACHINES FOR APPLYING PASTE TO
BASE FABRICS ETC.
845190................................. PARTS FOR MACHINERY FOR
WASHING, CLEANING, WRINGING
ETC. TEXTILE YARNS AND
FABRICS, APPLYING PASTE TO
BASE FABRIC ETC. AND REELING
ETC. TEXTILE FABRIC.
845210................................. SEWING MACHINES OF THE
HOUSEHOLD TYPE.
845221................................. SEWING MACHINES OTHER THAN OF
THE HOUSEHOLD TYPE, AUTOMATIC
UNITS.
845229................................. SEWING MACHINES OTHER THAN OF
THE HOUSEHOLD OR AUTOMATIC
TYPES.
845230................................. SEWING MACHINE NEEDLES.
845290................................. PARTS FOR SEWING MACHINES,
NESOI.
845310................................. MACHINES FOR PREPARING, TANNING
OR WORKING HIDES, SKINS OR
LEATHER.
845320................................. MACHINERY FOR MAKING OR
REPAIRING FOOTWEAR.
845380................................. MACHINERY (OTHER THAN SEWING
MACHINES), FOR MAKING OR
REPAIRING ARTICLES OF HIDES,
SKINS OR LEATHER, EXCEPT
FOOTWEAR.
845390................................. PARTS OF MACHINERY (EXCEPT
SEWING MACHINES) FOR TANNING
ETC. HIDES, SKINS OR LEATHER
OR FOR MAKING OR REPAIRING
ARTICLES OF HIDES, SKINS OR
LEATHER.
845410................................. CONVERTERS USED IN METALLURGY
OR METAL FOUNDRIES.
845420................................. INGOT MOLDS AND LADLES USED IN
METALLURGY OR METAL FOUNDRIES.
845430................................. CASTING MACHINES USED IN
METALLURGY OR METAL FOUNDRIES.
845490................................. PARTS FOR CONVERTERS, LADLES,
INGOT MOLDS AND CASTING
MACHINES USED IN METALLURGY OR
METAL FOUNDRIES.
845510................................. METAL-ROLLING TUBE MILLS.
845521................................. METAL-ROLLING HOT OR
COMBINATION HOT AND COLD
ROLLING MILLS, EXCEPT TUBE
MILLS.
845522................................. COLD METAL-ROLLING MILLS,
EXCEPT TUBE MILLS.
845530................................. ROLLS FOR METAL-ROLLING MILLS.
845590................................. PARTS FOR METAL-ROLLING MILLS,
EXCEPT ROLLS FOR ROLLING
MILLS.
845611................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL OPERATED BY LASER.
845612................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL OPERATED BY OTHER
LIGHT OR PHOTON BEAM
PROCESSES.
845620................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL, BY ULTRASONIC
PROCESSES.
845630................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL, BY ELECTRO-DISCHARGE
PROCESSES.
[[Page 75]]
845640................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL OPERATED BY PLASMA
ARC PROCESSES.
845650................................. MACHINE TOOLS FOR WORKING ANY
MATERIAL BY REMOVAL OF
MATERIAL, WATER-JET CUTTING
MACHINES.
845690................................. MACHINE TOOLS FOR REMOVAL OF
MATERIAL BY ELECTRO-CHEMICAL,
ELECTRON-BEAM, IONIC-BEAM OR
PLASMA ARC PROCESSES,
N.E.S.O.I.
845710................................. MACHINING CENTERS FOR WORKING
METAL.
845720................................. UNIT CONSTRUCTION MACHINES
(SINGLE STATION) FOR WORKING
METAL.
845730................................. MULTISTATION TRANSFER MACHINES
FOR WORKING METAL.
845811................................. HORIZONTAL LATHES FOR REMOVING
METAL, NUMERICALLY CONTROLLED.
845819................................. HORIZONTAL LATHES FOR REMOVING
METAL, NOT NUMERICALLY
CONTROLLED.
845891................................. LATHES, EXCLUDING HORIZONTAL,
FOR REMOVING METAL,
NUMERICALLY CONTROLLED.
845899................................. LATHES, EXCLUDING HORIZONTAL,
FOR REMOVING METAL, NOT
NUMERICALLY CONTROLLED.
845910................................. WAY-TYPE UNIT HEAD MACHINES FOR
REMOVING METAL.
845921................................. DRILLING MACHINES FOR REMOVING
METAL NESOI, NUMERICALLY
CONTROLLED.
845929................................. DRILLING MACHINES FOR REMOVING
METAL NESOI, NOT NUMERICALLY
CONTROLLED.
845931................................. BORING-MILLING MACHINES FOR
REMOVING METAL NESOI,
NUMERICALLY CONTROLLED.
845939................................. BORING-MILLING MACHINES FOR
REMOVING METAL NESOI, NOT
NUMERICALLY CONTROLLED.
845941................................. NUMERICALLY CONTROLLED BORING
MACHINES, NESOI.
845949................................. OTHER BORING MACHINES, NESOI.
845951................................. MILLING MACHINES, KNEE TYPE,
FOR REMOVING METAL,
NUMERICALLY CONTROLLED.
845959................................. MILLING MACHINES, KNEE TYPE,
FOR REMOVING METAL, NOT
NUMERICALLY CONTROLLED.
845961................................. MILLING MACHINES, NOT KNEE
TYPE, FOR REMOVING METAL,
NUMERICALLY CONTROLLED.
845969................................. MILLING MACHINES, NOT KNEE
TYPE, FOR REMOVING METAL, NOT
NUMERICALLY CONTROLLED.
845970................................. THREADING OR TAPPING MACHINES,
FOR REMOVING METAL.
846012................................. FLAT-SURFACE GRINDING MACHINES,
NUMERICALLY CONTROLLED.
846019................................. FLAT-SURFACE GRINDING MACHINES
FOR REMOVING METAL, AXIS
ACCURACY OF 0.01 MM OR MORE,
NOT NUMERICALLY CONTROLLED.
846022................................. CENTERLESS GRINDING MACHINES,
NUMERICALLY CONTROLLED.
846023................................. OTHER CYLINDRICAL GRINDING
MACHINES, NUMERICALLY
CONTROLLED.
846024................................. OTHER GRINDING MACHINES, NESOI,
NUMERICALLY CONTROLLED.
846029................................. GRINDING MACHINES FOR REMOVING
METAL, EXCEPT FLAT-SURFACE,
AXIS ACCURACY OF 0.01 MM OR
MORE, NOT NUMERICALLY
CONTROLLED.
846031................................. SHARPENING (TOOL OR CUTTER
GRINDING) MACHINES FOR
REMOVING METAL, NUMERICALLY
CONTROLLED.
846039................................. SHARPENING (TOOL OR CUTTER
GRINDING) MACHINES FOR
REMOVING METAL, NOT
NUMERICALLY CONTROLLED.
846040................................. HONING OR LAPPING MACHINES FOR
REMOVING METAL.
846090................................. MACHINE TOOLS FOR DEBURRING,
POLISHING METAL, SINTERED
METAL CARBIDES, ABRASIVES OR
POLISHING PRODUCTS, OTHER THAN
GEAR CUTTING, ETC., NESOI.
846120................................. SHAPING OR SLOTTING MACHINES
FOR REMOVING METAL.
846130................................. BROACHING MACHINES FOR REMOVING
METAL.
846140................................. GEAR CUTTING, GEAR GRINDING OR
GEAR FINISHING MACHINES.
846150................................. SAWING OR CUTTING-OFF MACHINES
FOR REMOVING METAL.
846190................................. MACHINE TOOLS WORKING BY
REMOVING METAL, SINTERED METAL
CARBIDES OR CERMETS, NESOI.
846211................................. FORGING OR DIE-STAMPING
MACHINES (INCLUDING PRESSES)
AND HAMMERS FOR WORKING METAL.
846219................................. FORGING OR DIE-STAMPING
MACHINES (INCLUDING PRESSES)
AND HAMMERS FOR WORKING METAL.
846222................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NOT NUMERICALLY
CONTROLLED.
[[Page 76]]
846223................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NUMERICALLY
CONTROLLED.
846224................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NUMERICALLY
CONTROLLED.
846225................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NUMERICALLY
CONTROLLED.
846226................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NUMERICALLY
CONTROLLED.
846229................................. BENDING, FOLDING, STRAIGHTENING
OR FLATTENING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, NOT NUMERICALLY
CONTROLLED.
846232................................. SHEARING MACHINES (INCLUDING
PRESSES) FOR WORKING METAL,
OTHER THAN COMBINED PUNCHING
AND SHEARING MACHINES,
NUMERICALLY CONTROLLED.
846233................................. SHEARING MACHINES (INCLUDING
PRESSES) FOR WORKING METAL,
OTHER THAN COMBINED PUNCHING
AND SHEARING MACHINES,
NUMERICALLY CONTROLLED.
846239................................. SHEARING MACHINES (INCLUDING
PRESSES) FOR WORKING METAL,
OTHER THAN COMBINED PUNCHING
AND SHEARING MACHINES, NOT
NUMERICALLY CONTROLLED.
846242................................. PUNCHING OR NOTCHING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, INCLUDING
COMBINED PUNCHING AND SHEARING
MACHINES, NUMERICALLY
CONTROLLED.
846249................................. PUNCHING OR NOTCHING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, INCLUDING
COMBINED PUNCHING AND SHEARING
MACHINES, NOT NUMERICALLY
CONTROLLED.
846251................................. PUNCHING OR NOTCHING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, INCLUDING
COMBINED PUNCHING AND SHEARING
MACHINES, NUMERICALLY
CONTROLLED.
846259................................. PUNCHING OR NOTCHING MACHINES
(INCLUDING PRESSES) FOR
WORKING METAL, INCLUDING
COMBINED PUNCHING AND SHEARING
MACHINES, NOT NUMERICALLY
CONTROLLED.
846261................................. HYDRAULIC PRESSES FOR WORKING
METAL.
846262................................. MACHINE TOOLS (INCLUDING
PRESSES) FOR WORKING METAL BY
FORGING, HAMMERING, DIE-
CASTING, BENDING, FOLDING,
FLATTENING, WORKING METAL
CARBIDES, NESOI.
846263................................. MACHINE TOOLS (INCLUDING
PRESSES) FOR WORKING METAL BY
FORGING, HAMMERING, DIE-
CASTING, BENDING, FOLDING,
FLATTENING, WORKING METAL
CARBIDES, NESOI.
846269................................. MACHINE TOOLS (INCLUDING
PRESSES) FOR WORKING METAL BY
FORGING, HAMMERING, DIE-
CASTING, BENDING, FOLDING,
FLATTENING, WORKING METAL
CARBIDES, NESOI.
846290................................. MACHINE TOOLS (INCLUDING
PRESSES) FOR WORKING METAL BY
FORGING, HAMMERING, DIE-
CASTING, BENDING, FOLDING,
FLATTENING, WORKING METAL
CARBIDES, NESOI.
846310................................. DRAW-BENCHES FOR BARS, TUBES,
PROFILES, WIRE OR THE LIKE FOR
WORKING METAL WITHOUT REMOVING
MATERIAL.
846320................................. THREAD ROLLING MACHINES FOR
WORKING METAL WITHOUT REMOVING
MATERIAL.
846330................................. MACHINES FOR WORKING WIRE
WITHOUT REMOVING MATERIAL.
846390................................. MACHINE TOOLS FOR WORKING
METAL, SINTERED METAL CARBIDES
OR CERMETS, WITHOUT REMOVING
MATERIAL, NESOI.
846410................................. SAWING MACHINES FOR WORKING
STONE, CERAMICS, CONCRETE,
ASBESTOS-CEMENT OR LIKE
MINERAL MATERIALS OR FOR COLD
WORKING GLASS.
846420................................. GRINDING OR POLISHING MACHINES
FOR WORKING STONE, CERAMICS,
CONCRETE, ASBESTOS-CEMENT OR
LIKE MINERAL MATERIALS OR FOR
COLD WORKING GLASS.
846490................................. MACHINE TOOLS FOR WORKING
STONE, CERAMICS, CONCRETE,
ASBESTOS-CEMENT OR LIKE
MINERAL MATERIALS OR FOR COLD
WORKING GLASS, NESOI.
[[Page 77]]
846510................................. MACHINES FOR WORKING WOOD, HARD
RUBBER, ETC., WHICH CARRY OUT
DIFFERENT MACHINE OPERATIONS
WITHOUT TOOL CHANGES BETWEEN
OPERATIONS.
846520................................. MACHINING CENTERS FOR WORKING
CORK, BONE, HARD RUBBER, HARD
PLASTICS OR SIMILIAR HARD
MATERALS.
846591................................. SAWING MACHINES FOR WORKING
WOOD, CORK, BONE, HARD RUBBER,
HARD PLASTICS OR SIMILAR HARD
MATERIALS.
846592................................. PLANING, MILLING OR MOLDING (BY
CUTTING) MACHINES FOR WORKING
WOOD, CORK, BONE, HARD RUBBER,
HARD PLASTICS OR SIMILAR HARD
MATERIALS.
846593................................. GRINDING, SANDING OR POLISHING
MACHINES FOR WORKING WOOD,
CORK, BONE, HARD RUBBER, HARD
PLASTICS OR SIMILAR HARD
MATERIALS.
846594................................. BENDING OR ASSEMBLING MACHINES
FOR WORKING WOOD, CORK, BONE,
HARD RUBBER, HARD PLASTICS OR
SIMILAR HARD MATERIALS.
846595................................. DRILLING OR MORTISING MACHINES
FOR WORKING WOOD, CORK, BONE,
HARD RUBBER, HARD PLASTICS OR
SIMILAR HARD MATERIALS.
846596................................. SPLITTING, SLICING OR PARING
MACHINES FOR WORKING WOOD,
CORK, BONE, HARD RUBBER, HARD
PLASTICS OR SIMILAR HARD
MATERIALS.
846599................................. MACHINE TOOLS (ALSO THOSE FOR
NAILING, STAPLING, GLUEING,
ETC.) FOR WORKING WOOD, CORK,
BONE, HARD RUBBER, HARD
PLASTICS OR SIMILAR MATERIALS,
NESOI.
846610................................. TOOL HOLDERS AND SELF-OPENING
DIEHEADS FOR MACHINES OR ANY
TYPE OF TOOL FOR WORKING IN
THE HAND.
846620................................. WORK HOLDERS FOR MACHINE TOOLS.
846630................................. DIVIDING HEADS AND OTHER
SPECIAL ATTACHMENTS FOR
MACHINE TOOLS.
846691................................. PARTS AND ACCESSORIES FOR
MACHINE TOOLS FOR WORKING
STONE, CERAMICS, CONCRETE,
ASBESTOS-CEMENT OR LIKE
MATERIALS OR FOR COLD WORKING
GLASS, NESOI.
846692................................. PARTS AND ACCESSORIES FOR
MACHINE TOOLS FOR WORKING
WOOD, CORK, BONE, HARD RUBBER,
HARD PLASTICS OR SIMILAR HARD
MATERIALS, NESOI.
846693................................. PARTS AND ACCESSORIES FOR
MACHINE TOOLS, FOR LASER
OPERATION, METALWORKING
MACHINING CENTERS, LATHES AND
DRILLING MACHINES, ETC.,
NESOI.
846694................................. PARTS AND ACCESSORIES FOR
MACHINES TOOLS, FOR FORGING,
DIE-STAMPING, SHEARING, ETC.
METAL AND THOSE FOR WORKING
METAL WITHOUT REMOVING
MATERIAL, NESOI.
846711................................. PNEUMATIC TOOLS FOR WORKING IN
THE HAND, ROTARY TYPE
(INCLUDING COMBINED ROTARY-
PERCUSSION).
846719................................. PNEUMATIC TOOLS FOR WORKING IN
THE HAND, EXCEPT ROTARY TYPE
846721................................. DRILLS WITH SELF-CONTAINED
ELECTRIC MOTORS, FOR WORKING
IN THE HAND.
846722................................. SAWS WITH SELF-CONTAINED
ELECTRIC MOTORS, FOR WORKING
IN THE HAND.
846729................................. TOOLS FOR WORKING IN THE HAND,
WITH SELF-CONTAINED ELECTRIC
MOTORS, NESOI.
846781................................. CHAIN SAWS, SELF-CONTAINED
NONELECTRIC MOTOR, HAND-
DIRECTED.
846789................................. TOOLS FOR WORKING IN THE HAND,
WITH SELF-CONTAINED
NONELECTRIC MOTOR, NESOI.
846791................................. PARTS OF CHAIN SAWS.
846792................................. PARTS OF PNEUMATIC TOOLS FOR
WORKING IN THE HAND.
846799................................. PARTS OF TOOLS WITH SELF-
CONTAINED NONELECTRIC MOTOR,
FOR WORKING IN THE HAND,
NESOI.
846810................................. HAND-HELD BLOW TORCHES.
846820................................. GAS OPERATED MACHINERY AND
APPARATUS FOR SOLDERING,
BRAZING OR WELDING, OTHER THAN
HAND-HELD BLOW TORCHES.
846880................................. MACHINERY AND APPARATUS FOR
SOLDERING, BRAZING OR WELDING,
NESOI.
846890................................. PARTS OF MACHINERY AND
APPARATUS FOR SOLDERING,
BRAZING OR WELDING, NESOI.
847010................................. ELECTRONIC CALCULATORS CAPABLE
OF OPERATION WITHOUT AN
EXTERNAL SOURCE OF POWER.
[[Page 78]]
847021................................. ELECTRONIC CALCULATING
MACHINES, NESOI, INCORPORATING
A PRINTING DEVICE.
847029................................. ELECTRONIC CALCULATING
MACHINES, NESOI, NOT
INCORPORATING A PRINTING
DEVICE.
847030................................. CALCULATING MACHINES, EXCEPT
ELECTRONIC.
847050................................. CASH REGISTERS.
847090................................. POSTAGE-FRANKING MACHINES,
TICKET-ISSUING MACHINES AND
SIMILAR MACHINES,
INCORPORATING A CALCULATING
DEVICE, NESOI.
847130................................. PORTABLE DIGTL AUTOMATIC DATA
PROCESSING MACHINES, WEIGHT
NOT MORE THAN 10 KG,
CONSISTING OF AT LEAST A
CENTRAL PROCESSING UNIT,
KEYBOARD & A DISPLAY.
847141................................. DIGITAL ADP MACHINES COMPRISING
IN SAME HOUSING AT LEAST A
CENTRAL PROCESSING UNIT AND AN
INPUT AND OUTPUT UNIT, WHETHER
OR NOT COMBINED, N.E.S.O.I.
847149................................. DIGITAL AUTOMATIC DATA
PROCESSING MACHINES AND UNITS
THEREOF PRESENTED IN THE FORM
OF SYSTEMS, N.E.S.O.I.
847150................................. DIGITAL PROCESSING UNITS OTHER
THAN THOSE OF 8471.41 AND
8471.49, N.E.S.O.I.
847160................................. AUTOMATIC DATA PROCESSING INPUT
OR OUTPUT UNITS, WHETHER OR
NOT CONTAINING STORAGE UNITS
IN THE SAME HOUSING,
N.E.S.O.I.
847170................................. AUTOMATIC DATA PROCESSING
STORAGE UNITS, N.E.S.O.I.
847180................................. AUTOMATIC DATA PROCESSING
UNITS, N.E.S.O.I.
847190................................. AUTOMATIC DATA PROCESSING UNTS
THEREOF; MAGNETIC/OPTICAL
READERS, MACH FOR TRANSCRIBING
DATA TO DATA MEDIA IN CODED
FORM & MACH FOR PROC DATA,
NESOI.
847210................................. DUPLICATING MACHINES.
847230................................. MACHINES FOR SORTING OR FOLDING
MAIL, FOR INSERTING MAIL IN
ENVELOPES, OR FOR OPENING OR
SEALING MAIL AND MACHINES FOR
AFFIXING OR CANCELLING
POSTAGE.
847290................................. OFFICE MACHINES NESOI
(INCLUDING AUTOMATIC BANKNOTE
DISPENSERS, COIN-SORTING
MACHINES, PENCIL-SHARPENING
MACHINES, PERFORATING OR
STAPLING MACHINES).
847321................................. PARTS AND ACCESSORIES FOR
ELECTRONIC CALCULATORS AND
CALCULATING MACHINES.
847329................................. PARTS AND ACCESSORIES FOR CASH
REGISTERS AND MACHINES FOR
ACCOUNTING, POSTAGE-FRANKING,
TICKET-ISSUING AND SIMILAR
MACHINES WITH A CALCULATING
DEVICE.
847330................................. PARTS AND ACCESSORIES FOR
AUTOMATIC DATA PROCESSING
MACHINES AND UNITS THEREOF,
MAGNETIC OR OPTICAL READERS,
TRANSCRIBING MACHINES, ETC.,
NESOI.
847340................................. PARTS AND ACCESSORIES FOR
OFFICE MACHINES, NESOI (FOR
EXAMPLE, DUPLICATING MACHINES,
ADDRESSING MACHINES, STAPLING
MACHINES, ETC.).
847350................................. PARTS AND ACCESSORIES EQUALLY
SUITABLE FOR USE WITH MACHINES
OF TWO OR MORE OF THE HEADINGS
8469 TO 8472.
847410................................. MACHINES FOR SORTING,
SCREENING, SEPARATING OR
WASHING EARTH, STONE, ORE OR
OTHER MINERAL SUBSTANCES, IN
SOLID FORM.
847420................................. MACHINES FOR CRUSHING OR
GRINDING EARTH, STONE, ORE OR
OTHER MINERAL SUBSTANCES, IN
SOLID FORM.
847431................................. CONCRETE OR MORTAR MIXERS.
847432................................. MACHINES FOR MIXING MINERAL
SUBSTANCES WITH BITUMEN.
847439................................. MACHINES FOR MIXING OR KNEADING
EARTH, STONE, ORE OR OTHER
MINERAL SUBSTANCES IN SOLID
FORM, NESOI.
847480................................. MACHINERY FOR AGGLOMERATING
ETC. SOLID MINERAL FUELS,
CERAMIC PASTE OR OTHER MINERAL
PRODUCTS; MACHINES FOR FORMING
FOUNDRY MOLDS OF SAND.
847490................................. PARTS OF MACHINERY FOR SORTING,
SCREENING, SEPARATING AND
KNEADING OR PROCESSING, ETC.
EARTH, STONE, ORES OR OTHER
MINERAL SUBSTANCES IN SOLID
FORM.
847510................................. MACHINES FOR ASSEMBLING
ELECTRIC OR ELECTRONIC LAMPS,
TUBES OR FLASHBULBS, IN GLASS
ENVELOPES.
847521................................. MACHINES FOR MAKING OPTICAL
FIBERS AND PREFORMS THEREOF.
847529................................. MACHINES FOR MANUFACTURING OR
HOT WORKING GLASS OR
GLASSWARE, NESOI.
[[Page 79]]
847590................................. PARTS OF MACHINES FOR
ASSEMBLING ELECTRIC OR
ELECTRONIC LAMPS, TUBES ETC.,
IN GLASS ENVELOPES AND FOR
MANUFACTURING OR HOT WORKING
GLASS OR GLASSWARE.
847621................................. AUTOMATIC BEVERAGE VENDING
MACHINES INCORPORATING HEATING
OR REFRIGERATING DEVICES.
847629................................. AUTOMATIC BEVERAGE VENDING
MACHINES NOT INCORPORATING
HEATING OR REFRIGERATING
DEVICES.
847681................................. AUTOMATIC GOOGS-VENDING
MACHINES INCORPORATING HEATING
OR REFRIGERATING DEVICES,
NESOI.
847689................................. AUTOMATIC GOODS-VENDING
MACHINES NOT INCORPORATINNG
HEATING OR REFRIGERATING
DEVICES, NESOI.
847690................................. PARTS OF AUTOMATIC VENDING
MACHINES.
847710................................. INJECTION-MOLDING MACHINES FOR
WORKING RUBBER OR PLASTICS.
847720................................. EXTRUDERS FOR WORKING RUBBER OR
PLASTICS.
847730................................. BLOW-MOLDING MACHINES FOR
WORKING RUBBER OR PLASTIC.
847740................................. VACUUM-MOLDING MACHINES AND
OTHER THERMOFORMING MACHINES,
FOR MOLDING OR FORMING RUBBER
OR PLASTICS.
847751................................. MACHINERY FOR MOLDING OR
RETREADING PNEUMATIC TIRES OR
FOR MOLDING OR OTHERWISE
FORMING INNER TUBES.
847759................................. MACHINERY FOR MOLDING OR
OTHERWISE FORMING RUBBER OR
PLASTICS, NESOI.
847780................................. MACHINERY FOR WORKING RUBBER OR
PLASTICS OR FOR THE
MANUFACTURE OF PRODUCTS FROM
THESE MATERIALS, NESOI.
847790................................. PARTS OF MACHINERY FOR WORKING
RUBBER OR PLASTICS OR PARTS OF
MACHINERY USED IN THE
MANUFACTURE OF PRODUCTS FROM
RUBBER OR PLASTICS MATERIALS,
NESOI.
847810................................. MACHINERY FOR PREPARING OR
MAKING UP TOBACCO, NESOI.
847890................................. PARTS OF MACHINERY, NESOI, FOR
PREPARING OR MAKING UP
TOBACCO.
847910................................. MACHINERY FOR PUBLIC WORKS,
BUILDING OR THE LIKE.
847920................................. MACHINERY FOR THE EXTRACTION OR
PREPARATION OF ANIMAL OR FIXED
VEGETABLE FATS OR OILS.
847930................................. PRESSES FOR MANUFACTURING
PARTICLE BOARD OR FIBER
BUILDING BOARD OF WOOD OR
OTHER LIGNEOUS MATERIALS AND
OTHER MACHINERY FOR TREATING
WOOD OR CORK.
847940................................. ROPE OR CABLE-MAKING MACHINES.
847950................................. INDUSTRIAL ROBOTS FOR MULTIPLE
USES.
847960................................. EVAPORATIVE AIR COOLERS.
847971................................. PASSENGER BOARDING BRIDGES OF A
KIND USED IN AIRPORTS.
847979................................. PASSENGER BOARDING BRIDGES,
OTHER THAN THOSE OF A KIND
USED IN AIRPORTS.
847981................................. MACHINES AND MECHANICAL
APPLIANCES FOR TREATING METAL,
INCLUDING ELECTRIC WIRE COIL-
WINDERS.
847982................................. MACHINES AND MECHANICAL
APPLIANCES FOR MIXING,
KNEADING, CRUSHING, GRINDING,
SCREENING, SIFTING,
HOMOGENIZING, EMULSIFYING OR
STIRRING, NESOI.
847983................................. MACHINES AND MECHANICAL
APPLIANCES HAVING INDIVIDUAL
FUNCTIONS, NESOI.
847989................................. MACHINES AND MECHANICAL
APPLIANCES HAVING INDIVIDUAL
FUNCTIONS, NESOI.
847990................................. PARTS OF MACHINES AND
MECHANICAL APPLIANCES HAVING
INDIVIDUAL FUNCTIONS, NESOI.
848010................................. MOLDING BOXES FOR METAL
FOUNDRY.
848020................................. MOLD BASES.
848030................................. MOLDING PATTERNS.
848041................................. MOLDS FOR METAL OR METAL
CARBIDES, INJECTION OR
COMPRESSION TYPES.
848049................................. MOLDS FOR METAL OR METAL
CARBIDES, OTHER THAN INJECTION
OR COMPRESSION TYPES.
848050................................. MOLDS FOR GLASS.
848060................................. MOLDS FOR MINERAL MATERIALS.
848071................................. MOLDS FOR RUBBER OR PLASTICS,
INJECTION OR COMPRESSION
TYPES.
848079................................. MOLDS FOR RUBBER OR PLASTICS,
OTHER THAN INJECTION OR
COMPRESSION TYPES.
848110................................. PRESSURE-REDUCING VALVES.
848120................................. VALVES FOR OLEOHYDRAULIC OR
PNEUMATIC TRANSMISSIONS.
848130................................. CHECK VALVES.
848140................................. SAFETY OR RELIEF VALVES.
848180................................. TAPS, COCKS, VALVES AND SIMILAR
APPLIANCES FOR PIPES, VATS OR
THE LIKE, INCLUDING
THERMOSTATICALLY CONTROLLED
VALVES, NESOI.
[[Page 80]]
848190................................. PARTS FOR TAPS, COCKS, VALVES
AND SIMILAR APPLIANCES FOR
PIPES, VATS OR THE LIKE,
INCLUDING PRESSURE REDUCING
AND THERMOSTATICALLY
CONTROLLED VALVES.
848210................................. BALL BEARINGS.
848220................................. TAPERED ROLLER BEARINGS,
INCLUDING CONE AND TAPERED
ROLLER ASSEMBLIES.
848230................................. SPHERICAL ROLLER BEARINGS.
848240................................. NEEDLE ROLLER BEARINGS.
848250................................. CYLINDRICAL ROLLER BEARINGS
NESOI.
848280................................. BALL OR ROLLER BEARINGS NESOI,
INCLUDING COMBINED BALL/ROLLER
BEARINGS.
848291................................. BALLS, NEEDLES AND ROLLERS FOR
BALL OR ROLLER BEARINGS.
848299................................. PARTS OF BALL OR ROLLER
BEARINGS, NESOI.
848310................................. TRANSMISSION SHAFTS (INCLUDING
CAMSHAFTS AND CRANKSHAFTS) AND
CRANKS.
848320................................. HOUSED BEARINGS, INCORPORATING
BALL OR ROLLER BEARINGS.
848330................................. BEARING HOUSINGS; PLAIN SHAFT
BEARINGS.
848340................................. GEARS AND GEARING (EXCEPT
TOOTHED WHEELS, CHAIN
SPROCKETS, ETC.); BALL OR
ROLLER SCREWS; GEAR BOXES AND
OTHER SPEED CHANGERS, INCL
TORQUE CONVERTERS.
848350................................. FLYWHEELS AND PULLEYS,
INCLUDING PULLEY BLOCKS.
848360................................. CLUTCHES AND SHAFT COUPLINGS
(INCLUDING UNIVERSAL JOINTS).
848390................................. TOOTHED WHEELS, CHAIN SPROCKETS
AND OTHER TRANSMISSION
ELEMENTS PRESENTED SEPARATELY;
PARTS.
848410................................. GASKETS AND SIMILAR JOINTS OF
METAL SHEETING COMBINED WITH
OTHER MATERIAL OR OF TWO OR
MORE LAYERS OF METAL.
848420................................. MECHANICAL SEALS.
848490................................. SETS OR ASSORTMENTS OF GASKETS
AND SIMILAR JOINTS, DISSIMILAR
IN COMPOSITION, PUT UP IN
POUCHES, ENVELOPES OR SIMILAR
PACKINGS.
848510................................. SHIPS' OR BOATS' PROPELLERS AND
BLADES THEREFOR.
848520................................. MACHINERY FOR WORKING RUBBER OR
PLASTICS OR FOR THE
MANUFACTURE OF PRODUCTS FROM
THESE MATERIALS, NESOI.
848530................................. MACHINES AND MECHANICAL
APPLIANCES HAVING INDIVIDUAL
FUNCTIONS, NESOI.
848580................................. MACHINES AND MECHANICAL
APPLIANCES HAVING INDIVIDUAL
FUNCTIONS, NESOI.
848590................................. MACHINERY PARTS, NOT CONTAINING
ELECTRICAL CONNECTORS,
INSULATORS, COILS, CONTACTS OR
OTHER ELECTRICAL FEATURES,
NESOI.
848610................................. MACHINES AND APPARATUS FOR THE
MANUFACTURE OF BOULES OR
WAFERS.
848620................................. MACHINES AND APPARATUS FOR THE
MANUFACTURE OF SEMICONDUCTOR
DEVICES OR OF ELECTRONIC
INTEGRATES CIRCUITS.
848630................................. MACHINES AND APPARATUS FOR THE
MANUFACTURE OF FLAT PANEL
DISPLAYS.
848640................................. MACHINES AND APPARATUS
SPECIFIED IN NOTE 9(C) TO
CHAPTER 84.
848690................................. MACHINES AND APPARATUS OF A
KIND USED FOR THE MANUFACTURE
OF SEMICONDUCTOR BOULES OR
WAFERS, ETC, PARTS AND
ACCESSORITES.
848710................................. SHIPS' OR BOATS' PROPELLERS AND
BLADES THEREOF.
848790................................. MACHINERY PARTS, NON ELECTRIC,
NESOI.
850110................................. ELECTRIC MOTORS OF AN OUTPUT
NOT EXCEEDING 37.5 W.
850120................................. UNIVERSAL AC/DC MOTORS OF AN
OUTPUT EXCEEDING 37.5 W.
850131................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT NOT EXCEEDING 750
W.
850132................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT EXCEEDING 750 W
BUT NOT EXCEEDING 75 KW.
850133................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT EXCEEDING 75 KW
BUT NOT EXCEEDING 375 KW.
850134................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT EXCEEDING 375 KW.
850140................................. AC MOTORS NESOI, SINGLE-PHASE.
850151................................. AC MOTORS NESOI, MULTI-PHASE,
OF AN OUTPUT NOT EXCEEDING 750
W.
850152................................. AC MOTORS NESOI, MULTI-PHASE,
OF AN OUTPUT EXCEEDING 750 W
BUT NOT EXCEEDING 75 KW.
850153................................. AC MOTORS NESOI, MULTI-PHASE,
OF AN OUTPUT EXCEEDING 75 KW.
850161................................. AC GENERATORS (ALTERNATORS), OF
AN OUTPUT NOT EXCEEDING 75
KVA.
[[Page 81]]
850162................................. AC GENERATORS (ALTERNATORS), OF
AN OUTPUT EXCEEDING 75 KVA BUT
NOT EXCEEDING 375 KVA.
850163................................. AC GENERATORS (ALTERNATORS), OF
AN OUTPUT EXCEEDING 375 KVA
BUT NOT EXCEEDING 750 KVA.
850164................................. AC GENERATORS (ALTERNATORS), OF
AN OUTPUT EXCEEDING 750 KVA.
850171................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT NOT EXCEEDING 750
W.
850172................................. DC MOTORS NESOI AND GENERATORS
OF AN OUTPUT NOT EXCEEDING 750
W.
850180................................. AC GENERATORS (ALTERNATORS), OF
AN OUTPUT NOT EXCEEDING 75
KVA.
850211................................. GENERATING SETS WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON (DIESEL OR
SEMI-DIESEL) ENGINES, OF AN
OUTPUT NOT EXCEEDING 75 KVA.
850212................................. GENERATING SETS WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON (DIESEL
ETC.) ENGINES, OF AN OUTPUT
EXCEEDING 75 KVA NOT EXCEEDING
375 KVA.
850213................................. GENERATING SETS WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON (DIESEL OR
SEMI-DIESEL) ENGINES, OF AN
OUTPUT EXCEEDING 375 KVA.
850220................................. GENERATING SETS WITH SPARK-
IGNITION INTERNAL COMBUSTION
PISTON ENGINES.
850231................................. GENERATING SETS, ELECTRIC, WIND-
POWERED.
850239................................. GENERATING SETS, ELECTRIC,
NESOI.
850240................................. ELECTRIC ROTARY CONVERTERS.
850300................................. PARTS OF ELECTRIC MOTORS,
GENERATORS, GENERATING SETS
AND ROTARY CONVERTERS.
850410................................. BALLASTS FOR DISCHARGE LAMPS OR
TUBES.
850421................................. LIQUID DIELECTRIC TRANSFORMERS
HAVING A POWER HANDLING
CAPACITY NOT EXCEEDING 650
KVA.
850422................................. LIQUID DIELECTRIC TRANSFORMERS
HAVING A POWER HANDLING
CAPACITY EXCEEDING 650 KVA BUT
NOT EXCEEDING 10,000 KVA.
850423................................. LIQUID DIELECTRIC TRANSFORMERS
HAVING A POWER HANDLING
CAPACITY EXCEEDING 10,000 KVA.
850431................................. ELECTRICAL TRANSFORMERS NESOI,
HAVING A POWER HANDING
CAPACITY NOT EXCEEDING 1 KVA.
850432................................. ELECTRICAL TRANSFORMERS NESOI,
HAVING A POWER HANDING
CAPACITY EXCEEDING 1 KVA BUT
NOT EXCEEDING 16 KVA.
850433................................. ELECTRICAL TRANSFORMERS NESOI,
HAVING A POWER HANDING
CAPACITY EXCEEDING 16 KVA BUT
NOT EXCEEDING 500 KVA.
850434................................. ELECTRICAL TRANSFORMERS NESOI,
HAVING A POWER HANDLING
CAPACITY EXCEEDING 500 KVA.
850440................................. ELECTRICAL STATIC CONVERTERS;
POWER SUPPLIES FOR ADP
MACHINES OR UNITS OF 8471.
850450................................. ELECTRICAL INDUCTORS NESOI.
850490................................. PARTS FOR ELECTRICAL
TRANSFORMERS, STATIC
CONVERTERS AND INDUCTORS.
850511................................. PERMANENT MAGNETS AND ARTICLES
INTENDED TO BECOME PERMANENT
MAGNETS AFTER MAGNETIZATION,
MADE OF METAL.
850519................................. PERMANENT MAGNETS AND ARTICLES
INTENDED TO BECOME PERMANENT
MAGNETS AFTER MAGNETIZATION,
MADE OF MATERIALS OTHER THAN
METAL.
850520................................. ELECTROMAGNETIC COUPLINGS,
CLUTCHES AND BRAKES.
850590................................. ELECTROMAGNETS; ELECTROMAGNETIC
OR PERMANENT MAGNET CHUCKS,
CLAMPS AND SIMILAR HOLDING
DEVICES; AND PARTS OF
ELECTROMAGNETIC ARTICLES,
NESOI.
850610................................. PRIMARY CELLS AND PRIMARY
BATTERIES, MANGANESE DIOXIDE.
850630................................. PRIMARY CELLS AND PRIMARY
BATTERIES, MERCURIC OXIDE.
850640................................. PRIMARY CELLS AND PRIMARY
BATTERIES, SILVER OXIDE.
850650................................. PRIMARY CELLS AND PRIMARY
BATTERIES, LITHIUM.
850660................................. PRIMARY CELLS AND PRIMARY
BATTERIES, AIR-ZINC.
850680................................. PRIMARY CELLS AND PRIMARY
BATTERIES, N.E.S.O.I.
850690................................. PARTS OF PRIMARY CELLS AND
PRIMARY BATTERIES.
850710................................. LEAD-ACID STORAGE BATTERIES OF
A KIND USED FOR STARTING
PISTON ENGINES.
850720................................. LEAD-ACID STORAGE BATTERIES
NESOI.
850730................................. NICKEL-CADMIUM STORAGE
BATTERIES.
[[Page 82]]
850750................................. NICKEL-METAL HYDRIDE BATTERIES.
850760................................. LITHIUM ION BATTERIES.
850780................................. STORAGE BATTERIES NESOI.
850790................................. PARTS OF ELECTRIC STORAGE
BATTERIES, INCLUDING
SEPARATORS THEREFOR.
850811................................. VACUUM CLEANERS WITH SELF-
CONTAINED ELECTRIC MOTOR, OF A
POWER LT=1500 W AND HAVING A
DUST BAG OR OTHER RECEPTACLE
CAPACITY LT=20 L.
850819................................. VACUUM CLEANERS WITH SELF-
CONTAINED ELECTRIC MOTOR,
NESOI.
850860................................. VACUUM CLEANERS WITHOUT SELF-
CONTAINED ELECTRIC MOTOR.
850870................................. PARTS OF VACUUM CLEANERS.
850940................................. ELECTROMECHANICAL DOMESTIC FOOD
GRINDERS, PROCESSORS AND
MIXERS, AND FRUIT OR VEGETABLE
JUICE EXTRACTORS, WITH SELF-
CONTAINED ELECTRIC MOTOR.
850980................................. ELECTROMECHANICAL DOMESTIC
APPLIANCES, WITH SELF-
CONTAINED ELECTRIC MOTOR,
NESOI.
850990................................. PARTS OF ELECTROMECHANICAL
DOMESTIC APPLIANCES WITH SELF-
CONTAINED ELECTRIC MOTOR.
851010................................. ELECTRIC SHAVERS, WITH SELF-
CONTAINED ELECTRIC MOTOR.
851020................................. ELECTRIC HAIR CLIPPERS, WITH
SELF-CONTAINED ELECTRIC MOTOR.
851030................................. HAIR-REMOVING APPLIANCES, WITH
SELF-CONTAINED ELECTRIC MOTOR.
851090................................. PARTS OF ELECTRIC SHAVERS AND
HAIR CLIPPERS WITH SELF-
CONTAINED ELECTRIC MOTOR.
851110................................. INTERNAL COMBUSTION ENGINE
SPARK PLUGS.
851120................................. INTERNAL COMBUSTION ENGINE
IGNITION MAGNETOS, MAGNETO-
DYNAMOS AND MAGNETIC
FLYWHEELS.
851130................................. INTERNAL COMBUSTION ENGINE
DISTRIBUTORS AND IGNITION
COILS.
851140................................. INTERNAL COMBUSTION ENGINE
STARTER MOTORS AND DUAL
PURPOSE STARTER-GENERATORS.
851150................................. INTERNAL COMBUSTION ENGINE
GENERATORS, NESOI.
851180................................. ELECTRICAL IGNITION OR STARTING
EQUIPMENT USED FOR INTERNAL
COMBUSTION ENGINES, NESOI, AND
EQUIPMENT USED IN CONJUNCTION
WITH SUCH ENGINES, NESOI.
851190................................. PARTS FOR ELECTRICAL IGNITION
OR STARTING EQUIPMENT USED FOR
INTERNAL COMBUSTION ENGINES;
PARTS FOR GENERATORS AND CUT-
OUTS USED WITH SUCH EQUIPMENT.
851210................................. ELECTRICAL LIGHTING OR VISUAL
SIGNALING EQUIPMENT FOR USE ON
BICYCLES.
851220................................. ELECTRICAL LIGHTING OR VISUAL
SIGNALING EQUIPMENT, FOR USE
ON CYCLES OR MOTOR VEHICLES,
EXCEPT FOR USE ON BICYCLES.
851230................................. ELECTRICAL SOUND SIGNALING
EQUIPMENT USED FOR CYCLES OR
MOTOR VEHICLES.
851240................................. ELECTRICAL WINDSHIELD WIPERS,
DEFROSTERS AND DEMISTERS USED
FOR CYCLES OR MOTOR VEHICLES.
851290................................. PARTS OF ELECTRICAL LIGHTING OR
SIGNALING EQUIPMENT,
WINDSHIELD WIPERS, DEFROSTERS
AND DEMISTERS, USED FOR CYCLES
OR MOTOR VEHICLES.
851310................................. PORTABLE ELECTRIC LAMPS,
BATTERY OR MAGNETO POWERED,
NESOI.
851390................................. PARTS FOR PORTABLE ELECTRIC
LAMPS, BATTERY OR MAGNETO
POWERED, NESOI.
851411................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
RESISTANCE TYPE.
851419................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
RESISTANCE TYPE.
851420................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
INDUCTION OR DIELECTRIC TYPE.
851431................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
NESOI.
851432................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
NESOI.
851439................................. INDUSTRIAL OR LABORATORY
ELECTRIC FURNACES AND OVENS,
NESOI.
851440................................. INDUSTRIAL OR LABORATORY
INDUCTION OR DIELECTION
HEATING EQUIPMENT, NESOI.
[[Page 83]]
851490................................. PARTS FOR INDUSTRIAL OR
LABORATORY ELECTRIC FURNACES
AND OVENS; PARTS FOR
INDUSTRIAL OR LABORATORY
INDUCTION OR DIELECTRIC
HEATING EQUIPMENT, NESOI.
851511................................. ELECTRIC SOLDERING IRONS AND
GUNS.
851519................................. ELECTRIC BRAZING OR SOLDERING
MACHINES OR APPARTAUS, NESOI.
851521................................. ELECTRIC MACHINES AND APPARATUS
FOR RESISTANCE WELDING OF
METAL, FULLY OR PARTY
AUTOMATIC.
851529................................. ELECTRIC MACHINES AND APPARATUS
FOR RESISTANCE WELDING OF
METAL, OTHER THAN FULLY OR
PARTLY AUTOMATIC.
851531................................. ELECTRIC MACHINES AND APPARATUS
FOR ARC (INCLUDING PLAZMA ARC)
WELDING OF METALS, FULLY OR
PARTY AUTOMATIC.
851539................................. ELECTRIC MACHINES AND APPARATUS
FOR ARC (INCLUDING PLAZMA ARC)
WELDING OF METALS, OTHER THAN
FULLY OR PARTLY AUTOMATIC.
851580................................. ELECTRIC, LASER, ULTRASONIC
ETC. BRAZING OR WELDING
MACHINES NESOI; ELECTRIC
MACHINES FOR HOT SPRAYING OF
METALS OR SINTERED METAL
CARBIDES, NESOI.
851590................................. PARTS FOR ELECTRIC LASER,
ULTRASONIC ETC. WELDING ETC.
MACHINES; PARTS FOR ELECTRIC
MACHINES FOR HOT SPRAYING OF
METALS OR SINTERED METAL
CARBIDES.
851610................................. ELECTRIC INSTANTANEOUS OR
STORAGE WATER HEATERS AND
IMMERSION HEATERS.
851621................................. ELECTRIC STORAGE HEATING
RADIATORS.
851629................................. ELECTRIC SPACE HEATING
APPARATUS NESOI AND ELECTRIC
SOIL HEATING APPARATUS.
851631................................. ELECTRIC HAIR DRYERS.
851632................................. ELECTROTHERMIC HAIRDRESSING
APPARATUS OTHER THAN HAIR
DRYERS.
851633................................. ELECTRIC HAND-DRYING APPARATUS.
851640................................. ELECTRIC FLATIRONS.
851650................................. MICROWAVE OVENS.
851660................................. ELECTRIC OVENS, COOKING STOVES,
RANGES, COOKING PLATES,
BOILING RINGS, GRILLERS AND
ROASTERS, NESOI.
851671................................. ELECTRIC COFFEE OR TEA MAKERS.
851672................................. ELECTRIC TOASTERS.
851679................................. ELECTROTHERMIC DOMESTIC
APPLIANCES, NESOI.
851680................................. ELECTRIC HEATING RESISTORS.
851690................................. PARTS FOR ELECTRIC WATER
HEATERS, SPACE HEATERS,
HAIRDRESSING APPARATUS, FLAT
IRONS, STOVES, OVENS, COFFEE
OR TEA MAKERS, TOASTERS, ETC.
851711................................. LINE TELEPHONE SETS WITH
CORDLESS HANDSETS.
851713................................. TELEPHONES FOR CELLULAR
NETWORKS OR FOR OTHER WIRELESS
NETWORKS.
851714................................. TELEPHONES FOR CELLULAR
NETWORKS OR FOR OTHER WIRELESS
NETWORKS.
851718................................. TELEPHONE SETS, NESOI.
851761................................. BASE STATIONS.
851762................................. MACHINES FOR THE RECEPTION,
CONVERSION AND TRANSMISSION OR
REGENERATION OF VOICE, IMAGES
OR OTHER DATA, INCLUDING
SWITCHING AND ROUTING
APPARATUS.
851769................................. APPARATUS FOR THE TRANSMISSION
OR RECEPTION OF VOICE, IMAGES
OR OTHER DATA, INCLUDING
SWITCHING AND ROUTING
APPARATUS, NESOI.
851771................................. PARTS OF TELEPHONE SETS AND
OTHER APPARATUS FOR THE
TRANSMISSION OR RECEPTION OF
VOICE, IMAGES OR OTHER DATA.
851779................................. PARTS OF TELEPHONE SETS AND
OTHER APPARATUS FOR THE
TRANSMISSION OR RECEPTION OF
VOICE, IMAGES OR OTHER DATA.
851810................................. MICROPHONES AND STANDS
THEREFOR.
851821................................. SINGLE LOUDSPEAKERS, MOUNTED IN
THEIR ENCLOSURES.
851822................................. MULTIPLE LOUDSPEAKERS, MOUNTED
IN SAME ENCLOSURE.
851829................................. LOUDSPEAKERS, NESOI.
851830................................. HEADPHONES, EARPHONES WHETHER
OR NOT COMBINED MICROPHONE/
SPEAKER SETS.
851840................................. AUDIO-FREQUENCY ELECTRIC
AMPLIFIERS.
851850................................. ELECTRIC SOUND AMPLIFIER SETS.
851890................................. PARTS OF MICROPHONES,
LOUDSPEAKERS, HEADPHONES,
EARPHONES, AUDIO-FREQUENCY
ELECTRIC AMPLIFIERS, AND
ELECTRIC SOUND AMPLIFIER SETS.
[[Page 84]]
851920................................. SOUND RECORDING OR REPRODUCING
APPARATUS OPERATED BY COINS,
BANKNOTES, BANK CARDS, TOKENS
OR BY OTHER MEANS OF PAYMENT.
851930................................. TURNTABLES (RECORD-DECKS).
851981................................. SOUND RECORDING OR REPRODUCING
APPARATUS, USING MAGNETIC,
OPTICAL OR SEMICONDUCTOR
MEDIA, NESOI.
851989................................. SOUND RECORDING OR REPRODUCING
APPARATUS, NESOI.
852110................................. VIDEO RECORDING OR REPRODUCING
APPARATUS (WHETHER OR NOT
INCORPORATING A VIDEO TUNER),
MAGNETIC TAPE-TYPE.
852190................................. VIDEO RECORDING OR REPRODUCING
APPARATUS (WHETHER OR NOT
INCORPORATING A VIDEO TURNER),
OTHER THAN MAGNETIC TAPE-TYPE.
852210................................. PICKUP CARTRIDGES FOR SOUND
RECORDERS.
852290................................. PARTS AND ACCESSORIES, EXCEPT
PICKUP CARTRIDGES, FOR SOUND
REPRODUCING, SOUND RECORDING,
AND VIDEO RECORDING OR
REPRODUCING APPARATUS.
852321................................. CARDS INCORPORATING A MAGNETIC
STRIPE.
852329................................. MAGNETIC MEDIA FOR THE
RECORDING OF SOUND OR OTHER
PHENOMENA, NESOI.
852341................................. OPTICAL MEDIA FOR THE RECORDING
OF SOUND OR OF OTHER
PHENOMENA, UNRECORDED.
852349................................. OPTICAL MEDIA FOR THE RECORDING
OF SOUND OR OF OTHER
PHENOMENA, RECORDED.
852351................................. SOLID-STATE NON-VOLATILE
SEMICONDUCTOR STORAGE DEVICES.
852352................................. SMART CARDS.
852359................................. SEMICONDUCTOR MEDIA, FOR THE
RECORDING OF SOUND OR OTHER
PHENOMENA, NESOI.
852380................................. MEDIA FOR THE RECORDING OF
SOUND OR OF OTHER PHENOMENA,
NESOI.
852411................................. OPTICAL DEVICES, APPLIANCES AND
INSTRUMENTS, NESOI.
852412................................. PARTS (EXCEPT ANTENNAS AND
REFLECTORS) FOR USE WITH RADIO
TRANSMISSION, RADAR, RADIO
NAVIGATIONAL AID, RECEPTION
AND TELEVISION APPARATUS,
NESOI.
852419................................. PARTS AND ACCESSORIES FOR
LIQUID CRYSTAL DEVICES, LASERS
(OTHER THAN LASER DIODES) AND
OTHER OPTICAL APPLIANCES AND
INSTRUMENTS, NESOI.
852491................................. OTHER RECORDED MEDIA, NESOI,
FOR REPRODUCING PHENOMENA
OTHER THAN SOUND OR IMAGE.
852492................................. PARTS (EXCEPT ANTENNAS AND
REFLECTORS) FOR USE WITH RADIO
TRANSMISSION, RADAR, RADIO
NAVIGATIONAL AID, RECEPTION
AND TELEVISION APPARATUS,
NESOI.
852499................................. RECORDED MEDIA FOR REPRODUCING
SOUND OR IMAGE, N.E.S.O.I.
852550................................. TRANSMISSION APPARATUS FOR
RADIO-BROADCASTING OR
TELEVISION.
852560................................. TRANSMISSION APPARATUS
INCORPORATING RECEPTION
APPARATUS, FOR RADIO-
BROADCASTING OR TELEVISION.
852581................................. TELEVISION CAMERAS, DIGITAL
CAMERAS AND VIDEO CAMERA
RECORDERS.
852582................................. TELEVISION CAMERAS, DIGITAL
CAMERAS AND VIDEO CAMERA
RECORDERS.
852583................................. TELEVISION CAMERAS, DIGITAL
CAMERAS AND VIDEO CAMERA
RECORDERS.
852589................................. TELEVISION CAMERAS, DIGITAL
CAMERAS AND VIDEO CAMERA
RECORDERS.
852610................................. RADAR APPARATUS.
852691................................. RADIO NAVIGATIONAL AID
APPARATUS.
852692................................. RADIO REMOTE CONTROL APPARATUS.
852712................................. POCKET-SIZE RADIO CASSETTE
PLAYERS.
852713................................. RADIOBROADCAST RECEIVERS
CAPABLE OF OPERATING WITHOUT
AN EXTERNAL SOURCE OF POWER,
COMBINED WITH SOUND RECORDING
OR REPRODUCING APPARATUS,
N.E.S.O.I.
852719................................. RADIOBROADCAST RECEIVERS,
BATTERY TYPE, NESOI.
852721................................. RADIOBROADCAST RECEIVERS FOR
MOTOR VEHICLES, COMBINED WITH
SOUND RECORDING OR REPRODUCING
APPARATUS, NOT CAPABLE OF
OPERATING WITHOUT OUTSIDE
POWER.
852729................................. RADIOBROADCAST RECEIVERS FOR
MOTOR VEHICLES, NOT CAPABLE OF
OPERATING WITHOUT OUTSIDE
POWER, NESOI.
852791................................. RECEPTION APPARATUS FOR RADIO-
BROADCASTING, COMBINED WITH
SOUND RECORDING OR REPRODUCING
APPARATUS, NESOI.
852792................................. RECEPTION APPARATUS FOR RADIO-
BROADCASTING, COMBINED WITH A
CLOCK, NESOI.
[[Page 85]]
852799................................. RECEPTION APPARATUS FOR RADIO-
BROADCASTING, NESOI.
852842................................. CATHODE-RAY TUBE MONITORS
CAPABLE OF DIRECTLY CONNECTING
TO AND DESIGNED FOR USE WITH
MACHINES OF HEADING 8471.
852849................................. CATHODE-RAY TUBE MONITORS, NOT
INCORPORATING TELEVISION
RECEPTION APPARATUS, NESOI.
852852................................. OTHER MONITORS CAPABLE OF
DIRECTLY CONNECTING TO AND
DESIGNED FOR USE WITH MACHINES
OF HEADIN 8471.
852859................................. MONITORS, NOT INCORPORATING
TELEVISION RECEPTION
APPARATUS, NESOI.
852862................................. PROJECTORS CAPABLE OF DIRECTLY
CONNECTING TO AND DESIGNED FOR
USE WITH ADP MACHINES OF
HEADING 8471.
852869................................. PROJECTORS, NOT INCORPORATING
TELEVISION RECEPTION
APPARATUS, NESOI.
852871................................. RECEPTION APPARATUS FOR
TELEVISION, NOT DESIGNED TO
INCORPORATE A VIDEO DISPLAY OR
SCREEN.
852872................................. RECEPTION APPARATUS FOR
TELEVISION, COLOR, NESOI.
852873................................. RECEPTION APPARATUS FOR
TELEVISION, MONOCHROME,
DESIGNED TO INCORPORATED A
VIDEO DISPLAY OR SCREEN.
852910................................. ANTENNAS AND ANTENNA REFLECTORS
AND PARTS THEREOF.
852990................................. PARTS (EXCEPT ANTENNAS AND
REFLECTORS) FOR USE WITH RADIO
TRANSMISSION, RADAR, RADIO
NAVIGATIONAL AID, RECEPTION
AND TELEVISION APPARATUS,
NESOI.
853010................................. ELECTRICAL SIGNALING, SAFETY OR
TRAFFIC CONTROL EQUIPMENT FOR
RAILWAYS, STREETCAR LINES OR
SUBWAYS.
853080................................. ELECTRICAL SIGNALING, SAFETY OR
TRAFFIC CONTROL EQUIPMENT FOR
ROADS, INLAND WATERWAYS,
PARKING FACILITIES, PORT
INSTALLATIONS OR AIRFIELDS.
853090................................. PARTS FOR ELECTRICAL SIGNALING,
SAFETY OR TRAFFIC CONTROL
EQUIPMENT FOR RAIL LINES,
ROADS, WATERWAYS, PARKING
AREAS, PORT INSTALLATIONS OR
AIRFIELDS.
853110................................. BURGLAR OR FIRE ALARMS AND
SIMILAR APPARATUS.
853120................................. INDICATOR PANELS INCORPORATING
LIQUID CRYSTAL DEVICES (LCD'S)
OR LIGHT EMITTING DIODES
(LED'S).
853180................................. ELECTRIC SOUND OR VISUAL
SIGNALING APPARATUS (FOR
EXAMPLE, BELLS, SIRENS,
INDICATOR PANELS), NESOI.
853190................................. PARTS OF ELECTRIC SOUND OR
VISUAL SIGNALING APPARATUS,
NESOI.
853210................................. FIXED CAPACITORS, DESIGNED FOR
USE IN 50/60 HZ CIRCUITS, WITH
REACTIVE POWER CAPACITY NOT
LESS THAN 0.5 KVAR (POWER
CAPACITORS).
853221................................. TANTALUM CAPACITORS.
853222................................. FIXED CAPACITORS NESOI,
ALUMINUM ELECTROLYTIC.
853223................................. FIXED CAPACITORS NESOI, SINGLE
LAYER CERAMIC DIELECTRIC.
853224................................. FIXED CAPACITORS NESOI,
MULTILAYER CERAMIC DIELECTRIC.
853225................................. FIXED CAPACITORS NESOI,
DIELECTRIC OF PAPER OR
PLASTICS.
853229................................. FIXED CAPACITORS, NESOI.
853230................................. VARIABLE OR ADJUSTABLE (PRE-
SET) CAPACITORS.
853290................................. PARTS FOR ELECTRICAL
CAPACITORS.
853310................................. FIXED CARBON RESISTORS,
COMPOSITION OR FILM TYPES.
853321................................. FIXED RESISTORS, NESOI, FOR A
POWER HANDLING CAPACITY NOT
EXCEDING 20 W.
853329................................. FIXED RESISTORS, NESOI, FOR A
POWER HANDLING CAPACITY
EXCEEDING 20 W.
853331................................. WIREWOUND VARIABLE RESISTORS,
INCLUDING RHEOSTATS AND
POTENTIOMETERS, FOR A POWER
HANDLING CAPACITY NOT
EXCEEDING 20 W.
853339................................. WIREWOUND VARIABLE RESISTORS,
INCLUDING RHEOSTATS AND
POTENTIOMETERS, FOR A POWER
HANDING CAPACITY EXCEEDING 20
W.
853340................................. VARIABLE RESISTORS, INCLUDING
RHEOSTATS AND POTENTIOMETERS,
NESOI.
853390................................. PARTS FOR ELECTRICAL RESISTORS,
INCLUDING PARTS FOR RHEOSTATS
AND POTENTIOMETERS.
853400................................. PRINTED CIRCUITS.
853510................................. FUSES FOR ELECTRICAL APPARATUS
FOR A VOLTAGE EXCEEDING 1,000
V.
853521................................. AUTOMATIC CIRCUIT BREAKERS FOR
A VOLTAGE EXCEEDING 1,000 V
BUT LESS THAN 72.5 KV.
[[Page 86]]
853529................................. AUTOMATIC CIRCUIT BREAKERS FOR
A VOLTAGE OF 72.5 KV OR MORE.
853530................................. ISOLATING SWITCHES AND MAKE-AND-
BREAK SWITCHES FOR A VOLTAGE
EXCEEDING 1,000 V.
853540................................. LIGHTNING ARRESTERS, VOLTAGE
LIMITERS, AND SURGE
SUPPRESSORS FOR A VOLTAGE
EXCEEDING 1,000 V.
853590................................. ELECTRICAL APPARATUS FOR
SWITCHING, PROTECTING OR
MAKING CONNECTIONS TO OR IN
ELECTRICAL CIRCUITS, FOR A
VOLTAGE EXCEEDING 1,000 V,
NESOI.
853610................................. FUSES FOR ELECTRICAL APPARATUS
FOR A VOLTAGE NOT EXCEEDING
1,000 V.
853620................................. AUTOMATIC CIRCUIT BREAKERS FOR
A VOLTAGE NOT EXCEEDING 1,000
V.
853630................................. ELECTRICAL APPARATUS FOR
PROTECTING ELECTRICAL CIRCUITS
FOR A VOLTAGE NOT EXCEEDING
1,000 V, NESOI.
853641................................. RELAYS FOR A VOLTAGE NOT
EXCEEDING 60 V.
853649................................. RELAYS FOR A VOLTAGE EXCEEDING
60 V BUT NOT EXCEEDING 1,000
V.
853650................................. ELECTRICAL SWITCHES FOR A
VOLTAGE NOT EXCEEDING 1,000 V,
NESOI.
853661................................. ELECTRICAL LAMPHOLDERS FOR A
VOLTAGE NOT EXCEEDING 1,000 V.
853669................................. ELECTRICAL PLUGS AND SOCKETS
FOR A VOLTAGE NOT EXCEEDING
1,000 V.
853670................................. CONNECTORS FOR OPTICAL FIBERS,
OPTICAL FIBER BUNDLES OR
CABLES.
853690................................. ELECTRICAL APPARATUS FOR
SWITCHING, PROTECTING OR
MAKING CONNECTIONS TO OR IN
ELECTRICAL CIRCUITS, FOR A
VOLTAGE NOT EXCEEDING 1,000 V,
NESOI.
853710................................. BOARDS, PANELS, CONSOLES, ETC.
WITH ELECTRICAL APPARATUS, FOR
ELECTRIC CONTROL OR
DISTRIBUTION OF ELECTRICITY,
FOR A VOLTAGE NOT EXCEEDING
1,000 V.
853720................................. BOARDS, PANELS, CONSOLES, ETC.
WITH ELECTRICAL APPARATUS, FOR
ELECTRIC CONTROL OR
DISTRIBUTION OF ELECTRICITY,
FOR A VOLTAGE EXCEEDING 1,000
V.
853810................................. BOARDS, PANELS, CONSOLES,
DESKS, CABINETS, AND OTHER
BASES FOR ELECTRIC CONTROL
ETC. EQUIPMENT, NOT EQUIPPED
WITH ELECTRICAL APPARATUS.
853890................................. PARTS FOR ELECTRICAL APPARATUS
FOR ELECTRICAL CIRCUITS,
BOARDS, PANELS ETC. FOR
ELECTRIC CONTROL OR
DISTRIBUTION OF ELECTRICITY,
NESOI.
853910................................. SEALED BEAM ELECTRIC LAMP
UNITS.
853921................................. TUNGSTEN HALOGEN ELECTRIC
FILAMENT LAMPS.
853922................................. ELECTRIC FILAMENT LAMPS NESOI,
OF A POWER NOT EXCEEDING 200 W
AND FOR A VOLTAGE EXCEEDING
100 V.
853929................................. ELECTRIC FILAMENT LAMPS, NESOI.
853931................................. ELECTRIC DISCHARGE LAMPS (OTHER
THAN ULTRAVIOLET LAMPS),
FLUORESCENT, HOT CATHODE.
853932................................. MERCURY OR SODIUM VAPOR
DISCHARGE LAMPS; METAL HALIDE
DISCHARGE LAMPS.
853939................................. ELECTRIC DISCHARGE LAMPS (OTHER
THAN ULTRAVIOLET OR
FLUORESCENT, HOT CATHODE
LAMPS), NESOI.
853941................................. ARC LAMPS.
853949................................. ULTRAVIOLET OR INFRARED LAMPS.
853951................................. ELECTRIC LAMPS AND LIGHTING
FITTINGS, NESOI.
853952................................. LIGHT-EMITTING DIODE (LED)
LAMPS.
853990................................. PARTS FOR ELECTRIC FILAMENT,
DISCHARGE OR ARC LAMPS.
854011................................. CATHODE-RAY TELEVISION PICTURE
TUBES, COLOR, INCLUDING VIDEO
MONITOR CATHODE-RAY TUBES.
854012................................. CATHODE-RAY TELEVISION PICTURE
TUBES, INCLUDING VIDEO MONITOR
CATHODE-RAY TUBES, MONOCHROME.
854020................................. TELEVISION CAMERA TUBES; IMAGE
CONVERTERS AND INTENSIFIERS;
OTHER PHOTOCATHODE TUBES.
854040................................. DATA/GRAPHIC DISPLAY TUBES,
MONOCHROME; DATA/GRAPHIC
DISPLAY TUBES, COLOR, WITH A
PHOSPHOR DOT SCREEN PITCH
SMALLER THAN 0.4 MM.
854060................................. CATHODE-RAY TUBES, N.E.S.O.I.
854071................................. MAGNETRON MICROWAVE TUBES.
854079................................. MICROWAVE TUBES, NESOI.
854081................................. RECEIVER OR AMPLIFIER TUBES.
854089................................. THERMIONIC AND OTHER CATHODE
TUBES, NESOI.
854091................................. PARTS OF CATHODE-RAY TUBES.
[[Page 87]]
854099................................. PARTS OF CATHODE TUBES, NESOI.
854110................................. DIODES, OTHER THAN
PHOTOSENSITIVE OR LIGHT-
EMITTING DIODES.
854121................................. TRANSISTORS, OTHER THAN
PHOTOSENSITIVE, WITH A
DISSIPATION RATE OF LESS THAN
1 W.
854129................................. TRANSISTORS, OTHER THAN
PHOTOSENSITIVE, NESOI.
854130................................. THYRISTORS, DIACS AND TRIACS,
OTHER THAN PHOTOSENSITIVE
DEVICES.
854141................................. PHOTOSENSITIVE SEMICONDUCTOR
DEVICES, INCLUDING
PHOTOVOLTAIC CELLS; LIGHT-
EMITTING DIODES.
854142................................. PHOTOSENSITIVE SEMICONDUCTOR
DEVICES, INCLUDING
PHOTOVOLTAIC CELLS; LIGHT-
EMITTING DIODES.
854143................................. PHOTOSENSITIVE SEMICONDUCTOR
DEVICES, INCLUDING
PHOTOVOLTAIC CELLS; LIGHT-
EMITTING DIODES.
854149................................. PHOTOSENSITIVE SEMICONDUCTOR
DEVICES, INCLUDING
PHOTOVOLTAIC CELLS; LIGHT-
EMITTING DIODES.
854151................................. SEMICONDUCTOR DEVICES, EXCEPT
PHOTOSENSITIVE AND
PHOTOVOLTAIC CELLS, NESOI.
854159................................. SEMICONDUCTOR DEVICES, EXCEPT
PHOTOSENSITIVE AND
PHOTOVOLTAIC CELLS, NESOI.
854160................................. MOUNTED PIEZOELECTRIC CRYSTALS.
854190................................. PARTS FOR DIODES, TRANSISTORS
AND SIMILAR SEMICONDUCTOR
DEVICES; PARTS FOR
PHOTOSENSITIVE SEMICONDUCTOR
DEVICES AND MOUNTED
PIEZOELECTRIC CRYSTALS.
854231................................. PROCESSORS AND CONTROLLERS,
ELECTRONIC INTEGRATED
CIRCUITS.
854232................................. MEMORIES, ELECTRONIC INTEGRATED
CIRCUITS.
854233................................. AMPLIFIERS, ELECTRONIC
INTEGRATED CIRCUITS.
854239................................. ELECTRONIC INTEGRATED CIRCUITS,
NESOI.
854290................................. PARTS FOR ELECTRONIC INTEGRATED
CIRCUITS AND MICROASSEMBLIES.
854310................................. PARTICLE ACCELERATORS.
854320................................. ELECTRICAL SIGNAL GENERATORS.
854330................................. ELECTRICAL MACHINES AND
APPARATUS FOR ELECTROPLATING,
ELECTROLYSIS OR
ELECTROPHORESIS.
854340................................. ELECTRIC FENCE ENERGIZERS.
854370................................. ELECTRICAL MACHINES AND
APPARATUS, HAVING INDIVIDUAL
FUNCTIONS, NESOI.
854390................................. PARTS FOR ELECTRICAL MACHINES
AND APPARATUS HAVING
INDIVIDUAL FUNCTIONS, NESOI.
854411................................. INSULATED WINDING WIRE OF
COPPER.
854419................................. INSULATED WINDING WIRE, NESOI.
854420................................. INSULATED COAXIAL CABLE AND
OTHER COAXIAL ELECTRICAL
CONDUCTORS.
854430................................. INSULATED IGNITION WIRING SETS
AND OTHER WIRING SETS FOR
VEHICLES, AIRCRAFT AND SHIPS.
854442................................. ELECTRIC CONDUCTORS, FOR A
VOLTAGE NOT EXCEEDING 1000 V,
FITTED WITH CONNECTORS, NESOI.
854449................................. INSULATED ELECTRIC CONDUCTORS,
FOR A VOLTAGE NOT EXCEEDING 80
V, NOT FITTED WITH CONNECTORS.
854460................................. INSULATED ELECTRIC CONDUCTORS,
FOR A VOLTAGE EXCEEDING 1,000
V.
854470................................. INSULATED OPTICAL FIBER CABLES,
MADE UP OF INDIVIDUALLY
SHEATHED FIBERS.
854511................................. CARBON ELECTRODES OF A KIND
USED FOR FURNACES.
854519................................. CARBON ELECTRODES NESOI.
854520................................. ELECTRICAL CARBON OR GRAPHITE
BRUSHES.
854590................................. ELECTRICAL CARBON OR GRAPHITE
ARTICLES, NESOI.
854610................................. ELECTRICAL INSULATORS OF GLASS.
854620................................. ELECTRICAL INSULATORS OF
CERAMICS.
854690................................. ELECTRICAL INSULATORS, NESOI.
854710................................. INSULATING FITTINGS OF
CERAMICS, FOR ELECTRICAL
MACHINES OR APPLIANCES.
854720................................. INSULATING FITTINGS OF
PLASTICS, FOR ELECTRICAL
MACHINES OR APPLIANCES.
854790................................. INSULATING FITTINGS NESOI, FOR
ELECTRICAL MACHINES OR
APPLIANCES; ELECTRICAL CONDUIT
TUBING AND JOINTS, OF BASE
METAL LINED WITH INSULATING
MATERIAL.
854800................................. ELECTRICAL PARTS OF MACHINERY
OR APPARATUS, NESOI.
854911................................. WASTE AND SCRAP OF PRIMARY
CELLS, PRIMARY BATTERIES AND
ELECTRIC STORAGE BATTERIES;
SPENT PRIMARY CELLS, SPENT
PRIMARY AND ELECTRIC STORAGE
BATTERIES.
[[Page 88]]
854912................................. WASTE AND SCRAP OF PRIMARY
CELLS, PRIMARY BATTERIES AND
ELECTRIC STORAGE BATTERIES;
SPENT PRIMARY CELLS, SPENT
PRIMARY AND ELECTRIC STORAGE
BATTERIES.
854913................................. WASTE AND SCRAP OF PRIMARY
CELLS, PRIMARY BATTERIES AND
ELECTRIC STORAGE BATTERIES;
SPENT PRIMARY CELLS, SPENT
PRIMARY AND ELECTRIC STORAGE
BATTERIES.
854914................................. WASTE AND SCRAP OF PRIMARY
CELLS, PRIMARY BATTERIES AND
ELECTRIC STORAGE BATTERIES;
SPENT PRIMARY CELLS, SPENT
PRIMARY AND ELECTRIC STORAGE
BATTERIES.
854919................................. WASTE AND SCRAP OF PRIMARY
CELLS, PRIMARY BATTERIES AND
ELECTRIC STORAGE BATTERIES;
SPENT PRIMARY CELLS, SPENT
PRIMARY AND ELECTRIC STORAGE
BATTERIES.
854921................................. MUNICIPAL WASTE.
854929................................. WASTE AS SPECIFIED IN CHAPTER
38 NOTES, NESOI.
854931................................. CULLET AND OTHER WASTE AND
SCRAP OF GLASS; GLASS IN THE
MASS.
854939................................. WASTE AND SCRAP OF PRECIOUS
METAL, NESOI.
854991................................. CULLET AND OTHER WASTE AND
SCRAP OF GLASS; GLASS IN THE
MASS.
854999................................. WASTE AND SCRAP OF PRECIOUS
METAL, NESOI.
860110................................. RAIL LOCOMOTIVES POWERED FROM
AN EXTERNAL SOURCE OF
ELECTRICITY.
860120................................. RAIL LOCOMOTIVES POWERED BY
ELECTRIC ACCUMULATORS
(BATTERIES).
860210................................. DIESEL-ELECTRIC LOCOMOTIVES.
860290................................. RAIL LOCOMOTIVES, NESOI;
LOCOMOTIVE TENDERS.
860310................................. SELF-PROPELLED RAILWAY OR
TRAMWAY COACHES, VANS AND
TRUCKS (EXCEPT RAILWAY OR
TRAMWAY MAINTENANCE OR SERVICE
VEHICLES), POWERED EXTERNALLY,
ELECTRIC.
860390................................. SELF-PROPELLED RAILWAY OR
TRAMWAY COACHES, VANS AND
TRUCKS (EXCEPT RAILWAY OR
TRAMWAY MAINTENANCE OR SERVICE
VEHICLES), NESOI.
860400................................. RAILWAY OR TRAMWAY MAINTENANCE
OR SERVICE VEHICLES, WHETHER
OR NOT SELF-PROPELLED (FOR
EXAMPLE, WORKSHOPS, CRANES,
BALLAST TAMPERS, TRACKLINERS,
ETC.).
860500................................. RAILWAY OR TRAMWAY PASSENGER
COACHES, LUGGAGE VANS, POST
OFFICE COACHES AND OTHER
SPECIAL PURPOSE RAIL OR
TRAMWAY COACHES, NOT SELF-
PROPELLED, NESOI.
860610................................. RAILWAY OR TRAMWAY TANK CARS
AND THE LIKE, NOT SELF-
PROPELLED.
860630................................. RAILWAY OR TRAMWAY SELF-
DISCHARGING CARS (OTHER THAN
TANK CARS AND THE LIKE OR
INSULATED OR REFRIGERATED
CARS), NOT SELF-PROPELLED.
860691................................. RAILWAY OR TRAMWAY FREIGHT
CARS, COVERED AND CLOSED, NOT
SELF-PROPELLED, NESOI.
860692................................. RAILWAY OR TRAMWAY FREIGHT
CARS, OPEN, WITH NON-REMOVABLE
SIDES OF A HEIGHT EXCEEDING 60
CM, NOT SELF-PROPELLED, NESOI.
860699................................. RAILWAY OR TRAMWAY FREIGHT
CARS, NOT SELF-PROPELLED,
NESOI.
860711................................. TRUCK ASSEMBLIES FOR SELF-
PROPELLED RAILWAY OR TRAMWAY
LOCOMOTIVES OR ROLLING STOCK.
860712................................. TRUCK ASSEMBLIES, NESOI, FOR
RAILWAY OR TRAMWAY ROLLING
STOCK.
860719................................. TRUCK AXLES AND WHEELS AND
PARTS THEREOF, INCLUDING PARTS
OF TRUCK ASSEMBLIES, FOR
RAILWAY OR TRAMWAY VEHICLES.
860721................................. AIRBRAKES AND PARTS THEREOF,
FOR RAILWAY OR TRAMWAY
VEHICLES.
860729................................. BRAKES (EXCEPT AIRBRAKES) AND
PARTS THEREOF, FOR RAILWAY OR
TRAMWAY VEHICLES.
860730................................. HOOKS AND OTHER COUPLING
DEVICES, BUFFERS AND PARTS
THEREOF, FOR RAILWAY OR
TRAMWAY VEHICLES.
860791................................. PARTS OF RAILWAY OR TRAMWAY
LOCOMOTIVES, NESOI.
860799................................. PARTS OF RAILWAY OR TRAMWAY
VEHICLES, OTHER THAN
LOCOMOTIVES, NESOI.
860800................................. RAIL TRACK FIXTURES; MECHANICAL
SIGNALING, SAFETY OR TRAFFIC
CONTROL EQUIPMENT FOR RAIL,
ROAD, WATERWAY, PARKING,
AIRFIELD ETC. AREAS; PARTS
THEREOF.
[[Page 89]]
860900................................. CONTAINERS (INCLUDING
CONTAINERS FOR THE TRANSPORT
OF FLUIDS) SPECIALLY DESIGNED
AND EQUIPPED FOR CARRIAGE BY
ONE OR MORE MODES OF
TRANSPORT.
870110................................. TRACTORS, PEDESTRIAN CONTROLLED
TYPE (OTHER THAN TRACTORS OF
THE TYPE USED ON RAILWAY
STATION PLATFORMS).
870121................................. ROAD TRACTORS FOR SEMI-
TRAILERS.
870122................................. ROAD TRACTORS FOR SEMI-
TRAILERS.
870123................................. ROAD TRACTORS FOR SEMI-
TRAILERS.
870124................................. ROAD TRACTORS FOR SEMI-
TRAILERS.
870129................................. ROAD TRACTORS FOR SEMI-
TRAILERS.
870130................................. TRACK-LAYING TRACTORS.
870191................................. TRACTORS (OTHER THAN TRACTORS
OF HEADING 8709), NOT
EXCEEDING 18KW.
870192................................. TRACTORS (OTHER THAN TRACTORS
OF HEADING 8709), EXCEEDING 18
KW BUT NOT EXCEEDING 37 KW.
870193................................. TRACTORS (OTHER THAN TRACTORS
OF HEADING 8709), EXCEEDING 37
KW BUT NOT EXCEEDING 75 KW.
870194................................. TRACTORS (OTHER THAN TRACTORS
OF HEADING 8709), EXCEEDING 75
KW BUT NOT EXCEEDING 130 KW.
870195................................. TRACTORS (OTHER THAN TRACTORS
OF HEADING 8709) EXCEEDING 130
KW.
870210................................. MOTOR VEHICLES FOR THE
TRANSPORT OF TEN OR MORE
PERSONS, WITH A COMPRESSION-
IGNITION INTERNAL COMBUSTION
PISTON ENGINE (DIESEL OR SEMI-
DIESEL).
870220................................. MOTOR VEHICLES FOR TRANSPORT OF
10 OR MORE WITH BOTH
COMPRESSION-IGNITION INTERNAL
COMBUST PISTON ENG (DIESEL OR
SEMI-DIESEL) AND ELECTRIC
MOTOR.
870230................................. MOTOR VEHICLES FOR TRANSPORT OF
10 OR MORE WITH BOTH SPARK-
IGNITION RECIPROCATING PISTON
AND ELECTRIC MOTOR.
870240................................. MOTOR VEHICLES FOR TRANSPORT OF
10 OR MORE WITH ONLY ELECTRIC
MOTOR FOR PROPULSION.
870290................................. MOTOR VEHICLES FOR THE
TRANSPORT OF TEN OR MORE
PERSONS, NESOI.
870310................................. PASSENGER MOTOR VEHICLES
SPECIALLY DESIGNEED FOR
TRAVELING ON SNOW; GOLF CARTS
AND SIMILAR VEHICLES.
870321................................. PASSENGER MOTOR VEHICLES WITH
SPARK-IGNITION INTERNAL
COMBUSTION RECIPROCATING
PISTON ENGINE, CYLINDER
CAPACITY NOT OVER 1,000 CC.
870322................................. PASSENGER MOTOR VEHICLES WITH
SPARK-IGNITION INTERNAL
COMBUSTION RECIPROCATING
PISTON ENGINE, CYLINDER
CAPACITY OVER 1,000 CC BUT NOT
OVER 1,500 CC.
870323................................. PASSENGER MOTOR VEHICLES WITH
SPARK-IGNITION INTERNAL
COMBUSTION RECIPROCATING
PISTON ENGINE, CYLINDER
CAPACITY OVER 1,500 CC BUT NOT
OVER 3,000 CC.
870324................................. PASSENGER MOTOR VEHICLES WITH
SPARK-IGNITION INTERNAL
COMBUSTION RECIPROCATING
PISTON ENGINE, CYCLINDER
CAPACITY OVER 3,000 CC.
870331................................. PASSENGER MOTOR VEHICLES WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY
NOT OVER 1,500 CC.
870332................................. PASSENGER MOTOR VEHICLES WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY
OVER 1,500 CC BUT NOT OVER
2,500 CC.
870333................................. PASSENGER MOTOR VEHICLES WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY
OVER 2,500 CC.
870340................................. PASSENGER MOTOR VEHICLES, WITH
BOTH APRK-IG INTRNL COMBUST
AND ELECTRIC MOTOR, OTHER THAN
THOSE CHARGES BY PLUGGIN TO
EXTERNAL ELECTRIC POWER.
870350................................. MOTOR VEHICLES, WITH BOTH
COMPRES-IG INTERNAL COMBUS
PISTON ENGINE (DIESEL/SEMI-
DIESEL) AND ELECTRIC MOTOR,NOT
CHARGED BY PLUG.
870360................................. MOTOR VEHICLES WITH BOTH SPARK-
IG AND ELECTRIC MOTOR, CAPABLE
OF CHARGE BY PLUGGING TO EXTNL
PWR.
870370................................. MOTOR VEHICLES, WITH BOTH
COMPRESSION-IGNITION INTERNAL
COMBUSTION (DIESEL/SEMI-DIESEL
AND ELECTRIC MOTOR, CAPABLE OF
CHARGED BY PLUGGING.
[[Page 90]]
870380................................. MOTOR VEHICLES WITH ONLY
ELECTRIC MOTOR, NESOI.
870390................................. PASSENGER MOTOR VEHICLES,
NESOI.
870410................................. DUMPERS (DUMP TRUCKS) DESIGNED
FOR OFF-HIGHWAY USE.
870421................................. MOTOR VEHICLES FOR GOODS
TRANSPORT NESOI, WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), GVW NOT OVER 5
METRIC TONS.
870422................................. MOTOR VEHICLES FOR GOODS
TRANSPORT NESOI, WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), GVW OVER 5 BUT NOT
OVER 20 METRIC TONS.
870423................................. MOTOR VEHICLES FOR GOODS
TRANSPORT NESOI, WITH
COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINE
(DIESEL), GVW OVER 20 METRIC
TONS.
870431................................. MOTOR VEHICLES FOR GOODS
TRANSPORT NESOI, WITH SPARK-
IGNITION INTERNAL COMBUSTION
PISTON ENGINE, GVW NOT OVER 5
METRIC TONS.
870432................................. MOTOR VEHICLES FOR GOODS
TRANSPORT NESOI, WITH SPARK-
IGNITION INTERNAL COMBUSTION
PISTON ENGINE, GVW OVER 5
METRIC TONS.
870441................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870442................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870443................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870451................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870452................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870460................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870490................................. MOTOR VEHICLES FOR THE
TRANSPORT OF GOODS, NESOI.
870510................................. MOBILE CRANES.
870520................................. MOBILE DRILLING DERRICKS.
870530................................. FIRE FIGHTING VEHICLES.
870540................................. CONCRETE MIXERS, SPECIAL
PURPOSE VEHICLES.
870590................................. SPECIAL PURPOSE VEHICLES, OTHER
THAN THOSE PRINCIPALLY
DESIGNED FOR THE TRANSPORT OF
PERSONS OR GOODS, NESOI.
870790................................. BODIES (INCLUDING CABS) FOR
ROAD TRACTORS FOR SEMI-
TRAILERS, MOTOR VEHICLES FOR
PUBLIC-TRANSPORT OF
PASSENGERS, GOODS TRANSPORT
AND SPECIAL PURPOSE.
870810................................. BUMPERS AND PARTS THEREOF FOR
MOTOR VEHICLES.
870821................................. SAFETY SEAT BELTS FOR MOTOR
VEHICLES.
870822................................. LAMINATED SAFETY GLASS, OF SIZE
AND SHAPE SUITABLE FOR
INCORPORATION IN VEHICLES,
AIRCRAFT, SPACECRAFT OR
VESSELS.
870829................................. PARTS AND ACCESSORIES OF BODIES
(INCLUDING CABS) FOR MOTOR
VEHICLES, NESOI.
870830................................. BRAKES AND SERVO-BRAKES; PARTS
THEREOF.
870840................................. GEAR BOXES FOR MOTOR VEHICLES.
870850................................. DRIVE AXLES WITH DIFFERENTIAL
FOR MOTOR VEHICLES.
870870................................. ROAD WHEELS AND PARTS AND
ACCESSORIES THEREOF FOR MOTOR
VEHICLES.
870880................................. SUSPENSION SHOCK ABSORBERS FOR
MOTOR VEHICLES.
870891................................. RADIATORS FOR MOTOR VEHICLES.
870892................................. MUFFLERS AND EXHAUST PIPES FOR
MOTOR VEHICLES.
870893................................. CLUTCHES AND PARTS THEREOF FOR
MOTOR VEHICLES.
870894................................. STEERING WHEELS, STEERING
COLUMNS AND STEERING BOXES FOR
MOTOR VEHICLES.
870895................................. SAFETY AIRBAGS WITH INFLATOR
SYSTEM; PARTS THEREOF.
870911................................. WORKS TRUCKS (NOT LIFTING OR
HANDLING) USED IN FACTORIES
ETC. AND TRACTORS USED ON
RAILWAY STATION PLATFORMS,
ELECTRICAL.
870919................................. WORKS TRUCKS (NOT LIFTING OR
HANDLING) USED IN FACTORIES
ETC. AND TRACTORS USED ON
RAILWAY STATION PLATFORMS, NOT
ELECTRICAL.
870990................................. PARTS FOR WORKS TRUCKS (NOT
LIFTING OR HANDLING) USED IN
FACTORIES ETC. AND PARTS OF
TRACTORS OF THE TYPE USED ON
RAILWAY STATION PLATFORMS.
871000................................. TANKS AND OTHER ARMORED
FIGHTING VEHICLES, MOTORIZED,
WHETHER OR NOT FITTED WITH
WEAPONS, AND PARTS OF SUCH
VEHICLES.
[[Page 91]]
871110................................. MOTORCYCLES AND CYCLES WITH AN
AUXILIARY MOTOR, WITH
RECIPROCATING INTERNAL
COMBUSTION PISTON ENGINE,
CYLINDER CAPACITY NOT OVER 50
CC.
871200................................. BICYCLES AND OTHER CYCLES
(INCLUDING DELIVERY
TRICYCLES), NOT MOTORIZED.
871491................................. FRAMES AND FORKS, AND PARTS
THEREOF FOR BICYCLES AND OTHER
CYCLES NESOI.
871492................................. WHEEL RIMS AND SPOKES FOR
BICYCLES AND OTHER CYCLES
NESOI.
871493................................. HUBS (OTHER THAN COASTER
BRAKING HUBS AND HUB BRAKES)
AND FREE-WHEEL SPROCKET-WHEELS
FOR BICYCLES AND OTHER CYCLES
NESOI.
871494................................. BRAKES, INCLUDING COASTER
BRAKING HUBS AND HUB BRAKES
AND PARTS THERE OF, FOR
BICYCLES AND OTHER CYCLES
NESOI.
871495................................. SADDLES FOR BICYCLES AND OTHER
CYCLES NESOI.
871496................................. PEDALS AND CRANK-GEAR, AND
PARTS THEREOF FOR BICYCLES AND
OTHER CYCLES NESOI.
871499................................. PARTS AND ACCESSORIES NESOI,
FOR BICYCLES AND OTHER CYCLES
NESOI.
871610................................. TRAILERS AND SEMI-TRAILERS FOR
HOUSING OR CAMPING.
871620................................. SELF-LOADING OR SELF-UNLOADING
TRAILERS AND SEMI-TRAILERS FOR
AGRICULTURAL PURPOSES.
871631................................. TANKER TRAILERS AND TANKER SEMI-
TRAILERS.
871639................................. TRAILERS AND SEMI-TRAILERS FOR
THE TRANSPORT OF GOODS, NESOI.
871640................................. TRAILERS AND SEMI-TRAILERS,
NESOI.
871680................................. VEHICLES (OTHER THAN TRAILERS
AND SEMI-TRAILERS), NOT
MECHANICALLY PROPELLED, NESOI.
871690................................. PARTS OF TRAILERS, SEMI-
TRAILERS AND OTHER VEHICLES,
NOT MECHANICALLY PROPELLED.
880100................................. HANG GLIDERS, GLIDERS,
BALLOONS, DIRIGIBLES AND OTHER
NON-POWERED AIRCRAFT.
880211................................. HELICOPTERS OF AN UNLADEN
WEIGHT NOT EXCEEDING 2,000 KG.
880212................................. HELICOPTERS OF AN UNLADEN
WEIGHT EXCEEDING 2,000 KG.
880220................................. AIRPLANES AND OTHER AIRCRAFT
NESOI, OF AN UNLADEN WEIGHT
NOT EXCEEDING 2,000 KG.
880230................................. AIRPLANES AND OTHER AIRCRAFT
NESOI, OF AN UNLADEN WEIGHT
EXCEEDING 2,000 KG BUT NOT
EXCEEDING 15,000 KG.
880240................................. AIRPLANES AND OTHER AIRCRAFT
NESOI, OF AN UNLADEN WEIGHT
EXCEEDING 15,000 KG.
880260................................. SPACECRAFT (INCLUDING
SATELLITES) AND SUBORBITAL AND
SPACECRAFT LAUNCH VEHICLES.
880400................................. PARACHUTES (INCLUDING DIRIGIBLE
PARACHUTES AND PARAGLIDERS)
AND ROTOCHUTES; PARTS THEREOF
AND ACCESSORIES THERETO.
880510................................. AIRCRAFT LAUNCHING GEAR AND
PARTS THEREOF; DECK-ARRESTORS
OR SIMILAR GEAR AND PARTS
THEREOF.
880521................................. AIR COMBAT SIMULATORS AND PARTS
THEREOF.
880529................................. GROUND FLYING TRAINERS AND
PARTS THEREOF, NESOI.
880610................................. UNMANNED AIRCRAFT DESIGNED FOR
THE CARRIAGE OF PASSENGERS.
880621................................. UNMANNED AIRCRAFT FOR REMOTE-
CONTROLLED FLIGHT ONLY, WITH
MAXIMUM TAKE-OFF WEIGHT NOT
MORE THAN 250 G.
880622................................. UNMANNED AIRCRAFT FOR REMOTE-
CONTROLLED FLIGHT ONLY, WITH
MAXIMUM TAKE-OFF WEIGHT MORE
THAN 250 G BUT NOT MORE THAN 7
KG.
880623................................. UNMANNED AIRCRAFT FOR REMOTE-
CONTROLLED FLIGHT ONLY, WITH
MAXIMUM TAKE-OFF WEIGHT MORE
THAN 7 KG BUT NOT MORE THAN 25
KG.
880624................................. UNMANNED AIRCRAFT FOR REMOTE-
CONTROLLED FLIGHT ONLY, WITH
MAXIMUM TAKE-OFF WEIGHT MORE
THAN 25 KG BUT NOT MORE THAN
150 KG.
880629................................. UNMANNED AIRCRAFT FOR REMOTE-
CONTROLLED FLIGHT ONLY, WITH
MAXIMUM TAKE-OFF WEIGHT MORE
THAN 150 KG.
880691................................. UNMANNED AIRCRAFT WITH MAXIMUM
TAKE-OFF WEIGHT NOT MORE THAN
250 G, NESOI.
880692................................. UNMANNED AIRCRAFT WITH MAXIMUM
TAKE-OFF WEIGHT MORE THAN 250
G BUT NOT MORE THAN 7 KG,
NESOI.
880693................................. UNMANNED AIRCRAFT WITH MAXIMUM
TAKE-OFF WEIGHT MORE THAN 7 KG
BUT NOT MORE THAN 25 KG,
NESOI.
[[Page 92]]
880694................................. UNMANNED AIRCRAFT WITH MAXIMUM
TAKE-OFF WEIGHT MORE THAN 25
KG BUT NOT MORE THAN 150 KG,
NESOI.
880699................................. UNMANNED AIRCRAFT WITH MAXIMUM
TAKE-OFF WEIGHT MORE THAN 150
KG, NESOI.
880710................................. PROPELLERS AND ROTORS AND PARTS
THEREOF, FOR BALLOONS,
GLIDERS, OTHER AIRCRAFT AND
SPACECRAFT, ETC.
880720................................. UNDERCARRIAGES AND PARTS
THEREOF, FOR BALLOONS,
GLIDERS, OTHER AIRCRAFT AND
SPACECRAFT, ETC.
880730................................. PARTS OF AIRPLANES OR
HELICOPTERS, NESOI.
880790................................. PARTS FOR USE IN CIVIL
AIRCRAFT, BALLOONS,
DIRIGIBLES, GLIDERS, HANG
GLIDERS AND OTHER NON-POWERED
AIRCRAFT, NESOI.
890110................................. CRUISE SHIPS, EXCURSION BOATS
AND SIMILAR VESSELS
PRINCIPALLY DESIGNED FOR THE
TRANSPORT OF PERSONS; FERRY
BOATS OF ALL KINDS.
890120................................. TANKERS FOR THE TRANSPORT OF
GOODS.
890130................................. REFRIGERATED VESSELS, OTHER
THAN TANKERS.
890190................................. VESSELS NESOI, FOR THE
TRANSPORT OF GOODS, AND OTHER
VESSELS NESOI, FOR THE
TRANSPORT OF BOTH PERSONS AND
GOODS.
890200................................. FISHING VESSELS; FACTORY SHIPS
AND OTHER VESSELS FOR
PROCESSING OR PRESERVING
FISHERY PRODUCTS.
890311................................. INFLATABLE YACHTS AND VESSELS
FOR PLEASURE OR SPORTS,
INCLUDING INFLATABLE ROW BOATS
AND CANOES.
890312................................. INFLATABLE YACHTS AND VESSELS
FOR PLEASURE OR SPORTS,
INCLUDING INFLATABLE ROW BOATS
AND CANOES.
890319................................. INFLATABLE YACHTS AND VESSELS
FOR PLEASURE OR SPORTS,
INCLUDING INFLATABLE ROW BOATS
AND CANOES.
890321................................. SAILBOATS, WITH OR WITHOUT
AUXILIARY MOTOR.
890322................................. SAILBOATS, WITH OR WITHOUT
AUXILIARY MOTOR.
890323................................. SAILBOATS, WITH OR WITHOUT
AUXILIARY MOTOR.
890331................................. MOTORBOATS, OTHER THAN OUTBOARD
MOTORBOATS.
890332................................. MOTORBOATS, OTHER THAN OUTBOARD
MOTORBOATS.
890333................................. MOTORBOATS, OTHER THAN OUTBOARD
MOTORBOATS.
890393................................. YACHTS AND OTHER VESSELS FOR
PLEASURE OR SPORTS NESOI; ROW
BOATS AND CANOES (NOT DESIGNED
TO BE PRINCIPALLY USED WITH
MOTORS OR SAILS) NESOI.
890399................................. YACHTS AND OTHER VESSELS FOR
PLEASURE OR SPORTS NESOI; ROW
BOATS AND CANOES (NOT DESIGNED
TO BE PRINCIPALLY USED WITH
MOTORS OR SAILS) NESOI.
890400................................. TUGS AND PUSHER CRAFT VESSELS.
890510................................. DREDGERS (VESSELS).
890610................................. WARSHIPS (INCLUDING SUBMARINES,
TROOPSHIPS ETC.).
890690................................. VESSELS (OTHER THAN WARSHIPS)
INCLUDING LIFEBOATS, OTHER
THAN ROW BOATS, NESOI.
890710................................. INFLATABLE RAFTS.
890790................................. FLOATING STRUCTURES (FOR
EXAMPLE, TANKS, COFFERDAMS,
LANDING-STAGES, BUOYS AND
BEACONS), EXCEPT INFLATABLE
RAFTS.
890800................................. VESSELS AND FLOATING STRUCTURES
FOR BREAKING UP (SCRAPPING).
900110................................. OPTICAL FIBERS, OPTICAL FIBER
BUNDLES AND CABLES, OTHER THAN
OPTICAL FIBER CABLES MADE UP
OF INDIVIDUALLY SHEATHED
FIBERS.
900120................................. SHEETS AND PLATES OF POLARIZING
MATERIAL.
900130................................. CONTACT LENSES.
900140................................. SPECTACLE LENSES OF GLASS.
900150................................. SPECTACLE LENSES OF MATERIALS
OTHER THAN GLASS.
900190................................. LENSES (EXCEPT CONTACT AND
SPECTACLE), PRISMS, MIRRORS
AND OTHER OPTICAL ELEMENTS,
UNMOUNTED, OTHER THAN ELEMENTS
OF GLASS NOT OPTICALLY WORKED.
900211................................. OBJECTIVE LENSES AND PARTS AND
ACCESSORIES THEREOF FOR
CAMERAS, PROJECTORS OR
PHOTOGRAPHIC ENLARGERS OR
REDUCERS.
900219................................. OBJECTIVE LENSES AND PARTS AND
ACCESSORIES THEREOF FOR
INSTRUMENTS OR APPARATUS,
NESOI.
900220................................. OPTICAL FILTERS AND PARTS AND
ACCESSORIES THEREOF FOR
INSTRUMENTS OR APPARATUS.
900290................................. PRISMS, MIRRORS AND OTHER
OPTICAL ELEMENTS, MOUNTED, AND
PARTS AND ACCESSORIES THEREOF,
NESOI.
[[Page 93]]
900311................................. FRAMES AND MOUNTINGS FOR
SPECTACLES, GOGGLES OR THE
LIKE, OF PLASTICS.
900319................................. FRAMES AND MOUNTINGS FOR
SPECTACLES, GOGGLES OR THE
LIKE, OF MATERIALS OTHER THAN
PLASTICS.
900390................................. PARTS OF FRAMES AND MOUNTINGS
FOR SPECTACLES, GOGGLES OR THE
LIKE.
900410................................. SUNGLASSES.
900490................................. SPECTACLES, GOGGLES AND THE
LIKE, CORRECTIVE, PROTECTIVE
OR OTHER, NESOI.
900510................................. BINOCULARS.
900580................................. MONOCULARS, OTHER OPTICAL
TELESCOPES AND MOUNTINGS;
OTHER ASTRONOMICAL INSTRUMENTS
AND MOUNTINGS, EXCLUDING
INSTRUMENTS FOR RADIO-
ASTRONOMY.
900590................................. PARTS AND ACCESSORIES
(INCLUDING MOUNTINGS) OF
BINOCULARS, MONOCULARS,
OTHEROTHER OPTICAL TELECOPES
AND ASTRONOMICAL INSTRUMENTS
NESOI.
900630................................. CAMERAS DESIGNED FOR UNDERWATER
USE, FOR AERIAL SURVEY, OR
MEDICAL/SURGICAL EXAMINATION
OF INTERNAL ORGANS; CAMERAS
FOR FORENSIC OR CRIMINOLOGICAL
USE.
900640................................. INSTANT PRINT CAMERAS.
900653................................. CAMERAS (STILL) NESOI, FOR ROLL
FILM OF A WIDTH OF 35 MM (1.4
INCH).
900659................................. PHOTOGRAPHIC CAMERAS (OTHER
THAN CINEMATOGRAPHIC), NESOI.
900661................................. PHOTOGRAPHIC DISCHARGE LAMP
(ELECTRONIC) FLASHLIGHT
APPARATUS.
900669................................. PHOTOGRAPHIC FLASHLIGHT
APPARATUS, NESOI.
900691................................. PARTS AND ACCESSORIES FOR
PHOTOGRAPHIC (OTHER THAN
CINEMATOGRAPHIC) CAMERAS.
900699................................. PARTS AND ACCESSORIES FOR
PHOTOGRAPHIC FLASHLIGHT
APPARATUS AND FLASHBULBS,
NESOI.
900710................................. CINEMATOGRAPHIC CAMERAS.
900720................................. CINEMATOGRAPHIC PROJECTORS,
WHETHER OR NOT INCORPORATING
SOUND RECORDING OR REPRODUCING
APPARATUS.
900791................................. PARTS AND ACCESSORIES FOR
CINEMATOGRAPHIC CAMERAS.
900792................................. PARTS AND ACCESSORIES FOR
CINEMATOGRAPHIC PROJECTORS.
900850................................. IMAGE AND PHOTOGRAPHIC
PROJECTORS, ENLARGERS AND
REDUCERS, OTHER THAN
CINEMATOGRAPHIC.
900890................................. PARTS AND ACCESSORIES OF IMAGE
PROJECTORS, PHOTOGRAPHIC
ENLARGERS AND REDUCERS, OTHER
THAN CINEMATOGRAPHIC.
901010................................. PHOTOGRAPHIC EQUIPMENT FOR THE
AUTOMATIC DEVELOPMENT OF FILM
OR PAPER IN ROLLS OR
AUTOMATICALLY EXPOSING
DEVELOPED FILM TO ROLLS OF
PHOTOGRAPHIC PAPER.
901050................................. APPARATUS AND EQUIPMENT FOR
PHOTOGRAPHIC (INCLUDING
CIMETOGRAPHIC) LABORATORIES,
N.E.S.O.I.; NEGATOSCOPES.
901060................................. PROJECTION SCREENS.
901090................................. PARTS AND ACCESSORIES OF
APPARATUS AND EQUIPMENT FOR
PHOTOGRAPHIC (INCLUDING
CINEMATOGRAPHIC) LABORATORIES
NESOI, NEGATOSCOPES AND
PROJECTION SCREENS.
901110................................. STEREOSCOPIC MICROSCOPES.
901120................................. MICROSCOPES NESOI, FOR
PHOTOMICROGRAPHY,
CINEPHOTOMICROGRAPHY OR
MICROPROJECTION.
901180................................. COMPOUND OPTICAL MICROSCOPES,
NESOI.
901190................................. PARTS AND ACCESSORIES FOR
COMPOUND OPTICAL MICROSCOPES.
901210................................. MICROSCOPES OTHER THAN OPTICAL
MICROSCOPES; DIFFRACTION
APPARATUS.
901290................................. PARTS AND ACCESSORIES FOR
MICROSCOPES OTHER THAN OPTICAL
MICROSCOPES; PARTS AND
ACCESSORIES FOR DIFFRACTION
APPARATUS.
901310................................. TELESCOPIC SIGHTS FOR FITTING
TO ARMS; PERISCOPES;
TELESCOPES FOR OPTICAL,
PHOTOGRAPHIC, PRECISION,
MEDICAL AND ELECTRICAL
MACHINES, APPLIANCES, ETC.
901320................................. LASERS, OTHER THAN LASER
DIODES.
901380................................. OPTICAL DEVICES, APPLIANCES AND
INSTRUMENTS, NESOI.
901390................................. PARTS AND ACCESSORIES FOR
LIQUID CRYSTAL DEVICES, LASERS
(OTHER THAN LASER DIODES) AND
OTHER OPTICAL APPLIANCES AND
INSTRUMENTS, NESOI.
901410................................. DIRECTION FINDING COMPASSES.
[[Page 94]]
901420................................. INSTRUMENTS AND APPLIANCES FOR
AERONAUTICAL OR SPACE
NAVIGATION (OTHER THAN
COMPASSES).
901480................................. NAVIGATIONAL INSTRUMENTS AND
APPLIANCES, NESOI.
901490................................. PARTS AND ACCESSORIES FOR
DIRECTION FINDING COMPASSES
AND OTHER NAVIGATIONAL
INSTRUMENTS AND APPLIANCES.
901510................................. RANGEFINDERS.
901520................................. THEODOLITES AND TACHYOMETERS.
901530................................. LEVELS (SURVEYING).
901540................................. PHOTOGRAMMETRICAL SURVEYING
INSTRUMENTS AND APPLIANCES.
901580................................. SURVEYING INSTRUMENTS AND
APPLIANCES, NESOI,
HYDROGRAPHIC, OCEANOGRAPHIC,
HYDROLOGICAL, METEOROLOGICAL
OR GEOPHYSICAL INSTRUMENTS AND
APPLIANCES NESOI.
901590................................. PARTS ETC. FOR RANGEFINDERS AND
SURVEYING, HYDROGRAPHIC, OCEAN
OGRAPHIC, HYDROLOGICAL,
METEOROLOGICAL OR GEOPHYSICAL
INSTRUMENTS AND APPLIANCES
NESOI.
901600................................. BALANCES OF A SENSITIVITY OF 5
CG OR BETTER, WITH OR WITHOUT
WEIGHTS; PARTS AND ACCESSORIES
THEREOF.
901710................................. DRAFTING TABLES AND MACHINES,
WHETHER OR NOT AUTOMATIC.
901720................................. DRAWING, MARKING-OUT OR
MATHEMATICAL CALCULATING
INSTRUMENTS, EXCEPT DRAFTING
TABLES AND MACHINES.
901730................................. MICROMETERS, CALIPERS AND
GAUGES.
901780................................. INSTRUMENTS FOR MEASURING
LENGTH, FOR USE IN THE HAND,
NESOI.
901790................................. PARTS AND ACCESSORIES FOR
DRAWING, MARKING-OUT OR
MATHEMATICAL CALCULATING
INSTRUMENTS AND INSTRUMENTS
FOR MEASURING LENGTH FOR USE
IN THE HAND, NESOI.
901811................................. ELECTROCARDIOGRAPHS, AND PARTS
AND ACCESSORIES THEREOF.
901812................................. ULTRASONIC SCANNING APPARATUS.
901813................................. MAGNETIC RESONANCE IMAGING
APPARATUS.
901814................................. SCINTIGRAPHIC APPARATUS.
901819................................. ELECTRO-DIAGNOSTIC APPARATUS
(AND APPARATUS FOR FUNCTIONAL
EXPLORATORY EXAMINATION OR FOR
CHECKING PHYSIOLOGICAL
PARAMETERS) NESOI, AND PARTS,
ETC.
901820................................. ULTRAVIOLET OR INFRARED RAY
APPARATUS, AND PARTS AND
ACCESSORIES THEREOF.
901831................................. SYRINGES, WITH OR WITHOUT
NEEDLES; PARTS AND ACCESSORIES
THEREOF.
901832................................. TUBULAR METAL NEEDLES AND
NEEDLES FOR SUTURES AND PARTS
AND ACCESSORIES THEREOF.
901839................................. MEDICAL ETC., NEEDLES NESOI,
CATHETERS, CANNULAE AND THE
LIKE; PARTS AND ACCESSORIES
THEROF.
901841................................. DENTAL DRILL ENGINES, WHETHER
OR NOT COMBINED ON A SINGLE
BASE WITH OTHER DENTAL
EQUIPMENT, AND PARTS AND
ACCESSORIES THEREOF.
901849................................. INSTRUMENTS AND APPLIANCES USED
IN DENTAL SCIENCES, NESOI, AND
PARTS AND ACCESSORIES THEREOF.
901850................................. OPHTHALMIC INSTRUMENTS AND
APPLIANCES, NESOI, AND PARTS
AND ACCESSORIES THEREOF.
901890................................. INSTRUMENTS AND APPLIANCES FOR
MEDICAL, SURGICAL OR
VETERINARY SCIENCES, NESOI,
AND PARTS AND ACCESSORIES
THEREOF.
901910................................. MECHANO-THERAPY APPLIANCES;
MASSAGE APPARATUS;
PSYCHOLOGICAL APTITUDE-TESTING
APPARATUS; PARTS AND
ACCESSORIES THEREOF.
901920................................. OZONE THERAPY, OXYGEN THERAPY,
AEROSOL THERAPY, ARTIFICAL
RESPIRATION OR OTHER
THERAPEUTIC RESPIRATION
APPARATUS; PARTS AND
ACCESSORIES THEREOF.
902000................................. BREATHING APPLIANCES NESOI AND
GAS MASKS HAVING MECHANICAL
PARTS AND/OR REPLACEABLE
FILTERS; PARTS AND ACCESSORIES
THEREOF.
902110................................. ORTHOPEDIC OR FRACTURE
APPLIANCES; PARTS AND
ACCESSORIES THEREOF.
902121................................. ARTIFICIAL TEETH; AND PARTS AND
ACCESSORIES THEREOF.
902129................................. DENTAL FITTINGS; AND PARTS AND
ACCESSORIES THEREOF.
902131................................. ARTIFICIAL JOINTS AND PARTS AND
ACCESSORIES THEREOF.
902139................................. ARTIFICIAL JOINTS AND PARTS AND
ACCESSORIES THEREOF, NESOI.
902140................................. HEARING AIDS.
902150................................. PACEMAKERS FOR STIMULATING
HEART MUSCLES.
[[Page 95]]
902190................................. ARTIFICIAL PARTS OF THE BODY
NESOI; AND PARTS AND
ACCESSORIES THEREOF.
902212................................. COMPUTED TOMOGRAPHY APPARATUS.
902213................................. APPARATUS BASE ON THE USE OF X-
RAYS FOR DENTAL, USES,
INCLUDING RADIOGRAPHY OR
RADIOTHERAPY APPARATUS.
902214................................. APPARATUS BASED ON THE USE OF X-
RAYS FOR MEDICAL, SURGICAL, OR
VETERINARY USES, INCLUDING
RADIOGRAPHY OR RADIOTHERAPY
APPARATUS, NESOI.
902219................................. APPARATUS BASED ON THE USE OF X-
RAYS FOR USES OTHER THAN
MEDICAL, SURGICAL, DENTAL OR
VETERINARY, INCLUDING
INDUSTRIAL X-RAY APPARATUS.
902221................................. APPARATUS BASED ON THE USE OF
ALPHA, BETA OR GAMMA
RADIATIONS FOR MEDICAL,
SURGICAL, DENTAL OR VETERINARY
USES.
902229................................. APPARATUS BASED ON THE USE OF
ALPHA, BETA OR GAMMA
RADIATIONS FOR OTHER THAN
MEDICAL, SURGICAL, DENTAL OR
VETERINARY USES.
902230................................. X-RAY TUBES.
902290................................. X-RAY GENERATORS, HIGH TENSION
GENERATORS, CONTROL PANELS AND
DESKS, SCREENS, EXAMINATION OR
TREATMENT TABLES, CHAIRS ETC.;
PARTS AND ACCESSORIES.
902300................................. INSTRUMENTS, APPARATUS AND
MODELS, DESIGNED FOR
DEMONSTRATIONAL PURPOSES,
UNSUITABLE FOR OTHER USES, AND
PARTS AND ACCESSORIES THEREOF.
902410................................. MACHINES AND APPLIANCES FOR
TESTING METALS.
902480................................. MACHINES AND APPLIANCES NESOI
FOR TESTING THE HARDNESS,
STRENGTH, COMPRESSIBILITY,
ELASTICITY OR OTHER SPECIFIC
PROPERTIES OF MATERIALS.
902490................................. PARTS AND ACCESSORIES OF
MACHINES OR APPLIANCES FOR
TESTING HARDNESS, STRENGTH,
COMPRESSIBILITY, ELASTICITY OR
OTHER SPECIFIC PROPERTIES OF
MATERIALS.
902511................................. THERMOMETERS AND PYROMETERS,
NOT COMBINED WITH OTHER
INSTRUMENTS, LIQUID-FILLED,
FOR DIRECT READING.
902519................................. THERMOMETERS AND PYROMETERS,
NOT COMBINED WITH OTHER
INSTRUMENTS, NESOI.
902580................................. HYDROMETERS AND SIMILAR
FLOATING INSTRUMENTS,
HYGROMETERS AND PSYCHROMETERS,
NESOI.
902590................................. PARTS AND ACCESSORIES FOR
HYDROMETERS AND SIMILAR
FLOATING INSTRUMENTS,
THERMOMETERS, PYROMETERS,
BAROMETERS, HYGROMETERS AND
PSYCHROMETERS.
902610................................. INSTRUMENTS AND APPARATUS FOR
MEASURING OR CHECKING THE FLOW
OR LEVEL OF LIQUIDS, NESOI.
902620................................. INSTRUMENTS AND APPARATUS FOR
MEASURING OR CHECKING PRESSURE
OF LIQUIDS OR GASES, NESOI.
902680................................. INSTRUMENTS AND APPARATUS FOR
MEASURING OR CHECKING OTHER
VARIABLES OF LIQUIDS OR GASES,
NESOI.
902690................................. PARTS AND ACCESSORIES FOR
INSTRUMENTS AND APPARATUS FOR
MEASURING OR CHECKING THE
FLOW, LEVEL, PRESSURE OR OTHER
VARIABLES OF LIQUIDS OR GASES,
NESOI.
902710................................. GAS OR SMOKE ANALYSIS
APPARATUS.
902720................................. CHROMATOGRAPHS AND
ELECTROPHORESIS INSTRUMENTS.
902730................................. SPECTROMETERS,
SPECTROPHOTOMETERS AND
SPECTROGRAPHS USING OPTICAL
RADIATIONS (ULTRAVIOLET,
VISIBLE, INFRARED).
902750................................. INSTRUMENTS AND APPARATUS FOR
PHYSICAL OR CHEMICAL ANALYSIS
USING OPTICAL RADIATIONS
(ULTRAVIOLET, VISIBLE,
INFRARED), NESOI.
902781................................. INSTRUMENTS AND APPARATUS FOR
PHYSICAL OR CHEMICAL ANALYSIS,
NESOI.
902789................................. INSTRUMENTS AND APPARATUS FOR
PHYSICAL OR CHEMICAL ANALYSIS,
NESOI.
902790................................. MICROTOMES; PARTS AND
ACCESSORIES FOR INSTRUMENTS
AND APPARATUS FOR PHYSICAL OR
CHEMICAL ANALYSIS.
902810................................. GAS SUPPLY OR PRODUCTION
METERS.
902820................................. LIQUID SUPPLY OR PRODUCTION
METERS.
902830................................. ELECTRICITY SUPPLY OR
PRODUCTION METERS.
902890................................. PARTS AND ACCESSORIES OF GAS,
LIQUID OR ELECTRICITY SUPPLY
OR PRODUCTION METERS,
INCLUDING CALIBRATING METERS
THEREFOR.
[[Page 96]]
902910................................. REVOLUTION COUNTERS, PRODUCTION
COUNTERS, TAXIMETERS,
ODOMETERS, PEDOMETERS AND THE
LIKE.
902920................................. SPEEDOMETERS AND TACHOMETERS;
STROBOSCOPES.
902990................................. PARTS AND ACCESSORIES FOR
REVOLUTION COUNTERS,
PRODUCTION COUNTERS,
TAXIMETERS, ODOMETERS,
PEDOMETERS ETC., SPEEDOMETERS,
TACHOMETERS AND STROBOSOPES.
903010................................. INSTRUMENTS AND APPARATUS FOR
MEASURING OR DETECTING
IONIZING RADIATIONS.
903020................................. CATHODE-RAY OSCILLOSCOPES AND
CATHODE-RAY OSCILLOGRAPHS.
903031................................. MULTIMETERS, WITHOUT A
RECORDING DEVICE.
903032................................. MULTIMETERS WITH A RECORDING
DEVICE.
903033................................. INSTRUMENTS AND APPARATUS, FOR
MEASURING OR CHECKING VOLTAGE,
CURRENT, RESISTANCE OR POWER,
WITHOUT A RECORDING DEVICE,
NESOI.
903039................................. INSTRUMENTS AND APPARATUS FOR
MEASURING OR CHECKING VOLTAGE,
CURRENT, RESISTANCE OR POWER,
WITHOUT A RECORDING DEVICE
(EXCLUDING MULTIMETERS),
NESOI.
903040................................. INSTRUMENTS AND APPARATUS
NESOI, SPECIALLY DESIGNED FOR
TELECOMMUNICATIONS (FOR
EXAMPLE, CROSS-TALK METERS,
GAIN MEASURING INSTRUMENTS
ETC.).
903082................................. INST & APP W/A RECORDING DEVICE
DESIGNED TO CHECK OR MEASURE
SEMICONDUCTOR WAFERS & DEVICES
(SUCH AS PROBE TESTERS,
RESISTIVITY CHECKERS, LOGIC
ANALYZERS.
903084................................. INSTRUMENTS AND APPARATUS, WITH
A RECORDING DEVICE, NESOI.
903089................................. INSTRUMENTS AND APPARATUS
NESOI, WITHOUT A RECORDING
DEVICE FOR MEASURING OR
CHECKING ELECTRICAL
QUANTITIES.
903090................................. PARTS AND ACCESSORIES OF
INSTRUMENTS AND APPARATUS FOR
MEASURING, CHECKING OR
DETECTING ELECTRICAL
QUANTITIES, OR IONIZING
RADIATIONS, NESOI.
903110................................. MEASURING OR CHECKING MACHINES
FOR BALANCING MECHANICAL
PARTS, NESOI.
903120................................. TEST BENCHES.
903141................................. OPTICAL INSTRUMENTS FOR
INSPECTING SEMICONDUCTOR
WAFERS OR DEVICES OR FOR
INSPECTING PHOTOMASKS OR
RETICLES USED IN MANUFG
SEMICONDUCTOR DEVICES.
903149................................. MEASURING OR CHECKING
INSTRUMENTS, APPLIANCES AND
MACHINES, N.E.S.O.I.
903180................................. MEASURING OR CHECKING
INSTRUMENTS, APPLIANCES AND
MACHINES, NESOI.
903190................................. PARTS AND ACCESSORIES FOR
MEASURING OR CHECKING
INSTRUMENTS, APPLIANCES AND
MACHINES, NESOI; PARTS AND
ACCESSORIES FOR PROFILE
PROJECTORS.
903210................................. THERMOSTATS.
903220................................. MANOSTATS.
903281................................. HYDRAULIC OR PNEUMATIC
AUTOMATIC REGULATING OR
CONTROLLING INSTRUMENTS AND
APPARATUS.
903289................................. AUTOMATIC REGULATING OR
CONTROLLING INSTRUMENTS AND
APPARATUS (EXCLUDING
THERMOSTATS, MANOSTATS AND
HYDRAULIC TYPES), NESOI.
903290................................. PARTS AND ACCESSORIES OF
AUTOMATIC REGULATING OR
CONTROLLING INSTRUMENTS AND
APPARATUS.
903300................................. PARTS AND ACCESSORIES (NOT
SPECIFIED OR INCLUDED
ELSEWHERE IN THIS CHAPTER) FOR
MACHINES, APPLIANCES,
INSTRUMENTS OR APPARATUS OF
CHAPTER 90.
930200................................. REVOLVERS AND PISTOLS, DESIGNED
TO FIRE LIVE AMMUNITION.
930310................................. MUZZLE-LOADING FIREARMS.
930320................................. SPORTING, HUNTING OR TARGET-
SHOOTING SHOTGUNS, INCLUDING
COMBINATION SHOTGUN-RIFLES,
EXCEPT MUZZLE-LOADING
FIREARMS.
930330................................. SPORTING, HUNTING OR TARGET-
SHOOTING RIFLES, EXCEPT MUZZLE-
LOADING FIREARMS AND
COMBINATION SHOTGUN-RIFLES.
930390................................. DEVICES DESIGNED TO PROJECT
ONLY SIGNAL FLARES; PISTOLS
AND REVOLVERS FOR FIRING BLANK
AMMUNITION; CAPTIVE-BOLT
HUMANE KILLERS; LINE-THROWING
GUNS.
930400................................. ARMS NESOI (INCLUDING SPRING,
AIR OR GAS GUNS AND PISTOLS,
BUT EXCLUDING SWORDS, BAYONETS
AND SIMILAR ARMS).
[[Page 97]]
930510................................. PARTS AND ACCESSORIES OF
REVOLVERS OR PISTOLS.
930520................................. PARTS AND ACCESSORIES OF
SHOTGUNS OR RIFLES OF HEADING
9303.
930599................................. PARTS AND ACCESSORIES OF
ARTICLES OF HEADINGS 9303 TO
9304, NESOI.
930621................................. SHOTGUN CARTRIDGES.
930629................................. AIR GUN PELLETS AND PARTS OF
SHOTGUN CARTRIDGES.
930630................................. CARTRIDGES AND PARTS THEREOF,
NESOI.
930690................................. BOMBS, GRENADES, TORPEDOES,
MINES, MISSILES AND SIMILAR
MUNITIONS OF WAR AND PARTS
THEREOF; OTHER AMMUNITION AND
PROJECTILES AND PARTS THEREOF,
NESOI.
930700................................. SWORDS, CUTLASSES, BAYONETS,
LANCES AND SIMILAR ARMS AND
PARTS THEREOF AND SCABBARDS
AND SHEATHS THEREFOR.
940110................................. SEATS OF A KIND USED FOR
AIRCRAFT.
940120................................. SEATS OF A KIND USED FOR MOTOR
VEHICLES.
940330................................. WOODEN FURNITURE (EXCEPT SEATS)
OF A KIND USED IN OFFICES.
940610................................. PREFABRICATED BUILDINGS OF
WOOD.
940620................................. PREFABRICATED BUILDINGS, OTHER
THAN OF WOOD.
940690................................. PREFABRICATED BUILDINGS, OTHER
THAN OF WOOD.
950300................................. TRICYCLES, SCOOTERS, PEDAL CARS
AND SIMILAR WHEELED TOYS;
DOLLS' CARRIAGES; DOLLS; OTHER
TOYS; ETC.
960350................................. BRUSHES NESOI, CONSTITUTING
PARTS OF MACHINES, APPLIANCES
OR VEHICLES.
960390................................. HAND-OPERATED MECHANICAL (NOT
MOTORIZED) FLOOR SWEEPERS,
MOPS AND FEATHER DUSTERS;
PREPARED KNOTS AND TUFTS FOR
BROOM OR BRUSH MAKING, NESOI.
960610................................. PRESS-FASTENERS, SNAP-FASTENERS
AND PRESS-STUDS AND PARTS
THEREFOR.
960621................................. BUTTONS OF PLASTICS, NOT
COVERED WITH TEXTILE MATERIAL.
960622................................. BUTTONS OF BASE METAL, NOT
COVERED WITH TEXTILE MATERIAL.
960629................................. BUTTONS, NESOI.
960630................................. BUTTONS MOLDS AND OTHER PARTS
OF BUTTONS; BUTTON BLANKS.
960891................................. PEN NIBS AND NIB POINTS.
961220................................. INK-PADS, WHETHER OR NOT INKED.
------------------------------------------------------------------------
[88 FR 12183, Feb. 27, 2023, as amended at 88 FR 33430, May 23, 2023; 89
FR 4812, Jan. 25, 2024; 89 FR 51665, June 18, 2024]
Sec. Supplement No. 5 to Part 746--'Luxury Goods' Sanctions for Russia
and Belarus Pursuant to Sec. 746.8(a)(7)
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and
descriptions in this list is the United States International Trade
Commission (USITC)'s Harmonized Tariff Schedule of the United States
(2023). The items described in supplement no. 5 to part 746 include any
modified or designed ``components,'' ``parts,'' ``accessories,'' and
``attachments'' therefor regardless of the HTS Code or HTS Description
of the ``components,'' ``parts,'' ``accessories,'' and ``attachments,''
apart from any ``part'' or minor ``component'' that is a fastener (e.g.,
screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer,
spacer, insulator, grommet, bushing, spring, wire, or solder. The
exclusion of fasteners from this control does not apply to fasteners
that are designated under an HTS Code under this supplement. Although
generally fasteners (e.g., screws, bolts, nuts, nut plates, studs,
inserts, clips, rivets, pins), and washers, spacers, insulators,
grommets, bushings, springs, wires, and solder are excluded from the
scope of this supplement, see part 744 of the EAR for license
requirements for Russia and Belarus that apply to all items ``subject to
the EAR,'' e.g., Sec. 744.21 and the Entity List license requirements,
which in most cases extend to all items ``subject to the EAR.'' This
supplement includes two columns consisting of the HTS Code and HTS
Description and Per Unit Wholesale Price in the U.S. if applicable to
assist exporters, reexporters, and transferors in identifying the
products in this supplement. For information on HTS codes in general,
you may contact a local import specialist at U.S. Customs and Border
Protection at the nearest port. HTS-6 Codes 590500, 840710, 840721,
840729, 840731, 840732, 840733, 840734, 840790, 840810, 840820, 840890,
840910, 840991, 840999, 841111, 841112, 841121, 841122, 841181, 841182,
841191, 841199, 841229,
[[Page 98]]
841290, 841451, 841459, 841460, 841510, 841810, 841821, 841829, 841830,
841840, 841981, 842211, 842310, 842860, 843139, 844312, 844331, 844332,
844339, 845011, 845012, 845019, 845121, 845210, 847010, 847021, 847029,
847030, 847130, 847141, 847149, 847150, 847160, 847170, 847180, 847190,
847290, 847960, 848310, 848320, 848330, 848340, 848350, 848360, 848390,
850811, 850819, 850860, 850980, 851110, 851120, 851130, 851140, 851150,
851180, 851190, 851220, 851230, 851240, 851631, 851650, 851660, 851671,
851672, 851679, 851711, 851713, 851718, 851761, 851762, 851769, 851920,
851930, 851981, 851989, 852110, 852190, 852691, 852712, 852713, 852719,
852721, 852729, 852791, 852792, 852799, 852871, 852872, 852910, 853110,
854370, 854430, 870310, 870321, 870322, 870323, 870324, 870331, 870332,
870333, 870340, 870350, 870360, 870370, 870380, 870390, and 902000 are
listed in both this supplement and supplement no. 4 to this part, so
exporters, reexporters, and transferors must comply with the license
requirements under both Sec. 746.8(a)(5) and (7) as applicable.
(b) The items identified in the HTS-6 Code column of this supplement
are subject to the license requirement under Sec. 746.8(a)(7). The
other column--HTS Description--is intended to assist exporters with
their AES filing responsibilities. The license requirements extend to
HTS Codes at the 8 and 10 digit level (HTS-8 and HTS-10 codes,
respectively) when such longer HTS Codes begin with the HTS-6 Codes as
their first 6 numbers. When a description mentions parts related to one
or more numerical headings, this means parts related to any HS codes
that begin with the digits in the range specified. For example,
'headings 8524 to 8528' means any HS code, HTS code, or Schedule B which
has 8524, 8525, 8526, 8527, or 8528 as the first four digits.
------------------------------------------------------------------------
HTS-6 Description and per unit wholesale
HTS-6 Code price in the U.S. if applicable
------------------------------------------------------------------------
220300................... BEER MADE FROM MALT.
220410................... SPARKLING WINE OF FRESH GRAPES.
220421................... WINE OF FRESH GRAPES (OTHER THAN SPARKLING
WINE) AND GRAPE MUST WITH FERMENTATION
PREVENTED, ETC. BY ADDING ALCOHOL,
CONTAINERS OF NOT OVER 2 LITERS.
220422................... WINE, GRAPE MUST WITH FERMENTATION PREVENTED
OR ARRESTED BY THE ADDITION OF ALCOHOL IN
CONTAINERS HOLDING MORE THAN 2 LITERS BUT NO
MORE THAN 10 LITER.
220429................... WINE OF FRESH GRAPES (OTHER THAN SPARKLING
WINE) AND GRAPE MUST WITH FERMENTATION
PREVENTED, ETC. BY ADDING ALCOHOL,
CONTAINERS HOLDING OVER 2 LITERS.
220430................... GRAPE MUST, PARTIALLY FERMENTED, HAVING AN
ALCOHOLIC STRENGTH BY VOLUME EXCEEDING 0.5%
VOL., NESOI.
220510................... VERMOUTH AND OTHER WINE OF FRESH GRAPES
FLAVORED WITH PLANTS OR AROMATIC SUBSTANCES,
IN CONTAINERS HOLDING 2 LITERS OR LESS.
220590................... VERMOUTH AND OTHER WINE OF FRESH GRAPES
FLAVORED WITH PLANTS OR AROMATIC SUBSTANCES,
IN CONTAINERS HOLDING OVER 2 LITERS.
220600................... FERMENTED BEVERAGES, NESOI (INCL CIDER, PERRY
& MEAD); MIXTURES OF FERMENTED BEVERAGES &
MIXTURES OF FERMENTED BEVERAGES & NON-
ALCOHOL BEVERAGE NESOI.
220710................... ETHYL ALCOHOL, UNDENATURED, OF AN ALCOHOLIC
STRENGTH BY VOLUME OF 80% OR HIGHER.
220820................... SPIRITS OBTAINED BY DISTILLING GRAPE WINE OR
GRAPE MARC (GRAPE BRANDY).
220830................... WHISKIES.
220840................... RUM AND TAFIA.
220850................... GIN AND GENEVA.
220860................... VODKA.
220870................... LIQUEURS AND CORDIALS.
220890................... SPIRITUOUS BEVERAGES, NESOI, INCLUDING
CORDIALS, LIQUEURS, KIRSHWASSER, RATAFIA AND
VODKA.
240110................... TOBACCO, NOT STEMMED/STRIPPED.
240120................... TOBACCO, PARTLY OR WHOLLY STEMMED/STRIPPED.
240130................... TOBACCO REFUSE (WASTE).
240210................... CIGARS, CHEROOTS AND CIGARILLOS, CONTAINING
TOBACCO.
240220................... CIGARETTES CONTAINING TOBACCO.
240290................... CIGARS, CHEROOTS, CIGARILLOS AND CIGARETTES
OF TOBACCO SUBSTITUTES, NOT CONTAINING
TOBACCO.
240311................... WATER PIPE TOBACCO SPECIFIED IN SUBHEADING
NOTE 1 TO CHAPTER 24.
240319................... SMOKING TOBACCO, WHETHER OR NOT CONTAINING
TOBACCO SUBSTITUTES IN ANY PROPORTION, OTHER
THAN WATER PIPE TOBACCO.
240391................... HOMOGENIZED OR RECONSTITUTED TOBACCO.
240399................... MANUFACTURED TOBACCO AND ITS SUBSTITUTES,
NESOI; TOBACCO EXTRACTS AND ESSENCES.
240411................... MANUFACTURED TOBACCO AND ITS SUBSTITUTES,
NESOI; TOBACCO EXTRACTS AND ESSENCES.
240412................... CHEMICAL PRODUCTS AND PREPARATIONS OF THE
CHEMICAL OR ALLIED INDUSTRIES, N.E.S.O.I.;
RESIDUAL PRODUCTS OF THE CHEMICAL OR ALLIED
INDUSTRIES, N.E.S.O.I.
240419................... MANUFACTURED TOBACCO AND ITS SUBSTITUTES,
NESOI; TOBACCO EXTRACTS AND ESSENCES.
240491................... FOOD PREPARATIONS NESOI.
240492................... CHEMICAL PRODUCTS AND PREPARATIONS OF THE
CHEMICAL OR ALLIED INDUSTRIES, N.E.S.O.I.;
RESIDUAL PRODUCTS OF THE CHEMICAL OR ALLIED
INDUSTRIES, N.E.S.O.I.
[[Page 99]]
240499................... CHEMICAL PRODUCTS AND PREPARATIONS OF THE
CHEMICAL OR ALLIED INDUSTRIES, N.E.S.O.I.;
RESIDUAL PRODUCTS OF THE CHEMICAL OR ALLIED
INDUSTRIES, N.E.S.O.I.
330290................... MIXTURES OF ODORIFEROUS SUBSTANCES AND
MIXTURES (INCLUDING ALCOHOLIC SOLUTIONS)
BASED ON ONE OR MORE OF THESE SUBSTANCES
USED AS RAW MATERIALS, NESOI.
330300................... PERFUMES AND TOILET WATERS.
330410................... LIP MAKE-UP PREPARATIONS.
330420................... EYE MAKE-UP PREPARATIONS.
330491................... POWDER MAKE-UP OR SKIN CARE PREPARATIONS,
INCLUDING FACE POWDER, ROUGE, BABY POWDER
AND BATH POWDER.
330499................... BEAUTY OR MAKE-UP PREPARATIONS AND
PREPARATIONS FOR CARE OF THE SKIN (EXCLUDING
MEDICAMENTS) NESOI, INCLUDING SUNSCREENS AND
SUNTAN PREPARATIONS.
330790................... DEPILATORIES AND OTHER PERFUMERY, COSMETIC OR
TOILET PREPARATIONS, NESOI.
391690................... MONOFILAMENT WITH A CROSS-SECTIONAL DIMENSION
OVER 1 MM, RODS, STICKS AND PROFILE SHAPES
OF PLASTICS, NESOI, NOT MORE THAN SURFACE-
WORKED.
392620................... ARTICLES OF APPAREL AND CLOTHING ACCESSORIES
(INCLUDING GLOVES, MITTENS, AND MITTS),
NESOI, OF PLASTICS.
392640................... STATUETTES AND OTHER ORNAMENTAL ARTICLES, OF
PLASTICS.
392690................... ARTICLES OF PLASTICS, NESOI.
420211................... TRUNKS, SUITCASES, VANITY CASES AND SIMILAR
CONTAINERS, WITH OUTER SURFACE OF LEATHER OR
OF COMPOSITION LEATHER.
420212................... TRUNKS, SUITCASES, VANITY CASES AND SIMILAR
CONTAINERS, WITH OUTER SURFACE OF PLASTICS
OR OF TEXTILE MATERIALS.
420219................... TRUNKS, SUITCASES, VANITY CASES AND SIMILAR
CONTAINERS, WITH OUTER SURFACE OF MATERIALS
OTHER THAN LEATHER, PLASTICS OR TEXTILES.
420221................... HANDBAGS, WHETHER OR NOT WITH SHOULDER STRAP
OR HANDLES, WITH OUTER SURFACE OF LEATHER OR
OF COMPOSITION LEATHER.
420222................... HANDBAGS, WHETHER OR NOT WITH SHOULDER STRAP
OR HANDLES, WITH OUTER SURFACE OF PLASTIC
SHEETING OR OF TEXTILE MATERIALS.
420229................... HANDBAGS, WHETHER OR NOT WITH SHOULDER STRAP
OR HANDLES, WITH OUTER SURFACE OF MATERIALS
NESOI.
420231................... ARTICLES NORMALLY CARRIED IN THE POCKET OR
HANDBAG, WITH OUTER SURFACE OF LEATHER OR OF
COMPOSITION LEATHER.
420232................... ARTICLES NORMALLY CARRIED IN THE POCKET OR
HANDBAG, WITH OUTER SURFACE OF SHEETING OF
PLASTICS OR OF TEXTILE MATERIALS.
420239................... ARTICLES NORMALLY CARRIED IN THE POCKET OR
HANDBAG, WITH OUTER SURFACE OF MATERIALS
NESOI.
420291................... CONTAINERS, BAGS, BOXES, CASES, SATCHELS ETC.
WITH OUTER SURFACE OF LEATHER OR OF
COMPOSITION LEATHER, NESOI.
420299................... CONTAINER BAGS, BOXES, CASES AND SATCHELS
NESOI, WITH OUTER SURFACE OF MATERIALS
NESOI.
420340................... CLOTHING ACCESSORIES NESOI, OF LEATHER OR OF
COMPOSITION LEATHER.
430110................... MINK FURSKINS, RAW, WHOLE, WITH OR WITHOUT
HEAD, TAIL OR PAWS.
430130................... ASTRAKHAN, BROADTAIL, CARACUL, PERSIAN AND
SIMILAR LAMB, INDIAN, CHINESE, MONGOLIAN OR
TIBETAN LAMB, FURSKINS, RAW, WHOLE, WITH OR
WITHOUT HEAD, ETC.
430160................... FOX FURSKINS, RAW, WHOLE, WITH OR WITHOUT
HEAD, TAIL OR PAWS.
430180................... FURSKINS NESOI, RAW, WHOLE, WITH OR WITHOUT
HEAD, TAIL OR PAWS.
430190................... HEADS, TAILS, PAWS AND OTHER PIECES OR
CUTTINGS, OF FURSKINS, RAW, SUITABLE FOR
FURRIERS' USE.
430211................... MINK FURSKINS, WHOLE, WITH OR WITHOUT HEAD,
TAIL OR PAWS, TANNED OR DRESSED, NOT
ASSEMBLED.
430219................... FURSKINS NESOI, WHOLE, WITH OR WITHOUT HEAD,
TAIL OR PAWS, TANNED OR DRESSED, NOT
ASSEMBLED.
430220................... FURSKIN HEADS, TAILS, PAWS AND OTHER PIECES
OR CUTTINGS, TANNED OR DRESSED, NOT
ASSEMBLED.
430230................... FURSKINS, WHOLE AND PIECES OR CUTTINGS
THEREOF, TANNED OR DRESSED, ASSEMBLED.
430310................... ARTICLES OF APPAREL AND CLOTHING ACCESSORIES
OF FURSKINS.
430390................... ARTICLES OF FURSKINS, NESOI.
430400................... ARTIFICIAL FUR AND ARTICLES THEREOF.
442011................... STATUETTES AND OTHER ORNAMENTS, OF WOOD.
442019................... STATUETTES AND OTHER ORNAMENTS, OF WOOD.
490700................... UNUSED POSTAGE, STAMP-IMPRESSED PAPER, CHECK
FORMS, BANK NOTES, STOCK, SHARE OR BOND
CERTIFICATES AND SIMILAR DOCUMENTS OF TITLE,
ETC.
500100................... SILKWORM COCOONS SUITABLE FOR REELING, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
500200................... RAW SILK (NOT THROWN), AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
500300................... SILK WASTE (INCLUDING COCOONS UNSUITABLE FOR
REELING, YARN WASTE AND GARNETTED STOCK),
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
500400................... SILK YARN (OTHER THAN SPUN FROM SILK WASTE)
NOT PUT UP FOR RETAIL SALE, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
[[Page 100]]
500500................... YARN SPUN FROM SILK WASTE, NOT PUT UP FOR
RETAIL SALE, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
500600................... SILK YARN AND YARN SPUN FROM SILK WASTE, PUT
UP FOR RETAIL SALE; SILK WORM GUT, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
500710................... WOVEN FABRICS OF NOIL SILK, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
500720................... WOVEN FABRICS CONTAINING 85% OR MORE BY
WEIGHT OF SILK OR SILK WASTE OTHER THAN NOIL
SILK, AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
500790................... WOVEN FABRICS OF SILK OR SILK WASTE, NESOI,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
560394................... NONWOVENS, WHETHER OR NOT IMPREGNATED,
COATED, COVERED OR LAMINATED, (NOT OF
MANMADE FILAMENTS), WEIGHING MORE THAN 150 G/
M2, AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
570110................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
KNOTTED (WHETHER OR NOT MADE-UP), OF WOOL OR
FINE ANIMAL HAIR, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570190................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
KNOTTED (WHETHER OR NOT MADE UP), OF TEXTILE
MATERIALS, OTHER THAN WOOL OR FINE ANIMAL
HAIR, AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
570210................... KELEM, SCHUMACKS, KARAMANIE, AND SIMILAR HAND-
WOVEN RUGS, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570220................... FLOOR COVERINGS OF COCONUT FIBERS (COIR),
WOVEN, NOT TUFTED OR FLOCKED, WHETHER OR NOT
MADE-UP, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
570231................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, NOT MADE-UP, OF WOOL OR FINE
ANIMAL HAIR, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570232................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, NOT MADE-UP, OF MANMADE
TEXTILE MATERIALS, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570239................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, NOT MADE-UP, OF TEXTILE
MATERIALS NESOI, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570241................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, MADE-UP, OF WOOL OR FINE
ANIMAL HAIR, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570242................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, MADE-UP, OF MANMADE TEXTILE
MATERIALS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
570249................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, OF PILE
CONSTRUCTION, MADE-UP, OF TEXTILE MATERIALS
NESOI, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
570250................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NOT OF PILE
CONSTRUCTION, NOT MADE-UP, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
570291................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, NOT OF
PILE CONSTRUCTION, MADE-UP, OF WOOL OR FINE
ANIMAL HAIR, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570292................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, NOT OF
PILE CONSTRUCTION, MADE-UP, OF MANMADE
TEXTILE MATERIALS, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570299................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
WOVEN, NOT TUFTED OR FLOCKED, NESOI, NOT OF
PILE CONSTRUCTION, MADE-UP, OF TEXTILE
MATERIALS NESOI, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570310................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF WOOL OR
FINE ANIMAL HAIR, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570321................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF NYLON OR
OTHER POLYAMIDES, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570329................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF NYLON OR
OTHER POLYAMIDES, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570331................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF MANMADE
TEXTILE MATERIALS OTHER THAN NYLON OR OTHER
POLYAMIDES, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570339................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF MANMADE
TEXTILE MATERIALS OTHER THAN NYLON OR OTHER
POLYAMIDES, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
570390................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS,
TUFTED (WHETHER OR NOT MADE-UP), OF TEXTILE
MATERIALS NESOI, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
[[Page 101]]
570410................... TEXTILE FLOOR COVERINGS, OF FELT, NOT TUFTED
OR FLOCKED, TILES HAVING A MAXIMUM SURFACE
AREA OF 0.30 M2, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570420................... TEXTILE FLOOR COVERINGS, OF FELT, NOT TUFTED
OR FLOCKED, OTHER THAN TILES HAVING A
MAXIMUM SURFACE AREA EXCEEDING 0.3M2 NOT EXC
1 M2, AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
570490................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS, OF
FELT, NOT TUFTED OR FLOCKED (WHETHER OR NOT
MADE-UP), OTHER THAN TILES WITH A MAXIMUM
AREA OF 0.30 M2, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
570500................... CARPETS AND OTHER TEXTILE FLOOR COVERINGS
(WHETHER OR NOT MADE-UP), NESOI, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
580500................... HANDWOVEN TAPESTRIES SIMILAR TO GOBELINS,
FLANDERS, AUBUSSON OR BEAUVAIS AND
NEEDLEWORKED TAPESTRIES (PETIT POINT, CROSS-
STITCH ETC.), MADE-UP OR NOT.
580639................... NARROW WOVEN FABRICS NESOI, NOT OVER 30 CM IN
WIDTH, OF TEXTILE MATERIALS NESOI.
590500................... TEXTILE WALL COVERINGS.
611030................... SWEATERS, PULLOVERS, SWEATSHIRTS, VESTS AND
SIMILAR ARTICLES OF MANMADE FIBERS, KNITTED
OR CROCHETED, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
611211................... TRACK SUITS, WARM-UP SUITS AND JOGGING SUITS
OF COTTON, KNITTED OR CROCHETED, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
611212................... TRACK SUITS, WARM-UP SUITS AND JOGGING SUITS
OF SYNTHETIC FIBERS, KNITTED OR CROCHETED,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
611219................... TRACK SUITS, WARM-UP SUITS AND JOGGING SUITS
OF TEXTILE MATERIALS NESOI, KNITTED OR
CROCHETED, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
611220................... SKI SUITS, KNITTED OR CROCHETED, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
611231................... MEN'S OR BOYS' SWIMWEAR OF SYNTHETIC FIBERS,
KNITTED OR CROCHETED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
611239................... MEN'S OR BOYS' SWIMWEAR OF TEXTILE MATERIALS
NESOI, KNITTED OR CROCHETED, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
611241................... WOMEN'S OR GIRLS' SWIMWEAR OF SYNTHETIC
FIBERS, KNITTED OR CROCHETED, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
611249................... WOMEN'S OR GIRLS' SWIMWEAR OF TEXTILE
MATERIALS NESOI, KNITTED OR CROCHETED, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
620610................... WOMEN'S OR GIRLS' BLOUSES, SHIRTS AND SHIRT-
BLOUSES OF SILK OR SILK WASTE, NOT KNITTED
OR CROCHETED, AND VALUED AT $300 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
621111................... MEN'S OR BOYS' SWIMWEAR, NOT KNITTED OR
CROCHETED, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
621112................... WOMEN'S OR GIRLS' SWIMWEAR, NOT KNITTED OR
CROCHETED, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
621120................... SKI-SUITS, NOT KNITTED OR CROCHETED, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
621390................... HANDKERCHIEFS, OF TEXTILE MATERIALS NESOI,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
621410................... SHAWLS, SCARVES, MUFFLERS, MANTILLAS, VEILS
AND THE LIKE, OF SILK OR SILK WASTE, NOT
KNITTED OR CROCHETED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
621510................... TIES, BOW TIES AND CRAVATS, OF SILK OR SILK
WASTE, NOT KNITTED OR CROCHETED, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
630120................... BLANKETS (OTHER THAN ELECTRIC BLANKETS) AND
TRAVELING RUGS, OF WOOL OR FINE ANIMAL HAIR,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
630130................... BLANKETS (OTHER THAN ELECTRIC BLANKETS) AND
TRAVELING RUGS, OF COTTON, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
630140................... BLANKETS (OTHER THAN ELECTRIC BLANKETS) AND
TRAVELING RUGS, OF SYNTHETIC FIBERS, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
630190................... BLANKETS (OTHER THAN ELECTRIC BLANKETS) AND
TRAVELING RUGS, OF TEXTILE MATERIALS NESOI,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
630622................... TENTS, OF SYNTHETIC FIBERS, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
630629................... TENTS, OF TEXTILE MATERIALS NESOI, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
630630................... SAILS FOR BOATS, SAILBOARDS OR LANDCRAFT, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
630690................... CAMPING GOODS MADE OF TEXTILES, OTHER THAN
TENTS AND PNEUMATIC MATTRESSES, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
630720................... LIFE JACKETS AND LIFE BELTS, OF TEXTILE
MATERIALS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
630800................... NEEDLECRAFT SETS, OF WOVEN FABRIC AND YARN,
WITH OR WITHOUT ACCESSORIES, FOR MAKING
RUGS, TAPESTRIES OR EMBROIDERED ARTICLES,
PACKAGED FOR RETAIL SALE, AND VALUED AT $300
OR GREATER PER UNIT WHOLESALE PRICE IN THE
U.S.
[[Page 102]]
640192................... WATERPROOF FOOTWEAR WITH BONDED OR CEMENTED
OUTER SOLES AND UPPERS OF RUBBER OR PLASTICS
NESOI, COVERING THE ANKLE BUT NOT COVERING
THE KNEE, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
640212................... OTHER FOOTWEAR WITH OUTER SOLES AND UPPERS OF
RUBBER OR PLASTICS: SPORTS FOOTWEAR: SKI-
BOOTS AND CROSS-COUNTRY SKI FOOTWEAR AND
SNOWBOARD BOOTS, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
640219................... SPORTS FOOTWEAR, OTHER THAN SKI-BOOTS AND
CROSS-COUNTRY SKI FOOTWEAR, WITH OUTER SOLES
AND UPPERS OF RUBBER OR PLASTICS NESOI, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
640299................... FOOTWEAR, WITH OUTER SOLES AND UPPERS OF
RUBBER OR PLASTICS NESOI, NOT COVERING THE
ANKLE, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
640312................... FOOTWEAR WITH UPPERS OF LEATHER, SKI-BOOTS
AND CROSS-COUNTRY SKI FOOTWEAR AND SNOWBOARD
BOOTS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
640319................... SPORTS FOOTWEAR (OTHER THAN SKI FOOTWEAR)
NESOI, WITH OUTER SOLES OF RUBBER, PLASTICS,
LEATHER OR COMPOSITION LEATHER AND UPPERS OF
LEATHER, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
640320................... FOOTWEAR, WITH OUTER SOLES OF LEATHER AND
UPPERS WHICH CONSIST OF LEATHER STRAPS
ACROSS THE INSTEP AND AROUND THE BIG TOE,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
640340................... FOOTWEAR, WITH OUTER SOLES OF RUBBER,
PLASTICS, LEATHER OR COMPOSITION LEATHER AND
UPPERS OF LEATHER, INCORPORATING A
PROTECTIVE METAL TOE-CAP, AND VALUED AT $300
OR GREATER PER UNIT WHOLESALE PRICE IN THE
U.S.
640351................... FOOTWEAR, WITH OUTER SOLES AND UPPERS OF
LEATHER NESOI, COVERING THE ANKLE, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
640359................... FOOTWEAR, WITH OUTER SOLES AND UPPERS OF
LEATHER NESOI, NOT COVERING THE ANKLE, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
640391................... FOOTWEAR, WITH OUTER SOLES OF RUBBER,
PLASTICS OR COMPOSITION LEATHER AND UPPERS
OF LEATHER NESOI, COVERING THE ANKLE, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
640399................... FOOTWEAR, WITH OUTER SOLES OF RUBBER,
PLASTICS OR COMPOSITION LEATHER AND UPPERS
OF LEATHER NESOI, NOT COVERING THE ANKLE,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
640411................... SPORTS FOOTWEAR, INCLUDING TENNIS SHOES,
BASKETBALL SHOES AND GYM SHOES, WITH OUTER
SOLES OF RUBBER OR PLASTICS AND UPPERS OF
TEXTILE MATERIALS, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
640420................... FOOTWEAR, WITH OUTER SOLES OF LEATHER OR
COMPOSITION LEATHER AND UPPERS OF TEXTILE
MATERIALS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
640510................... FOOTWEAR NESOI, WITH UPPERS OF LEATHER OR
COMPOSITION LEATHER, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
650610................... SAFETY (INCLUDING SPORTS) HEADGEAR, WHETHER
OR NOT LINED OR TRIMMED, AND VALUED AT $300
OR GREATER PER UNIT WHOLESALE PRICE IN THE
U.S.
650699................... HEADGEAR NESOI, WHETHER OR NOT LINED OR
TRIMMED, OF MATERIALS NESOI, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
670100................... SKINS AND OTHER PARTS OF BIRDS WITH THEIR
FEATHERS OR DOWN, BLEACHED, DYED OR
PROCESSED AND ARTICLES OF FEATHERS OR DOWN
NESOI
691110................... CERAMIC TABLEWARE AND KITCHENWARE, OF
PORCELAIN OR CHINA, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
691190................... CERAMIC HOUSEHOLD AND TOILET ARTICLES NESOI,
OF PORCELAIN OR CHINA, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
691310................... CERAMIC STATUETTES AND OTHER ORNAMENTAL
ARTICLES, OF PORCELAIN OR CHINA, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
691390................... CERAMIC STATUETTES AND OTHER ORNAMENTAL
ARTICLES, OF OTHER THAN PORCELAIN OR CHINA,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
691410................... CERAMIC ARTICLES NESOI, OF PORCELAIN OR
CHINA, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
691490................... CERAMIC ARTICLES NESOI, OF OTHER THAN
PORCELAIN OR CHINA, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
701322................... STEMWARE DRINKING GLASSES OTHER THAN OF GLASS-
CERAMICS OF LEAD CRYSTAL, AND VALUED AT $300
OR GREATER PER UNIT WHOLESALE PRICE IN THE
U.S.
701333................... DRINKING GLASSES, OTHER HTAN OF GLASS-
CERAMICS, OF LEAD CRYSTAL, NES, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
701341................... TABLE OR KITCHEN GLASSWARE NESOI (OTHER THAN
DRINKING GLASSES), OF LEAD CRYSTAL, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
701391................... GLASSWARE (INCLUDING GLASSWARE OF A KIND USED
FOR TOILET, OFFICE, INDOOR DECORATION OR
SIMILAR PURPOSES) NESOI, OF LEAD CRYSTAL,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
710110................... NATURAL PEARLS, NOT MOUNTED OR SET.
710121................... CULTURED PEARLS, UNWORKED.
710122................... CULTURED PEARLS, WORKED, NOT SET.
710210................... DIAMONDS, UNSORTED.
[[Page 103]]
710310................... PRECIOUS STONES (OTHER THAN DIAMONDS) AND
SEMIPRECIOUS STONES, UNWORKED OR SIMPLY SAWN
OR ROUGHLY SHAPED.
710391................... RUBIES, SAPPHIRES AND EMERALDS, OTHERWISE
WORKED.
710399................... SEMIPRECIOUS STONES, OTHERWISE WORKED.
710429................... SYNTHETIC OR RECONSTRUCTED GEMSTONES,
UNWORKED OR SIMPLY SAWN OR ROUGHLY SHAPED.
710499................... SYNTHETIC OR RECONSTRUCTED PRECIOUS OR
SEMIPRECIOUS STONES NESOI, OTHERWISE WORKED.
710691................... SILVER, UNWROUGHT NESOI (OTHER THAN POWDER).
710692................... SILVER, SEMIMANUFACTURED.
710812................... GOLD, NONMONETARY, UNWROUGHT NESOI (OTHER
THAN POWDER).
710813................... GOLD, NONMONETARY, SEMIMANUFACTURED FORMS
NESOI (OTHER THAN POWDER).
711311................... JEWELRY AND PARTS THEREOF, OF SILVER.
711319................... JEWELRY AND PARTS THEREOF, OF PRECIOUS METAL
OTHER THAN SILVER.
711320................... JEWELRY AND PARTS THEREOF, OF BASE MATEL CLAD
WITH PRECIOUS METAL.
711419................... ARTICLES OF GOLD OR PLATINUM (OTHER THAN
JEWELRY), WHETHER OR NOT PLATED OR CLAD WITH
OTHER PRECIOUS METAL.
711420................... ARTICLES OF GOLDSMITHS' OR SILVERSMITHS'
WARES (OTHER THAN JEWELRY) AND PARTS
THEREOF, OF BASE METAL CLAD WITH PRECIOUS
METAL.
711590................... ARTICLES NESOI, OF PRECIOUS METAL OR OF METAL
CLAD WITH PRECIOUS METAL.
711610................... ARTICLES OF NATURAL OR CULTURED PEARLS.
711620................... ARTICLES OF PRECIOUS OR SEMIPRECIOUS STONES
(NATURAL, SYNTHETIC OR RECONSTRUCTED).
711719................... IMITATION JEWELRY NESOI, OF BASE METAL,
WHETHER OR NOT PLATED WITH PRECIOUS METAL.
711810................... COIN (OTHER THAN GOLD COIN), NOT BEING LEGAL
TENDER.
711890................... COIN, NESOI.
732690................... ARTICLES OF IRON OR STEEL, NESOI, AND VALUED
AT $300 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
830621................... STATUETTES AND OTHER ORNAMENTS, AND PARTS
THEREOF, OF BASE METAL PLATED WITH PRECIOUS
METAL.
830629................... STAUETTES AND OTHER ORNAMENTS, AND PARTS
THEREOF, OF BASE METAL NOT PLATED WITH
PRECIOUS METAL
840710................... AIRCRAFT SPARK-IGNITION RECIPROCATING OR
ROTARY INTERNAL COMBUSTION PISTON ENGINES.
840721................... OUTBOARD ENGINES FOR MARINE PROPULSION.
840729................... INBOARD ENGINES FOR MARINE PROPULSION.
840731................... SPARK-IGNITION RECIPROCATING PISTON ENGINES
FOR PROPULSION OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, NOT OVER 50 CC CYLINDER
CAPACITY.
840732................... SPARK-IGNITION RECIPROCATING PISTON ENGINES
FOR PROPULSION OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, OVER 50 BUT NOT OVER 250 CC
CYLINDER CAPACITY.
840733................... SPARK-IGNITION RECIPROCATING PISTON ENGINES
FOR PROPULSION OF VEHICLES EXCEPT RAIL OR
TRAMWAY STOCK, OVER 250 BUT NOT OVER 1,000
CC CYLINDER CAPACITY.
840734................... SPARK-IGNITION RECIPROCATING PISTON ENGINES
FOR PROPULSION OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK, OVER 1,000 CC CYLINDER
CAPACITY.
840790................... SPARK-IGNITION RECIPROCATING OR ROTARY
INTERNAL COMBUSTION PISTON ENGINES, NESOI.
840810................... MARINE COMPRESSION-IGNITION INTERNAL
COMBUSTION PISTON ENGINES (DIESEL OR SEMI-
DIESEL ENGINES).
840820................... COMPRESSION-IGNITION INTERNAL COMBUSTION
PISTON ENGINES (DIESEL OR SEMI-DIESEL), FOR
THE PROPULSION OF VEHICLES EXCEPT RAILWAY OR
TRAMWAY STOCK.
840890................... COMPRESSION-IGNITION INTERNAL COMBUSTION
PISTON ENGINES (DIESEL OR SEMI-DIESEL
ENGINES), NESOI.
840910................... PARTS FOR SPARK-IGNITION OR ROTARY INTERNAL
COMBUSTION PISTON ENGINES OR COMPRESSION-
IGNITION INTERNAL COMBUSTION PISTON ENGINES,
FOR AIRCRAFT.
840991................... PARTS FOR USE WITH SPARK-IGNITION INTERNAL
COMBUSTION PISTON ENGINES (INCLUDING ROTARY
ENGINES), NESOI.
840999................... PARTS FOR USE WITH COMPRESSION-IGNITION
INTERNAL COMBUSTION PISTON ENGINES, NESOI.
841111................... TURBOJETS OF A THRUST NOT EXCEEDING 25 KN.
841112................... TURBOJETS OF A THRUST EXCEEDING 25 KN.
841121................... TURBOPROPELLERS OF A POWER NOT EXCEEDING
1,100 KW.
841122................... TURBOPROPELLERS OF A POWER EXCEEDING 1,100
KW.
841181................... GAS TURBINES, EXCEPT TURBOJETS AND
TURBOPROPELLERS, OF A POWER NOT EXCEEDING
5,000 KW.
841182................... GAS TURBINES, EXCEPT TURBOJETS AND
TURBOPROPELLERS, OF A POWER EXCEEDING 5,000
KW.
841191................... PARTS OF TURBOJETS OR TURBOPROPELLERS.
841199................... PARTS OF GAS TURBINES, NESOI (OTHER THAN
PARTS FOR TURBOJETS OR TURBOPROPELLERS).
841229................... HYDRAULIC POWER ENGINES AND MOTORS, EXCEPT
LINEAR ACTING (CYLINDERS).
841290................... PARTS FOR ENGINES AND MOTORS, NESOI.
841451................... FANS, TABLE, FLOOR, WALL, WINDOW, CEILING OR
ROOF, WITH SELF-CONTAINED ELECTRIC MOTOR OF
AN OUTPUT NOT EXCEEDING 125 W.
[[Page 104]]
841459................... FANS, NESOI.
841460................... VENTILATING OR RECYCLING HOODS INCORPORATING
A FAN, HAVING A MAXIMUM HORIZINTAL SIDE NOT
EXCEEDING 120 CM.
841510................... AIR CONDITIONING MACHINES, WINDOW OR WALL
TYPES, SELF-CONTAINED OR ``SPLIT-SYSTEM``.
841810................... COMBINED REFRIGERATOR-FREEZERS FITTED WITH
SEPARATE EXTERNAL DOORS.
841821................... REFRIGERATORS, HOUSEHOLD, COMPRESSION TYPE.
841829................... REFRIGERATORS, HOUSEHOLD TYPE, NESOI.
841830................... FREEZERS, CHEST TYPE, CAPACITY NOT EXCEEDING
800 LITERS.
841840................... FREEZERS, UPRIGHT TYPE, CAPACITY NOT
EXCEEDING 900 LITERS.
841981................... MACHINERY, PLANT OR EQUIPMENT FOR MAKING HOT
DRINKS OR FOR COOKING OR HEATING FOOD.
842211................... DISHWASHING MACHINES, HOUSEHOLD TYPE.
842310................... PERSONAL WEIGHING MACHINES, INCLUDING BABY
SCALES; HOUSEHOLD SCALES.
842860................... TELEFERICS, CHAIR LIFTS, SKI DRAGLINES;
TRACTION MECHANISMS FOR FUNICULARS.
843139................... PARTS FOR LIFTING, HANDLING, LOADING OR
UNLOADING MACHINERY, NESOI.
844312................... OFFSET PRINTING MACHINERY, SHEET-FED, OFFICE
TYPE (SHEET SIZE NOT EXCEEDING 22X36 CM).
844331................... MACHINES WHICH PERFORM TWO OR MORE OF THE
FUNCTIONS OF PRINTING, COPYING OR FAX
TRANSMISSION, CAPABLE OF CONNECTING TO AN
ADP MACHINE OR TO A NETWORK.
844332................... PRINTERS, COPYING MACHINES AND FACSIMILE
MACHINES, NOT COMBINED, CAPABLE OF
CONNECTING TO AN AUTOMATIC DATA PROCESSING
MACHINE OR TO A NETWORK.
844339................... PRINTERS, COPYING MACHINES AND FACSIMILE
MACHINES, NOT COMBINED, NESOI.
845011................... HOUSEHOLD- OR LAUNDRY-TYPE WASHING MACHINES,
FULLY AUTOMATIC, WITH A DRY LINEN CAPACITY
NOT EXCEEDING 10 KG.
845012................... HOUSEHOLD- OR LAUNDRY-TYPE WASHING MACHINES,
NOT FULLY AUTOMATIC, WITH A BUILT-IN
CENTRIFUGAL DRYER, WITH A DRY LINEN CAPACITY
NOT EXCEEDING 10 KG.
845019................... HOUSEHOLD- OR LAUNDRY-TYPE WASHING MACHINES,
WITH A DRY LINEN CAPACITY NOT EXCEEDING 10
KG, NESOI.
845121................... DRYING MACHINES (EXCEPT CENTRIFUGAL TYPE) FOR
TEXTILE YARNS, FABRICS OR MADE UP TEXTILE
ARTICLES, WITH A DRY LINEN CAPACITY NOT
EXCEEDING 10 KG.
845210................... SEWING MACHINES OF THE HOUSEHOLD TYPE.
847010................... ELECTRONIC CALCULATORS CAPABLE OF OPERATION
WITHOUT AN EXTERNAL SOURCE OF POWER.
847021................... ELECTRONIC CALCULATING MACHINES, NESOI,
INCORPORATING A PRINTING DEVICE.
847029................... ELECTRONIC CALCULATING MACHINES, NESOI, NOT
INCORPORATING A PRINTING DEVICE.
847030................... CALCULATING MACHINES, EXCEPT ELECTRONIC.
847130................... PORTABLE DIGTL AUTOMATIC DATA PROCESSING
MACHINES, WEIGHT NOT MORE THAN 10 KG,
CONSISTING OF AT LEAST A CENTRAL PROCESSING
UNIT, KEYBOARD & A DISPLAY.
847141................... DIGITAL ADP MACHINES COMPRISING IN SAME
HOUSING AT LEAST A CENTRAL PROCESSING UNIT
AND AN INPUT AND OUTPUT UNIT, WHETHER OR NOT
COMBINED, N.E.S.O.I.
847149................... DIGITAL AUTOMATIC DATA PROCESSING MACHINES
AND UNITS THEREOF PRESENTED IN THE FORM OF
SYSTEMS, N.E.S.O.I.
847150................... DIGITAL PROCESSING UNITS OTHER THAN THOSE OF
8471.41 AND 8471.49, N.E.S.O.I.
847160................... AUTOMATIC DATA PROCESSING INPUT OR OUTPUT
UNITS, WHETHER OR NOT CONTAINING STORAGE
UNITS IN THE SAME HOUSING, N.E.S.O.I.
847170................... AUTOMATIC DATA PROCESSING STORAGE UNITS,
N.E.S.O.I.
847180................... AUTOMATIC DATA PROCESSING UNITS, N.E.S.O.I.
847190................... AUTOMATIC DATA PROCESSING UNTS THEREOF;
MAGNETIC/OPTICAL READERS, MACH FOR
TRANSCRIBING DATA TO DATA MEDIA IN CODED
FORM & MACH FOR PROC DATA, NESOI.
847290................... OFFICE MACHINES NESOI (INCLUDING AUTOMATIC
BANKNOTE DISPENSERS, COIN-SORTING MACHINES,
PENCIL-SHARPENING MACHINES, PERFORATING OR
STAPLING MACHINES).
847960................... EVAPORATIVE AIR COOLERS.
848310................... TRANSMISSION SHAFTS (INCLUDING CAMSHAFTS AND
CRANKSHAFTS) AND CRANKS.
848320................... HOUSED BEARINGS, INCORPORATING BALL OR ROLLER
BEARINGS.
848330................... BEARING HOUSINGS; PLAIN SHAFT BEARINGS.
848340................... GEARS AND GEARING (EXCEPT TOOTHED WHEELS,
CHAIN SPROCKETS, ETC.); BALL OR ROLLER
SCREWS; GEAR BOXES AND OTHER SPEED CHANGERS,
INCL TORQUE CONVERTERS.
848350................... FLYWHEELS AND PULLEYS, INCLUDING PULLEY
BLOCKS.
848360................... CLUTCHES AND SHAFT COUPLINGS (INCLUDING
UNIVERSAL JOINTS).
848390................... TOOTHED WHEELS, CHAIN SPROCKETS AND OTHER
TRANSMISSION ELEMENTS PRESENTED SEPARATELY;
PARTS.
850811................... VACUUM CLEANERS WITH SELF-CONTAINED ELECTRIC
MOTOR, OF A POWER LT=1500 W AND HAVING A
DUST BAG OR OTHER RECEPTACLE CAPACITY LT=20
L.
850819................... VACUUM CLEANERS WITH SELF-CONTAINED ELECTRIC
MOTOR, NESOI.
850860................... VACUUM CLEANERS WITHOUT SELF-CONTAINED
ELECTRIC MOTOR.
850980................... ELECTROMECHANICAL DOMESTIC APPLIANCES, WITH
SELF-CONTAINED ELECTRIC MOTOR, NESOI.
851110................... INTERNAL COMBUSTION ENGINE SPARK PLUGS.
851120................... INTERNAL COMBUSTION ENGINE IGNITION MAGNETOS,
MAGNETO-DYNAMOS AND MAGNETIC FLYWHEELS.
851130................... INTERNAL COMBUSTION ENGINE DISTRIBUTORS AND
IGNITION COILS.
851140................... INTERNAL COMBUSTION ENGINE STARTER MOTORS AND
DUAL PURPOSE STARTER-GENERATORS.
[[Page 105]]
851150................... INTERNAL COMBUSTION ENGINE GENERATORS, NES0I.
851180................... ELECTRICAL IGNITION OR STARTING EQUIPMENT
USED FOR INTERNAL COMBUSTION ENGINES, NESOI,
AND EQUIPMENT USED IN CONJUNCTION WITH SUCH
ENGINES, NESOI.
851190................... PARTS FOR ELECTRICAL IGNITION OR STARTING
EQUIPMENT USED FOR INTERNAL COMBUSTION
ENGINES; PARTS FOR GENERATORS AND CUT-OUTS
USED WITH SUCH EQUIPMENT.
851220................... ELECTRICAL LIGHTING OR VISUAL SIGNALING
EQUIPMENT, FOR USE ON CYCLES OR MOTOR
VEHICLES, EXCEPT FOR USE ON BICYCLES.
851230................... ELECTRICAL SOUND SIGNALING EQUIPMENT USED FOR
CYCLES OR MOTOR VEHICLES.
851240................... ELECTRICAL WINDSHIELD WIPERS, DEFROSTERS AND
DEMISTERS USED FOR CYCLES OR MOTOR VEHICLES.
851631................... ELECTRIC HAIR DRYERS.
851650................... MICROWAVE OVENS.
851660................... ELECTRIC OVENS, COOKING STOVES, RANGES,
COOKING PLATES, BOILING RINGS, GRILLERS AND
ROASTERS, NESOI.
851671................... ELECTRIC COFFEE OR TEA MAKERS.
851672................... ELECTRIC TOASTERS.
851679................... ELECTROTHERMIC DOMESTIC APPLIANCES, NESOI.
851711................... LINE TELEPHONE SETS WITH CORDLESS HANDSETS.
851713................... TELEPHONES FOR CELLULAR NETWORKS OR FOR OTHER
WIRELESS NETWORKS.
851718................... TELEPHONE SETS, NESOI.
851761................... BASE STATIONS.
851762................... MACHINES FOR THE RECEPTION, CONVERSION AND
TRANSMISSION OR REGENERATION OF VOICE,
IMAGES OR OTHER DATA, INCLUDING SWITCHING
AND ROUTING APPARATUS.
851769................... APPARATUS FOR THE TRANSMISSION OR RECEPTION
OF VOICE, IMAGES OR OTHER DATA, INCLUDING
SWITCHING AND ROUTING APPARATUS, NESOI.
851920................... SOUND RECORDING OR REPRODUCING APPARATUS
OPERATED BY COINS, BANKNOTES, BANK CARDS,
TOKENS OR BY OTHER MEANS OF PAYMENT.
851930................... TURNTABLES (RECORD-DECKS).
851981................... SOUND RECORDING OR REPRODUCING APPARATUS,
USING MAGNETIC, OPTICAL OR SEMICONDUCTOR
MEDIA, NESOI.
851989................... SOUND RECORDING OR REPRODUCING APPARATUS,
NESOI.
852110................... VIDEO RECORDING OR REPRODUCING APPARATUS
(WHETHER OR NOT INCORPORATING A VIDEO
TUNER), MAGNETIC TAPE-TYPE.
852190................... VIDEO RECORDING OR REPRODUCING APPARATUS
(WHETHER OR NOT INCORPORATING A VIDEO
TURNER), OTHER THAN MAGNETIC TAPE-TYPE.
852691................... RADIO NAVIGATIONAL AID APPARATUS.
852712................... POCKET-SIZE RADIO CASSETTE PLAYERS.
852713................... RADIOBROADCAST RECEIVERS CAPABLE OF OPERATING
WITHOUT AN EXTERNAL SOURCE OF POWER,
COMBINED WITH SOUND RECORDING OR REPRODUCING
APPARATUS, N.E.S.O.I.
852719................... RADIOBROADCAST RECEIVERS, BATTERY TYPE,
NESOI.
852721................... RADIOBROADCAST RECEIVERS FOR MOTOR VEHICLES,
COMBINED WITH SOUND RECORDING OR REPRODUCING
APPARATUS, NOT CAPABLE OF OPERATING WITHOUT
OUTSIDE POWER.
852729................... RADIOBROADCAST RECEIVERS FOR MOTOR VEHICLES,
NOT CAPABLE OF OPERATING WITHOUT OUTSIDE
POWER, NESOI.
852791................... RECEPTION APPARATUS FOR RADIO-BROADCASTING,
COMBINED WITH SOUND RECORDING OR REPRODUCING
APPARATUS, NESOI.
852792................... RECEPTION APPARATUS FOR RADIO-BROADCASTING,
COMBINED WITH A CLOCK, NESOI.
852799................... RECEPTION APPARATUS FOR RADIO-BROADCASTING,
NESOI.
852871................... RECEPTION APPARATUS FOR TELEVISION, NOT
DESIGNED TO INCORPORATE A VIDEO DISPLAY OR
SCREEN.
852872................... RECEPTION APPARATUS FOR TELEVISION, COLOR,
NESOI.
852910................... ANTENNAS AND ANTENNA REFLECTORS AND PARTS
THEREOF.
853110................... BURGLAR OR FIRE ALARMS AND SIMILAR APPARATUS.
854370................... ELECTRICAL MACHINES AND APPARATUS, HAVING
INDIVIDUAL FUNCTIONS, NESOI.
854430................... INSULATED IGNITION WIRING SETS AND OTHER
WIRING SETS FOR VEHICLES, AIRCRAFT AND
SHIPS.
870310................... PASSENGER MOTOR VEHICLES SPECIALLY DESIGNEED
FOR TRAVELING ON SNOW; GOLF CARTS AND
SIMILAR VEHICLES.
870321................... PASSENGER MOTOR VEHICLES WITH SPARK-IGNITION
INTERNAL COMBUSTION RECIPROCATING PISTON
ENGINE, CYLINDER CAPACITY NOT OVER 1,000 CC.
870322................... PASSENGER MOTOR VEHICLES WITH SPARK-IGNITION
INTERNAL COMBUSTION RECIPROCATING PISTON
ENGINE, CYLINDER CAPACITY OVER 1,000 CC BUT
NOT OVER 1,500 CC.
870323................... PASSENGER MOTOR VEHICLES WITH SPARK-IGNITION
INTERNAL COMBUSTION RECIPROCATING PISTON
ENGINE, CYLINDER CAPACITY OVER 1,500 CC BUT
NOT OVER 3,000 CC.
870324................... PASSENGER MOTOR VEHICLES WITH SPARK-IGNITION
INTERNAL COMBUSTION RECIPROCATING PISTON
ENGINE, CYCLINDER CAPACITY OVER 3,000 CC.
870331................... PASSENGER MOTOR VEHICLES WITH COMPRESSION-
IGNITION INTERNAL COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY NOT OVER 1,500
CC.
870332................... PASSENGER MOTOR VEHICLES WITH COMPRESSION-
IGNITION INTERNAL COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY OVER 1,500 CC
BUT NOT OVER 2,500 CC.
870333................... PASSENGER MOTOR VEHICLES WITH COMPRESSION-
IGNITION INTERNAL COMBUSTION PISTON ENGINE
(DIESEL), CYLINDER CAPACITY OVER 2,500 CC.
[[Page 106]]
870340................... PASSENGER MOTOR VEHICLES, WITH BOTH APRK-IG
INTRNL COMBUST AND ELECTRIC MOTOR, OTHER
THAN THOSE CHARGES BY PLUGGIN TO EXTERNAL
ELECTRIC POWER.
870350................... MOTOR VEHICLES, WITH BOTH COMPRES-IG INTERNAL
COMBUS PISTON ENGINE (DIESEL/SEMI-DIESEL)
AND ELECTRIC MOTOR,NOT CHARGED BY PLUG.
870360................... MOTOR VEHICLES WITH BOTH SPARK-IG AND
ELECTRIC MOTOR, CAPABLE OF CHARGE BY
PLUGGING TO EXTNL PWR.
870370................... MOTOR VEHICLES, WITH BOTH COMPRESSION-
IGNITION INTERNAL COMBUSTION (DIESEL/SEMI-
DIESEL AND ELECTRIC MOTOR, CAPABLE OF
CHARGED BY PLUGGING.
870380................... MOTOR VEHICLES WITH ONLY ELECTRIC
MOTOR,NESOI.
870390................... PASSENGER MOTOR VEHICLES, NESOI.
870600................... CHASSIS FITTED WITH ENGINES FOR TRACTORS,
MOTOR VEHICLES FOR PASSENGERS, GOODS
TRANSPORT VEHICLES AND SPECIAL PURPOSE MOTOR
VEHICLES, AND VALUED AT $50000 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
870710................... BODIES (INCLUDING CABS) FOR MOTOR CARS AND
OTHER VEHICLES PRINCIPALLY DESIGNED FOR
TRANSPORT OF PERSONS (EXCEPT PUBLIC-
TRANSPORT OF PASSENGERS), AND VALUED AT
$50000 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
871120................... MOTORCYCLES AND CYCLES WITH AN AUXILIARY
MOTOR, WITH RECIPROCATING INTERNAL
COMBUSTION PISTON ENGINE, CYLINDER CAPACITY
OVER 50 CC BUT NOT OVER 250 CC, AND VALUED
AT $5000 OR GREATER PER UNIT WHOLESALE PRICE
IN THE U.S.
871130................... MOTORCYCLES AND CYCLES WITH AN AUXILIARY
MOTOR, WITH RECIPROCATING INTERNAL
COMBUSTION PISTOL ENGINE, CYLINDER CAPACITY
OVER 250 CC NOT OVER 500 CC, AND VALUED AT
$5000 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
871140................... MOTORCYCLES AND CYCLES WITH AN AUXILIARY
MOTOR, WITH RECIPROCATING INTERNAL
COMBUSTION PISTON ENGINE, CYLINDER CAPACITY
OVER 500 CC NOT OVER 800 CC, AND VALUED AT
$5000 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
871150................... MOTORCYCLES AND CYCLES WITH AN AUXILIARY
MOTOR WITH RECIPROCATING INTERNAL COMBUSTION
PISTON ENGINE, CYLINDER CAPACITY OVER 800
CC, AND VALUED AT $5000 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
871160................... MOTORCYCLES WITH ELECTRIC MOTOR FOR
PROPULSION, AND VALUED AT $5000 OR GREATER
PER UNIT WHOLESALE PRICE IN THE U.S.
871190................... MOTORCYCLES AND CYCLES FITTED WITH AN
AUXILIARY MOTORS, NESOI; SIDE-CARS, AND
VALUED AT $5000 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
871410................... PARTS AND ACCESSORIES OF MOTORCYCLES
(INCLUDING MOPEDS), AND VALUED AT $5000 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
902000................... BREATHING APPLIANCES NESOI AND GAS MASKS
HAVING MECHANICAL PARTS AND/OR REPLACEABLE
FILTERS; PARTS AND ACCESSORIES THEREOF.
910111................... WRIST WATCHES, BATTERY POWERED, WITH CASES OF
PRECIOUS METAL (OR OF METAL CLAD WITH
PRECIOUS METAL), WITH MECHANICAL DISPLAY
ONLY, AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
910119................... WRIST WATCHES, BATTERY POWERED, WITH CASES OF
PRECIOUS METAL (OR OF METAL CLAD WITH
PRECIOUS METAL), WITH DISPLAY NESOI, AND
VALUED AT $300 OR GREATER PER UNIT WHOLESALE
PRICE IN THE U.S.
910121................... WRIST WATCHES, NOT BATTERY POWERED, WITH
CASES OF PRECIOUS METAL (OR OF METAL CLAD
WITH PRECIOUS METAL), WITH AUTOMATIC
WINDING, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
910129................... WRIST WATCHES, NOT BATTERY POWERED, WITH
CASES OF PRECIOUS METAL (OR OF METAL CLAD
WITH PRECIOUS METAL), WITHOUT AUTOMATIC
WINDING, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
910191................... POCKET WATCHES AND OTHER WATCHES, EXCEPT
WRIST WATCHES, WITH CASES OF PRECIOUS METAL
(OR OF METAL CLAD WITH PRECIOUS METAL),
ELECTRICALLY POWERED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
910199................... POCKET WATCHES AND OTHER WATCHES, EXCEPT
WRIST WATCHES, WITH CASES OF PRECIOUS METAL
(OR OF METAL CLAD WITH PRECIOUS METAL), NOT
BATTERY POWERED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
911110................... WATCH CASES OF PRECIOUS METAL OR OF METAL
CLAD WITH PRECIOUS METAL, AND VALUED AT $300
OR GREATER PER UNIT WHOLESALE PRICE IN THE
U.S.
911190................... PARTS FOR WATCH CASES OF PRECIOUS METAL, BASE
METAL OR OF OTHER MATERIALS, AND VALUED AT
$300 OR GREATER PER UNIT WHOLESALE PRICE IN
THE U.S.
911310................... WATCH STRAPS, WATCH BANDS AND WATCH
BRACELETS, AND PARTS THERE OF, OF PRECIOUS
METAL OR OF METAL CLAD WITH PRECIOUS METAL,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
920120................... GRAND PIANOS.
960110................... WORKED IVORY AND ARTICLES OF IVORY.
960190................... WORKED BONE, TORTOISE-SHELL, HORN, ANTLERS,
CORAL, MOTHER-OF-PEARL AND OTHER ANIMAL
CARVING MATERIAL, AND ARTICLES OF THESE
MATERIALS, NESOI.
960200................... WORKED VEGETABLE OR MINERAL CARVING MATERIALS
ETC.; MOLDED OR CARVED ARTICLES OF WAX,
STEARIN, GUM, RESIN ETC. NESOI; UNHARDENED
GELATIN AND ARTICLES.
960330................... ARTISTS' BRUSHES, WRITING BRUSHES AND SIMILAR
BRUSHES FOR THE APPLICATION OF COSMETICS.
960830................... FOUNTAIN PENS, STYLOGRAPH PENS AND OTHER
PENS.
961620................... POWDER PUFFS AND PADS FOR APPLYING COSMETICS
AND TOILET PREPARATIONS.
970121................... PAINTINGS, DRAWINGS AND PASTELS, HAND
EXECUTED WORKS OF ART, FRAMED OR NOT FRAMED,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
[[Page 107]]
970122................... COLLAGES AND SIMILAR DECORATIVE PLAQUES,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970129................... COLLAGES AND SIMILAR DECORATIVE PLAQUES,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970191................... PAINTINGS, DRAWINGS AND PASTELS, HAND
EXECUTED WORKS OF ART, FRAMED OR NOT FRAMED,
AND VALUED AT $300 OR GREATER PER UNIT
WHOLESALE PRICE IN THE U.S.
970192................... COLLAGES AND SIMILAR DECORATIVE PLAQUES,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970199................... COLLAGES AND SIMILAR DECORATIVE PLAQUES,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970210................... ORIGINAL ENGRAVINGS, PRINTS AND LITHOGRAPHS,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970290................... ORIGINAL ENGRAVINGS, PRINTS AND LITHOGRAPHS,
FRAMED OR NOT FRAMED, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970310................... ORIGINAL SCULPTURES AND STATUARY, IN ANY
MATERIAL, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
970390................... ORIGINAL SCULPTURES AND STATUARY, IN ANY
MATERIAL, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
970400................... POSTAGE OR REVENUE STAMPS, STAMP-POSTMARKS,
FIRST-DAY COVERS, POSTAL STATIONARY
(STAMPED) ETC., USED, OR IF UNUSED NOT OF
CURRENT OR NEW ISSUE, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970510................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970521................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970522................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970529................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970531................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970539................... COLLECTIONS AND COLLECTORS' PIECES OF
ZOOLOGICAL, BOTANICAL, MINERALOGICAL,
HISTORICAL, ARCHAELOGICAL, NUMISMATIC OR
OTHER INTEREST, AND VALUED AT $300 OR
GREATER PER UNIT WHOLESALE PRICE IN THE U.S.
970610................... ANTIQUES OF AN AGE EXCEEDING ONE HUNDRED
YEARS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
970690................... ANTIQUES OF AN AGE EXCEEDING ONE HUNDRED
YEARS, AND VALUED AT $300 OR GREATER PER
UNIT WHOLESALE PRICE IN THE U.S.
------------------------------------------------------------------------
[88 FR 33460, May 23, 2023, as amended at 89 FR 4815, Jan. 25, 2024; 89
FR 51677, June 18, 2024]
Sec. Supplement No. 6 to Part 746--Russian and Belarusian Industry
Sector Sanctions Pursuant to Sec. 746.8(a)(6)
The items identified in this supplement are a subset of items that
are otherwise designated as EAR99 under the Commerce Control List (CCL)
in supplement no. 1 to part 774. These items may be useful for Russia's
chemical and biological weapons production capabilities or may be
diverted from Belarus to Russia for these or other activities of
concern. These items consist of discrete chemicals, biologics, fentanyl
and its precursors, and related equipment. BIS has specified Chemical
Abstract Numbers (CAS) where applicable in this supplement to assist
exporters, reexporters, and transferors in classifying these items. In
addition, paragraph (g) of supplement no. 6 to part 746 identifies
equipment and other items that BIS has determined are not manufactured
in Russia or are otherwise important to Russia in developing advanced
production and development capabilities to enable advanced manufacturing
across a number of industries or may be diverted from Belarus to Russia
for these or other activities of concern. This supplement does not
include any item that meets the definition of ``medicine'' in Sec.
772.1 of the EAR.
(a) Chemicals in concentrations of 95% weight or greater, as
follows:
(1) Ethylene dichloride (CAS 107-06-2);
(2) Nitromethane (CAS 75-52-5);
(3) Picric acid (CAS 88-89-1);
(4) Aluminum chloride (CAS 7446-70-0);
(5) Arsenic (CAS 7440-38-2);
(6) Arsenic trioxide (CAS 1327-53-3);
(7) Bis(2-chloroethyl)ethylamine hydrochloride (CAS 3590-07-6);
(8) Bis(2-chloroethyl)methylamine hydrochloride (CAS 55-86-7);
[[Page 108]]
(9) Tris(2-chloroethyl)amine hydrochloride (CAS 817-09-4);
(10) Tributylphosphite (CAS 102-85-2);
(11) Isocyanatomethane (CAS 624-83-9);
(12) Quinaldine (CAS 91-63-4);
(13) 2-bromochloroethane (CAS 107-04-0);
(14) Benzil (CAS 134-81-6);
(15) Diethyl ether (CAS 60-29-7);
(16) Dimethyl ether (CAS 115-10-6);
(17) Dimethylaminoethanol (CAS 108-01-0);
(18) 2-methoxyethanol (CAS 109-86-4);
(19) Butyrylcholinesterase (BCHE);
(20) Diethylenetriamine (CAS 111-40-0);
(21) Dichloromethane (CAS 75-09-2);
(22) Dimethylaniline (CAS 121-69-7);
(23) Ethyl bromide (CAS 74-96-4);
(24) Ethyl chloride (CAS 75-00-3);
(25) Ethylamine (CAS 75-04-7);
(26) Hexamine (CAS 100-97-0);
(27) Isopropanol (CAS 67- 63-0);
(28) Isopropyl bromide (CAS 75-26-3);
(29) Isopropyl ether (CAS 108-20-3);
(30) Methylamine (CAS 74-89-5);
(31) Methyl bromide (CAS 74-83-9);
(32) Monoisopropylamine (CAS 75-31-0);
(33) Obidoxime chloride (CAS 114-90-9);
(34) Potassium bromide (CAS 7758-02-3);
(35) Pyridine (CAS 110-86-1);
(36) Pyridostigmine bromide (CAS 101-26-8);
(37) Sodium bromide (CAS 7647-15-6);
(38) Sodium metal (CAS 7440-23-5);
(39) Tributylamine (CAS 102-82-9);
(40) Triethylamine (CAS 121-44-8);
(41) Trimethylamine (CAS 75-50-3);
(42) Lithium chloride (CAS 7447-41-8);
(43) Lithium chloride hydrate (CAS 85144-11-2);
(44) Lithium chloride monohydrate (CAS 16712-20-2); or
(45) Lithium carbonate (CAS 554-13-2).
(b) Chemicals in concentrations of 90% weight or greater, as
follows:
(1) Acetone (CAS 67-64-1);
(2) Acetylene (CAS 74-86-2);
(3) Ammonia (CAS 7664-41-7);
(4) Antimony (CAS 7440-36-0);
(5) Benzaldehyde (CAS 100-52-7);
(6) Benzoin (CAS 119-53-9);
(7) 1-Butanol (CAS 71-36-3);
(8) 2-Butanol (CAS 78-92-2);
(9) Iso-Butanol (CAS 78-83-1);
(10) Tert-Butanol (CAS 75-65-0);
(11) Calcium carbide (CAS 75-20-7);
(12) Carbon monoxide (CAS 630-08-0);
(13) Chlorine (CAS 7782-50-5);
(14) Cyclohexanol (CAS 108-93-0);
(15) Dicyclohexylamine (CAS 101-83-7);
(16) Ethanol (CAS 64-17-5);
(17) Ethylene (CAS 74-85-1);
(18) Ethylene oxide (CAS 75-21-8);
(19) Fluoroapatite (CAS 1306-05-4);
(20) Hydrogen chloride (CAS 7647-01-0);
(21) Hydrogen sulfide (CAS 7783-06-4);
(22) Mandelic acid (CAS 90-64-2);
(23) Methanol (CAS 67-56-1);
(24) Methyl chloride (CAS 74-87-3);
(25) Methyl iodide (CAS 74-88-4);
(26) Methyl mercaptan (CAS 74-93-1);
(27) Monoethyleneglycol (CAS 107-21-1);
(28) Oxalyl chloride (CAS 79-37-8);
(29) Potassium sulfide (CAS 1312-73-8);
(30) Potassium thiocyanate (CAS 333-20-0);
(31) Sodium hypochlorite (CAS 7681-52-9);
(32) Sulphur (CAS 7704-34-9);
(33) Sulphur dioxide (CAS 7446-09-5);
(34) Sulphur trioxide (CAS 7446-11-9);
(35) Thiophosphoryl chloride (CAS 3982-91-0);
(36) Tri-isobutyl phosphite (CAS 1606-96-8);
(37) White phosphorus (CAS 12185-10-3); or
(38) Yellow phosphorus (CAS 7723-14-0).
(c) Fentanyl and its derivatives Alfentanil, Sufentanil,
Remifentanil, Carfentanil, thiafentanil and salts thereof.
Note 1 to paragraph (c): The items in paragraph (c) are from the EU
list, as X.C.IX.002.
Note 2 to paragraph (c): Consistent with EU List X.C.IX.002,
paragraph (c) does not control products identified as consumer goods
packaged for retail sale for personal use or packaged for individual
use.
(d) Chemical precursors to Central Nervous System Acting Chemicals,
as follows:
(1) 4-anilino-N-phenethylpiperidine (CAS 21409-26-7);
(2) N-phenethyl-4-piperidone (CAS 39742-60-4);
(3) Tert-butyl 4-(phenylamino) piperidine-1-carboxylate (CAS 125541-
22-2);
(4) N-phenyl-N-(piperidin-4-yl)propionamide (Norfentanyl) (CAS 1609-
66-1); or
(5) N-phenyl-4-piperidinamine (CAS 504-24-5).
Note 3 to paragraph (d): The items in paragraph (d) are from the EU
list, as X.C.IX.003.
Note 4 to paragraph (d): Consistent with EU List X.C.IX.003,
paragraph (d) does not control ``chemical mixtures'' containing one or
more of the chemicals specified in paragraph (d) (and consistent with EU
List entry X.C.IX.003) in which no individually specified chemical
constitutes more than 1% by the weight of the mixture.
Note 5 to paragraph (d): Consistent with EU List X.C.IX.003,
paragraph (d) does not control products identified as consumer goods
packaged for retail sale for personal use or packaged for individual
use.
(e) Biologics: This paragraph (e) identifies certain biologics and
biological equipment. The control on these items is intended to hinder
Russia bioweapons production capabilities.
(1) Butyrylcholinesterase (BCHE);
(2) Cell culture materials, including cell lines, vectors, plasmids,
and cell culture media, n.e.s.;
[[Page 109]]
(3) Assay kits and reagents for nucleotide or peptide isolation,
extraction, or purification, n.e.s.;
(4) Isolated or purified nucleotides and oligonucleotides, n.e.s.;
(5) Isolated or purified amino acids, peptides and proteins, n.e.s.;
(6) Reagents and materials for oligonucleotide synthesis, n.e.s.; or
(7) Resins, reagents, and materials for peptide synthesis, n.e.s.
(f) Equipment and consumable ``materials. This paragraph (f)
identifies additional equipment and consumable ``materials'' that BIS
has determined are not manufactured in Russia. Therefore, the
implementation of restrictive export controls on these items by the
United States and our allies will economically impact Russia and
significantly hinder Russia's CBW production capabilities.
(1) Reaction vessels, agitators, heat exchangers, condensers, pumps
(including single seal pumps), valves, storage tanks, containers,
receivers, and distillation or absorption columns, n.e.s.;
(2) Vacuum pumps with a manufacturer's specified maximum flow-rate
greater than 1 m\3\/h (under standard temperature and pressure
conditions), casings (pump bodies), preformed casing-liners, impellers,
rotors, and jet pump nozzles designed for such pumps; n.e.s.;
(3) Laboratory equipment, including ``components,'' ``parts,''
``accessories,'' and consumable ``materials'' for such equipment, for
the analysis or detection, destructive or non-destructive, of chemical
substances, n.e.s.;
(4) Whole chlor-alkali electrolysis cells (mercury, diaphragm, and
membrane) and ``components'' ``specially designed'' therefor as follows:
(i) Electrodes;
(ii) Diaphragms; and
(iii) Ion exchange membranes;
(5) Compressors ``specially designed'' to compress wet or dry
chlorine, regardless of material of construction;
(6) Class II biosafety cabinets and glove boxes, n.e.s.;
(7) Floor-mounted fume hoods (walk-in style) with a minimum nominal
width of 2.5 meters, n.e.s.;
(8) Full face-mask air-purifying and air-supplying respirators
n.e.s.;
(9) Conventional or turbulent air-flow clean-air rooms and self-
contained fan-HEPA filter units that may be used for P3 or P4 (BSL 3,
BSL 4, L3, L4) containment facilities;
(10) Microwave reactors;
(11) Well plates and microarrays;
(12) Fermenters and components therefor, n.e.s.;
(13) Centrifuges and ultracentrifuges capable of separating
biological samples, with a maximum capacity of 5L, ``components'' and
``accessories'' therefor, n.e.s., including centrifuge tubes and
concentrators;
(14) Filtration equipment, ``components,'' ``parts,'' and
``accessories,'' capable of use in handling biological materials,
n.e.s.;
(15) Nucleic acid synthesizers and assemblers, ``components,''
``parts,'' and ``accessories,'' n.e.s.;
(16) Polymerase chain reaction (PCR) and quantitative PCR (qPCR)
instruments ``components,'' ``parts,'' and ``accessories;''
(17) Robotic liquid handling instruments, ``components,'' ``parts,''
and ``accessories,'' n.e.s.;
(18) Chromatography and spectrometry ``components,'' ``parts,'' and
``accessories,'' n.e.s.;
(19) Nucleic acid sequencers, ``components,'' ``parts,'' and
``accessories;''
(20) Aerosol inhalation testing equipment, components, parts and
accessories, n.e.s.;
(21) Flow cytometry equipment, components, parts and accessories,
n.e.s.;
(22) Probe sonicators, cell disruptors and tissue homogenizers;
(23) 'Continuous flow reactors' and their 'modular components,'
``parts,'' and ``accessories,'' n.e.s;
Technical Notes for paragraph (f)(23): 1. Consistent with EU List
X.B.X.001, for purposes of paragraph (f)(23) 'continuous flow reactors'
consist of plug and play systems where reactants are continuously fed
into the reactor and the resultant product is collected at the outlet.
2. Consistent with EU List X.B.X.001, for purposes of paragraph
(f)(23) 'modular components' are fluidic modules, liquid pumps, valves,
packed-bed modules, mixer modules, pressure gauges, liquid-liquid
separators, etc.
(24)--(26) [Reserved]
(27) Peptide synthesizers, ``components,'' ``parts,'' and
``accessories.''
Note 6 to paragraph (f): Consistent with the definitions in part 772
of the EAR, ``components,'' ``parts,'' ``accessories,'' and
``materials'' include consumables.
(g) Quantum computing and advanced manufacturing: This paragraph (g)
identifies additional equipment and other items that are believed to not
be manufactured in Russia or are otherwise important to Russia in
developing advanced production and development capabilities.
(1) 'Quantum Computers', and ``specially designed'' ``electronic
assemblies'' and ``components'' therefor, as follows:
(i) Quantum processing units, qubit circuits, and qubit devices;
(ii) Quantum control ``components'' and quantum measurement devices.
Note 7 to paragraph (g)(1): Quantum processing units, qubit circuits
and qubit devices
[[Page 110]]
include but are not limited to semiconductor, superconducting, Ion Trap,
photonic interaction, silicon/spin, cold atoms.
Note 8 to paragraph (g)(1): Quantum control ``components'' and
quantum measurement devices applies to items designed for calibrating,
initializing, manipulating or measuring the resident qubits of a quantum
computer.
(2) 'Cryogenic refrigeration systems' designed to maintain
temperatures below 1.1k for 48hrs or more and ``specially designed''
cryogenic refrigeration equipment and ``components'' as follows:
(i) Pulse Tubes;
(ii) Cryostats;
(iii) Dewars;
(iv) Gas Handling System (GHS);
(v) Compressors;
(vi) Control Units;
Note 9 to paragraph (g)(2): 'Cryogenic refrigeration systems'
include but are not limited to Dilution Refrigeration, Adiabatic
Demagnisation Refrigerators and Laser Cooling Systems.
(3) Ultra-High Vacuum (UHV) equipment as follows:
(i) UHV pumps (sublimation, turbomolecular, diffusion, cryogenic,
ion-getter);
(ii) UHV pressure gauges.
Note 10 to paragraph (g)(3): UHV means 100 nanoPascals (nPa) or
lower.
(4) High Quantum Efficiency (QE) photodetectors and sources with a
QE greater than 80% in the wavelength range exceeding 300nm but not
exceeding 1700nm;
(5) Manufacturing equipment as follows:
(i) Additive manufacturing equipment for the production of metal
parts;
Note 11 to paragraph (g)(5)(i): This entry identified under
paragraph (5)(i) only applies to the following systems:
1. Powder-bed systems using Selective Laser Melting (SLM), laser
cusing; Direct Metal Laser Sintering (DMLS) or Electron Beam Melting
(ELB), or
2. Powder-fed systems using laser cladding, direct energy deposition
or laser metal deposition.
(ii) Additive manufacturing equipment for ``energetic materials'',
including equipment using ultrasonic extrusion;
(iii) Vat photopolymerisation additive manufacturing equipment using
Stereo Lithography (SLA) or Direct Light Processing (DLP)
(6) Metal powders and metal alloy powders ``specially designed'' for
the additive manufacturing equipment specified in 3a.
(7) Microscopes, related equipment and detectors, as follows:
(i) Scanning Electron Microscopes (SEM);
(ii) Scanning Auger Microscopes;
(iii) Transmission Electron Microscopes (TEM);
(iv) Atomic Force Microscopes (AFM);
(v) Scanning Force Microscopes (SFM);
(vi) Equipment and detectors ``specially designed'' for use with the
microscopes specified in a. to e., employing any of the following:
(A) X-ray Photo Spectroscopy (XPS):
(B) Energy-Dispersive X-ray Spectroscopy (EDX, EDS);
(C) Electron Back Scatter Detector (EBSD) systems;
(D) Electron Spectroscopy for Chemical Analysis (ESCA).
(8) 'Decapsulation' equipment for semiconductor devices.
Note 12 to paragraph (g)(8): 'Decapsulation' is the removal of a
cap, lid, or encapsulating material from a packaged integrated circuit
by mechanical, thermal, or chemical methods.
(9) ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of the items specified in
paragraphs (g)(1) through (8) of this supplement.
(10) ``Software'' for Digital Twins (DT) of additive manufacture
products or for the determination of the reliability of additive
manufacture products.
(11) ``Technology'' for the ``development'', ``production'' or
``use'' of the items specified in paragraphs (g)(1) through (10) of this
supplement.
(h) Riot Control Agents which are isomers of CS (o-
Chlorobenzylidenemalononitrile or o-Chlorobenzalmalononitrile) (CAS
2698-41-1); CN (Phenylacyl chloride or w-Chloroacetophenone) (CAS 532-
27-4); or Oleoresin Capsicum (CAS 8023-77-6) as follows:
(1) 8-Methyl-N-vanillyl-trans-6-nonenamide (Capsaicin) (CAS 404-86-
4);
(2) 8-Methyl-N-vanillylnonamide (Dihydrocapsaicin) (CAS 19408-84-5);
(3) N-Vanillylnonamide (Pseudocapsaicin, PAVA) (CAS 2444-46-4);
(4) N-Vanillyl-9-methyldec-7-(E)-enamide (Homocapsaicin) (CAS 58493-
48-4);
(5) N-Vanillyl-9-methyldecanamide (Homodihydrocapsaicin) (CAS 20279-
06-5);
(6) N-Vanillyl-7-methyloctanamide (Nordihydrocapsaicin) (CAS 28789-
35-7);
(7) 2[min]-chloroacetophenone (CAS 2142-68-9);
(8) 3[min]-chloroacetophenone (CAS 99-02-5);
(9) [alpha]-chlorobenzylidenemalononitrile (CAS 18270-61-6); and
(10) Cis-4-acetylaminodicyclohexylmethane (CAS 37794-87-9).
(i) Pre-cursors for riot control agents and chloropicrin as follows:
(1) Malononitrile (CAS 109-77-3);
(2) 2-Chlorobenzaldehyde (CAS 89-98-5);
(3) 2-Chlorobenzyl Alcohol (CAS 17849-38-6);
(4) 2-Chlorobenzylamine (CAS 89-97-4);
(5) Benzene, 1-chloro-2-(dimethoxymethyl) (CAS 70380-66-4);
[[Page 111]]
(6) Acetophenone (CAS 98-86-2);
(7) Chloroacetyl Chloride (CAS 79-04-9);
(8) Chloroform (CAS 67-66-3); and
(9) o-Aminophenol (CAS 95-55-6).
[87 FR 57104, Sept. 16, 2022, as amended at 88 FR 12204, Feb. 27, 2023;
88 FR 33469, May 23, 2023; 89 FR 4815, Jan 25, 2024; 89 FR 51678, June
18, 2024; 89 FR 87282, Nov. 1, 2024]
Sec. Supplement No. 7 to Part 746--Items That Require a License Under
Sec. 746.6 When Destined to the Temporarily Occupied Crimea Region of
Ukraine, Under Sec. 746.7 When Destined to Iran, and Under Sec. 746.8
When Destined to Russia or Belarus
The items identified in this supplement are a subset of items that
are identified in specific Export Control Classification Numbers or
designated as EAR99 under the Commerce Control List (CCL) in supplement
no. 1 to part 774 of the EAR. Also see paragraph (f) of Sec. 734.9 of
the EAR for the Russia/Belarus/Temporarily occupied Crimea region of
Ukraine Foreign Direct Product (FDP) rule and paragraph (j) for the Iran
FDP rule. Both of these FDP rules include the items identified in this
supplement as part of the criteria for what foreign made items are
subject to the EAR.
(a) The source for the Harmonized Tariff Schedule (HTS)-6 codes and
descriptions in this list is the United States International Trade
Commission (USITC)'s Harmonized Tariff Schedule of the United States
(2023). The items described in this supplement include any modified or
designed ``components,'' ``parts,'' ``accessories,'' and ``attachments''
therefor regardless of the HTS Code or HTS Description of the
``components,'' ``parts,'' ``accessories,'' and ``attachments,'' apart
from any ``part'' or minor ``component'' that is a fastener (e.g.,
screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer,
spacer, insulator, grommet, bushing, spring, wire, or solder. The
exclusion of fasteners from this control does not apply to fasteners
that are designated under an HTS Code under this supplement. Although
generally fasteners (e.g., screws, bolts, nuts, nut plates, studs,
inserts, clips, rivets, pins), and washers, spacers, insulators,
grommets, bushings, springs, wires, and solder are excluded from the
scope of this supplement, see part 744 of the EAR for license
requirements for Russia and Belarus that apply to all items ``subject to
the EAR,'' e.g., Sec. 744.21 of the EAR and the Entity List license
requirements, which in most cases extend to all items ``subject to the
EAR.'' This supplement includes two columns consisting of the HTS Code
and HTS Description to assist exporters, reexporters, and transferors in
identifying the products in this supplement. For information on HTS
codes in general, you may contact a local import specialist at U.S.
Customs and Border Protection at the nearest port.
(b) The items classified under the provisions identified in the HTS-
6 Code column of this supplement are subject to the license requirements
under Sec. Sec. 746.6(a)(1)(ii), 746.7(a)(1)(ii) and (iii), and
746.8(a)(2). The other column--HTS Description--is intended to assist
exporters with their AES filing responsibilities. The license
requirements extend to HTS Codes at the 8 and 10 digit level when those
HTS-8 and HTS-10 codes begin with the HTS-6 Codes as the first 6 numbers
of those longer HS Codes.
------------------------------------------------------------------------
HTS-6 codes HTS description
------------------------------------------------------------------------
840710.................... Aircraft spark-ignition reciprocating or
rotary internal combustion piston engines.
840890.................... Compression-ignition internal combustion
piston engines (diesel or semi-diesel
engines), NESOI.
840910.................... Parts for spark-ignition or rotary internal
combustion piston engines or compression-
ignition internal combustion piston
engines, for aircraft.
845710.................... Machining centers for working metal.
845811.................... Horizontal lathes for removing metal,
numerically controlled.
845891.................... Lathes, excluding horizontal, for removing
metal, numerically controlled.
845961.................... Milling machines, not knee type, for
removing metal, numerically controlled.
846693.................... Parts and accessories for machine tools, for
laser operation, metalworking machining
centers, lathes and drilling machines,
etc., NESOI.
847150.................... Processing units other than those of
subheading 8471.41 or 8471.49, whether or
not containing in the same housing one or
two of the following types of unit: storage
units, input units, output units.
847180.................... Automatic data processing units, NESOI.
848210.................... Ball bearings.
848220.................... Tapered roller bearings, including cone and
tapered roller assemblies.
848230.................... Spherical roller bearings.
848250.................... Cylindrical roller bearings NESOI.
848610.................... Machines and apparatus for the manufacture
of boules or wafers.
848620.................... Machines and apparatus for the manufacture
of semiconductor devices or of electronic
integrated circuits.
848640.................... Machines and apparatus for the manufacture
or repair of masks and reticles; for
assembling semiconductors devices; for
lifting, handling, loading or unloading of
semi-conductor devices.
850440.................... Electrical static converters; power supplies
for ADP machines or units of 8471.
851762.................... Machines for the reception, conversion and
transmission or regeneration of voice,
images or other data, including switching
and routing apparatus.
851769.................... Apparatus for the transmission or reception
of voice, images or other data, including
switching and routing apparatus, NESOI.
852589.................... Television cameras, digital cameras and
video camera recorders.
852691.................... Radio navigational aid apparatus.
852910.................... Antennas and antenna reflectors and parts
thereof.
[[Page 112]]
852990.................... Parts (except antennas and reflectors) sfor
use with radio transmission, radar, radio
navigational aid, reception and television
apparatus, NESOI.
853221.................... Tantalum capacitors.
853224.................... Fixed capacitors NESOI, multilayer ceramic
dielectric.
853400.................... Printed circuits.
853669.................... Electric plugs and sockets for a voltage not
exceeding 1,000 V.
853690.................... Electrical apparatus for switching,
protecting or making connections to or in
electrical circuits, for a voltage not
exceeding 1,000 V, NESOI.
854110.................... Diodes, other than photosensitive or light-
emitting diodes.
854121.................... Transistors, other than photosensitive, with
a dissipation rate of less than 1W.
854129.................... Transistors, other than photosensitive,
NESOI.
854130.................... Thyristors, diacs and triacs, other than
photosensitive devices.
854149.................... Photosensitive semiconductor devices,
excluding photovoltaic generators and
cells.
854151.................... Semiconductor-based transducers, NESOI.
854159.................... Semiconductor devices NESOI.
854160.................... Mounted piezoelectric crystals.
854231.................... Processors and controllers, whether or not
combined with memories, converters, logic
circuits, amplifiers, clock and timing
circuits, or other circuits.
854232.................... Memories.
854233.................... Amplifiers.
854239.................... Other electronic integrated circuits.
854320.................... Electrical signal generators.
854800.................... Electrical parts of machinery or apparatus,
NESOI
880730.................... Other parts of airplanes, helicopters or
unmanned aircraft.
901310.................... Telescopic sights for fitting to arms;
periscopes; telescopes designed to form
parts of machines, appliances, instruments
or apparatus of this chapter or Section
XVI.
901380.................... Other optical devices, appliances and
instruments not elsewhere specified.
901420.................... Instruments and appliances for aeronautical
or space navigation (other than compasses).
901480.................... Other navigational instruments and
appliances.
902750.................... Other instruments and apparatus using
optical radiations (ultraviolet, visible,
infrared).
903020.................... Oscilloscopes and oscillographs.
903032.................... Multimeters with recording device.
903039.................... Instruments and apparatus for measuring or
checking voltage, current, resistance or
electrical power, with recording device.
903082.................... Oscilloscopes, spectrum analyzers and other
instruments and apparatus for measuring or
checking electrical quantities, for
measuring or checking semiconductor wafers
or devices.
------------------------------------------------------------------------
[88 FR 12155, Feb. 27, 2023, as amended at 88 FR 33469, May 23, 2023; 89
FR 4815, Jan. 25, 2024; 89 FR 29256, Apr. 22, 2024; 89 FR 51678, June
18, 2024]
PART 747 [RESERVED]
PART 748_APPLICATIONS (CLASSIFICATION, ADVISORY, AND LICENSE) AND
DOCUMENTATION--Table of Contents
Sec.
748.1 General provisions.
748.2 Obtaining forms; mailing addresses.
748.3 Classification requests and advisory opinions.
748.4 Basic guidance related to applying for a license.
748.5 Parties to the transaction.
748.6 General instructions for license applications.
748.7 Registering for electronic submission of license applications and
related documents.
748.8 Unique application and submission requirements.
748.9 Support documents for evaluation of foreign parties in license
applications and/or for promoting compliance with license
requirements.
748.10 People's Republic of China (PRC) End-User Statement.
748.11 Statement by Ultimate Consignee and Purchaser.
748.12 Firearms import certificate or import permit.
748.13 Hong Kong import and export licenses.
748.14 Granting of exceptions to the support documentation requirements.
748.15 Authorization Validated End-User (VEU).
Supplement No. 1 to Part 748--BIS-748P, BIS-748P-A; Item Appendix, and
BIS XA-748P-B; End-User Appendix; Multipurpose Application
Instructions
Supplement No. 2 to Part 748--Unique Application and Submission
Requirements
Supplement No. 3 to Part 748--Statement by Ultimate Consignee and
Purchaser Content Requirements
Supplement No. 4 to Part 748 [Reserved]
Supplement No. 5 to Part 748--U.S. Import Certificate and Delivery
Verification Procedure
Supplement No. 6 to Part 748 [Reserved]
Supplement No. 7 to Part 748--Validated End-User (VEU) Authorization:
List of Validated End-Users, Respective Items Eligible for
Export, Reexport, and Transfer (In-Country), and Eligible
Destinations
Supplement No. 8 to Part 748--Information Required in Requests for VEU
Authorization
Supplement No. 9 to Part 748--End-User Review Committee Procedures
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
[[Page 113]]
Notice of August 13, 2024, 89 FR 66187 (August 15, 2024).
Sec. 748.1 General provisions.
(a) Scope. In this part, references to the Export Administration
Regulations or EAR are references to 15 CFR chapter VII, subchapter C.
The provisions of this part involve requests for classifications and
advisory opinions, export license applications, reexport license
applications, and certain license exception notices subject to the EAR.
All terms, conditions, provisions, and instructions, including the
applicant and consignee certifications, contained in electronic or paper
form(s) are incorporated as part of the EAR. For the purposes of this
part, the term ``application'' refers to both electronic applications
and the Form BIS-748P: Multipurpose Application.
(b) BIS responses. BIS will give a formal classification, advisory
opinion or licensing decision only through the review of a properly
completed application supported by all relevant facts and required
documentation submitted in writing or electronically to BIS.
(c) Confidentiality. Consistent with section 12(c) of the Export
Administration Act, as amended, information obtained for the purpose of
considering license applications, and other information obtained by the
U.S. Department of Commerce concerning license applications, will not be
made available to the public without the approval of the Secretary of
Commerce or of the Under Secretary for Industry and Security.
(d) Electronic filing required. All export and reexport license
applications, License Exception AGR notifications, requests to authorize
use of License Exception STA for ``600 series'' end items (which are
currently submitted as export license applications) and classification
requests and their accompanying documents must be filed via BIS's
Simplified Network Application Processing system (SNAP-R), unless BIS
authorizes submission via the paper forms BIS 748-P (Multipurpose
Application Form), BIS-748P-A (Item Appendix) and BIS-748P-B, (End-User
Appendix). Only original paper forms may be used. Facsimiles or
reproductions are not acceptable.
(1) Reasons for authorizing paper submissions. BIS will process
paper applications notices or requests if the submitting party meets one
or more of the following criteria:
(i) BIS has received no more than one submission (i.e. the total
number of export license applications, reexport license applications,
license exception AGR notifications, and classification requests) from
that party in the twelve months immediately preceding its receipt of the
current submission;
(ii) The party does not have access to the Internet;
(iii) BIS has rejected the party's electronic filing registration or
revoked its eligibility to file electronically;
(iv) BIS has requested that the party submit a paper copy for a
particular transaction; or
(v) BIS has determined that urgency, a need to implement U.S.
government policy or a circumstance outside the submitting party's
control justify allowing paper submissions in a particular instance.
(2) Procedure for requesting authorization to file paper
applications, notifications, or requests. The applicant must state in
Block 24 or as an attachment to the paper application (Form BIS 748-P)
which of the criteria in paragraph (d)(1) of this section it meets and
the facts that support such statement. Submit the completed application,
notification or request to Bureau of Industry and Security, U.S.
Department of Commerce, 14th Street and Pennsylvania, NW., Room 2099B,
Washington DC 20230.
(3) BIS decision. If BIS authorizes or requires paper filing
pursuant to this section, it will process the application, notification
or request in accordance with part 750 of the EAR. If BIS rejects a
request to file using paper, it will return the Form BIS-748P and all
attachments to the submitting party without action and will state the
reason for its decision.
[61 FR 12812, Mar. 25, 1996, as amended at 70 FR 8249, Feb. 18, 2005; 73
FR 49329, Aug. 21, 2008; 75 FR 36499, June 25, 2010; 78 FR 13469, Feb.
28, 2013; 78 FR 22723, Apr. 16, 2013; 80 FR 51730, Aug. 26, 2015; 81 FR
64676, Sept. 20, 2016; 81 FR 87426, Dec. 5, 2016]
[[Page 114]]
Sec. 748.2 Obtaining forms; mailing addresses.
(a) You may obtain the forms required by the EAR from any U.S.
Department of Commerce District Office; or in person or by telephone or
facsimile from the following BIS offices:
(1) Outreach and Educational Services Division, U.S. Department of
Commerce, 14th Street and Pennsylvania Ave., NW., Room H1099D,
Washington, DC 20230, Tel: (202) 482-4811, Fax: (202) 482-2927, or
(2) Bureau of Industry and Security, Western Regional Office, U.S.
Department of Commerce, 2302 Martin St., Suite 330, Irvine, CA 92612,
Tel: (949) 660-0144, Fax: (949) 660-9347, or
(3) Bureau of Industry and Security, Western Regional Office,
Northern California Branch, U.S. Department of Commerce, 160 W. Santa
Clara Street, Suite 725, San Jose, CA 95113, Tel: (408) 998-8806, Fax:
(408) 998-8677.
(b) For the convenience of foreign consignees and other foreign
parties, certain BIS forms may be obtained at U.S. Embassies and
Consulates throughout the world.
[61 FR 12812, Mar. 25, 1996, as amended at 69 FR 5690, Feb. 6, 2004; 70
FR 22249, Apr. 29, 2005; 72 FR 3945, Jan. 29, 2007; 73 FR 36, Jan. 2,
2008; 73 FR 49330, Aug. 21, 2008; 76 FR 40604, July 11, 2011; 78 FR
13469, Feb. 28, 2013; 79 FR 32626, June 5, 2014]
Sec. 748.3 Classification requests and advisory opinions.
(a) Introduction. You may ask BIS to provide you with the correct
Export Control Classification Number (ECCN) down to the paragraph (or
subparagraph) level, if appropriate. BIS will issue you a determination
that each item identified in your classification request is either
described by an ECCN in the Commerce Control List (CCL) in supplement
no. 1 to part 774 of the EAR or not described by an ECCN and, therefore,
an ``EAR99'' item. These classification determinations issued by BIS are
not U.S. Government determinations that the items described therein are
``subject to the EAR,'' as this term is defined in Sec. 734.3 of the
EAR. Those who request commodity classifications and advisory opinions
should have determined that the items at issue are not subject to the
exclusive export control jurisdiction of one of the other U.S.
Government agencies listed in Sec. 734.3(b) of the EAR. If requested,
for a given end-use, end-user, and/or destination, BIS will advise you
whether a license is required, or likely to be granted, for a particular
transaction. Note that these responses do not bind BIS to issuing a
license in the future. This type of request, along with requests for
guidance regarding other interpretations of the EAR, is commonly
referred to as an ``Advisory Opinion.'' The encryption provisions in the
EAR require the submission of a classification request in accordance
with Sec. 740.17(d) of the EAR in order for certain items to be
eligible for export and reexport under License Exception ENC (see Sec.
740.17 of the EAR) or to be released from ``EI'' controls (see
Sec. Sec. 740.17(b)(2) and 740.17(b)(3) of the EAR).
(b) Classification requests. Submit classification requests in
accordance with the procedures in Sec. 748.1.
(1) Each Classification Request must be limited to six items.
Exceptions may be granted by BIS on a case-by-case basis for several
related items if the relationship between the items is satisfactorily
substantiated in the request. Classification requests must be supported
by any descriptive literature, brochures, precise technical
specifications or papers that describe the items in sufficient technical
detail to enable classification by BIS submitted as PDF files attached
to the SNAP-R submission unless a paper submission is authorized
pursuant to Sec. 748.1 of the EAR.
(2) When submitting a classification request, you must complete
Blocks 1 through 5, 14, 22(a), (b), (c), (d), and (i), 24, and 25 on the
application. You must provide a recommended classification in Block
22(a) and explain the basis for your recommendation based on the
technical parameters specified in the appropriate ECCN in Block 24. If
you are unable to determine a recommended classification for your item,
include an explanation in Block 24, identifying the ambiguities or
deficiencies that precluded you from making a recommended
classification.
[[Page 115]]
(3) BIS assigns each of its commodity classifications a Commodity
Classification Automated Tracking System (CCATS) number. Neither the BIS
classification nor the CCATS number may be relied upon or cited as
evidence that the U.S. Government has determined that the items
described in the commodity classification determination are subject to
the EAR (See 15 CFR 734.3).
(c) Advisory opinions. Advisory opinion requests must be made in
writing, and may be delivered to BIS by mail, by email, or through the
BIS website. If delivering a request by mail, submit to the address
listed in Sec. 748.1(d)(2). Both your letter and envelope must be
marked ``Advisory Opinion.'' If submitting by email, submit to
[email protected] with the subject title ``Advisory Opinion.'' If
submitting through the BIS website, see http://www.bis.doc.gov.
(1) Your submission must contain the following information if you
are requesting guidance regarding interpretations of the EAR:
(i) The name, title, and telephone and facsimile numbers of the
person to contact,
(ii) Your complete address comprised of street address, city, state,
country, and postal code; and
(2) If you are requesting BIS to determine whether a license is
required, or the licensing policy related to a particular end-use, end-
user, and/or destination, in addition to the information required in
Sec. 748.3(c)(1) you must also include:
(i) All available information on the parties to the transaction and
the proposed end-use or end-user,
(ii) The model number for each item, where appropriate,
(iii) The Export Control Classification Number, if known, for each
item; and
(iv) Any descriptive literature, brochures, technical specifications
or papers that describe the items in sufficient technical detail to
enable BIS to verify the correct classification.
(3) Requests for Validated End-User authorization should be
submitted in accordance with the provisions set forth in Sec. 748.15
and supplement nos. 8 and 9 to this part.
(4) Advisory opinions are limited in scope to BIS's interpretation
of EAR provisions. Advisory opinions differ from commodity
classifications in that advisory opinions are not limited to the
interpretation of provisions contained in the Commerce Control List.
Advisory opinions may not be relied upon or cited as evidence that the
U.S. Government has determined that the items described in the advisory
opinion are not subject to the export control jurisdiction of another
agency of the U.S. Government (See 15 CFR 734.3).
(d) Classification requests for encryption items. A classification
request associated with encryption items transferred from the U.S.
Munitions List consistent with Executive Order 13026 of November 15,
1996 (3 CFR, 1996 Comp., p. 228) and pursuant to the Presidential
Memorandum of that date may be required to determine eligibility under
License Exception ENC or for release from ``EI'' controls. Refer to
supplement no. 6 to part 742 of the EAR for a complete list of technical
information that is required for encryption classification requests.
Refer to Sec. 740.17(e)(3) and supplement no. 8 to part 742 of the EAR
for information that is required to be submitted in a self-
classification report. Refer to Sec. 740.17(b) of the EAR for
instructions regarding mass market encryption commodities and software,
including self-classifications and classification requests. Refer to
Sec. 740.17 of the EAR for the provisions of License Exception ENC,
including encryption self-classifications, classification requests and
sales reporting. All classification requests, notifications and reports
submitted to BIS pursuant to Sec. Sec. 740.17 and 742.15(b) of the EAR
will be reviewed by the ENC Encryption Request Coordinator, Ft. Meade,
MD.
(e) Classification requests to confirm that a ``part,''
``component,'' ``accessory,'' ``attachment,'' or ``software'' is not
``specially designed''--(1) Scope. If you have a ``part,''
``component,'' ``accessory,'' ``attachment,'' or ``software'' that is
``specially designed'' on the basis of paragraph (a)(1) or (2) of the
``specially designed'' definition in Sec. 772.1 of the EAR, you may
submit a request in accordance with the procedures in Sec. 748.1 to
confirm that the item
[[Page 116]]
is not ``specially designed'' provided you meet the following criteria:
(i) The ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' does not meet the criteria of exclusion paragraph (b)(3) of
the ``specially designed'' definition, but would meet the criteria if
the minor changes in form or fit were determined to be insignificant by
the U.S. Government.
(ii) The performance capabilities of the ``part,'' ``component,''
``accessory,'' ``attachment,'' or ``software'' are the same as those of
a ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' that would meet the criteria of exclusion paragraph (b)(3)
of the definition of ``specially designed'' in Sec. 772.1 of the EAR.
(2) Information to be provided. Applicants wishing to submit a CCATS
requesting confirmation that a ``part,'' ``component,'' ``accessory,''
``attachment,'' or ``software'' is not ``specially designed'' must
submit classification requests in accordance with the procedures in
Sec. 748.1 and general provisions regarding submitting classification
requests in Sec. 748.3(b). In addition, applicants must submit
additional information identified in this paragraph (e)(2).
(i) The classification request must indicate in Block 24 or in a
separate PDF attachment included with the CCATS submission that the
``part,'' ``component,'' ``accessory,'' ``attachment'' or ``software''
would meet the criteria in paragraph (e)(1)(i) and (ii) of this section;
(ii) A detailed explanation must be provided regarding all changes
in form and fit; and
(iii) A rationale must be provided that explains why such changes in
form and fit should be treated as minor or insignificant in terms of
their role in the performance capabilities of the enumerated item.
(3) U.S. Government Review. Commodity classification requests
submitted pursuant to Sec. 748.3(e) are reviewed by the Departments of
Commerce, State and Defense. A consensus determination is required to
confirm that a ``part,'' ``component,'' ``accessory,'' ``attachment,''
or ``software'' is not ``specially designed'' on the basis of this
paragraph. The interagency review process will ensure U.S. national
security and foreign policy interests are evaluated prior to any
confirmation pursuant to Sec. 748.3(e). The interagency review will
consider on a case-by-case basis whether a particular ``part,''
``component,'' ``accessory,'' ``attachment,'' or ``software'' is
``specially designed'' taking into account all the following:
(i) The insignificance of the changes in form and fit;
(ii) The overall role of the ``part,'' ``component,'' ``accessory,''
``attachment,'' or ``software'' in the performance capabilities of the
enumerated or otherwise described item that it is used in or with;
(iii) How substantively common it is to the other ``part,''
``component,'' ``accessory,'' ``attachment,'' or ``software'' that would
meet the paragraph (b)(3) criteria;
(iv) Whether such a confirmation would be consistent with U.S.
Government multilateral export control regime commitments; and
(v) Any other criteria that may be relevant in determining whether
the ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' is ``specially designed,'' including an evaluation of how
such a confirmation may affect U.S. national security and foreign policy
interests.
(4) CCATS response. The BIS response to the CCATS request will
reflect the interagency consensus determination and the response will be
made in accordance with the procedures in Sec. Sec. 748.1 and 748.3(b).
In addition, the BIS response will indicate one of the following:
(i) The ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' is not ``specially designed'' on the basis of being within
the scope of paragraph (b)(3) because the changes in form and fit have
been determined by the U.S. Government to be minor or insignificant. In
such cases, the new classification, which may be EAR99 or in another
ECCN entry that does not use ``specially designed,'' will be provided as
part of the BIS response;''
(ii) The request under Sec. 748.3(e) has been denied and the
``part,'' ``component,'' ``accessory,'' ``attachment,'' or ``software''
continues to be classified under a ``specially designed'' `catch-all'
[[Page 117]]
(see the definition of ``specially designed'' in Sec. 772.1 of the
EAR). The response will also include a determination regarding where the
``specially designed'' ``part,'' ``component,'' ``accessory,''
``attachment,'' or ``software'' is classified on the CCL; or
(iii) Returned without action (RWA) because insufficient information
was provided or information was not provided in a timely fashion. These
requests will be reviewed closely, and they will likely require
additional follow up questions of applicants, so responding to such
requests in a timely fashion will be an important part of the process to
ensure such requests are considered by the U.S. Government.
Note to paragraph (e): Although these requests for confirmation that
an item is not ``specially designed'' are also reviewed by the
Departments of State and Defense, similar to Sec. 748.3(b)(3), the
public is reminded that neither the BIS classification nor the CCATS
number may be relied upon or cited as evidence that the U.S. Government
has determined that the ``parts,'' ``components,'' ``accessories,''
``attachments'' and ``software'' described in the commodity
classification determination or a release made from ``specially
designed'' pursuant to Sec. 748.3(e) are subject to the EAR (see Sec.
734.3 of the EAR).
[61 FR 12812, Mar. 25, 1996, as amended at 61 FR 68585, Dec. 30, 1996;
62 FR 25461, May 9, 1997; 65 FR 62609, Oct. 19, 2000; 67 FR 38868, June
6, 2002; 68 FR 35785, June 17, 2003; 70 FR 8249, Feb. 18, 2005; 72 FR
33659, June 19, 2007; 73 FR 49330, Aug. 21, 2008; 75 FR 36499, June 25,
2010; 75 FR 45054, Aug. 2, 2010; 78 FR 22724, Apr. 16, 2013; 78 FR
61745, Oct. 3, 2013; 81 FR 64676, Sept. 20, 2016; 86 FR 54812, Oct. 5,
2021]
Sec. 748.4 Basic guidance related to applying for a license.
(a) License applicant--(1) Export transactions. Only a person in the
United States may apply for a license to export items from the United
States. The applicant must be the exporter, who is the U.S. principal
party in interest with the authority to determine and control the
sending of items out of the United States, except for Encryption License
Arrangements (ELA) (see Sec. 750.7(d) of the EAR). See definition of
``exporter'' in part 772 of the EAR.
(2) Routed export transactions. The U.S. principal party in interest
or the duly authorized U.S. agent of the foreign principal party in
interest may apply for a license to export items from the United States.
Prior to submitting an application, the agent that applies for a license
on behalf of the foreign principal party in interest must obtain a power
of attorney or other written authorization from the foreign principal
party in interest. See Sec. 758.3(b) and (d) of the EAR.
(3) Reexport transactions. The U.S. or foreign principal party in
interest, or the duly authorized U.S. agent of the foreign principal
party in interest, may apply for a license to reexport controlled items
from one country to another. Prior to submitting an application, an
agent that applies for a license on behalf of a foreign principal party
in interest must obtain a power-of-attorney or other written
authorization from the foreign principal party in interest, unless there
is a preexisting relationship by ownership, control, position of
responsibility or affiliation. See power-of-attorney requirements in
paragraph (b)(2) of this section.
(b) Disclosure of parties on license applications and the power of
attorney--(1) Disclosure of parties. License applicants must disclose
the names and addresses of all parties to a transaction. When the
applicant is the U.S. agent of the foreign principal party in interest,
the applicant must disclose the fact of the agency relationship, and the
name and address of the agent's principal. If there is any doubt about
which persons should be named as parties to the transaction, the
applicant should disclose the names of all such persons and the
functions to be performed by each in Block 24 of the application. Note
that when the foreign principal party in interest is the ultimate
consignee or end-user, the name and address need not be repeated in
Block 24. See ``Parties to the transaction'' in Sec. 748.5.
(2) Power of attorney or other written authorization--(i)
Requirement. An agent must obtain a power of attorney or other written
authorization from the principal party in interest, unless there is a
preexisting relationship by ownership, control, position of
responsibility or affiliation, prior to preparing or submitting an
application for a license, when acting as either:
(A) An agent, applicant, licensee and exporter for a foreign
principal party in interest in a routed transaction; or
[[Page 118]]
(B) An agent who prepares an application for export on behalf of a
U.S. principal party in interest who is the actual applicant, licensee
and exporter in an export transaction.
(ii) Application. Block 7 of the application (documents on file with
applicant) must be marked ``other'' and Block 24 (Additional
information) must be marked ``748.4(b)(2)'' to indicate that the power
of attorney or other written authorization is on file with the agent.
See Sec. 758.3(d) for power of attorney requirement, and see also part
762 of the EAR for recordkeeping requirements.
(c) Prohibited from applying for a license. No person subject to a
denial order based on a conviction for a violation of any statute
specified at 50 U.S.C. 4819(e)(1)(B) may apply for any license for a
period up to 10 years from the date of the conviction. The duration of
the prohibition shall be included as a term of the denial order. See
Sec. 766.25 of the EAR.
(d) Prior action on a shipment. If you have obtained a license
without disclosure of the facts described in this section, the license
will be deemed to have been obtained without disclosure of all facts
material to the granting of the license and the license so obtained will
be deemed void. See part 764 of the EAR for other sanctions that may
result in the event a violation occurs.
(1) Licenses for items subject to detention or seizure. If you
submit a license application for items that you know have been detained
or seized by the Office of Export Enforcement or by the U.S. Customs
Service, you must disclose this fact to BIS when you submit your license
application.
(2) Licenses for items previously exported. You may not submit a
license application to BIS covering a shipment that is already laden
aboard the exporting carrier, exported or reexported. If such export or
reexport should not have been made without first securing a license
authorizing the shipment, you must send a letter of explanation to the
Office of Export Enforcement, U.S. Department of Commerce, 14th and
Pennsylvania Avenue, N.W., H4520, Washington, D.C., 20230. The letter
must state why a license was not obtained and disclose all facts
concerning the shipment that would normally have been disclosed on the
license application. You will be informed of any action and furnished
any instructions by the Office of Export Enforcement.
(e) Multiple shipments. Your license application need not be limited
to a single shipment, but may represent a reasonable estimate of items
to be shipped throughout the validity of the license. Do not wait until
the license you are using expires before submitting a new application.
You may submit a new application prior to the expiration of your current
license in order to ensure uninterrupted shipping.
(f) Second application. You may not submit a second license
application covering the same proposed transaction while the first is
pending action by BIS.
(g) Resubmission. If a license application is returned without
action to you by BIS or your application represents a transaction
previously denied by BIS, and you want to resubmit the license
application, a new license application must be completed in accordance
with the instructions contained in supplement no. 1 to part 748. Cite
the Application Control Number on your original application in Block 24
on the new license application.
(h) Emergency processing. Applicants may request emergency
processing of license applications by contacting the Outreach and
Educational Services Division of the Office of Exporter Services by
telephone on (202) 482-4811 or by facsimile on (202) 482-2927. Refer to
the Application Control Number when making emergency processing
requests. BIS will expedite its evaluation, and attempt to expedite the
evaluations of other government agencies, of a license application when,
in its sole judgement, the circumstances justify emergency processing.
See Sec. 750.7(g) of the EAR for the limit on the validity period of
emergency licenses.
[61 FR 12812, Mar. 25, 1996, as amended at 65 FR 42569, July 10, 2000;
70 FR 8249, Feb. 18, 2005; 70 FR 22249, Apr. 29, 2005; 73 FR 49330, Aug.
21, 2008; 79 FR 32626, June 5, 2014; 80 FR 51730, Aug. 26, 2015; 85 FR
73413, Nov. 18, 2020]
Sec. 748.5 Parties to the transaction.
The following parties may be entered on the application. The
definitions,
[[Page 119]]
which also appear in part 772 of the EAR, are set out here for your
convenience to assist you in filling out your application correctly.
(a) Applicant. The person who applies for an export or reexport
license, and who has the authority of a principal party in interest to
determine and control the export or reexport of items. See Sec.
748.4(a) and definition of ``exporter'' in part 772 of the EAR.
(b) Other party authorized to receive license. The person authorized
by the applicant to receive the license. If a person and address is
listed in Block 15 of the application, the Bureau of Industry and
Security will send the license to that person instead of the applicant.
Designation of another party to receive the license does not alter the
responsibilities of the applicant, licensee or exporter.
(c) Purchaser. The person abroad who has entered into the
transaction to purchase an item for delivery to the ultimate consignee.
In most cases, the purchaser is not a bank, forwarding agent, or
intermediary. The purchaser and ultimate consignee may be the same
entity.
(d) Intermediate consignee. The person that acts as an agent for a
principal party in interest and takes possession of the items for the
purpose of effecting delivery of the items to the ultimate consignee.
The intermediate consignee may be a bank, forwarding agent, or other
person who acts as an agent for a principal party in interest.
(e) Ultimate consignee. The principal party in interest located
abroad who receives the exported or reexported items. The ultimate
consignee is not a forwarding agent or other intermediary, but may be
the end-user.
(f) End-user. The person abroad that receives and ultimately uses
the exported or reexported items. The end-user is not a forwarding agent
or intermediary, but may be the purchaser or ultimate consignee.
[65 FR 42569, July 10, 2000, as amended at 73 FR 49330, Aug. 21, 2008]
Sec. 748.6 General instructions for license applications.
(a) Instructions. (1) General instructions for filling out license
applications are in supplement no. 1 to this part.
(2) License applications may require additional information due to
the type of items requested in the application or the characteristics of
the transaction. Special instructions for applications requiring such
additional information are listed in Sec. 748.8 and described fully in
supplement no. 2 to this part.
(3) License applications may also require additional information for
evaluation of the parties in the transaction. Special instructions for
applications requiring such additional information are listed in
Sec. Sec. 748.9 through 748.13.
(b) Application Control Number. Each application has an application
control number.The Application Control Number, consisting of a letter
followed by six digits, is for use by BIS when processing applications,
and by applicants when communicating with BIS concerning pending
applications. This number is used for tracking purposes within the U.S.
Government. The Application Control Number is not a license number.
(c) Approval or denial in entirety. License applications may be
approved in whole or in part, denied in whole or in part, or returned
without action. However, you may specifically request that your license
application be considered as a whole and either approved or denied in
its entirety.
(d) Combining items on license applications. Any items may be
combined on a single application, however, if the items differ
dramatically (e.g., computers and shotguns) the number of BIS offices to
which a license application may be referred for review may increase
significantly. Accordingly, it is recommended that you limit items on
each license application to those that are similar and/or related.
(e) Attachments to applications. Documents required to be submitted
with applications filed via SNAP-R must be submitted as PDF files using
the procedures described in SNAP-R. Documents required to be submitted
with paper applications must bear the application control number to
which they relate and, if applicable, be stapled to the paper form.
Where necessary, BIS may
[[Page 120]]
require you to submit additional information beyond that stated in the
EAR confirming or amplifying information contained in your license
application.
(f) Changes in facts. Answers to all items on the license
application will be deemed to be continuing representations of the
existing facts or circumstances. Any material or substantive change in
the terms of the order, or in the facts relating to the transaction,
must be promptly reported to BIS, whether a license has been granted or
the license application is still under consideration. If a license has
been granted and such changes are not excepted in Sec. 750.7(c) of the
EAR, they must be reported immediately to BIS, even though shipments
against the license may be partially or wholly completed, during the
validity period of the license.
(g) Request for extended license validity period. An extended
validity period will generally be granted if your transaction is related
to a multi-year project, when production lead time will not permit
export or reexport during the normal validity period or for other
similar circumstances. A continuing requirement to supply spare or
replacement parts will not normally justify an extended validity period.
To request an extended validity period, include justification for your
request in Block 24 on the application.
[61 FR 12812, Mar. 25, 1996, as amended at 73 FR 49330, Aug. 21, 2008;
80 FR 13217, Mar. 13, 2015]
Sec. 748.7 Registering for electronic submission of license
applications and related documents.
(a) Scope. This section describes the procedures for registering to
submit electronic documents to BIS. The procedures in this section apply
to submission of export and reexport license applications,
classification requests, and License Exception AGR notifications.
(b) Registration and use of BIS's Simplified Network Applications
System--Redesign (SNAP-R). Parties wishing to submit electronically must
log on to https://snapr.bis.doc.gov /registration to register. Upon
initial registration, the party (the filing entity) will have to supply
the name of the entity that will be submitting documents electronically
and its address and the name, telephone number, facsimile number and e-
mail address of the person who will act as account administrator. The
person will be required to certify that the information so supplied is
correct and complete, that the person has authority to register the
entity that will be making electronic submissions and that the person
has authority to act as an account administrator for that entity.
(c) Role of account administrator. The account administrator is able
to add and remove individual users to and from the account of the filing
entity for which it is the account administrator. The account
administrator can also make individual users account administrators and
can terminate an individual user's administrator status. The account
administrator can deactivate the account of an individual user and
reactivate the account of a previously deactivated individual user. The
account administrator can update the filing entity's identifying
information such as name and address and any individual user's
identifying information such as name, telephone number, facsimile number
and e-mail address. The account administrator can reset individual
users' passwords.
(d) Role of individual users. An individual user may submit to BIS
export and reexport license applications, classification requests, and
License Exception AGR notifications.
(e) Effect of submission to BIS. BIS may refuse to accept an
electronic submission if it has reason to believe that the individual
user making the submission lacks authority to do so. However, BIS is not
obligated to conduct any checks to determine whether an individual user
has the necessary authority and will generally treat users as acting
within their authority. Acting through their account administrators,
parties have the ability to remove an individual user when that
individual user is no longer authorized to make submissions on behalf of
that party to BIS and should do so promptly.
(f) Requirement to keep identifying information accurate and
current--(1) Filing entities. Filing entities must, through their
account administrators, update their identifying information
[[Page 121]]
such as name, address and telephone number in their SNAP-R account as
necessary to keep that information accurate and current.
(2) Individual users. Individual users must, through their account
administrators, update their identifying information such as name,
telephone number, facsimile number and e-mail address in their SNAP-R
accounts as necessary to keep that information accurate and current.
[76 FR 7105, Feb. 9, 2011, as amended at 80 FR 51730, Aug. 26, 2015; 81
FR 64676, Sept. 20, 2016; 81 FR 87426, Dec. 5, 2016]
Sec. 748.8 Unique application and submission requirements.
In addition to the instructions contained in supplement no. 1 to
this part 748, you must also ensure that the additional requirements for
certain items or types of transactions described in this section are
addressed in your license application. See supplement no. 2 to this part
748 if your application involves:
(a) Chemicals, medicinals, and pharmaceuticals.
(b) Communications intercepting devices.
(c) Digital computers, telecommunications, and related equipment.
(d) U.S. person support activities that require a license under
Sec. 744.6.
(e) Intransit shipments through the United States.
(f) Intransit shipments outside of the United States.
(g) Nuclear Nonproliferation items and end-uses.
(h) Numerical control devices, motion control boards, numerically
controlled machine tools, dimensional inspection machines, direct
numerical control systems, specially designed assemblies and specially
designed software.
(i) Parts, components, and materials incorporated abroad into
foreign-made products.
(j) Ship stores, plane stores, supplies, and equipment.
(k) Regional stability controlled items.
(l) Reexports.
(m) Robots.
(n) Short Supply controlled items.
(o) Technology.
(p) Temporary exports or reexports.
(q) Exports of chemicals controlled for CW reasons by ECCN 1C350 to
countries not listed in supplement no. 2 to part 745 of the EAR.
(r) Encryption classification requests.
(s) Exports of firearms and certain shotguns temporarily in the
United States.
(t) ``600 Series Major Defense Equipment.''
(u) Aircraft and vessels on temporary sojourn.
(v) In-country transfers.
(w) License Exception STA eligibility requests for ``600 series''
end items.
(x) License application for a transaction involving a 9x515 and
``600 series'' item that is equivalent to a transaction previously
approved under an ITAR license or other approval.
(y) Satellite exports.
(z) Firearms.
[61 FR 12812, Mar. 25, 1996, as amended at 64 FR 27146, May 18, 1999; 69
FR 64489, Nov. 5, 2004; 70 FR 8249, Feb. 18, 2005; 70 FR 54629, Sept.
16, 2005; 75 FR 36500, June 25, 2010; 78 FR 22724, Apr. 16, 2013; 79 FR
27436, May 13, 2014; 80 FR 2290, Jan. 16, 2015; 81 FR 64676, Sept. 20,
2016; 88 FR 73496, Oct. 25, 2023; 89 FR 34706, Apr. 30, 2024]
Sec. 748.9 Support documents for evaluation of foreign parties in
license applications and/or for promoting compliance with license
requirements.
(a) Scope. License applicants may be required to obtain support
documents concerning the foreign parties and the disposition of the
items intended for export, reexport, or transfer (in-country). Some
support documents are issued by foreign governments, while other support
documents are signed and issued by the purchaser and/or ultimate
consignee. For support documents issued by foreign governments, any
foreign legal restrictions or obligations exercised by the government
issuing the support document are in addition to the conditions and
restrictions placed on the transaction by BIS. However, the laws and
regulations of the United States are in no way modified, changed, or
superseded by the issuance of a support document by a foreign
government.
[[Page 122]]
(b) Requirements to obtain support documents for license
applications. Unless an exception in paragraph (c) of this section
applies, a support document is required for certain license applications
for:
(1) The People's Republic of China (PRC) other than the Hong Kong
Special Administrative Region (see Sec. Sec. 748.10 and 748.11(a)(2));
(2) ``600 Series Major Defense Equipment'' (see Sec. 748.11);
(3) Firearms and related commodities to member countries of the
Organization of American States (see Sec. 748.12); and
(4) The Hong Kong Special Administrative Region of the People's
Republic of China (see Sec. 748.13).
Note 1 to paragraph (b): On a case-by-case basis, BIS may require
license applicants to obtain a support document for any license
application.
Note 2 to paragraph (b): For End-Use Certificate requirements under
the Chemical Weapons Convention, see Sec. 745.2 of the EAR.
(c) Exceptions to requirements to obtain support documents. (1) Even
if a support document requirement is imposed by paragraph (b) of this
section, no support document is required for any of the following
situations:
(i) The ultimate consignee or purchaser is an ``Agency of the United
States Government'' (see Sec. 740.11(b)(1) for definition). If either
the ultimate consignee or purchaser is not an agency of the United
States government, however, a support document may still be required
from the non-U.S. governmental party;
(ii) The ultimate consignee or purchaser is a foreign government(s)
or foreign government agency(ies), other than the government of the
People's Republic of China. To determine whether the parties in a
transaction meet the definition of ``foreign government agency,'' refer
to the definition contained in part 772 of the EAR. If either the
ultimate consignee or purchaser is not a foreign government or foreign
government agency, however, a support document may still be required
from the nongovernmental party;
(iii) The license application is filed by, or on behalf of, a relief
agency registered with the Advisory Committee on Voluntary Foreign Aid,
U.S. Agency for International Development, for export to a member agency
in the foreign country;
(iv) The license application is submitted for commodities for
temporary exhibit, demonstration, or testing purposes;
(v) The license application is submitted for commodities controlled
for short supply reasons (see part 754 of the EAR);
(vi) [Reserved]
(vii) The license application is submitted for software or
technology; or
(viii) The license application is submitted for encryption
commodities controlled under ECCN 5A002, 5A004 or 5B002.
(2) BIS will consider granting an exception to the requirement for
obtaining a support document where the requirements cannot be met due to
circumstances beyond the applicant's control. An exception will not be
granted contrary to the objectives of the U.S. export control laws and
regulations. Refer to Sec. 748.13 of this part for specific
instructions on procedures for requesting an exception.
(d) Content of support documents. In addition to specific
requirements described for each support document in Sec. Sec. 748.10,
748.11, and 748.12, the use and submission of support documents must
comply with the following requirements.
(1) English translation. All abbreviations, coded terms, or other
expressions on support documents having special significance in the
trade or to the parties to the transaction must be explained on an
attachment to the document. Documents in a language other than English
must be accompanied by an attachment giving an accurate English
translation, either made by a translating service or certified by the
applicant to be correct. Explanations or translations should be provided
on a separate piece of paper, and not entered on the support documents
themselves.
(2) Responsibility for full disclosure. (i) The license application
covering the transaction discloses all facts pertaining to the
transaction. Information contained in a support document obtained after
submission of a license application and not submitted to BIS as
[[Page 123]]
part of the application cannot be construed as extending or expanding or
otherwise modifying the specific information supplied in a license
application or license issued by BIS. The authorizations contained in
the resulting license are not extended by information contained in the
support document regarding reexport from the country of destination,
transfer (in-country), or any other facts relative to the transaction
that are not reported on the license application.
(ii) Misrepresentations, either through failure to disclose facts,
concealing a material fact, or furnishing false information, may subject
responsible parties to administrative or criminal action by BIS.
(iii) In obtaining the required support document, the applicant is
not relieved of the responsibility for full disclosure of any other
information concerning the ultimate destination, end use, or end user of
which the applicant knows, even if inconsistent with the representations
made in the applicable support document. The applicant is responsible
for promptly notifying BIS of any change in the facts contained in the
support document that comes to the applicant's attention.
(e) Procedures for using support document with license application--
(1) Timing for obtaining support document. When a support document is
required for a license application in Sec. Sec. 748.10, 748.11, and
748.12, license applicants may submit the application prior to receipt
of a copy of the support document, unless BIS informs the applicant that
the support document must be submitted with the application. However, if
the license is granted, items authorized on the license may not be
exported, reexported, or transferred (in-country) until the license
holder obtains a copy of the support document. The documents issued by
the Government of the Hong Kong Special Administrative region that are
required pursuant to Sec. 748.13 are not used to evaluate license
applications. They must be obtained before shipment and need not be
obtained before submitting a license application.
(2) Information necessary for license application. When a support
document is required for a license application, applicants should mark
the appropriate box in Block 7, regardless of whether a copy of the
support document is on file with the applicant at the time of
submission.
(f) Recordkeeping provisions. License applicants must retain on file
the original or a copy of any support document issued in support of a
license application submitted to BIS. All recordkeeping provisions in
part 762 of the EAR apply to this requirement.
(g) Effect on license application review. BIS reserves the right in
all respects to determine to what extent any license will be issued
covering items for which a support document has been issued. If a
support document was issued by a foreign government, BIS will not seek
or undertake to give consideration to recommendations from the foreign
government as to the action to be taken on a license application. A
support document will be only one of the factors upon which BIS will
base its licensing action, since end uses and other considerations are
important factors in the decision making process.
(h) Grace period for complying with requirements following
regulatory change. (1) Whenever the requirement for a PRC End-User
Statement, Statement by Ultimate Consignee or Purchaser, or Firearms
Convention Import Certificate is imposed or extended by a change in the
regulations, the license application need not conform to the new support
documentation requirements for a period of 45 days after the effective
date of the regulatory change published in the Federal Register.
(2) License applications filed during the 45-day grace period may
require the submission of evidence available to the applicant that will
support representations concerning the ultimate consignee, ultimate
destination, and end use, such as copies of the order, letters of
credit, correspondence between the applicant and ultimate consignee, or
other documents received from the ultimate consignee. If such evidence
is required, applicants must also identify the regulatory change
(including its effective date) that justifies exercise of the 45-day
grace period.
[80 FR 13217, Mar. 13, 2015, as amended at 80 FR 51730, Aug. 26, 2015;
81 FR 64676, Sept. 20, 2016; 82 FR 6218, Jan. 19, 2017]
[[Page 124]]
Sec. 748.10 People's Republic of China (PRC) End-User Statement.
(a) Requirement to obtain document. Unless the provisions of Sec.
748.9(c) or Sec. 748.11(a)(2) apply, a PRC End-User Statement is
required for license applications including any of the following
commodities destined for the PRC:
(1) Cameras classified under ECCN 6A003 requiring a license to the
PRC for any reason, and the value of such cameras exceeds $5,000;
(2) Computers requiring a license to the PRC for any reason,
regardless of the value of the computers; or
(3) Any commodity(ies) requiring a license to the PRC for any reason
on the Commerce Control List, and the total value of such commodity(ies)
requiring a license exceeds $50,000.
Note 1 to paragraph (a): If an order meets the commodity(ies) and
value requirements listed above, then a PRC End-User Statement is
required. An order may not be split into multiple license applications
solely to avoid a requirement to obtain a PRC End-User Statement.
Note 2 to paragraph (a): If an order includes both items that do
require a license to the PRC and items that do not require a license to
the PRC, the value of the latter items should not be factored into the
value thresholds described above. Also, if a license application
includes 6A003 cameras and other items requiring a license to the PRC,
then the value of the 6A003 cameras should be factored into the value
threshold described in paragraph (a)(3).
Note 3 to paragraph (a): See Sec. 748.11(a)(2) for permissive use
of a Statement by Ultimate Consignee and Purchaser in place of a PRC
End-User Statement.
Note 4 to paragraph (a): On a case-by-case basis, BIS may require
license applicants to obtain a PRC End-User Statement for a license
application that would not otherwise require a PRC End-User Statement
under the requirements of paragraph (a) of this section.
Note 5 to paragraph (a): This requirement to obtain an end-user
statement from the PRC Ministry of Commerce does not apply to
transactions destined to the PRC Special Administrative Region of Hong
Kong.
(b) Obtaining the document. (1) If a PRC End-User Statement is
required for any reason under paragraph (a) of this section, then
applicants must request that the importer obtain a PRC End-User
Statement for all items on a license application that require a license
to the PRC for any reason listed on the CCL.
(2) PRC End-User Statements are issued and administered by the
Ministry of Commerce; Department of Mechanic, Electronic and High
Technology Industries; Export Control Division I; Chang An Jie No. 2;
Beijing 100731 China; Phone: (86)(10) 6519 7366 or 6519 7390; Fax:
(86)(10) 6519 7543; http://zzyhzm.mofcom.gov.cn/. See the BIS Web site
(www.bis.doc.gov) for the current contact information.
(c) Content of the document. (1) The license applicant's name must
appear on the PRC End-User Statement submitted to BIS as the applicant,
supplier, or order party.
(2) License applicants must ensure that the following information is
included on the PRC End-User Statement signed by an official of the
Department of Mechanic, Electronic and High Technology Industries,
Export Control Division I, of the PRC Ministry of Commerce (MOFCOM),
with MOFCOM's seal affixed to it:
(i) Title of contract and contract number (optional);
(ii) Names of importer and exporter;
(iii) End user and end use;
(iv) Description of the commodity, quantity and dollar value; and
(v) Signature of the importer and date.
Note to paragraph (c): The license applicant should furnish the
consignee with the commodity description contained in the CCL to be used
in applying for the PRC End-User Statement. It is also advisable to
furnish a manufacturer's catalog, brochure, or technical specifications
if the commodity is new.
(d) Procedures for using document with license application--(1)
Using a PRC End-User Statement for multiple applications. A PRC End-User
Statement may cover more than one purchase order and more than one item.
Where the Statement includes items for which more than one license
application will be submitted, the applicant should ensure that the
total quantities on the license application(s) do not exceed the total
quantities shown on the PRC End-User Statement.
(2) Alterations. After a PRC End-User Statement is issued by the
Government of the People's Republic of China, no corrections, additions,
or alterations
[[Page 125]]
may be made on the certificate by any person. Any necessary corrections,
additions, or alterations should be noted by the applicant in a separate
statement on file with the applicant.
(3) Validity period. A PRC End-User Statement is valid until the
quantities of items identified on the Statement have been shipped.
[80 FR 13218, Mar. 13, 2015, as amended at 85 FR 83792, Dec. 23, 2020]
Sec. 748.11 Statement by Ultimate Consignee and Purchaser.
(a) Requirement to obtain document--(1) General requirement for all
countries excluding the People's Republic of China (PRC). Unless an
exception in Sec. 748.9(c) or paragraph (a)(3) of this section applies,
a Statement by Ultimate Consignee and Purchaser is required if the
license application includes ``600 Series Major Defense Equipment'' (600
series MDE) requiring a license for any reason on the Commerce Control
List and such items are destined for a country other than the PRC.
(2) Permissive substitute of Statement by Ultimate Consignee and
Purchaser in place of PRC End-User Statement. The requirement to obtain
a support document for license applications involving the PRC is
generally determined by Sec. 748.10(a) of the EAR. However, a Statement
by Ultimate Consignee and Purchaser may be substituted in place of a PRC
End-User Statement when the commodities to be exported (i.e.,
replacement parts and components) are valued at $75,000 or less and are
for servicing previously exported commodities.
(3) Exception to general requirement. The general requirement
described in paragraph (a)(1) of this section does not apply if the
applicant is the same person as the ultimate consignee, provided the
required statements are contained in Block 24 on the license
application. This exemption does not apply, however, where the applicant
and consignee are separate entities, such as parent and subsidiary, or
affiliated or associated firms.
Note 1 to paragraph (a): An order may not be split into multiple
license applications solely to avoid a requirement to obtain a Statement
by Ultimate Consignee and Purchaser.
Note 2 to paragraph (a): On a case-by-case basis, BIS may require
license applicants to obtain a Statement by Ultimate Consignee and
Purchaser for a license application that would not otherwise require a
Statement by Ultimate Consignee and Purchaser under the requirements of
paragraph (a) of this section.
(b) Obtaining the document. (1) The ultimate consignee and purchaser
must complete either a statement on company letterhead, or Form BIS-711,
Statement by Ultimate Consignee and Purchaser, as described in paragraph
(c) of this section. Unless otherwise specified, any reference in this
section to ``Statement by Ultimate Consignee and Purchaser'' applies to
both the statement on company letterhead and to Form BIS-711.
(2) If the consignee and purchaser elect to complete the statement
on letterhead and both the ultimate consignee and purchaser are the same
entity, only one statement is necessary.
(3) If the ultimate consignee and purchaser are separate entities,
separate statements must be prepared and signed.
(4) If the ultimate consignee and purchaser elect to complete Form
BIS-711, only one Form BIS-711 (containing the signatures of the
ultimate consignee and purchaser) need be completed.
(5) Whether the ultimate consignee and purchaser sign a written
statement or complete Form BIS-711, the following constraints apply:
(i) Responsible officials representing the ultimate consignee or
purchaser must sign the statement. ``Responsible official'' is defined
as someone with personal knowledge of the information included in the
statement, and authority to bind the ultimate consignee or purchaser for
whom they sign, and who has the power and authority to control the use
and disposition of the licensed items.
(ii) The authority to sign the statement may not be delegated to any
person (agent, employee, or other) whose authority to sign is not
inherent in his or her official position with the ultimate consignee or
purchaser for whom he or she signs. The signing official may be located
in the United States or in a foreign country. The official title of the
person signing the statement must also be included.
[[Page 126]]
(iii) The consignee and/or purchaser must submit information that is
true and correct to the best of their knowledge and must promptly send a
new statement to the applicant if changes in the facts or intentions
contained in their statement(s) occur after the statement(s) have been
forwarded to the applicant. Once a statement has been signed, no
corrections, additions, or alterations may be made. If a signed
statement is incomplete or incorrect in any respect, a new statement
must be prepared, signed and forwarded to the applicant.
(c) Content of the document. See supplement no. 3 to this part for
the information necessary to complete a statement on company letterhead
or on Form BIS-711.
(d) Procedures for using document with license application--(1)
Validity period. (i) If a Statement by Ultimate Consignee and Purchaser
is obtained prior to submission of the license application and the
Statement is required to support one or more license applications, an
applicant must submit the first license application within one year from
the date the statement was signed.
(ii) All subsequent license applications supported by the same
Statement by Ultimate Consignee and Purchaser must be submitted within
four years of signature by the consignee or purchaser, whichever was
last.
(2) [Reserved]
[80 FR 13219, Mar. 13, 2015]
Sec. 748.12 Firearms import certificate or import permit.
License applications for certain firearms and related commodities
require support documents in accordance with this section.
(a) Requirement to obtain and submit documentation. Unless an
exception in Sec. 748.9(c) applies, an import certificate or permit is
required for license applications for firearms and related commodities,
regardless of value, if required by the importing country. For OAS
member states, this requirement is consistent with the OAS Model
Regulations described in Sec. 742.17 of the EAR. The exporter or
reexporter must obtain and submit with the license application the
original or a copy of the import certificate or permit before applying
for an export or reexport license in situations in which an import
certificate or permit is required by the importing country.
(1) Items subject to requirement. Firearms and related commodities
are those commodities controlled under 0x5zz ECCNs.
(2) Countries subject to requirement. (i) OAS member countries
include: Antigua and Barbuda, Argentina, Bahamas, Barbados, Belize,
Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica,
Dominican Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana,
Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru,
Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines,
Suriname, Trinidad and Tobago, Uruguay, Venezuela, and any member
country that has acceded in accordance with Chapter III of the Charter
of the Organization of American States.
(ii) All other countries that require an import certificate or
permit.
(3) Equivalent official document in place of an import certificate
or permit. For those countries that have not yet established or
implemented an import certificate procedure, BIS will accept an
equivalent official document (e.g., import license or letter of
authorization) issued by the government of the importing country as
supporting documentation for the export of commodities detailed under
paragraph (a)(1) of this section.
(b) Obtaining the document. (1) Applicants must request that the
importer (e.g., ultimate consignee or purchaser) obtain the import
certificate, permit, or an equivalent official document from the
government of the importing country, and that it be issued covering the
quantities and types of firearms and related items that the applicant
intends to export. Upon receipt of this document or a certified copy,
the importer must provide the original or a certified copy to the
license applicant.
(2) If the government of the importing country will not issue such
document, the applicant must supply the information described in
paragraphs (c)(1) and (c)(6) through (c)(8) of this section on company
letterhead.
[[Page 127]]
(c) Content of the document. The document must contain the following
information:
(1) Applicant's name and address. The applicant may be either the
exporter, supplier, or order party.
(2) Import Certificate Identifier/Number.
(3) Name of the country issuing the certificate or unique country
code.
(4) Date the document was issued, in international date format
(e.g., 24/12/12 for 24 December 2012, or 3/1/99 for 3 January 1999).
(5) Name of the agency issuing the certificate, address, telephone
and facsimile numbers, signing officer name, and signature.
(6) Name of the importer, address, telephone and facsimile numbers,
country of residence, representative's name if commercial or government
body, citizenship, and signature.
(7) Name of the end user(s), if known and different from the
importer, address, telephone and facsimile numbers, country of
residence, representative's name if commercial (authorized distributor
or reseller) or government body, citizenship, and signature. Note that
BIS does not require the identification of each end user when the
firearms and related commodities will be resold by a distributor or
reseller if unknown at the time of export.
(8) Description of the commodities approved for import including a
technical description and total quantity of firearms, parts and
components, ammunition and parts.
Note 1 to paragraph (c)(8): You must furnish the consignee with a
detailed technical description of each commodity to be given to the
government for its use in issuing the document. For example, for
shotguns, provide the type, barrel length, overall length, number of
shots, the manufacturer's name, and the country of manufacture. For
ammunition, provide the caliber, velocity and force, type of bullet,
manufacturer's name and country of manufacture.
(9) Expiration date of the document in international date format
(e.g., 24/12/12) or the date the items must be imported, whichever is
earlier.
(10) Name of the country of export (i.e., United States).
(11) Additional information. Certain countries may require the
tariff classification number, by class, under the Brussels Convention
(Harmonized Tariff Code) or the specific technical description of a
commodity. For example, shotguns may need to be described in barrel
length, overall length, number of shots, manufacturer's name and country
of manufacture. The technical description is not the Export Control
Classification Number (ECCN).
(d) Procedures for using document with license application--(1)
Information necessary for license application. The license application
must include the same commodities as those listed on the document.
(2) Alterations. After the document is used to support the issuance
of a license, no corrections, additions, or alterations may be made on
the same document by any person. Any necessary corrections, additions,
or alterations should be noted by the applicant in a separate statement
on file with the applicant.
(3) Validity period. Documents issued by the importing country will
be valid until the expiration date on the documents themselves.
Note 2 to paragraph (d)(3): Applicants for license applications for
exports and reexports must submit an import certificate, permit, or
comparable document with the license application. All BIS licenses for
ECCNs 0A501, 0A505, 0A506, 0A507, 0A508, and 0A509 commodities will
include a standard rider that requires that the applicant/exporter must
have a current FC Import Certificate on file prior to export. The text
of the standard rider will generally be as follows: ``A current,
complete, accurate and valid Firearms Convention (FC) Import Certificate
(or equivalent official document) shall be obtained, if required by the
government of the importing country, from the Ultimate Consignee and
maintained in the exporter's file prior to any export of the item(s)
listed on this license. A copy shall be provided to the U.S. Government
upon request. (Refer to Sec. 742.17(b) of the EAR for guidance.)''
(e) Requirement to obtain an import certificate or permit for other
than OAS member states. If the country to which firearms, parts,
components, accessories, and attachments controlled under ECCN 0A501, or
ammunition controlled under ECCN 0A505, are being exported or reexported
requires that a government-issued certificate or permit be obtained
prior to importing the commodity, the exporter or reexporter must obtain
and retain on file the
[[Page 128]]
original or a copy of that certificate or permit before applying for an
export or reexport license unless:
(1) A license is not required for the export or reexport; or
(2) The exporter is required to obtain an import or end-user
certificate or other equivalent official document pursuant to paragraphs
(a) thorough (d) of this section and has, in fact, complied with that
requirement.
(3)(i) The number or other identifying information of the import
certificate or permit must be stated on the license application.
(ii) If the country to which the commodities are being exported does
not require an import certificate or permit for firearms imports, that
fact must be noted on any license application for ECCN 0A501 or 0A505
commodities.
Note 3 to paragraph (e)(3): Applicants for license applications for
exports and reexports to countries requiring that a government-issued
certificate or permit be obtained prior to importing the commodity must
have the initial government-issued certificate or permit prior to any
export. All BIS licenses for ECCNs 0A501 and 0A505 commodities will
include a standard rider that requires that the applicant/exporter have
a government-issued certificate or permit on file prior to export. Note
that while government-issued certificates or permits are usually valid
for 1 year, BIS licenses are valid for 4 years. The text of the standard
rider will generally be as follows: ``A current, complete, accurate and
valid Firearms Convention (FC) Import Certificate (or equivalent
official document) shall be obtained, if required by the government of
the importing country, from the Ultimate Consignee and maintained in the
Exporter's file prior to any export of the item(s) listed on this
license. A copy shall be provided to the U.S. Government upon request.
(Refer to Sec. 742.17(b) of the EAR for guidance.)''
Note 4 to paragraph (e)(3): Obtaining a BIS Statement by Ultimate
Consignee and Purchaser pursuant to Sec. 748.11 does not exempt the
exporter or reexporter from the requirement to obtain a certification
pursuant to paragraph (a) of this section because that statement is not
issued by a government.
[80 FR 13219, Mar. 13, 2015, as amended at 85 FR 4177, Jan. 23, 2020; 86
FR 46594, Aug. 19, 2021; 89 FR 34706, Apr. 30, 2024]
Sec. 748.13 Hong Kong import and export licenses.
(a) Requirement to obtain the document--(1) Exports and reexports to
Hong Kong. An exporter or reexporter must obtain the documents described
in paragraph (a)(1)(i) or (a)(1)(ii) of this section before using a
license issued by BIS to export or reexport to Hong Kong any item
subject to the EAR and controlled on the CCL for NS, MT, NP column 1, or
CB reasons. Collectively, the documents issued by Hong Kong must cover
all of the items to be exported or reexported pursuant to a license.
(i) A copy of an import license issued to the Hong Kong importer by
the Government of the Hong Kong Special Administrative Region, pursuant
to the Hong Kong Import and Export (Strategic Commodities) Regulations,
that covers the items to be exported or reexported pursuant to that BIS
license for which a Hong Kong import license is required and that is
valid on the date of the export or reexport that is subject to the EAR;
or
(ii) A copy of a written statement issued by the Government of the
Hong Kong Special Administrative Region that no import license is
required to import into Hong Kong the item(s) to be exported or
reexported to Hong Kong. The statement may have been issued directly to
the Hong Kong importer or it may be a written statement available to the
general public. The statement may be used for more than one export or
reexport to Hong Kong so long as it remains an accurate statement of
Hong Kong law.
(2) Reexports from Hong Kong. No license issued by BIS may be used
to reexport from Hong Kong any item subject to the EAR controlled on the
CCL for NS, MT, NP column 1, and/or CB reasons unless the reexporter has
received either:
(i) An export license issued by the Government of the Hong Kong
Special Administrative Region, pursuant to the Hong Kong Import and
Export (Strategic Commodities) Regulations, that covers all items to be
rexported pursuant to that BIS license for which a Hong Kong export
license is required and that is valid on the date of the reexport that
is subject to the EAR; or
(ii) A copy of a written statement issued by the Government of the
Hong Kong Special Administrative Region that no export license is
required from
[[Page 129]]
Hong Kong for the item(s) to be reexported. The statement may have been
issued directly to the Hong Kong reexporter or it may be a written
statement available to the general public. The statement may be used for
more than one reexport from Hong Kong so long as it remains an accurate
statement of Hong Kong law.
(b) Recordkeeping. The documents required to be obtained by
paragraph (a) of this section must be retained and made available to the
U.S. Government upon request in accordance with part 762 of the EAR.
[82 FR 6218, Jan. 19, 2017]
Sec. 748.14 Granting of exceptions to the support documentation
requirements.
(a) Overview. A request for an exception to obtaining the required
support documentation will be considered by BIS; however, an exception
will not be granted contrary to the objectives of the U.S. export
control program. A request for exception may involve either a single
transaction or, where the reason necessitating the request is continuing
in nature, multiple transactions. If satisfied by the evidence
presented, BIS may waive the support document requirement and accept the
license application for processing.
(b) Procedure for requesting an exception. The request for an
exception must be submitted with the license application to which the
request relates, and the reason(s) for requesting the exception must be
described in Block 24 or referred to in Block 24. Where the request
relates to more than one license application, it should be submitted
with the first license application and referred to in Block 24 on any
subsequent license application.
(c) Action by BIS--(1) Single transaction request. Where a single
transaction is involved, BIS will act on the request for exception at
the same time as the license application with which the request is
submitted. In those instances where the related license application is
approved, the issuance of the license will serve as an automatic notice
to the applicant that the exception was approved. If any restrictions
are placed on granting of the exception, these will appear on the
approval. If the request for exception is not approved, BIS will advise
the applicant.
(2) Multiple transactions request. Where multiple transactions are
involved, BIS will advise the applicant of the action taken on the
exception request. The response from BIS will contain any conditions or
restrictions that BIS finds necessary to impose (including an exception
termination date if appropriate). In addition, a written acceptance of
these conditions or restrictions may be required from the parties to the
transaction.
[80 FR 13220, Mar. 13, 2015. Redesignated at 82 FR 6218, Jan. 19, 2017]
Sec. 748.15 Authorization Validated End-User (VEU).
Authorization Validated End-user (VEU) includes two types of VEUs:
General VEU Authorization and Data Center VEU Authorization. General VEU
Authorizations permit the export, reexport, and transfer to validated
end-users of any eligible items that will be used in a specific eligible
destination. Data Center VEU Authorizations permit the export and
reexport to validated end-users of any eligible items that will be used
in specific data centers. In country transfers are not permitted under
Data Center VEU Authorization unless the transfer (in-country) is to a
VEU authorized location by the same VEU. Reexports by a VEU require
separate authorization. Validated end-users are those who have been
previously approved by BIS pursuant to the requirements of this section.
To be eligible for authorization VEU, exporters, reexporters, and
validated end-user applicants must adhere to the conditions and
restrictions set forth in paragraphs (a) through (f) of this section. If
a request for VEU authorization for a particular end-user is not
granted, no new license requirement is triggered. In addition, such a
result does not render the end-user ineligible for license approvals
from BIS.
(a)(1) Eligible end-users for General VEU Authorizations and Data
Center VEU Authorizations. The only end-users to whom eligible items may
be exported, reexported, or transferred under a General VEU
Authorization or exported or reexported under a Data Center VEU
Authorization are those
[[Page 130]]
validated end-users identified in supplement no. 7 to part 748,
according to the provisions in this section and those set forth in
supplement nos. 8 and 9 to this part that have been granted VEU status
by the End-User Review Committee (ERC) according to the process set
forth in supplement no. 9 to this part.
(2) Requests for authorizations. To apply for a General VEU
Authorizations or Data Center VEU Authorization requests for
authorization must be submitted in the form of an advisory opinion
request, as described in Sec. 748.3(c), and must include a list of
items (items for purposes of authorization VEU include commodities,
software and technology, except as excluded by paragraph (c) of this
section), identified by ECCN, that exporters or reexporters intend to
export, reexport or transfer to an eligible end-user, once approved. To
ensure a thorough review, requests for VEU authorization must include
the information described in supplement no. 8 to this part. Requests for
authorization will be accepted from exporters, reexporters, or end-
users. Submit the request to: The Office of Exporter Services, Bureau of
Industry and Security, U.S. Department of Commerce, 14th Street and
Pennsylvania Avenue NW, Room 2099B, Washington, DC 20230. Mark the
package ``Request for [insert either ``General'' or ``Data Center,'' as
appropriate] Authorization Validated End-user.''
(3) Conditions and Restrictions. In evaluating an end user for
eligibility under authorization VEU, the ERC will consider a range of
information, including but not limited to such factors as: the end
user's record of exclusive engagement in appropriate end-use activities;
the end user's compliance with U.S. export controls; the need for an on-
site review prior to approval; the end user's capability of complying
with the requirements of authorization VEU, the ability of the end user
to guard against both the misuse and diversion of computing resources;
the end user's technology roadmap; the end user's technology control
plan; the end user's agreement to on-site reviews by representatives of
the U.S. Government to ensure adherence to the conditions of the VEU
authorization; and the end user's relationships with U.S. and foreign
companies. In addition, when evaluating the eligibility of an end user,
the ERC will consider the status of the eligible destination country's
export controls and the support and adherence to multilateral export
control regimes of the government of the eligible destination.
(4) VEU Status. The VEU authorization is subject to revision,
suspension, or revocation entirely or in part.
(5) Continuing Representations. Information submitted in a VEU
request is deemed to constitute continuing representations of existing
facts or circumstances. Any material or substantive change relating to
the authorization must be promptly reported to BIS, whether VEU
authorization has been granted or is still under consideration.
(b) Eligible destinations--(1) General VEU Authorizations. General
VEU Authorizations may be used for the following destinations:
(i) The People's Republic of China.
(ii) India.
(2) Data Center VEU Authorizations. Data Center VEU Authorizations
may be used for any destination for which a license is required for ECCN
3A090, 4A090 items, and .z items in Categories 3, 4, and 5, except for
destinations in Country Groups D:5 countries.
(c) Item restrictions. (1) Items controlled under the EAR for
missile technology (MT) and crime control (CC) reasons may not be
exported or reexported under General or Data Center VEU Authorizations.
(2) Eligible items for Data Center VEU Authorizations are all those
items on the Commerce Control List, that require a license to the
destination excluding ``600 series'' items, and are necessary for a data
center.
(d) End-use restrictions--(1) General VEU Authorizations. Items
obtained under General VEU Authorizations in China may be used only for
civil end uses and may not be used for any activities described in part
744 of the EAR. The restrictions of Sec. Sec. 744.6(c)(2)(i) through
(iii) and 744.23(a)(1) and (a)(2) of the EAR do not apply to VEUs
identified in supplement no. 7 to part 748 as excluded from Sec. Sec.
744.6(c)(2)(i) through (iii) and 744.23(a)(1) and (a)(2) of the
[[Page 131]]
EAR. Items obtained under General VEU Authorizations in India may be
used for either civil or military end uses and may not be used for any
activities described in part 744 of the EAR. Exports, reexports, or
transfers made under authorization VEU may be made to an end user listed
in supplement No. 7 to this part only if the items will be consigned to
and for use by the validated end user. Eligible end-users who obtain
items under VEU may only:
(i) Use such items at the end-user's own facility located in an
eligible destination or at a facility located in an eligible destination
over which the end-user demonstrates effective control;
(ii) Consume such items during use; or
(iii) Transfer or reexport such items only as authorized by BIS.
(2) Data Center VEU Authorizations. Items obtained under Data Center
VEU Authorizations may not be used for any activities described in part
744 of the EAR. Eligible validated end users who obtain items under VEU
may only:
(i) Use such items at the end user's own facility located in an
authorized destination;
(ii) Consume such items during use; or
(iii) Reexport such items by a Data Center VEU is permitted only as
specifically authorized by BIS. In country transfers are not permitted
under Data Center VEU Authorization unless the transfer (in-country) is
to a VEU authorized location by the same VEU.
Note 1 to paragraph (d): Authorizations set forth in supplement no.
7 to this part are country-specific. Authorization as a validated end-
user for one country specified in paragraph (b) of this section does not
constitute authorization as a validated end-user for any other country
specified in that paragraph.
(e) Certification and recordkeeping. Prior to an initial export or
reexport to a validated end-user under General or Data Center VEU
Authorization, exporters or reexporters must obtain certifications from
the validated end-user regarding end-use and compliance with VEU
requirements. Such certifications must include the contents set forth in
supplement no. 8 to this part. Certifications and all records relating
to VEU must be retained by exporters or reexporters in accordance with
the recordkeeping requirements set forth in part 762 of the EAR.
(f) Reporting and review requirements--(1) Reports. (i) Reexport
Information Required for both Types of VEU Authorizations. Reexporters
who make use of General VEU Authorizations are required to submit annual
reports to BIS. Reexporters who make use of Data Center VEU
Authorizations are required to submit semi-annual reports to BIS. For
either authorization, reexporters must include, for each validated end
user to whom the exporter or reexporter exported or reexported eligible
items:
(A) The name and address of each validated end-user to whom eligible
items were reexported;
(B) The eligible destination to which the items were reexported;
(C) The quantity of such items;
(D) The value of such items; and
(E) The ECCN(s) of such items.
(ii) End User Reports for Data Center VEU Authorizations. End users
who make use of Data Center VEU Authorizations must submit reports to
BIS semi-annually. End users must submit the following information,
including, as appropriate:
(A) A record of current inventory of eligible items received;
(B) Dates of when eligible items were received and by whom;
(C) A description of how current compute is being utilized; and
(D) A list of current customers with a description of their
utilization.
(iii) Deadlines. For reexporters making use of General VEU
Authorization, reports are due by February 15 of each year, and must
cover the period of January 1 through December 31 of the prior year. For
reexporters and end users making use of Data Center VEU Authorization,
reports are due semiannually:
(1) The first report is due July 15 of each year and must cover the
period of January 1 through June 30;
(2) The second report is due January 15 and must cover the period
from June 30 to December 31 of the previous year.
[[Page 132]]
(iii) Reports must be sent to: Office of Exporter Services, Bureau
of Industry and Security, U.S. Department of Commerce, 14th Street and
Constitution Avenue NW, Room 2099B, Washington, DC 20230. Mark the
package ``General Authorization Validated End-User Report'' or ``Data
Center Authorization Validated End-user Report.''
(2) Reviews. Records related to activities covered by General or
Data Center VEU Authorizations that are maintained by exporters,
reexporters, transferors, and validated end-users who make use of
authorization VEU will be reviewed on a periodic basis. Upon request by
BIS, exporters, reexporters, transferors, and validated end-users must
allow review of records, including on-site reviews covering the
information set forth in paragraphs (e) and (f)(1) of this section.
(g) Notification requirement. Exporters and reexporters shipping
under General or Data Center VEU Authorizations and persons transferring
(in-country) under General VEU Authorization are required to provide the
VEUs to which they are shipping or transferring notice of the shipment
or transfer. Such notification must be conveyed to the VEU in writing
and must include a list of the VEU-authorized contents of the shipment
or transfer and a list of the ECCNs under which the VEU-authorized items
in the shipment or transfer are classified, as well as a statement that
the items are being, will be, or were shipped or transferred pursuant to
relevant VEU Authorization. Notification of the export, reexport or
transfer (in-country) to the VEU must be made within a timeframe agreed
to in writing by the VEU and the person exporting, reexporting or
transferring (in-country). The VEU and the person exporting, reexporting
or transferring (in-country) must agree to the notification timeframe
prior to the initial shipment or transfer under the VEU Authorizations.
Depending on the agreement between the VEU and the person exporting,
reexporting or transferring (in-country), a notification may be for
individual shipments or for multiple shipments. Exporters, reexporters
and VEUs are required to maintain the notifications they send or receive
in accordance with their recordkeeping requirements.
(h) Termination of Conditions on VEU Authorizations. VEUs that are
subject to item-specific conditions and have received items subject to
such conditions under General or Data Center VEU Authorizations are no
longer bound by the conditions associated with the items if the items no
longer require a license for export or reexport to the PRC, India, or
data center location, as applicable, or become eligible for shipment
under a license exception to the destination. Items that become eligible
for a license exception are subject to the terms and conditions of the
applicable license exception and the restrictions in Sec. 740.2 of the
EAR. Items that become eligible for export without a license and that
remain subject to the EAR may only be exported, reexported, transferred
(in-country) or disposed of in accordance with the requirements of the
EAR. Termination of VEU conditions does not relieve a validated end-user
of its responsibility for violations that occurred prior to the
availability of a license exception or prior to the removal of license
requirements.
(i) Records. Records of items that were shipped under General or
Data Center VEU Authorizations prior to the removal of a license
requirement or the availability of a license exception remain subject to
the review requirements of paragraph (f)(2) of this section on and after
the date that the license requirement was removed or the license
exception became applicable.
[89 FR 80083, Oct. 2, 2024]
Sec. Supplement No. 1 to Part 748--BIS-748P, BIS-748P-A; Item Appendix,
and BIS-748P-B; End-User Appendix; Multipurpose Application Instructions
All information must be legibly typed within the lines for each
Block or Box, except where a signature is required. Enter only one typed
line of text per Block or line. Where there is a choice of entering
telephone numbers or facsimile numbers, and you wish to provide a
facsimile number instead of a telephone number, identify the facsimile
number with the letter ``F'' immediately after the number (e.g., 022-
358-0-123456F). If you are completing this form to request
classification of your item, you must complete
[[Page 133]]
Blocks 1 through 5, 14, 22 (a), (b), (c), (d), and (i), 24, and 25 only.
Block 1: Contact Person. Enter the name of the person who can answer
questions concerning the application.
Block 2: Telephone. Enter the telephone number of the person who can
answer questions concerning the application.
Block 3: Facsimile. Enter the facsimile number, if available, of the
person who can answer questions concerning the application.
Block 4: Date of Application. Enter the current date.
Block 5: Type of Application. Export. If the items are located
within the United States, and you wish to export those items, mark the
Box labeled ``Export'' with an (X). Reexport. If the items are located
outside the United States, mark the Box labeled ``Reexport'' with an
(X).
Classification. If you are requesting BIS to classify your item
against the Commerce Control List (CCL), mark the Box labeled
``Classification Request'' with an (X). If you are submitting a License
Exception STA eligibility request pursuant to Sec. 740.20(g), mark the
box labeled ``Export'' with an (X) and then proceed to Block 6 of this
supplement for instructions specific to such requests.
Block 6: Documents submitted with Application. Review the
documentation you are required to submit with your application in
accordance with the provisions of part 748 of the EAR, and mark all
applicable Boxes with an (X).
Mark the Box ``Foreign Availability'' with an (X) if you are
submitting an assertion of foreign availability with your license
application. See part 768 of the EAR for instructions on foreign
availability submissions.
If you are not making a foreign availability assertion under part
768 of the EAR, you may still mark the box ``Foreign Availability'' with
an (X), if you are submitting an assertion of foreign availability with
your license application. Foreign availability assertions covered under
part 768 are limited to items controlled for national security reasons.
However, if an applicant intends to include foreign availability support
material for items not controlled for national security reasons,
applicants are permitted to do this as part of the license application
by marking the box ``Foreign Availability'' with an (X) and including
the foreign availability information, along with the support material
for the license application. Applicants must clearly label this support
material as ``Foreign availability information--outside the scope of
part 768''. Although this information is outside the scope of part 768,
applicants should still use supplement no. 1 to part 768 for general
guidance regarding what types of information may be suitable for
demonstrating foreign availability. The purpose of submitting this type
of foreign availability information will be to make the U.S. Government
more aware of the foreign availability of items not controlled for
national security reasons.
Mark the ``Tech. Specs.'' box with an (X) if you are submitting
descriptive literature, brochures, technical specifications, etc. with
your application. Mark the ``Other'' box with an (X) and insert the
phrase ``STA request'' for the description of the support document to
submit a request for License Exception STA eligibility pursuant to Sec.
740.20(g). (See supplement no. 2 to part 748 under paragraph (w) for
unique application and submission requirements for License Exception STA
eligibility requests described under this Block 6.)
Block 7: Documents on File with Applicant. Certify that you have
retained on file all applicable documents as required by the provisions
of part 748 by placing an (X) in the appropriate Box(es).
Block 8: [Reserved]
Block 9: Special Purpose. Complete this block for certain items or
types of transactions only if specifically required in supplement no. 2
to this part.
Block 10: Resubmission Application Control Number. If your original
application was returned without action (RWA), provide the Application
Control Number. This does not apply to applications returned without
being registered.
Block 11: Replacement License Number. If you have received a license
for identical items to the same ultimate consignee, but would like to
make a modification that is not excepted in Sec. 750.7(c) of the EAR,
to the license as originally approved, enter the original license number
and complete Blocks 12 through 25, where applicable. Include a statement
in Block 24 regarding what changes you wish to make to the original
license.
Block 12: Items Previously Exported. This Block should be completed
only if you have marked the ``Reexport'' box in Block 5. Enter the
license number, License Exception symbol (for exports under General
Licenses, enter the appropriate General License symbol), or other
authorization under which the items were originally exported, if known.
Block 13: Import/End-User Certificate. Enter the name of the country
and number of the Import or End User Certificate obtained in accordance
with provisions of this part.
Block 14: Applicant. Enter the applicant's name, street address,
city, state/country, and postal code. Provide a complete street address.
P.O. Boxes are not acceptable. Refer to Sec. 748.5(a) of this part for
a definition of ``applicant''. If you have marked ``Export'' in Block 5,
you must include your company's Employer Identification Number unless
you are filing as an individual or as an agent on behalf of the
exporter. The Employee Identification Number is assigned by the Internal
[[Page 134]]
Revenue Service for tax identification purposes. Accordingly, you should
consult your company's financial officer or accounting division to
obtain this number.
Block 15: Other Party Authorized to Receive License. If you would
like BIS to transmit the approved license to another party designated by
you, complete all information in this Block, including name, street
address, city, country, postal code and telephone number. Leave this
space blank if the license is to be sent to the applicant. Designation
of another party to receive the license does not alter the
responsibilities of the applicant.
Block 16: Purchaser. Enter the purchaser's complete name, street
address, city, country, postal code, and telephone or facsimile number.
Refer to Sec. 748.5(c) of this part for a definition of ``purchaser''.
If the purchaser is also the ultimate consignee, enter the complete name
and address. If your proposed transaction does not involve a separate
purchaser, leave Block 16 blank.
Block 17: Intermediate consignee. Enter the intermediate consignee's
complete name, street address, city, country, postal code, and telephone
or facsimile number. Provide a complete street address, P.O. Boxes are
not acceptable. Refer to Sec. 748.5(d) of this part for a definition of
``intermediate consignee''. If this party is identical to that listed in
Block 16, enter the complete name and address. If your proposed
transaction does not involve use of an intermediate consignee, enter
``None''. If your proposed transaction involves more than one
intermediate consignee, provide the same information in Block 24 for
each additional intermediate consignee.
Block 18: Ultimate Consignee. This Block must be completed if you
are submitting a license application. Enter the ultimate consignee's
complete name, street address, city, country, postal code, and telephone
or facsimile number. Provide a complete street address, P.O. Boxes are
not acceptable. The ultimate consignee is the party who will actually
receive the item for the end-use designated in Block 21. Refer to Sec.
748.5(e) of this part for a definition of ``ultimate consignee''. A
bank, freight forwarder, forwarding agent, or other intermediary may not
be identified as the ultimate consignee. Government purchasing
organizations are the sole exception to this requirement. This type of
entity may be identified as the government entity that is the actual
ultimate consignee in those instances when the items are to be
transferred to the government entity that is the actual end-user,
provided the actual end-user and end-use is clearly identified in Block
21 or in the additional documentation attached to the application.
If your application is for the reexport of items previously
exported, enter the new ultimate consignee's complete name, street
address, city, country, postal code, and telephone or facsimile number.
Provide a complete street address, P.O. Boxes are not acceptable. If
your application involves a temporary export or reexport, the applicant
should be shown as the ultimate consignee in care of a person or entity
who will have control over the items abroad.
Block 19: End-User. Complete this Block only if the ultimate
consignee identified in Block 18 is not the actual end-user. If there
will be more than one end-user, use Form BIS-748P-B to identify each
additional end-user. Enter each end-user's complete name, street
address, city, country, postal code, and telephone or facsimile number.
Provide a complete street address, P.O. Boxes are not acceptable.
Block 20: Original Ultimate Consignee. If your application involves
the reexport of items previously exported, enter the original ultimate
consignee's complete name, street address, city, country, postal code,
and telephone or facsimile number. Provide a complete street address,
P.O. Boxes are not acceptable. The original ultimate consignee is the
entity identified in the original application for export as the ultimate
consignee or the party currently in possession of the items.
Block 21: Specific End-Use: This Block must be completed if you are
submitting a license application. Provide a complete and detailed
description of the end-use intended by the ultimate consignee and/or
end-user(s). If you are requesting approval of a reexport, provide a
complete and detailed description of the end-use intended by the new
ultimate consignee or end-user(s) and indicate any other countries for
which resale or reexport is requested. If additional space is necessary,
use Block 21 on Form BIS-748P-A or B. Be specific--vague descriptions
such as ``research'', ``manufacturing'', or ``scientific uses'' are not
acceptable.
Block 22: For a license application, you must complete each of the
sub-blocks contained in this Block. If you are submitting a
classification request, you need not complete Blocks (e), (f), (g), and
(h). If you wish to export, reexport, or have BIS classify more than one
item, use Form BIS-748P-A for additional items.
(a) ECCN. Enter the Export Control Classification Number (ECCN) that
corresponds to the item you wish to export or reexport. If you are
asking BIS to classify your item, provide a recommended classification
for the item in this Block.
(b) CTP. You must enter the ``Adjusted Peak Performance'' (``APP'')
in this Block if your application includes a digital computer or
equipment containing a computer as described in supplement no. 2 to this
part. Instructions on calculating the APP are contained in a Technical
Note at the end of Category 4 in the CCL.
[[Page 135]]
(c) Model Number. Enter the correct model number for the item.
(d) CCATS Number. If you have received a classification for this
item from BIS, provide the CCATS number shown on the classification
issued by BIS.
(e) Quantity. Identify the quantity to be exported or reexported, in
terms of the unit commonly used in the trade.
(f) Units. The unit of quantity used in Block 22(e) must be entered
on all license applications submitted to BIS. This Block may be left
blank on license applications for technology only.
(g) Unit Price. Provide the fair market value of the items you wish
to export or reexport. Round all prices to the nearest whole dollar
amount. Give the exact unit price only if the value is less than $0.50.
If normal trade practices make it impractical to establish a firm
contract price, state in Block 24 the precise terms upon which the price
is to be ascertained and from which the contract price may be
objectively determined.
(h) Total Price. Provide the total price of the item(s) described in
Block 22(j).
(i) Manufacturer. Provide the name only of the manufacturer, if
known, for each of the items you wish to export, reexport, or have BIS
classify, if different from the applicant.
(j) Technical Description. Provide a description of the item(s) you
wish to export, reexport, or have BIS classify. Provide details when
necessary to identify the specific item(s), include all characteristics
or parameters shown in the applicable ECCN using measurements identified
in the ECCN (e.g., basic ingredients, composition, electrical
parameters, size, gauge, grade, horsepower, etc.). These characteristics
must be identified for the items in the proposed transaction when they
are different than the characteristics described in promotional
brochure(s).
Block 23: Total Application Dollar Value. Enter the total value of
all items contained on the application in U.S. Dollars. The use of other
currencies is not acceptable.
Block 24: Additional Information. Enter additional data pertinent to
the application as required in the EAR. Include special certifications,
names of parties of interest not disclosed elsewhere, explanation of
documents attached, etc. Do not include information concerning Block 22
in this space.
If your application represents a previously denied application, you
must provide the Application Control Number from the original
application.
If you are requesting BIS to classify your product, use this space
to explain why you believe the ECCN entered in Block 22(a) is
appropriate. This explanation must contain an analysis of the item in
terms of the technical control parameters specified in the appropriate
ECCN. If you have not identified a recommended classification in Block
22(a), you must state the reason you cannot determine the appropriate
classification, identifying anything in the regulations that you believe
precluded you from determining the correct classification.
If additional space is necessary, use Block 24 on Form BIS-748P-A or
B.
This Block should be completed if your application includes a 9x515
or ``600 series'' item that is equivalent to a transaction previously
approved under an ITAR license or other approval. Enter the previous
State license number or other approval identifier in Block 24 of the BIS
license application. If more than one previous State license number or
other approval identifier is applicable, then enter the most recent one.
Only those license applications where the particulars of the EAR license
application are equivalent as previously authorized under the ITAR
license or other approval in regard to the description of the item
(including the item's function, performance capabilities, form and fit),
purchaser, ultimate consignee and end users on the license will receive
full consideration under this paragraph, which may result in a quicker
processing time. The classification of the 9x515 or ``600 series'' item
in question will no longer be the same because the item would no longer
be ``subject to the ITAR,'' but all other aspects of the description of
the item must be the same in order to be reviewed under this expedited
process under paragraph (x) of supplement no. 2 to part 748 of the EAR.
Block 25: You, as the applicant or duly authorized agent of the
applicant, must manually sign in this Block. Rubber-stamped or
electronic signatures are not acceptable. If you are an agent of the
applicant, in addition to providing your name and title in this Block,
you must enter your company's name in Block 24. Type both your name and
title in the space provided.
[61 FR 12812, Mar. 25, 1996, as amended at 62 FR 25462, May 9, 1997; 68
FR 35786, June 17, 2003; 71 FR 20886, Apr. 24, 2006; 73 FR 21036, Apr.
18, 2008; 75 FR 36500, June 25, 2010; 78 FR 22724, Apr. 16, 2013; 78 FR
61745, Oct. 3, 2013; 78 FR 61902, Oct. 4, 2013; 79 FR 27436, May 13,
2014; 80 FR 51730, Aug. 26, 2015; 81 FR 64676, Sept. 20, 2016]
Sec. Supplement No. 2 to Part 748--Unique Application and Submission
Requirements
In addition to the instructions contained in supplement no. 1 to
part 748, you must also ensure that the additional requirements for
certain items or types of transactions described in this supplement are
addressed in your license application. All other blocks not specifically
identified in this supplement must be completed in accordance with the
instructions contained in supplement no. 1
[[Page 136]]
to part 748. The term ``Block'' used in this supplement relates to Form
BIS-748P, unless otherwise noted.
(a) Chemicals, medicinals, and pharmaceuticals. If you are
submitting a license application for the export or reexport of
chemicals, medicinals, and/or pharmaceuticals, the following information
must be provided in Block 22.
(1) Facts relating to the grade, form, concentration, mixture(s), or
ingredients as may be necessary to identify the item accurately, and;
(2) The Chemical Abstract Service Registry (C.A.S.) numbers, if they
exist, must be identified.
(b) Communications intercepting devices. If you are required to
submit a license application under Sec. 742.13 of this part, you must
enter the words ``Communications Intercepting Device(s)'' in Block 9.
The item you are requesting to export or reexport must be specified by
name in Block 22(j).
(c) Computers, telecommunications, information security items, and
related equipment. If your license application includes items controlled
by both Category 4 and Category 5, your license application must be
submitted under Category 5 of the Commerce Control List (Sec. 774.1 of
the EAR)--see Category 5 Part 1 Notes 1 and 2 and Part 2 Note 1. License
applications including computers controlled by Category 4 must identify
an ``Adjusted Peak Performance'' (``APP'') in Block 22(b). If the
principal function is telecommunications, an APP is not required.
Computers, related equipment, or software performing telecommunication
or local area network functions will be evaluated against the
telecommunications performance characteristics of Category 5 Part 1,
while information security commodities, software and technology will be
evaluated against the information security performance characteristics
of Category 5 Part 2.
(1) Requirements for license applications that include computers. If
you are submitting a license application to export or reexport computers
or equipment containing computers to destinations in Country Group D:1
(See supplement no. 1 to part 740 of the EAR), or to upgrade existing
computer installations in those countries, you must also include
technical specifications and product brochures to corroborate the data
supplied in your license application, in addition to the APP in Block
22(b).
(2) Security Safeguard Plan requirement. The United States requires
security safeguards for exports, reexports, and transfers (in-country)
of High Performance Computers (HPCs) to ensure that they are used for
peaceful purposes. If you are submitting a license application for an
export, reexport, or in-country transfer of a high performance computer
to or within a destination in Computer Tier 3 (see Sec. 740.7(c)(1) of
the EAR) or to Cuba, Iran, North Korea, or Syria you must include with
your license application a security safeguard plan signed by the end-
user, who may also be the ultimate consignee. This requirement also
applies to exports, reexports, and transfers (in-country) of components
or electronic assemblies to upgrade existing ``computer'' installations
in those countries. A sample security safeguard plan is posted on BIS's
Web page at http://www.bis.doc.gov/hpcs /SecuritySafeguardPlans.html.
(d) ``U.S. person'' support activities that require a license under
Sec. 744.6 of the EAR. Use SNAP-R for submitting a license application
for ``U.S. person'' activities. Applicants should use the reexport
designation on the SNAP-R form and include in the ``Additional
Information'' section of the license application that a license is
required for the transaction under Sec. 744.6 of the EAR. In the
special purpose field, specify the specific activities the ``U.S.
person'' is engaged. The applicant should provide, as relevant: the ECCN
of the technology or item or, if unknown, use the EAR99 designation
(regardless of whether the items being dealt with are subject to the
EAR); and a complete explanation of the activity in supplemental
documentation.
(e) Intransit through the United States. If you are submitting a
license application for items moving intransit through the United States
that do not qualify for the intransit provisions of License Exception
TMP (see Sec. 740.9(b)(1) of the EAR), you must provide the following
information with your license application:
(1) In Block 9, enter the phrase ``Intransit Shipment'';
(2) In Block 24, enter the name and address of the foreign consignor
who shipped the items to the United States and state the origin of the
shipment;
(3) Any available evidence showing the approval or acquiescence of
the exporting country (or the country of which the exporter is a
resident) for shipments to the proposed ultimate destination. Such
evidence may be in the form of a Transit Authorization Certificate; and
(4) Any support documentation required by Sec. 748.9 of this part
for the country of ultimate destination.
(f) Intransit outside of the United States. If you are submitting a
license application based on General Prohibition Eight stated in Sec.
736.2(b)(8) of the EAR and identification of the intermediate consignee
in the country of unlading or transit is unknown at the time the license
application is submitted, the country of unlading or transit must be
shown in Block 17.
(g) Nuclear Nonproliferation items and end-uses--(1) Statement
requirement. If a license is required to export or reexport items
described in Sec. 742.3 of the EAR, or any other
[[Page 137]]
item (except those controlled for short supply reasons) where the item
is intended for a nuclear end-use, prior to submitting a license
application, you must obtain a signed written statement from the end-
user certifying the following:
(i) The items to be exported or replicas thereof (``replicas''
refers to items produced abroad based on physical examination of the
item originally exported, matching it in all critical design and
performance parameters), will not be used in any of the activities
described in Sec. 744.2(a) of the EAR; and
(ii) Written authorization will be obtained from the BIS prior to
reexporting the items, unless they are destined to Canada or would be
eligible for export from the United States to the new country of
destination under NLR based on Country Chart NP Column 1.
(2) License application requirements. Along with the required
certification, you must include the following information in your
license application:
(i) In Block 7, place an (X) in the box titled ``Nuclear
Certification'';
(ii) In Block 9, enter the phrase ``NUCLEAR CONTROLS'';
(iii) In Block 21, provide, if known, the specific geographic
locations of any installations, establishments, or sites at which the
items will be used;
(iv) In Block 22(j), if applicable, include a description of any
specific features of design or specific modifications that make the item
capable of nuclear explosive activities, or of safeguarded or
unsafeguarded nuclear activities as described in Sec. 744.2(a)(3) of
the EAR; and
(v) In Block 24, if your license application is being submitted
because you know that your transaction involves a nuclear end-use
described in Sec. 744.2 of the EAR, you must fully explain the basis
for your knowledge that the items are intended for the purpose(s)
described Sec. 744.2 of the EAR. Indicate, if possible, the specific
end-use(s) the items will have in designing, developing, fabricating, or
testing nuclear weapons or nuclear explosive devices or in designing,
constructing, fabricating, or operating the facilities described in
Sec. 744.2(a)(3) of the EAR.
(h) Numerical control devices, motion control boards, numerically
controlled machine tools, dimensional inspection machines, direct
numerical control systems, specially designed assemblies and specially
designed software. (1) If you are submitting a license application to
export, reexport, or request BIS to classify numerical control devices,
motion control boards, numerically controlled machine tools, dimensional
inspection machines, and specially designed software you must include
the following information in your license application:
(i) For numerical control devices and motion control boards:
(A) Make and model number of the control unit;
(B) Description and internal configuration of numerical control
device. If the device is a computer with motion control board(s), then
include the make and model number of the computer;
(C) Description of the manner in which a computer will be connected
to the CNC unit for on-line processing of CAD data. Specify the make and
model of the computer;
(D) Number of axes the control unit is capable of simultaneously
controlling in a coordinated contouring mode, and type of interpolation
(linear, circular, and other);
(E) Minimum programmable increment;
(F) A description and an itemized list of all software/firmware to
be supplied with the control device or motion control board, including
software/firmware for axis interpolation function and for any
programmable control unit or device to be supplied with the control
unit;
(G) Description of capabilities related to ``real time processing''
and receiving computer aided-design;
(H) A description of capability to accept additional boards or
software that would permit an upgrade of the electronic device or motion
control board above the control levels specified in ECCN 2B001; and
(I) Specify if the electronic device has been downgraded, and if so
can it be upgraded in future.
(ii) For numerically controlled machine tools and dimensional
inspection machines:
(A) Name and model number of machine tool or dimensional inspection
machine;
(B) Type of equipment, e.g., horizontal boring machine, machining
center, dimensional inspection machine, turning center, water jet, etc.;
(C) Description of the linear and rotary axes capable of being
simultaneously controlled in a coordinated contouring mode, regardless
of the fact that the coordinated movement of the machine axis may be
limited by the numerical control unit supplied by the machine tool;
(D) Maximum workpiece diameter for cylindrical grinding machines;
(E) Motion (camming) of the spindle axis measured in the axial
direction in one revolution of the spindle, and a description of the
method of measurement for turning machine tools only;
(F) Motion (run out) of the spindle axis measured in the radial
direction in one revolution of the spindle, and a description of the
method of measurement;
(G) Overall positioning accuracy in each axis, and a description of
the method for measurement; and
(H) Slide motion test results.
(i) Parts, components, and materials incorporated abroad into
foreign-made products. BIS will consider license applications to export
[[Page 138]]
or reexport to multiple consignees or multiple countries when an
application is required for foreign produced direct product containing
parts and components subject to the EAR in Sec. 732.4(b) of the EAR and
to General Prohibition Two stated in Sec. 736.2(b)(2) of the EAR. Such
requests will not be approved for countries listed in Country Group E:2
(See supplement no. 1 to part 740 of the EAR), and may be approved only
in limited circumstances for countries listed in Country Group D:1.
(1) License applications for the export of parts and components. If
you are submitting a license application for the export of parts,
components, or materials to be incorporated abroad into products that
will then be sent to designated third countries, you must enter in Block
21, a description of end-use including a general description of the
commodities to be manufactured, their typical end-use, and the countries
where those commodities will be marketed. The countries may be listed
specifically or may be identified by Country Groups, geographic areas,
etc.
(2) License applications for the reexport of incorporated parts and
components. If you are submitting a license application for the reexport
of parts, components, or materials incorporated abroad into products
that will be sent to designated third countries you must include the
following information in your license application:
(i) In Block 9, enter the phrase ``Parts and Components'';
(ii) In Block 18, enter the name, street address, city and country
of the foreign party who will be receiving the foreign-made product. If
you are requesting approval for multiple countries or consignees enter
``Various'' in Block 18, and list the specific countries, Country
Groups, or geographic areas in Block 24;
(iii) In Block 20, enter the name, street address, city, and country
of the foreign party who will be exporting the foreign-made product
incorporating U.S. origin parts, components or materials;
(iv) In Block 21, describe the activity of the ultimate consignee
identified in Block 18 and the end-use of the foreign-made product.
Indicate the final configuration if the product is intended to be
incorporated in a larger system. If the end-use is unknown, state
``unknown'' and describe the general activities of the end-user;
(v) In Block 22(e), specify the quantity for each foreign-made
product. If this information is unknown, enter ``Unknown'' in Block
22(e);
(vi) In Block 22(h), enter the digit ``0'' for each foreign-made
product;
(vii) In Block 22(j), describe the foreign-made product that will be
exported, specifying type and model or part number. Attach brochures or
specifications, if available. Show as part of the description the unit
value, in U.S. dollars, of the foreign-made product (if more than one
foreign-made product is listed on the license application, specify the
unit value for each type/model/part number). Also include a description
of the U.S. content (including the applicable Export Control
Classification Number(s)) and its value in U.S. dollars. If more than
one foreign-made product is identified on the license application,
describe the U.S. content and specify the U.S. content value for each
foreign-made product. Also, provide sufficient supporting information to
explain the basis for the stated values. To the extent possible, explain
how much of the value of the foreign-made product represents foreign
origin parts, components, or materials, as opposed to labor, overhead,
etc. When the U.S. content varies and cannot be specified in advance,
provide a range of percentage and value that would indicate the minimum
and maximum U.S. content;
(viii) Include separately in Block 22(j) a description of any U.S.
origin spare parts to be reexported with the foreign-made product, if
they exceed the amount allowed by Sec. 740.10 of the EAR. Enter the
quantity, if appropriate, in Block 22(e). Enter the ECCN for the spare
parts in Block 22(a) and enter the value of the spare parts in Block
22(h);
(ix) In Block 23, enter the digit ``0'';
(x) If the foreign-made product is the direct product of U.S. origin
technology that was exported or reexported subject to written assurance,
a request for waiver of that assurance, if necessary, may be made in
Block 24. If U.S. origin technology will accompany a shipment to a
country listed in Country Group D:1, E:1, or E:2 (see supplement no. 1
to part 740 of the EAR) describe in Block 24 the type of technology and
how it will be used.
(j) Ship stores, plane stores, supplies, and equipment--(1) Vessels
under construction. If you are submitting a license application for the
export or reexport of items, including ship stores, supplies, and
equipment, to a vessel under construction you must include the following
information in your license application:
(i) In Block 18, enter the name, street address, city, and country
of the shipyard where vessel is being constructed;
(ii) In Block 22(j), state the length of the vessel for a vessel
under 12 m (40 ft) in length. For a vessel 12 m (40 ft) in length or
over, provide the following information (if this information is unknown,
enter ``Unknown'' in this Block): (A) Hull number and name of vessel;
(B) Type of vessel;
(C) Name and business address of prospective owner, and the
prospective owner's nationality; and
(D) Country of registry or intended country of registry.
[[Page 139]]
(2) Aircraft under construction. If you are submitting a license
application for the export or reexport of items, including plane stores,
supplies, and equipment, to an aircraft under construction you must
include the following information in your license application:
(i) In Block 18, enter the name and address of the plant where the
aircraft is being constructed;
(ii) In Block 22(j), enter the following information (if this
information is unknown, enter ``Unknown'' in this Block): (A) Type of
aircraft and model number;
(B) Name and business address of prospective owner and his
nationality; and
(C) Country of registry or intended country of registry.
(3) Operating vessels and aircraft. If you are submitting a license
application for the export or reexport of items, including ship or plane
stores, supplies, and equipment to an operating vessel or aircraft,
whether in operation or being repaired, you must include the following
information in your license application:
(i) In Block 18, enter the name of the owner, the name of the
vessel, if applicable, and port or point where the items will be taken
aboard;
(ii) In Block 18, enter the following statement if, at the time of
filing the license application, it is uncertain where the vessel or
aircraft will take on the items, but it is known that the items will not
be shipped to a country listed in Country Group D:1 or E:2 (see
supplement no. 1 to part 740 of the EAR):
Uncertain; however, shipment(s) will not be made to Country Groups
D:1 or E:2.
(iii) Provide information as described in paragraph (j)(1)(ii) of
this supplement for vessels or information contained in paragraph
(j)(2)(ii) of this supplement for aircraft.
(k) Regional stability controlled items. (1) If you are submitting a
license application for the export or reexport of items controlled for
regional stability reasons and subject to licensing under RS Column 1 on
the Country Chart, your license application must be accompanied by full
technical specifications.
(2) If you are submitting a license application for the export or
reexport to Austria, Cyprus, Finland, Ireland, Israel, Malta, Mexico,
Singapore or Sweden of items controlled by ECCNs 2A984, 2D984 or 2E984
to a person designated by a government end-user, pursuant to contract,
your license application to export to such designated person must
include a statement from the government end-user to be eligible for the
licensing policy under Sec. 742.6(b)(2)(ii). A responsible official
representing the designated end-user must sign the statement.
``Responsible official'' is defined as someone with personal knowledge
of the information included in the statement, and authority to bind the
designated end-user for whom they sign, and who has the power and
authority to control the use and disposition of the licensed items.
Statements from government end-users that the person is so designated
(i.e., support documents submitted in accordance with this paragraph
(k)(2)) must address the following three criteria for a license
application to be reviewed in accordance with the license review policy
in Sec. 742.6(b)(2)(ii):
(i) U.S. Department of Homeland Security (DHS) Customer Contract
Number or agreement reference number, End-user name (company), complete
address (including street address, city, state, country and postal
code), end-user point of contact (POC);
(ii) Brief contract description, including DHS Project information
and projected outcome; and
(iii) The statement shall include a certification stating ``We
certify that all of the representations in this statement are true and
correct to the best of our knowledge and we do not know of any
additional representations which are inconsistent with the above
statement.''
(l) Reexports. If you know that an item that requires a license to
be exported from the United States to a certain foreign destination will
be reexported to a third destination also requiring approval, such a
request must be included on the license application. The license
application must specify the country to which the reexport will be made
in Block 24. If the export does not require a license but the reexport
does, you may apply for a license for the reexport, or you may export
without a license and notify the consignee of the requirement to seek a
license to reexport.
(m) Robots. If you are submitting a license application for the
export or reexport of items controlled by ECCNs 2B007 or 2D001
(including robots, robot controllers, end-effectors, or related
software) the following information must be provided in Block 24:
(1) Specify if the robot is equipped with a vision system and its
make, type, and model number;
(2) Specify if the robot is specially designed to comply with
national safety standards for explosive munitions environments;
(3) Specify if the robot is specially designed for outdoor
applications and if it meets military specifications for those
applications;
(4) Specify if the robot is specially designed for operating in an
electro-magnetic pulse (EMP) environment;
(5) Specify if the robot is specially designed or rated as
radiation-hardened beyond that necessary to withstand normal industrial
(i.e., non-nuclear industry) ionizing radiation, and its rating in grays
(Silicon);
(6) Describe the robot's capability of using sensors, image
processing or scene analysis
[[Page 140]]
to generate or to modify robot program instructions or data;
(7) Describe the manner in which the robot may be used in nuclear
industry/manufacturing; and
(8) Specify if the robot controllers, end-effectors, or software are
specially designed for robots controlled by ECCN 2B007, and why.
(n) Short Supply controlled items. If you are submitting a license
application for the export of items controlled for short supply reasons,
you must consult part 754 of the EAR for instructions on preparing your
license application.
(o) Technology--(1) License application instructions. If you are
submitting a license application for the export or reexport of
technology you must check the box labeled ``Letter of Explanation'' in
Block 6, enter the word ``Technology'' in Block 9, leave Blocks 22(e)
and (i) blank, and include a general statement that specifies the
technology (e.g., blueprints, manuals, etc.) in Block 22(j).
(2) Letter of explanation. Each license application to export or
reexport technology must be supported by a comprehensive letter of
explanation. This letter must describe all the facts for a complete
disclosure of the transaction including, if applicable, the following
information:
(i) The identities of all parties to the transaction;
(ii) The exact project location where the technology will be used;
(iii) The type of technology to be exported or reexported;
(iv) The form in which the export or reexport will be made;
(v) The uses for which the data will be employed;
(vi) An explanation of the process, product, size, and output
capacity of all items to be produced with the technology, if applicable,
or other description that delineates, defines, and limits the data to be
transmitted (the ``technical scope''); and
(vii) The availability abroad of comparable foreign technology.
(3) Special provisions--(i) Technology controlled for national
security reasons. If you are submitting a license application to export,
reexport, and transfer (in-country) technology controlled for national
security reasons to a country not listed in Country Group D:1, E:1, or
E:2 (see Supplement No. 1 to part 740 of the EAR), you must obtain the
letter from the ultimate consignee verifying that, unless prior
authorization is obtained from BIS, the consignee will not knowingly
reexport the technology to any destination, or export the ``direct
product'' of the technology, directly or indirectly, to a country listed
in Country Group D:1, E:1, or E:2 (see Supplement No. 2 to part 740 of
the EAR). If you are unable to obtain this letter of assurance from your
consignee, you must state in your license application why the assurances
could not be obtained. BIS may request a copy of this letter.
(ii) Maritime nuclear propulsion plants and related items. If you
are submitting a license application to export or reexport technology
relating to maritime nuclear propulsion plants and related items
including maritime (civil) nuclear propulsion plants, their land
prototypes, and special facilities for their construction, support, or
maintenance, including any machinery, device, component, or equipment
specifically developed or designed for use in such plants or facilities
you must include the following information in your license application:
(A) A description of the foreign project for which the technology
will be furnished;
(B) A description of the scope of the proposed services to be
offered by the applicant, his consultant(s), and his subcontractor(s),
including all the design data that will be disclosed;
(C) The names, addresses and titles of all personnel of the
applicant, the applicant's consultant(s) and subcontractor(s) who will
discuss or disclose the technology or be involved in the design or
development of the technology;
(D) The beginning and termination dates of the period of time during
which the technology will be discussed or disclosed and a proposed time
schedule of the reports the applicant will submit to BIS, detailing the
technology discussed or disclosed during the period of the license;
(E) The following certification:
I (We) certify that if this license application is approved, I (we)
and any consultants, subcontractors, or other persons employed or
retained by us in connection with the project licensed will not discuss
with or disclose to others, directly or indirectly, any technology
relating to U.S. naval nuclear propulsion plants. I (We) further certify
that I (we) will furnish to the Bureau of Industry and Security all
reports and information it may require concerning specific transmittals
or disclosures of technology under any license granted as a result of
this license application.
(F) A statement of the steps that you will take to assure that
personnel of the applicant, the applicant's consultant(s) and
subcontractor(s) will not discuss or disclose to others technology
relating to U.S. naval nuclear propulsion plants; and
(G) A written statement of assurance from the foreign importer as
described in paragraph (o)(3)(i) of this supplement.
(p) Temporary exports or reexports. If you are submitting a license
application for the temporary export or reexport of an item (not
eligible for the temporary exports and reexports provisions of License
Exception TMP (see Sec. 740.9(a) of the EAR)) you must include the
following certification in Block 24:
[[Page 141]]
The items described on this license application are to be
temporarily exported (or reexported) for (state the purpose e.g.,
demonstration, testing, exhibition, etc.), used solely for the purpose
authorized, and returned to the United States (or originating country)
as soon as the temporary purpose has ended, but in no case later than
one year of the date of export (or reexport), unless other disposition
has been authorized in writing by the Bureau of Industry and Security.
(q) Chemicals controlled for CW reasons under ECCN 1C350. In
addition to any supporting documentation required by part 748, you must
also obtain from your consignee an End-Use Certificate for the export of
chemicals controlled for CW reasons by ECCN 1C350 to non-States Parties
(destinations not listed in supplement no. 2 to part 745 of the EAR).
See Sec. 745.2 of the EAR. In addition to the End-Use Certificate, you
may still be required to obtain a Statement by Ultimate Consignee and
Purchaser (Form BIS-711P) as support documentation. Consult Sec. Sec.
748.9 and 748.11 of the EAR.
(r) Encryption classification requests. Failure to follow the
instructions in this paragraph may delay consideration of your
encryption classification request.
(1) [Reserved]
(2) Classification Requests. Fill out blocks 1-4, 14, 15, 22, and 25
pursuant to the instructions in supplement no. 1 to this Part. Leave
blocks 6, 7, 8, 10-13, 18-21, and 23 blank. Follow the directions
specified for the blocks indicated below.
(i) In Block 5 (Type of Application), place an ``X'' in the box
marked ``classification'' or ``commodity classification'' if submitting
electronically for classification requests.
(ii) In Block 9 (Special Purpose).
(A) If submitting via SNAP-R, check the box ``check here if you are
submitting information about encryption required by 740.17 or 742.15 of
the EAR.''
(B) From the drop down menu in SNAP-R, choose:
(1) ``License Exception ENC'' if you are submitting an encryption
classification request for specified License Exception ENC provisions
(Sec. Sec. 740.17(b)(2) or (b)(3) of the EAR);
(2) ``Mass market encryption'' if you are submitting an encryption
classification request for certain mass market encryption items (Sec.
740.17(b) of the EAR).
(3) ``Encryption--other'' if you are submitting an encryption
classification, for another reason.
(s)-(t) [Reserved]
(u) Aircraft and vessels on temporary sojourn. If the application is
for an aircraft or a vessel traveling on a temporary sojourn, state the
value of the aircraft or vessel as $0 in box 22(g) (unit price) and
22(h) (total price). In box 23 (Total Application Dollar Value), insert
the total value of items other than the aircraft or vessel that are
included in the same application. If the application is only for the
aircraft or vessel on temporary sojourn, insert $0.
(v) In-country transfers. To request an in-country transfer, you
must specify ``in-country transfer'' in Block 9 (Special Purpose) and
mark ``Reexport'' in Block 5 (Type of Application) of the BIS-748P
``Multipurpose Application'' form. The application also must specify the
same foreign country for both the original ultimate consignee and the
new ultimate consignee.
(w) License Exception STA eligibility requests for ``600 series''
end items. To request a License Exception STA eligibility requests for
``600 series'' end items pursuant to Sec. 740.20(g), you must mark an
(X) in the ``Export'' box in Block 5 (Type of Application) block. You
must mark an (X) in the ``Other'' box and insert the phrase ``STA
request'' '' in Block 6 (Documents submitted with application) block.
You must include the specific ``600 Series'' ECCN in Block 22. In
addition to the ECCN, you will need to provide sufficient information
for the U.S. Government to make a determination as to STA eligibility.
This will require you to submit more than merely a description of the
end item. In particular, you will need to provide supporting information
for why you believe that the end item does not, for example, provide a
critical military or intelligence advantage to the United States or is
available in countries that are not regime partners or close allies. You
will also need to provide information regarding whether and, if so, how
the end item is controlled by the export control laws and regulations of
close allies and regime partners, if known. If you are not able to
provide some of the information described above, the U.S. Government
will still evaluate the request, including using resources and
information that may only be available to the U.S. Government. However,
when submitting such requests you are encouraged to provide as much
information as you can based on the criteria noted above to assist the
U.S. Government in evaluating these License Exception STA eligibility
requests. In addition, you should provide BIS with the text you would
propose BIS use in describing the end item in the appropriate ``600
series'' ECCN and the online table referenced in Sec. 740.20(g)(5)(i)
in anticipation that the request may be approved pursuant to Sec.
740.20(g). You may submit additional information that you believe is
relevant to the U.S. Government in reviewing the License Exception STA
eligibility request as part of that support document or as an additional
separate support document attachment to the license application.
(x) License application for a transaction involving a 9x515 or ``600
series'' item that is equivalent to a transaction previously approved
[[Page 142]]
under an ITAR license or other approval. To request that the U.S.
Government review of a license application for a 9x515 or ``600 series''
item also take into consideration a previously approved ITAR license or
other approval, applicants must also include the State license number or
other approval identifier in Block 24 of the BIS license application
(see the instructions in supplement no. 1 to part 748 under Block 24).
(y) Satellite exports. (1) A license application to export a
satellite controlled by ECCN 9A515.a for launch in or by a country that
is not a member of the North Atlantic Treaty Organization (NATO) or a
major non-NATO ally of the United States (as defined in 22 CFR 120.31
and 120.32), must include a statement affirming that at the time of
application or prior to export or reexport the following will be in
place:
(i) A technology transfer control plan approved by the Department of
Defense and an encryption technology control plan approved by the
National Security Agency, or drafts reflecting advance discussions with
the departments and information identifying the U.S. Government
officials familiar with the preparation of such draft plans; and
(ii) Evidence of arrangements with the Department of Defense for
monitoring of the launch activities.
(2) A license application to export a satellite controlled by ECCN
9A515.a for launch in or by a country that is a member of the North
Atlantic Treaty Organization (NATO) or that is a major non-NATO ally of
the United States (as defined in 22 CFR 120.31 and 120.32), must include
a statement affirming that at the time of application or prior to export
or reexport the following will be in place:
(i) A technology transfer control plan approved by the Department of
Defense and an encryption technology control plan approved by the
National Security Agency, or documentation from the Department of
Defense that such plans are not required; and
(ii) Evidence of arrangements with the Department of Defense for
monitoring of the launch or documentation from the Department of Defense
that such monitoring is not required.
Note 1 to paragraph (y): Regardless of a satellite's or spacecraft's
jurisdictional status, ownership, or origin, the ITAR controls as a
``defense service'' the furnishing of assistance (including training) by
a U.S. person to a foreign person directly related to (a) the
integration of a satellite or spacecraft to a launch vehicle or (b)
launch failure analyses. See (See 22 CFR 121, Categories IV(i) and
XV(f), and 22 CFR 124.15).
(z) Exports of firearms and certain shotguns temporarily in the
United States--(1) Certification. If you are submitting a license
application for the export of firearms controlled by ECCNs 0A501.a or
.b, 0A506, or 0A507, or shotguns with a barrel length less than 18
inches controlled in ECCNs 0A502 or 0A508 that will be temporarily in
the United States, e.g., for servicing and repair or for intransit
shipments, you must include the following certification in Block 24:
The firearms in this license application will not be shipped from or
manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova,
Turkmenistan, Ukraine, or Uzbekistan, except for any firearm model
controlled by 0A501, 0A506, or 0A507 that is specified under Annex A in
supplement no. 4 to part 740. I and the parties to this transaction will
comply with the requirements specified in paragraphs (z)(2)(i) and (ii)
of supplement no. 2 to part 748.
(2) Requirements. Each approved license for commodities described
under this paragraph (z) must comply with the requirements specified in
paragraphs (z)(2)(i) and (ii) of this supplement.
(i) When the firearms enter the U.S. as a temporary import, the
temporary importer or its agent must:
(A) Provide the following statement to U.S. Customs and Border
Protection: ``This shipment is being temporarily imported in accordance
with the EAR. This shipment will be exported in accordance with and
under the authority of BIS license number (provide the license number)
(15 CFR 750.7(a) and 758.4);''
(B) Provide to U.S. Customs and Border Protection an invoice or
other appropriate import-related documentation (or electronic
equivalents) that includes a complete list and description of the
firearms being temporarily imported, including their model, make,
caliber, serial numbers, quantity, and U.S. dollar value; and
(C) Provide (if temporarily imported for servicing or replacement)
to U.S. Customs and Border Protection the name, address, and contact
information (telephone number and/or email) of the organization or
individual in the U.S. that will be receiving the item for servicing or
replacement); and
(ii) In addition to the export clearance requirements of part 758 of
the EAR, the exporter or its agent must provide the import documentation
related to paragraph (z)(2)(i)(B) of this supplement to U.S. Customs and
Border Protection at the time of export.
Note 1 to paragraph (z): In addition to complying with all
applicable EAR requirements for the export of commodities described in
paragraph (z) of this supplement, exporters and temporary importers
should contact U.S. Customs and Border Protection (CBP) at the port of
temporary import or export, or at the CBP website, for the proper
procedures for temporarily importing or exporting firearms controlled in
ECCNs 0A501.a
[[Page 143]]
or .b, 0A506, or 0A507 or shotguns with a barrel length less than 18
inches controlled in ECCNs 0A502 or 0A508, including regarding how to
provide any data or documentation required by BIS.
(aa) Exports of other firearms, certain shotguns, and related
commodities. (1) Semi-automatic firearms controlled under 0A506 and
0A507. For export license applications that require prior notifications
to congress of exports of semi-automatic firearms controlled under ECCNs
0A506 and 0A507 under the criteria of Sec. 743.6, the exporter must
include a copy of the signed contract or, if there is no contract, a
written explanation from the applicant (including a statement of the
value of the firearms controlled by ECCNs 0A506 and 0A507 to be
exported). License applications for semi-automatic firearms controlled
by ECCNs 0A506 and 0A507 may include other non-automatic firearms,
shotguns, other 0x5zz items, or other items subject to the EAR, but the
applicant must clearly identify the semi-automatic firearms controlled
by ECCNs 0A506 and 0A507.
(2) Purchase orders for certain commodities controlled under ECCNs
0A501, 0A502, 0A505, 0A506, 0A507, 0A508, and 0A509. License
applications for items controlled under ECCNs 0A501 (except 0A501.y),
0A502, 0A505 (except 0A505.c, 0A505.d, and 0A505.e), 0A506, 0A507,
0A508, or 0A509 to destinations other than Country Group A:1 require the
submission of purchase documentation (e.g., a purchase order, request
for proposals, or other appropriate documentation) with the submission
of the license application, dated within one year of submission with the
license application. Upon approving a license for these items, BIS will
generally limit the licensed quantity to the quantity specified on the
purchase order. However, applicants may request up to a 10% variance in
quantity from the purchase order amount, which will be reviewed on a
case-by-case basis. Additionally, exporters may export various model
types under the approved license, so long as the items remain consistent
with the ECCN and ECCN item paragraph specified on the approved
application.
(3) Passport or other national identity card information. License
applications for items controlled under ECCNs 0A501 (except 0A501.y),
0A502, 0A505 (except 0A505.c, 0A505.d, and 0A505.e), 0A506, 0A507,
0A508, or 0A509 to destinations other than Country Group A:1 require the
submission of passport or other national identity card information when
the end user is an individual person.
(bb) ``600 Series Major Defense Equipment.'' For license
applications that require prior notifications to Congress of exports of
``600 series major defense equipment'' pursuant to Sec. 743.5, the
exporter must include a copy of the signed contract (including a
statement of the value of the ``600 Series Major Defense Equipment'' to
be exported under the contract). (See Sec. 743.5(d) of the EAR)
[61 FR 12812, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting supplement
no. 2 to part 748, see the List of CFR Sections Affected, which appears
in the Finding Aids section of the printed volume and at
www.govinfo.gov.
Sec. Supplement No. 3 to Part 748--Statement by Ultimate Consignee and
Purchaser Content Requirements
If a statement on company letterhead will be used to meet the
requirement to obtain a Statement by Ultimate Consignee and Purchaser,
as described in Sec. 748.11(a), follow the requirements described in
paragraph (a) of this appendix. If Form BIS-711 will be used to meet the
requirement, follow the requirements described in paragraph (b) of this
appendix.
(a) Statement on company letterhead. Information in response to each
of the following criteria must be included in the statement. If any
information is unknown, that fact should be disclosed in the statement.
Preprinted information supplied on the statement, including the name,
address, or nature of business of the ultimate consignee or purchaser
appearing on the letterhead or order form is acceptable but will not
constitute evidence of either the signer's identity, the country of
ultimate destination, or end use of the items described in the license
application.
(1) Paragraph 1. One of the following certifications must be
included depending on whether the statement is proffered in support of a
single license application or multiple license applications:
(i) Single. This statement is to be considered part of a license
application submitted by [name and address of applicant].
(ii) Multiple. This statement is to be considered a part of every
license application submitted by [name and address of applicant] until
four years from the date this statement is signed.
(2) Paragraph 2. One or more of the following certifications must be
included. Note that if any of the facts related to the following
statements are unknown, this must be clearly stated.
(i) The items for which a license application will be filed by [name
of applicant] will be used by us as capital equipment in the form in
which received in a manufacturing process in [name of country] and will
not be reexported or incorporated into an end product.
(ii) The items for which a license application will be filed by
[name of applicant] will be processed or incorporated by us into the
following product(s) [list products] to be
[[Page 144]]
manufactured in [name of country] for distribution in [list name of
country or countries].
(iii) The items for which a license application will be filed by
[name of applicant] will be resold by us in the form in which received
for use or consumption in [name of country].
(iv) The items for which a license application will be filed by
[name of applicant] will be reexported by us in the form in which
received to [name of country or countries].
(v) The items received from [name of applicant] will be [describe
use of the items fully].
(3) Paragraph 3. The following two certifications must be included:
(i) The nature of our business is [possible choices include: broker,
distributor, fabricator, manufacturer, wholesaler, retailer, value added
reseller, original equipment manufacturer, etc.].
(ii) Our business relationship with [name of applicant] is [possible
choices include; contractual, franchise, distributor, wholesaler,
continuing and regular individual business, etc.] and we have had this
business relationship for [number of years].
(4) Paragraph 4. The final paragraph must include all of the
following certifications:
(i) We certify that all of the facts contained in this statement are
true and correct to the best of our knowledge and we do not know of any
additional facts that are inconsistent with the above statements. We
shall promptly send a replacement statement to [name of the applicant]
disclosing any material change of facts or intentions described in this
statement that occur after this statement has been prepared and
forwarded to [name of applicant]. We acknowledge that the making of any
false statement or concealment of any material fact in connection with
this statement may result in imprisonment or fine, or both, and denial,
in whole or in part, of participation in U.S. exports or reexports.
(ii) Except as specifically authorized by the U.S. Export
Administration Regulations, or by written approval from the Bureau of
Industry and Security, we will not reexport, resell, or otherwise
dispose of any items approved on a license supported by this statement:
(A) To any country not approved for export as brought to our
attention by the exporter; or
(B) To any person if there is reason to believe that it will result
directly or indirectly in disposition of the items contrary to the
representations made in this statement or contrary to the U.S. Export
Administration Regulations.
(iii) We understand that acceptance of this statement as a support
document cannot be construed as an authorization by BIS to reexport or
transfer (in country) the items in the form in which received even
though we may have indicated the intention to reexport or transfer (in
country), and that authorization to reexport (or transfer in country) is
not granted in an export license on the basis of information provided in
the statement, but as a result of a specific request in a license
application.
(b) Form BIS-711. Form BIS-711 is available at http://
www.bis.doc.gov/index.php /component/rsform/form/21-request- bis-
forms?task=forms.edit. Instructions on completing Form BIS-711 are
described below. The ultimate consignee and purchaser may sign a legible
copy of Form BIS-711. It is not necessary to require the ultimate
consignee and purchaser to sign an original Form BIS-711, provided all
information contained on the copy is legible. All information must be
typed or legibly printed in each appropriate Block or Box.
(1) Block 1: Ultimate Consignee. The Ultimate Consignee must be the
person abroad who is actually to receive the material for the
disposition stated in Block 2. A bank, freight forwarder, forwarding
agent, or other intermediary is not acceptable as the Ultimate
Consignee.
(2) Block 2: Disposition or Use of Items by Ultimate Consignee named
in Block 1. Place an (X) in ``A.,'' ``B.,'' ``C.,'' ``D.,'' and ``E.,''
as appropriate, and fill in the required information.
(3) Block 3: Nature of Business of Ultimate Consignee named in Block
1. Complete both ``A'' and ``B''. Possible choices for ``A'' include:
broker, distributor, fabricator, manufacturer, wholesaler, retailer,
value added reseller, original equipment manufacturer, etc. Possible
choices for ``B'' include: contractual, franchise, distributor,
wholesaler, continuing and regular individual business, etc.
(4) Block 4: Additional Information. Provide any other information
not appearing elsewhere on the form such as other parties to the
transaction, and any other material facts that may be of value in
considering license applications supported by this statement.
(5) Block 5: Assistance in Preparing Statement. Name all persons,
other than employees of the ultimate consignee or purchaser, who
assisted in the preparation of this form.
(6) Block 6: Ultimate Consignee. Enter the requested information and
sign the statement digitally or in ink. (For a definition of ultimate
consignee, see Sec. 748.5(e) of this part.)
(7) Block 7: Purchaser. This form must be signed in ink by the
Purchaser, if the Purchaser is not the same as the Ultimate Consignee
identified in Block 1. (For a definition of purchaser, see Sec.
748.5(c) of this part.)
(8) Block 8: Certification for Exporter. This Block must be
completed to certify that no correction, addition, or alteration on this
form was made subsequent to the signing by
[[Page 145]]
the Ultimate Consignee in Block 6 and Purchaser in Block 7.
[80 FR 13221, Mar. 13, 2015, as amended at 86 FR 54812, Oct. 5, 2021]
Sec. Supplement No. 4 to Part 748 [Reserved]
Sec. Supplement No. 5 to Part 748--U.S. Import Certificate and Delivery
Verification Procedure
The United States participates in an Import Certificate/Delivery
Verification procedure. Under this procedure, U.S. importers are
sometimes required to provide their foreign suppliers with an U.S.
International Import Certificate that is validated by the U.S.
Government. This certificate tells the government of the exporter's
country that the items covered by the certificate will be imported into
the U.S. Economy and will not be reexported except as authorized by U.S.
export control regulations. In addition, in some cases, the exporter's
government may require a delivery verification. Under this procedure,
the U.S. Customs Service validates a certificate confirming that the
items have entered the U.S. economy. The U.S. importer must return this
certificate to the foreign exporter.
This supplement establishes the procedures and requirements of BIS
with respect to both of these programs. Paragraph (a) of this supplement
contains the requirements and procedures of the U.S. International
Import Certificate procedure. Paragraph (b) of this supplement contains
the requirements and procedures of the Delivery Verification procedure.
(a) U.S. International Import Certificates. If you are a U.S.
importer, a foreign supplier may request you to obtain a U.S. import
certificate. The reason for this request is that the exporter's
government requires a U.S. import certificate as a condition to issuing
an export license. To obtain such a certificate you will have to fill in
and execute the U.S. International Import Certificate form (Form BIS-
645P/ATF-4522/DSP-53) and submit it to the U.S. government agency that
has jurisdiction over the items you are importing. In doing so, you will
be making a representation to the United States Government that you will
import the items described in the certificate into the United States or
if not so imported, you will not divert, transship or reexport them to
another destination with the explicit approval of the U.S. government
agency that has jurisdiction over those items. (Representations that
items will be entered into the U.S. do not preclude the temporary
unloading of items in a foreign trade zone for subsequent entry into the
economy of the U.S.) If the items described in the certificate are
subject to U.S. Department of Commerce jurisdiction, the Department will
validate the certificate and return it to you. You may then send the
certificate to your foreign supplier. In this way the government of the
exporting country is assured that the items will become subject to the
export control laws of the United States.
(1) Items for which the U.S. Department of Commerce issues U.S.
International Import Certificates and forms to use. The Department of
Commerce issues U.S. International Import Certificates for the following
types of items.
(i) Items controlled for National Security reasons. Items under the
export licensing jurisdiction of BIS that are identified as controlled
for national security reasons on the Commerce Control List (supplement
no. 1 to part 774 of the EAR). You will need to submit in triplicate a
completed Form BIS-645P/ATF-4522/DSP-53;
(ii) Nuclear equipment and materials. Items subject to the export
licensing jurisdiction of the Nuclear Regulatory Commission for nuclear
equipment and materials. (see 10 CFR part 110). You will need to submit
in quadruplicate a completed Form BIS-645P/ATF-4522/DSP-53; and
(iii) Munitions Items. Items listed on the U.S. Munitions List (see
22 CFR part 121) that do not appear on the more limited U.S. Munitions
Import List (27 CFR 47.21). You will need to submit in triplicate a
completed Form BIS-645P. For triangular transactions (See paragraph
(a)(5) of this supplement) involving items on the U.S. Munitions List,
you must contact the Department of State, Directorate of Defense Trade
Controls and use Form BIS-645P/ATF-4522/DSP-53. You should contact the
Treasury Department, Bureau of Alcohol, Tobacco and Firearms for items
appearing on the U.S. Munitions Import List. You will need to use Form
ATF-4522.
(2) Where to submit forms. U.S. International Import Certificates
and requests to amend certificates may be presented for validation
either in person or by mail at the following locations.
(i) By courier to the Bureau of Industry and Security, Room 2099B,
14th Street and Pennsylvania Ave., NW., Washington, DC 20230, Attn:
Import Certificate Request; or
(ii) In person or by mail at one of the following Department of
Commerce U.S. and Foreign Commercial Service District Offices:
Boston, MA
Buffalo, NY
Chicago, IL
Cincinnati, OH
Cleveland, OH
Dallas, TX
Detroit, MI
Houston, TX
Kansas City, MO
Los Angeles, CA
Miami, FL
New Orleans, LO
New York, NY
Philadelphia, PA
Phoenix, AZ
Pittsburgh, PA
[[Page 146]]
Portland, OR
St. Louis, MO
San Francisco, CA
Savannah, GA
Seattle, WA
Trenton, NJ
(3) U.S. International Import Certificate validity periods. The U.S.
International Import Certificate must be submitted to the foreign
government within six months from the date of certification by the U.S.
Department of Commerce. The expiration of this six-month period in no
way affects the responsibility of the importer to fulfill the
commitments made in obtaining the certificate. If the certificate is not
presented to the government of the exporting country before the
expiration of its validity period, the exporter must apply for a new
certificate. The original unused U.S. International Import Certificate
must be returned to BIS at the address specified in paragraph (a)(2)(i)
of this supplement.
(4) Statements on the certificate or amendments are representations
to the U.S. Government which continue in effect.
(i) All statements and representations made in a U.S. International
Import Certificate or an amendment thereto, will be deemed to be
continuing in nature until the transaction described in the certificate
is completed and the items are delivered into the economy of the
importing country.
(ii) Any change of fact or intention in regard to the transaction
described in the certificate shall be promptly disclosed to BIS by the
U.S. importer by presentation of an amended certificate. The amended
certificate must describe all of the changes and be accompanied by the
original certificate bearing the certification of BIS. If the original
certificate has been transferred to the foreign exporter, you must,
where possible, attempt to obtain the original certificate prior to
applying for an amendment. If the original certificate is unobtainable
because the foreign exporter has submitted it to the appropriate foreign
government, or for any other reason, then you must submit a written
statement with your amendment giving the reasons for your failure to
submit the original certificate.
(5) Certificates for Triangular transaction (items will not enter
the U.S. or applicant is not sure that they will enter the United
States).
(i) In accordance with international practice, BIS will, upon
request, stamp the certificate with a triangular symbol as notification
to the government of the exporting country that the U.S. importer is
uncertain whether the items will be imported into the U. S. or knows
that the items will not be imported into the U.S., but that, in any
case, the items will not be delivered to any other destination except in
accordance with the EAR.
(ii) The triangular symbol on a certificate U.S. International
Import Certificate is not, in and of itself, an approval by BIS to
transfer or sell items to a foreign consignee. Note that a triangular
Certificate will not be issued covering foreign excess property sold
abroad by the U.S. Department of Defense.
(6) Approval to export items to a foreign consignee prior to
delivery under a U.S. International Import Certificate. The written
approval of BIS is required before items covered by a U.S. International
Import Certificate (whether or not bearing a triangular symbol) may be
shipped to a destination other than the U.S. or Canada or sold to a
foreign purchaser, and before title to or possession of such items may
be transferred to a foreign transferee. This requirement does not apply
after the items have been delivered in accordance with the undertaking
set forth in the Certificate or if at the time of such shipment, sale,
passage of possession or passage of title, a License Exception or a NLR
provision of the EAR would authorize the transaction.
(i) If prior approval is required, a letter requesting authorization
to release the shipment shall be submitted to BIS at the address listed
in paragraph (a)(2)(i) of this supplement.
(ii) The letter must contain the certificate number; date issued;
location of the issuing office; names, addresses, and identities of all
parties to the complete transaction; and the quantity, dollar value, and
description of the items. The letter must be accompanied by the U.S.
International Import Certificate, and all other documentation required
by the EAR for the item and country of ultimate destination, as
identified in part 748 of the EAR. If requirements stated in part 748 of
the EAR do not apply to your transaction, you must identify the intended
end-use of the items in your letter.
(iii) Where the letter request is approved and is supported by a
foreign import certificate, no further approval from BIS is required for
the purchaser or transferee to resell or again transfer the items.
However, where BIS approves a request that was not supported by a
foreign import certificate, the person to whom approval is granted is
required to inform the purchaser or transferee, in writing, that the
items are to be shipped to the approved destination only and that no
other disposition of the items is permitted without the approval of BIS.
(iv) If the transaction is approved, a validated letter of approval
will be sent to the U.S. purchaser for retention in his records. Where a
DV or other official government confirmation of delivery is required,
the letter will so indicate.
(v) If the items covered by a certificate have been imported into a
destination other than the U.S. and the foreign exporter of the items
requests a Delivery Verification, the person who obtained the
certificate must obtain a DV from the person to whom the
[[Page 147]]
items were delivered in the actual importing country. (If a DV is
unobtainable, other official government confirmation of delivery must be
obtained.) The DV or other official government confirmation of delivery
must be submitted to BIS together with an explanatory letter giving the
U.S. International Import Certificate number, date issued, and location
of issuing office. BIS will then issue Form ITA-6008, Delivery
Compliance Notice, in two copies, the original of which must be
forwarded to the country of origin in order to serve as evidence to the
exporting country that the requirements of the U.S. Government have been
satisfied with respect to delivery of the items.
(vi) Delivery, sale, or transfer of items to another U.S. purchaser.
(A) Items covered by a U.S. International Import Certificate may not
be sold, and title to or possession of such items may not be
transferred, to another U.S. purchaser or transferee before the items
are delivered to the U.S. (or to an approved foreign destination, as
provided by paragraph (a)(5) of this supplement), except in accordance
with the provisions described in paragraph (a)(6) of this supplement.
The provisions of this paragraph do not apply after the items have been
delivered in accordance with the undertaking set forth in the
certificate.
(B) Resale or transfer to another U.S. purchaser or transferee
requires the prior approval of BIS only in cases where the buyer or
transferee is listed in supplement no. 1 to part 766 of the EAR.
However, you, as the person who obtained the certificate are required to
notify BIS of any change in facts or intentions relating to the
transaction, and in all cases you will be held responsible for the
delivery of the items in accordance with the EAR. You are required in
all cases to secure, prior to sale or transfer, and to retain in your
files in accordance with the recordkeeping provisions contained in part
762 of the EAR, written acceptance by the purchaser or transferee of:
(1) All obligations undertaken by, and imposed under the EAR, upon
the holder of the certificate; and
(2) An undertaking that all subsequent sales or transfers will be
made subject to the same conditions.
(C) The responsibility of the certificate holder for obtaining a DV
also applies to those cases where the items are resold to a U.S.
purchaser (See paragraph (b)(1) of this supplement.
(vii) Reexport or transshipment of items after delivery to U.S.
Items imported into the U.S. under the provisions of a U.S.
International Import Certificate may not be reexported to any
destination under the intransit provisions of License Exception TMP (see
Sec. 740.9(b)(1) of the EAR). However, all other provisions of the EAR
applicable to items of domestic origin shall apply to the reexport of
items of foreign origin shipped to the U.S. under a U.S. International
Import Certificate.
(viii) Lost or destroyed U.S. International Import Certificates. If
a U.S. International Import Certificate is lost or destroyed, a
duplicate copy may be obtained by the person in the U.S. who executed
the original U.S. International Import Certificate by submitting to any
of the offices listed in paragraph (a)(2)(i) of this supplement new Form
BIS-645P/ATF-4522/DSP-53 in the same way as an original request, except
that the forms shall be accompanied by a letter detailing the
circumstances under which the original certificate was lost or destroyed
and certifying:
(A) That the original U.S. International Import Certificate No.
______, dated ______, issued to (name and address of U.S. importer) for
import from (foreign exporter's name and address) has been lost or
destroyed; and
(B) That if the original U.S. International Import Certificate is
found, the applicant agrees to return the original or duplicate of the
certificate to the Bureau of Industry and Security.
(ix) Unused U.S. International Import Certificates. If the
transaction will not be completed and the U.S. International Import
Certificate will not be used, return the certificate for cancellation to
BIS at the address listed in paragraph (a)(2)(i) of this supplement.
(b) Delivery Verification Certificate. U.S. importers may be
requested by their foreign suppliers to furnish them with a certified
Form BIS-647P, Delivery Verification Certificate, covering items
imported into the U.S. These requests are made by foreign governments to
assure that strategic items shipped to the U.S. are not diverted from
their intended destination. In these instances, the issuance of an
export license by the foreign country is conditioned upon the subsequent
receipt of a Delivery Verification Certificate from the U.S. importer.
Accordingly, your compliance with your foreign exporter's request for a
Delivery Verification is necessary to ensure your foreign exporter
fulfills its government obligations and is able to participate in future
transactions with you. Failure to comply may subject your exporter to
penalties that may prevent future trade.
(1) The responsibility of a person or firm executing a U.S.
International Import Certificate for providing the foreign exporter with
confirmation of delivery of the items includes instances where the items
are resold or transferred to another U.S. person or firm prior to actual
delivery to the U.S. or to an approved foreign destination. The person
who executed the U.S. International Import Certificate shall secure in
writing from the U.S. purchaser or transferee, and retain in
[[Page 148]]
your files in accordance with the recordkeeping provisions stated in
part 762 of the EAR:
(i) Acceptance of the obligation to provide the purchaser or
transferee with either the Delivery Verification (or other official
government confirmation of delivery if a Delivery Verification is
unobtainable) or assurance that this document was submitted to BIS; and
(ii) An undertaking that each succeeding U.S. transferee or
purchaser will assume the same obligation or assurance. In each case the
seller or transferor must transmit to the U.S. purchaser or transferee
the U.S. International Import Certificate number covering the export
from the foreign country and request that they pass it on to any other
U.S. purchasers or transferees.
(2) Completion and certification of Delivery Verification
Certificates. If you are requested by your foreign exporter to provide a
Delivery Verification, you must obtain Form BIS-647P from a U.S. customs
office or one of the offices listed in paragraph (a)(2) of this
supplement and complete all blocks (except those below the line titled
``To be completed by U.S. Customs Service'') on the form. The language
used in the block titled ``Description of Goods'' must describe the
items in the same terms as those shown on the applicable U.S.
International Import Certificate. Upon completion Form BIS-647P must be
presented, in duplicate, to a U.S. customs office. The U.S. customs
office will certify Form BIS-647P only where the import is made under a
warehouse or consumption entry.
(3) Disposition of certified Delivery Verification Certificates. The
importer must send the original certified Delivery Verification
Certificate to the foreign exporter or otherwise dispose of it in
accordance with the instructions of the exporting country. The duplicate
copy will be retained by the U.S. customs office.
(4)(i) Issuance of a U.S. Delivery Compliance Notice in lieu of a
Delivery Verification Certificate. If you are requested to provide a
Delivery Verification Certificate but do not wish to disclose the name
of your customer to the foreign exporter (e.g., in the event that the
items are resold or transferred to another person or firm before the
items enter the U.S.), you may submit an originally completed Form BIS-
647P together with an explanatory letter requesting a Delivery
Compliance Notice, to BIS at the address listed in (a)(2)(i) of this
supplement.
(ii) BIS will provide you with a notice signifying that the items
were imported into the U.S. and that a satisfactory DV has been
submitted to BIS. You must then forward the original notice to your
foreign exporter for submission to the foreign government. A copy of the
notice should be retained in your files in accordance with the
recordkeeping provisions stated in part 762 of the EAR.
(5)(i) Lost or destroyed Delivery Verification Certificate. When a
Delivery Verification Certificate is lost or destroyed, the U.S.
importer must submit a letter to BIS at the address listed in paragraph
(a)(2)(i) of this supplement certifying that:
(A) The original Delivery Verification Certificate has been lost or
destroyed;
(B) The circumstances under which it was lost or destroyed;
(C) The type of customs entry (warehouse or consumption), entry
number, and date of entry; and
(D) The number and date of the related U.S. International Import
Certificate.
(ii) BIS will, in applicable cases, notify the exporting government
that a Delivery Verification Certificate been issued.
(c) Penalties and sanctions for violations. The enforcement
provisions of part 764 and supplement no. 2 to part 736 of the EAR apply
to transactions involving imports into the U.S. covered by this
supplement and to both foreign and U.S. parties involved in a violation
of this supplement. Any provisions of part 764 and supplement no. 2 to
part 736 of the EAR which, by their terms, relate to ``exports'' or
``exports from the U.S.'' are also deemed to apply and extend to imports
into the U.S., applications for U.S. International Import Certificates
(Forms BIS-645P presented to U.S. Department of Commerce for
certification), U.S. International Import Certificates, and Delivery
Verification Certificates, described in this supplement. (Applications
the documents described in this supplement, are included within the
definition of export control documents provided in part 772 of the EAR.)
Refer to Sec. 764.3 of the EAR for more information.
[61 FR 12812, Mar. 25, 1996, as amended at 61 FR 64285, Dec. 4, 1996; 62
FR 25463, May 9, 1997; 73 FR 37, Jan. 2, 2008; 78 FR 13470, Feb. 28,
2013]
Sec. Supplement No. 6 to Part 748 [Reserved]
[[Page 149]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Federal Register
VEU Type Country Validated end-user Eligible items (by ECCN) Eligible destination citation
--------------------------------------------------------------------------------------------------------------------------------------------------------
Nothing in this Supplement shall be deemed to supersede other provisions in the EAR, including but not limited to Sec. 748.15(c).
--------------------------------------------------------------------------------------------------------------------------------------------------------
General.......................... China (People's Advanced Micro 3D002, 3D003, 3E001 Advanced Micro Devices 75 FR 25763, 5/10/
Republic of). Devices China, Inc. (limited to (Shanghai) Co., Ltd., 10.
``technology'' for items Buildings 33 (Unit 1), 76 FR 2802, 1/18/
classified under 3C002 46, 47, 48 & 49, River 11.
and 3C004 and Front Harbor, Zhangjiang 78 FR 3319, 1/16/
``technology'' for use Hi-Tech Park, No. 1387 13.
during the International Zhang Dong Road, Pudong 81 FR 40785, 6/23/
Technology Roadmap for District, Shanghai, 16.
Semiconductors (ITRS) China 201203. 88 FR 73496, 10/25/
process for items AMD Technology 23.
classified under ECCNs Development (Beijing)
3B001 and 3B002), 3E002 Co., Ltd., North and
(limited to South Buildings,
``technology'' for use RaycomInfotech, Park
during the ITRS process Tower C, No. 2 Science
for items classified Institute South Rd.,
under ECCNs 3B001 and Zhong Guan Cun, Haidian
3B002), 3E003.e (limited District, Beijing, China
to the ``development'' 100190.
and ``production'' of AMD Products (China) Co.
integrated circuits for Ltd., North and South
commercial Buildings,
applications), 4D001 and RaycomInfotech Park
4E001 (limited to the Tower C, No. 2 Science
``development'' of Institute South Rd.,
products under ECCN Zhong Guan Cun, Haidian
4A003.b through .g). District, Beijing, China
100190.
General.......................... .................... Applied Materials These Items Authorized * Applied Materials South 72 FR 59164, 10/19/
(China), Inc. for those Applied East Asia Pte. Ltd.-- 07. 74 FR 19382, 4/
Materials Destinations Shanghai Depot, c/o 29/09. 75 FR
Identified by one Shanghai Applied 27185, 5/14/10. 77
asterisk (*): 2B006.b, Materials Technical FR 10953, 2/24/12.
2B230, 2B350.g.3, Service Center, No. 2667 80 FR 65932, 10/28/
2B350.i, 3B001.a, Zuchongzhi Road, 15.
3B001.b, 3B001.e, Shanghai, China 201203.
3B001.f, 3C001, 3C002, * Applied Materials South
3D002 (limited to East Asia Pte. Ltd.--
``software'' specially Beijing Depot, c/o
designed for the ``use'' Beijing Applied
of stored program Materials Technical
controlled items Service Center, No. 1
classified under ECCN North Di Sheng Street,
3B001). BDA, Beijing, China
100176.
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
Federal Register
VEU Type Country Validated end-user Eligible items (by ECCN) Eligible destination citation
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Applied Materials South ...................
East Asia Pte. Ltd.--
Wuxi Depot, c/o
Sinotrans Jiangsu
Fuchang Logistics Co.,
Ltd., 1 Xi Qin Road,
Wuxi Export Processing
Zone, Wuxi, Jiangsu,
China 214028.
[[Page 150]]
* Applied Materials South ...................
East Asia Pte. Ltd.--
Wuhan Depot, c/o Wuhan
Optics Valley Import &
Export Co., Ltd., No.
101 Guanggu Road, East
Lake High-Tec
Development Zone, Wuhan,
Hubei, China 430074.
* Applied Materials ...................
(China), Inc.--Shanghai
Depot, No. 2667,
Zuchongzhi Road,
Shanghai, China 201203.
* Applied Materials ...................
(China), Inc.--Beijing
Depot, No. 1 North Di
Sheng Street, BDA,
Beijing, China 100176.
These Items Authorized ** Applied Materials ...................
for the Applied (Xi'an) Ltd., No. 28 Xin
Materials Destination Xi Ave., Xi'an High Tech
Identified by two Park, Export Processing
asterisks (**): 2B006.b, Zone, Xi'an, Shaanxi,
2B230, 2B350.g.3, China 710075.
2B350.i, 3B001.a,
3B001.b, 3B001.e,
3B001.f, 3C001, 3C002,
3D002 (limited to
``software'' specially
designed for the ``use''
of stored program
controlled items
classified under ECCN
3B001), and 3E001
(limited to
``technology'' according
to the General
Technology Note for the
``development'' or
``production'' of items
controlled by ECCN
3B001).
This item is authorized *** Applied Materials ...................
for those Applied (China), Inc.--
Materials Destination Headquarters, 1388
Identified by three Zhangdong Road, Bldg.
asterisks (***): 3E001 22, Zhangjiang Hi-Tech
(limited to Park, Pudong, Shanghai,
``technology'' according 201203, China.
to the General
Technology Note for the
``development'' or
``production'' of items
controlled by ECCN
3B001).
[[Page 151]]
General.......................... .................... Boeing Tianjin 1B001.f, 1D001 (limited Boeing Tianjin Composites 72 FR 59164, 10/19/
Composites Co. Ltd. to ``software'' Co. Ltd., 4566 Hebei 07. 74 FR 19382, 4/
specially designed or Road, Marine Hi-Tech 29/09. 77 FR
modified for the ``use'' Development Area, Tanggu 10953, 2/24/12. 77
of equipment controlled District, Tianjin, China FR 40258, 7/9/12.
by 1B001.f), 2B001.b.2 300451. 81 FR 61106, 9/6/
(limited to machine 16.
tools with accuracies no
better than (i.e., not
less than) 13 microns),
2D001 (limited to
``software,'' other than
that controlled by
2D002, specially
designed or modified for
the ``use'' of equipment
controlled by
2B001.b.2), and 2D002
(limited to ``software''
for electronic devices,
even when residing in an
electronic device or
system, enabling such
devices or systems to
function as a
``numerical control''
unit, capable of
coordinating
simultaneously more than
4 axes for ``contouring
control'' controlled by
2B001.b.2).
General.......................... .................... Intel Semiconductor These items authorized * Intel Semiconductor 78 FR 54754, 9/6/
(Dalian) Ltd. for the Intel (Dalian) Ltd., No. 109 13. 81 FR 85145,
destination identified Huai He Road East, 11/25/16.
by one asterisk (*): Dalian Economic and
1A004, 1C006.d, 2A226, Technology Development
2B006.b, 2B230, 2B231, Area, Dalian, Liao Ning
2B350, 3A233.a, 3B001 Province, 116600, China.
(except for multilayer
masks with a phase shift
layer designed to
produce ``space
qualified''
semiconductor devices),
3C002, 3E002 (excluding
development and
production technology
specific to digital
signal processors and
digital array processors
and further limited to
``technology'' based on
the international
technology roadmap for
semiconductors (ITRS)),
and 4E001(limited to
technology for computer
products or components
not exceeding an
adjusted peak
performance (APP) level
of 12.0 weighted
teraflops).
These items authorized ** Intel Semiconductor ...................
for the Intel (Dalian) Ltd., c/o
destination identified Dalian Kintetsu
by two asterisks (**): Logistics Co., Ltd,
1A004, 1C006.d, 2A226, Dayaowan Bonded Port No.
2B006.b, 2B230, 2B231, 6 Road W4 Unit A1,
2B350, 3A233.a, 3B001 Dalian Economic and
(except for multilayer Technology Development
masks with a phase shift Area, Dalian, Liao Ning
layer designed to Province, 116601, China.
produce ``space
qualified''
semiconductor devices),
and 3C002.
[[Page 152]]
General.......................... .................... Lam Research Service These Items Authorized * Lam Research 72 FR 59164, 10/19/
Co., Ltd. for those Lam's International Sarl (Lam 07, 74 FR 19382, 4/
Destinations Identified Beijing Warehouse), c/o 29/09. 77 FR
by a single asterisk Beijing Lam Electronics 10953, 2/24/12. 77
(*): Tech Center, 1 Building, FR 40258, 7/9/12.
2B230, 2B350.c, 2B350.d, No. 28, Jinghai Second 82 FR 48929, 10/23/
2B350.g, 2B350.h, Road, BDA, Beijing, 17.
2B350.i, and 3B001.e China 100176.
(limited to * Lam Research
installation, warranty International Sarl (Lam
maintenance/repair, or Beijing Warehouse), c/o
maintenance/repair Beijing STE
service of semiconductor International Logistics
manufacturing equipment Co., Ltd., Building 3,
manufactured by Lam, and No. 9 Ke Chuang Er
items classified under Street Beijing Economic
ECCN 3B001.e are limited & Technological
to specially designed Development Area,
components and Beijing, China 100176.
accessories), 3D001 * Lam Research
(limited to ``software'' International Sarl (Lam
(excluding source code) Beijing Warehouse), c/o
specially designed for China International
the ``development'' or Electronic Service
``production'' of Company, 1 Building, No.
equipment controlled by 28, Jinghai Second Road,
ECCN 3B001.e)), 3D002 BDA, Beijing, China
(limited to ``software'' 100176.
(excluding source code) * Lam Research
specially designed for International Sarl (Lam
the ``use'' of equipment Beijing Warehouse), c/o
controlled by ECCN HMG Hi-Tech Logistics
3B001.e)), and 3E001 (Beijing) Co., Ltd.,
(limited to Building 3, No. 9 Ke
``development'' Chuang Er Street,
``technology'' according Beijing Economic &
to the General Technological
Technology Note of a Development Area,
type of equipment Beijing, China 100176.
classified under ECCN * Lam Research
3B001.e). International Sarl (Lam
Dalian Warehouse), c/o
Liaoning JD Logistics
International Co., Ltd.,
Dalian Bonded Logistics
Port, W5-B8, No. 6, Road
3, Dalian, China 116600.
* Lam Research ...................
International Sarl (Lam
Dalian Warehouse), c/o
Liaoning JD Logistics
International Co., Ltd.,
Dalian Bonded Logistics
Zone No. 1 Public
Warehouse Dalian, China
116600.
* Lam Research ...................
International Sarl (Lam
Shanghai Warehouse), c/o
HMG Supply Chain
(Shanghai) Co., Ltd.,
No. 633, Shangfeng Road,
Pudong New District,
Shanghai, China 201201.
[[Page 153]]
* Lam Research ...................
International Sarl (Lam
Shanghai Warehouse), c/o
Regal Harmony Logistics
Co., Ltd., No. 799,
Yihua Road, Pudong New
District, Shanghai,
China 201299.
* Lam Research ...................
International Sarl (Lam
Shanghai Warehouse
Operator), c/o Shanghai
Well-Win Logistics Co.,
Ltd., No. 2667
Zuchongzhi Road, Pudong
New District, Shanghai,
China.
* Lam Research ...................
International Sarl (Lam
Shanghai Warehouse; WGQ
Bonded Warehouse), c/o
HMG Supply Chain
(Shanghai) Co., Ltd.,
No. 55, Fei La Road,
Waigaoqiao Free Trade
Zone Pudong New Area,
Shanghai, China 200131.
* Lam Research ...................
International Sarl (Lam
Wuhan Warehouse), c/o
Wuhan HMG Logistics Co.,
Ltd., Factory C101/201,
1-2F Building 1, Central
China Normal, University
Park Road, Wuhan, China
430223.
* Lam Research ...................
International Sarl (Lam
Wuxi Warehouse), c/o HMG
WHL Logistics (Wuxi)
Co., Ltd., Plot J3-4,
No. 5 Gaolang East Road,
CBZ, New District Wuxi,
Wuxi, China 214208.
* Lam Research ...................
International Sarl (Lam
Xiamen Warehouse), c/o
VR Int'l Logistics
(Xiamen) Co., Ltd., C3
Area No. 3 Warehouse,
No. 1007 West Fangshan
Road, Bonded Logistics
Center (Type B) Xiang'an
District, Xiamen, China
361101.
* Lam Research ...................
International Sarl (Lam
Xi'an Warehouse), c/o VR
International Logistics
(Xi'an) Co., Ltd., No.
28 Information Road, EPZ
B Zone, Xi'an New
District, Xi'an, China
710119.
* Lam Research ...................
International Sarl (Wuxi
EPZ Bonded Warehouse), c/
o HMG WHL Logistics
(Wuxi) Co., Ltd., 1st
Floor, Area 4, No. 1,
Plot J3, No. 5 Gaolang
East Road, Export
Processing Zone, Wuxi,
Jiangsu, China 214028.
[[Page 154]]
These Items Authorized ** Lam Research Service ...................
for those Lam's Co., Ltd. (Shanghai),
Destinations Identified 1st Floor, Area C, Hua
by double asterisks Hong Science &
(**): 2B230, 2B350.c, Technology Park, 177 Bi
2B350.d, 2B350.g, Bo Road, Zhangjiang Hi-
2B350.h, 2B350.i, and Tech Park, Pudong New
3B001.e (limited to District, Shanghai,
installation, warranty China 201203.
maintenance/repair, or ** Lam Research Service
maintenance/repair Co., Ltd. (Xiamen), Room
service of semiconductor 705A, Qiangye Building,
manufacturing equipment Xiang'an Industrial
manufactured by Lam, and Park, Xiamen Torch Hi-
items classified under tech Zone, Xiamen, China
ECCN 3B001.e are limited 361115.
to specially designed ** Lam Research Service
components and Co., Ltd. (Beijing
accessories), 3D001 Branch), 6th Floor,
(limited to ``software'' Building 52, No. 2,
(excluding source code) Jingyuan North Street,
specially designed for Beijing Economic &
the ``development'' or Technological
``production'' of Development Area,
equipment controlled by Beijing, China 100176.
ECCN 3B001.e)), 3D002 ** Lam Research Service
(limited to ``software'' Co., Ltd. (Dalian
(excluding source code) Branch), Units 01, 02,
specially designed for 13, 10th Floor, Jinma
the ``use'' of equipment International Building,
controlled by ECCN No. 1 Yongde Street,
3B001.e)), and 3E001 Dalian, China 116620.
(limited to ** Lam Research Service
``development'' Co., Ltd. (Lam Dalian
``technology'' or Representative Office),
``production'' c/o Intel Semiconductor
``technology'' according (Dalian) Ltd., No. 109
to the General Huaihe Road East, Dalian
Technology Note of a Economic & Technical
type to support Development Area,
integration, assembly Dalian, China 116600.
(mounting), inspection,
testing, and quality
assurance of equipment
classified under ECCN
3B001.e)).
** Lam Research Service ...................
Co., Ltd. (Wuhan
Representative Office),
Room 302, Guanggu
Software Park Building
E4, No. 1 Guanshan Road,
Wuhan, Hubei Province,
China 430074.
** Lam Research Service ...................
Co., Ltd. (Wuxi Branch),
Room 302, Building 6,
Singapore International
Park, No. 89 Xing Chuang
Si Road, Wuxi New
District, Wuxi, Jiangsu,
China 214028.
** Lam Research Service ...................
(Shanghai) Co., Ltd.
(Xi'an Branch), Room
602, Building G, Wangzuo
Xiandai City, 35 Tangyan
Road, Gaoxin District,
Xi'an, China 710065.
[[Page 155]]
General.......................... .................... Samsung China All items subject to the Samsung China 78 FR 41291, 7/10/
Semiconductor Co. Export Administration Semiconductor Co., Ltd., 13. 78 FR 69535,
Ltd. Regulations (EAR), No. 1999, North Xiaohe 11/20/13. 79 FR
except ``extreme Road, Xi'an, China 30713, 5/29/14. 80
ultraviolet'' (``EUV'') 710119. FR 11863, 3/5/15.
equipment and 88 FR 71480, 10/17/
``specially designed'' 23.
``parts,''
``components,''
``software,'' and
``technology'' therefor,
necessary for the
``development'' or
``production'' of NAND
memory. Excluded from
Sec. Sec.
744.6(c)(2)(i-iii) and
744.23(a)(1)(iii) and
(a)(2)(iii) of the EAR.
See Sec. 748.15(d).
General.......................... .................... SK hynix All items subject to the SK hynix Semiconductor 78 FR 41291, 7/10/
Semiconductor Export Administration (China) Ltd., Lot K7, 13. 78 FR 69535,
(China) Ltd. Regulations, except Wuxi High-tech Zone, 11/20/13. 79 FR
``extreme ultraviolet'' Comprehensive Bonded 30713, 5/29/14. 80
(``EUV'') equipment and Zone, Wuxi New District, FR 11863, 3/5/15.
``specially designed'' Jiangsu Province, China 88 FR 71478, 10/17/
``parts,'' 214028. 23.
``components,''
``software,'' and
``technology'' therefor,
necessary for the
``development'' or
``production'' of
dynamic random-access
memory (DRAM). Excluded
from Sec. Sec.
744.6(c)(2)(i)-(iii) and
744.23(a)(1)(iii) and
(a)(2)(iii) of the EAR.
See Sec. 748.15(d).
General.......................... India............... GE India Industrial 1C002.a.1, 1C002.a.2, GE India Technology 74 FR 31620, 7/2/
Pvt Ltd. 1C002.b.1.a, Centre Private Limited 09. 74 FR 68147,
1C002.b.1.b, 1E001, (GEITC), No. 122, EPIP, 12/23/09. 77 FR
2E003.f, 9E003.a.1, Phase II, Hoodi Village, 10953, 2/24/12.
9E003.a.2, 9E003.a.4, Whitefield Road,
9E003.a.5, 9E003.a.6, Bangalore 560066,
9E003.a.8, and 9E003.c. Karnataka, India.
Bangalore Engineering
Center (BEC), c/o GE
India Technology Centre
Private Limited (GEITC),
No. 122, EPIP, Phase II,
Hoodi Village,
Whitefield Road,
Bangalore 560066,
Karnataka, India.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[89 FR 80085, Oct. 2, 2024, as amended at 89 FR 96854, Dec. 5, 2024]
[[Page 156]]
Sec. Supplement No. 8 to Part 748--Information Required in Requests for
VEU Authorization
VEU authorization applicants must provide to BIS certain information
about the prospective and related respective validated end-user. This
information must be included in requests for authorization submitted by
prospective validated end-users, or exporters or reexporters who seek to
have certain entities approved as validated end-users. BIS may, in the
course of its evaluation, request additional information.
A. Required Information for Both General and Data Center Validated End-
user Authorization Requests
(1) Name of proposed VEU candidates, including all names under which
the candidate conducts business; complete company physical address
(simply listing a post office box is insufficient); telephone number;
fax number; email address; company website (if available); and name of
individual who should be contacted if BIS has any questions. If the
entity submitting the application is different from the prospective
validated end-user identified in the application, this information must
be submitted for both entities. If the candidate has multiple locations,
all physical addresses located in the eligible destination must be
listed.
(2) Provide an overview of the structure, ownership and business of
the prospective validated end-user. Include a description of the entity,
including type of business activity, ownership, subsidiaries, and joint-
venture projects, as well as an overview of any business activity or
corporate relationship that the entity has with either government or
military organizations.
(3) List the items proposed for VEU authorization approval and their
intended end-uses. Include a description of the items; the ECCN for all
items, classified to the subparagraph level, as appropriate; technical
parameters for the items including performance specifications; and end-
use description for the items. If BIS has previously classified the
item, the Commodity Classification Automated Tracking System (CCATS)
number may be provided in lieu of the information listed in the
foregoing provisions of this paragraph.
(4) Provide the physical address(es) of the location(s) where the
item(s) will be used, if this address is different from the address of
the prospective validated end-user provided in paragraph (1) of this
supplement.
(5) If the prospective validated end-user plans to reexport the
item, specify the destination to which the items will be reexported.
(6) Specify how the prospective validated end-user's record keeping
system will allow compliance with the recordkeeping requirements set
forth in Sec. 748.15(e) of the EAR. Describe the system that is in
place to ensure compliance with VEU requirements.
(7) Include an original statement on letterhead of the prospective
validated end-user, signed and dated by a person who has authority to
legally bind the prospective validated end-user, certifying that the
end-user will comply with all VEU requirements. This statement must
include acknowledgement that the prospective end-user:
(i) Has been informed of and understands that the item(s) it may
receive as a validated end-user will have been exported in accordance
with the EAR and that use or diversion of such items contrary to the EAR
is prohibited;
(ii) Understands and will abide by all authorization VEU end-use
restrictions, including the requirement that items received under
authorization VEU will only be used for authorized end-uses and may not
be used for any activities described in part 744 of the EAR unless
authorized by Sec. 748.15(d);
(iii) Will comply with VEU recordkeeping requirements; and
(iv) Agrees to allow on-site reviews by U.S. Government officials to
verify the end-user's compliance with the conditions of the VEU
authorization.
B. Additional Required Information for Data Center Validated End-User
Authorization Requests
(1) A description of controlled items required in the data center
and an accompanying rationale for why these items are required;
(2) An overview of any business activity or corporate relationship
that the candidate has with either government or military organizations;
(3) An overview of business activities or corporate relationships
that the candidate has with any organization designated on the Entity
List in Supp. No. 4 to part 744 and/or Military End-User List in Supp.
No. 7 to part 744;
(4) Describe physical and logical security requirements for each
location the controlled items will be housed (e.g., around the clock
monitoring, cybersecurity requirements, third-party monitoring; and/or
physical security);
(5) A description of the policies and procedures governing employees
physical and logical access to the VEU data center;
(6) Absent a legal prohibition or other such exceptional
circumstances, a list of current and potential customers of the data
center;
(7) An overview of the data center's information security plan,
which should include:
(i) Cybersecurity plan;
(ii) Logging and monitoring plan;
[[Page 157]]
(iii) Technology control plan that describes how much compute is
required for the various end uses involved;
(iv) Baseline cloud configuration and identity and access management
process for tenants, if a cloud provider;
(v) Personnel security plan; and
(vi) An incident, identification, investigation, and reporting plan;
(8) An explanation of the network infrastructure and architecture
and service providers;
(9) An overview of the applicant's supply chain risk management plan
that will prevent PRC-origin equipment entering the data-center
environment and no PRC vendors are in the supply chain; and
(10) An overview of the applicant's export control training program
and compliance program procedures.
[89 FR 80093, Oct. 2, 2024]
Sec. Supplement No. 9 to Part 748--End-User Review Committee Procedures
(1) The End-User Review Committee (ERC), composed of representatives
of the Departments of State, Defense, Energy, and Commerce, and other
agencies, as appropriate, is responsible for determining whether to add
to, to remove from, or otherwise amend the list of validated end-users
and associated eligible items set forth in supplement no. 7 to this
part. The Department of Commerce chairs the ERC.
(2) Unanimous vote of the Committee is required to authorize VEU
status for a candidate or to add any eligible items to a pre-existing
authorization. Majority vote of the Committee is required to remove VEU
authorization or to remove eligible items from a pre-existing
authorization.
(3) In addition to requests submitted pursuant to Sec. 748.15, the
ERC will also consider candidates for VEU authorization that are
identified by the U.S. Government. When the U.S. Government identifies a
candidate for VEU authorization, relevant parties (i.e., end-users and
exporters or reexporters, when they can be identified) will be notified,
before the ERC determines whether VEU authorization is appropriate, as
to which end-users have been identified as potential VEU authorization
candidates. End-users are not obligated to accept the Government's
nomination.
(4) The ERC will make determinations whether to grant VEU
authorization to each VEU candidate no later than 30 calendar days after
the candidate's complete application is circulated to all ERC agencies.
The Committee may request additional information from an applicant or
potential validated end-user related to a particular VEU candidate's
application. The period during which the ERC is waiting for additional
information from an applicant or potential validated end-user is not
included in calculating the 30 calendar day deadline for the ERC's
determination.
(5) If an ERC agency is not satisfied with the decision of the ERC,
that agency may escalate the matter to the Advisory Committee on Export
Policy (ACEP). The procedures and time frame for escalating any such
matters are the same as those specified for license applications in
Executive Order 12981, as amended by Executive Orders 13020, 13026 and
13117 and referenced in Sec. 750.4 of the EAR.
(6) A final determination at the appropriate decision-making level
to amend the VEU authorization list set forth in supplement no. 7 to
this part operates as clearance by all member agencies to publish the
amendment in the Federal Register.
(7) The Deputy Assistant Secretary of Commerce for Export
Administration will communicate the determination on each VEU request to
the requesting party and the end-user.
[72 FR 33662, June 19, 2007]
PART 750_APPLICATION PROCESSING, ISSUANCE, AND DENIAL--Table of Contents
Sec.
750.1 Scope.
750.2 Processing of Classification Requests and Advisory Opinions.
750.3 Review of license applications by BIS and other government
agencies and departments.
750.4 Procedures for processing license applications.
750.5 [Reserved]
750.6 Denial of license applications.
750.7 Issuance of licenses.
750.8 Revocation or suspension of licenses.
750.9 Duplicate licenses.
750.10 Transfer of licenses for exports.
750.11 Shipping tolerances.
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2013 Comp., p. 223;
Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp., p.
320.
Source: 61 FR 12829, Mar. 25, 1996, unless otherwise noted.
Sec. 750.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C. This part describes the Bureau of Industry and
Security's
[[Page 158]]
(BIS) process for reviewing your application for a license and the
applicable processing times for various types of applications.
Information related to the issuance, revocation, or suspension of a
license and the denial of a license application is provided along with
the procedures on obtaining a duplicate or replacement license (limited
to those which BIS has validated and issued in hardcopy), the transfer
of a license, and the shipping tolerances available on licenses. This
part also contains instructions on obtaining the status of a pending
application.
[86 FR 54812, Oct. 5, 2021]
Sec. 750.2 Processing of Classification Requests and Advisory Opinions.
(a) Classification requests. All classification requests submitted
in accordance with procedures described in Sec. 748.3 (a) and (b) of
the EAR will be answered within 14 calendar days after receipt. All
responses will inform the person of the proper classification (e.g.,
whether or not the item is subject to the Export Administration
Regulations (EAR) and, if applicable, the appropriate Export Control
Classification Number [ECCN]).
(b) Advisory Opinion requests. All advisory opinions submitted in
accordance with procedures described in Sec. 748.3(a) and (c) of the
EAR will be answered within 30 calendar days after receipt. Requests to
obtain Validated End-User authorization will be resolved within 30
calendar days as described in supplement no. 9 to Part 748 of the EAR.
[61 FR 12829, Mar. 25, 1996, as amended at 72 FR 33662, June 19, 2007]
Sec. 750.3 Review of license applications by BIS and other government
agencies and departments.
(a) Review by BIS. In reviewing specific license applications, BIS
will conduct a complete analysis of the license application along with
all documentation submitted in support of the application. In addition
to reviewing the item and end-use, BIS will consider the reliability of
each party to the transaction and review any available intelligence
information. To the maximum extent possible, BIS will make licensing
decisions without referral of license applications to other agencies,
however, BIS may consult with other U.S. departments and agencies
regarding any license application.
(b) Review by other departments or agencies. (1) The Departments of
Defense, Energy, State, and the Arms Control and Disarmament Agency
(ACDA) have the authority to review any license application submitted
under the EAR. In addition, BIS may, where appropriate, refer license
applications to other U.S. government departments or agencies. These
agencies and departments will be referred to as ``agencies'' for the
purposes of this part. Though these agencies have the authority to
review any license application, they may determine that they do not need
to review certain types of license applications. In these instances, the
agency will provide BIS with a Delegation of Authority to process those
license applications without review by that particular agency.
(2) The Departments of Defense, Energy, State, and ACDA are
generally concerned with license applications involving items controlled
for national security, missile technology, nuclear nonproliferation, and
chemical and biological weapons proliferation reasons or destined for
countries and/or end uses of concern. In particular, these agencies are
concerned with reviewing license applications as follows:
(i) The Department of Defense is concerned primarily with items
controlled for national security and regional stability reasons and with
controls related to encryption items;
(ii) The Department of Energy is concerned primarily with items
controlled for nuclear nonproliferation reasons;
(iii) The Department of State is concerned primarily with items
controlled for national security, nuclear nonproliferation, missile
technology, regional stability, anti-terrorism, crime control reasons,
and sanctions; and
(iv) The Department of Justice is concerned with controls relating
to encryption items and items primarily useful for the surreptitious
interception of wire, oral, or electronic communications.
[61 FR 12829, Mar. 25, 1996, as amended at 61 FR 68585, Dec. 30, 1996;
63 FR 50525, Sept. 22, 1998; 71 FR 67036, Nov. 20, 2006; 73 FR 57509,
Oct. 3, 2008]
[[Page 159]]
Sec. 750.4 Procedures for processing license applications.
(a) Overview. (1) All license applications will be resolved or
referred to the President no later than 90 calendar days from the date
of BIS's registration of the license application. Processing times for
the purposes of this section are defined in calendar days. The
procedures and time limits described in this part apply to all license
applications registered on or after February 4, 1996. The procedures and
time limits in effect prior to December 6, 1995 will apply to license
applications registered prior to February 4, 1996.
(2) Properly completed license applications will be registered
promptly upon receipt by BIS. Registration is defined as the point at
which the application is entered into BIS's electronic license
processing system. If your application contains deficiencies that
prevent BIS from registering your application, BIS will attempt to
contact you to correct the deficiencies, however, if BIS is unable to
contact you, the license application will be returned without being
registered. The specific deficiencies requiring return will be
enumerated in a notice accompanying the returned license application. If
a license application is registered, but BIS is unable to correct
deficiencies crucial to processing the license application, it will be
returned without action. The notice will identify the deficiencies and
the action necessary to correct the deficiencies. If you decide to
resubmit the license application, it will be treated as a new license
application when calculating license processing time frames.
(b) Actions not included in processing time calculations. The
following actions will not be counted in the time period calculations
described in paragraph (a)(1) of this section for the processing of
license applications:
(1) Agreement by the applicant to the delay. BIS may request
applicants to provide additional information in support of their license
application, respond to questions arising during processing, or accept
proposed conditions or riders on their license application. If BIS has
provided the applicant with an intent to deny letter described in Sec.
750.6 of this part, processing times may be suspended in order to
negotiate modifications to a license application and obtain agreement to
such modifications from the foreign parties to the license application.
(2) Pre-license checks. BIS conducts pre-license checks in order to
establish the identity and reliability of the recipient of the items
subject to the EAR that require a license, as well as to substantiate
representations made on the license application. The results of the pre-
license check, including the U.S. government's inability to conduct the
pre-license check due to the end user's or host government's actions,
will be considered in determining the outcome of a license application.
The time required to conduct a pre-license check is not included in
license application processing time calculations according to this
paragraph, if the pre-license check is:
(i) Conducted through government channels, and
(ii) The request for a pre-license check is made by the Secretary or
by another agency within the following time frames:
(A) The pre-license check is requested within 5 days of the
determination that it is necessary; and
(B) The analysis resulting from the pre-license check is completed
and reported to licensing officials within 5 days.
(3) Government-to-Government assurances. Requests for government-to-
government assurances of suitable end-use of items approved for export
or reexport when failure to obtain such assurances would result in
rejection of the license application, provided that:
(i) The request for such assurances is sent to the Secretary of
State within five days of the determination that the assurances are
required;
(ii) The Secretary of State initiates the request of the relevant
government within 10 days of receipt of the request for such assurances;
and
(iii) The license is issued within 5 days of the Secretary's receipt
of the requested assurances.
[[Page 160]]
(4) Consultations. Consultation with other governments, if such
consultation is provided for by a relevant bilateral arrangement or
multilateral regime as a precondition for approving a license.
(5) Multilateral reviews. Multilateral review of a license
application if such review is required by the relevant multilateral
regime.
(6) Congressional notification. Under Section 6(j) of the Export
Administration Act, as amended (EAA), the Secretaries of Commerce and
State are required to notify appropriate Committees of the Congress 30
days prior to issuing a license to any country designated by the
Secretary of State as being terrorist-supporting for any items that
could make a significant contribution to the military potential of such
countries, or could enhance the ability of such countries to support
acts of international terrorism. Accordingly, the issuance of any
license subject to this requirement will be delayed for 30 days.
(i) Designated countries. The following countries have been
designated by the Secretary of State as terrorist-supporting countries:
Iran, North Korea, and Syria.
(ii) Items subject to notification requirement. License applications
involving the export or reexport of the following items to the military,
police, intelligence or other sensitive end-users are subject to this
notification requirement:
(A) All items controlled for national security reasons;
(B) All items controlled for chemical and biological weapons
proliferation reasons;
(C) All items controlled for missile technology reasons;
(D) All items controlled for nuclear nonproliferation reasons; and
(E) All items controlled by the CCL where the entry heading
identifies the items controlled as those contained in the Wassenaar
Arrangement Munitions List.
(iii) Additional notifications. The Secretaries of Commerce and
State must also notify the appropriate Congressional committees 30 days
before a license is issued for the export or reexport of any item
controlled on the CCL to a designated country if the Secretary of State
determines that the export or reexport ``could make a significant
contribution to the military potential of such country, including its
military logistics capability, or could enhance the ability of such
country to support acts of international terrorism.''
(7) Congressional notification. Congressional notification,
including any consultations prior to notification, prior to the issuance
of an authorization to export when notification is required by Sec.
743.5 of the EAR.
(8) Satellites for launch. Applicant must obtain approval by the
Department of Defense of a technology transfer control plan and the
National Security Agency of an encryption technology transfer control
plan and must make arrangements with the Department of Defense for
monitoring of all launch activities.
(c) Initial processing. Within 9 days of license application
registration, BIS will, as appropriate:
(1) Contact the applicant if additional information is required, if
the license application is improperly completed, or required support
documents are missing, to request additional or corrected information;
(2) Assure the stated classification on the license application is
correct;
(3) Return the license application if a license is not required with
a statement notifying the applicant that a license is not required;
(4) Approve the license application or notify the applicant of the
intent to deny the license application; or
(5) Refer the license application electronically along with all
necessary recommendations and analysis concurrently to all agencies
unless the application is subject to a Delegation of Authority. Any
relevant information not contained in the electronic file will be
simultaneously forwarded in paper copy.
(d) Review by other agencies and/or interagency groups. (1) Within
10 days of receipt of a referral the reviewing agency must advise BIS of
any information not contained in the referral as described in paragraph
(c)(5) of this section. BIS will promptly request such information from
the applicant. The
[[Page 161]]
time that elapses between the date the information is requested by the
reviewing agency and the date the information is received by the
reviewing agency will not be counted in processing time frames.
(2) Within 30 days of receipt of the initial referral, the reviewing
agency will provide BIS with a recommendation either to approve (with or
without conditions or riders) or deny the license application. As
appropriate, such a recommendation may be made with the benefit of
consultation and/or discussions in interagency groups established to
provide expertise and coordinate interagency consultation. These
interagency groups consist of:
(i) The Missile Technology Export Control Group (MTEC). The MTEC,
chaired by the Department of State, reviews license applications
involving items controlled for missile technology reasons. The MTEC also
reviews license applications involving items not controlled for missile
technology (MT) reasons, but destined for a country and/or end-use/end-
user of MT concern.
(ii) The SubGroup on Nuclear Export Coordination (SNEC). The SNEC,
chaired by the Department of State, reviews license applications
involving items controlled for nuclear nonproliferation reasons. The
SNEC also reviews license applications involving items not controlled
for nuclear nonproliferation (NP) reasons, but destined for a country
and/or end-use/end-user of NP concern.
(iii) The Shield. The Shield, chaired by the Department of State,
reviews license applications involving items controlled for chemical and
biological weapons reasons. The Shield also reviews license applications
involving items not controlled for chemical and biological weapons (CBW)
reasons, but destined for a country and/or end-use/end-user of CBW
concern.
(iv) Remote Sensing Interagency Working Group (RSIWG). The RSIWG,
chaired by the State Department, reviews license applications involving
remote sensing spacecraft described in ECCN 9A515.a.1, .a.2, .a.3, or
.a.4, sensitive remote sensing components described in 9A515.g, or
``technology'' described in ECCN 9E515.f.
(v) The Safeguard. The Safeguard, chaired by the Department of
State, reviews license applications involving firearm and shotgun
related items controlled under 0x5zz ECCNs.
(e) Recommendations by reviewing agencies. Reviewing agencies
recommending denial of a license application must provide a statement of
reasons, consistent with the provisions of the EAA or EAR, and cite both
the statutory and the regulatory basis for the recommendation to deny. A
reviewing agency that fails to provide a recommendation within 30 days
with a statement of reasons supported by the statutory and regulatory
basis shall be deemed to have no objection to the final decision of BIS.
(f) Interagency dispute resolution and escalation procedures--(1)
Escalation to the Operating Committee (OC). (i) In any instance where
the reviewing agencies are not in agreement on final disposition of a
license application, it will be escalated to the OC for resolution. The
Chair of the OC will consider the recommendations of the reviewing
agencies and any information provided by the applicant in person during
an open OC session. Each agency will be informed of the Chair's decision
on the license application within 14 days after the deadline for
receiving agency recommendations.
(ii) If any agency disagrees with the OC Chair's decision, the
agency may escalate the decision by appealing to the Chair of the
Advisory Committee on Export Policy for resolution. If such a request
for escalation is not made within 5 days of the decision of the OC
Chair, the Chair's decision will be final.
(2) Escalation to the Advisory Committee on Export Policy (ACEP).
Requests for escalation to the ACEP must be in writing from an official
appointed by the President with the advice and consent of the Senate, or
a person properly acting in such capacity, and cite both the statutory
and the regulatory basis for the appeal. The ACEP will review all
relevant information and recommendations. The Chair of the ACEP will
inform the reviewing agencies of the majority vote decision of the ACEP
within 11 days from the date of receipt of the escalation request.
[[Page 162]]
Within 5 days of the decision, any dissenting agency may appeal in
writing the ACEP's decision to the Secretary of Commerce in the
Secretary's capacity as the Chair of the Export Administration Review
Board. The written request must be made by the head of the agency
requesting escalation and cite both the statutory and the regulatory
basis for the appeal. Within the same period of time, the Secretary may
initiate a meeting on his or her own initiative to consider a license
application. In the absence of a timely appeal, the decision of the ACEP
will be final.
(3) Escalation to the Export Administration Review Board (EARB). The
EARB will review all relevant information and recommendations, and such
other export control matters as may be appropriate. The Secretary of
Commerce will inform the reviewing agencies of the majority vote
decision of the EARB within 11 days from the date of receipt of the
appeal. Within 5 days of the decision, any agency dissenting from the
decision of the EARB may appeal the decision to the President. The
appeal must be in writing from the head of the dissenting agency. In the
absence of a timely appeal, the decision of the EARB will be final.
[61 FR 12829, Mar. 25, 1996, as amended at 62 FR 25463, May 9, 1997; 69
FR 46079, July 30, 2004; 71 FR 20887, Apr. 24, 2006; 71 FR 51719, Aug.
31, 2006; 72 FR 43532, Aug. 6, 2007; 78 FR 22725, Apr. 16, 2013; 80 FR
43319, July 22, 2015; 82 FR 2881, Jan. 10, 2017; 85 FR 73414, Nov. 18,
2020; 86 FR 4934, Jan. 19, 2021; 89 FR 34708, Apr. 30, 2024]
Sec. 750.5 [Reserved]
Sec. 750.6 Denial of license applications.
(a) Intent to deny notification. If BIS intends to deny your license
application, BIS will notify you in writing within 5 days of the
decision. The notification will include:
(1) The intent to deny decision;
(2) The statutory and regulatory basis for the denial;
(3) To the extent consistent with the national security and foreign
policy of the United States, the specific considerations that led to the
decision to deny the license application;
(4) What, if any, modifications or restrictions to the license
application would allow BIS to reconsider the license application;
(5) The name of the BIS representative in a position to discuss the
issues with the applicant; and
(6) The availability of appeal procedures.
(b) Response to intent to deny notification. You will be allowed 20
days from the date of the notification to respond to the decision before
the license application is denied. If you respond to the notification,
BIS will advise you if, as a result of your response, the decision to
deny has been changed. Unless you are so advised by the 45th day after
the date of the notification, the denial will become final, without
further notice. You will then have 45 days from the date of final denial
to exercise the right to appeal under part 756 of the EAR.
Sec. 750.7 Issuance of licenses.
(a) Scope. (1) Unless limited by a condition set out in a license,
the export, reexport, or transfer (in-country) authorized by a license
is for the item(s), end-use(s), and parties described in the license
application and any letters of explanation. The applicant must inform
the other parties identified on the license, such as the ultimate
consignees and end users, of the license's scope and of the specific
conditions applicable to them.
(2) BIS grants licenses in reliance on representations the applicant
made or submitted in connection with the license application, letters of
explanation, and other documents submitted. Any license obtained in
which a false or misleading representation was made, or a material fact
was falsified or concealed on the license application, letters of
explanation, or any document submitted in connection with the license
application, shall be deemed void as of the date of issuance. See Sec.
750.8(a) of the EAR, which provides that all licenses are subject to
revocation, in whole or in part, without notice. See part 764 of the EAR
for other sanctions that may result in the event a violation occurs.
(3) A BIS license authorizing the release of ``technology'' to an
entity also authorizes the release of the same ``technology'' to the
entity's foreign
[[Page 163]]
persons who are permanent and regular employees (and who are not
proscribed persons) of the entity's facility or facilities authorized on
the license, except to the extent a license condition limits or
prohibits the release of the ``technology'' to foreign persons of
specific countries or country groups. See Sec. 734.20 of the EAR for
additional information regarding the release of ``technology''
authorized by a BIS license.
(b) Issuance of a license. BIS may issue a license electronically
via its Simplified Network Application Processing (SNAP-R) system or via
paper or both electronically and via paper. Each license has a license
number that will be shown on the license.
(c) Changes to the license. (1) The following non-material changes
do not require submission of a ``Replacement'' license or any other
notification to BIS. (If you wish to make any change not identified in
this paragraph, you will need to submit a ``Replacement'' license in
accordance with the instructions contained in supplement no. 1 to part
748 of the EAR, Block 11):
(i) Decrease in unit price or total value;
(ii) Increase in price if permitted under the shipping tolerances in
Sec. 750.11 of this part;
(iii) Increase in price that can be justified on the basis of
changes in point of delivery, port of export, or as a result of
transportation cost, drayage, port charges, warehousing, currency
fluctuations, etc.;
(iv) Establishment of unit or total price in conformance with a
``price statement'' on a license that permits price to be based on the
market price at a specified date plus an exporter's mark-up, or like
basis;
(v) Change in intermediate consignee if the new intermediate
consignee is located in the country of ultimate destination as shown on
the license, except a change in, or addition of, an intermediate
consignee involving a consolidated shipment;
(vi) Change in continuity of shipment by unloading from carrier at a
country listed in Country Group B (see supplement no. 1 to part 740 of
the EAR) port not in the country of ultimate destination, without the
designation of an intermediate consignee on the shipping documents and
license, provided:
(A) The purpose is to transfer the shipment to another vessel,
barge, or vehicle, solely for onforwarding to the country of destination
shown on the shipping documents and the license;
(B) The shipment is moving on a through bill of lading;
(C) The carrier is not registered in, owned or controlled by, or
under charter or lease to a country in Country Group D:1 or E:2 (see
supplement no. 1 to part 740 of the EAR), or a national of any of these
countries;
(D) The carrier retains custody of the shipment until it is
delivered to the ultimate consignee; and
(E) The original bill of lading or air waybill first issued at the
port of export is delivered with the shipment to the ultimate consignee;
(vii) Change in address of purchaser or ultimate consignee if the
new address is located within the same country shown on the license; or
(viii) Change in ECCN, where necessary only for the purpose of
conforming to an official revision in the CCL; or wording of the item
description. This does not cover an actual change in the item to be
shipped, or an increase in the total price or quantity on the license.
(ix) Direct exports, reexports, or transfers (in-country) to and
among approved end users and the ultimate consignee on a license,
provided those end users and ultimate consignee are listed by name and
location on such license and the license does not contain any conditions
specific to the ultimate consignee that cannot be complied with by the
end user, such as a reporting requirement that must be made by the
ultimate consignee. Reexports and transfers (in-country) among approved
end users may be further limited by license conditions; or
(x) Export, reexport or transfer (in-country) of missile technology
(MT) controlled minimum necessary ``software'' and/or ``technology''
permitted pursuant to the missile technology licensing policy in Sec.
742.5(b)(3) of the EAR. (See Sec. 742.5(b)(3)(i) for the scope of
eligible minimum ``software'' and/or ``technology'' and other
limitations for licenses for MT controlled items).
[[Page 164]]
Note 1 to paragraph (c)(1)(x): This MT licensing policy is
implemented pursuant to paragraph (c)(1)(x) of this section because it
applies to all MT licenses, except when a condition is placed on the
license which excludes the use of paragraph (c)(1)(x) of this section,
as described in Sec. 742.5(b)(3)(ii).
Note 2 to paragraph (c)(1)(x): License Exception TSU under Sec.
740.13 of the EAR is available for the ECCNs controlled for MT reasons
specified in paragraph (a)(5) in Sec. 740.2, provided the software or
technology is for an end use specified in that paragraph and meets the
requirements of License Exception TSU. (See Sec. Sec. 740.2(a)(5) and
740.13). The licensing policy in Sec. 742.5(b)(3) is only available for
licensed exports (or reexports, or transfers (in-country)).
(xi) Addition of a new HTS-6 Code identified under supplements nos.
2, 4, or 5 to part 746 or item identified under supplement no. 6 to part
746 for export or reexport to or transfer within Russia or Belarus,
provided the criteria of this paragraph are met.
(A) The end use of the BIS license is for the divesture of items
within Russia or Belarus or their transfer within Russia or Belarus for
the purpose of reexporting such items from Russia or Belarus;
(B) The new HTS-6 Code under supplements nos. 2, 4, or 5 to part 746
or item identified under supplement no. 6 to part 746 was added to the
EAR after the validation date of the BIS license;
(C) The BIS license has not yet expired; and
(D) The export, reexport, or in-country transfer of these additional
HTS-6 Codes under supplements nos. 2, 4, or 5 to part 746 or items
identified under supplement no. 6 to part 746 will not exceed the
shipping tolerance of the original license or the number of units
authorized under the original license.
(2) In some circumstances, BIS may authorize changing the name of a
person listed on a license (i.e., name of exporter, reexporter,
purchaser, intermediate consignee, ultimate consignee or end user),
provided the pertinent person has not undergone a change in ownership,
including merger or acquisition, or any other change in legal status
since the time the license was issued. In order to rely on this
paragraph (c)(2), BIS must have approved the name change in response to
an advisory opinion request submitted by the licensee pursuant to Sec.
748.3(c) of the EAR and the instructions below.
(i) The advisory opinion request must be submitted on the licensee's
company letterhead and include the following information:
(A) The title of the advisory opinion, in this format: ``License
name change notification and review request;''
(B) All license numbers subject to the notification and review
request (either in the letter or as a separate attachment);
(C) The name(s) changing on the license(s) (include the original and
new names), and when the name(s) are changing (either in the letter or
as a separate attachment);
(D) Any background information available on the reasons for the name
change(s) (e.g., press releases from the person changing its name(s));
and
(E) A statement regarding whether there has been a change in
ownership, including a merger or acquisition, or any other change in
legal status regarding the person(s) changing its name(s).
(F) Confirmation that, if the request is approved, the licensee will
share the advisory opinion response from BIS with all other persons
listed on the license, and inform those persons that the advisory
opinion response must be retained pursuant to the recordkeeping
requirements in part 762 of the EAR.
(ii) If BIS determines the name change is not a material change to
the license and approves the request to change the name(s) on the
license, BIS will send a written response to the licensee who submitted
the notification. If BIS does not approve the request to change the
name(s) on the license, BIS will send a written response to the licensee
who submitted the notification.
(iii) For guidance on using an export license with approved name
changes, see Sec. 758.4(d) (Exports against license with approved name
change).
(iv) If a license name change notification and review request is
denied by BIS or the licensee determines that there has been a material
change to the license, such as a change in ownership of a person on the
license, including merger or acquisition, or any other change in legal
status since the time
[[Page 165]]
the license was issued, a new license application should be submitted.
(d) Responsibility of the licensee. The person to whom a license is
issued is the licensee. In export transactions, the exporter must be the
licensee, and the exporter-licensee is responsible for the proper use of
the license, and for all terms and conditions of the license, except to
the extent that certain terms and conditions are directed toward some
other party to the transaction. In reexport or routed export
transactions, a U.S. agent acting on behalf of a foreign principal party
in interest may be the licensee; in these cases, both the agent and the
foreign principal party in interest, on whose behalf the agent has
acted, are responsible for the use of the license, and for all terms and
conditions of the license, except to the extent that certain terms and
conditions are directed toward some other party to the transaction. It
is the licensee's responsibility to communicate in writing the specific
license conditions to the parties to whom those conditions apply. In
addition, when required by the license, the licensee is responsible for
obtaining written acknowledgment(s) of receipt of the conditions from
the party(ies) to whom those conditions apply.
(e) Prohibited use of a license. No person convicted of a violation
of any statute specified in section 11(h) of the EAA, at the discretion
of the Secretary of Commerce, may apply for any license for a period up
to 10 years from the date of the conviction. See Sec. 766.25 of the
EAR.
(f) Quantity of commodities authorized. Unlike software and
technology, commodities will be approved with a quantity and dollar
value limit. Any license resulting from a license application to export
or reexport commodities will be licensed in terms of the specified unit
of quantity commonly used in trade. A total dollar value for the
commodity will be authorized based on the per unit price of the
commodity. Subject to the shipping tolerances authorized in Sec. 750.11
of this part, the authorization is limited by both the quantity and
value listed on the license.
(g) License validity period. Licenses involving the export or
reexport of items will generally have a four-year validity period,
unless a different validity period has been requested and specifically
approved by BIS or is otherwise specified on the license at the time
that it is issued. Exceptions from the four-year validity period
include: license applications for items controlled for short supply
reasons, which will be limited to a one-year validity period and license
applications reviewed and approved as an ``emergency'' (see Sec.
748.4(h) of the EAR); and controlled under ECCNs 0A501, 0A502, 0A504,
0A505, 0A506, 0A507, 0A508, or 0A509, which will generally be limited to
a one-year validity period. Emergency licenses will expire no later than
the last day of the calendar month following the month in which the
emergency license is issued. The expiration date will be clearly stated
on the face of the license. If the expiration date falls on a legal
holiday (Federal or State), the validity period is automatically
extended to midnight of the first business day following the expiration
date.
(1) Extended validity period. BIS will consider granting a validity
period exceeding four years (or exceeding one year for applications
subject to that shorter validity period) on a case-by-case basis when
extenuating circumstances warrant such an extension. Requests for such
extensions may be made at the time of application or after the license
has been issued and it is still valid. BIS will not approve changes
regarding other aspects of the license, such as the parties to the
transaction and the countries of ultimate destination. An extended
validity period will generally be granted where, for example, the
transaction is related to a multi-year project; when the period
corresponds to the duration of a manufacturing license agreement,
technical assistance agreement, warehouse and distribution agreement, or
license issued under the International Traffic in Arms Regulations; when
production lead time will not permit an export or reexport during the
original validity period of the license; when an unforeseen emergency
prevents shipment within the 4-year validity of the license; or for
other similar circumstances.
(2) Request for extension. (i) The applicant must submit a letter in
writing to
[[Page 166]]
request an extension in the validity period of a previously approved
license. The subject of the letter must be titled: ``Request for
Validity Period Extension'' and contain the following information:
(A) The name, address, and telephone number of the requestor;
(B) A copy of the original license, with the license number,
validation date, and current expiration date legible; and
(C) Justification for the extension;
(ii) It is the responsibility of the applicant to ensure that all
applicable support documents remain valid and are in the possession of
the applicant. If the request for extension is approved, BIS will
provide the applicant with a written response.
(h) Specific types of licenses--(1) Licenses for temporary exports
or reexports. If you have been granted a license for the temporary
export or reexport of items and you decide not to return the items to
the United States, you must submit a license application requesting
authorization to dispose of the items. Except when the items are to be
used on a temporary basis at a new destination (and returned to the
United States after such use), you must ensure that your license
application is accompanied by all documents that would be required if
you had requested a license to export or reexport the same item directly
to the new destination.
(2) Intransit within the United States. If you have been issued a
license authorizing an intransit shipment (that does not qualify for the
intransit provisions of License Exception TMP) through the United
States, your license will be valid only for the export of the intransit
shipment wholly of foreign origin and for which a Transportation and
Exportation customs entry or an Immediate Exportation customs entry is
outstanding.
(3) Intransit outside the United States. If you have been issued a
license authorizing unlading or transit through a country listed in the
General Prohibition Eight contained in Sec. 736.2(b)(8) of the EAR, and
you did not know the identity of the intermediate consignee at the time
of the original license application, you must notify BIS in writing once
you have ascertained the identity of the intermediate consignee. Your
notification must contain the original license number, and the complete
name, address, and telephone number of the intermediate consignee. The
written request must be submitted to BIS at the address listed in Sec.
748.1(d)(2) of the EAR.
(4) Replacement license. If you have been issued a ``replacement
license'' (for changes to your original license not covered in paragraph
(c) of this section), you must retain both the original and the
replacement license.
(i) Terminating license conditions. Exporters or reexporters who
have shipped under licenses with conditions that would not apply to an
export under a License Exception or if no license was required, and
foreign consignees who have agreed to such conditions, are no longer
bound by these conditions when the licensed items become eligible for a
License Exception or can be exported or reexported without a license.
Items that become eligible for a License Exception are subject to the
terms and conditions of the applicable License Exception and to the
restrictions in Sec. 740.2 of the EAR. Items that become eligible for
export without a license remain subject to the EAR and any export,
reexport, or disposition of such items may only be made in accordance
with the requirements of the EAR. Termination of license conditions does
not relieve an exporter or reexporter of its responsibility for
violations that occurred prior to the availability of a License
Exception or prior to the removal of license requirements.
(j) Records. If you have been issued a license you must retain the
license, and maintain complete records in accordance with part 762 of
the EAR including any licenses (whether used or unused, valid or
expired) and all supporting documents and shipping records.
[61 FR 12829, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting Sec.
750.7, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
[[Page 167]]
Sec. 750.8 Revocation or suspension of licenses.
(a) Revocation. All licenses for exports or reexports are subject to
revision, suspension, or revocation, in whole or in part, without
notice. BIS's Office of Exporter Services may revoke any license in
which a person who has been convicted of one of the statutes specified
in section 11(h) of the EAA, at the discretion of the Secretary of
Commerce, has an interest in the license at the time of the conviction.
It may be necessary for BIS to stop a shipment or an export or reexport
transaction at any stage in the process (e.g., in order to prevent an
unauthorized export or reexport). If a shipment is already en route, it
may be further necessary for BIS to order the return or unloading of
such shipment at any port of call in accordance with the provisions of
the EAA.
(b) Revoked or suspended licenses. If BIS revokes or suspends a
license, the licensee must retain all applicable supporting documents
and records of shipments in accordance with the recordkeeping provisions
of part 762 of the EAR.
[61 FR 12829, Mar. 25, 1996, as amended at 73 FR 49331, Aug. 21, 2008;
76 FR 12280, Mar. 7, 2011; 86 FR 54813, Oct. 5, 2021]
Sec. 750.9 Duplicate licenses.
(a) Lost, stolen or destroyed. For licensees whom BIS authorized the
submission of paper applications, if a license is lost, stolen or
destroyed, you, as the licensee, may obtain a duplicate of the license
by submitting a letter to the BIS at the address listed in Sec.
748.1(d)(2) of the EAR, Attention: Duplicate License Request.'' You must
certify in your letter:
(1) That the original license ([number] issued to [name and address
of licensee]) has been lost, stolen or destroyed; and
(2) The circumstances under which it was lost, stolen or destroyed.
(b) Hong Kong Trade Department. BIS will automatically issue a
duplicate license whenever the license lists a party in Hong Kong as the
intermediate consignee, or when Hong Kong is identified as the country
from which the reexport will take place. The duplicate license will be
labeled ``Duplicate for Hong Kong Trade Department''. This duplicate
must be forwarded to the reexporter or intermediate consignee for
submission to the Hong Kong Trade Department. The original license must
be retained on file by the licensee in accordance with the recordkeeping
provisions contained in part 762 of the EAR.
[61 FR 12829, Mar. 25, 1996, as amended at 73 FR 49331, Aug. 21, 2008;
86 FR 54813, Oct. 5, 2021]
Sec. 750.10 Transfers of licenses for exports.
(a) Authorization. As the licensee, you may not transfer a license
issued for the export of items from the United States to any other
party, except with the prior written approval of BIS. BIS may authorize
a transfer of a license for export to a transferee who is subject to the
jurisdiction of the United States, is a principal party in interest, and
will assume all powers and responsibilities under the license for the
control of the shipment of the items out of the United States. BIS will
approve only one transfer of the same license and only transfers of
licenses to export items.
(b) How to request the transfer of licenses--(1) Letter from
licensee. You, as the licensee, must submit a letter in writing to
request a transfer of a license or licenses. The letter must contain the
following information:
(i) The reasons for the requested transfer;
(ii) Either a list of the outstanding license numbers or a statement
that all outstanding licenses in the name of the licensee are to be
transferred, and the total number of such outstanding licenses;
(iii) A list of all license applications for export to be
transferred that are pending with BIS, identifying the Application
Control Number for each, or other information that will assist in
identifying the pending license applications;
(iv) Name and address of the person you intend to transfer the
licenses and license applications to;
(v) The facts necessitating transfer;
(vi) A statement as to whether or not any consideration has been, or
will be, paid for the transfer; and
[[Page 168]]
(vii) Identification by name of the legal document (certificate,
agreement, etc.) or other authority by which the new firm name is
legally established, the new corporation or firm created, or the assets
transferred and showing the effective date of such document and the
state where filed or recorded.
(2) Information from transferee. The person to whom you wish to
transfer your license(s) must provide you a signed letter, that must be
submitted with your request, containing the following:
(i) That the transferee is a principal party in interest in the
transaction covered by the license, or is acting as agent for a
principal party in interest;
(ii) That the transferee is subject to the jurisdiction of the
United States;
(iii) That the transferee assumes all powers and responsibilities
under the license for the control of the shipment of the items out of
the United States;
(iv) Whether any consideration has been, has not been, or will be
paid for the transfer;
(v) The name and address of the foreign principal in instances where
the transferee will make the export as an agent on behalf of a foreign
principal; and
(vi) If the license is to be transferred to a subsidiary or firm, or
if you transfer to the transferee all, or a substantial portion, of your
assets or business, the transferee must certify that the legal authority
changing the exporter imposes on the transferee the responsibility to
accept and fulfill the obligations of the transferor under the
transactions covered by the license; and
(vii) The following certification:
The undersigned hereby certifies that, if license number(s) ______
is (are) transferred in accordance with my (our) request, any and all
documents evidencing the order covered by this (these) license(s) will
be retained and made available upon request in compliance with the
recordkeeping provisions contained in Part 762 of the Export
Administration Regulations. The undersigned further certifies compliance
with all requirements of the Export Administration Regulations regarding
these licenses.
(c) Notification of transfer and recordkeeping. Unless instructed
otherwise by BIS, you must retain the license(s) pending notification by
BIS of the action taken. If the request is approved, you must forward
the license(s) to the transferee and the validated letter received from
BIS authorizing the transfer. If the transfer request is not approved,
the license(s) must either be returned to BIS or used by you if you so
choose and have retained the legal and operational capacity fully to
meet the responsibilities imposed by the license(s). If your initial
request is returned by BIS for additional information, after obtaining
the necessary information you may resubmit your request.
[61 FR 12829, Mar. 25, 1996, as amended at 62 FR 25463, May 9, 1997]
Sec. 750.11 Shipping tolerances.
Under some circumstances, you may use a license issued for the
export of items from the United States to export more than the value
shown on that license. This additional amount is called a shipping
tolerance. This section tells you, as the licensee, when you may take
advantage of a shipping tolerance and the amount of shipping tolerance
you are permitted to use.
(a) If you have already shipped the full quantity of items approved
on your license, you may not use this shipping tolerance provision. No
further shipment may be made under the license.
(b) If you have not shipped the full quantity of items approved on
the license, the value of all of your shipments under one license, up to
the full quantity approved on the license, may exceed the total dollar
value stated on that license by up to 10%, unless;
(1) Your license stipulates a specific shipping tolerance; or
(2) Your item is controlled for short supply reasons and a different
tolerance has been established. (See part 754 of the EAR).
[78 FR 61902, Oct. 4, 2013]
PART 752 [RESERVED]
PART 754_SHORT SUPPLY CONTROLS--Table of Contents
Sec.
754.1 Introduction.
754.2 [Reserved]
754.3 Petroleum products not including crude oil.
[[Page 169]]
754.4 Unprocessed western red cedar.
754.5 Horses for export by sea.
754.6 Registration of U.S. agricultural commodities for exemption from
short supply limitations on export.
754.7 Petitions for the imposition of monitoring or controls on
recyclable metallic materials; Public hearings.
Supplement No. 1 to Part 754--Crude Petroleum and Petroleum Products
Supplement No. 2 to Part 754--Unprocessed Western Red Cedar
Supplement No. 3 to Part 754 [Reserved]
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 15 U.S.C. 1824; E.O.
11912, 41 FR 15825, 3 CFR, 1976 Comp., p. 114; E.O. 13222, 66 FR 44025,
3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12844, Mar. 25, 1996, unless otherwise noted.
Sec. 754.1 Introduction.
(a) Scope. In this part, references to the Export Administration
Regulations (EAR) are references to 15 CFR chapter VII, subchapter C.
This part implements the provisions of section 7, ``Short Supply
Controls,'' of the Export Administration Act (EAA) and similar
provisions in other laws that are not based on national security and
foreign policy grounds.
(b) Contents. Specifically, this part deals with the following:
(1) It sets forth the license requirements and licensing policies
for commodities that contain the symbol ``SS'' in the ``Reason for
Control'' part of ``License Requirements'' section of the applicable
Export Control Classification Number (ECCN) identified on the Commerce
Control List (supplement no. 1 to part 774 of the EAR). In appropriate
cases, it also provides for License Exceptions from the short supply
licensing requirements described in this part. The license requirements
and policies that are described in this part cover the following:
(i) [Reserved]
(ii) Petroleum products other than crude oil listed in supplement
no. 1 to this part, that were produced or derived from the Naval
Petroleum Reserves (NPR) or became available for export as a result of
an exchange of any NPR-produced or -derived commodities described by the
following ECCNs. For specific licensing requirements for these items,
see Sec. 754.3 of this part.
(A) ECCN 1C980 (Inorganic chemicals);
(B) ECCN 1C982 (Other petroleum products);
(C) ECCN 1C983 (Natural gas liquids and other natural gas
derivatives); and
(D) ECCN 1C984 (Manufactured gas and synthetic natural gas (except
when commingled with natural gas and thus subject to export
authorization from the Department of Energy).
(iii) Unprocessed western red cedar described by ECCN 1C988 (Western
red cedar (thuja plicata) logs and timber, and rough, dressed and worked
lumber containing wane). For specific licensing requirements for these
items, see Sec. 754.4 of this part.
(iv) Horses exported by sea for slaughter covered by ECCN 0A980
(Horses for export by sea). For specific licensing requirements, see
Sec. 754.5 of this part.
(2) It incorporates statutory provisions for the registration of
U.S. agricultural commodities for exemption from short supply
limitations on export (see Sec. 754.6 of this part); and
(3) It incorporates statutory provisions for the filing and review
of petitions seeking the imposition of monitoring or controls on
recyclable metallic materials and procedures for related public hearings
(see Sec. 754.7 of this part).
(c) Reexports. Reexports of items controlled by this part require a
license only if such a requirement is specifically set forth in this
part or is set forth on the license authorizing the export from the
United States.
(d) Additional requirements for embargoed destinations. For exports
involving embargoed destinations, you must satisfy the requirements of
this part and also of part 746 of the EAR (Embargoes and Other Special
Controls).
[61 FR 12844, Mar. 25, 1996, as amended at 79 FR 34410, June 17, 2014;
81 FR 29486, May 12, 2016]
Sec. 754.2 [Reserved]
Sec. 754.3 Petroleum products not including crude oil.
(a) License requirement. As indicated by the letters ``SS'' in the
``Reason for
[[Page 170]]
Control'' paragraph in the ``License Requirements'' section of ECCNs
1C980, 1C982, 1C983, and 1C984 on the CCL (supplement no. 1 to part 774
of the EAR), a license is required to all destinations, including
Australia, Canada, and the United Kingdom, for the export of petroleum
products, excluding crude oil, listed in supplement no. 1 to this part,
that were produced or derived from the Naval Petroleum Reserves (NPR) or
became available for export as a result of an exchange of any NPR
produced or derived commodities.
(b) License policy. (1) Applications for the export of petroleum
products listed in supplement no. 1 to this part that were produced or
derived from the Naval Petroleum Reserves, or that became available for
export as a result of an exchange for a Naval Petroleum Reserves
produced or derived commodity, other than crude oil, will be denied,
unless the President makes a finding required by the Naval Petroleum
Reserves Production Act (10 U.S.C. 7430).
(2) Applications that involve temporary exports or exchanges
excepted from that Act will be approved.
[61 FR 12844, Mar. 25, 1996, as amended at 89 FR 28601, Apr. 19, 2024]
Sec. 754.4 Unprocessed western red cedar.
(a) License requirement. As indicated by the letters ``SS'' in the
``Reason for Control'' paragraph in the ``License Requirements'' section
of ECCN 1C988 on the CCL (supplement no. 1 to part 774 of the EAR), a
license is required to all destinations, including Australia, Canada,
and the United Kingdom, for the export of unprocessed western red cedar
covered by ECCN 1C988 (Western red cedar (thuja plicata) logs and
timber, and rough, dressed and worked lumber containing wane). For a
non-exhaustive list of 10-digit Harmonized System-based Schedule B
commodity numbers that may apply to unprocessed western red cedar
products subject to the license requirements of this section, see
supplement no. 2 to part 754 of the EAR. See paragraph (c) of this
section for license exceptions for timber harvested from public lands in
the State of Alaska, private lands, or Indian lands, and see paragraph
(d) of this section for relevant definitions.
(b) Licensing policy. (1) BIS will generally deny applications for
licenses to export unprocessed western red cedar harvested from Federal
or State lands under harvest contracts entered into after September 30,
1979.
(2) BIS will consider, on a case-by-case basis, applications for
licenses to export unprocessed western red cedar harvested from Federal
or State lands under harvest contracts entered into prior to October 1,
1979.
(3) BIS will approve license applications for unprocessed western
red cedar timber harvested from public lands in Alaska, private lands,
and Indian lands. Applications must be submitted in accordance with the
procedures set forth in paragraph (a) of this section. See paragraph (c)
of this section for the availability of a License Exception.
(c) License Exception for western red cedar (WRC). (1) Subject to
the requirements described in paragraph (c) of this section, License
Exception WRC may be used to export without a license unprocessed
western red cedar timber harvested from Federal, State and other public
lands in Alaska, all private lands, and, lands held in trust for
recognized Indian tribes by Federal or State agencies.
(2) Exporters who use License Exception WRC must obtain and retain
on file the following documents:
(i) A statement by the exporter (or other appropriate documentation)
indicating that the unprocessed western red cedar timber exported under
this License Exception was not harvested from State or Federal lands
outside the State of Alaska, and did not become available for export
through substitution of commodities so harvested or produced. If the
exporter did not harvest or produce the timber, the records or statement
must identify the harvester or producer and must be accompanied by an
identical statement from the harvester or producer. If any intermediate
party or parties held title to the timber between harvesting and
purchase, the exporter must also obtain such a statement, or equivalent
documentation, from the intermediate party or parties and retain it on
file.
[[Page 171]]
(ii) A certificate of inspection issued by a third party log scaling
and grading organization, approved by the United States Forest Service,
that:
(A) Specifies the quantity in cubic meters or board feet, scribner
rule, of unprocessed western red cedar timber to be exported; and
(B) Lists each type of brand, tag, and/or paint marking that appears
on any log or unprocessed lumber in the export shipment or,
alternatively, on the logs from which the unprocessed timber was
produced.
(3) The requirements and restrictions described in Sec. Sec. 740.1
and 740.2 of the EAR that apply to all License Exceptions also apply to
the use of License Exception WRC.
(4) A person exporting any item pursuant to this license exception
must enter on any required Electronic Export Information (EEI) filing to
the Automated Export System (AES) the correct license code that
corresponds to ``SS-WRC.''
(d) License Applications. (1) Applicants requesting to export
unprocessed western red cedar must apply for a license in accordance
with Sec. 748.1, 748.4 and 748.6 of the EAR, submit any other documents
as may be required by BIS, and submit a statement from an authorized
representative of the exporter, reading as follows:
I, (Name) (Title) of (Exporter) HEREBY CERTIFY that to the best of
my knowledge and belief the (Quantity) (cubic meters or board feed
scribner) of unprocessed western red cedar timber that (Exporter)
proposes to export was not harvested from State or Federal lands under
contracts entered into after October 1, 1979.
________________________________________________________________________
Signature
________________________________________________________________________
Date
(2) In Blocks 16 and 18 of the application, ``Various'' may be
entered when there is more than one purchaser or ultimate consignee.
(3) For each application submitted, and for each export shipment
made under a license, the exporter must assemble and retain for the
period described in part 762 of the EAR, and produce or make available
for inspection, the following:
(i) A signed statement(s) by the harvester or producer, and each
subsequent party having held title to the commodities, that the
commodities in question were harvested under a contract to harvest
unprocessed western red cedar from State or Federal lands, entered into
before October 1, 1979; and
(ii) The Automated Export System record.
(4) A shipping tolerance of 5 percent in cubic feet or board feet
scribner is allowed on the un-shipped balance of a commodity listed on a
license. This tolerance applies only to the final quantity remaining un-
shipped on a license against which more than one shipment is made and
not to the original quantity authorized by such license. See Sec.
750.11 of the EAR for an explanation of shipping tolerances.
(e) Definitions. When used in this section, the following terms have
the meaning indicated:
(1) Unprocessed western red cedar means western red cedar (thuja
plicata) timber, logs, cants, flitches, and processed lumber containing
wane on one or more sides, as defined in ECCN 1C988, that has not been
processed into:
(i) Lumber of American Lumber Standards Grades of Number 3 dimension
or better, or Pacific Lumber Inspection Bureau Export R-List Grades of
Number 3 common or better grades, with a maximum cross section of 2,000
square centimeters (310 square inches) for any individual piece of
processed western red cedar (WRC) being exported, regardless of grade;
(ii) Chips, pulp, and pulp products;
(iii) Veneer and plywood;
(iv) Poles, posts, or pilings cut or treated with preservative for
use as such and not intended to be further processed; and
(v) Shakes and shingles.
(2) Federal and State lands means Federal and State lands, excluding
lands in the State of Alaska and lands held in trust by any Federal or
State official or agency for a recognized Indian tribe or for any member
of such tribe.
(3) Contract harvester means any person who, on October 1, 1979, had
an outstanding contractual commitment to harvest western red cedar
timber from State and Federal lands and who can show by previous
business practice or
[[Page 172]]
other means that the contractual commitment was made with the intent of
exporting or selling for export in unprocessed form all or part of the
commodities to be harvested.
(4) Producer means any person engaged in a process that transforms
an unprocessed western red cedar commodity (e.g., western red cedar
timber) into another unprocessed western red cedar commodity (e.g.,
cants) primarily through a saw mill.
[61 FR 12844, Mar. 25, 1996, as amended at 68 FR 50473, Aug. 21, 2003;
73 FR 49331, Aug. 21, 2008; 78 FR 13470, Feb. 28, 2013; 79 FR 4617, Jan.
29, 2014; 79 FR 34411, June 17, 2014; 89 FR 28601, Apr. 19, 2024]
Sec. 754.5 Horses for export by sea.
(a) License requirement. As indicated by the letters ``SS'' in the
``Reason for Control'' paragraph of the ``License Requirements'' section
of ECCN 0A980 on the CCL (supplement no. 1 to part 774 of the EAR) a
license is required for the export of horses exported by sea to all
destinations, including Australia, Canada, and the United Kingdom.
(b) License policy. (1) License applications for the export of
horses by sea for the purposes of slaughter will be denied.
(2) Other license applications will be approved if BIS, in
consultation with the Department of Agriculture, determines that the
horses are not intended for slaughter. You must provide a statement in
the additional information section of the application certifying that no
horse under consignment is being exported for the purpose of slaughter.
(3) Each application for export may cover only one consignment of
horses.
[61 FR 12844, Mar. 25, 1996, as amended at 73 FR 49331, Aug. 21, 2008;
89 FR 28601, Apr. 19, 2024]
Sec. 754.6 Registration of U.S. agricultural commodities for exemption
from short supply limitations on export.
(a) Scope. Under the provisions of section 7(g) of the Export
Administration Act of 1979 (EAA), agricultural commodities of U.S.
origin purchased by or for use in a foreign country and stored in the
United States for export at a later date may be registered with BIS for
exemption from any quantitative limitations on export that may
subsequently be imposed under section 7 of the EAA for reasons of short
supply.
(b) Applications for registration. Applications to register
agricultural commodities must be submitted by a person or firm subject
to the jurisdiction of the United States who is acting as a duly
authorized agent for the foreign purchaser.
(c) Address. Submit applications pursuant to the provisions of
section 7(g) of the EAA, via courier, to: Bureau of Industry and
Security, U.S. Department of Commerce, 14th and Pennsylvania Ave., NW.,
Room 2099B, Washington, DC 20230.
[61 FR 12844, Mar. 25, 1996, as amended at 62 FR 25467, May 9, 1997; 73
FR 37, Jan. 2, 2008; 78 FR 13470, Feb. 28, 2013]
Sec. 754.7 Petitions for the imposition of monitoring or controls on
recyclable metallic materials; Public hearings.
(a) Scope. Section 7(c) of the Export Administration Act of 1979
(EAA) provides for the filing and review of petitions seeking the
imposition of monitoring or controls on recyclable metallic materials.
(b) Eligibility for filing petitions. Any entity, including a trade
association, firm or certified or recognized union or group of workers,
which is representative of an industry or a substantial segment of an
industry which processes metallic materials capable of being recycled
with respect to which an increase in domestic prices or a domestic
shortage, either of which results from increased exports, has or may
have a significant adverse effect on the national economy or any sector
thereof, may submit a written petition to BIS requesting the monitoring
of exports, or the imposition of export controls, or both, with respect
to such materials.
(c) Public hearings. The petitioner may also request a public
hearing. Public hearings may also be requested by an entity, including a
trade association, firm, or certified or recognized union or group of
workers, which is representative of an industry or a substantial segment
of an industry which
[[Page 173]]
processes, produces or exports the metallic materials which are the
subject of a petition.
(d) Address. Submit petitions pursuant to section 7(c) of the EAA,
via courier, to: Bureau of Industry and Security, U.S. Department of
Commerce, 14th and Pennsylvania Ave., NW., Room 2099B, Washington, DC
20230.
[61 FR 12844, Mar. 25, 1996, as amended at 62 FR 25467, May 9, 1997; 73
FR 38, Jan. 2, 2008; 78 FR 13470, Feb. 28, 2013]
Sec. Supplement No. 1 to Part 754--Crude Petroleum and Petroleum
Products
This Supplement provides relevant Schedule B numbers and commodity
descriptions for crude oil (EAR99) and for petroleum products other than
crude oil that are controlled by ECCN 1C980, 1C982, 1C983, or 1C984. The
10-digit Harmonized System-based Schedule B commodity numbers and
descriptions below are drawn from Chapter 27 of the Schedule B 2014
found at and the AES 2014 Export Concordance (December 30, 2013) http://
www.census.gov/foreign-trade /aes/documentlibrary/expaes.txt. If there
are any discrepancies between the information in this supplement and the
information in the most current Schedule B, use the most current
Schedule B commodity number on your Electronic Export Information filing
on the Automated Export System.
------------------------------------------------------------------------
Schedule B No. Commodity description
------------------------------------------------------------------------
CRUDE OIL
------------------------------------------------------------------------
2709001000........................ Petroleum oils and oils obtained
from bituminous minerals, crude.
2709002010........................ Petroleum oils and oils obtained
from bituminous minerals, testing
25 degrees API or more, condensate
derived wholly from natural gas,
crude.
2709002090........................ Petroleum oils and oils obtained
from bituminous minerals, testing
25 degrees API or more, crude,
NESOI.
2714100000........................ Bituminous or oil shale and tar
sands.
------------------------------------------------------------------------
PETROLEUM PRODUCTS
------------------------------------------------------------------------
2707999010........................ Carbon black feedstock.
2710121510........................ Leaded gasoline.
2710121514........................ Unleaded gasoline, reformulated.
2710121519........................ Unleaded gasoline, NESOI.
2710121520........................ Jet fuel, naphtha-type.
2710121550........................ Motor fuels, NESOI.
2710121805........................ Motor fuel blending stock,
Reformulated Blendstock for
Oxygenate Blending (RBOB).
2710121890........................ Motor fuel blending stock, except
Reformulated Blendstock for
Oxygenate Blending (RBOB).
2710122500........................ Naphthas, except motor fuel or motor
fuel blending stock.
2710124500........................ Light oil and preparation, mixtures
of hydrocarbons containing by
weight not over 50 percent of any
single hydrocarbon compound, NESOI.
2710129000........................ Light oils and preparations obtained
from bituminous minerals containing
by weight 70 percent or more of
petroleum oils, NESOI.
2710190605........................ No. 4-type fuel oils, API lt 25
degrees, having a saybolt universal
viscosity at 37.8 degrees C of 45-
125 seconds, with not over 500 ppm
of sulfur.
2710190615........................ No. 4-type fuel oils under 25
degrees API having a saybolt
universal viscosity at 37.8 degrees
C of 45-125 seconds, having over
500 ppm sulfur.
2710190620........................ Heavy fuel oils under 25 degrees API
having saybolt universal viscosity
at 37.8 degrees C of more than 125
seconds.
2710190650........................ Distillate and residual fuel oils
(including blended fuel oils),
testing under 25 degrees API,
NESOI.
2710191106........................ Light fuel oils testing 25 degrees
API or more, containing not more
than 15 ppm of sulfur.
2710191109........................ Light fuel oils testing 25 degrees
API or more, containing more than
15 ppm but not more than 500 ppm of
sulfur.
2710191112........................ Light fuel oils 25 degrees API or
more having a saybolt universal
viscosity at 37.8 degrees C of less
than 45 seconds, containing over
500 ppm sulfur.
2710191115........................ No. 4-type fuel oils containing not
more than 500 ppm of sulfur.
2710191125........................ No. 4-type fuel oils containing more
than 500 ppm of sulfur.
2710191150........................ Heavy fuel oils 25 degrees API or
more with a saybolt universal
viscosity at 37.8 degrees C of more
than 125 seconds.
2710191600........................ Kerosene-type jet fuel, NESOI.
2710192400........................ Kerosene motor fuel.
2710192500........................ Kerosene motor fuel blending stock.
2710192600........................ Kerosene, except motor fuel or motor
fuel blending stock, NESOI.
2710193010........................ Aviation engine lubricating oils
(except jet engine lubricating
oils).
2710193020........................ Automotive, diesel or marine engine
(except turbine) lubricating oils.
2710193030........................ Turbine lubricating oil, including
marine.
2710193040........................ Automotive gear oils.
2710193050........................ Steam cylinder oils.
2710193070........................ Quenching or cutting oils.
2710193080........................ Lubricating oils with or without
additives, NESOI.
[[Page 174]]
2710193750........................ Lubricating greases with or w/out
additives.
2710194530........................ White mineral oils, medicinal grade.
2710194540........................ White mineral oils, except medicinal
grade.
2710194545........................ Insulating or transformer oils,
NESOI.
2710194590........................ Mixtures of hydrocarbons NESOI,
containing by weight not over 50
percent of any single hydrocarbon
compound.
2710199000........................ Petroleum oils or oils obtained from
bituminous minerals, other than
crude, containing by weight 70% or
more of petroleum oils, NESOI.
2710200000........................ Petroleum oils or oils obtained from
bituminous minerals, other than
crude, containing by weight 70% or
more of petroleum oils, containing
biodiesel.
2710910000........................ Waste oils containing
Polychlorinated Biphenyls (PCBs),
Polychlorinated Terphenyls (PCTs),
or Polybrominated Biphenyls (PBBs).
2710990000........................ Waste oils, not elsewhere specified
or included.
2711110000........................ Natural gas, liquefied.
2711120000........................ Propane, liquefied.
2711130000........................ Butanes, liquefied.
2711140000........................ Ethylene, propylene, butylene and
butadiene liquefied.
2711190000........................ Petroleum gases and other gaseous
hydrocarbons, liquefied, NESOI.
2712200000........................ Paraffin wax containing less than
0.75 percent oil.
2712900000........................ Microcrystalline petroleum wax,
slack wax, ozokerite, lignite wax,
peat wax, other mineral waxes, and
similar products, NESOI.
2713110000........................ Petroleum coke, not calcined.
2713120000........................ Petroleum coke, calcined.
2713200000........................ Petroleum bitumen.
2713900000........................ Residues of petroleum oils or of
oils obtained from bituminous
materials, NESOI.
2714900000........................ Bitumen and asphalt, natural;
asphaltites and asphaltic rocks.
2715000000........................ Bituminous mixtures based on natural
asphalt, natural bitumen, petroleum
bitumen, mineral tar or mineral tar
pitch.
2804100000........................ Hydrogen.
2804290010........................ Helium.
2811210000........................ Carbon dioxide.
2811299000........................ Carbon monoxide.
2814100000........................ Anhydrous ammonia.
2814200000........................ Ammonia in aqueous solution.
3819000000........................ Hydraulic brake fluids and other
prepared liquids for hydraulic
transmission, not containing or
containing less than 70 percent by
weight of petroleum oils or oils
obtained from bituminous minerals.
------------------------------------------------------------------------
[79 FR 34411, June 17, 2014, as amended at 81 FR 29486, May 12, 2016]
Sec. Supplement No. 2 to Part 754--Unprocessed Western Red Cedar
This table is a non-exhaustive list of 10-digit Harmonized System-
based Schedule B commodity numbers that may apply to unprocessed western
red cedar products subject to license requirements of Sec. 754.4 of
this part. The 10-digit Harmonized System-based Schedule B commodity
numbers and descriptions below are drawn from Chapter 44 of the Schedule
B 2014 found at http://www.census.gov/foreign-trade /schedules/b/2014/
c44.html and the AES 2014 Export Concordance (December 30, 2013) http://
www.census.gov/foreign-trade /aes/documentlibrary/expaes.txt. If there
are any discrepancies between the information in this supplement and the
information in the most current Schedule B, use the most current
Schedule B commodity number on your Electronic Export Information filing
in the Automated Export System.
------------------------------------------------------------------------
Schedule B commodity No. Description
------------------------------------------------------------------------
Wood in the rough
------------------------------------------------------------------------
4403100030........................ Poles, piles and posts; 'treated'.
4403100060........................ Wood in the rough; 'treated'.
4403200010........................ Not 'treated'; coniferous; poles,
piles and posts.
4403200055........................ Not 'treated'; coniferous; logs and
timber; Western Red Cedar (Thuja
Plicata).
------------------------------------------------------------------------
'Lumber'
------------------------------------------------------------------------
4407100101........................ Coniferous; finger-jointed.
4407100102........................ Coniferous; except finger-jointed;
'treated'.
4407100168........................ Coniferous; except finger-jointed;
not 'treated'; Western Red Cedar
(Thuja Plicata); 'rough'.
4407100169........................ Coniferous; except finger-jointed;
not 'treated'; Western Red Cedar
(Thuja Plicata); not 'rough'.
------------------------------------------------------------------------
[[Page 175]]
Note 1: 4403 heading in the Schedule B 2014 pertains to ``wood in
the rough, whether or not stripped of bark or sapwood, or roughly
squared (not including lumber of heading 4407).''
Note 2: The 6-digit Harmonized System subheading 4403.10 and the 10-
digit Harmonized System code 4407.10.0102 in Schedule B 2014 state that
'treated' means ``treated with paint, stain, creosote or other
preservatives.''
Note 3: The 4407 heading in the Schedule B 2014 refers to 'lumber'
as ``wood sawn or chipped lengthwise, sliced or peeled, whether or not
planed, sanded or end-jointed, of a thickness exceeding 6mm (.236
inch).''
Note 4: Section IX--Chapter 44 of Schedule B 2014, Statistical Note
3 states, ``for the purpose of heading 4407, the term ``rough'' includes
wood that has been edged, resawn, crosscut or trimmed to smaller sizes
but it does not include wood that has been dressed or surfaced by
planing on one or more edges or faces or has been edge-glued or end-
glued.''
[79 FR 34412, June 17, 2014]
Sec. Supplement No. 3 to Part 754 [Reserved]
PART 756_APPEALS AND JUDICIAL REVIEW--Table of Contents
Sec.
756.1 Introduction.
756.2 Appeal from an administrative action.
756.3 Judicial review of agency action.
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12851, Mar. 25, 1996, unless otherwise noted.
Sec. 756.1 Scope.
Section 756.2 describes the procedures applicable to appeals from
administrative actions taken under the Export Administration Act (EAA)
or the Export Administration Regulations (EAR). (In this part,
references to the EAR are references to 15 CFR chapter VII, subchapter
C). Section 756.3 describes the procedures under which the Bureau of
Industry and Security (BIS) can safeguard national security information
when agency action is under judicial review.
[85 FR 63012, Oct. 6, 2020]
Sec. 756.2 Appeal from an administrative action.
(a) Scope. Any person directly and adversely affected by an
administrative action taken by BIS may appeal to the Under Secretary for
reconsideration of that administrative action. The following types of
administrative actions are not subject to the appeals procedures
described in this part:
(1) Issuance, amendment, revocation, or appeal of a regulation.
(These requests may be submitted to BIS at any time.)
(2) Denial or probation orders, civil penalties, sanctions, or other
actions under parts 764 and 766 of the EAR, except that, any appeal from
an action taken under Sec. 766.25 and any appeal from an action taken
in accordance with Sec. 766.23 to make an action taken under Sec.
766.25 applicable to a related person shall be subject to the appeals
procedures described in this part.
(3) A decision on a request to remove or modify an Entity List entry
made pursuant to Sec. 744.16 of the EAR, a decision on a request to
remove or modify an Unverified List entry made pursuant to Sec. 744.15
of the EAR, or a request to remove or modify a Military End User entry
made pursuant to Sec. 744.21(b) of the EAR.
(4) A decision on whether License Exception Strategic Trade
Authorization (STA) is available for ``600 series'' ``end items''
pursuant to Sec. 740.20(g) of the EAR.
(b) Review and appeal officials. The Under Secretary may delegate to
the Deputy Under Secretary for Industry and Security or to another BIS
official the authority to review and decide the appeal. In addition, the
Under Secretary may designate any employee of the Department of Commerce
to be an appeals coordinator to assist in the review and processing of
an appeal under this part. If such employee is not an employee of BIS,
such designation may be made only with the concurrence of the head of
the operating unit in which that employee is employed. The
responsibilities of an appeals coordinator may include presiding over
informal hearings.
[[Page 176]]
(c) Appeal procedures--(1) Filing. An appeal under this part must be
received by the Under Secretary for Industry and Security, Bureau of
Industry and Security, U.S. Department of Commerce, Room 3898, 14th
Street and Pennsylvania Avenue, NW., Washington, DC 20230 not later than
45 days after the date appearing on the written notice of administrative
action.
(2) Content of appeal. The appeal must include a full written
statement in support of appellant's position. The appeal must include a
precise statement of why the appellant believes the administrative
action has a direct and adverse effect and should be reversed or
modified. The Under Secretary may request additional information that
would be helpful in resolving the appeal, and may accept additional
submissions. The Under Secretary will not ordinarily accept any
submission filed more than 30 days after the filing of the appeal or of
any requested submission.
(3) Request for informal hearing. In addition to the written
statement submitted in support of an appeal, an appellant may request,
in writing, at the time an appeal is filed, an opportunity for an
informal hearing. The Under Secretary may grant or deny a request for an
informal hearing. Any hearings will be held in the District of Columbia
unless the Under Secretary determines, based upon good cause shown, that
another location would be better.
(4) Informal hearing procedures--(i) Presentations. The Under
Secretary shall provide an opportunity for the appellant to make an oral
presentation based on the materials previously submitted by the
appellant or made available by the Department in connection with the
administrative action. The Under Secretary may require that any facts in
controversy be covered by an affidavit or testimony given under oath or
affirmation.
(ii) Evidence. The rules of evidence prevailing in courts of law do
not apply, and all evidentiary material deemed by the Under Secretary to
be relevant and material to the proceeding, and not unduly repetitious,
will be received and considered.
(iii) Procedural questions. The Under Secretary has the authority to
limit the number of people attending the hearing, to impose any time or
other limitations deemed reasonable, and to determine all procedural
questions.
(iv) Transcript. A transcript of an informal hearing shall not be
made, unless the Under Secretary determines that the national interest
or other good cause warrants it, or the appellant requests a transcript.
If the appellant requests a transcript, the appellant will be
responsible for paying all expenses related to production of the
transcript.
(v) Report. Any person designated by the Under Secretary to conduct
an informal hearing shall submit a written report containing a summary
of the hearing and recommend action to the Under Secretary.
(d) Decisions--(1) Determination of appeals. In addition to the
documents specifically submitted in connection with the appeal, the
Under Secretary shall consider any recommendations, reports, or relevant
documents available to BIS in determining the appeal, but shall not be
bound by any such recommendation, nor prevented from considering any
other information, or consulting with any other person or groups, in
making a determination. The Under Secretary may adopt any other
procedures deemed necessary and reasonable for considering an appeal.
The Under Secretary shall decide an appeal within a reasonable time
after receipt of the appeal. The decision shall be issued to the
appellant in writing and contain a statement of the reasons for the
action.
(2) Effect of the determination. The decision of the Under Secretary
shall be final.
(e) Effect of appeal. Acceptance and consideration of an appeal
shall not affect any administrative action, pending or in effect, unless
the Under Secretary, upon request by the appellant and with opportunity
for response, grants a stay.
[61 FR 12851, Mar. 25, 1996, as amended at 62 FR 25467, May 9, 1997; 65
FR 14860, Mar. 20, 2000; 70 FR 8250, Feb. 18, 2005; 71 FR 34009, June
13, 2006; 85 FR 63012, Oct. 6, 2020; 85 FR 83804, Dec. 23, 2020]
[[Page 177]]
Sec. 756.3 Judicial review of agency action.
(a) Definition. For purposes of this section, the term agency action
has the same meaning given such term in 5 U.S.C. 551(13), i.e., includes
the whole or a part of an agency rule, order, license, sanction, relief,
or the equivalent or denial thereof, or failure to act.
(b) Classified national security information. In any judicial review
of any agency action under the EAR, if such action was based in whole or
in part on classified national security information as defined in
Executive Order 13526 (December 29, 2009), such information may be
submitted to the reviewing court ex parte and in camera. This paragraph
(b) does not confer or imply any right to review in any tribunal,
judicial or otherwise.
[85 FR 63012, Oct. 6, 2020]
PART 758_EXPORT CLEARANCE REQUIREMENTS AND AUTHORITIES--Table of Contents
Sec.
758.1 The Electronic Export Information (EEI) filing to the Automated
Export System (AES).
758.2 Automated Export System (AES).
758.3 Responsibilities of parties to the transaction.
758.4 Use of export license.
758.5 Conformity of documents and unloading of items.
758.6 Destination control statement and other information furnished to
consignees.
758.7 Authorities of the Bureau of Industry and Security, Office of
Export Enforcement (OEE).
758.8 Return or unloading of cargo.
758.9 Other applicable laws and regulations.
758.10 Entry clearance requirements for temporary imports.
758.11 Export clearance requirements for firearms and related items.
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12852, Mar. 25, 1996, unless otherwise noted.
Sec. 758.1 The Electronic Export Information (EEI) filing to the
Automated Export System (AES).
(a) The Electronic Export Information (EEI) filing to the Automated
Export System (AES). The EEI is used by the Bureau of Census to collect
trade statistics and by the Bureau of Industry and Security for export
control purposes. The EEI collects basic information such as the names
and addresses of the parties to a transaction; the Export Control
Classification Number (ECCN) (when required), the Schedule B number or
Harmonized Tariff Schedule of the United States (HTS) number, the
description, quantity and value of the items exported; and the license
authority for the export. The EEI is a statement to the United States
Government that the transaction occurred as described.
(b) When is an EEI filing required to be filed in the AES. Except
when the export of items subject to the EAR is to take place
electronically or in an otherwise intangible form, you must file EEI in
the AES with the United States Government for items subject to the EAR,
including exports by U.S. mail, in the following situations:
(1) For all exports of items subject to the EAR that are destined to
a country in Country Group E:1 or E:2 of supplement no. 1 to part 740 of
the EAR regardless of value;
(2) For all exports subject to the EAR that require submission of a
license application, regardless of value or destination;
(3) For all exports of 9x515 or ``600 series'' items enumerated or
otherwise described in paragraphs .a through .x of a 9x515 or ``600
series'' ECCN regardless of value or destination, including exports to
Australia, Canada, and the United Kingdom;
(4) For all exports under license exception Strategic Trade
Authorization (STA);
(5) For all exports of commodities and mass market software subject
to the EAR when the value of the commodities or mass market software
classified under a single Schedule B Number (or HTS) is over $2,500,
except as exempted by the Foreign Trade Regulations (FTR) in 15 CFR Part
30 and referenced in paragraph (c) of this section;
(6) For all exports of items subject to the EAR that will be
transshipped through Australia, Canada, or the United Kingdom to a third
destination, where the export would require EEI or license if shipped
directly to the final
[[Page 178]]
destination from the United States (see 15 CFR 30.36(b)(2) of the FTR);
(7) For all items exported under authorization Validated End-User
(VEU);
(8) For all exports of tangible items subject to the EAR where
parties to the transaction, as described in Sec. 748.5(d) through (f)
of the EAR, are listed on the Unverified List (supplement no. 6 to part
744 of the EAR), regardless of value or destination; or
(9) For all exports, except for exports authorized under License
Exception BAG, as set forth in Sec. 740.14 of the EAR, of commodities
controlled under ECCNs 0A501.a or .b, 0A506, or 0A507, shotguns with a
barrel length less than 18 inches controlled under ECCNs 0A502 or 0A508,
or ammunition controlled under ECCN 0A505 except for .c, regardless of
value or destination, including exports to Australia, Canada, and the
United Kingdom.
(10) For all exports of items on the Commerce Control List to the
People's Republic of China, Russia, or Venezuela, regardless of value,
unless the export may be made under the exemption listed under paragraph
(c)(4) of this section.
Note 1 to paragraph (b)(10): Paragraph (b)(10) applies to exports to
Hong Kong, as this destination is considered a part of the People's
Republic of China under the EAR, even if the AES requirements state that
the destination filed in EEI is to be listed as Hong Kong.
(c) Exemptions. A complete list of exemptions from the EEI filing
requirement is set forth in the 15 CFR 30.35 through 30.40 of the FTR.
Some of these FTR exemptions have elements in common with certain EAR
license exceptions. An FTR exemption may be narrower than an EAR license
exception. The following references are provided in order to direct you
to the FTR exemptions that relate to EAR license exceptions:
(1) License Exception Baggage (BAG), as set forth in Sec. 740.14 of
the EAR. See 15 CFR 30.37(x) of the FTR;
Note 1 to paragraph (c)(1): See the export clearance requirements
for exports of firearms controlled under ECCNs 0A501.a or .b, 0A506, or
0A507, shotguns with a barrel length less than 18 inches controlled
under ECCNs 0A502 or 0A508, or ammunition controlled under ECCN 0A505,
authorized under License Exception BAG, as set forth in Sec. 740.14 of
the EAR.
(2) License Exception Gift Parcels and Humanitarian Donations (GFT),
as set forth in Sec. 740.12 of the EAR. See 15 CFR 30.37(h) of the FTR;
(3) License Exception Aircraft and Vessels (AVS), as set forth in
Sec. 740.15 of the EAR. See 15 CFR 30.37(o) (5) of the FTR;
(4) License Exception Governments and International Organizations
(GOV), as set forth in Sec. 740.11 of the EAR. See 15 CFR 30.39 and
30.40 of the FTR;
(5) License Exception Technology and Software Under Restriction
(TSR), as set forth in Sec. 740.6 of the EAR. See 15 CFR 30.37(f) of
the FTR; or
(6) License Exception Temporary Imports, Exports, and Reexports
(TMP) ``tools of trade'', as set forth in Sec. 740.9(a)(1) of the EAR.
See 15 CFR 30.37(b) of the FTR.
(d) Notation on export documents for exports exempt from EEI filing
requirements. When an exemption from filing the EEI applies, the export
authority (license exception or NLR) of all the items must be entered on
the loading document (e.g., Cargo Declaration, manifest, bill of lading,
(master) air waybill) by the person responsible for preparing the
document, see 15 CFR 30.35 of the FTR. This requirement is intended to
parallel the Bureau of Census requirement, so that notations as to the
basis for the EEI exemption and the license authority are entered in the
same place and manner (see 15 CFR 30.45(e) and (f) of the FTR for
detailed requirements). The loading document must be available for
inspection by government officials, along with the items, prior to
lading on the carrier.
(e) Filing the Electronic Export Information (EEI) to the AES. The
person who files the EEI to the AES must be in the United States at the
time of filing. The person who transmits the EEI to the AES must be a
certified AES participant in accordance with 15 CFR 30.5 of the FTR. The
person who transmits EEI to the AES, whether exporter (U.S. principal
party in interest) or agent, is responsible for the truth, accuracy, and
completeness of the EEI, except insofar as that person can demonstrate
that he or she reasonably relied on information furnished by others.
[[Page 179]]
(f) The EEI is an export control document. The EEI is a statement to
the United States Government. The EEI is an export control document as
defined in Part 772 of the EAR. False statements made thereon may be a
violation of Sec. 764.2(g) of the EAR. When EEI is filed to the AES,
the filer of the EEI represents the following:
(1) Export of the items described on the EEI filing is authorized
under the terms and conditions of a license issued by BIS; is in
accordance with the terms and conditions of a license exception; is
authorized under ``NLR'' as no license is required for the shipment; or
is not subject to the EAR;
(2) Statements on the EEI filing are in conformity with the contents
of any license issued by BIS, with the possible exception of the USPPI
and USPPI identification blocks in routed transactions or any name
change approved by BIS in writing in accordance with Sec. 750.7(c)(2)
of the EAR; and
(3) All information shown on the EEI filing is true, accurate, and
complete.
(g) Export control information on the EEI filing in AES. For each
item on the EEI filing, you must report the license authority (license
number, License Exception symbol, or No License Required (NLR)
designator), the Export Control Classification Number (ECCN) (when
required), and the item description in the designated blocks. The item
description must be stated in Commerce Control List (CCL) terms. If
those terms are inadequate to meet the Bureau of Census requirements,
the FTR requires that you give enough additional detail to permit
verification of the Schedule B Number (or Harmonized Tariff Schedule of
the United States (HTS) number). See 15 CFR part 30, appendix B, part
III of the FTR for license codes.
(1) Exports under a license. When exporting under the authority of a
license, you must report on the EEI filing to the AES the license code
that corresponds to the license, license number, the ECCN, and an item
description identical to the item description on the license.
(2) Exports under a license exception. You must report on any
required EEI filing to the AES the ECCN and the correct License
Exception symbol (e.g., LVS, GBS, CIV) for the License Exception(s) and
the license code/license exception code that corresponds to the license
exception under which you are exporting. Items temporarily in the United
States meeting the provisions of License Exception TMP, under Sec.
740.9(b)(3), are exempted from entering the ECCN. See also Sec.
740.1(d) of the EAR.
(3) No License Required (NLR) exports. You must report on any
required EEI filing to the AES the correct license code/license
exception code when using the ``NLR'' designation for the items that are
subject to the EAR but not listed on the Commerce Control List (CCL)
(i.e., items are designated as EAR99) (FTR license code ``C33''), and
when the items to be exported are listed on the CCL but are not subject
to a license requirement. In addition, you must enter the correct ECCN
on any required EEI filing for all items being exported under the NLR
provisions that have a reason for control other than or in addition to
anti-terrorism (AT), unless the items are destined to China, Russia, or
Venezuela. For items destined to China, Russia, or Venezuela, you must
enter the correct ECCN on any required EEI filing regardless of reason
for control.
(4) Exports of firearms and related items. This paragraph (g)(4)
includes two separate requirements under paragraphs (g)(4)(i) and (ii)
of this section that are used to better identify exports of certain
firearms under the EAR. Paragraph (g)(4)(i) of this section is limited
to certain EAR authorizations. Paragraph (g)(4)(ii) of this section
applies to all EAR authorizations that require EEI filing in AES.
(i) Identifying firearms by manufacturer, model, caliber, and serial
number in the EEI filing in AES. For any export authorized under License
Exception TMP or a BIS license authorizing a temporary export of items
controlled under ECCNs 0A501.a or .b, 0A506, or 0A507 or shotguns with a
barrel length less than 18 inches controlled under ECCNs 0A502 or 0A508,
in addition to any other required data for the associated EEI filing,
you must report the manufacturer, model, caliber, and serial number of
the exported items. The requirements of this paragraph (g)(4)(i)
[[Page 180]]
also apply to any other export authorized under a BIS license that
includes a condition or proviso on the license requiring the submission
of this information specified in paragraph (g) of this section when the
EEI is filed in AES.
(ii) Identifying firearms and certain ``parts,'' ``components,''
devices, ``accessories,'' and ``attachments'' by ``items'' level
classification or other control descriptor in the EEI filing in AES. For
any export of items controlled under ECCNs 0A501.a or .b, 0A506, 0A507,
shotguns with a barrel length less than 18 inches controlled under ECCNs
0A502 or 0A508.a.1, or .a.2, or ``parts,'' ``components,'' devices,
``accessories,'' or ``attachments'' controlled under 0A509.a, .b, .c, or
.d, in addition to any other required data for the associated EEI
filing, the exporter must include the items paragraph classification or
other control descriptor as specified in paragraphs (g)(4)(ii)(A)
through (F) for ECCNs 0A501, 0A502, 0A506, 0A507, 0A508, or 0A509, as
applicable, as the first text to appear in the Commodity description
block in the EEI filing in AES. (See Sec. 743.4 of the EAR for the use
of this information for ECCNs 0A501.a or .b, 0A506.a or .b, and 0A507.a,
or .b for conventional arms reporting).
(A) If exporting firearms controlled under 0A501, enter .a or .b, as
applicable;
(B) If exporting shotguns with a barrel length less than 18 inches
controlled under 0A502, enter .SB;
(C) If exporting semi-automatic rifles controlled under 0A506, enter
.a or .b, as applicable;
(D) If exporting semi-automatic pistols controlled under 0A507,
enter .a or .b, as applicable;
(E) If exporting semi-automatic shotguns controlled under 0A508,
enter .a or .b, as applicable; or
(F) If exporting ``parts,'' ``components,'' devices,
``accessories,'' or ``attachments'' controlled under ECCN 0A509, enter
.a, .b, .c, .d, or .e, as applicable.
Note 2 to paragraph (g)(4): If a commodity described in paragraph
(g)(4) of this section is exported under License Exception TMP under
Sec. 740.9(a)(6) of the EAR for inspection, test, calibration, or
repair is not consumed or destroyed in the normal course of authorized
temporary use abroad, the commodity must be disposed of or retained in
one of the ways specified in Sec. 740.9(a)(14)(i), (ii), or (iii) of
the EAR. For example, if a commodity described in this paragraph (g)(4)
was destroyed while being repaired after being exported under Sec.
740.9(a)(6), the commodity described in this paragraph (g)(4) would not
be required to be returned. If the entity doing the repair returned a
replacement of the commodity to the exporter from the United States, the
import would not require an EAR authorization. The entity that exported
the commodity described in this paragraph (g)(4) and the entity that
received the commodity would need to document this as part of their
recordkeeping related to this export and subsequent import to the United
States.
(5) Exports of .z items that meet or exceed the performance
parameters of ECCN 3A090 or 4A090. This paragraph (g)(5) imposes a
requirement for identifying .z items by ``items'' level classification
in the EEI filing in AES. For any export of .z items controlled under
ECCNs 3A001, 4A003, 4A004, 4A005, 5A002, 5A004, 5A992, 5D002, or 5D992
in addition to any other required data for the associated EEI filing,
you must include the items paragraph classification (i.e., .z), when
applicable, as the first text to appear in the Commodity description
block in the EEI filing in AES.
(h) Power of attorney or other written authorization. In a ``power
of attorney'' or other written authorization, authority is conferred
upon an agent to perform certain specified acts or kinds of acts on
behalf of a principal.
(1) An agent must obtain a power of attorney or other written
authorization in the following circumstances:
(i) An agent that represents a foreign principal party in interest
in a routed transaction must obtain a power of attorney or other written
authorization that sets forth his authority; and
(ii) An agent that applies for a license on behalf of a principal
party in interest must obtain a power of attorney or other written
authorization that sets forth the agent's authority to apply for the
license on behalf of the principal.
Note 3 to paragraph (h)(1): The Bureau of Census Foreign Trade
Regulations impose additional requirements for a power of attorney or
other written authorization. See 15 CFR 30.3(f) of the FTR.
[[Page 181]]
(2) This requirement for a power of attorney or other written
authorization is a legal requirement aimed at ensuring that the parties
to a transaction negotiate and understand their responsibilities. The
absence of a power of attorney or other written authorization does not
prevent BIS from using other evidence to establish the existence of an
agency relationship for purposes of imposing liability.
(i) Filing the Electronic Export Information (EEI). The EEI must be
filed with the United States Government in the manner prescribed by the
Bureau of Census Foreign Trade Regulations (15 CFR part 30).
[79 FR 4617, Jan. 29, 2014, as amended at 79 FR 32626, June 5, 2014; 79
FR 34221, June 16, 2014; 79 FR 48661, Aug. 18, 2014; 80 FR 3466, Jan.
23, 2015; 80 FR 43319, July 22, 2015; 83 FR 38021, Aug. 3, 2018; 85 FR
4178, Jan. 23, 2020; 85 FR 23465, Apr. 28, 2020; 85 FR 83792, Dec. 23,
2020; 86 FR 46595, Aug. 19, 2021; 88 FR 73497, Oct. 25, 2023; 89 FR
28601, Apr. 19, 2024; 89 FR 34709, Apr. 30, 2024]
Sec. 758.2 Automated Export System (AES).
The Bureau of the Census' Foreign Trade Regulations (FTR) (15 CFR
Part 30) contain provisions for filing Electronic Export Information
(EEI) using the Automated Export System (AES). In order to use AES, you
must apply directly to the Bureau of the Census (Census Bureau) for
certification and approval (see 15 CFR 30.5(a) of the FTR). Two
electronic filing options (predeparture and postdeparture) are available
for transmitting EEI. Predeparture filing requires that all information
be reported in AES prior to export (15 CFR 30.4(a) and (b) of the FTR).
Postdeparture filing is available only for approved companies (approved
by the Census Bureau, U.S. Customs and Border Protection, and BIS) and
requires no information to be transmitted prior to export with complete
information reported postdeparture no later than five (5) calendar days
after the date of exportation (15 CFR 30.4(c) of the FTR).
(a) Census Bureau's postdeparture application process. Exporters, or
agents applying on behalf of an exporter, may apply for postdeparture
privileges by submitting a Letter of Intent to the Bureau of Census
(Census Bureau) Census Bureau in accordance with 15 CFR 30.5(a) of the
FTR. The Census Bureau will distribute the Letter of Intent to BIS and
other agencies participating in the postdeparture approval process. Any
agency may notify the Census Bureau that an applicant has failed to meet
its acceptance standards, and the Census Bureau will provide a denial
letter to the applicant naming the denying agency. If the Census Bureau
receives neither notification of denial, nor a request for an extension
from the agency within 30 days of the date of referral of the letter of
intent to the agency, the applicant is deemed to be approved by that
agency. (15 CFR 30.5(c) of the FTR).
(b) BIS postdeparture evaluation criteria. BIS will consider the
grounds for denial of postdeparture filing status set forth in 15 CFR
30.5(c)(1) of the FTR, as well as the additional grounds for denial set
forth in this paragraph.
(1) Applicants have not been approved for postdeparture filing
privileges by the Census Bureau or other agency;
(2) Any party to the export transaction is contained on BIS's Denied
Party, Entity Lists, [SDN], or Unverified List;
(3) Exports are destined to a country in Country Group E:1 or E:2
(supplement no. 1 to part 740 of the EAR);
(4) Exports are made under License Exception Strategic Trade
Authorization (STA); are made under Authorization Validated End User
(VEU); or are of 9x515 or ``600 series'' items.
(5) Exports containing items that require a BIS license or have an
ECCN controlled for reasons other than Anti-Terrorism only or Encryption
Items.
(c) Contacts for assistance. (1) For additional information on the
AES in general, please contact the Foreign Trade Division, U.S. Census
Bureau, (800) 549-0595, ext. 1.
(2) For information about BIS's postdeparture approval process for
items subject to the EAR, contact: Director, Office of Technology
Evaluation, Bureau of Industry and Security, (202) 482-4933, facsimile:
(202) 482-5361.
[79 FR 4617, Jan. 29, 2014, as amended at 79 FR 27437, May 13, 2014; 80
FR 43319, July 22, 2015]
[[Page 182]]
Sec. 758.3 Responsibilities of parties to the transaction.
All parties that participate in transactions subject to the EAR must
comply with the EAR. Parties are free to structure transactions as they
wish, and to delegate functions and tasks as they deem necessary, as
long as the transaction complies with the EAR. However, acting through a
forwarding or other agent, or delegating or redelegating authority, does
not in and of itself relieve anyone of responsibility for compliance
with the EAR.
(a) Export transactions. The U.S. principal party in interest is the
exporter, except in certain routed transactions. The exporter must
determine licensing authority (License, License Exception, or NLR), and
obtain the appropriate license or other authorization. The exporter may
hire forwarding or other agents to perform various tasks, but doing so
does not necessarily relieve the exporter of compliance
responsibilities.
(b) Routed export transactions. All provisions of the EAR, including
the end-use and end-user controls found in part 744 of the EAR, and the
General Prohibitions found in part 736 of the EAR, apply to routed
export transactions. The U.S. principal party in interest is the
exporter and must determine licensing authority (License, License
Exception, or NLR), and obtain the appropriate license or other
authorization, unless the U.S. principal party in interest obtains from
the foreign principal party in interest a writing wherein the foreign
principal party in interest expressly assumes responsibility for
determining licensing requirements and obtaining license authority,
making the U.S. agent of the foreign principal party in interest the
exporter for EAR purposes. One writing may cover multiple transactions
between the same principals. See Sec. 748.4(a)(3) of the EAR.
(c) Information sharing requirements. In routed export transactions
where the foreign principal party in interest assumes responsibility for
determining and obtaining licensing authority, the U.S. principal party
in interest must, upon request, provide the foreign principal party in
interest and its forwarding or other agent with the correct Export
Control Classification Number (ECCN), or with sufficient technical
information to determine classification. In addition, the U.S. principal
party in interest must provide the foreign principal party in interest
or the foreign principal's agent any information that it knows will
affect the determination of license authority, see Sec. 758.1(g) of the
EAR.
(d) Power of attorney or other written authorization. In routed
export transactions, a forwarding or other agent that represents the
foreign principal party in interest, or who applies for a license on
behalf of the foreign principal party in interest, must obtain a power
of attorney or other written authorization from the foreign principal
party in interest to act on its behalf. See Sec. 748.4(b)(2) and Sec.
758.1(h) of the EAR.
[65 FR 42572, July 10, 2000, as amended at 79 FR 4619, Jan. 29, 2014]
Sec. 758.4 Use of export license.
(a) License valid for shipment from any port. An export license
issued by BIS authorizes exports from any port of export in the United
States unless the license states otherwise. Items that leave the United
States at one port, cross adjacent foreign territory, and reenter the
United States at another port before being exported to a foreign
country, are treated as exports from the last U.S. port of export.
(b) Shipments against expiring license. Any item requiring a license
that has not departed from the final U.S. port of export by midnight of
the expiration date on an export license may not be exported under that
license unless the shipment meets the requirements of paragraphs (b)(1)
or (2) of this section.
(1) BIS grants an extension; or
(2) Prior to midnight on the date of expiration on the license, the
items:
(i) Were laden aboard the vessel;
(ii) Were located on a pier ready for loading and not for storage,
and were booked for a vessel that was at the pier ready for loading; or
(iii) The vessel was expected to be at the pier for loading before
the license expired, but exceptional and unforseen circumstances delayed
it, and BIS or the U.S. Customs Service makes a judgment that undue
hardship would
[[Page 183]]
result if a license extension were required.
(c) Reshipment of undelivered items. If the consignee does not
receive an export made under a license because the carrier failed to
deliver it, the exporter may reship the same or an identical item,
subject to the same limitations as to quantity and value as described on
the license, to the same consignee and destination under the same
license. If an item is to be reshipped to any person other than the
original consignee, the shipment is considered a new export and requires
a new license. Before reshipping, satisfactory evidence of the original
export and of the delivery failure, together with a satisfactory
explanation of the delivery failure, must be submitted by the exporter
to the following address: Operations Division, Bureau of Industry and
Security, U.S. Department of Commerce, Room 2099B, 14th Street &
Pennsylvania Avenue, NW., Washington, DC 20230.
(d) Exports against license with approved name changes. If you are
exporting against a license with approved name changes under Sec.
750.7(c)(2) of the EAR, prior to using that export license you are
required to include in the respective name field in AES (e.g., in the
USPPI name field in AES), the new name followed by the original name in
this format ``[new name] f.k.a. [original name].'' This reporting
requirement would be completed by the authorized filer of the electronic
export information (EEI) in AES. Although not required, the exporter may
include a copy of the BIS written response approving the non-material
name changes in accordance with Sec. 750.7(c)(2) of the EAR. If the
items have already been exported against the license by the time the
name changes are approved, you are not required to report this
additional information in AES, but you still must follow the
recordkeeping requirements in part 762 of the EAR.
[65 FR 42572, July 10, 2000, as amended at 78 FR 13470, Feb. 28, 2013;
79 FR 32626, June 5, 2014]
Sec. 758.5 Conformity of documents and unloading of items.
(a) Purpose. The purpose of this section is to prevent items
licensed for export from being diverted while in transit or thereafter.
It also sets forth the duties of the parties when the items are unloaded
in a country other than that of the ultimate consignee or end user as
stated on the export license.
(b) Conformity of documents. When a license is issued by BIS, the
information entered on related export control documents (e.g.,
Electronic Export Information (EEI) filing, bill of lading or air
waybill) must be consistent with the license.
(c) Issuance of the bill of lading or air waybill--(1) Ports in the
country of the ultimate consignee or end user. No person may issue a
bill of lading or air waybill that provides for delivery of licensed
items to any foreign port located outside the country of an intermediate
consignee, ultimate consignee, or end user named on the BIS license and
in the EEI filing.
(2) Optional ports of unloading--(i) Licensed items. No person may
issue a bill of lading or air waybill that provides for delivery of
licensed items to optional ports of unloading unless all the optional
ports are within the country of ultimate destination or are included on
the BIS license and in the EEI filing.
(ii) Unlicensed items. For shipments of items that do not require a
license, the exporter may designate optional ports of unloading in EEI
filing and on other export control documents, so long as the optional
ports are in countries to which the items could also have been exported
without a license.
(d) Delivery of items. No person may deliver items to any country
other than the country of an intermediate consignee, ultimate consignee,
or end user named on the BIS license and EEI filing without prior
written authorization from BIS, except for reasons beyond the control of
the carrier (such as acts of God, perils of the sea, damage to the
carrier, strikes, war, political disturbances or insurrection).
(e) Procedures for unscheduled unloading--(1) Unloading in country
where no license is required. When items are unloaded in a country to
which the items could be exported without a license issued by BIS, no
notification to BIS is required. However, any persons disposing of the
items must continue to
[[Page 184]]
comply with the terms and conditions of any License Exception, and with
any other relevant provisions of the EAR.
(2) Unloading in a country where a license is required. (i) When
items are unloaded in a country to which the items would require a BIS
license, no person may effect delivery or entry of the items into the
commerce of the country where unloaded without prior written approval
from BIS. The carrier, in ensuring that the items do not enter the
commerce of the country, may have to place the items in custody, or
under bond or other guaranty. In addition, the carrier must inform the
exporter and BIS of the unscheduled unloading in a time frame that will
enable the exporter to submit its report within 10 days from the date of
unscheduled unloading. The exporter must within 10 days of the
unscheduled unloading report the facts to and request authorization for
disposition from BIS using either: mail, fax, or E-mail. The report to
BIS must include:
(A) A copy of the manifest of the diverted cargo;
(B) Identification of the place of unloading;
(C) Statement that explains why the unloading was necessary; and
(D) A proposal for disposition of the items and a request for
authorization for such disposition from BIS.
(ii) Contact information. U.S. Department of Commerce, Bureau of
Industry and Security, Office of Exporter Services, Room 2099B, 14th and
Pennsylvania Avenue, NW., Washington, DC 20230; phone number 202-482-
0436; facsimile number 202-482-3322; and E-Mail address:
[email protected].
[65 FR 42573, July 10, 2000, as amended at 72 FR 3946, Jan. 29, 2007; 78
FR 13470, Feb. 28, 2013; 78 FR 22726, Apr. 16, 2013; 79 FR 4619, Jan.
29, 2014]
Sec. 758.6 Destination control statement and other information furnished
to consignees.
(a) The exporter must incorporate the following information as an
integral part of the commercial invoice whenever items on the Commerce
Control List are shipped (i.e., exported in tangible form), unless the
shipment (i.e., the tangible export) may be made under License Exception
BAG or GFT (see part 740 of the EAR) or the item is designated as EAR99:
(1) The following statement: ``These items are controlled by the
U.S. Government and authorized for export only to the country of
ultimate destination for use by the ultimate consignee or end-user(s)
herein identified. They may not be resold, transferred, or otherwise
disposed of, to any other country or to any person other than the
authorized ultimate consignee or end-user(s), either in their original
form or after being incorporated into other items, without first
obtaining approval from the U.S. government or as otherwise authorized
by U.S. law and regulations'' and
(2) The ECCN(s) for any 3A001.z, 3A090, 4A003.z, 4A004.z, 4A005.z,
4A090, 5A002.z, 5A004.z, 5A992.z, 9x515 or ``600 series'' ``items''
being shipped (i.e., exported in tangible form). For the seven ECCNs
with a .z paragraph, the requirement to include the classification only
applies to commodities specified under the .z paragraphs. If the
commodity is specified under any other paragraph in one of those seven
ECCNs, then the requirement under this paragraph is not applicable. For
ECCN 3A090, identify the commodity as either 3A090.a, .b, or .c.
Note 1 to paragraph (a): In paragraph (a)(1), the term 'authorized'
includes exports, reexports and transfers (in-country) designated under
No License Required (NLR).
Note 2 to paragraph (a): The phrase 'country of ultimate
destination' means the country specified on the commercial invoice where
the ultimate consignee or end user will receive the items as an
``export.''
Note 3 to paragraph (a): The phrase 'or as otherwise authorized by
U.S. law and regulations' is included because the EAR contain specific
exemptions from licensing (e.g., EAR license exceptions and NLR
designations) and do not control the reexport of foreign-made items
containing less than a de minimis amount of controlled content. See
Sec. 734.4 and supplement no. 2 to part 748.
(b) [Reserved]
[81 FR 54731, Aug. 17, 2016, as amended at 88 FR 73497, Oct. 25, 2023;
89 FR 96818, Dec. 5, 2024]
[[Page 185]]
Sec. 758.7 Authorities of the Bureau of Industry and Security, Office
of Export Enforcement (OEE).
(a) Actions to assure compliance with export laws and regulations.
OEE officials and any other officials of the United States designated by
OEE are authorized and directed to take appropriate action to enforce
the authorities granted to the Secretary under the laws and regulations
of the United States, including ECRA, 13 U.S.C. 305, 22 U.S.C. 401, 50
U.S.C. 1701 et seq., the EAR, and the Foreign Trade Regulations (FTR)
(15 CFR part 30). This includes, but is not limited to, assuring that:
(1) Exports, reexports, and transfers (in-country) without a license
issued by BIS are either outside the scope of the license requirements
of the EAR or authorized by a license exception and comply with the
terms of the license exception;
(2) Exports, reexports, transfers (in-country) purporting to be
authorized by licenses issued by BIS are, in fact, so authorized and the
transaction complies with the terms of the license;
(3) Accurate EEI filings have been made for exports as required by
this part, the FTR, and other federal regulations; and
(4) The activities of U.S. persons, wherever located, which are
subject to a license requirement pursuant to Sec. 744.6 of the EAR, are
authorized by and comply with the terms of a BIS license.
(b) Types of actions. In carrying out the authorities granted to,
and exercised by, the Secretary pursuant to ECRA, 13 U.S.C. 305, 22
U.S.C. 401, 50 U.S.C. 1701 et seq., the EAR, the FTR, and other
applicable laws and regulations of the United States, including the
authority to control the export, reexport, and transfer (in-country) of
items, in any form, subject to the jurisdiction of the United States,
whether by U.S. or foreign persons; control the activities of U.S.
persons, wherever located, as described in Sec. 744.6 of the EAR;
ensure compliance with export controls; monitor shipments and other
means of transfer; conduct investigations; and issue orders, OEE
officials and any other officials of the United States designated by OEE
are authorized to take the types of enforcement actions described below.
(1) Inspection, search, and detention of items--(i) Purpose of
inspection, search, and detention. All items subject to export laws and
regulations administered or enforced by the Secretary that have been,
are being, or are about to be exported, reexported, or transferred (in-
country) are subject to inspection, search, and detention. The scope of
inspection may include, but is not limited to, item identification;
technical appraisal (analysis) or both; verifying the accuracy of the
EEI filing, or if there is no EEI filing, the air waybill, bill of
lading or other loading document covering the item about to be exported,
reexported, or transferred (in-country); and verifying the value and
quantity of such item.
(ii) Place of inspection, search, and detention. Inspection, search,
and detention may take place at any location inside or outside of the
United States, to include, but not limited to, the borders of the United
States, all ports of exit, the premises of freight forwarders, bonded
warehouses, foreign trade zones, and manufacturing, transportation, and
storage facilities.
(iii) Technical identification. Where, in the judgment of the
official making the inspection, the item cannot be properly identified,
a sample may be taken for more detailed examination or for laboratory
analysis.
(A) Obtaining samples. The sample will be obtained by the official
making the inspection in accordance with the provisions for sampling
imported merchandise. The size of the sample will be the minimum
representative amount necessary for identification or analysis. This
will depend on such factors as the physical condition of the material
(whether solid, liquid, or gas) and the size and shape of the container.
(B) Notification. When a sample is taken, the exporter, reexporter,
or transferor, or their agent(s), and the ultimate consignee will be
notified by letter from an OEE official, documenting the port of export,
reexport, or other place of inspection, date of sampling, BIS license
number (if any) or other authorization, invoice number, quantity of
sample taken, description of item, marks and packing case
[[Page 186]]
numbers, and manufacturer's number for the item. A copy of the letter
will be placed in the container that had been opened by the inspecting
official, and a copy will be retained by the inspecting official's
office.
(C) Disposal of samples. Samples will be disposed of in accordance
with the U.S. Customs and Border Protection procedure for imported
commodities.
(2) Inspection and production of books, records, and other
information. OEE officials are authorized to require any person subject
to export laws and regulations administered or enforced by the
Secretary, including, but not limited to, exporters, reexporters,
transferors, or their agent(s), and owners and operators of carriers or
their agents, as well as intermediate consignees, ultimate consignees,
and end users, and their agent(s) to produce for inspection and copying
any books, records and other information, including, but not limited to,
invoices, orders, letters of credit, inspection reports, technical
documentation, packing lists, shipping documents and instructions, and
correspondence.
(3) Questioning of individuals. OEE officials are authorized to
question any person, including, but not limited to, the owner or
operator of a carrier and the carrier's agent(s), as well as the
exporter, reexporter, transferor (in-country), or their agent(s).
(4) Prohibiting lading. OEE officials may prevent the lading of
items on a conveyance.
(5) Inspection, search, and detention of conveyance. OEE officials
are authorized to inspect, search, and detain any conveyance at any time
to determine whether items have been, are being, or are about to be
exported, reexported, or transferred (in-country). Inspection, search,
and detention of a conveyance may take place at any location inside or
outside of the United States, to include, but not limited to, the
borders of the United States, all ports of exit, the premises of freight
forwarders, bonded warehouses, foreign trade zones, and manufacturing,
transportation, and storage facilities.
(6) Seizure of property. OEE officials are authorized to seize any
property, tangible or intangible, when there is probable cause to
believe that such property is subject to administrative forfeiture
(nonjudicial civil forfeiture or summary forfeiture), civil judicial
forfeiture, or criminal forfeiture. Seizures of property subject to
forfeiture may take place at any location inside or outside of the
United States, to include, but not limited to, the borders of the United
States, all ports of exit, the premises of freight forwarders, bonded
warehouses, foreign trade zones, and manufacturing, transportation, and
storage facilities.
(7) Administrative forfeiture authority. OEE is authorized to
initiate administrative forfeiture (nonjudicial civil forfeiture or
summary forfeiture) proceedings and forfeit property in accordance with
the procedures set forth in 18 U.S.C. 981(d) and the Customs laws (19
U.S.C. 1602 et seq).
(8) Enforcement activity. (i) All BIS actions taken to implement,
administer, and enforce the authorities granted to the Secretary shall
be conducted pursuant to the U.S. Constitution and all applicable laws
and regulations, including judicially recognized exceptions to the
requirement for a search warrant under the Fourth Amendment, for
example, consent of the person to be searched, exigent circumstances,
searches incident to a lawful arrest, and border searches.
(ii) BIS may enter into any such agreements (e.g., memoranda of
understanding) with other Federal agencies as deemed necessary by BIS to
execute the authorities set forth in this part in a lawful and orderly
manner.
(iii) BIS shall issue additional guidance as necessary to ensure the
lawful and orderly execution of the Secretary's authorities.
(iv) Nothing in this section is intended to limit or abridge BIS law
enforcement officers from exercising their lawful authority in carrying
out their official duties.
[85 FR 73414, Nov. 18, 2020]
Sec. 758.8 Return or unloading of cargo.
(a) Carrier. As used in this section, the term ``carrier'' includes
a connecting or on-forwarding carrier, as well as the owner, charterer,
agent, master, or any other person in possession, control, or charge of
the vessel,
[[Page 187]]
aircraft, vehicle, or other kind of conveyance, whether such person is
located in the United States or in a foreign country.
(b) Ordering return or unloading of shipment. In order to ensure
compliance with export laws and regulations administered or enforced by
the Secretary, OEE officials, or any other official of the United States
designated by OEE, may, with respect to a particular export, reexport,
or transfer (in-country), order any carrier to return or unload the
shipment. For the purpose of this section, furnishing a copy of the
order to any person included within the definition of carrier will be
sufficient notice of the order to the carrier. The carrier must, as
ordered:
(1) Unload the shipment and make it available to OEE officials for
search and inspection; or
(2) Return the shipment to the United States or cause it to be
returned; or
(3) Unload the shipment at a port of call and take steps to assure
that it is placed in custody under bond or other guaranty not to enter
the commerce of any foreign country without the prior approval of BIS.
(c) Requirements regarding shipment to be unloaded. The provisions
of Sec. 758.5(d) and (e) of this part, relating to reporting,
notification to BIS, and the prohibition against unauthorized delivery
or entry of the item into a foreign country shall apply also when items
are unloaded at a port of call, as provided in paragraph (b)(3) of this
section.
(d) Notification. Upon discovery by any person included within the
term ``carrier,'' as defined in paragraph (a) of this section, that a
violation of the export laws and regulations administered or enforced by
the Secretary has occurred, is occurring, or is about to occur with
respect to a shipment on board, or otherwise in the possession or
control of the carrier, such person must immediately notify both:
(1) The Office of Export Enforcement at the following address: Room
H-4508, U.S. Department of Commerce, 14th Street and Constitution Ave.
NW, Washington, DC 20230, Telephone: (202) 482-1208, Facsimile: (202)
482-0964; and
(2) The person in actual possession or control of the shipment.
[85 FR 73415, Nov. 18, 2020]
Sec. 758.9 Other applicable laws and regulations.
The provisions of this part apply only to exports, reexports, and
transfers (in-country), as well as the activities of U.S. persons
described in Sec. 744.6 of the EAR, which are subject to the export
laws and regulations administered or enforced by the Secretary. Nothing
contained in this part shall relieve any person from complying with any
other law of the United States or rules and regulations issued
thereunder, including those governing EEI filings to AES, manifests, or
any other applicable rules and regulations.
[85 FR 73415, Nov. 18, 2020]
Sec. 758.10 Entry clearance requirements for temporary imports.
(a) Scope. This section specifies the temporary import entry
clearance requirements for firearms ``subject to the EAR'' that are on
the United States Munitions Import List (USMIL, 27 CFR 447.21), except
for firearms ``subject to the EAR'' that are temporarily brought into
the United States by nonimmigrant aliens under the provisions of
Department of Justice regulations at 27 CFR part 478 (See Sec.
740.14(e) of the EAR for information on the export of these firearms
``subject to the EAR''). These firearms are controlled in ECCNs 0A501.a
or .b, 0A506 or 0A507, or shotguns with a barrel length less than 18
inches controlled in ECCNs 0A502 or 0A508. Items that are temporarily
exported under the EAR must have met the export clearance requirements
specified in Sec. 758.1.
(1) An authorization under the EAR is not required for the temporary
import of ``items'' that are ``subject to the EAR,'' including for
``items'' ``subject to the EAR'' that are on the USMIL. Temporary
imports of firearms described in this section must meet the entry
clearance requirements specified in paragraph (b) of this section.
(2) Permanent imports are regulated by the Attorney General under
the direction of the Department of Justice's Bureau of Alcohol, Tobacco,
Firearms
[[Page 188]]
and Explosives (see 28 CFR 0.130; 27 CFR parts 447, 478, 479, and 555).
(b) EAR procedures for temporary imports and subsequent exports. To
the satisfaction of U.S. Customs and Border Protection, the temporary
importer must comply with the following procedures:
(1) At the time of entry into the U.S. of the temporary import:
(i) Provide one of the following statements specified in paragraph
(b)(1)(i)(A), (B), or (C) of this section to U.S. Customs and Border
Protection:
(A) ``This shipment is being temporarily imported in accordance with
the EAR. This shipment will be exported in accordance with and under the
authority of License Exception TMP (15 CFR 740.9(b)(5));''
(B) ``This shipment is being temporarily imported in accordance with
the EAR. This shipment will be exported in accordance with and under the
authority of License Exception RPL (15 CFR 740.10(b));'' or
(C) ``This shipment is being temporarily imported in accordance with
the EAR. This shipment will be exported in accordance with and under the
authority of BIS license number (provide the license number) (15 CFR
750.7(a) and 758.4);''
(ii) Provide to U.S. Customs and Border Protection an invoice or
other appropriate import-related documentation (or electronic
equivalents) that includes a complete list and description of the
firearms being temporarily imported, including their model, make,
caliber, serial numbers, quantity, and U.S. dollar value;
(iii) Provide (if temporarily imported for a trade show, exhibition,
demonstration, or testing) to U.S. Customs and Border Protection the
relevant invitation or registration documentation for the event and an
accompanying letter that details the arrangements to maintain effective
control of the firearms while they are in the United States; or
(iv) Provide (if temporarily imported for servicing or replacement)
to U.S. Customs and Border Protection the name, address and contact
information (telephone number and/or email) of the organization or
individual in the U.S. that will be receiving the item for servicing or
replacement).
Note 1 to paragraph (b)(1): In accordance with the exclusions in
License Exception TMP under Sec. 740.9(b)(5) of the EAR, the entry
clearance requirements in Sec. 758.1(b)(9) do not permit the temporary
import of: Firearms controlled in ECCN 0A501.a or .b, 0A506 or 0A507
that are shipped from or manufactured in a Country Group D:5 country; or
that are shipped from or manufactured in Georgia, Kazakhstan,
Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan (except for
any firearm model controlled by 0A501.a or .b, 0A506, or 0A507 that is
specified under annex A in supplement no. 4 to part 740 of the EAR); or
shotguns with a barrel length less than 18 inches controlled in ECCNs
0A502 or 0A508 that are shipped from or manufactured in a Country Group
D:5 country, or from Georgia, Kazakhstan, Kyrgyzstan, Moldova,
Turkmenistan, Ukraine, or Uzbekistan, because of the exclusions in
License Exception TMP under Sec. 740.9(b)(5).
Note 2 to paragraph (b)(1): In accordance with the exclusions in
License Exception RPL under Sec. 740.10(b)(4) and supplement no. 2 to
part 748, paragraph (z), of the EAR, the entry clearance requirements in
Sec. 758.1(b)(9) do not permit the temporary import of: Firearms
controlled in ECCN 0A501.a or .b, 0A506, or 0A507 that are shipped from
or manufactured in Russia, Georgia, Kazakhstan, Kyrgyzstan, Moldova,
Turkmenistan, Ukraine, or Uzbekistan (except for any firearm model
controlled by 0A501.a or .b, 0A506, or 0A507 that is specified under
Annex A in Supplement No. 4 to part 740 of the EAR); or shotguns with a
barrel length less than 18 inches controlled in ECCNs 0A502 or 0A508
that are shipped from or manufactured in Russia, Georgia, Kazakhstan,
Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or Uzbekistan, because of
the exclusions in License Exception RPL under Sec. 740.10(b)(4) and
supplement no. 2 to part 748, paragraph (z), of the EAR.
(2) At the time of export, in accordance with the U.S. Customs and
Border Protection procedures, the eligible exporter, or an agent acting
on the filer's behalf, must as required under Sec. 758.1(b)(9) file the
export information with CBP by filing EEI in AES, noting the applicable
EAR authorization as the authority for the export, and provide, upon
request by CBP, the entry document number or a copy of the CBP document
under which the ``item'' subject to the EAR'' on the USMIL was
[[Page 189]]
temporarily imported. See also the additional requirements in Sec.
758.1(g)(4).
[85 FR 4179, Jan. 23, 2020, as amended at 89 FR 34709, Apr. 30, 2024; 89
FR 40372, May 10, 2024]
Sec. 758.11 Export clearance requirements for firearms and related
items.
(a) Scope. The export clearance requirements of this section apply
to all exports of commodities controlled under ECCNs 0A501.a or .b,
0A506, or 0A507, or shotguns with a barrel length less than 18 inches
controlled under ECCNs 0A502 or 0A508, or ammunition controlled under
ECCN 0A505 except for .c, regardless of value or destination, including
exports to Australia, Canada, and the United Kingdom, that are
authorized under License Exception BAG, as set forth in Sec. 740.14 of
the EAR.
(b) Required form. Prior to making any export described in paragraph
(a) of this section, the exporter is required to submit a properly
completed Department of Homeland Security, CBP Form 4457, (Certificate
of Registration for Personal Effects Taken Abroad) (OMB Control Number
1651-0010), to the U.S. Customs and Border Protection (CBP), pursuant to
19 CFR 148.1, and as required by this section.
(1) Where to obtain the form? The CBP Certification of Registration
Form 4457 can be found on the following CBP website: https://
www.cbp.gov/document /forms/form-4457-certificate- registration-
personal-effects- taken-abroad.
(2) Required ``description of articles'' for firearms to be included
on the CBP Form 4457. For all exports of firearms controlled under ECCNs
0A501.a or .b, 0A506, or 0A507, or shotguns with a barrel length less
than 18 inches controlled under ECCNs 0A502 or 0A508, the exporter must
provide to CBP the serial number, make, model, and caliber for each
firearm being exported by entering this information under the
``Description of Articles'' field of the CBP Form 4457, Certificate of
Registration for Personal Effects Taken Abroad.
(c) Where to find additional information on the CBP Form 4457? See
the following CBP website page for additional information: https://
help.cbp.gov/app/answers /detail/a_id/323//traveling- outside-of-the-
u.s.-temporarily- taking-a-firearm%2C-rifle%2C-gun%2C.
(d) Return of items exported pursuant to this section. The exporter
when returning with a commodity authorized under License Exception BAG
and exported pursuant this section, is required to present a copy of the
CBP Form 4457, Certificate of Registration for Personal Effects Taken
Abroad) (OMB Control Number 1651-0010), to CBP, pursuant to 19 CFR
148.1, and as required by this section.
[85 FR 4179, Jan. 23, 2020, as amended at 89 FR 28601, Apr. 19, 2024; 89
FR 34710, Apr. 30, 2024]
PART 760_RESTRICTIVE TRADE PRACTICES OR BOYCOTTS--Table of Contents
Sec.
760.1 Definitions.
760.2 Prohibitions.
760.3 Exceptions to prohibitions.
760.4 Evasion.
760.5 Reporting requirements.
Supplement No. 1 to Part 760--Interpretations
Supplement No. 2 to Part 760--Interpretation
Supplement No. 3 to Part 760--Interpretation
Supplement No. 4 to Part 760--Interpretation
Supplement No. 5 to Part 760--Interpretation
Supplement No. 6 to Part 760--Interpretation
Supplement No. 7 to Part 760--Interpretation
Supplement No. 8 to Part 760--Interpretation
Supplement No. 9 to Part 760--Interpretation
Supplement No. 10 to Part 760--Interpretation
Supplement No. 11 to Part 760--Interpretation
Supplement No. 12 to Part 760--Interpretation
Supplement No. 13 to Part 760--Interpretation
Supplement No. 14 to Part 760--Interpretation
Supplement No. 15 to Part 760--Interpretation
Supplement No. 16 to Part 760--Interpretation
Supplement No. 17 to Part 760--Interpretation
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
[[Page 190]]
Source: 61 FR 12862, Mar. 25, 1996, unless otherwise noted.
Sec. 760.1 Definitions.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C.
(a) Definition of person. For purposes of this part, the term person
means any individual, or any association or organization, public or
private, which is organized, permanently established, resident, or
registered to do business, in the United States or any foreign country.
This definition of person includes both the singular and plural and, in
addition, includes:
(1) Any partnership, corporation, company, branch, or other form of
association or organization, whether organized for profit or non-profit
purposes;
(2) Any government, or any department, agency, or commission of any
government;
(3) Any trade association, chamber of commerce, or labor union;
(4) Any charitable or fraternal organization; and
(5) Any other association or organization not specifically listed in
paragraphs (a)(1) through (4) of this section.
(b) Definition of ``United States person''. (1) This part applies to
United States persons. For purposes of this part, the term United States
person means any person who is a United States resident or national,
including individuals, domestic concerns, and ``controlled in fact''
foreign subsidiaries, affiliates, or other permanent foreign
establishments of domestic concerns. This definition of United States
person includes both the singular and plural and, in addition, includes:
(i) The government of the United States or any department, agency,
or commission thereof;
(ii) The government of any State of the United States, the District
of Columbia, the Commonwealth of Puerto Rico, any territory or
possession of the United States, or any subdivision, department, agency,
or commission of any such government;
(iii) Any partnership, corporation, company, association, or other
entity organized under the laws of paragraph (b)(1)(i) or (ii) of this
section;
(iv) Any foreign concern's subsidiary, partnership, affiliate,
branch, office, or other permanent establishment in any state of the
United States, the District of Columbia, the Commonwealth of Puerto
Rico, or any territory or possession of the United States; and
(v) Any domestic concern's foreign subsidiary, partnership,
affiliate, branch, office, or other permanent foreign establishment
which is controlled in fact by such domestic concern. (See paragraph (c)
of this section on ``Definition of `Controlled in Fact'.'')
(2) The term domestic concern means any partnership, corporation,
company, association, or other entity of, or organized under the laws
of, any jurisdiction named in paragraph (b)(1) (i) or (ii) of this
section, or any permanent domestic establishment of a foreign concern.
(3) The term foreign concern means any partnership, corporation,
company, association, or other entity of, or organized under the laws
of, any jurisdiction other than those named in paragraph (b)(1)(i) or
(ii) of this section.
(4) The term United States person does not include an individual
United States national who is resident outside the United States and who
is either employed permanently or temporarily by a non-United States
person or assigned to work as an employee for, and under the direction
and control of, a non-United States person.
Examples of ``United States Person''
The following examples are intended to give guidance in determining
whether a person is a ``United States person.'' They are illustrative,
not comprehensive.
(i) U.S. bank A has a branch office in foreign country P. Such
branch office is a United States person, because it is a permanent
foreign establishment of a domestic concern.
(ii) Ten foreign nationals establish a manufacturing plant, A, in
the United States, incorporating the plant under New York law.
A is a United States person, because it is a corporation organized
under the laws of one of the states of the United States.
(iii) A, a foreign corporation, opens an office in the United States
for purposes of soliciting U.S. orders. The office is not separately
incorporated.
[[Page 191]]
A's U.S. office is a United States person, because it is a permanent
establishment, in the United States, of a foreign concern.
(iv) A, a U.S. individual, owns stock in foreign corporation B.
A is a United States person. However, A is not a ``domestic
concern,'' because the term ``domestic concern'' does not include
individuals.
(v) A, a foreign national resident in the United States, is employed
by B, a foreign corporation.
A is a United States person, because he is resident in the United
States.
(vi) A, a foreign national, who is resident in a foreign country and
is employed by a foreign corporation, makes occasional visits to the
United States, for purposes of exploring business opportunities.
A is not a United States person, because he is not a United States
resident or national.
(vii) A is an association of U.S. firms organized under the laws of
Pennsylvania for the purpose of expanding trade.
A is a United States person, because it is an association organized
under the laws of one of the states of the United States.
(viii) At the request of country Y, A, an individual employed by
U.S. company B, is assigned to company C as an employee. C is a foreign
company owned and controlled by country Y. A, a U.S. national who will
reside in Y, has agreed to the assignment provided he is able to retain
his insurance, pension, and other benefits. Accordingly, company B has
agreed to keep A as an employee in order to protect his employee
benefits, and company C has agreed to pay for A's salary. At all times
while he works for C, A will be under C's direction and control.
A is not a United States person while under C's direction and
control, because he will be resident outside the United States and
assigned as an employee to a non-United States person. The arrangement
designed to protect A's insurance, pension, and other benefits does not
destroy his status as an employee of C so long as he is under the
direction and control of C.
(ix) A, a U.S. citizen, has resided in Europe for three years, where
he is a self-employed consultant for United States and foreign companies
in the communications industry.
A is a United States person, because he is a U.S. national and
because he is not a resident outside the United States who is employed
by other than a United States person.
(c) Definition of ``Controlled in Fact''. (1) This part applies to
any domestic concern's foreign subsidiary, partnership, affiliate,
branch, office, or other permanent foreign establishment which is
controlled in fact by such domestic concern. Control in fact consists of
the authority or ability of a domestic concern to establish the general
policies or to control day-to-day operations of its foreign subsidiary,
partnership, affiliate, branch, office, or other permanent foreign
establishment.
(2) A foreign subsidiary or affiliate of a domestic concern will be
presumed to be controlled in fact by that domestic concern, subject to
rebuttal by competent evidence, when:
(i) The domestic concern beneficially owns or controls (whether
directly or indirectly) more than 50 percent of the outstanding voting
securities of the foreign subsidiary or affiliate;
(ii) The domestic concern beneficially owns or controls (whether
directly or indirectly) 25 percent or more of the voting securities of
the foreign subsidiary or affiliate, if no other person owns or controls
(whether directly or indirectly) an equal or larger percentage;
(iii) The foreign subsidiary or affiliate is operated by the
domestic concern pursuant to the provisions of an exclusive management
contract;
(iv) A majority of the members of the board of directors of the
foreign subsidiary or affiliate are also members of the comparable
governing body of the domestic concern;
(v) The domestic concern has authority to appoint the majority of
the members of the board of directors of the foreign subsidiary or
affiliate; or
(vi) The domestic concern has authority to appoint the chief
operating officer of the foreign subsidiary or affiliate.
(3) A brokerage firm or other person which holds simple record
ownership of securities for the convenience of clients will not be
deemed to control the securities.
(4) A domestic concern which owns, directly or indirectly,
securities that are immediately convertible at the option of the holder
or owner into voting securities is presumed to own or control those
voting securities.
(5) A domestic concern's foreign branch office or other
unincorporated permanent foreign establishment is deemed to be
controlled in fact by such domestic concern under all circumstances.
[[Page 192]]
Examples of ``Controlled in Fact''
The following examples are intended to give guidance in determining
the circumstances in which a foreign subsidiary, affiliate, or other
permanent foreign establishment of a domestic concern is ``controlled in
fact.'' They are illustrative, not comprehensive.
(i) Company A is incorporated in a foreign country. Fifty-one
percent of the voting stock of A is owned by U.S. company B.
A is presumed to be controlled in fact by B. This presumption may be
rebutted by competent evidence showing that control does not, in fact,
lie with B.
(ii) Company A is incorporated in a foreign country. Ten percent of
the voting stock of A is owned by U.S. company B. A has an exclusive
management contract with B pursuant to which A is operated by B.
As long as such contract is in effect, A is presumed to be
controlled in fact by B. This presumption may be rebutted by competent
evidence showing that control does not, in fact, lie with B.
(iii) Company A is incorporated in a foreign country. Ten percent of
the voting stock of A is owned by U.S. company B. A has 10 persons on
its board of directors. Six of those persons are also members of the
board of directors of U.S. company B.
A is presumed to be controlled in fact by B. This presumption may be
rebutted by competent evidence showing that control does not, in fact,
lie with B.
(iv) Company A is incorporated in a foreign country. Thirty percent
of the voting securities of A is owned by U.S. company B and no other
person owns or controls an equal or larger share.
A is presumed to be controlled in fact by B. This presumption may be
rebutted by competent evidence showing that control does not, in fact,
lie with B.
(v) Company A is incorporated in a foreign country. In A's articles
of incorporation, U.S. company B has been given authority to appoint A's
board of directors.
A is presumed to be controlled in fact by B. This presumption may be
rebutted by competent evidence showing that control does not, in fact,
lie with B.
(vi) Company A is a joint venture established in a foreign country,
with equal participation by U.S. company B and foreign company C. U.S.
Company B has authority to appoint A's chief operating officer.
A is presumed to be controlled in fact by B. This presumption may be
rebutted by competent evidence showing that control does not, in fact,
lie with B.
(vii) Same as (vi), except that B has no authority to appoint A's
chief operating officer.
B is not presumed to control A, absent other facts giving rise to a
presumption of control.
(viii) Company A is incorporated in a foreign country. U.S.
companies B, C, and D each own 20 percent of A's voting securities and
regularly cast their votes in concert.
A is presumed to be controlled in fact by B, C, and D, because these
companies are acting in concert to control A.
(ix) U.S. bank B located in the United States has a branch office,
A, in a foreign country. A is not separately incorporated.
A is deemed to be controlled in fact by B, because A is a branch
office of a domestic concern.
(x) Company A is incorporated in a foreign country. Fifty-one
percent of the voting stock of A is owned by company B, which is
incorporated in another foreign country. Fifty-one percent of the voting
stock of B is owned by C, a U.S. company.
Both A and B are presumed to be controlled in fact by C. The
presumption of C's control over B may be rebutted by competent evidence
showing that control over B does not, in fact, lie with C. The
presumption of B's control over A (and thus C's control over A) may be
rebutted by competent evidence showing that control over A does not, in
fact, lie with B.
(xi) B, a U.S. individual, owns 51 percent of the voting securities
of A, a manufacturing company incorporated and located in a foreign
country.
A is not ``controlled in fact'' under this part, because it is not
controlled by a ``domestic concern.''
(d) Definition of ``Activities in the Interstate or Foreign Commerce
of the United States''.
Activities Involving United States Persons Located in the United States
(1) For purposes of this part, the activities of a United States
person located in the United States are in the interstate or foreign
commerce of the United States if they involve the sale, purchase, or
transfer of goods or services (including information) between:
(i) Two or more of the several States (including the District of
Columbia);
(ii) Any State (including the District of Columbia) and any
territory or possession of the United States;
(iii) Two or more of the territories or possessions of the United
States; or
(iv) A State (including the District of Columbia), territory or
possession of the United States and any foreign country.
(2) For purposes of this part, the export of goods or services from
the United States and the import of goods or services into the United
States are activities in United States commerce. In addition, the action
of a domestic concern in specifically directing the
[[Page 193]]
activities of its controlled in fact foreign subsidiary, affiliate, or
other permanent foreign establishment is an activity in United States
commerce.
(3) Activities of a United States person located in the United
States may be in United States commerce even if they are part of or
ancillary to activities outside United States commerce. However, the
fact that an ancillary activity is in United States commerce does not,
in and of itself, mean that the underlying or related activity is in
United States commerce.
(4) Hence, the action of a United States bank located in the United
States in providing financing from the United States for a foreign
transaction that is not in United States commerce is nonetheless itself
in United States commerce. However, the fact that the financing is in
United States commerce does not, in and of itself, make the underlying
foreign transaction an activity in United States commerce, even if the
underlying transaction involves a foreign company that is a United
States person within the meaning of this part.
(5) Similarly, the action of a United States person located in the
United States in providing financial, accounting, legal, t
ransportation, or other ancillary services to its controlled in fact
foreign subsidiary, affiliate, or other permanent foreign establishment
in connection with a foreign transaction is in United States commerce.
But the provision of such ancillary services will not, in and of itself,
bring the foreign transaction of such subsidiary, affiliate, or
permanent foreign establishment into United States commerce.
Activities of Controlled in Fact Foreign Subsidiaries, Affiliates, and
Other Permanent Foreign Establishments
(6) Any transaction between a controlled in fact foreign subsidiary,
affiliate, or other permanent foreign establishment of a domestic
concern and a person located in the United States is an activity in
United States commerce.
(7) Whether a transaction between such a foreign subsidiary,
affiliate, or other permanent foreign establishment and a person located
outside the United States is an activity in United States commerce is
governed by the following rules.
Activities in United States Commerce
(8) A transaction between a domestic concern's controlled in fact
foreign subsidiary, affiliate, or other permanent foreign establishment
and a person outside the United States, involving goods or services
(including information but not including ancillary services) acquired
from a person in the United States is in United States commerce under
any of the following circumstances--
(i) If the goods or services were acquired for the purpose of
filling an order from a person outside the United States;
(ii) If the goods or services were acquired for incorporation into,
refining into, reprocessing into, or manufacture of another product for
the purpose of filling an order from a person outside the United States;
(iii) If the goods or services were acquired for the purpose of
fulfilling or engaging in any other transaction with a person outside
the United States; or
(iv) If the goods were acquired and are ultimately used, without
substantial alteration or modification, in filling an order from, or
fulfilling or engaging in any other transaction with, a person outside
the United States (whether or not the goods were originally acquired for
that purpose). If the goods are indistinguishable as to origin from
similar foreign-trade goods with which they have been mingled in a
stockpile or inventory, the subsequent transaction involving the goods
is presumed to be in United States commerce unless, at the time of
filling the order, the foreign-origin inventory on hand was sufficient
to fill the order.
(9) For purposes of this section, goods or services are considered
to be acquired for the purpose of filling an order from or engaging in
any other transaction with a person outside the United States where:
(i) They are purchased by the foreign subsidiary, affiliate, or
other permanent foreign establishment upon the receipt of an order from
or on behalf of a customer with the intention that the goods or services
are to go to the customer;
(ii) They are purchased by the foreign subsidiary, affiliate, or
other permanent foreign establishment to meet the needs of specified
customers pursuant to understandings with those customers, although not
for immediate delivery; or
(iii) They are purchased by the foreign subsidiary, affiliate, or
other permanent foreign establishment based on the anticipated needs of
specified customers.
(10) If any non-ancillary part of a transaction between a domestic
concern's controlled foreign subsidiary, affiliate, or other permanent
foreign establishment and a person outside the United States is in
United States commerce, the entire transaction is in United States
commerce. For example, if such a foreign subsidiary is engaged in
filling an order from a non-United States customer both with goods
acquired from the United States and with goods acquired elsewhere, the
entire transaction with that customer is in United States commerce.
[[Page 194]]
Activities Outside United States Commerce
(11) A transaction between a domestic concern's controlled foreign
subsidiary, affiliate, or other permanent foreign establishment and a
person outside the United States, not involving the purchase, sale, or
transfer of goods or services (including information) to or from a
person in the United States, is not an activity in United States
commerce.
(12) The activities of a domestic concern's controlled foreign
subsidiary, affiliate, or other permanent foreign establishment with
respect to goods acquired from a person in the United States are not in
United States commerce where:
(i) They were acquired without reference to a specific order from or
transaction with a person outside the United States; and
(ii) They were further manufactured, incorporated into, refined
into, or reprocessed into another product.
(13) The activities of a domestic concern's controlled foreign
subsidiary, affiliate, or other permanent foreign establishment with
respect to services acquired from a person in the United States are not
in United States commerce where:
(i) They were acquired without reference to a specific order from or
transaction with a person outside the United States; or
(ii) They are ancillary to the transaction with the person outside
the United States.
(14) For purposes of this section, services are ancillary services
if they are provided to a controlled foreign subsidiary, affiliate, or
other permanent foreign establishment primarily for its own use rather
than for the use of a third person. These typically include financial,
accounting, legal,transportation, and other services, whether provided
by a domestic concern or an unrelated entity.
(15) Thus, the provision of the project financing by a United States
bank located in the United States to a controlled foreign subsidiary
unrelated to the bank is an ancillary service which will not cause the
underlying transaction to be in United States commerce. By contrast,
where a domestic concern, on behalf of its controlled foreign
subsidiary, gives a guaranty of performance to a foreign country
customer, that is a service provided to the customer and, as such,
brings that subsidiary's transaction with the customer into United
States commerce. Similarly, architectural or engineering services
provided by a domestic concern in connection with its controlled foreign
subsidiary's construction project in a third country are services passed
through to the subsidiary's customer and, as such, bring that
subsidiary's foreign transaction into United States commerce.
General
(16) Regardless of whether the subsequent disposition of goods or
services from the United States is in United States commerce, the
original acquisition of goods or services from a person in the United
States is an activity in United States commerce subject to this part.
Thus, if a domestic concern's controlled foreign subsidiary engages in a
prohibited refusal to do business in stocking its inventory with goods
from the United States, that action is subject to this part whether or
not subsequent sales from that inventory are.
(17) In all the above, goods and services will be considered to have
been acquired from a person in the United States whether they were
acquired directly or indirectly through a third party, where the person
acquiring the goods or services knows or expects, at the time he places
the order, that they will be delivered from the United States.
Letters of Credit
(18) Implementation of a letter of credit in the United States by a
United States person located in the United States, including a permanent
United States establishment of a foreign concern, is an activity in
United States commerce.
(19) Implementation of a letter of credit outside the United States
by a United States person located outside the United States is in United
States commerce where the letter of credit (a) specifies a United States
address for the beneficiary, (b) calls for documents indicating shipment
from the United States, or (c) calls for documents indicating that the
goods are of United States origin.
(20) See Sec. 760.2(f) of this part on ``Letters of Credit'' to
determine the circumstances in which paying, honoring, confirming, or
otherwise implementing a letter of credit is covered by this part.
Examples of Activities in the Interstate or Foreign Commerce of the
United States
The following examples are intended to give guidance in determining
the circumstances in which an activity is in the interstate or foreign
commerce of the United States. They are illustrative, not comprehensive.
United States Person Located in the United States
(i) U.S. company A exports goods from the United States to a foreign
country. A's activity is in U.S. commerce, because A is exporting goods
from the United States.
(ii) U.S. company A imports goods into the United States from a
foreign country. A's activity is in U.S. commerce, because A is
importing goods into the United States.
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(iii) U.S. engineering company A supplies consulting services to its
controlled foreign subsidiary, B. A's activity is in U.S. commerce,
because A is exporting services from the United States.
(iv) U.S. company A supplies consulting services to foreign company
B. B is unrelated to A or any other U.S. person.
A's activity is in U.S. commerce even though B, a foreign-owned
company located outside the United States, is not subject to this part,
because A is exporting services from the United States.
(v) Same as (iv), except A is a bank located in the United States
and provides a construction loan to B.
A's activity is in U.S. commerce even though B is not subject to
this part, because A is exporting financial services from the United
States.
(vi) U.S. company A issues policy directives from time to time to
its controlled foreign subsidiary, B, governing the conduct of B's
activities with boycotting countries.
A's activity in directing the activities of its foreign subsidiary,
B, is an activity in U.S. commerce.
Foreign Subsidiaries, Affiliates, and Other Permanent Foreign
Establishments of Domestic Concerns
(i) A, a controlled foreign subsidiary of U.S. company B, purchases
goods from the United States.
A's purchase of goods from the United States is in U.S. commerce,
because A is importing goods from the United States. Whether A's
subsequent disposition of these goods is in U.S. commerce is irrelevant.
Similarly, the fact that A purchased goods from the United States does
not, in and of itself, make any subsequent disposition of those goods an
activity in U.S. commerce.
(ii) A, a controlled foreign subsidiary of U.S. company B, receives
an order from boycotting country Y for construction materials. A places
an order with U.S. company B for the materials.
A's transaction with Y is an activity in U.S. commerce, because the
materials are purchased from the United States for the purpose of
filling the order from Y.
(iii) A, a controlled foreign subsidiary of U.S. company B, receives
an order from boycotting country Y for construction materials. A places
an order with U.S. company B for some of the materials, and with U.S.
company C, an unrelated company, for the rest of the materials.
A's transaction with Y is an activity in U.S. commerce, because the
materials are purchased from the United States for the purpose of
filling the order from Y. It makes no difference whether the materials
are ordered from B or C.
(iv) A, a controlled foreign subsidiary of U.S. company B, is in the
wholesale and retail appliance sales business. A purchases finished air
conditioning units from the United States from time to time in order to
stock its inventory. A's inventory is also stocked with air conditioning
units purchased outside the United States. A receives an order for air
conditioning units from Y, a boycotting country. The order is filled
with U.S.-origin units in A's inventory.
A's transaction with Y is in U.S. commerce, because its U.S.-origin
goods are resold without substantial alteration.
(v) Same as (iv), except that A is in the chemicals distribution
business. Its U.S.-origin goods are mingled in inventory with foreign-
origin goods.
A's sale to Y of unaltered goods from its general inventory is
presumed to be in U.S. commerce unless A can show that at the time of
the sale the foreign-origin inventory on hand was sufficient to cover
the shipment to Y.
(vi) A, a foreign subsidiary of U.S. company B, receives an order
from boycotting country Y for computers. A places an order with U.S.
company B for some of the components; with U.S. company C, an unrelated
company, for other components; and with foreign company D for the rest
of the components. A then assembles the computers and ships them to Y.
A's transaction with Y is an activity in U.S. commerce, because some
of the components are acquired from the United States for purposes of
filling an order from Y.
(vii) Same as (vi), except A purchases all the components from non-
U.S.sources.
A's transaction with Y is not an activity in U.S. commerce, because
it involves no export of goods from the United States. It makes no
difference whether the technology A uses to manufacture computers was
originally acquired from its U.S. parent.
(viii) A, a controlled foreign subsidiary of U.S. company B,
manufactures computers. A stocks its general components and parts
inventory with purchases made at times from the United States and at
times from foreign sources. A receives an order from Y, a boycotting
country, for computers. A fills that order by manufacturing the
computers using materials from its general inventory.
A's transaction with Y is not in U.S. commerce, because the U.S.-
origin components are not acquired for the purpose of meeting the
anticipated needs of specified customers in Y. It is irrelevant that A's
operations may be based on U.S.-origin technology.
(ix) Same as (viii), except that in anticipation of the order from
Y, A orders and receives the necessary materials from the United States.
A's transaction with Y is in U.S. commerce, because the U.S.-origin
goods were acquired for the purpose of filling an anticipated order from
Y.
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(x) A, a controlled foreign subsidiary of U.S. company B,
manufactures typewriters. It buys typewriter components both from the
United States and from foreign sources. A sells its output in various
places throughout the world, including boycotting country Y. Its sales
to Y vary from year to year, but have averaged approximately 20 percent
of sales for the past five years. A expects that its sales to Y will
remain at approximately that level in the years ahead although it has no
contracts or orders from Y on hand.
A's sales of typewriters to Y are not in U.S. commerce, because the
U.S. components are not acquired for the purpose of filling an order
from Y. A general expectancy of future sales is not an ``order'' within
the meaning of this section.
(xi) U.S. company A's corporate counsel provides legal advice to B,
its controlled foreign subsidiary, on the applicability of this Part to
B's transactions.
While provision of this legal advice is itself an activity in U.S.
commerce, it does not, in and of itself, bring B's activities into U.S.
commerce.
(xii) A, a controlled foreign subsidiary of U.S. company B, is in
the general construction business. A enters into a contract with
boycotting country Y to construct a power plant in Y. In preparing
engineering drawings and specifications, A uses the advice and
assistance of B.
A's transaction with Y is in U.S. commerce, because B's services are
used for purposes of fulfilling the contract with Y. B's services are
not ancillary services, because the engineering services in connection
with construction of the power plant are part of the services ultimately
provided to Y by A.
(xiii) Same as (xii), except that A gets no engineering advice or
assistance from B. However, B's corporate counsel provides legal advice
to A regarding the structure of the transaction. In addition, B's
corporate counsel draws up the contract documents.
A's transaction with Y is not in U.S. commerce. The legal services
provided to A are ancillary services, because they are not part of the
services provided to Y by A in fulfillment of its contract with Y.
(xiv) A, a controlled foreign subsidiary of U.S. company B, enters
into a contract to construct an apartment complex in boycotting country
Y. A will fulfill its contract completely with goods and services from
outside the United States. Pursuant to a provision in the contract, B
guarantees A's performance of the contract.
A's transaction with Y is in U.S. commerce, because B's guaranty of
A's performance involves the acquisition of services from the United
States for purposes of fulfilling the transaction with Y, and those
services are part of the services ultimately provided to Y.
(xv) Same as (xiv), except that the guaranty of A's performance is
supplied by C, a non-U.S. person located outside the United States.
However, unrelated to any particular transaction, B from time to time
provides general financial, legal, and technical services to A.
A's transaction with Y is not in U.S. commerce, because the services
acquired from the United States are not acquired for purposes of
fulfilling the contract with Y.
(xvi) A, a foreign subsidiary of U.S. company B, has a contract with
boycotting country Y to conduct oil drilling operations in that country.
In conducting these operations, A from time to time seeks certain
technical advice from B regarding the operation of the drilling rigs.
A's contract with Y is in U.S. commerce, because B's services are
sought for purposes of fulfilling the contract with Y and are part of
the services ultimately provided to Y.
(xvii) A, a controlled foreign subsidiary of U.S. company B, enters
into a contract to sell typewriters to boycotting country Y. A is
located in non-boycotting country P. None of the components are acquired
from the United States. A engages C, a U.S. shipping company, to
transport the typewriters from P to Y.
A's sales to Y are not in U.S. commerce, because in carrying A's
goods, C is providing an ancillary service to A and not a service to Y.
(xviii) Same as (xvii), except that A's contract with Y calls for
title to pass to Y in P. In addition, the contract calls for A to engage
a carrier to make delivery to Y.
A's sales to Y are in U.S. commerce, because in carrying Y's goods,
C is providing a service to A which is ultimately provided to Y.
(xix) A, a controlled foreign subsidiary of U.S. company B, has
general product liability insurance with U.S. company C. Foreign-origin
goods sold from time to time by A to boycotting country Y are covered by
the insurance policy.
A's sales to Y are not in U.S. commerce, because the insurance
provided by C is an ancillary service provided to A which is not
ultimately provided to Y.
(xx) A, a controlled foreign subsidiary of U.S. company B,
manufactures automobiles abroad under a license agreement with B. From
time to time, A sells such goods to boycotting country Y.
A's sales to Y are not in U.S. commerce, because the rights conveyed
by the license are not acquired for the specific purpose of engaging in
transactions with Y.
(e) ``Intent''. (1) This part prohibits a United States person from
taking or knowingly agreeing to take certain specified actions with
intent to comply
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with, further, or support an unsanctioned foreign boycott.
(2) A United States person has the intent to comply with, further,
or support an unsanctioned foreign boycott when such a boycott is at
least one of the reasons for that person's decision whether to take a
particular prohibited action. So long as that is at least one of the
reasons for that person's action, a violation occurs regardless of
whether the prohibited action is also taken for non-boycott reasons.
Stated differently, the fact that such action was taken for legitimate
business reasons does not remove that action from the scope of this part
if compliance with an unsanctioned foreign boycott was also a reason for
the action.
(3) Intent is a necessary element of any violation of any of the
prohibitions under Sec. 760.2. It is not sufficient that one take
action that is specifically prohibited by this part. It is essential
that one take such action with intent to comply with, further,or support
an unsanctioned foreign boycott. Accordingly, a person who
inadvertently, without boycott intent, takes a prohibited action, does
not commit any violation of this part.
(4) Intent in this context means the reason or purpose for one's
behavior. It does not mean that one has to agree with the boycott in
question or desire that it succeed or that it be furthered or supported.
But it does mean that the reason why a particular prohibited action was
taken must be established.
(5) Reason or purpose can be proved by circumstantial evidence. For
example, if a person receives a request to supply certain boycott
information, the furnishing of which is prohibited by this part, and he
knowingly supplies that information in response, he clearly intends to
comply with that boycott request. It is irrelevant that he may disagree
with or object to the boycott itself. Information will be deemed to be
furnished with the requisite intent if the person furnishing the
information knows that it was sought for boycott purposes. On the other
hand, if a person refuses to do business with someone who happens to be
blacklisted, but the reason is because that person produces an inferior
product, the requisite intent does not exist.
(6) Actions will be deemed to be taken with intent to comply with an
unsanctioned foreign boycott if the person taking such action knew that
such action was required or requested for boycott reasons. On the other
hand, the mere absence of a business relationship with a blacklisted
person or with or in a boycotted country does not indicate the existence
of the requisite intent.
(7) In seeking to determine whether the requisite intent exists, all
available evidence will be examined.
Examples of ``Intent''
The following examples are intended to illustrate the factors which
will be considered in determining whether the required intent exists.
They are illustrative, not comprehensive.
(i) U.S. person A does business in boycotting country Y. In
selecting firms to supply goods for shipment to Y, A chooses supplier B
because B's products are less expensive and of higher quality than the
comparable products of supplier C. A knows that C is blacklisted, but
that is not a reason for A's selection of B.
A's choice of B rather than C is not action with intent to comply
with Y's boycott, because C's blacklist status is not a reason for A's
action.
(ii) Same as (i), except that A chooses B rather than C in part
because C is blacklisted by Y.
Since C's blacklist status is a reason for A's choice, A's action is
taken with intent to comply with Y's boycott.
(iii) U.S. person A bids on a tender issued by boycotting country Y.
A inadvertently fails to notice a prohibited certification which appears
in the tender document. A's bid is accepted.
A's action in bidding was not taken with intent to comply with Y's
boycott, because the boycott was not a reason for A's action.
(iv) U.S. bank A engages in letter of credit transactions, in favor
of U.S. beneficiaries, involving the shipments of U.S. goods to
boycotting country Y. As A knows, such letters of credit routinely
contain conditions requiring prohibited certifications. A fails to take
reasonable steps to prevent the implementation of such letters of
credit. A receives for implementation a letter of credit which in fact
contains a prohibited condition but does not examine the letter of
credit to determine whether it contains such a condition.
Although Y's boycott may not be a specific reason for A's action in
implementing the letter of credit with a prohibited condition, all
available evidence shows that A's action was taken with intent to comply
with the
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boycott, because A knows or should know that its procedures result in
compliance with the boycott.
(v) U.S. bank A engages in letter of credit transactions, in favor
of U.S. beneficiaries, involving the shipment of U.S. goods to
boycotting country Y. As A knows, the documentation accompanying such
letters of credit sometimes contains prohibited certifications. In
accordance with standard banking practices applicable to A, it does not
examine such accompanying documentation. A receives a letter of credit
in favor of a U.S. beneficiary. The letter of credit itself contains no
prohibited conditions. However, the accompanying documentation, which A
does not examine, does contain such a condition.
All available evidence shows that A's action in implementing the
letter of credit was not taken with intent to comply with the boycott,
because A has no affirmative obligation to go beyond applicable standard
banking practices in implementing letters of credit.
(vi) A, a U.S. company, is considering opening a manufacturing
facility in boycotted country X. A already has such a facility in
boycotting country Y. After exploring the possibilities in X, A
concludes that the market does not justify the move. A is aware that if
it did open a plant in X, Y might object because of Y's boycott of X.
However Y's possible objection is not a reason for A's decision not to
open a plant in X.
A's decision not to proceed with the plant in X is not action with
intent to comply with Y's boycott, because Y's boycott of X is not a
reason for A's decision.
(vii) Same as (vi), except that after exploring the business
possibilities in X, A concludes that the market does justify the move to
X. However, A does not open the plant because of Y's possible objections
due to Y's boycott of X.
A's decision not to proceed with the plant in X is action taken with
intent to comply with Y's boycott, because Y's boycott is a reason for
A's decision.
(viii) A, a U.S. chemical manufacturer, receives a ``boycott
questionnaire'' from boycotting country Y asking, among other things,
whether A has any plants located in boycotted country X. A, which has
never supported Y's boycott of X, responds to Y's questionnaire,
indicating affirmatively that it does have plants in X and that it
intends to continue to have plants in X.
A's responding to Y's questionnaire is deemed to be action with
intent to comply with Y's boycott because A knows that the questionnaire
is boycott-related. It is irrelevant that A does not also wish to
support Y's boycott.
(ix) U.S. company A has a manufacturing facility in boycotted
country X. A receives an invitation to bid on a construction project in
boycotting country Y. The invitation states that all bidders must
complete a boycott questionnaire and send it in with the bid. The
questionnaire asks for information about A's business relationships with
X. Regardless of whether A's bid is successful, A intends to continue
its business in X undiminished and in fact is exploring and intends to
continue exploring an expansion of its activities in X without regard to
Y's boycott.
A may not answer the questionnaire, because, despite A's intentions
with regard to its business operations in X, Y's request for completion
of the questionnaire is for boycott purposes and by responding, A's
action would be taken with intent to comply with Y's boycott.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34945, June 1, 2000; 73
FR 68327, Nov. 18, 2008; 73 FR 74349, Dec. 8, 2008]
Sec. 760.2 Prohibitions.
(a) Refusals to do business.
Prohibition Against Refusals To Do Business
(1) No United States person may: refuse, knowingly agree to refuse,
require any other person to refuse, or knowingly agree to require any
other person to refuse, to do business with or in a boycotted country,
with any business concern organized under the laws of a boycotted
country, with any national or resident of a boycotted country, or with
any other person, when such refusal is pursuant to an agreement with the
boycotting country, or a requirement of the boycotting country, or a
request from or on behalf of the boycotting country.
(2) Generally, a refusal to do business under this section consists
of action that excludes a person or country from a transaction for
boycott reasons. This includes a situation in which a United States
person chooses or selects one person over another on a boycott basis or
takes action to carry out another person's boycott-based selection when
he knows or has reason to know that the other person's selection is
boycott-based.
(3) Refusals to do business which are prohibited by this section
include not only specific refusals, but also refusals implied by a
course or pattern of conduct. There need not be a specific offer and
refusal to constitute a refusal to do business; a refusal may occur when
a United States person has a financial
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or commercial opportunity and declines for boycott reasons to consider
or accept it.
(4) A United States person's use of either a boycott-based list of
persons with whom he will not deal (a so-called ``blacklist'') or a
boycott-based list of persons with whom he will deal (a so-called
``whitelist'') constitutes a refusal to do business.
(5) An agreement by a United States person to comply generally with
the laws of the boycotting country with which it is doing business or an
agreement that local laws of the boycotting country shall apply or
govern is not, in and of itself, a refusal to do business. Nor, in and
of itself, is use of a contractual clause explicitly requiring a person
to assume the risk of loss of non-delivery of his products a refusal to
do business with any person who will not or cannot comply with such a
clause. (But see Sec. 760.4 of this part on ``Evasion.'')
(6) If, for boycott reasons, a United States general manager chooses
one supplier over another, or enters into a contract with one supplier
over another, or advises its client to do so, then the general manager's
actions constitute a refusal to do business under this section. However,
it is not a refusal to do business under this section for a United
States person to provide management, procurement, or other pre-award
services for another person so long as the provision of such pre-award
services is customary for that firm (or industry of which the firm is a
part), without regard to the boycotting or non-boycotting character of
the countries in which they are performed, and the United States person,
in providing such services, does not act to exclude a person or country
from the transaction for boycott reasons, or otherwise take actions that
are boycott-based. For example, a United States person under contract to
provide general management services in connection with a construction
project in a boycotting country may compile lists of qualified bidders
for the client if that service is a customary one and if persons who are
qualified are not excluded from that list because they are blacklisted.
(7) With respect to post-award services, if a client makes a
boycott-based selection, actions taken by the United States general
manager or contractor to carry out the client's choice are themselves
refusals to do business if the United States contractor knows or has
reason to know that the client's choice was boycott-based. (It is
irrelevant whether the United States contractor also provided pre-award
services.) Such actions include entering into a contract with the
selected supplier, notifying the supplier of the client's choice,
executing a contract on behalf of the client, arranging for inspection
and shipment of the supplier's goods, or taking any other action to
effect the client's choice. (But see Sec. 760.3(d) on ``Compliance with
Unilateral Selection'' as it may apply to post-award services.)
(8) An agreement is not a prerequisite to a violation of this
section since the prohibition extends to actions taken pursuant not only
to agreements but also to requirements of, and requests from or on
behalf of, a boycotting country.
(9) Agreements under this section may be either express or implied
by a course or pattern of conduct. There need not be a direct request
from a boycotting country for action by a United States person to have
been taken pursuant to an agreement with or requirement of a boycotting
country.
(10) This prohibition, like all others, applies only with respect to
a United States person's activities in the interstate or foreign
commerce of the United States and only when such activities are
undertaken with intent to comply with, further, or support an
unsanctioned foreign boycott. The mere absence of a business
relationship with or in the boycotted country, with any business concern
organized under the laws of the boycotted country, with national(s) or
resident(s) of the boycotted country, or with any other person does not
indicate the existence of the required intent.
Examples of Refusals and Agreements To Refuse To Do Business
The following examples are intended to give guidance in determining
the circumstances in which, in a boycott situation,
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a refusal to do business or an agreement to refuse to do business is
prohibited. They are illustrative, not comprehensive.
Refusals To Do Business
(i) A, a U.S. manufacturer, receives an order for its products from
boycotting country Y. To fill that order, A solicits bids from U.S.
companies B and C, manufacturers of components used in A's products. A
does not, however, solicit bids from U.S. companies D or E, which also
manufacture such components, because it knows that D and E are
restricted from doing business in Y and that their products are,
therefore, not importable into that country.
Company A may not refuse to solicit bids from D and E for boycott
reasons, because to do so would constitute a refusal to do business with
those persons.
(ii) A, a U.S. exporter, uses company B, a U.S. insurer, to insure
the shipment of its goods to all its overseas customers. For the first
time, A receives an order for its products from boycotting country Y.
Knowing that B is on the blacklist of Y, A arranges with company C, a
non-blacklisted U.S. insurer, to insure the shipment of its goods to Y.
A's action constitutes a refusal to do business with B.
(iii) A, a U.S. exporter, purchases all its liability insurance from
company B, a U.S. company that does business in boycotted country X. A
wishes to expand its operations into country Y, the boycotting country.
Before doing so, A decides to switch from insurer B to insurer C in
anticipation of a request from Y that A sever its relations with B as a
condition of doing business in Y.
A may not switch insurers for this reason, because doing so would
constitute a refusal to do business with B.
(iv) U.S. company A exports goods to boycotting country Y. In
selecting vessels to transport the goods to Y, A chooses only from among
carriers which call at ports in Y.
A's action is not a refusal to do business with carriers which do
not call at ports in Y.
(v) A, a U.S. bank with a branch office in boycotting country Y,
sends representatives to boycotted country X to discuss plans for
opening a branch office in X. Upon learning of these discussions, an
official of the local boycott office in Y advises A's local branch
manager that if A opens an office in X it will no longer be allowed to
do business in Y. As a result of this notification, A decides to abandon
its plans to open a branch in X.
Bank A may not abandon its plans to open a branch in X as a result
of Y's notification, because doing so would constitute a refusal to do
business in boycotted country X.
(vi) A, a U.S. company that manufactures office equipment, has been
restricted from doing business in boycotting country Y because of its
business dealings with boycotted country X. In an effort to have itself
removed from Y's blacklist, A ceases its business in X.
A's action constitutes a refusal to do business in boycotted country
X.
(vii) A, a U.S. computer company, does business in boycotting
country Y. A decides to explore business opportunities in boycotted
country X. After careful analysis of possible business opportunities in
X, A decides, solely for business reasons, not to market its products in
X.
A's decision not to proceed is not a refusal to do business, because
it is not based on boycott considerations. A has no affirmative
obligation to do business in X.
(viii) A, a U.S. oil company with operations in boycotting country
Y, has regularly purchased equipment from U.S. petroleum equipment
suppliers B, C, and D, none of whom is on the blacklist of Y. Because of
its satisfactory relationship with B, C, and D, A has not dealt with
other suppliers, including supplier E, who is blacklisted by Y.
A's failure affirmatively to seek or secure business with
blacklisted supplier E is not a refusal to do business with E.
(ix) Same as (viii), except U.S. petroleum equipment supplier E, a
company on boycotting country Y's blacklist, offers to supply U.S. oil
company A with goods comparable to those provided by U.S. suppliers B,
C, and D. A, because it has satisfactorily, established relationships
with suppliers B, C, and D, does not accept supplier E's offer.
A's refusal of supplier E's offer is not a refusal to do business,
because it is based solely on non-boycott considerations. A has no
affirmative obligation to do business with E.
(x) A, a U.S. construction company, enters into a contract to build
an office complex in boycotting country Y. A receives bids from B and C,
U.S. companies that are equally qualified suppliers of electrical cable
for the project. A knows that B is blacklisted by Y and that C is not. A
accepts C's bid, in part because C is as qualified as the other
potential supplier and in part because C is not blacklisted.
A's decision to select supplier C instead of blacklisted supplier B
is a refusal to do business, because the boycott was one of the reasons
for A's decision.
(xi) A, a U.S. general contractor, has been retained to construct a
highway in boycotting country Y. A circulates an invitation to bid to
U.S. manufacturers of road-building equipment. One of the conditions
listed in the invitation to bid is that, in order for A to obtain prompt
service, suppliers will be required to maintain a supply of spare parts
and a service facility in Y. A includes this condition solely for
commercial reasons unrelated to the boycott. Because of this condition,
however, those suppliers on Y's blacklist do not bid, since they would
be unable to satisfy the parts and services requirements.
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A's action is not a refusal to do business, because the contractual
condition was included solely for legitimate business reasons and was
not boycott-based.
(xii) Company A, a U.S. oil company, purchases drill bits from U.S.
suppliers for export to boycotting country Y. In its purchase orders, A
includes a provision requiring the supplier to make delivery to A's
facilities in Y and providing that title to the goods does not pass
until delivery has been made. As is customary under such an arrangement,
the supplier bears all risks of loss, including loss from fire, theft,
perils of the sea, and inability to clear customs, until title passes.
Insistence on such an arrangement does not constitute a refusal to
do business, because this requirement is imposed on all suppliers
whether they are blacklisted or not. (But see Sec. 760.4 on
``Evasion''.)
(xiii) A, a U.S. engineering and construction company, contracts
with a government agency in boycotting country Y to perform a variety of
services in connection with the construction of a large industrial
facility in Y. Pursuant to this contract, A analyzes the market of
prospective suppliers, compiles a suggested bidders list, analyzes the
bids received, and makes recommendations to the client. The client
independently selects and awards the contract to supplier C for boycott
reasons. All of A's services are performed without regard to Y's
blacklist or any other boycott considerations, and are the type of
services A provides clients in both boycotting and non-boycotting
countries.
A's actions do not constitute a refusal to do business, because, in
the provision of pre-award services, A has not excluded the other
bidders and because A customarily provides such services to its clients.
(xiv) Same as (xiii), except that in compiling a list of prospective
suppliers, A deletes suppliers he knows his client will refuse to select
because they are blacklisted. A knows that including the names of
blacklisted suppliers will neither enhance their chances of being
selected nor provide his client with a useful service, the function for
which he has been retained.
A's actions, which amount to furnishing a so-called ``whitelist'',
constitute refusals to do business, because A's pre-award services have
not been furnished without regard to boycott considerations.
(xv) A, a U.S. construction firm, provides its boycotting country
client with a permissible list of prospective suppliers, B, C, D, and E.
The client independently selects and awards the contract to C, for
boycott reasons, and then requests A to advise C of his selection,
negotiate the contract with C, arrange for the shipment, and inspect the
goods upon arrival. A knows that C was chosen by the client for boycott
reasons.
A's action in complying with his client's direction is a refusal to
do business, because A's post-award actions carry out his client's
boycott-based decision. (Note: Whether A's action comes within the
unilateral selection exception depends upon factors discussed in Sec.
760.3(d) of this part).
(xvi) Same as (xv), except that A is building the project on a
turnkey basis and will retain title until completion. The client
instructs A to contract only with C.
A's action in contracting with C constitutes a refusal to do
business, because it is action that excludes blacklisted persons from
the transaction for boycott reasons. (Note: Whether A's action comes
within the unilateral selection exception depends upon factors discussed
in Sec. 760.3(d) of this part).
(xvii) A, a U.S. exporter of machine tools, receives an order for
drill presses from boycotting country Y. The cover letter from Y's
procurement official states that A was selected over other U.S.
manufacturers in part because A is not on Y's blacklist.
A's action in filling this order is not a refusal to do business,
because A has not excluded anyone from the transaction.
(xviii) A, a U.S. engineering firm under contract to construct a dam
in boycotting country Y, compiles, on a non-boycott basis, a list of
potential heavy equipment suppliers, including information on their
qualifications and prior experience. A then solicits bids from the top
three firms on its list--B, C, and D--because they are the best
qualified. None of them happens to be blacklisted. A does not solicit
bids from E, F, or G, the next three firms on the list, one of whom is
on Y's blacklist.
A's decision to solicit bids from only B, C, and D, is not a refusal
to do business with any person, because the solicited bidders were not
selected for boycott reasons.
(xix) U.S. bank A receives a letter of credit in favor of U.S.
beneficiary B. The letter of credit requires B to certify that he is not
blacklisted. B meets all other conditions of the letter of credit but
refuses to certify as to his blacklist status. A refuses to pay B on the
letter of credit solely because B refuses to certify as to his blacklist
status.
A has refused to do business with another person pursuant to a
boycott requirement or request.
(xx) U.S. bank A receives a letter of credit in favor of U.S.
beneficiary B. The letter of credit requires B to provide a
certification from the steamship line that the vessel carrying the goods
is not blacklisted. B seeks payment from A and meets all other
conditions of the letter of credit but refuses or is unable to provide
the certification from the steamship line about the vessel's blacklist
status. A refuses to pay B on the letter of credit solely because B
cannot or will not provide the certification.
A has required another person to refuse to do business pursuant to a
boycott requirement or request by insisting that B obtain
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such a certificate. (Either A or B may request an amendment to the
letter of credit substituting a certificate of vessel eligibility,
however. See Example (xxi) below).
(xxi) U.S. bank A receives a letter of credit from a bank in
boycotting country Y in favor of U.S. beneficiary B. The letter of
credit requires B to provide a certification from the steamship line
that the vessel carrying the goods is eligible to enter the ports in Y.
B seeks payment from A and meets all other conditions of the letter of
credit. A refuses to pay B solely because B cannot or will not provide
the certification.
A has neither refused, nor required another person to refuse, to do
business with another person pursuant to a boycott requirement or
request because a request for a vessel eligibility certificate to be
furnished by the steamship line is not a prohibited condition. (See
supplement no. 1 to this part, paragraph (I)(B), ``Shipping
Certificate''.)
(xxii) U.S. bank A confirms a letter of credit in favor of U.S.
beneficiary B. The letter of credit contains a requirement that B
certify that he is not blacklisted. B presents the letter of credit to
U.S. bank C, a correspondent of bank A. B does not present the
certificate of blacklist status to bank C, but, in accordance with these
rules, bank C pays B, and then presents the letter of credit and
documentation to bank A for reimbursement. Bank A refuses to reimburse
bank C because the blacklist certification of B is not included in the
documentation.
A has required another person to refuse to do business with a person
pursuant to a boycott requirement or request by insisting that C obtain
the certificate from B.
(xxiii) U.S. bank A receives a letter of credit in favor of U.S.
beneficiary B. The letter of credit requires B to certify that he is not
blacklisted. B fails to provide such a certification when he presents
the documents to A for payment. A notifies B that the certification has
not been submitted.
A has not refused to do business with another person pursuant to a
boycott requirement by notifying B of the omitted certificate. A may not
refuse to pay on the letter of credit, however, if B states that B will
not provide such a certificate.
(xxiv) U.S. bank A receives a letter of credit in favor of U.S.
beneficiary B from the issuing bank for the purpose of confirmation,
negotiation or payment. The letter of credit requires B to certify that
he is not blacklisted. A notifies B that it is contrary to the policy of
A to handle letters of credit containing this condition and that, unless
an amendment is obtained deleting this condition, A will not implement
the letter of credit.
A has not refused to do business with another person pursuant to a
boycott requirement, because A has indicated its policy against
implementing the letter of credit containing the term without regard to
B's ability or willingness to furnish such a certificate.
Agreements To Refuse To Do Business
(i) A, a U.S. construction firm, is retained by an agency of
boycotting country Y to build a primary school. The proposed contract
contains a clause stating that A ``may not use goods or services in the
project that are produced or provided by any person restricted from
having a business relationship with country Y by reason of Y's boycott
against country X''.
A's action in entering into such a contract would constitute an
agreement to refuse to do business, because it is an agreement to
exclude blacklisted persons from the transaction. A may, however,
renegotiate this clause so that it does not contain terms prohibited by
this part.
(ii) A, a U.S. manufacturer of commercial refrigerators and
freezers, receives an invitation to bid from boycotting country Y. The
tender states that the bidder must agree not to deal with companies on
Y's blacklist. A does not know which companies are on the blacklist;
however, A submits a bid without taking exception to the boycott
conditions. A's bid makes no commitment regarding not dealing with
certain companies.
At the point when A submits its bid without taking exception to the
boycott request in Y's tender, A has agreed to refuse to do business
with blacklisted persons, because the terms of Y's tender require A to
agree to refuse to do business.
(iii) A, a U.S. construction firm, is offered a contract to perform
engineering and construction services in connection with a project
located in boycotting country Y. The contract contains a clause stating
that, in the event of a contract dispute, the laws of Y will apply.
A may enter into the contract. Agreement that the laws of boycotting
country Y will control in resolving a contract dispute is not an
agreement to refuse to do business.
(iv) Same as (iii), except that the contract contains a clause that
A and its employees will comply with the laws of boycotting country Y. A
knows that Y has a number of boycott laws.
Such an agreement is not, in and of itself, an agreement to refuse
to do business. If, however, A subsequently refuses to do business with
someone because of the laws of Y, A's action would be a refusal to do
business.
(v) Same as (iv), except that the contract contains a clause that A
and its employees will comply with the laws of boycotting country Y,
``including boycott laws.''
A's agreeing, without qualification, to comply with local boycott
laws constitutes an agreement to refuse to do business.
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(vi) Same as (v), except that A inserts a proviso ``except insofar
as Y's laws conflict with U.S. laws,'' or words to that effect.
Such an agreement is not an agreement to refuse to do business.
(vii) A, a U.S. general contractor, is retained to construct a
pipeline in boycotting country Y. A provision in the proposed contract
stipulates that in purchasing equipment, supplies, and services A must
give preference to companies located in host country Y.
A may agree to this contract provision. Agreeing to a ``buy local''
contract provision is not an agreement to refuse to do business, because
A's agreement is not made for boycott reasons.
(viii) A, a U.S. exporter planning to sell retail goods to customers
in boycotting country Y, enters into a contract to purchase goods
wholesale from B, a U.S. appliance manufacturer. A's contract with B
includes a provision stipulating that B may not use components or
services of blacklisted companies in the manufacture of its appliances.
A's contract constitutes a refusal to do business, because it would
require another person, B, to refuse to do business with other persons
for boycott reasons. B may not agree to such a contract, because it
would be agreeing to refuse to do business with other persons for
boycott reasons.
(ix) Same as (viii), except that A and B reach an implicit
understanding that B will not use components or services of blacklisted
companies in the manufacture of goods to be exported to Y. In the
manufacture of appliances to be sold to A for export to non-boycotting
countries, B uses components manufactured by blacklisted companies.
The actions of both A and B constitute agreement to refuse to do
business. The agreement is implied by their pattern of conduct.
(x) Boycotting country Y orders goods from U.S. company B. Y opens a
letter of credit with foreign bank C in favor of B. The letter of credit
specifies that negotiation of the letter of credit with a bank that
appears on the country X boycott blacklist is prohibited. U.S. bank A,
C's correspondent bank, advises B of the letter of credit. B presents
documentation to bank A seeking to be paid on the letter of credit,
without amending or otherwise taking exception to the boycott condition.
B has agreed to refuse to do business with blacklisted banks
because, by presenting the letter of credit for payment, B has accepted
all of its terms and conditions.
(b) Discriminatory actions.
Prohibition Against Taking Discriminatory Actions
(1) No United States person may:
(i) Refuse to employ or otherwise discriminate against any
individual who is a United States person on the basis of race, religion,
sex, or national origin;
(ii) Discriminate against any corporation or other organization
which is a United States person on the basis of the race, religion, sex,
or national origin of any owner, officer, director, or employee of such
corporation or organization;
(iii) Knowingly agree to take any of the actions described in
paragraph (b)(1)(i) and (ii) of this section; or
(iv) Require or knowingly agree to require any other person to take
any of the actions described in paragraph (b)(1)(i) and (ii) of this
section.
(2) This prohibition shall apply whether the discriminatory action
is taken by a United States person on its own or in response to an
agreement with, request from, or requirement of a boycotting country.
This prohibition, like all others, applies only with respect to a United
States person's activities in the interstate or foreign commerce of the
United States and only when such activities are undertaken with intent
to comply with, further, or support an unsanctioned foreign boycott.
(3) The section does not supersede or limit the operation of the
civil rights laws of the United States.
Examples of Discriminatory Actions
The following examples are intended to give guidance in determining
the circumstances in which the taking of particular discriminatory
actions is prohibited. They are illustrative, not comprehensive.
(i) U.S. construction company A is awarded a contract to build an
office complex in boycotting country Y. A, believing that employees of a
particular religion will not be permitted to work in Y because of Y's
boycott against country X, excludes U.S. persons of that religion from
consideration for employment on the project.
A's refusal to consider qualified U.S. persons of a particular
religion for work on the project in Y constitutes a prohibited boycott-
based discriminatory action against U.S. persons on the basis of
religion.
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(ii) Same as (i), except that a clause in the contract provides that
``no persons of country X origin are to work on this project.''
A's agreement constitutes a prohibited boycott-based agreement to
discriminate against U.S. persons, among others, on the basis of
national origin.
(iii) Same as (i), except that a clause in the contract provides
that ``no persons who are citizens, residents, or nationals of country X
are to work on this project.''
A's agreement does not constitute a boycott-based agreement to
discriminate against U.S. persons on the basis of race, religion, sex,
or national origin, because the clause requires exclusion on the basis
of citizenship, residency, and nationality only.
(iv) U.S. construction company A enters into a contract to build a
school in boycotting country Y. Y's representative orally tells A that
no persons of country X origin are to work on the project.
A may not comply, because to do so would constitute discrimination
on the basis of national origin.
It makes no difference that A learned of Y's requirement orally. It
makes no difference how A learns about Y's discriminatory requirement.
(v) Boycotting country Y tenders an invitation to bid on a
construction project in Y. The tender requires that the successful
bidder's personnel will be interviewed and that persons of a particular
religious faith will not be permitted to work on the project. Y's
requirement is based on its boycott of country X, the majority of whose
citizens are of that particular faith.
Agreement to this provision in the tender document by a U.S. person
would constitute a prohibited agreement to engage in boycott-based
discrimination against U.S. persons of a particular religion.
(vi) Same as (v), except that the tender specifies that ``women will
not be allowed to work on this project.''
Agreement to this provision in the tender by a U.S. person does not
constitute a prohibited agreement to engage in boycott-based
discrimination, because the restriction against employment of women is
not boycott-based. Such an agreement may, however, constitute a
violation of U.S. civil rights laws.
(vii) A is a U.S. investment banking firm. As a condition of
participating in an underwriting of securities to be issued by
boycotting country Y, A is required to exclude investment banks owned by
persons of a particular faith from participation in the underwriting.
Y's requirement is based on its boycott of country X, the majority of
whose citizens are of that particular faith.
A's agreement to such a provision constitutes a prohibited agreement
to engage in boycott-based discrimination against U.S. persons on the
basis of religion. Further, if A requires others to agree to such a
condition, A would be acting to require another person to engage in such
discrimination.
(viii) U.S. company A is asked by boycotting country Y to certify
that A will not use a six-pointed star on the packaging of its products
to be imported into Y. The requirement is part of the enforcement effort
by Y of its boycott against country X.
A may not so certify. The six-pointed star is a religious symbol,
and the certification by A that it will not use such a symbol
constitutes a statement that A will not ship products made or handled by
persons of that religion.
(ix) Same as (viii), except that A is asked to certify that no
symbol of boycotted country X will appear on the packaging of its
products imported into Y.
Such a certification conveys no statement about any person's
religion and, thus, does not come within this prohibition.
(c) Furnishing information about race, religion, sex, or national
origin.
Prohibition Against Furnishing Information About Race, Religion, Sex, or
National Origin
(1) No United States person may:
(i) Furnish information about the race, religion, sex, or national
origin of any United States person;
(ii) Furnish information about the race, religion, sex, or national
origin of any owner, officer, director, or employee of any corporation
or other organization which is a United States person;
(iii) Knowingly agree to furnish information about the race,
religion, sex, or national origin of any United States person; or
(iv) Knowingly agree to furnish information about the race,
religion, sex, or national origin of any owner, officer, director, or
employee of any corporation or other organization which is a United
States person.
(2) This prohibition shall apply whether the information is
specifically requested or is offered voluntarily by the United States
person. It shall also apply whether the information requested or
volunteered is stated in the affirmative or the negative.
(3) Information about the place of birth of or the nationality of
the parents of a United States person comes within this prohibition, as
does information in the form of code words or symbols which could
identify a United
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States person's race, religion, sex, or national origin.
(4) This prohibition, like all others, applies only with respect to
a United States person's activities in the interstate or foreign
commerce of the United States and only when such activities are
undertaken with intent to comply with, further, or support an
unsanctioned foreign boycott.
Examples of the Prohibition Against Furnishing Discriminatory
Information
The following examples are intended to give guidance in determining
the circumstances in which the furnishing of discriminatory information
is prohibited. They are illustrative, not comprehensive.
(i) U.S. company A receives a boycott questionnaire from boycotting
country Y asking whether it is owned or controlled by persons of a
particular faith, whether it has any persons on its board of directors
who are of that faith, and what the national origin of its president is.
The information is sought for purposes of enforcing Y's boycott against
country X, and A knows or has reason to know that the information is
sought for that reason.
A may not answer the questionnaire, because A would be furnishing
information about the religion and national origin of U.S. persons for
purposes of complying with or supporting Y's boycott against X.
(ii) U.S. company A, located in the United States, is asked by
boycotting country Y to certify that A has no persons of a particular
national origin on its board of directors. A knows that Y's purpose in
asking for the certification is to enforce its boycott against country
X.
A may not make such a certification, because A would be furnishing
information about the national origin of U.S. persons for purposes of
complying with or supporting Y's boycott against X.
(iii) U.S. company A believes that boycotting country Y will select
A's bid over those of other bidders if A volunteers that it has no
shareholders, officers, or directors of a particular national origin.
A's belief is based on its knowledge that Y generally refuses, as part
of its boycott against country X, to do business with companies owned,
controlled, or managed by persons of this particular national origin.
A may not volunteer this information, because it would be furnishing
information about the national origin of U.S. persons for purposes of
complying with or supporting Y's boycott against X.
(iv) U.S. company A has a contract to construct an airport in
boycotting country Y. Before A begins work, A is asked by Y to identify
the national origin of its employees who will work on the site. A knows
or has reason to know that Y is seeking this information in order to
enforce its boycott against X.
A may not furnish this information, because A would be providing
information about the national origin of U.S. persons for purposes of
complying with or supporting Y's boycott against X.
(v) Same as (iv), except that in order to assemble its work force on
site in Y, A sends visa forms to its employees and asks that the forms
be returned to A for transmittal to Y's consulate or embassy. A, itself,
furnishes no information about its employees, but merely transmits the
visa forms back and forth.
In performing the ministerial function of transmitting visa forms, A
is not furnishing information about any U.S. person's race, religion,
sex, or national origin.
(vi) Same as (iv), except that A is asked by Y to certify that none
of its employees in Y will be women, because Y's laws prohibit women
from working.
Such a certification does not constitute a prohibited furnishing of
information about any U.S. person's sex, since the reason the
information is sought has nothing to do with Y's boycott of X.
(vii) U.S. company A is considering establishing an office in
boycotting country Y. In order to register to do business in Y, A is
asked to furnish information concerning the nationalities of its
corporate officers and board of directors.
A may furnish the information about the nationalities of its
officers and directors, because in so doing A would not be furnishing
information about the race, religion, sex, or national origin of any
U.S. person.
(d) Furnishing information about business relationships with
boycotted countries or blacklisted persons.
Prohibition Against Furnishing Information About Business Relationships
With Boycotted Countries or Blacklisted Persons
(1) No United States person may furnish or knowingly agree to
furnish information concerning his or any other person's past, present
or proposed business relationships:
(i) With or in a boycotted country;
(ii) With any business concern organized under the laws of a
boycotted country;
(iii) With any national or resident of a boycotted country; or
(iv) With any other person who is known or believed to be restricted
from
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having any business relationship with or in a boycotting country.
(2) This prohibition shall apply:
(i) Whether the information pertains to a business relationship
involving a sale, purchase, or supply transaction; legal or commercial
representation; shipping or other transportation transaction; insurance;
investment; or any other type of business transaction or relationship;
and
(ii) Whether the information is directly or indirectly requested or
is furnished on the initiative of the United States person.
(3) This prohibition does not apply to the furnishing of normal
business information in a commercial context. Normal business
information may relate to factors such as financial fitness, technical
competence, or professional experience, and may be found in documents
normally available to the public such as annual reports, disclosure
statements concerning securities, catalogs, promotional brochures, and
trade and business handbooks. Such information may also appear in
specifications or statements of experience and qualifications.
(4) Normal business information furnished in a commercial context
does not cease to be such simply because the party soliciting the
information may be a boycotting country or a national or resident
thereof. If the information is of a type which is generally sought for a
legitimate business purpose (such as determining financial fitness,
technical competence, or professional experience), the information may
be furnished even if the information could be used, or without the
knowledge of the person supplying the information is intended to be
used, for boycott purposes. However, no information about business
relationships with blacklisted persons or boycotted countries, their
residents or nationals, may be furnished in response to a boycott
request, even if the information is publicly available. Requests for
such information from a boycott office will be presumed to be boycott-
based.
(5) This prohibition, like all others, applies only with respect to
a United States person's activities in the interstate or foreign
commerce of the United States and only when such activities are
undertaken with intent to comply with, further, or support an
unsanctioned foreign boycott.
Examples Concerning Furnishing of Information
The following examples are intended to give guidance in determining
the circumstances in which the furnishing of information is prohibited.
They are illustrative, not comprehensive.
(i) U.S. contractor A is considering bidding for a contract to build
a dam in boycotting country Y. The invitation to bid, which appears in a
trade journal, specifies that each bidder must state that he does not
have any offices in boycotted country X. A knows or has reason to know
that the requirement is boycott-based.
A may not make this statement, because it constitutes information
about A's business relationships with X.
(ii) U.S. contractor A is considering bidding for a contract to
construct a school in boycotting country Y. Each bidder is required to
submit copies of its annual report with its bid. Since A's annual report
describes A's worldwide operations, including the countries in which it
does business, it necessarily discloses whether A has business relations
with boycotted country X. A has no reason to know that its report is
being sought for boycott purposes.
A, in furnishing its annual report, is supplying ordinary business
information in a commercial context.
(iii) Same as (ii), except that accompanying the invitation to bid
is a questionnaire from country Y's boycott office asking each bidder to
supply a copy of its annual report.
A may not furnish the annual report despite its public availability,
because it would be furnishing information in response to a
questionnaire from a boycott office.
(iv) U.S. company A is on boycotting country Y's blacklist. For
reasons unrelated to the boycott, A terminates its business
relationships with boycotted country X. In exploring other marketing
areas, A determines that boycotting country Y offers great potential. A
is requested to complete a questionnaire from a central boycott office
which inquires about A's business relations with X.
A may not furnish the information, because it is information about
A's business relationships with a boycotted country.
(v) U.S. exporter A is seeking to sell its products to boycotting
country Y. A is informed by Y that, as a condition of sale, A must
certify that it has no salesmen in boycotted country X. A knows or has
reason to know that the condition is boycott-based.
A may not furnish the certification, because it is information about
A's business relationships in a boycotted country.
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(vi) U.S. engineering company A receives an invitation to bid on the
construction of a dam in boycotting country Y. As a condition of the
bid, A is asked to certify that it does not have any offices in
boycotted country X. A is also asked to furnish plans for other dams it
has designed.
A may not certify that it has no office in X, because this is
information about its business relationships in a boycotted country. A
may submit plans for other dams it has designed, because this is
furnishing normal business information, in a commercial context,
relating to A's technical competence and professional experience.
(vii) U.S. company A, in seeking to expand its exports to boycotting
country Y, sends a sales representative to Y for a one week trip. During
a meeting in Y with trade association representatives, A's
representative desires to explain that neither A nor any companies with
which A deals has any business relationship with boycotted country X.
The purpose of supplying such information is to ensure that A does not
get blacklisted.
A's representative may not volunteer this information even though A,
for reasons unrelated to the boycott, does not deal with X, because A's
representative would be volunteering information about A's business
relationships with X for boycott reasons.
(viii) U.S. company A is asked by boycotting country Y to furnish
information concerning its business relationships with boycotted country
X. A, knowing that Y is seeking the information for boycott purposes,
refuses to furnish the information asked for directly, but proposes to
respond by supplying a copy of its annual report which lists the
countries with which A is presently doing business. A does not happen to
be doing business with X.
A may not respond to Y's request by supplying its annual report,
because A knows that it would be responding to a boycott-based request
for information about its business relationships with X.
(ix) U.S. company A receives a letter from a central boycott office
asking A to ``clarify'' A's operations in boycotted country X. A intends
to continue its operations in X, but fears that not responding to the
request will result in its being placed on boycotting country Y's
blacklist. A knows or has reason to know that the information is sought
for boycott reasons.
A may not respond to this request, because the information concerns
its business relationships with a boycotted country.
(x) U.S. company A, in the course of negotiating a sale of its goods
to a buyer in boycotting country Y, is asked to certify that its
supplier is not on Y's blacklist.
A may not furnish the information about its supplier's blacklist
status, because this is information about A's business relationships
with another person who is believed to be restricted from having any
business relationship with or in a boycotting country.
(xi) U.S. company A has a manufacturing plant in boycotted country X
and is on boycotting country Y's blacklist. A is seeking to establish
operations in Y, while expanding its operations in X. A applies to Y to
be removed from Y's blacklist. A is asked, in response, to indicate
whether it has manufacturing facilities in X.
A may not supply the requested information, because A would be
furnishing information about its business relationships in a boycotted
country.
(xii) U.S. bank A plans to open a branch office in boycotting
country Y. In order to do so, A is required to furnish certain
information about its business operations, including the location of its
other branch offices. Such information is normally sought in other
countries where A has opened a branch office, and A does not have reason
to know that Y is seeking the information for boycott reasons.
A may furnish this information, even though in furnishing it A would
disclose information about its business relationships in a boycotted
country, because it is being furnished in a normal business context and
A does not have reason to know that it is sought for boycott reasons.
(xiii) U.S. architectural firm A responds to an invitation to submit
designs for an office complex in boycotting country Y. The invitation
states that all bidders must include information concerning similar
types of buildings they have designed. A has not designed such buildings
in boycotted country X. Clients frequently seek information of this type
before engaging an architect.
A may furnish this information, because this is furnishing normal
business information, in a commercial context, relating to A's technical
competence and professional experience.
(xiv) U.S. oil company A distributes to potential customers
promotional brochures and catalogs which give background information on
A's past projects. A does not have business dealings with boycotted
country X. The brochures, which are identical to those which A uses
throughout the world, list those countries in which A does or has done
business. In soliciting potential customers in boycotting country Y, A
desires to distribute copies of its brochures.
A may do so, because this is furnishing normal business information,
in a commercial context, relating to professional experience.
(xv) U.S. company A is interested in doing business with boycotting
country Y. A wants to ask Y's Ministry of Trade whether, and if so why,
A is on Y's blacklist or is otherwise restricted for boycott reasons
from doing business with Y.
[[Page 208]]
A may make this limited inquiry, because it does not constitute
furnishing information.
(xvi) U.S. company A is asked by boycotting country Y to certify
that it is not owned by subjects or nationals of boycotted country X and
that it is not resident in boycotted country X.
A may not furnish the certification, because it is information about
A's business relationships with or in a boycotted country, or with
nationals of a boycotted country.
(xvii) U.S. company A, a manufacturer of certain patented products,
desires to register its patents in boycotting country Y. A receives a
power of attorney form required to register its patents. The form
contains a question regarding A's business relationships with or in
boycotted country X. A has no business relationships with X and knows or
has reason to know that the information is sought for boycott reasons.
A may not answer the question, because A would be furnishing
information about its business relationships with or in a boycotted
country.
(xviii) U.S. company A is asked by boycotting country Y to certify
that it is not the mother company, sister company, subsidiary, or branch
of any blacklisted company, and that it is not in any way affiliated
with any blacklisted company.
A may not furnish the certification, because it is information about
whether A has a business relationship with another person who is known
or believed to be restricted from having any business relationship with
or in a boycotting country.
(e) Information concerning association with charitable and fraternal
organizations.
Prohibition Against Furnishing Information About Associations With
Charitable and Fraternal Organizations
(1) No United States person may furnish or knowingly agree to
furnish information about whether any person is a member of, has made
contributions to, or is otherwise associated with or involved in the
activities of any charitable or fraternal organization which supports a
boycotted country.
(2) This prohibition shall apply whether:
(i) The information concerns association with or involvement in any
charitable or fraternal organization which (a) has, as one of its stated
purposes, the support of a boycotted country through financial
contributions or other means, or (b) undertakes, as a major
organizational activity, to offer financial or other support to a
boycotted country;
(ii) The information is directly or indirectly requested or is
furnished on the initiative of the United States person; or
(iii) The information requested or volunteered concerns membership
in, financial contributions to, or any other type of association with or
involvement in the activities of such charitable or fraternal
organization.
(3) This prohibition does not prohibit the furnishing of normal
business information in a commercial context as defined in paragraph (d)
of this section.
(4) This prohibition, like all others, applies only with respect to
a United States person's activities in the interstate or foreign
commerce of the United States and only when such activities are
undertaken with intent to comply with, further, or support an
unsanctioned foreign boycott.
Examples of Prohibition Against Furnishing Information About
Associations With Charitable or Fraternal Organizations
The following examples are intended to give guidance in determining
the circumstances in which the furnishing of information concerning
associations with charitable or fraternal organizations is prohibited.
They are illustrative, not comprehensive.
(i) U.S. engineering firm A receives an invitation to bid from
boycotting country Y. The invitation includes a request to supply
information concerning any association which A's officers have with
charitable organization B, an organization which is known by A to
contribute financial support to boycotted country X. A knows or has
reason to know that the information is sought for boycott reasons.
A may not furnish the information.
(ii) U.S. construction company A, in an effort to establish business
dealings with boycotting country Y, proposes to furnish information to Y
showing that no members of its board of directors are in any way
associated with charitable organizations which support boycotted country
X. A's purpose is to avoid any possibility of its being blacklisted by
Y.
A may not furnish the information, because A's purpose in doing so
is boycott-based. It makes no difference that no specific request for
the information has been made by Y.
(iii) A, a citizen of the United States, is applying for a teaching
position in a school in
[[Page 209]]
boycotting country Y. In connection with his application, A furnishes a
resume which happens to disclose his affiliation with charitable
organizations. A does so completely without reference to Y's boycott and
without knowledge of any boycott requirement of Y that pertains to A's
application for employment.
The furnishing of a resume by A is not a boycott-related furnishing
of information about his association with charitable organizations which
support boycotted country X.
(f) Letters of credit.
Prohibition Against Implementing Letters of Credit Containing Prohibited
Conditions or Requirements
(1) No United States person may pay, honor, confirm, or otherwise
implement a letter of credit which contains a condition or requirement
compliance with which is prohibited by this part, nor shall any United
States person, as a result of the application of this section, be
obligated to pay, honor or otherwise implement such a letter of credit.
(2) For purposes of this section, ``implementing'' a letter of
credit includes:
(i) Issuing or opening a letter of credit at the request of a
customer;
(ii) Honoring, by accepting as being a valid instrument of credit,
any letter of credit;
(iii) Paying, under a letter of credit, a draft or other demand for
payment by the beneficiary;
(iv) Confirming a letter of credit by agreeing to be responsible for
payment to the beneficiary in response to a request by the issuer;
(v) Negotiating a letter of credit by voluntarily purchasing a draft
from a beneficiary and presenting such draft for reimbursement to the
issuer or the confirmer of the letter of credit; and
(vi) Taking any other action to implement a letter of credit.
(3) In the standard international letter of credit transaction
facilitating payment for the export of goods from the United States, a
bank in a foreign country may be requested by its customer to issue a
revocable or irrevocable letter of credit in favor of the United States
exporter. The customer usually requires, and the letter of credit
provides, that the issuing (or a confirming) bank will make payment to
the beneficiary against the bank's receipt of the documentation
specified in the letter of credit. Such documentation usually includes
commercial and consular invoices, a bill of lading, and evidence of
insurance, but it may also include other required certifications or
documentary assurances such as the origin of the goods and information
relating to the carrier or insurer of the shipment.
Banks usually will not accept drafts for payment unless the
documents submitted therewith comply with the terms and conditions of
the letter of credit.
(4) A United States person is not prohibited under this section from
advising a beneficiary of the existence of a letter of credit in his
favor, or from taking ministerial actions to dispose of a letter of
credit which it is prohibited from implementing.
(5) Compliance with this section shall provide an absolute defense
in any action brought to compel payment of, honoring of, or other
implementation of a letter of credit, or for damages resulting from
failure to pay or otherwise honor or implement the letter of credit.
This section shall not otherwise relieve any person from any obligations
or other liabilities he may incur under other laws or regulations,
except as may be explicitly provided in this section.
Letters of Credit to Which This Section Applies
(6) This prohibition, like all others, applies only with respect to
a United States person's activities taken with intent to comply with,
further, or support an unsanctioned foreign boycott. In addition, it
applies only when the transaction to which the letter of credit applies
is in United States commerce and the beneficiary is a United States
person.
Implementation of Letters of Credit in the United States
(7) A letter of credit implemented in the United States by a United
States person located in the United States, including a permanent United
States establishment of a foreign bank, will be presumed to apply to a
transaction in United States commerce and to be in
[[Page 210]]
favor of a United States beneficiary where the letter of credit
specifies a United States address for the beneficiary. These
presumptions may be rebutted by facts which could reasonably lead the
bank to conclude that the beneficiary is not a United States person or
that the underlying transaction is not in United States commerce.
(8) Where a letter of credit implemented in the United States by a
United States person located in the United States does not specify a
United States address for the beneficiary, the beneficiary will be
presumed to be other than a United States person. This presumption may
be rebutted by facts which could reasonably lead the bank to conclude
that the beneficiary is a United States person despite the foreign
address.
Implementation of Letters of Credit Outside the United States
(9) A letter of credit implemented outside the United States by a
United States person located outside the United States will be presumed
to apply to a transaction in United States commerce and to be in favor
of a United States beneficiary where the letter of credit specifies a
United States address for the beneficiary and calls for documents
indicating shipment from the United States or otherwise indicating that
the goods are of United States origin. These presumptions may be
rebutted by facts which could reasonably lead the bank to conclude that
the beneficiary is not a United States person or that the underlying
transaction is not in United States commerce.
(10) Where a letter of credit implemented outside the United States
by a United States person located outside the United States does not
specify a United States address for the beneficiary, the beneficiary
will be presumed to be other than a United States person. In addition,
where such a letter of credit does not call for documents indicating
shipment from the United States or otherwise indicating that the goods
are of United States origin, the transaction to which it applies will be
presumed to be outside United States commerce. The presumption that the
beneficiary is other than a United States person may be rebutted by
facts which could reasonably lead the bank to conclude that the
beneficiary is a United States person. The presumption that the
transaction to which the letter of credit applies is outside United
States commerce may be rebutted by facts which could reasonably lead the
bank to conclude that the underlying transaction is in United States
commerce.
Examples of the Prohibition Against Implementing Letters of Credit
The following examples are intended to give guidance in determining
the circumstances in which this section applies to the implementation of
a letter of credit and in which such implementation is prohibited. They
are illustrative, not comprehensive.
Implementation of Letters of Credit in United States Commerce
(i) A, a U.S. bank located in the United States, opens a letter of
credit in the United States in favor of B, a foreign company located
outside the United States. The letter of credit specifies a non-U.S.
address for the beneficiary.
The beneficiary is presumed to be other than a U.S. person, because
it does not have a U.S. address. The presumption may be rebutted by
facts showing that A could reasonably conclude that the beneficiary is a
U.S. person despite the foreign address.
(ii) A, a branch of a foreign bank located in the United States,
opens a letter of credit in favor of B, a foreign company located
outside the United States. The letter of credit specifies a non-U.S.
address for the beneficiary.
The beneficiary is presumed to be other than a U.S.person, because
it does not have a U.S. address. The presumption may be rebutted by
facts showing that A could reasonably conclude that the beneficiary is a
U.S. person despite the foreign address.
(iii) A, a U.S. bank branch located outside the United States, opens
a letter of credit in favor of B, a person with a U.S. address. The
letter of credit calls for documents indicating shipment of goods from
the United States.
The letter of credit is presumed to apply to a transaction in U.S.
commerce and to be in favor of a U.S. beneficiary because the letter of
credit specifies a U.S. address for the beneficiary and calls for
documents indicating that the goods will be shipped from the United
States. These presumptions may be rebutted by facts showing that A could
reasonably conclude that the beneficiary is not a U.S. person or that
the underlying transaction is not in U.S. commerce.
(iv) A, a U.S. bank branch located outside the United States, opens
a letter of credit
[[Page 211]]
which specifies a beneficiary, B, with an address outside the United
States and calls for documents indicating that the goods are of U.S.-
origin. A knows or has reason to know that although B has an address
outside the United States, B is a U.S. person.
The letter of credit is presumed to apply to a transaction in U.S.
commerce, because the letter of credit calls for shipment of U.S.-origin
goods. In addition, the letter of credit is presumed to be in favor of a
beneficiary who is a U.S. person, because A knows or has reason to know
that the beneficiary is a U.S. person despite the foreign address.
(v) A, a U.S. bank branch located outside the United States, opens a
letter of credit which specifies a beneficiary with a U.S. address. The
letter of credit calls for documents indicating shipment of foreign-
origin goods.
The letter of credit is presumed to be in favor of a U.S.
beneficiary but to apply to a transaction outside U.S. commerce, because
it calls for documents indicating shipment of foreign-origin goods. The
presumption of non-U.S. commerce may be rebutted by facts showing that A
could reasonably conclude that the underlying transaction involves
shipment of U.S.-origin goods or goods from the United States.
Prohibition Against Implementing Letters of Credit
(i) Boycotting country Y orders goods from U.S. company B. Y opens a
letter of credit with foreign bank C in favor of B. The letter of credit
specifies as a condition of payment that B certify that it does not do
business with boycotted country X. Foreign bank C forwards the letter of
credit it has opened to U.S. bank A for confirmation.
A may not confirm or otherwise implement this letter of credit,
because it contains a condition with which a U.S. person may not comply.
(ii) Same as (i), except U.S. bank A desires to advise the
beneficiary, U.S. company B, of the letter of credit.
A may do so, because advising the beneficiary of the letter of
credit (including the term which prevents A from implementing it) is not
implementation of the letter of credit.
(iii) Same as (i), except foreign bank C sends a telegram to U.S.
bank A stating the major terms and conditions of the letter of credit.
The telegram does not reflect the boycott provision. Subsequently, C
mails to A documents setting forth the terms and conditions of the
letter of credit, including the prohibited boycott condition.
A may not further implement the letter of credit after it receives
the documents, because they reflect the prohibited boycott condition in
the letter of credit. A may advise the beneficiary and C of the
existence of the letter of credit (including the boycott term), and may
perform any essentially ministerial acts necessary to dispose of the
letter of credit.
(iv) Same as (iii), except that U.S. company B, based in part on
information received from U.S. bank A, desires to obtain an amendment to
the letter of credit which would eliminate or nullify the language in
the letter of credit which prevents A from paying or otherwise
implementing it.
Either company B or bank A may undertake, and the other may
cooperate and assist in, this endeavor. A could then pay or otherwise
implement the revised letter of credit, so long as the original
prohibited boycott condition is of no force or effect.
(v) Boycotting country Y requests a foreign bank in Y to open a
letter of credit to effect payment for goods to be shipped by U.S.
supplier B, the beneficiary of the letter of credit. The letter of
credit contains prohibited boycott clauses. The foreign bank forwards a
copy of the letter of credit to its branch office A, in the United
States.
A may advise the beneficiary but may not implement the letter of
credit, because it contains prohibited boycott conditions.
(vi) Boycotting country Y orders goods from U.S. company B. U.S.
bank A is asked to implement, for the benefit of B, a letter of credit
which contains a clause requiring documentation that the goods shipped
are not of boycotted country X origin.
A may not implement the letter of credit with a prohibited
condition, and may accept only a positive certificate of origin as
satisfactory documentation. (See Sec. 760.3(c) on ``Import and Shipping
Document Requirements.'')
(vii) [Reserved]
(viii) B is a foreign bank located outside the United States. B
maintains an account with U.S. bank A, located in the United States. A
letter of credit issued by B in favor of a U.S. beneficiary provides
that any negotiating bank may obtain reimbursement from A by certifying
that all the terms and conditions of the letter of credit have been met
and then drawing against B's account. B notifies A by cable of the
issuance of a letter of credit and the existence of reimbursement
authorization; A does not receive a copy of the letter of credit.
A may reimburse any negotiating bank, even when the underlying
letter of credit contains a prohibited boycott condition, because A does
not know or have reason to know that the letter of credit contains a
prohibited boycott condition.
(ix) Same as (viii), except that foreign bank B forwards a copy of
the letter of credit to U.S. bank A, which then becomes aware of the
prohibited boycott clause.
A may not thereafter reimburse a negotiating bank or in any way
further implement the letter of credit, because it knows of the
prohibited boycott condition.
[[Page 212]]
(x) Boycotting country Y orders goods from U.S. exporter B and
requests a foreign bank in Y to open a letter of credit in favor of B to
cover the cost. The letter of credit contains a prohibited boycott
clause. The foreign bank asks U.S. bank A to advise and confirm the
letter of credit. Through inadvertence, A does not notice the prohibited
clause and confirms the letter of credit. A thereafter notices the
clause and then refuses to honor B's draft against the letter of credit.
B sues bank A for payment.
A has an absolute defense against the obligation to make payment
under this letter of credit. (Note: Examples (ix) and (x) do not alter
any other obligations or liabilities of the parties under appropriate
law.)
(xi) [Reserved]
(xii) Boycotting country Y orders goods from U.S. company B. A
letter of credit which contains a prohibited boycott clause is opened in
favor of B by a foreign bank in Y. The foreign bank asks U.S. bank A to
advise and confirm the letter of credit, which it forwards to A.
A may advise B that it has received the letter of credit (including
the boycott term), but may not confirm the letter of credit with the
prohibited clause.
(xiii) Same as (xii), except U.S. bank A fails to tell B that it
cannot process the letter of credit. B requests payment.
A may not pay. If the prohibited language is eliminated or nullified
as the result of renegotiation, A may then pay or otherwise implement
the revised letter of credit.
(xiv) U.S. bank A receives a letter of credit in favor of U.S.
beneficiary B. The letter of credit requires B to certify that he is not
blacklisted.
A may implement such a letter of credit, but it may not insist that
the certification be furnished, because by so insisting it would be
refusing to do business with a blacklisted person in compliance with a
boycott.
(xv) A, a U.S. bank located in the U.S. opens a letter of credit in
favor of U.S. beneficiary B for B's sale of goods to boycotting country
Y. The letter of credit contains no boycott conditions, but A knows that
Y customarily requires the seller of goods to certify that it has dealt
with no blacklisted supplier. A, therefore, instructs B that it will not
make payment under the letter of credit unless B makes such a
certification.
A's action in requiring the certification from B constitutes action
to require another person to refuse to do business with blacklisted
persons.
(xvi) A, a U.S. bank located in the U.S., opens a letter of credit
in favor of U.S. beneficiary B for B's sale of goods to boycotting
country Y. The letter of credit contains no boycott conditions, but A
has actual knowledge that B has agreed to supply a certification to Y
that it has not dealt with blacklisted firms, as a condition of
receiving the letter of credit in its favor.
A may not implement the letter of credit, because it knows that an
implicit condition of the credit is a condition with which B may not
legally comply.
(xvii) Boycotting country Y orders goods from U.S. company B. Y
opens a letter of credit with foreign bank C in favor of B. The letter
of credit includes the statement, ``Do not negotiate with blacklisted
banks.'' C forwards the letter of credit it has opened to U.S. bank A
for confirmation.
A may not confirm or otherwise implement this letter of credit,
because it contains a condition with which a U.S. person may not comply.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34945, June 1, 2000]
Sec. 760.3 Exceptions to prohibitions.
(a) Import requirements of a boycotting country.
Compliance With Import Requirements of a Boycotting Country
(1) A United States person, in supplying goods or services to a
boycotting country, or to a national or resident of a boycotting
country, may comply or agree to comply with requirements of such
boycotting country which prohibit the import of:
(i) Goods or services from the boycotted country;
(ii) Goods produced or services provided by any business concern
organized under the laws of the boycotted country; or
(iii) Goods produced or services provided by nationals or residents
of the boycotted country.
(2) A United States person may comply or agree to comply with such
import requirements whether or not he has received a specific request to
comply. By its terms, this exception applies only to transactions
involving imports into a boycotting country. A United States person may
not, under this exception, refuse on an across-the-board basis to do
business with a boycotted country or a national or resident of a
boycotted country.
(3) In taking action within the scope of this exception, a United
States person is limited in the types of boycott-related information he
can supply. (See Sec. 760.2(d) of this part on ``Furnishing Information
About Business Relationships with Boycotted Countries or
[[Page 213]]
Blacklisted Persons'' and paragraph (c) of this section on ``Import and
Shipping Document Requirements.'')
Examples of Compliance With Import Requirements of a Boycotting Country
The following examples are intended to give guidance in determining
the circumstances in which compliance with the import requirements of a
boycotting country is permissible. They are illustrative, not
comprehensive.
(i) A, a U.S. manufacturer, receives an order from boycotting
country Y for its products. Country X is boycotted by country Y, and the
import laws of Y prohibit the importation of goods produced or
manufactured in X. In filling this type of order, A would usually
include some component parts produced in X.
For the purpose of filling this order, A may substitute comparable
component parts in place of parts produced in X, because the import laws
of Y prohibit the importation of goods manufactured in X.
(ii) Same as (i), except that A's contract with Y expressly provides
that in fulfilling the contract A ``may not include parts or components
produced or manufactured in boycotted country X.''
A may agree to and comply with this contract provision, because Y
prohibits the importation of goods from X. However, A may not furnish
negative certifications regarding the origin of components in response
to import and shipping document requirements.
(iii) A, a U.S. building contractor, is awarded a contract to
construct a plant in boycotting country Y. A accepts bids on goods
required under the contract, and the lowest bid is made by B, a business
concern organized under the laws of X, a country boycotted by Y. Y
prohibits the import of goods produced by companies organized under the
laws of X.
For purposes of this contract, A may reject B's bid and accept
another, because B's goods would be refused entry into Y because of Y's
boycott against X.
(iv) Same as (iii), except that A also rejects the low bid by B for
work on a construction project in country M, a country not boycotted by
Y.
This exception does not apply, because A's action is not taken in
order to comply with Y's requirements prohibiting the import of products
from boycotted country X.
(v) A, a U.S. management consulting firm, contracts to provide
services to boycotting country Y. Y requests that A not employ residents
or nationals of boycotted country X to provide those services.
A may agree, as a condition of the contract, not to have services
furnished by nationals or residents of X, because importation of such
services is prohibited by Y.
(vi) A, a U.S. company, is negotiating a contract to supply machine
tools to boycotting country Y. Y insists that the contract contain a
provision whereby A agrees that none of the machine tools will be
produced by any business concern owned by nationals of boycotted country
X, even if the business concern is organized under the laws of a non-
boycotted country.
A may not agree to this provision, because it is a restriction on
the import of goods produced by business concerns owned by nationals of
a boycotted country even if the business concerns themselves are
organized under the laws of a non-boycotted country.
(b) Shipment of goods to a boycotting country.
Compliance With Requirements Regarding the Shipment of Goods to a
Boycotting Country
(1) A United States person, in shipping goods to a boycotting
country, may comply or agree to comply with requirements of that country
which prohibit the shipment of goods:
(i) On a carrier of the boycotted country; or
(ii) By a route other than that prescribed by the boycotting country
or the recipient of the shipment.
(2) A specific request that a United States person comply or agree
to comply with requirements concerning the use of carriers of a
boycotted country is not necessary if the United States person knows, or
has reason to know, that the use of such carriers for shipping goods to
the boycotting country is prohibited by requirements of the boycotting
country. This exception applies whether a boycotting country or the
purchaser of the shipment:
(i) Explicitly states that the shipment should not pass through a
port of the boycotted country; or
(ii) Affirmatively describes a route of shipment that does not
include a port in the boycotted country.
(3) For purposes of this exception, the term carrier of a boycotted
country means a carrier which flies the flag of a boycotted country or
which is owned, chartered, leased, or operated by a boycotted country or
by nationals or residents of a boycotted country.
[[Page 214]]
Examples of Compliance With the Shipping Requirements of a Boycotting
Country
The following examples are intended to give guidance in determining
the circumstances in which compliance with import and shipping document
requirements of a boycotting country is permissible. They are
illustrative, not comprehensive.
(i) A is a U.S. exporter from whom boycotting country Y is importing
goods. Y directs that the goods not pass through a port of boycotted
country X.
A may comply with Y's shipping instructions, because they pertain to
the route of shipment of goods being shipped to Y.
(ii) A, a U.S. fertilizer manufacturer, receives an order from
boycotting country Y for fertilizer. Y specifies in the order that A may
not ship the fertilizer on a carrier of boycotted country X.
A may comply with this request, because it pertains to the carrier
of a boycotted country.
(iii) B, a resident of boycotting country Y, orders textile goods
from A, a U.S. distributor, specifying that the shipment must not be
made on a carrier owned or leased by nationals of boycotted country X
and that the carrier must not pass through a port of country X enroute
to Y.
A may comply or agree to comply with these requests, because they
pertain to the shipment of goods to Y on a carrier of a boycotted
country and the route such shipment will take.
(iv) Boycotting country Y orders goods from A, a U.S. retail
merchant. The order specifies that the goods shipped by A ``may not be
shipped on a carrier registered in or owned by boycotted country X.''
A may agree to this contract provision, because it pertains to the
carrier of a boycotted country.
(v) Boycotting country Y orders goods from A, a U.S. pharmaceutical
company, and requests that the shipment not pass through a port of
country P, which is not a country boycotted by Y.
This exception does not apply in a non-boycotting situation. A may
comply with the shipping instructions of Y, because in doing so he would
not violate any prohibition of this part.
(vi) Boycotting country Y orders goods from A, a U.S. manufacturer.
The order specifies that goods shipped by A ``must not be shipped on
vessels blacklisted by country Y''.
A may not agree to comply with this condition because it is not a
restriction limited to the use of carriers of the boycotted country.
(c) Import and shipping document requirements.
Compliance With Import and Shipping Document Requirements of a
Boycotting Country
(1) A United States person, in shipping goods to a boycotting
country, may comply or agree to comply with import and shipping document
requirements of that country, with respect to:
(i) The country or origin of the goods;
(ii) The name and nationality of the carrier;
(iii) The route of the shipment;
(iv) The name, residence, or address of the supplier of the
shipment;
(v) The name, residence, or address of the provider of other
services.
(2) Such information must be stated in positive, non-blacklisting,
non-exclusionary terms except for information with respect to the names
or nationalities of carriers or routes of shipment, which may continue
to be stated in negative terms in conjunction with shipments to a
boycotting country, in order to comply with precautionary requirements
protecting against war risks or confiscation.
Examples of Compliance With Import and Shipping Document Requirements
The following examples are intended to give guidance in determining
the circumstances in which compliance with the import requirements of a
boycotting country is permissible. They are illustrative, not
comprehensive.
(i) Boycotting country Y contracts with A, a U.S. petroleum
equipment manufacturer, for certain equipment. Y requires that goods
being imported into Y must be accompanied by a certification that the
goods being supplied did not originate in boycotted country X.
A may not supply such a certification in negative terms but may
identify instead the country of origin of the goods in positive terms
only.
(ii) Same as (i), except that Y requires that the shipping
documentation accompanying the goods specify the country of origin of
the goods.
A may furnish the information.
(iii) [Reserved]
(iv) A, a U.S. apparel manufacturer, has contracted to sell certain
of its products to B, a national of boycotting country Y. The form that
must be submitted to customs officials of Y requires the shipper to
certify that the goods contained in the shipment have not been supplied
by ``blacklisted'' persons.
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A may not furnish the information in negative terms but may certify,
in positive terms only, the name of the supplier of the goods.
(v) Same as (iv), except the customs form requires certification
that the insurer and freight forwarder used are not ``blacklisted.''
A may not comply with the request but may supply a certification
stating, in positive terms only, the names of the insurer and freight
forwarder.
(vi) A, a U.S. petrochemical manufacturer, executes a sales contract
with B, a resident of boycotting country Y. A provision of A's contract
with B requires that the bill of lading and other shipping documents
contain certifications that the goods have not been shipped on a
``blacklisted'' carrier.
A may not agree to supply a certification that the carrier is not
``blacklisted'' but may certify the name of the carrier in positive
terms only.
(vii) Same as (vi), except that the contract requires certification
that the goods will not be shipped on a carrier which flies the flag of,
or is owned, chartered, leased, or operated by boycotted country X, or
by nationals or residents of X.
Such a certification, which is a reasonable requirement to protect
against war risks or confiscation, may be furnished at any time.
(viii) Same as (vi), except that the contract requires that the
shipping documents certify the name of the carrier being used.
A may, at any time, supply or agree to supply the requested
documentation regarding the name of the carrier, either in negative or
positive terms.
(ix) Same as (vi), except that the contract requires a certification
that the carrier will not call at a port in boycotted country X before
making delivery in Y.
Such a certification, which is a reasonable requirement to protect
against war risks or confiscation, may be furnished at any time.
(x) Same as (vi), except that the contract requires that the
shipping documents indicate the name of the insurer and freight
forwarder.
A may comply at any time, because the statement is not required to
be made in negative or blacklisting terms.
(xi) A, a U.S. exporter, is negotiating a contract to sell bicycles
to boycotting country Y. Y insists that A agree to certify that the
goods will not be shipped on a vessel which has ever called at a port in
boycotted country X.
As distinguished from a certification that goods will not be shipped
on a vessel which will call enroute at a port of boycotted country X,
such a certification is not a reasonable requirement to protect against
war risks or confiscation, and, hence, may not be supplied.
(xii) Same as (xi), except that Y insists that A agree to certify
that the goods will not be shipped on a carrier that is ineligible to
enter Y's waters.
Such a certification, which is not a reasonable requirement to
protect against war risks or confiscation may not be supplied.
(d) Unilateral and specific selection.
Compliance with Unilateral and Specific Selection
(1) A United States person may comply or agree to comply in the
normal course of business with the unilateral and specific selection by
a boycotting country, a national of a boycotting country, or a resident
of a boycotting country (including a United States person who is a bona
fide resident of a boycotting country) of carriers, insurers, suppliers
of services to be performed within the boycotting country, or specific
goods, provided that with respect to services, it is necessary and
customary that a not insignificant part of the services be performed
within the boycotting country. With respect to goods, the items, in the
normal course of business, must be identifiable as to their source or
origin at the time of their entry into the boycotting country by (a)
uniqueness of design or appearance or (b) trademark, trade name, or
other identification normally on the items themselves, including their
packaging.
(2) This exception pertains to what is permissible for a United
States person who is the recipient of a unilateral and specific
selection of goods or services to be furnished by a third person. It
does not pertain to whether the act of making such a selection is
permitted; that question is covered, with respect to United States
persons, in paragraph (g) of this section on ``Compliance with Local
Law.'' Nor does it pertain to the United States person who is the
recipient of an order to supply its own goods or services. Nothing in
this part prohibits or restricts a United States person from filling an
order himself, even if he is selected by the buyer on a boycott basis
(e.g., because he is not blacklisted), so long as he does not himself
take any action prohibited by this part.
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Unilateral and Specific Character of the Selection
(3) In order for this exception to apply, the selection with which a
United States person wishes to comply must be unilateral and specific.
(4) A ``specific'' selection is one which is stated in the
affirmative and which specifies a particular supplier of goods or
services.
(5) A ``unilateral'' selection is one in which the discretion in
making the selection is exercised by the boycotting country buyer. If
the United States person who receives a unilateral selection has
provided the buyer with any boycott-based assistance (including
information for purposes of helping the buyer select someone on a
boycott basis), then the buyer's selection is not unilateral, and
compliance with that selection by a United States person does not come
within this exception.
(6) The provision of so-called ``pre-selection'' or ``pre-award''
services, such as providing lists of qualified suppliers,
subcontractors, or bidders, does not, in and of itself, destroy the
unilateral character of a selection, provided such services are not
boycott-based. Lists of qualified suppliers, for example, must not
exclude anyone because he is blacklisted. Moreover, such services must
be of the type customarily provided in similar transactions by the firm
(or industry of which the firm is a part) as measured by the practice in
non-boycotting as well as boycotting countries. If such services are not
customarily provided in similar transactions or such services are
provided in such a way as to exclude blacklisted persons from
participating in a transaction or diminish their opportunity for such
participation, then the services may not be provided without destroying
the unilateral character of any subsequent selection.
Selection To Be Made by Boycotting Country Resident
(7) In order for this exception to be available, the unilateral and
specific selection must have been made by a boycotting country, or by a
national or resident of a boycotting country. Such a resident may be a
United States person. For purposes of this exception, a United States
person will be considered a resident of a boycotting country only if he
is a bona fide resident. A United States person may be a bona fide
resident of a boycotting country even if such person's residency is
temporary.
(8) Factors that will be considered in determining whether a United
States person is a bona fide resident of a boycotting country include:
(i) Physical presence in the country;
(ii) Whether residence is needed for legitimate business reasons;
(iii) Continuity of the residency;
(iv) Intent to maintain the residency;
(v) Prior residence in the country;
(vi) Size and nature of presence in the country;
(vii) Whether the person is registered to do business or
incorporated in the country;
(viii) Whether the person has a valid work visa; and
(ix) Whether the person has a similar presence in both boycotting
and non-boycotting foreign countries in connection with similar business
activities.
Note to paragraph (d)(8) of this section: No one of the factors is
dispositive. All the circumstances will be examined closely to ascertain
whether there is, in fact, a bona fide residency. Residency established
solely for purposes of avoidance of the application of this part,
unrelated to legitimate business needs, does not constitute bona fide
residency.
(9) The boycotting country resident must be the one actually making
the selection. If a selection is made by a non-resident agent, parent,
subsidiary, affiliate, home office or branch office of a boycotting
country resident, it is not a selection by a resident within the meaning
of this exception.
(10) A selection made solely by a bona fide resident and merely
transmitted by another person to a United States person for execution is
a selection by a bona fide resident within the meaning of this
exception.
Duty of Inquiry
(11) If a United States person receives, from another person located
in the United States, what may be a unilateral selection by a boycotting
country customer, and knows or has reason to know that the selection is
made for
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boycott reasons, he has a duty to inquire of the transmitting person to
determine who actually made the selection. If he knows or has reason to
know that the selection was made by other than a boycotting country, or
a national or resident of a boycotting country, he may not comply. A
course or pattern of conduct which a United States person recognizes or
should recognize as consistent with boycott restrictions will create a
duty to inquire.
(12) If the United States person does not know or have reason to
know that the selection it receives is boycott-based, its compliance
with such a selection does not offend any prohibition and this exception
is not needed.
Selection of Services
(13) This exception applies only to compliance with selections of
certain types of suppliers of services-carriers, insurers, and suppliers
of services to be performed ``within the boycotting country.'' Services
to be performed wholly within the United States or wholly within any
country other than the boycotting country are not covered.
(14) For purposes of this part, services are to be performed
``within the boycotting country'' only if they are of a type which would
customarily be performed by suppliers of those services within the
country of the recipient of those services, and if the part of the
services performed within the boycotting country is a necessary and not
insignificant part of the total services performed.
(15) What is ``customary and necessary'' for these purposes depends
on the usual practice of the supplier of the services (or the industry
of which he is a part) as measured by the practice in non-boycotting as
well as boycotting countries, except where such practices are instituted
to accommodate this part.
Selection of Goods
(16) This exception applies only to compliance with selections of
certain types of goods--goods that, in the normal course of business,
are identifiable as to their source or origin at the time of their entry
into the boycotting country. The definition of ``specifically
identifiable goods'' is the same under this section as it is in
paragraph (g) of this section on ``Compliance with Local Law.''
(17) Goods ``specifically identifiable'' in the normal course of
business are those items which at the time of their entry into a
boycotting country are identifiable as to source or origin by uniqueness
of design or appearance; or trademark, trade name, or other
identification normally on the items themselves, including their
packaging. Goods are ``specifically identifiable'' in the normal course
of business if their source or origin is ascertainable by inspection of
the items themselves, including their packaging, regardless of whether
inspection takes place. Goods are not considered to be ``specifically
identifiable'' in the normal course of business if a trademark, trade
name, or other form of identification not normally present is added to
the items themselves, including their packaging, to accommodate this
part.
General
(18) If a unilateral selection meets the conditions described in
paragraph (d) of this section, the United States person receiving the
unilateral selection may comply or agree to comply, even if he knows or
has reason to know that the selection was boycott-based. However, no
United States person may comply or agree to comply with any unilateral
selection if he knows or has reason to know that the purpose of the
selection is to effect discrimination against any United States person
on the basis of race, religion, sex, or national origin.
Examples of Compliance With a Unilateral Selection
The following examples are intended to give guidance in determining
what constitutes a unilateral selection and the circumstances in which
compliance with such a selection is permissible. They are illustrative,
not comprehensive.
Specific and Unilateral Selection
(i) A, a U.S. manufacturer of road-grading equipment, is asked by
boycotting country Y to ship goods to Y on U.S. vessel B, a carrier
which is not blacklisted by Y. A knows or has reason to know that Y's
selection of B is boycott-based.
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A may comply with Y's request, or may agree to comply as a condition
of the contract, because the selection is specific and unilateral.
(ii) A, a U.S. contractor building an industrial facility in
boycotting country Y is asked by B, a resident of Y, to use C as the
supplier of air conditioning equipment to be used in the facility. C is
not blacklisted by country Y. A knows or has reason to know that B's
request is boycott-based.
A may comply with B's request, or may agree to comply as a condition
of the contract, because the selection of C is specific and unilateral.
(iii) A, a U.S. manufacturer of automotive equipment, is asked by
boycotting country Y not to ship its goods to Y on U.S. carriers, B, C,
or D. Carriers B, C, and D are blacklisted by boycotting country Y. A
knows or has reason to know that Y's request is boycott-based.
A may not comply or agree to comply with Y's request, because no
specific selection of any particular carrier has been made.
(iv) A, a U.S. exporter shipping goods ordered by boycotting country
Y, is provided by Y with a list of eligible U.S. insurers from which A
may choose in insuring the shipment of its goods. A knows or has reason
to know that the list was compiled on a boycott basis.
A may not comply or agree to comply with Y's request that A choose
from among the eligible insurers, because no specific selection of any
particular insurer has been made.
(v) A, a U.S. aircraft manufacturer, is negotiating to sell aircraft
to boycotting country Y. During the negotiations, Y asks A to identify
the company which normally manufactures the engines for the aircraft. A
responds that they are normally manufactured by U.S. engine manufacturer
B. B is blacklisted by Y. In making the purchase, Y specifies that the
engines for the aircraft should be supplied by U.S. engine manufacturer
C.
A may comply or agree to comply with Y's selection of C, because Y's
selection is unilateral and specific.
(vi) A, a U.S. construction firm, is retained by an agency of
boycotting country Y to build a pipeline. Y requests A to suggest
qualified engineering firms to be used on-site in the construction of
the pipeline. It is customary for A, regardless of where it conducts its
operations, to identify qualified engineering firms to its customers so
that its customers may make their own selection of the firm to be
engaged. Choice of engineering firm is customarily a prerogative of the
customer. A provides a list of five engineering firms, B-F, excluding no
firm because it may be blacklisted, and then confers with and gives its
recommendations to Y. A recommends C, because C is the best qualified. Y
then selects B, because C is blacklisted.
A may comply with Y's selection of B, because the boycott-based
decision is made by Y and is unilateral and specific. Since A's pre-
award services are of the kind customarily provided in these situations,
and since they are provided without reference to the boycott, they do
not destroy the unilateral character of Y's selection.
(vii) A, a U.S. aircraft manufacturer, has an order to supply a
certain number of planes to boycotting country Y. In connection with the
order, Y asks A to supply it with a list of qualified aircraft tire
manufacturers so that Y can select the tires to be placed on the planes.
This is a highly unusual request, since, in A's worldwide business
operations, choice of tires is customarily made by the manufacturer, not
the customer. Nonetheless, A supplies a list of tire manufacturers, B,
C, D, and E. Y chooses tire manufacturer B because B is not blacklisted.
Had A, as is customary, selected the tires, company C would have been
chosen. C happens to be blacklisted, and A knows that C's blacklist
status was the reason for Y's selection of B.
A's provision of a list of tire manufacturers for Y to choose from
destroys the unilateral character of Y's selection, because such a pre-
selection service is not customary in A's worldwide business operations.
(viii) A, a U.S. aircraft manufacturer, receives an order from U.S.
company C, which is located in the United States, for the sale of
aircraft to company D, a U.S. affiliate of C. D is a bona fide resident
of boycotting country Y. C instructs A that ``in order to avoid boycott
problems,'' A must use engines that are manufactured by company B, a
company that is not blacklisted by Y. Engines built by B are unique in
design and also bear B's trade name.
Since A has reason to know that the selection is boycott-based, he
must inquire of C whether the selection was in fact made by D. If C
informs A that the selection was made by D, A may comply.
(ix) Same as (viii), except that C initially states that the
designation was unilaterally and specifically made by D.
A may accept C's statement without further investigation and may
comply with the selection, because C merely transmitted D's unilateral
and specific selection.
(x) Same as (ix), except that C informs A that it, C, has selected B
on behalf of or as an agent of its affiliated company resident in the
boycotting country.
A may not comply with this selection, because the decision was not
made by a resident of the boycotting country.
(xi) A, a U.S. management consulting firm, is advising boycotting
country Y on the selection of a contracting firm to construct a plant
for the manufacture of agricultural chemicals. As is customary in its
business, A compiles a list of potential contractors on
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the basis of its evaluation of the capabilities of the respective
candidates to perform the job. A has knowledge that company B is
blacklisted, but provides Y with the names of companies B, C, D, and E,
listing them in order of their qualifications. Y instructs A to
negotiate with C.
A may comply with Y's instruction, because Y's selection is
unilateral and specific.
(xii) A, a U.S. exporter, is asked by boycotting country Y not to
ship goods on carriers B, C, or D, which are owned by nationals of and
are registered in country P, a country not boycotted by Y.
A may comply or agree to comply with Y's request even though the
selection is not specific, because A does not know or have reason to
know that the request is boycott-based.
(Note: In example (xii), A has violated no prohibition, because it
does not know or have reason to know that Y's instruction is boycott-
based. Therefore, A could not act with the requisite intent to comply
with the boycott.)
(xiii) A, a U.S. construction company, receives a contract to
construct a hotel in boycotting country Y. As part of the contract, A is
required to furnish Y with lists of qualified suppliers of various
specifically identifiable items. A compiles lists of various qualified
suppliers wholly without reference to the boycott, and thereafter Y
instructs A to negotiate with, enter into contracts with, and arrange
for delivery from each of the suppliers which Y designates. A knows that
Y's choices are made on a boycott basis.
A may comply with Y's selections and carry out these post-award
services for Y, because Y's selections were unilateral and specific and
A's pre-award services were provided without reference to Y's boycott.
Examples of Boycotting Country Buyer
(The factors in determining whether a United States person is a ``bona
fide resident'' of a boycotting country are the same as in paragraph (g)
of this section on ``Compliance with Local Law.'' See also the examples
in that section.)
(i) A, a U.S. exporter, is asked by B, a U.S. person who is a bona
fide resident of boycotting country Y, to ship goods on U.S. carrier C.
C is not blacklisted by Y, and A knows that B has chosen on a boycott
basis in order to comply with Y's boycott laws.
A may comply or agree to comply with B's request, because B is a
bona fide resident of Y.
(ii) A is a U.S. computer company whose subsidiary, B, is a bona
fide resident of boycotting country Y. A receives an order from B for
specific, identifiable products manufactured by company C in connection
with a computer which B is installing in Y.
A may comply or agree to comply with B's unilateral and specific
selection, so long as the discretion was in fact exercised by B, not A.
(Note: Unilateral selection transactions involving related United
States persons will be scrutinized carefully to ensure that the
selection was in fact made by the bona fide resident of the boycotting
country.)
(iii) A, a U.S. engineering firm, has chief engineer B as its
resident engineer on a dam construction site in boycotting country Y.
B's presence at the site is necessary in order to ensure proper
supervision of the project. In order to comply with local law, B selects
equipment supplier C rather than D, who is blacklisted, and directs A to
purchase certain specific equipment from C for use in the project.
A may comply with this unilateral selection, because the decision
was made by a bona fide resident of Y.
(As noted above, unilateral selections involving related United States
persons will be scrutinized carefully to ensure that the selection was
in fact made by the bona fide resident of the boycotting country.)
(iv) B, a branch of U.S. bank A, is located in boycotting country Y.
B is in need of office supplies and asks the home office in New York to
make the necessary purchases. A contacts C, a U.S. company in the office
supply business, and instructs C to purchase various items from certain
specific companies and ship them directly to B. In order to avoid any
difficulties for B with respect to Y's boycott laws, A is careful to
specify only non-blacklisted companies or suppliers. C knows that that
was A's purpose. C may not comply with A's instruction, because the
selection of suppliers was not made by a resident of a boycotting
country.
(v) Same as (iv), except that A has given standing instructions to B
that whenever it needs office supplies, it should specify certain
suppliers designated by A. To avoid running afoul of Y's boycott laws,
A's designations consist exclusively of non-blacklisted firms. A
receives an order from B with the suppliers designated in accordance
with A's instructions.
A may not comply with B's selection, because the selection was not
in fact made by a bona fide resident of the boycotting country, but by a
person located in the United States.
Examples of Suppliers of Services
(i) A, a U.S. manufacturer, is asked by boycotting country Y to ship
goods to Y on U.S. vessel B, a carrier which is not blacklisted by Y.
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A may comply or agree to comply with Y's request, because compliance
with the unilateral and specific selection of carriers is expressly
permitted under this exception.
(ii) A, a U.S. exporter shipping goods ordered by C, a national of
boycotting country Y, is asked by C to insure the shipment through U.S.
insurer B.
A may comply or agree to comply with C's request, because compliance
with the unilateral and specific selection of an insurer is expressly
permitted under this exception.
(iii) A, a U.S. construction company, is hired by C, an agency of
the government of boycotting country Y, to build a power plant in Y. C
specifies that A should subcontract the foundation work to U.S.
contractor B. Part of the foundation design work will be done by B in
the United States.
A may comply or agree to comply with Y's designation, because a
necessary and not insignificant part of B's services are to be performed
within the boycotting country, and such services are customarily
performed on-site.
(iv) A, a U.S. contractor, is engaged by boycotting country Y to
build a power plant. Y specifies that U.S. architectural firm B should
be retained by A to design the plant. In order to design the plant, it
is essential that B's personnel visit and become familiar with the site,
although the bulk of the design and drawing work will be done in the
United States.
A may comply or agree to comply with Y's unilateral and specific
selection of architectural firm B, because a necessary and not
insignificant part of B's services are to be performed within Y, and
such on-site work is customarily involved in the provision of
architectural services. The fact that the bulk of the actual work may be
performed in the United States is irrelevant since the part to be
performed within Y is necessary to B's effective performance.
(v) Same as (iv), except that Y specifies that the turbine for the
power plant should be designed by U.S. engineer C. It is neither
customary nor necessary for C to visit the site in order to do any of
his work, but C has informed A that he would probably want to visit the
site in Y if he were selected for the job.
A may not comply or agree to comply with Y's request, because, in
the normal course of business, it is neither customary nor necessary for
engineer C's services to be performed in Y.
(vi) A, a U.S. aircraft manufacturer, receives a contract from
boycotting country Y to manufacture jet engines for Y's use. Y specifies
that the engines should be designed by U.S. industrial engineering firm
B.
A may not comply or agree to comply with Y's request, because, in
the normal course of business, the services will not be performed in Y.
(vii) U.S. company A has a contract to supply specially designed
road graders to boycotting country Y. Y has instructed A that it should
engage engineering firm B in the design work rather than engineering
firm C, which A normally uses, because C is blacklisted. When A contacts
B, B informs A that one of B's personnel customarily visits the location
in which any equipment B designs is used after it is in use, in order to
determine how good a design job B has done. Such visits are necessary
from B's point of view to provide a check on the quality of its work,
and they are necessary from Y's point of view because they make it
possible for Y to discuss possible design changes should deficiencies be
detected.
A may not comply with Y's selection of B, because the services which
B would perform in Y are an insignificant part of the total services to
be performed by B.
Examples of Specifically Identifiable Goods
(The test of what constitutes ``specifically identifiable goods'' under
this exception also applies to the term ``specifically identifiable
goods'' as used in paragraph (g) of this section on ``Compliance with
Local Law.'')
(i) A, a U.S. contractor, is constructing an apartment complex, on a
turnkey basis, for boycotting country Y. Y instructs A to use only
kitchen appliances manufactured by U.S. company B in completing the
project. The appliances normally bear the manufacturer's name and
trademark.
A may comply with Y's selection of B, because Y's unilateral and
specific selection is of goods identifiable as to source or origin in
the normal course of business at the time of their entry into Y.
(ii) Same as (i), except that Y directs A to use lumber manufactured
only by U.S. company C. In the normal course of business, C neither
stamps its name on the lumber nor identifies itself as the manufacturer
on the packaging. In addition, normal export packaging does not identify
the manufacturer.
A may not comply with Y's selection, because the goods selected are
not identifiable by source or origin in the normal course of business at
the time of their entry into Y.
(iii) B, a U.S. contractor who is a bona fide resident of boycotting
country Y, is engaged in building roads. B retains the services of A, a
U.S. engineering firm, to assist it in procuring construction equipment.
B directs A to purchase road graders only from manufacturer C because
other road grader manufacturers which A might use are blacklisted. C's
road graders normally bear C's insignia.
A may comply with B's selection of C, because the goods selected are
identifiable by source or origin in the normal course of business at the
time of their entry into Y.
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(iv) A, a U.S. company, manufactures computer-operated machine
tools. The computers are mounted on a separate bracket on the side of
the equipment and are readily identifiable by brand name imprinted on
the equipment. There are five or six U.S. manufacturers of such
computers which will function interchangeably to operate the machine
tools manufactured by A. B, a resident of boycotting country Y,
contracts to buy the machine tools manufactured by A on the condition
that A incorporate, as the computer drive, a computer manufactured by
U.S. company C. B's designation of C is made to avoid boycott problems
which could be caused if computers manufactured by some other company
were used.
A may comply with B's designation of C, because the goods selected
are identifiable by source or origin in the normal course of business at
the time of their entry into Y.
(v) A, a U.S. wholesaler of electronic equipment, receives an order
from B, a U.S. manufacturer of radio equipment, who is a bona fide
resident of boycotting country Y. B orders a variety of electrical
components and specifies that all transistors must be purchased from
company C, which is not blacklisted by Y. The transistors requested by B
do not normally bear the name of the manufacturer; however, they are
typically shipped in cartons, and C's name and logo appear on the
cartons.
A may comply with B's selection, because the goods selected by B are
identifiable as to source or origin in the normal course of business at
the time of their entry into Y by virtue of the containers or packaging
used.
(vi) A, a U.S. computer manufacturer, receives an order for a
computer from B, a university in boycotting country Y. B specifies that
certain integrated circuits incorporated in the computer must be
supplied by U.S. electronics company C. These circuits are incorporated
into the computer and are not visible without disassembling the
computer.
A may not comply or agree to comply with B's specific selection of
these components, because they are not identifiable as to their source
or origin in the normal course of business at the time of their entry
into Y.
(vii) A, a U.S. clothing manufacturer, receives an order for shirts
from B, a retailer resident in boycotting country Y. B specifies that
the shirts are to be manufactured from cotton produced by U.S. farming
cooperative C. Such shirts will not identify C or the source of the
cotton.
A may not comply or agree to comply with B's designation, because
the cotton is not identifiable as to source or origin in the normal
course of business at the time of entry into Y.
(viii) A, a U.S. contractor, is retained by B, a construction firm
located in and wholly-owned by boycotting country Y, to assist B in
procuring construction materials. B directs A to purchase a range of
materials, including hardware, tools, and trucks, all of which bear the
name of the manufacturer stamped on the item. In addition, B directs A
to purchase steel beams manufactured by U.S. company C. The name of
manufacturer C normally does not appear on the steel itself or on its
export packaging.
A may comply with B's selection of the hardware, tools, and trucks,
because they are identifiable as to source or origin in the normal
course of business at the time of entry into Y. A may not comply with
B's selection of steel beams, because the goods are not identifiable as
to source or origin by trade name, trademark, uniqueness or packaging at
the time of their entry into Y.
Example of Discrimination on Basis of Race, Religion, Sex, or National
Origin
(i) A, a U.S. paper manufacturer, is asked by boycotting country Y
to ship goods to Y on U.S. vessel B. Y states that the reason for its
choice of B is that, unlike U.S. vessel C, B is not owned by persons of
a particular faith.
A may not comply or agree to comply with Y's request, because A has
reason to know that the purpose of the selection is to effect religious
discrimination against a United States person.
(e) Shipment and transshipment of exports pursuant to a boycotting
country's requirements.
Compliance With a Boycotting Country's Requirements Regarding Shipment
and Transshipment of Exports
(1) A United States person may comply or agree to comply with the
export requirements of a boycotting country with respect to shipments or
transshipments of exports to:
(i) A boycotted country;
(ii) Any business concern of a boycotted country;
(iii) Any business concern organized under the laws of a boycotted
country; or
(iv) Any national or resident of a boycotted country.
(2) This exception permits compliance with restrictions which a
boycotting country may place on direct exports to a boycotted country;
on indirect exports to a boycotted country (i.e., those that pass via
third parties); and on exports to residents, nationals, or business
concerns of, or organized under the laws of, a boycotted country,
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including those located in third countries.
(3) This exception also permits compliance with restrictions which a
boycotting country may place on the route of export shipments when the
restrictions are reasonably related to preventing the export shipments
from coming into contact with or under the jurisdiction of the boycotted
country. This exception applies whether a boycotting country or the
vendor of the shipment:
(i) Explicitly states that the shipment should not pass through the
boycotted country enroute to its final destination; or
(ii) Affirmatively describes a route of shipment that does not
include the boycotted country.
(4) A United States person may not, under this exception, refuse on
an across-the-board basis to do business with a boycotted country or a
national or resident of a boycotted country.
Examples of Compliance With a Boycotting Country's Requirements
Regarding Shipment or Transshipment of Exports
The following examples are intended to give guidance in determining
the circumstances in which compliance with the export requirements of a
boycotting country is permissible. They are illustrative, not
comprehensive.
(i) A, a U.S. petroleum company, exports petroleum products to 20
countries, including the United States, from boycotting country Y.
Country Y's export regulations require that products not be exported
from Y to boycotted country X.
A may agree to and comply with Y's regulations with respect to the
export of goods from Y to X.
(ii) Same as (i), except that Y's export regulations require that
goods not be exported from boycotting country Y to any business concern
organized under the laws of boycotted country X.
A may agree to and comply with Y's regulations with respect to the
export of goods from Y to a business concern organized under the laws of
X, even if such concern is located in a country not involved in Y's
boycott of X.
(iii) B, the operator of a storage facility in country M, contracts
with A, a U.S. carrier, for the shipment of certain goods manufactured
in boycotting country Y. A's contract with B contains a provision
stating that the goods to be transported may not be shipped or
transshipped to boycotted country X. B informs A that this provision is
a requirement of C, the manufacturer of goods who is a resident of
boycotting country Y. Country M is not boycotted by Y.
A may agree to and comply with this provision, because such a
provision is required by the export regulations of boycotting country Y
in order to prevent shipment of Y-origin goods to a country boycotted by
Y.
(iv) A, a U.S. petroleum refiner located in the United States,
purchases crude oil from boycotting country Y. A has a branch operation
in boycotted country X. Y requires, as a condition of sale, that A agree
not to ship or transship the crude oil or products refined in Y to A's
branch in X.
A may agree to and comply with these requirements, because they are
export requirements of Y designed to prevent Y-origin products from
being shipped to a boycotted country.
(v) A, a U.S. company, has a petrochemical plant in boycotting
country Y. As a condition of securing an export license from Y, A must
agree that it will not ship or permit transshipment of any of its output
from the plant in Y to any companies which Y lists as being owned by
nationals of boycotted country X.
A may agree to this condition, because it is a restriction designed
to prevent Y-origin products from being exported to a business concern
of boycotted country X or to nationals of boycotted country X.
(vi) Same as (v), except that the condition imposed on A is that Y-
origin goods may not be shipped or permitted to be transshipped to any
companies which Y lists as being owned by persons whose national origin
is X.
A may not agree to this condition, because it is a restriction
designed to prevent Y-origin goods from being exported to persons of a
particular national origin rather than to residents or nationals of a
particular boycotted country.
(vii) A, a U.S. petroleum company, exports petroleum products to 20
countries, including the United States, from boycotting country Y. Y
requires, as a condition of sale, that A not ship the products to be
exported from Y to or through boycotted country X.
A may agree to and comply with this requirement because it is an
export requirement of Y designed to prevent Y-origin products from
coming into contact with or under the jurisdiction of a boycotted
country.
(viii) Same as (vii), except that boycotting country Y's export
regulations require that products to be exported from Y not pass through
a port of boycotted country X.
A may agree to and comply with Y's regulations prohibiting Y-origin
exports from passing through a port at boycotted country X, because they
are export requirements of Y designed to prevent Y-origin products from
coming into contact with or under the jurisdiction of a boycotted
country.
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(ix) Same as (vii), except that Y's export regulations require that
A not transship the exported products ``in or at'' boycotted country X.
A may agree to and comply with Y's regulations with respect to the
transshipment of goods ``in or at'' X, because they are export
requirements of Y designed to prevent Y-origin products from coming into
contact with or under the jurisdiction of a boycotted country.
(f) Immigration, passport, visa, or employment requirements of a
boycotting country.
Compliance With Immigration, Passport, Visa, or Employment Requirements
of a Boycotting Country
(1) A United States individual may comply or agree to comply with
the immigration, passport, visa, or employment requirements of a
boycotting country, and with requests for information from a boycotting
country made to ascertain whether such individual meets requirements for
employment within the boycotting country, provided that he furnishes
information only about himself or a member of his family, and not about
any other United States individual, including his employees, employers,
or co-workers.
(2) For purposes of this section, a United States individual means a
person who is a resident or national of the United States. Family means
immediate family members, including parents, siblings, spouse, children,
and other dependents living in the individual's home.
(3) A United States person may not furnish information about its
employees or executives, but may allow any individual to respond on his
own to any request for information relating to immigration, passport,
visa, or employment requirements. A United States person may also
perform any ministerial acts to expedite processing of applications by
individuals. These include informing employees of boycotting country
visa requirements at an appropriate time; typing, translation, messenger
and similar services; and assisting in or arranging for the expeditious
processing of applications. All such actions must be undertaken on a
non-discriminatory basis.
(4) A United States person may proceed with a project in a
boycotting country even if certain of its employees or other prospective
participants in a transaction are denied entry for boycott reasons. But
no employees or other participants may be selected in advance in a
manner designed to comply with a boycott.
Examples of Compliance With Immigration, Passport, Visa, or Employment
Requirements of a Boycotting Country
The following examples are intended to give guidance in determining
the circumstances in which compliance with immigration, passport, visa,
or employment requirements is permissible. They are illustrative, not
comprehensive.
(i) A, a U.S. individual employed by B, a U.S. manufacturer of
sporting goods with a plant in boycotting country Y, wishes to obtain a
work visa so that he may be assigned to the plant in Y. Country Y's
immigration laws specify that anyone wishing to enter the country or
obtain a visa to work in the country must supply information about his
religion. This information is required for boycott purposes.
A may furnish such information, because it is required by Y's
immigration laws.
(ii) Same as (i), except that A is asked to supply such information
about other employees of B.
A may not supply this information, because it is not information
about himself or his family.
(iii) A, a U.S. building contractor, has been awarded a construction
contract to be performed in boycotting country Y. Y's immigration laws
require that individuals applying for visas must indicate race,
religion, and place of birth. The information is sought for boycott
purposes. To avoid repeated rejections of applications for work visas by
A's employees, A desires to furnish to country Y a list of its
prospective and current employees and required information about each so
that Y can make an initial screening.
A may not furnish such a list, because A would be furnishing
information about the race, religion, and national origin of its
employees.
(iv) Same as (iii), except that A selects for work on the project
those of its current employees whom it believes will be granted work
visas from boycotting country Y.
A may not make a selection from among its employees in a manner
designed to comply with the boycott-based visa requirements of Y, but
must allow all eligible employees to apply for visas. A may later
substitute an employee who obtains the necessary visa for one who has
had his application rejected.
(v) Same as (iii), except that A selects employees for the project
and then allows each employee individually to apply for his own
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visa. Two employees' applications are rejected, and A then substitutes
two other employees who, in turn, submit their own visa applications.
A may take such action, because in so doing A is not acting in
contravention of any prohibition of this part.
(vi) Same as (v), except that A arranges for the translation, typing
and processing of its employees' applications, and transmits all the
applications to the consulate of boycotting country Y.
A may take such ministerial actions, because in so doing A is not
itself furnishing information with respect to race, religion, sex, or
national origin, but is merely transmitting information furnished by its
individual employees.
(vii) A, a U.S. contractor, selects U.S. subcontractor B to perform
certain engineering services in connection with A's project in
boycotting country Y. The work visa application submitted by the
employee whom B has proposed as chief engineer of this project is
rejected by Y because his national origin is of boycotted country X.
Subcontractor B thereupon withdraws.
A may continue with the project and select another subcontractor,
because A is not acting in contravention of any prohibition of this
part.
(g) Compliance with local law. (1) This exception contains two
parts. The first covers compliance with local law with respect to a
United States person's activities exclusively within a foreign country;
the second covers compliance with local import laws by United States
persons resident in a foreign country. Under both parts of this
exception, local laws are laws of the host country, whether derived from
statutes, regulations, decrees, or other official sources having the
effect of law in the host country. This exception is not available for
compliance with presumed policies or understandings of policies unless
those policies are reflected in official sources having the effect of
law.
(2) Both parts of this exception apply only to United States persons
resident in a foreign country. For purposes of this exception, a United
States person will be considered to be a resident of a foreign country
only if he is a bona fide resident. A United States person may be a bona
fide resident of a foreign country even if such person's residency is
temporary.
(3)(i) Factors that will be considered in determining whether a
United States person is a bona fide resident of a foreign country
include:
(A) Physical presence in the country;
(B) Whether residence is needed for legitimate business reasons;
(C) Continuity of the residency;
(D) Intent to maintain the residency;
(E) Prior residence in the country;
(F) Size and nature of presence in the country;
(G) Whether the person is registered to do business or incorporated
in the country;
(H) Whether the person has a valid work visa; and
(I) Whether the person has a similar presence in both boycotting and
non-boycotting foreign countries in connection with similar business
activities.
(ii) No one of the factors in paragraph (g)(3) of this section is
dispositive. All the circumstances involved will be closely examined to
ascertain whether there is, in fact, bona fide residency. Residency
established solely for purposes of avoidance of the application of this
part, unrelated to legitimate business needs, does not constitute bona
fide residency.
Examples of Bona Fide Residency
The following examples are intended to give guidance in determining
the circumstances in which a United States person may be a bona fide
resident of a foreign country. For purposes of illustration, each
example discusses only one or two factors, instead of all relevant
factors. They are illustrative, not comprehensive.
(i) A, a U.S. radio manufacturer located in the United States,
receives a tender to bid on a contract to supply radios for a hotel to
be built in boycotting country Y. After examining the proposal, A sends
a bid from its New York office to Y.
A is not a resident of Y, because it is not physically present in Y.
(ii) Same as (i), except that after receiving the tender, A sends
its sales representative to Y. A does not usually have sales
representatives in countries when it bids from the United States, and
this particular person's presence in Y is not necessary to enable A to
make the bid.
A is not a bona fide resident of Y, because it has no legitimate
business reasons for having its sales representative resident in Y.
(iii) A, a U.S. bank, wishes to establish a branch office in
boycotting country Y. In pursuit of that objective, A's personnel visit
Y to make the necessary arrangements. A intends to establish a permanent
branch office
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in Y after the necessary arrangements are made.
A's personnel in Y are not bona fide residents of Y, because A does
not yet have a permanent business operation in Y.
(iv) Same as (iii), except A's personnel are required by Y's laws to
furnish certain non-discriminatory boycott information in order to
establish a branch in Y.
In these limited circumstances, A's personnel may furnish the non-
discriminatory boycott information necessary to establish residency to
the same extent a U.S. person who is a bona fide resident in that
country could. If this information could not be furnished in such
limited circumstances, the exception would be available only to firms
resident in a boycotting country before January 18, 1978.
(v) A, a U.S. construction company, receives an invitation to build
a power plant in boycotting country Y. After receipt of the invitation,
A's personnel visit Y in order to survey the site and make necessary
analyses in preparation for submitting a bid. The invitation requires
that otherwise prohibited boycott information be furnished with the bid.
A's personnel in Y are not bona fide residents of Y, because A has
no permanent business operation in Y. Therefore, A's personnel may not
furnish the prohibited information.
(vi) Same as (v), except that A is considering establishing an
office in boycotting country Y. A's personnel visit Y in order to
register A to do business in that country. A intends to establish
ongoing construction operations in Y. A's personnel are required by Y's
laws to furnish certain non-discriminatory boycott information in order
to register A to do business or incorporate a subsidiary in Y.
In these limited circumstances, A's personnel may furnish non-
discriminatory boycott information necessary to establish residency to
the same extent a U.S. person who is a bona fide resident in that
country could. If this information could not be furnished in such
limited circumstances, the exception would be available only to firms
resident in a boycotting country before January 18, 1978.
(vii) A, a subsidiary of U.S. oil company B, is located in
boycotting country Y. A has been engaged in oil explorations in Y for a
number of years.
A is a bona fide resident of Y, because of its pre-existing
continuous presence in Y for legitimate business reasons.
(viii) Same as (vii), except that A has just been established in Y
and has not yet begun operations.
A is a bona fide resident of Y, because it is present in Y for
legitimate business reasons and it intends to reside continuously.
(ix) U.S. company A is a manufacturer of prefabricated homes. A
builds a plant in boycotting country Y for purposes of assembling
components made by A in the United States and shipped to Y.
A's personnel in Y are bona fide residents of Y, because A's plant
in Y is established for legitimate business reasons, and it intends to
reside continuously.
(x) U.S. company A has its principal place of business in the United
States. A's sales agent visits boycotting country Y from time to time
for purposes of soliciting orders.
A's sales agent is not a bona fide resident of Y, because such
periodic visits to Y are insufficient to establish a bona fide
residency.
(xi) A, a branch office of U.S. construction company B, is located
in boycotting country Y. The branch office has been in existence for a
number of years and has been performing various management services in
connection with B's construction operations in Y.
A is a bona fide resident of Y, because of its longstanding presence
in Y and its conduct of ongoing operations in Y.
(xii) U.S. construction company A has never done any business in
boycotting country Y. It is awarded a contract to construct a hospital
in Y, and preparatory to beginning construction, sends its personnel to
Y to set up operations.
A's personnel are bona fide residents of Y, because they are present
in Y for the purposes of carrying out A's legitimate business purposes;
they intend to reside continuously; and residency is necessary to
conduct their business.
(xiii) U.S. company A manufactures furniture. All its sales in
foreign countries are conducted from its offices in the United States.
From time to time A has considered opening sales offices abroad, but it
has concluded that it is more efficient to conduct sales operations from
the United States. Shortly after the effective date of this part, A
sends a sales representative to boycotting country Y to open an office
in and solicit orders from Y. It is more costly to conduct operations
from that office than to sell directly from the United States, but A
believes that if it establishes a residence in Y, it will be in a better
position to avoid conflicts with U.S. law in its sales to Y.
A's sales representative is not a bona fide resident of Y, because
the residency was established to avoid the application of this part and
not for legitimate business reasons.
(xiv) Same as (xiii), except that it is in fact more efficient to
have a sales office in Y. In fact, without a sales office in Y, A would
find it difficult to explore business opportunities in Y. A is aware,
however, that residency in Y would permit its sales representative to
comply with Y's boycott laws.
A's sales representative is a bona fide resident of Y, because A has
a legitimate business reason for establishing a sales office in Y.
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(xv) U.S. company B is a computer manufacturer. B sells computers
and related programming services tailored to the needs of individual
clients. Because of the complex nature of the product, B must have sales
representatives in any country where sales are made. B has a sales
representative, A, in boycotting country Y. A spends two months of the
year in Y, and the rest of the year in other countries. B has a
permanent sales office from which A operates while in Y, and the sales
office is stocked with brochures and other sales materials.
A is a bona fide resident of Y, because his presence in Y is
necessary to carry out B's legitimate business purposes; B maintains a
permanent office in Y; and B intends to continue doing business in Y in
the future.
(xvi) A, a U.S. construction engineering company, is engaged by B, a
U.S. general contracting company, to provide services in connection with
B's contract to construct a hospital complex in boycotting country Y. In
order to perform those services, A's engineers set up a temporary office
in a trailer on the construction site in Y. A's work is expected to be
completed within six months.
A's personnel in Y are bona fide residents of Y, because A's on-site
office is necessary to the performance of its services for B, and
because A's personnel are continuously there.
(xvii) A, a U.S. company, sends one of its representatives to
boycotting country Y to explore new sales possibilities for its line of
transistor radios. After spending several weeks in Y, A's representative
rents a post office box in Y, to which all persons interested in A's
products are directed to make inquiry.
A is not a bona fide resident of Y, because rental of a post office
box is not a sufficient presence in Y to constitute residency.
(xviii) A, a U.S. computer company, has a patent and trademark
registered in the United States. In order to obtain registration of its
patent and trademark in boycotting country Y, A is required to furnish
certain non-discriminatory boycott information.
A may not furnish the information, because A is not a bona fide
resident of Y.
(h) Activities exclusively within a foreign country. (1) Any United
States person who is a bona fide resident of a foreign country,
including a boycotting country, may comply or agree to comply with the
laws of that country with respect to his activities exclusively within
that country. These activities include:
(i) Entering into contracts which provide that local law applies or
governs, or that the parties will comply with such laws;
(ii) Employing residents of the host country;
(iii) Retaining local contractors to perform work within the host
country;
(iv) Purchasing or selling goods or services from or to residents of
the host country; and
(v) Furnishing information within the host country.
(2) Activities exclusively within the country do not include
importing goods or services from outside the host country, and,
therefore, this part of the exception does not apply to compliance with
import laws in connection with importing goods or services.
Examples of Permissible Compliance With Local Law With Respect to
Activities Exclusively Within a Foreign Country
The following examples are intended to give guidance in determining
the circumstances in which compliance with local law is permissible.
They are illustrative, not comprehensive.
Activities Exclusively Within a Foreign Country
(i) U.S. construction company A, a bona fide resident of boycotting
country Y, has a contract to build a school complex in Y. Pursuant to
Y's boycott laws, the contract requires A to refuse to purchase supplies
from certain local merchants. While Y permits such merchants to operate
within Y, their freedom of action in Y is constrained because of their
relationship with boycotted country X.
A may enter into the contract, because dealings with local merchants
are activities exclusively within Y.
(ii) A, a banking subsidiary of U.S. bank B, is a bona fide resident
of boycotting country Y. From time to time, A purchases office supplies
from the United States.
A's purchase of office supplies is not an activity exclusively
within Y, because it involves the import of goods from abroad.
(iii) A, a branch of U.S. bank B, is a bona fide resident of
boycotting country Y. Under Y's boycott laws, A is required to supply
information about whether A has any dealings with boycotted country X. A
compiles and furnishes the information within Y and does so of its own
knowledge.
A may comply with that requirement, because in compiling and
furnishing the information within Y, based on its own knowledge, A is
engaging in an activity exclusively within Y.
(iv) Same as (iii), except that A is required to supply information
about B's dealings with X. From its own knowledge and without
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making any inquiry of B, A compiles and furnishes the information.
A may comply with that requirement, because in compiling and
furnishing the information within Y, based on its own knowledge, A is
engaging in an activity exclusively within Y.
(v) Same as (iv), except that in making its responses, A asks B to
compile some of the information.
A may not comply, because the gathering of the necessary information
takes place partially outside Y.
(vi) U.S. company A has applied for a license to establish a
permanent manufacturing facility in boycotting country Y. Under Y's
boycott law, A must agree, as a condition of the license, that it will
not sell any of its output to blacklisted foreign firms.
A may not comply, because the agreement would govern activities of A
which are not exclusively within Y.
Discrimination Against United States Persons
(i) A, a subsidiary of U.S. company B, is a bona fide resident of
boycotting country Y. A manufactures air conditioners in its plant in Y.
Under Y's boycott laws, A must agree not to hire nationals of boycotted
country X.
A may agree to the restriction and may abide by it with respect to
its recruitment of individuals within Y, because the recruitment of such
individuals is an activity exclusively within Y. However, A cannot abide
by this restriction with respect to its recruitment of individuals
outside Y, because this is not an activity exclusively within Y.
(ii) Same as (i), except that pursuant to Y's boycott laws, A must
agree not to hire anyone who is of a designated religion.
A may not agree to this restriction, because the agreement calls for
discrimination against U.S. persons on the basis of religion. It makes
no difference whether the recruitment of the U.S. persons occurs within
or without Y.
(Note: The exception for compliance with local law does not apply to
boycott-based refusals to employ U.S. persons on the basis of race,
religion, sex, or national origin even if the activity is exclusively
within the boycotting country.)
(i) Compliance with local import law. (1) Any United States person
who is a bona fide resident of a foreign country, including a boycotting
country, may, in importing goods, materials or components into that
country, comply or agree to comply with the import laws of that country,
provided that:
(i) The items are for his own use or for his use in performing
contractual services within that country; and
(ii) In the normal course of business, the items are identifiable as
to their source or origin at the time of their entry into the foreign
country by:
(a) Uniqueness of design or appearance; or
(b) Trademark, trade name, or other identification normally on the
items themselves, including their packaging.
(2) The factors that will be considered in determining whether a
United States person is a bona fide resident of a foreign country are
those set forth in paragraph (g) of this section. Bona fide residence of
a United States company's subsidiary, affiliate, or other permanent
establishment in a foreign country does not confer such residence on
such United States company. Likewise, bona fide residence of a United
States company's employee in a foreign country does not confer such
residence on the entire company.
(3) A United States person who is a bona fide resident of a foreign
country may take action under this exception through an agent outside
the country, but the agent must act at the direction of the resident and
not exercise his own discretion. Therefore, if a United States person
resident in a boycotting country takes action to comply with a
boycotting country's import law with respect to the importation of
qualified goods, he may direct his agent in the United States on the
action to be taken, but the United States agent himself may not exercise
any discretion.
(4) For purposes of this exception, the test that governs whether
goods or components of goods are specifically identifiable is identical
to the test applied in paragraph (d) of this section on ``Compliance
With Unilateral and Specific Selection'' to determine whether they are
identifiable as to their source or origin in the normal course of
business.
(5) The availability of this exception for the import of goods
depends on whether the goods are intended for the United States person's
own use at the time they are imported. It does not depend upon who has
title to the goods at
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the time of importation into a foreign country.
(6) Goods are for the United States person's own use (including the
performance of contractual services within the foreign country) if:
(i) They are to be consumed by the United States person;
(ii) They are to remain in the United States person's possession and
to be used by that person;
(iii) They are to be used by the United States person in performing
contractual services for another;
(iv) They are to be further manufactured, incorporated into, refined
into, or reprocessed into another product to be manufactured for
another; or
(v) They are to be incorporated into, or permanently affixed as a
functional part of, a project to be constructed for another.
(7) Goods acquired to fill an order for such goods from another are
not for the United States person's own use. Goods procured for another
are not for one's own use, even if the furnishing of procurement
services is the business in which the United States person is
customarily engaged. Nor are goods obtained for simple resale acquired
for one's own use, even if the United States person is engaged in the
retail business. Likewise, goods obtained for inclusion in a turnkey
project are not for one's own use if they are not customarily
incorporated into, or do not customarily become permanently affixed as a
functional part of the project.
(8) This part of the local law exception does not apply to the
import of services, even when the United States person importing such
services is a bona fide resident of a boycotting country and is
importing them for his own use. In addition, this exception is available
for a United States person who is a bona fide resident of a foreign
country only when the individual or entity actually present within that
country takes action through the exercise of his own discretion.
(9) Use of this exception will be monitored and continually reviewed
to determine whether its continued availability is consistent with the
national interest. Its availability may be limited or withdrawn as
appropriate. In reviewing the continued availability of this exception,
the effect that the inability to comply with local import laws would
have on the economic and other relations of the United States with
boycotting countries will be considered.
(10) A United States person who is a bona fide resident of a foreign
country may comply or agree to comply with the host country's import
laws even if he knows or has reason to know that particular laws are
boycott-related. However, no United States person may comply or agree to
comply with any host country law which would require him to discriminate
against any United States person on the basis of race, religion, sex, or
national origin, or to supply information about any United States
person's race, religion, sex, or national origin.
Examples of Permissible Compliance With Local Import Law
The following examples are intended to give guidance in determining
the circumstances in which compliance with local import law is
permissible. They are illustrative, not comprehensive.
Compliance by a Bona Fide Resident
(i) A, a subsidiary of U.S. company B, is a bona fide resident of
boycotting country Y and is engaged in oil drilling operations in Y. In
acquiring certain large, specifically identifiable products for carrying
out its operations in Y, A chooses only from non-blacklisted firms
because Y's import laws prohibit the importation of goods from
blacklisted firms. However, with respect to smaller items, B makes the
selection on behalf of A and sends them to A in Y.
A may choose from non-blacklisted firms, because it is a U.S. person
who is a bona fide resident in Y. However, because B is not resident in
Y, B cannot make boycott-based selections to conform with Y's import
laws prohibiting the importation of goods from blacklisted firms.
(ii) Same as (i), except that after making its choices on the larger
items, A directs B to carry out its instructions by entering into
appropriate contracts and making necessary shipping arrangements.
B may carry out A's instructions provided that A, a bona fide
resident of Y, has in fact made the choice and B is exercising no
discretion, but is acting only as A's agent.
(Note: Such transactions between related companies will be
scrutinized carefully. A must in fact exercise the discretion and
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make the selections. If the discretion is exercised by B, B would be in
violation of this part.)
(iii) U.S. construction company A has a contract to build a school
in boycotting country Y. A's employees set up operations in Y for
purposes of commencing construction. A's employees in Y advise A's
headquarters in the United States that Y's import laws prohibit
importation of goods manufactured by blacklisted firms. A's headquarters
then issues invitations to bid only to non-blacklisted firms for certain
specifically identifiable goods.
A's headquarters' choice of non-blacklisted suppliers is not a
choice made by a U.S. person who is a bona fide resident of Y, because
the discretion in issuing the bids was exercised in the United States,
not in Y.
(iv) Same as (iii), except that A's employees in Y actually make the
decision regarding to whom the bids should be issued.
The choices made by A's employees are choices made by U.S. persons
who are bona fide residents of Y, because the discretion in choosing was
exercised solely in Y.
(Note: Choices purportedly made by employees of U.S. companies who
are resident in boycotting countries will be carefully scrutinized to
ensure that the discretion was exercised entirely in the boycotting
country.)
Specifically Identifiable Goods
The test and examples as to what constitutes specifically
identifiable goods are identical to those applicable under paragraph (d)
of this section on ``Compliance With Unilateral Selection.''
Imports for U.S. Person's Own Use Within Boycotting Country
(i) A, a subsidiary of U.S. company B, is a bona fide resident of
boycotting country Y. A plans to import computer operated machine tools
to be installed in its automobile plant in boycotting country Y. The
computers are mounted on a separate bracket on the side of the equipment
and are readily identifiable by brand name. A orders the tools from U.S.
supplier C and specifies that C must incorporate computers manufactured
by D, a non-blacklisted company. A would have chosen computers
manufactured by E, except that E is blacklisted, and Y's import laws
prohibit the importation of goods manufactured by blacklisted firms.
A may refuse to purchase E's computers, because A is importing the
computers for its own use in its manufacturing operations in Y.
(ii) A, a subsidiary of U.S. company B, is a bona fide resident of
boycotting country Y. To meet the needs of its employees in Y, A imports
certain specifically identifiable commissary items for sale, such as
cosmetics; and canteen items, such as candy. In selecting such items for
importation into Y, A chooses items made only by non-blacklisted firms,
because Y's import laws prohibit importation of goods from blacklisted
firms.
A may import these items only from non-blacklisted firms, because
the importation of goods for consumption by A's employees is an
importation for A's own use.
(iii) A, a U.S. construction company which is a bona fide resident
of boycotting country Y, has a contract to build a hospital complex for
the Ministry of Health in Y. Under the contract, A will be general
manager of the project with discretion to choose all subcontractors and
suppliers. The complex is to be built on a turnkey basis, with A
retaining title to the property and bearing all financial risk until the
complex is conveyed to Y. In choosing specifically identifiable goods
for import, such as central air conditioning units and plate glass, A
excludes blacklisted suppliers in order to comply with Y's import laws.
These goods are customarily incorporated into, or permanently affixed as
a functional part of, the project.
A may refuse to deal with blacklisted suppliers of specifically
identifiable goods, because importation of goods by a general contractor
to be incorporated into a construction project in Y is an importation of
goods for A's own use.
(iv) Same as (iii), except that, in addition, in choosing U.S.
architects and engineers to work on the project, A excludes blacklisted
firms, because Y's import laws prohibit the use of services rendered by
blacklisted persons.
A may not refuse to deal with blacklisted architectural or
engineering firms, because this exception does not apply to the import
of services. It is irrelevant that, at some stage, the architectural or
engineering drawings or plans may be brought to the site in Y. This
factor is insufficient to transform such services into ``goods'' for
purposes of this exception.
(v) Same as (iii), except that the project is to be completed on a
``cost plus'' basis, with Y making progress payments to A at various
stages of completion.
A may refuse to deal with blacklisted suppliers of specifically
identifiable goods, because the importation of goods by A to be
incorporated in a project A is under contract to complete is an
importation of goods for its own use. The terms of payment are
irrelevant.
(vi) A, a U.S. construction company which is a bona fide resident of
boycotting country Y, has a contract for the construction of an office
building in Y on a turnkey basis. In choosing goods to be used or
included in the office complex, A orders wallboard, office partitions,
and lighting fixtures from non-
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blacklisted manufacturers. A likewise orders desks, office chairs,
typewriters, and office supplies from non-blacklisted manufacturers.
Because they are customarily incorporated into or permanently
affixed as a functional part of an office building, the wallboard,
office partitions, and lighting fixtures are for A's own use, and A may
select non-blacklisted suppliers of these goods in order to comply with
Y's import laws. Because they are not customarily incorporated into or
permanently affixed to the project, the desks, office chairs,
typewriters, and office supplies are not for A's own use, and A may not
make boycott-based selections of the suppliers of these goods.
(vii) A, a U.S. company engaged in the business of selling
automobiles, is a bona fide resident of boycotting country Y. In
ordering automobiles from time to time for purposes of stocking its
inventory, A purchases from U.S. manufacturer B, but not U.S.
manufacturer C, because C is blacklisted. Retail sales are subsequently
made from this inventory.
A's import of automobiles from B is not an import for A's own use,
because the importation of items for general inventory in a retail sales
operation is not an importation for one's own use.
(viii) A, a U.S. company engaged in the manufacture of
pharmaceutical products, is a bona fide resident of boycotting country
Y. In importing chemicals for incorporation into the pharmaceutical
products, A purchases from U.S. supplier B, but not U.S. supplier C,
because C is blacklisted.
A may import chemicals from B rather than C, because the importation
of specifically identifiable items for incorporation into another
product is an importation for one's own use.
(ix) A, a U.S. management company which is a bona fide resident of
boycotting country Y, has a contract with the Ministry of Education in Y
to purchase supplies for Y's school system. From time to time, A
purchases goods from abroad for delivery to various schools in Y.
A's purchase of goods for Y's school system does not constitute an
importation of goods for A's own use, because A is acting as a
procurement agent for another. A, therefore, cannot make boycott-based
selections of suppliers of such school supplies.
(x) A, a U.S. company which is a bona fide resident of boycotting
country Y, has a contract to make purchases for Y in connection with a
construction project in Y. A is not engaged in the construction of, or
in any other activity in connection with, the project. A's role is
merely to purchase goods for Y and arrange for their delivery to Y.
A is not purchasing goods for its own use, because A is acting as a
procurement agent for Y. A, therefore, cannot make boycott selections of
suppliers of such goods.
(xi) A, a U.S. company which is a bona fide resident of boycotting
country Y, imports specifically identifiable goods into Y for exhibit by
A at a trade fair in Y. In selecting goods for exhibit, A excludes items
made by blacklisted firms.
A's import of goods for its exhibit at a trade fair constitutes an
import for A's own use. However, A may not sell in Y those goods it
imported for exhibit.
(xii) A is a bona fide resident of boycotting countries Y and Z. In
compliance with Y's boycott laws, A chooses specifically identifiable
goods for its oil drilling operations in Y and Z by excluding
blacklisted suppliers. The goods are first imported into Y. Those
purchased for A's use in Z are then transshipped to Z.
In selecting those goods for importation into Y, A is making an
import selection for its own use, even though A may use some of the
imported goods in Z. Further, the subsequent shipment from Y to Z of
those goods purchased for use in Z is an import into Z for A's own use.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34946, June 1, 2000; 73
FR 68327, Nov. 18, 2008]
Sec. 760.4 Evasion.
(a) No United States person may engage in any transaction or take
any other action, either independently or through any other person, with
intent to evade the provisions of this part. Nor may any United States
person assist another United States person to violate or evade the
provisions of this part.
(b) The exceptions set forth in Sec. 760.3(a) through (i) do not
permit activities or agreements (express or implied by a course of
conduct, including a pattern of responses) which are otherwise
prohibited by this part and which are not within the intent of such
exceptions. However, activities within the coverage and intent of the
exceptions set forth in this part do not constitute evasion regardless
of how often such exceptions are utilized.
(c) Use of any artifice, device or scheme which is intended to place
a person at a commercial disadvantage or impose on him special burdens
because he is blacklisted or otherwise restricted for boycott reasons
from having a business relationship with or in a boycotting country will
be regarded as evasion for purposes of this part.
[[Page 231]]
(d) Unless permitted under one of the exceptions, use of risk of
loss provisions that expressly impose a financial risk on another
because of the import laws of a boycotting country may constitute
evasion. If they are introduced after January 18, 1978, their use will
be presumed to constitute evasion. This presumption may be rebutted by a
showing that such a provision is in customary usage without distinction
between boycotting and non-boycotting countries and that there is a
legitimate non-boycott reason for its use. On the other hand, use of
such a provision by a United States person subsequent to January 18,
1978 is presumed not to constitute evasion if the provision had been
customarily used by that person prior to January 18, 1978.
(e) Use of dummy corporations or other devices to mask prohibited
activity will also be regarded as evasion. Similarly, it is evasion
under this part to divert specific boycotting country orders from a
United States parent to a foreign subsidiary for purposes of complying
with prohibited boycott requirements. However, alteration of a person's
structure or method of doing business will not constitute evasion so
long as the alteration is based on legitimate business considerations
and is not undertaken solely to avoid the application of the
prohibitions of this part. The facts and circumstances of an arrangement
or transaction will be carefully scrutinized to see whether appearances
conform to reality.
Examples
The following examples are intended to give guidance to persons in
determining circumstances in which this section will apply. They are
illustrative, not comprehensive.
(i) A, a U.S. insurance company, receives a request from boycotting
country Y asking whether it does business in boycotted country X.
Because furnishing such information is prohibited, A declines to answer
and as a result is placed on Y's blacklist. The following year, A's
annual report contains new information about A's worldwide operations,
including a list of all countries in which A does business. A then mails
a copy of its annual report, which has never before contained such
information, to officials of the government of country Y.
Absent some business justification unrelated to the boycott for
changing the annual report in this fashion, A's action constitutes
evasion of this part.
(ii) A, a U.S. construction firm resident in boycotting country Y,
orders lumber from U.S. company B. A unilaterally selects B in part
because U.S. lumber producer C is blacklisted by Y and C's products are
therefore not importable. In placing its order with B, A requests that B
stamp its name or logo on the lumber so that A ``can be certain that it
is, in fact, receiving B's products.'' B does not normally so stamp its
lumber, and A's purpose in making the request is to appear to fit within
the unilateral selection exception of this part.
Absent additional facts justifying A's action, A's action
constitutes evasion of this part.
(iii) A, a U.S. company, has been selling sewing machines to
boycotting country Y for a number of years. A receives a request for a
negative certificate of origin from a new customer. A is aware that
furnishing such certificates are prohibited; therefore, A arranges to
have all future shipments run through a foreign corporation in a third
country which will affix the necessary negative certificate before
forwarding the machines on to Y.
A's action constitutes evasion of this part, because it is a device
to mask prohibited activity carried out on A's behalf.
(iv) A, a U.S. company, has been selling calculators to distributor
B in country C for a number of years and routinely supplies positive
certificates of origin. A receives an order from country Y which
requires negative certificates of origin. A arranges to make all future
sales to distributor B in country C. A knows B will step in and make the
sales to Y which A would otherwise have made directly. B will make the
necessary negative certifications. A's warranty, which it will continue
to honor, runs to the purchaser in Y.
A's action constitutes evasion, because the diverting of orders to B
is a device to mask prohibited activity carried out on A's behalf.
(v) A, a U.S. company, is negotiating a long-term contract with
boycotting country Y to meet all Y's medical supply needs. Y informs A
that before such a contract can be concluded, A must complete Y's
boycott questionnaire. A knows that it is prohibited from answering the
questionnaire so it arranges for a local agent in Y to supply the
necessary information.
A's action constitutes evasion of this part, because it is a device
to mask prohibited activity carried out on A's behalf.
(vi) A, a U.S. contractor which has not previously dealt with
boycotting country Y, is awarded a construction contract by Y. Because
it is customary in the construction industry for a contractor to
establish an on-site facility for the duration of the project, A
establishes such an office, which satisfies the
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requirements for bona fide residency. Thereafter, A's office in Y takes
a number of actions permitted under the compliance with local law
exception.
A's actions do not constitute evasion, because A's facility in Y was
established for legitimate business reasons.
(vii) A, a controlled foreign subsidiary of U.S. company B, is
located in non-boycotting country M. A and B both make machine tools for
sale in their respective marketing regions. B's marketing region
includes boycotting country Y. After assessing the requirements of this
part, B decides that it can no longer make machines for sale in Y.
Instead, A decides to expand its facilities in M in order to service the
Y market.
The actions of A and B do not constitute evasion, because there is a
legitimate business reason for their actions. It is irrelevant that the
effect may be to place sales which would otherwise have been subject to
this part beyond the reach of this part.
(viii) A, a U.S. manufacturer, from time to time receives purchase
orders from boycotting country Y which A fills from its plant in the
United States. A knows that it is about to receive an order from Y which
contains a request for a certification which A is prohibited from
furnishing under this part. In order to permit the certification to be
made, A diverts the purchase order to its foreign subsidiary.
A's diversion of the purchase order constitutes evasion of this
part, because it is a device to mask prohibited activity carried out on
A's behalf.
(ix) A, a U.S. company, is engaged in assembling drilling rigs for
shipment to boycotting country Y. Because of potential difficulties in
securing entry into Y of materials supplied by blacklisted firms, A
insists that blacklisted firms take a 15 percent discount on all
materials which they supply to A. As a result, no blacklisted firms are
willing to transact with A.
A's insistence on the discount for materials supplied by blacklisted
firms constitutes evasion of this part, because it is a device or scheme
which is intended to place a special burden on blacklisted firms because
of Y's boycott.
(x) Same as (ix), except that shortly after January 18, 1978, A, a
U.S. company, insists that its suppliers sign contracts which provide
that even after title passes from the supplier to A, the supplier will
bear the risk of loss and indemnify A if goods which the supplier has
furnished are denied entry into Y for boycott reasons.
A's action constitutes evasion of this part, because it is a device
or scheme which is intended to place a special burden on blacklisted
persons because of Y's boycott.
(xi) Same as (x), except that A customarily insisted on such an
arrangement with its supplier prior to January 18, 1978.
A's action is presumed not to constitute evasion, because use of
this contractual arrangement was customary for A prior to January 18,
1978.
(xii) A, a U.S. company, has a contract to supply automobile sub-
assembly units to boycotting country Y. Shortly after January 18, 1978,
A insists that its suppliers sign contracts which provide that even
after title passes to A, the supplier will bear the risk of loss and
indemnify A if goods which the supplier has furnished are denied entry
into boycotting country Y for any reason.
A's insistence on this arrangement is presumed to constitute
evasion, because it is a device which is intended to place a special
burden on blacklisted firms because of Y's boycott. The presumption may
be rebutted by competent evidence showing that use of such an
arrangement is customary without regard to the boycotting or non-
boycotting character of the country to which it relates and that there
is a legitimate non-boycott business reason for its use.
(xiii) Same as (vii), except that A requires that all suppliers make
in-country delivery.
A's action does not constitute evasion, because it is an ordinary
commercial practice to require in-country delivery of goods.
(xiv) Same as (xii), except that A requires that title remain with
the supplier until delivery in Y has been made.
A's action does not constitute evasion, because it is ordinary
commercial practice to require that title remain with the supplier until
delivery has been made. This example is distinguishable from example
(xii), because in example (xii) A had insisted on an extraordinary
arrangement designed to require that the risk of loss remain with the
supplier even after title had passed to A.
(xv) U.S. bank A is contacted by U.S. company B to finance B's
transaction with boycotting country Y. Payment will be effected through
a letter of credit in favor of B at its U.S. address. A knows that the
letter of credit will contain restrictive boycott conditions which would
bar its implementation by A if the beneficiary were a U.S. person. A
advises B of the boycott condition and suggests to B that the
beneficiary should be changed to C, a shell corporation in non-
boycotting country M. The beneficiary is changed accordingly.
The actions of both A and B constitute evasion of this part, because
the arrangement is a device to mask prohibited activities.
(xvi) Same as (xv), except that U.S. company B, the beneficiary of
the letter of credit, arranges to change the beneficiary to B's foreign
subsidiary so that A can implement the letter of credit. A knows that
this has been done.
A's implementation of the letter of credit in the face of its
knowledge of B's action constitutes evasion of this part, because A's
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action is part of a device to mask prohibited activity by both parties.
(xvii) U.S. bank A, located in the United States, is contacted by
foreign company B to finance B's transaction with boycotting country Y.
B is a controlled subsidiary of a U.S. company. The transaction which is
to be financed with a letter of credit payable to B at its foreign
address, requires B to certify that none of its board members are of a
particular religious faith. Since B cannot legally furnish the
certificate, it asks A to convey the necessary information to Y through
A's bank branch in Y. Such information would be furnished wholly outside
the letter of credit transaction.
A's action constitutes evasion of this part, because it is
undertaken to assist B's violation of this part.
(xviii) U.S. bank A is asked by foreign corporation B to implement a
letter of credit in favor of B so that B might perform under its long-
term contract with boycotting country Y. Under the terms of the letter
of credit, B is required to certify that none of its suppliers is
blacklisted. A knows that it cannot implement a letter of credit with
this condition, so it tells B to negotiate the elimination of this
requirement from the letter of credit and instead supply the
certification to Y directly.
A's suggestion to B that it provide the negative certification to Y
directly constitutes evasion of this part, because A is taking an action
through another person to mask prohibited activity on A's part.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34947, June 1, 2000]
Sec. 760.5 Reporting requirements.
(a) Scope of reporting requirements. (1) A United States person who
receives a request to take any action which has the effect of furthering
or supporting a restrictive trade practice or boycott fostered or
imposed by a foreign country against a country friendly to the United
States or against any United States person must report such request to
the Department of Commerce in accordance with the requirements of this
section. Such a request may be either written or oral and may include a
request to furnish information or enter into or implement an agreement.
It may also include a solicitation, directive, legend or instruction
that asks for information or that asks that a United States person take
or refrain from taking a particular action. Such a request shall be
reported regardless of whether the action requested is prohibited or
permissible under this part, except as otherwise provided by this
section.
(2) For purposes of this section, a request received by a United
States person is reportable if he knows or has reason to know that the
purpose of the request is to enforce, implement, or otherwise further,
support, or secure compliance with an unsanctioned foreign boycott or
restrictive trade practice.
(i) A request received by a United States person located in the
United States is reportable if it is received in connection with a
transaction or activity in the interstate or foreign commerce of the
United States, as determined under Sec. 760.1(d)(1) through (5) and
(18) of this part.
(ii) A request received by a United States person located outside
the United States (that is, a foreign subsidiary, partnership,
affiliate, branch, office, or other permanent foreign establishment
which is controlled in fact by any domestic concern, as determined under
Sec. 760.1(c) of this part) is reportable if it is received in
connection with a transaction or activity in the interstate or foreign
commerce of the United States, as determined under Sec. 760.1(d)(6)
through (17) and (19) of this part.
(iii) A request such as a boycott questionnaire, unrelated to a
particular transaction or activity, received by any United States person
is reportable when such person has or anticipates a business
relationship with or in a boycotting country involving the sale,
purchase or transfer of goods or services (including information) in the
interstate or foreign commerce of the United States, as determined under
Sec. 760.1(d) of this part.
(3) These reporting requirements apply to all United States persons.
They apply whether the United States person receiving the request is an
exporter, bank or other financial institution, insurer, freight
forwarder, manufacturer, or any other United States person subject to
this part.
(4) The acquisition of information about a boycotting country's
boycott requirements through the receipt or review of books, pamphlets,
legal texts,
[[Page 234]]
exporters' guidebooks and other similar publications does not constitute
receipt of a reportable request for purposes of this section. In
addition, a United States person who receives an unsolicited invitation
to bid, or similar proposal, containing a boycott request has not
received a reportable request for purposes of this section where he does
not respond to the invitation to bid or other proposal.
(5) Because of the use of certain terms for boycott and non-boycott
purposes; because of Congressional mandates to provide clear and precise
guidelines in areas of inherent uncertainty; and because of the
Department's commitment to minimize paperwork and reduce the cost of
reporting where it will not impair the Department's ability to continue
to monitor foreign boycotts, the following specific requests are not
reportable:
(i) A request to refrain from shipping goods on a carrier which
flies the flag of a particular country or which is owned, chartered,
leased or operated by a particular country or by nationals or residents
of a particular country, or a request to certify to that effect.
(ii) A request to ship goods via a prescribed route, or a request to
refrain from shipping goods via a proscribed route, or a request to
certify to either effect.
(iii) A request to supply an affirmative statement or certification
regarding the country of origin of goods.
(iv) A request to supply an affirmative statement or certification
regarding the name of the supplier or manufacturer of the goods shipped
or the name of the provider of services.
(v) A request to comply with the laws of another country except
where the request expressly requires compliance with that country's
boycott laws.
(vi) A request to an individual to supply information about himself
or a member of his family for immigration, passport, visa, or employment
purposes.
(vii) A request to supply an affirmative statement or certification
indicating the destination of exports or confirming or otherwise
indicating that such cargo will be unloaded or discharged at a
particular destination.
(viii) A request to supply a certificate by the owner, master,
charterer, or any employee thereof, that a vessel, aircraft, truck or
any other mode of transportation is eligible, otherwise eligible,
permitted, or allowed to enter, or not restricted from entering, a
particular port, country, or group of countries pursuant to the laws,
rules, or regulations of that port, country, or group of countries.
(ix) A request to supply a certificate from an insurance company
stating that the insurance company has a duly authorized agent or
representative within a boycotting country and/or the name and address
of such agent.
(x) A request to comply with a term or condition of a transaction
that provides that the vendor bear the risk of loss and indemnify the
purchaser if the vendor's goods are denied entry into a country for any
reason (``risk of loss clause'') if such clause was in use by the
purchaser prior to January 18, 1978.
(6) No United States person may engage in any transaction or take
any other action, either independently or through any other person, with
intent to evade the provisions of this part.
(7) From time to time the Department will survey domestic concerns
for purposes of determining the worldwide scope of boycott requests
received by their controlled foreign subsidiaries and affiliates with
respect to their activities outside United States commerce. This
pertains to requests which would be reportable under this section but
for the fact that the activities to which the requests relate are
outside United States commerce. The information requested will include
the number and nature of non-reportable boycott requests received, the
action(s) requested, the actions(s) taken in response and the countries
in which the requests originate. The results of such surveys, including
the names of those surveyed, will be made public.
(b) Manner of reporting. (1) Each reportable request must be
reported. However, if more than one document (such as an invitation to
bid, purchase order, or letter of credit) containing the same boycott
request is received as part of the same transaction, only the first such
request need be reported. Individual shipments against the same
[[Page 235]]
purchase order or letter of credit are to be treated as part of the same
transaction. Each different boycott request associated with a given
transaction must be reported, regardless of how or when the request is
received.
(2) Each United States person actually receiving a reportable
request must report that request. However, such person may designate
someone else to report on his behalf. For example, a United States
company, if authorized, may report on behalf of its controlled foreign
subsidiary or affiliates; a freight forwarder, if authorized, may report
on behalf of the exporter; and a bank, if authorized, may report on
behalf of the beneficiary of a letter of credit. If a person designated
to report a request received by another receives an identical request
directed to him in connection with the same transaction, he may file one
report on behalf of himself and the other person.
(3) Where a person is designated to report on behalf of another, the
person receiving the request remains liable for any failure to report or
for any representations made on his behalf. Further, anyone reporting on
behalf of another is not relieved of his own responsibility for
reporting any boycott request which he receives, even if it is an
identical request in connection with the same transaction.
(4) Reports may be submitted by mail or electronically. Mailed paper
reports must be submitted in duplicate to: Report Processing Staff,
Office of Antiboycott Compliance, U.S. Department of Commerce, Room
6098, Washington, DC 20230. Electronic reports must be submitted in
duplicate, by following the prompts on the screen, through the Office of
Antiboycott Compliance Web page of the BIS Web site, http://bis.doc.gov/
index.php /enforcement/oac?id=300. Each submission, whether paper or
electronic, must be made in accordance with the following requirements:
(i) Where the person receiving the request is a United States person
located in the United States, each report of requests must be postmarked
or electronically date-stamped by the last day of the month following
the calendar quarter in which the request was received (e.g., April 30
for the quarter consisting of January, February, and March).
(ii) Where the person receiving the request is a United States
person located outside the United States, each report of requests must
be postmarked or electronically date-stamped by the last day of the
second month following the calendar quarter in which the request was
received (e.g., May 31 for the quarter consisting of January, February,
and March).
(5) Mailed paper reports may, at the reporting person's option, be
submitted on either a single transaction form (Form BIS-621P, Report of
Request for Restrictive Trade Practice or Boycott, Single Transaction,
(revised 10-89)) or on a multiple transaction form (Form BIS-6051P,
Report of Request for Restrictive Trade Practice or Boycott, Multiple
Transactions, (revised 10-89)). Electronic reports may be submitted only
on the single transaction form, which will electronically reproduce the
reporting person's identifying information to facilitate reporting of
multiple transactions.
(6) Reports, whether submitted on the paper single transaction form
or on the paper multiple transaction form, or submitted electronically,
must contain entries for every applicable item on the form, including
whether the reporting person intends to take or has taken the action
requested. If the reporting person has not decided what action he will
take by the time the report is required to be filed, he must later
report the action he decides to take within 10 business days after
deciding. In addition, anyone filing a report on behalf of another must
so indicate and identify that other person.
(7) Each report of a boycott request, whether submitted by mail or
electronically, must be accompanied by two copies of the relevant
page(s) of any document(s) in which the request appears (see, paragraph
(c)(2) of this section). For mail submissions, the relevant pages shall
be attached in paper format to the report form; for electronic
submissions, the relevant pages shall be attached in PDF format to the
[[Page 236]]
electronic submission. Reports, whether paper or electronic, may also be
accompanied by any additional information relating to the request as the
reporting person desires to provide concerning his response to the
request. For electronic submissions, such additional information should
be provided as a PDF attachment.
(8) Records containing information relating to a reportable boycott
request, including a copy of any document(s) in which the request
appears, must be maintained by the recipient for a five-year period
after receipt of the request. The Department may require that these
materials be submitted to it or that it have access to them at any time
within that period. (See part 762 of the EAR for additional
recordkeeping requirements.)
(c) Disclosure of information. (1) Reports of requests received on
or after October 7, 1976, as well as any accompanying documents filed
with the reports, have been and will continue to be made available for
public inspection and copying, except for certain proprietary
information. With respect to reports of requests received on or after
August 1, 1978, if the person making the report certifies that a United
States person to whom the report relates would be placed at a
competitive disadvantage because of the disclosure of information
regarding the quantity, description, or value of any articles,
materials, and supplies, including related technical data and other
information, whether contained in a report or in any accompanying
document(s), such information will not be publicly disclosed except upon
failure by the reporting entity to edit the public inspection copy of
the accompanying document(s) as provided by paragraph (c)(2) of this
section, unless the Secretary of Commerce determines that the disclosure
would not place the United States person involved at a competitive
disadvantage or that it would be contrary to the national interest to
withhold the information. In the event the Secretary of Commerce
considers making such a determination concerning competitive
disadvantage, appropriate notice and an opportunity for comment will be
given before any such proprietary information is publicly disclosed. In
no event will requests of reporting persons to withhold any information
contained in the report other than that specified in this paragraph be
honored.
(2) Because a copy of any document(s) accompanying the report will
be made available for public inspection and copying, one copy must be
submitted intact and another copy must be edited by the reporting entity
to delete the same information which it certified in the report would
place a United States person at a competitive disadvantage if disclosed.
In addition, the reporting entity may delete from this copy information
that is considered confidential and that is not required to be contained
in the report (e.g., information related to foreign consignee). This
copy should be conspicuously marked with the legend ``Public Inspection
Copy.'' With respect to documents accompanying reports received by the
Department on or after July 1, 1979, the public inspection copy will be
made available as submitted whether or not it has been appropriately
edited by the reporting entity as provided by this paragraph.
(3) Reports and accompanying documents which are available to the
public for inspection and copying are located in the BIS Freedom of
Information Records Inspection Facility, Room 4525, Department of
Commerce, 14th Street and Constitution Avenue, N.W., Washington, D.C.
20230. Requests to inspect such documents should be addressed to that
facility.
(4) The Secretary of Commerce will periodically transmit summaries
of the information contained in the reports to the Secretary of State
for such action as the Secretary of State, in consultation with the
Secretary of Commerce, may deem appropriate for carrying out the
policies in section 8(b)(2) of the Export Administration Act of 1979.
Examples
The following examples are intended to give guidance in determining
what is reportable. They are illustrative, not comprehensive.
(i) A, a U.S. manufacturer, is shipping goods to boycotting country
Y and is asked by Y to certify that it is not blacklisted by Y's boycott
office.
[[Page 237]]
The request to A is reportable, because it is a request to A to
comply with Y's boycott requirements.
(ii) A, a U.S. manufacturing company, receives an order for tractors
from boycotting country Y. Y's order specifies that the tires on the
tractors be made by B, another U.S. company. A believes Y has specified
B as the tire supplier because otherwise A would have used tires made by
C, a blacklisted company, and Y will not take shipment of tractors
containing tires made by blacklisted companies.
A must report Y's request for tires made by B, because A has reason
to know that B was chosen for boycott reasons.
(iii) Same as (ii), except A knows that Y's request has nothing to
do with the boycott but simply reflects Y's preference for tires made by
B.
Y's request is not reportable, because it is unrelated to Y's
boycott.
(iv) Same as (ii), except A neither knows nor has reason to know why
Y has chosen B.
Y's request is not reportable, because A neither knows nor has
reason to know that Y's request is based on Y's boycott.
(v) A, a controlled foreign subsidiary of U.S. company B, is a
resident of boycotting country Y. A is a general contractor. After being
supplied by A with a list of competent subcontractors, A's customer
instructs A to use subcontractor C on the project. A believes that C was
chosen because, among other things, the other listed subcontractors are
blacklisted.
The instruction to A by its customer that C be used on the project
is reportable, because it is a request to comply with Y's boycott
requirements.
(vi) A, a controlled foreign subsidiary of U.S. company B, is
located in non-boycotting country P. A receives an order for washing
machines from boycotting country Y. Y instructs A that a negative
certificate of origin must accompany the shipment. The washing machines
are made wholly in P, without U.S. components.
Y's instruction to A regarding the negative certificate of origin is
not reportable, because the transaction to which it relates is not in
U.S. commerce.
(vii) Same as (vi), except that A obtains components from the United
States for the purpose of filling the order from Y. Y's instruction to A
regarding the negative certificate of origin is reportable, because the
transaction to which it relates is in U.S. commerce.
(viii) A, a U.S. construction company, receives in the mail an
unsolicited invitation to bid on a construction project in boycotting
country Y. The invitation to bid requires those who respond to certify
that they do not have any plants or branch offices in boycotted country
X. A does not respond.
A's receipt of the unsolicited invitation to bid is not reportable,
because the request does not relate to any present or anticipated
business of A with or in Y.
(ix) Same as (viii), except that A receives a boycott questionnaire
from a central boycott office. A does not do business in any of the
boycotting countries involved, and does not anticipate doing any
business in those countries. A does not respond.
A's receipt of the boycott questionnaire is not reportable, because
it does not relate to any present or anticipated business by A with or
in a boycotting country.
(x) A, a U.S. manufacturer, is seeking markets in which to expand
its exports. A sends a representative to boycotting country Y to explore
Y's potential as a market for A's products. A's representative discusses
its products but does not enter into any contracts on that trip. A does,
however, hope that sales will materialize in the future. Subsequently, A
receives a boycott questionnaire from Y.
A's receipt of the boycott questionnaire is reportable, because the
request relates to A's anticipated business with or in a boycotting
country. For purposes of determining whether a report is required, it
makes no difference whether A responds to the questionnaire, and it
makes no difference that actual sales contracts are not in existence or
do not materialize.
(xi) Same as (x), except that A's representative enters into a
contract to sell A's products to a buyer in boycotting country Y.
Subsequently, A receives a boycott questionnaire from Y.
A's receipt of the boycott questionnaire is reportable, because it
relates to A's present business with or in a boycotting country. For
purposes of determining whether a report is required, it makes no
difference whether A responds to the questionnaire.
(xii) A, a U.S. freight forwarder, purchases an exporter's guidebook
which includes the import requirements of boycotting country Y. The
guidebook contains descriptions of actions which U.S. exporters must
take in order to make delivery of goods to Y.
A's acquisition of the guidebook is not reportable, because he has
not received a request from anyone.
(xiii) A, a U.S. freight forwarder, is arranging for the shipment of
goods to boycotting country Y at the request of B, a U.S. exporter. B
asks A to assume responsibility to assure that the documentation
accompanying the shipment is in compliance with Y's import requirements.
A examines an exporters' guidebook, determines that Y's import
regulations require a certification that the insurer of the goods is not
blacklisted and asks U.S. insurer C for such a certification.
B's request to A is reportable by A, because it constitutes a
request to comply with Y's
[[Page 238]]
boycott as of the time A takes action to comply with Y's boycott
requirements in response to the request. A's request to C is reportable
by C.
(xiv) A, a U.S. freight forwarder, is arranging for the shipment of
U.S. goods to boycotting country Y. The manufacturer supplies A with all
the necessary documentation to accompany the shipment. Among the
documents supplied by the manufacturer is his certificate that he
himself is not blacklisted. A transmits the documentation supplied by
the manufacturer.
A's action in merely transmitting documents received from the
manufacturer is not reportable, because A has received no request to
comply with Y's boycott.
(xv) Same as (xiv), except that A is asked by U.S. exporter B to
assume the responsibility to assure that the necessary documentation
accompanies the shipment whatever that documentation might be. B
forwards to A a letter of credit which requires that a negative
certificate of origin accompany the bill of lading. A supplies a
positive certificate of origin.
Both A and B must report receipt of the letter of credit, because it
contains a request to both of them to comply with Y's boycott.
(xvi) Same as (xiv), except that the manufacturer fails to supply a
required negative certificate of origin, and A is subsequently asked by
a consular official of Y to see to it that the certificate is supplied.
A supplies a positive certificate of origin.
The consular official's request to A is reportable by A, because A
was asked to comply with Y's boycott requirements by supplying the
negative certificate of origin.
(xvii) A, a U.S. manufacturer, is shipping goods to boycotting
country Y. Arrangements have been made for freight forwarder B to handle
the shipment and secure all necessary shipping certifications. B notes
that the letter of credit requires that the manufacturer supply a
negative certificate of origin and B asks A to do so. A supplies a
positive certificate of origin.
B's request to A is reportable by A, because A is asked to comply
with Y's boycott requirements by providing the negative certificate.
(xviii) A, a controlled foreign subsidiary of U.S. company B, is a
resident of boycotting country Y. A is engaged in oil exploration and
drilling operations in Y. In placing orders for drilling equipment to be
shipped from the United States, A, in compliance with Y's laws, selects
only those suppliers who are not blacklisted.
A's action in choosing non-blacklisted suppliers is not reportable,
because A has not received a request to comply with Y's boycott in
making these selections.
(xix) A, a controlled foreign subsidiary of U.S. company B, is
seeking permission to do business in boycotting country Y. Before being
granted such permission, A is asked to sign an agreement to comply with
Y's boycott laws.
The request to A is reportable, because it is a request that
expressly requires compliance with Y's boycott law and is received in
connection with A's anticipated business in Y.
(xx) A, a U.S. bank, is asked by a firm in boycotting country Y to
confirm a letter of credit in favor of B, a U.S. company. The letter of
credit calls for a certificate from B that the goods to be supplied are
not produced by a firm blacklisted by Y. A informs B of the letter of
credit, including its certification condition, and sends B a copy.
B must report the certification request contained in the letter of
credit, and A must report the request to confirm the letter of credit
containing the boycott condition, because both are being asked to comply
with Y's boycott.
(xxi) Same as (xx), except that the letter of credit calls for a
certificate from the beneficiary that the goods will not be shipped on a
vessel that will call at a port in boycotted country X before making
delivery in Y.
The request is not reportable, because it is a request of a type
deemed by this section to be in common use for non-boycott purposes.
(xxii) A, a U.S. company, receives a letter of credit from
boycotting country Y stating that on no condition may a bank blacklisted
by Y be permitted to negotiate the credit.
A's receipt of the letter of credit is reportable, because it
contains a request to A to comply with Y's boycott requirements.
(xxiii) A, a U.S. bank, receives a demand draft from B, a U.S.
company, in connection with B's shipment of goods to boycotting country
Y. The draft contains a directive that it is valid in all countries
except boycotted country X.
A's receipt of the demand draft is reportable, because it contains a
request to A to comply with Y's boycott requirements.
(xxiv) A, a U.S. exporter, receives an order from boycotting country
Y. On the order is a legend that A's goods, invoices, and packaging must
not bear a six-pointed star or other symbol of boycotted country X.
A's receipt of the order is reportable, because it contains a
request to comply with Y's boycott requirements.
(xxv) Same as (xxiv), except the order contains a statement that
goods exported must not represent part of war reparations to boycotted
country X.
A's receipt of the order is reportable, because it contains a
request to A to comply with Y's boycott requirements.
(xxvi) A, a U.S. contractor, is negotiating with boycotting country
Y to build a school in Y. During the course of the negotiations,
[[Page 239]]
Y suggests that one of the terms of the construction contract be that A
agree not to import materials produced in boycotted country X. It is A's
company policy not to agree to such a contractual clause, and A suggests
that instead it agree that all of the necessary materials will be
obtained from U.S. suppliers. Y agrees to A's suggestion and a contract
is executed.
A has received a reportable request, but, for purposes of reporting,
the request is deemed to be received when the contract is executed.
(xxvii) Same as (xxvi), except Y does not accept A's suggested
alternative clause and negotiations break off.
A's receipt of Y's request is reportable. For purposes of reporting,
it makes no difference that A was not successful in the negotiations.
The request is deemed to be received at the time the negotiations break
off.
(xxviii) A, a U.S. insurance company, is insuring the shipment of
drilling equipment to boycotting country Y. The transaction is being
financed by a letter of credit which requires that A certify that it is
not blacklisted by Y. Freight forwarder B asks A to supply the
certification in order to satisfy the requirements of the letter of
credit.
The request to A is reportable by A, because it is a request to
comply with Y's boycott requirements.
(xxix) A, a U.S. manufacturer, is engaged from time-to-time in
supplying drilling rigs to company B in boycotting country Y. B insists
that its suppliers sign contracts which provide that, even after title
passes from the supplier to B, the supplier will bear the risk of loss
and indemnify B if goods which the supplier has furnished are denied
entry into Y for whatever reason. A knows or has reason to know that
this contractual provision is required by B because of Y's boycott, and
that B has been using the provision since 1977. A receives an order from
B which contains such a clause.
B's request is not reportable by A, because the request is deemed to
be not reportable by these regulations if the provision was in use by B
prior to January 18, 1978.
(xxx) Same as (xxix), except that A does not know when B began using
the provision.
Unless A receives information from B that B introduced the term
prior to January 18, 1978, A must report receipt of the request.
(xxxi) A, a U.S. citizen, is a shipping clerk for B, a U.S.
manufacturing company. In the course of his employment, A receives an
order for goods from boycotting country Y. The order specifies that none
of the components of the goods is to be furnished by blacklisted firms.
B must report the request received by its employee, A, acting in the
scope of his employment. Although A is a U.S. person, such an individual
does not have a separate obligation to report requests received by him
in his capacity as an employee of B.
(xxxii) U.S. exporter A is negotiating a transaction with boycotting
country Y. A knows that at the conclusion of the negotiations he will be
asked by Y to supply certain boycott-related information and that such a
request is reportable. In an effort to forestall the request and thereby
avoid having to file a report, A supplies the information in advance.
A is deemed to have received a reportable request.
(xxxiii) A, a controlled foreign affiliate of U.S. company B,
receives an order for computers from boycotting country Y and obtains
components from the United States for the purpose of filling the order.
Y instructs A that a negative certificate of origin must accompany the
shipment.
Y's instruction to A regarding the negative certificate of origin is
reportable by A. Moreover, A may designate B or any other person to
report on its behalf. However, A remains liable for any failure to
report or for any representations made on its behalf.
(xxxiv) U.S. exporter A, in shipping goods to boycotting country Y,
receives a request from the customer in Y to state on the bill of lading
that the vessel is allowed to enter Y's ports. The request further
states that a certificate from the owner or master of the vessel to that
effect is acceptable.
The request A received from his customer in Y is not reportable
because it is a request of a type deemed to be not reportable by these
regulations. (A may not make such a statement on the bill of lading
himself, if he knows or has reason to know it is requested for a boycott
purpose.)
(xxxv) U.S. exporter A, in shipping goods to boycotting country Y,
receives a request from the customer in Y to furnish a certificate from
the owner of the vessel that the vessel is permitted to call at Y's
ports.
The request A received from his customer in Y is not reportable
because it is a request of a type deemed to be not reportable by these
regulations.
(xxxvi) U.S. exporter A, in shipping goods to boycotting country Y,
receives a request from the customer in Y to furnish a certificate from
the insurance company indicating that the company has a duly authorized
representative in country Y and giving the name of that representative.
The request A received from his customer in Y is not reportable if
it was received after the effective date of these rules, because it is a
request of a type deemed to be not reportable by these regulations.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34948, June 1, 2000; 81
FR 70934, Oct. 14, 2016]
[[Page 240]]
Sec. Supplement No. 1 to Part 760--Interpretations
It has come to the Department's attention that some U.S. persons are
being or may be asked to comply with new boycotting country requirements
with respect to shipping and insurance certifications and certificates
of origin. It has also come to the Department's attention that some U.S.
persons are being or may be asked to agree to new contractual provisions
in connection with certain foreign government or foreign government
agency contracts. In order to maximize its guidance with respect to
section 8 of the Export Administration Act of 1979, as amended (50
U.S.C. app. 2407) and part 760 of the EAR, the Department hereby sets
forth its views on these certifications and contractual clauses. \1\
---------------------------------------------------------------------------
\1\ The Department originally issued this interpretation pursuant to
the Export Administration Amendments Act of 1979 (Public Law 95-52) and
the regulations on restrictive trade practices and boycotts (15 CFR part
369) published on January 25, 1978 (43 FR 3508) and contained in the 15
CFR edition revised as of January 1, 1979.
---------------------------------------------------------------------------
I. Certifications
Sec. 760.2(d) of this part prohibits a U.S. person from furnishing
or knowingly agreeing to furnish:
``Information concerning his or any other person's past, present or
proposed business relationships:
(i) With or in a boycotted country;
(ii) With any business concern organized under the laws of a
boycotted country;
(iii) With any national or resident of a boycotted country; or
(iv) With any other person who is known or believed to be restricted
from having any business relationship with or in a boycotting country.''
This prohibition, like all others under part 760, applies only with
respect to a U.S. person's activities in the interstate or foreign
commerce of the United States and only when such activities are
undertaken with intent to comply with, further, or support an
unsanctioned foreign boycott. (Sec. 760.2(d)(5) of this part.)
This prohibition does not apply to the furnishing of normal business
information in a commercial context. (Sec. 760.2(d)(3) of this part).
Normal business information furnished in a commercial context does not
cease to be such simply because the party soliciting the information may
be a boycotting country or a national or resident thereof. If the
information is of a type which is generally sought for a legitimate
business purpose (such as determining financial fitness, technical
competence, or professional experience), the information may be
furnished even if the information could be used, or without the
knowledge of the person supplying the information is intended to be
used, for boycott purposes. (Sec. 760.2(d)(4) of this part).
The new certification requirements and the Department's
interpretation of the applicability of part 760 thereto are as follows:
A. Certificate of origin. A certificate of origin is to be issued by
the supplier or exporting company and authenticated by the exporting
country, attesting that the goods exported to the boycotting country are
of purely indigenous origin, and stating the name of the factory or the
manufacturing company. To the extent that the goods as described on the
certificate of origin are not solely and exclusively products of their
country of origin indicated thereon, a declaration must be appended to
the certificate of origin giving the name of the supplier/manufacturer
and declaring:
``The undersigned, ______, does hereby declare on behalf of the
above-named supplier/manufacturer, that certain parts or components of
the goods described in the attached certificate of origin are the
products of such country or countries, other than the country named
therein as specifically indicated hereunder:
Country of Origin and Percentage of Value of Parts or Components
Relative to Total Shipment
1.______________________________________________________________________
2.______________________________________________________________________
3.______________________________________________________________________
Dated:__________________________________________________________________
Signature_______________________________________________________________
Sworn to before me, this ____ day of ______, 20__. Notary Seal.''
Interpretation
It is the Department's position that furnishing a positive
certificate of origin, such as the one set out above, falls within the
exception contained in Sec. 760.3(c) of this part for compliance with
the import and shipping document requirements of a boycotting country.
See Sec. 760.3(c) of this part and examples (i) and (ii) thereunder.
B. Shipping certificate. A certificate must be appended to the bill
of lading stating: (1) Name of vessel; (2) Nationality of vessel; and
(3) Owner of vessel, and declaring:
``The undersigned does hereby declare on behalf of the owner,
master, or agent of the above-named vessel that said vessel is not
registered in the boycotted country or owned by nationals or residents
of the boycotted country and will not call at or pass through any
boycotted country port enroute to its boycotting country destination.
``The undersigned further declares that said vessel is otherwise
eligible to enter into the ports of the boycotting country in conformity
with its laws and regulations.
[[Page 241]]
Sworn to before me, this ____ day of _____, 20__. Notary Seal.''
Interpretation
It is the Department's position that furnishing a certificate, such
as the one set out above, stating: (1) The name of the vessel, (2) The
nationality of the vessel, and (3) The owner of the vessel and further
declaring that the vessel: (a) Is not registered in a boycotted country,
(b) Is not owned by nationals or residents of a boycotted country, and
(c) Will not call at or pass through a boycotted country port enroute to
its destination in a boycotting country falls within the exception
contained in Sec. 760.3(c) for compliance with the import and shipping
document requirements of a boycotting country. See Sec. 760.3(c) and
examples (vii), (viii), and (ix) thereunder.
It is also the Department's position that the owner, charterer, or
master of a vessel may certify that the vessel is ``eligible'' or
``otherwise eligible'' to enter into the ports of a boycotting country
in conformity with its laws and regulations. Furnishing such a statement
pertaining to one's own eligibility offends no prohibition under this
part 760. See Sec. 760.2(f), example (xiv).
On the other hand, where a boycott is in force, a declaration that a
vessel is ``eligible'' or ``otherwise eligible'' to enter the ports of
the boycotting country necessarily conveys the information that the
vessel is not blacklisted or otherwise restricted from having a business
relationship with the boycotting country. See Sec. 760.3(c) examples
(vi), (xi), and (xii). Where a person other than the vessel's owner,
charterer, or master furnishes such a statement, that is tantamount to
his furnishing a statement that he is not doing business with a
blacklisted person or is doing business only with non-blacklisted
persons. Therefore, it is the Department's position that furnishing such
a certification (which does not reflect customary international
commercial practice) by anyone other than the owner, charterer, or
master of a vessel would fall within the prohibition set forth in Sec.
760.2(d) unless it is clear from all the facts and circumstances that
the certification is not required for a boycott reason. See Sec.
760.2(d)(3) and (4). See also part A., ``Permissible Furnishing of
Information,'' of Supplement No. 5 to this part.
C. Insurance certificate. A certificate must be appended to the
insurance policy stating: (1) Name of insurance company; (2) Address of
its principal office; and (3) Country of its incorporation, and
declaring:
``The undersigned, ________, does hereby certify on behalf of the
above-named insurance company that the said company has a duly qualified
and appointed agent or representative in the boycotting country whose
name and address appear below:
Name of agent/representative and address in the boycotting country.
Sworn to before me this ____ day of ______, 20__. Notary Seal.''
Interpretation
It is the Department's position that furnishing the name of the
insurance company falls within the exception contained in Sec. 760.3(c)
for compliance with the import and shipping document requirements of a
boycotting country. See Sec. 760.3(c)(1)(v) and examples (v) and (x)
thereunder. In addition, it is the Department's position that furnishing
a certificate, such as the one set out above, stating the address of the
insurance company's principal office and its country of incorporation
offends no prohibition under this part 760 unless the U.S. person
furnishing the certificate knows or has reason to know that the
information is sought for the purpose of determining that the insurance
company is neither headquartered nor incorporated in a boycotted
country. See Sec. 760.2(d)(1)(i).
It is also the Department's position that the insurer, himself, may
certify that he has a duly qualified and appointed agent or
representative in the boycotting country and may furnish the name and
address of his agent or representative. Furnishing such a statement
pertaining to one's own status offends no prohibition under this part
760. See Sec. 760.2(f), example (xiv).
On the other hand, where a boycott is in force, a declaration that
an insurer ``has a duly qualified and appointed agent or
representative'' in the boycotting country necessarily conveys the
information that the insurer is not blacklisted or otherwise restricted
from having a business relationship with the boycotting country. See
Sec. 760.3(c), example (v). Therefore, it is the Department's position
that furnishing such a certification by anyone other than the insurer
would fall within the prohibition set forth in Sec. 760.2(d) unless it
is clear from all the facts and circumstances that the certification is
not required for a boycott reason. See Sec. 760.2(d)(3) and (4).
II. Contractual Clauses
The new contractual requirements and the Department's interpretation
of the applicability of part 760 thereto are as follows:
A. Contractual clause regarding import laws of boycotting country.
``In connection with the performance of this contract the Contractor/
Supplier acknowledges that the import and customs laws and regulations
of the boycotting country shall apply to the furnishing and shipment of
any products or components thereof to the boycotting country. The
Contractor/Supplier specifically acknowledges that the aforementioned
import and customs
[[Page 242]]
laws and regulations of the boycotting country prohibit, among other
things, the importation into the boycotting country of products or
components thereof: (1) Originating in the boycotted country; (2)
Manufactured, produced, or furnished by companies organized under the
laws of the boycotted country; and (3) Manufactured, produced, or
furnished by nationals or residents of the boycotted country.''
Interpretation
It is the Department's position that an agreement, such as the one
set out in the first sentence above, that the import and customs
requirements of a boycotting country shall apply to the performance of a
contract does not, in and of itself, offend any prohibition under this
part 760. See Sec. 760.2(a)(5) and example (iii) under ``Examples of
Agreements To Refuse To Do Business.'' It is also the Department's
position that an agreement to comply generally with the import and
customs requirements of a boycotting country does not, in and of itself,
offend any prohibition under this part 760. See Sec. 760.2(a)(5) and
examples (iv) and (v) under ``Examples of Agreements To Refuse To Do
Business.'' In addition, it is the Department's position that an
agreement, such as the one set out in the second sentence above, to
comply with the boycotting country's import and customs requirements
prohibiting the importation of products or components: (1) Originating
in the boycotted country; (2) Manufactured, produced, or furnished by
companies organized under the laws of the boycotted country; or (3)
Manufactured, produced, or furnished by nationals or residents of the
boycotted country falls within the exception contained in Sec. 760.3(a)
for compliance with the import requirements of a boycotting country. See
Sec. 760.3(a) and example (ii) thereunder.
The Department notes that a United States person may not furnish a
negative certification regarding the origin of goods or their components
even though the certification is furnished in response to the import and
shipping document requirements of the boycotting country. See Sec.
760.3(c) and examples (i) and (ii) thereunder, and Sec. 760.3(a) and
example (ii) thereunder.
B. Contractual clause regarding unilateral and specific selection.
``The Government of the boycotting country (or the First Party), in its
exclusive power, reserves its right to make the final unilateral and
specific selection of any proposed carriers, insurers, suppliers of
services to be performed within the boycotting country, or of specific
goods to be furnished in accordance with the terms and conditions of
this contract.''
Interpretation
It is the Department's position that an agreement, such as the one
set out above, falls within the exception contained in Sec. 760.3(d) of
this part for compliance with unilateral selections. However, the
Department notes that whether a U.S. person may subsequently comply or
agree to comply with any particular selection depends upon whether that
selection meets all the requirements contained in Sec. 760.3(d) of this
part for compliance with unilateral selections. For example, the
particular selection must be unilateral and specific, particular goods
must be specifically identifiable as to their source or origin at the
time of their entry into the boycotting country, and all other
requirements contained in Sec. 760.3(d) of this part must be observed.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34948, June 1, 2000; 78
FR 13470, Feb. 28, 2013]
Sec. Supplement No. 2 to Part 760--Interpretation
The Department hereby sets forth its views on whether the furnishing
of certain shipping and insurance certificates in compliance with
boycotting country requirements violates the provisions of section 8 of
the Export Administration Act of 1979, as amended (50 U.S.C. app. 2407)
and part 760 of the EAR, \1\ as follows:
---------------------------------------------------------------------------
\1\ The Department originally issued this interpretation on April
21, 1978 (43 FR 16969) pursuant to the Export Administration Amendments
Act of 1977 (Public Law 95-52) and the regulations on restrictive trade
practices and boycotts (15 CFR part 369) published on January 25, 1978
(43 FR 3508) and contained in the 15 CFR edition revised as of January
1, 1979.
---------------------------------------------------------------------------
(i) ``The owner, charterer or master of a vessel may certify that
the vessel is `eligible' or `otherwise eligible' to enter into the ports
of a boycotting country in conformity with its laws and regulations;''
(ii) ``The insurer, himself, may certify that he has a duly
qualified and appointed agent or representative in the boycotting
country and may furnish the name and address of his agent or
representative.''
Furnishing such certifications by anyone other than:
(i) The owner, charterer or master of a vessel, or
(ii) The insurer would fall within the prohibition set forth in
Sec. 760.2(d) of this part, ``unless it is clear from all the facts and
circumstances that these certifications are not required for a boycott
reason.'' See Sec. 760.2(d) (3) and (4) of this part.
The Department has received from the Kingdom of Saudi Arabia a
clarification that
[[Page 243]]
the shipping and insurance certifications are required by Saudi Arabia
in order to:
(i) Demonstrate that there are no applicable restrictions under
Saudi laws or regulations pertaining to maritime matters such as the age
of the ship, the condition of the ship, and similar matters that would
bar entry of the vessel into Saudi ports; and
(ii) Facilitate dealings with insurers by Saudi Arabian importers
whose ability to secure expeditious payments in the event of damage to
insured goods may be adversely affected by the absence of a qualified
agent or representative of the insurer in Saudi Arabia. In the
Department's judgment, this clarification constitutes sufficient facts
and circumstances to demonstrate that the certifications are not
required by Saudi Arabia for boycott reasons.
On the basis of this clarification, it is the Department's position
that any United States person may furnish such shipping and insurance
certificates required by Saudi Arabia without violating Sec. 760.2(d)
of this part. Moreover, under these circumstances, receipts of requests
for such shipping and insurance certificates from Saudi Arabia are not
reportable.
It is still the Department's position that furnishing such a
certificate pertaining to one's own eligibility offends no prohibition
under part 760. See Sec. 760.2(f) of this part, example (xiv). However,
absent facts and circumstances clearly indicating that the
certifications are required for ordinary commercial reasons as
demonstrated by the Saudi clarification, furnishing certifications about
the eligibility or blacklist status of any other person would fall
within the prohibition set forth in Sec. 760.2(d) of this part, and
receipts of requests for such certifications are reportable.
It also remains the Department's position that where a United States
person asks an insurer or carrier of the exporter's goods to self-
certify, such request offends no prohibition under this part. However,
where a United States person asks anyone other than an insurer or
carrier of the exporter's goods to self-certify, such requests will be
considered by the Department as evidence of the requesting person's
refusal to do business with those persons who cannot or will not furnish
such a self-certification. For example, if an exporter-beneficiary of a
letter of credit asks his component suppliers to self-certify, such a
request will be considered as evidence of his refusal to do business
with those component suppliers who cannot or will not furnish such a
self-certification.
The Department wishes to emphasize that notwithstanding the fact
that self-certifications are permissible, it will closely scrutinize the
activities of all United States persons who provide such self-
certifications, including insurers and carriers, to determine that such
persons have not taken any prohibited actions or entered into any
prohibited agreements in order to be able to furnish such
certifications.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34949, June 1, 2000]
Sec. Supplement No. 3 to Part 760--Interpretation
Pursuant to Article 2, Annex II of the Peace Treaty between Egypt
and Israel, Egypt's participation in the Arab economic boycott of Israel
was formally terminated on January 25, 1980. On the basis of this
action, it is the Department's position that certain requests for
information, action or agreement which were considered boycott-related
by implication now cannot be presumed boycott-related and thus would not
be prohibited or reportable under the Regulations. For example, a
request that an exporter certify that the vessel on which it is shipping
its goods is eligible to enter Arab Republic of Egypt ports has been
considered a boycott-related request that the exporter could not comply
with because Egypt has a boycott in force against Israel (see 43 FR
16969, April 21, 1978 or the 15 CFR edition revised as of January 1,
1979). Such a request after January 25, 1980 would not be presumed
boycott-related because the underlying boycott requirement/basis for the
certification has been eliminated. Similarly, a U.S. company would not
be prohibited from complying with a request received from Egyptian
government officials to furnish the place of birth of employees the
company is seeking to take to Egypt, because there is no underlying
boycott law or policy that would give rise to a presumption that the
request was boycott-related.
U.S. persons are reminded that requests that are on their face
boycott-related or that are for action obviously in furtherance or
support of an unsanctioned foreign boycott are subject to the
Regulations, irrespective of the country or origin. For example,
requests containing references to ``blacklisted companies'', ``Israel
boycott list'', ``non-Israeli goods'' or other phrases or words
indicating boycott purpose would be subject to the appropriate
provisions of the Department's antiboycott regulations.
Sec. Supplement No. 4 to Part 760--Interpretation
The question has arisen how the definition of U.S. commerce in the
antiboycott regulations (15 CFR part 760) applies to a shipment of
foreign-made goods when U.S.-origin spare parts are included in the
shipment. Specifically, if the shipment of foreign goods falls outside
the definition of U.S. commerce, will the inclusion of U.S.-origin spare
parts bring the entire transaction into U.S. commerce?
[[Page 244]]
Section 760.1(d)(12) provides the general guidelines for determining
when U.S.-origin goods shipped from a controlled in fact foreign
subsidiary are outside U.S. commerce. The two key tests of that
provision are that the goods were ``(i) * * * acquired without reference
to a specific order from or transaction with a person outside the United
States; and (ii) * * * further manufactured, incorporated into, refined
into, or reprocessed into another product.'' Because the application of
these two tests to spare parts does not conclusively answer the U.S.
commerce question, the Department is presenting this clarification.
In the cases brought to the Department's attention, an order for
foreign-origin goods was placed with a controlled in fact foreign
subsidiary of a United States company. The foreign goods contained
components manufactured in the United States and in other countries, and
the order included a request for extras of the U.S. manufactured
components (spare parts) to allow the customer to repair the item. Both
the foreign manufactured product and the U.S. spare parts were to be
shipped from the general inventory of the foreign subsidiary. Since the
spare parts, if shipped by themselves, would be in U.S. commerce as that
term is defined in the Regulations, the question was whether including
them with the foreign manufactured item would bring the entire shipment
into U.S. commerce. The Department has decided that it will not and
presents the following specific guidance.
As used above, the term ``spare parts'' refers to parts of the
quantities and types normally and customarily ordered with a product and
kept on hand in the event they are needed to assure prompt repair of the
product. Parts, components or accessories that improve or change the
basic operations or design characteristics, for example, as to accuracy,
capability or productivity, are not spare parts under this definition.
Inclusion of U.S.-origin spare parts in a shipment of products which
is otherwise outside U.S. commerce will not bring the transaction into
U.S. commerce if the following conditions are met:
(I) The parts included in the shipment are acquired from the United
States by the controlled in fact foreign subsidiary without reference to
a specific order from or transaction with a person outside the United
States;
(II) The parts are identical to the corresponding United States-
origin parts which have been manufactured, incorporated into or
reprocessed into the completed product;
(III) The parts are of the quantity and type normally and
customarily ordered with the completed product and kept on hand by the
firm or industry of which the firm is a part to assure prompt repair of
the product; and
(IV) The parts are covered by the same order as the completed
product and are shipped with or at the same time as the original
product.
The Department emphasizes that unless each of the above conditions
is met, the inclusion of United States-origin spare parts in an order
for a foreign-manufactured or assembled product will bring the entire
transaction into the interstate or foreign commerce of the United States
for purposes of part 760.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34949, June 1, 2000]
Sec. Supplement No. 5 to Part 760--Interpretation
A. Permissible Furnishing of Information
The information outlined below may be furnished in response to
boycott-related requests from boycotting countries or others. This
information is, in the view of the Department, not prohibited by the
Regulations. Thus, a person does not have to qualify under any of the
exceptions to be able to make the following statements. Such statements
can be made, however, only by the person indicated and under the
circumstances described. These statements should not be used as a point
of departure or analogy for determining the permissibility of other
types of statements. The Department's view that these statements are not
contrary to the prohibitions contained in antiboycott provisions of the
Regulations is limited to the specific statement in the specific context
indicated.
1. A U.S. person may always provide its own name, address, place of
incorporation (``nationality''), and nature of business.
2. A U.S. person may state that it is not on a blacklist, or
restricted from doing business in a boycotting country. A company may
not make that statement about its subsidiaries or affiliates--only about
itself. A U.S. person may not say that there is no reason for it to be
blacklisted. To make that statement would provide directly or by
implication information that may not be provided. A U.S. person may
inquire about the reasons it is blacklisted if it learns that it is on a
blacklist (see Sec. 760.2(d) of this part example (xv)).
3. A U.S. person may describe in detail its past dealings with
boycotting countries; may state in which boycotting countries its
trademarks are registered; and may specify in which boycotting countries
it is registered or qualified to do business. In general, a U.S. person
is free to furnish any information it wishes about the nature and extent
of its commercial dealings with boycotting countries.
4. A U.S. person may state that many U.S. firms or individuals have
similar names and that it believes that it may be confused with a
similarly named entity. A U.S. person may
[[Page 245]]
not state that it does or does not have an affiliation or relationship
with such similarly named entity.
5. A U.S. person may state that the information requested is a
matter of public record in the United States. However, the person may
not direct the inquirer to the location of that information, nor may the
U.S. person provide or cause to be provided such information.
B. Availability of the Compliance With Local Law Exception To Establish
a Foreign Branch
Section 760.3(g), the Compliance With Local Law exception, permits
U.S. persons, who are bona fide residents of a boycotting country, to
take certain limited, but otherwise prohibited, actions, if they are
required to do so in order to comply with local law.
Among these actions is the furnishing of non-discriminatory
information. Examples (iv) through (vi) under ``Examples of Bona Fide
Residency'' indicate that a company seeking to become a bona fide
resident within a boycotting country may take advantage of the exception
for the limited purpose of furnishing information required by local law
to obtain resident status. Exactly when and how this exception is
available has been the subject of a number of inquiries. It is the
Department's view that the following conditions must be met for a non-
resident company to be permitted to furnish otherwise prohibited
information for the limited purpose of seeking to become a bona fide
resident:
1. The company must have a legitimate business reason for seeking to
establish a branch or other resident operation in the boycotting
country. (Removal from the blacklist does not constitute such a reason.)
2. The local operation it seeks to establish must be similar or
comparable in nature and operation to ones the company operates in other
parts of the world, unless local law or custom dictates a significantly
different form.
3. The person who visits the boycotting country to furnish the
information must be the official whose responsibility ordinarily
includes the creation and registration of foreign operations (i.e., the
chairman of the board cannot be flown in to answer boycott questions
unless the chairman of the board is the corporate official who
ordinarily goes into a country to handle foreign registrations).
4. The information provided must be that which is ordinarily known
to the person establishing the foreign branch. Obviously, at the time of
establishment, the foreign branch will have no information of its own
knowledge. Rather, the information should be that which the responsible
person has of his own knowledge, or that he would have with him as
incidental and necessary to the registration and establishment process.
As a general rule, such information would not include such things as
copies of agreements with boycotted country concerns or detailed
information about the person's dealings with blacklisted concerns.
5. It is not necessary that documents prepared in compliance with
this exception be drafted or executed within the boycotting country. The
restrictions on the type of information which may be provided and on who
may provide it apply regardless of where the papers are prepared or
signed.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34949, June 1, 2000]
Sec. Supplement No. 6 to Part 760--Interpretation
The antiboycott regulations prohibit knowing agreements to comply
with certain prohibited requests and requirements of boycotting
countries, regardless of how these terms are stated. Similarly, the
reporting rules require that a boycott related ``solicitation,
directive, legend or instruction that asks for information or that asks
that a United States person take or refrain from taking a particular
action'' be reported. Questions have frequently arisen about how
particular requirements in the form of directive or instructions are
viewed under the antiboycott regulations, and we believe that it will
add clarity to the regulations to provide a written interpretation of
how three of these terms are treated under the law. The terms in
question appear frequently in letters of credit, but may also be found
on purchase orders or other shipping or sale documents. They have been
brought to the attention of the Department by numerous persons. The
terms are, or are similar to, the following: (1) Goods of boycotted
country origin are prohibited; (2) No six-pointed stars may be used on
the goods, packing or cases; (3) Neither goods nor packing shall bear
any symbols prohibited in the boycotting country.
(a) Goods of boycotted country origin prohibited. This term is very
common in letters of credit from Kuwait and may also appear from time-
to-time in invitations to bid, contracts, or other trade documents. It
imposes a condition or requirement compliance with which is prohibited,
but permitted by an exception under the Regulations (see Sec. 760.2(a)
and Sec. 760.3(a)). It is reportable by those parties to the letter of
credit or other transaction that are required to take or refrain from
taking some boycott related action by the request. Thus the bank must
report the request because it is a term or condition of the letter of
credit that it is handling, and the exporter-beneficiary must report the
request because the exporter determines the origin of the goods. The
freight forwarder does not have to report this request because
[[Page 246]]
the forwarder has no role or obligation in selecting the goods. However,
the freight forwarder would have to report a request to furnish a
certificate that the goods do not originate in or contain components
from a boycotted country. See Sec. 760.5, examples (xii)-(xvii).
(b) No six-pointed stars may be used on the goods, packing or cases.
This term appears from time-to-time on documents from a variety of
countries. The Department has taken the position that the six-pointed
star is a religious symbol. See Sec. 760.2(b), example (viii) of this
part. Agreeing to this term is prohibited by the Regulations and not
excepted because it constitutes an agreement to furnish information
about the religion of a U.S. person. See Sec. 760.2(c) of this part. If
a person proceeds with a transaction in which this is a condition at any
stage of the transaction, that person has agreed to the condition in
violation of the Regulations. It is not enough to ignore the condition.
Exception must affirmatively be taken to this term or it must be
stricken from the documents of the transaction. It is reportable by all
parties to the transaction that are restricted by it. For example,
unlike the situation described in (a) above, the freight forwarder would
have to report this request because his role in the transaction would
involve preparation of the packing and cases. The bank and exporter
would both have to report, of course, if it were a term in a letter of
credit. Each party would be obligated affirmatively to seek an amendment
or deletion of the term.
(c) Neither goods nor packaging shall bear any symbols prohibited in
the boycotting country. This term appears from time-to-time in letters
of credit and shipping documents from Saudi Arabia. In our view, it is
neither prohibited, nor reportable because it is not boycott-related.
There is a wide range of symbols that are prohibited in Saudi Arabia for
a variety of reasons, many having to do with that nation's cultural and
religious beliefs. On this basis, we do not interpret the term to be
boycott related. See Sec. 760.2(a)(5) and Sec. 760.5(a)(5)(v) of this
part.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34949, June 1, 2000]
Sec. Supplement No. 7 to Part 760--Interpretation
Prohibited Refusal To Do Business
When a boycotting country rejects for boycott-related reasons a
shipment of goods sold by a United States person, the United States
person selling the goods may return them to its inventory or may re-ship
them to other markets (the United States person may not return them to
the original supplier and demand restitution). The U.S. person may then
make a non-boycott based selection of another supplier and provide the
goods necessary to meet its obligations to the boycotting customer in
that particular transaction without violating Sec. 760.2(a) of this
part. If the United States person receives another order from the same
boycotting country for similar goods, the Department has determined that
a boycott-based refusal by a United States person to ship goods from the
supplier whose goods were previously rejected would constitute a
prohibited refusal to do business under Sec. 760.2(a) of this part. The
Department will presume that filling such an order with alternative
goods is evidence of the person's refusal to deal with the original
supplier.
The Department recognizes the limitations this places on future
transactions with a boycotting country once a shipment of goods has been
rejected. Because of this, the Department wishes to point out that, when
faced with a boycotting country's refusal to permit entry of the
particular goods, a United States person may state its obligation to
abide by the requirements of United States law and indicate its
readiness to comply with the unilateral and specific selection of goods
by the boycotting country in accordance with Sec. 760.3(d). That
section provides, in pertinent part, as follows:
``A United States person may comply or agree to comply in the normal
course of business with the unilateral and specific selection by a
boycotting country * * * of * * * specific goods, * * * provided that *
* * with respect to goods, the items, in the normal course of business,
are identifiable as to their source or origin at the time of their entry
into the boycotting country by (a) uniqueness of design or appearance or
(b) trademark, trade name, or other identification normally on the items
themselves, including their packaging.''
The United States person may also provide certain services in
advance of the unilateral selection by the boycotting country, such as
the compilation of lists of qualified suppliers, so long as such
services are customary to the type of business the United States person
is engaged in, and the services rendered are completely non-exclusionary
in character (i.e., the list of qualified suppliers would have to
include the supplier whose goods had previously been rejected by the
boycotting country, if they were fully qualified). See Sec. 760.2(a)(6)
of this part for a discussion of the requirements for the provision of
these services.
The Department wishes to emphasize that the unilateral selection
exception in Sec. 760.3(d) of this part will be construed narrowly, and
that all its requirements and conditions must be met, including the
following:
--Discretion for the selection must be exercised by a boycotting
country; or by a national or resident of a boycotting country;
[[Page 247]]
--The selection must be stated in the affirmative specifying a
particular supplier of goods;
--While a permissible selection may be boycott based, if the United
States person knows or has reason to know that the purpose of the
selection is to effect discrimination against any United States person
on the basis of race, religion, sex, or national origin, the person may
not comply under any circumstances.
The Department cautions United States persons confronted with the
problem or concern over the boycott-based rejection of goods shipped to
a boycotting country that the adoption of devices such as ``risk of
loss'' clauses, or conditions that make the supplier financially liable
if his or her goods are rejected by the boycotting country for boycott
reasons are presumed by the Department to be evasion of the statute and
regulations, and as such are prohibited by Sec. 760.4 of this part,
unless adopted prior to January 18, 1978. See Sec. 760.4(d) of this
part.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34949, June 1, 2000]
Sec. Supplement No. 8 to Part 760--Interpretation
Definition of Interstate or Foreign Commerce of the United States
When United States persons (as defined by the antiboycott
regulations) located within the United States purchase or sell goods or
services located outside the United States, they have engaged in an
activity within the foreign commerce of the United States. Although the
goods or services may never physically come within the geographic
boundaries of the several states or territories of the United States,
legal ownership or title is transferred from a foreign nation to the
United States person who is located in the United States. In the case of
a purchase, subsequent resale would also be within United States
commerce.
It is the Department's view that the terms ``sale'' and ``purchase''
as used in the regulations are not limited to those circumstances where
the goods or services are physically transferred to the person who
acquires title. The EAR define the activities that serve as the
transactional basis for U.S. commerce as those involving the ``sale,
purchase, or transfer'' of goods or services. In the Department's view,
as used in the antiboycott regulations, ``transfer'' contemplates
physical movement of the goods or services between the several states or
territories and a foreign country, while ``sale'' and ``purchase''
relate to the movement of ownership or title.
This interpretation applies only to those circumstances in which the
person located within the United States buys or sells goods or services
for its own account. Where the United States person is engaged in the
brokerage of foreign goods, i.e., bringing foreign buyers and sellers
together and assisting in the transfer of the goods, the sale or
purchase itself would not ordinarily be considered to be within U.S.
commerce. The brokerage service, however, would be a service provided
from the United States to the parties and thus an activity within U.S.
commerce and subject to the antiboycott laws. See Sec. 760.1(d)(3).
The Department cautions that United States persons who alter their
normal pattern of dealing to eliminate the passage of ownership of the
goods or services to or from the several states or territories of the
United States in order to avoid the application of the antiboycott
regulations would be in violation of Sec. 760.4 of this part.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 9 to Part 760--Interpretation
Activities Exclusively Within a Boycotting Country--Furnishing
Information
Sec. 760.3(h) of this part provides that a United States person who
is a bona fide resident of a boycotting country may comply with the laws
of that country with respect to his or her activities exclusively within
the boycotting country. Among the types of conduct permitted by this
exception is ``furnishing information within the host country'' Sec.
760.3(h)(1)(v) of this part. For purposes of the discussion which
follows, the Department is assuming that the person in question is a
bona fide resident of the boycotting country as defined in Sec.
760.3(g), and that the information to be provided is required by the
laws or regulations of the boycotting country, as also defined in Sec.
760.3(g) of this part. The only issue this interpretation addresses is
under what circumstances the provision of information is ``an activity
exclusively within the boycotting country.''
The activity of ``furnishing information'' consists of two parts,
the acquisition of the information and its subsequent transmittal. Under
the terms of this exception, the information may not be acquired outside
the country for the purpose of responding to the requirement for
information imposed by the boycotting country. Thus, if an American
company which is a bona fide resident of a boycotting country is
required to provide information about its dealings with other U.S.
firms, the company may not ask its parent corporation in the United
States for that information, or make any other inquiry outside the
boundaries of the boycotting country. The information must be provided
to the boycotting country authorities based on information or knowledge
available to the company and its personnel located within
[[Page 248]]
the boycotting country at the time the inquiry is received. See Sec.
760.3, (h) of this part, examples (iii), (iv), and (v). Much of the
information in the company's possession (transaction and corporate
records) may have actually originated outside the boycotting country,
and much of the information known to the employees may have been
acquired outside the boycotting country. This will not cause the
information to fall outside the coverage of this exception, if the
information was sent to the boycotting country or acquired by the
individuals in normal commercial context prior to and unrelated to a
boycott inquiry or purpose. It should be noted that if prohibited
information (about business relations with a boycotted country, for
example) has been forwarded to the affiliate in the boycotting country
in anticipation of a possible boycott inquiry from the boycotting
country government, the Department will not regard this as information
within the knowledge of the bona fide resident under the terms of the
exception. However, if the bona fide resident possesses the information
prior to receipt of a boycott-related inquiry and obtained it in a
normal commercial context, the information can be provided pursuant to
this exception notwithstanding the fact that, at some point, the
information came into the boycotting country from the outside.
The second part of the analysis of ``furnishing information'' deals
with the limitation on the transmittal of the information. It can only
be provided within the boundaries of the boycotting country. The bona
fide resident may only provide the information to the party that the
boycotting country law requires (directly or through an agent or
representative within the country) so long as that party is located
within the boycotting country. This application of the exception is
somewhat easier, since it is relatively simple to determine if the
information is to be given to somebody within the country.
Note that in discussing what constitutes furnishing information
``exclusively within'' the boycotting country, the Department does not
address the nature of the transaction or activity that the information
relates to. It is the Department's position that the nature of the
transaction, including the inception or completion of the transaction,
is not material in analyzing the availability of this exception.
For example, if a shipment of goods imported into a boycotting
country is held up at the time of entry, and information from the bona
fide resident within that country is legally required to free those
goods, the fact that the information may relate to a transaction that
began outside the boycotting country is not material. The availability
of the exception will be judged based on the activity of the bona fide
resident within the country. If the resident provides that information
of his or her own knowledge, and provides it to appropriate parties
located exclusively within the country, the exception permits the
information to be furnished.
Factual variations may raise questions about the application of this
exception and the effect of this interpretation. In an effort to
anticipate some of these, the Department has set forth below a number of
questions and answers. They are incorporated as a part of this
interpretation.
1. Q. Under this exception, can a company which is a U.S. person and
a bona fide resident of the boycotting country provide information to
the local boycott office?
A. Yes, if local law requires the company to provide this
information to the boycott office and all the other requirements are
met.
2. Q. If the company knows that the local boycott office will
forward the information to the Central Boycott Office, may it still
provide the information to the local boycott office?
A. Yes, if it is required by local law to furnish the information to
the local boycott office and all the other requirements are met. The
company has no control over what happens to the information after it is
provided to the proper authorities. (There is obvious potential for
evasion here, and the Department will examine such occurrences closely.)
3. Q. Can a U.S. person who is a bona fide resident of Syria furnish
information to the Central Boycott Office in Damascus?
A. No, unless the law in Syria specifically requires information to
be provided to the Central Boycott Office the exception will not apply.
Syria has a local boycott office responsible for enforcing the boycott
in that country.
4. Q. If a company which is a U.S. person and a bona fide resident
of the boycotting country has an import shipment held up in customs of
the boycotting country, and is required to provide information about the
shipment to get it out of customs, may the company do so?
A. Yes, assuming all other requirements are met. The act of
furnishing the information is the activity taking place exclusively
within the boycotting country. The fact that the information is provided
corollary to a transaction that originates or terminates outside the
boycotting country is not material.
5. Q. If the U.S. person and bona fide resident of the boycotting
country is shipping goods out of the boycotting country, and is required
to certify to customs officials of the country at the time of export
that the goods are not of Israeli origin, may he do so even though the
certification relates to an export transaction?
[[Page 249]]
A. Yes, assuming all other requirements are met. See number 4 above.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 10 to Part 760--Interpretation
(a) The words ``Persian Gulf'' cannot appear on the document.
This term is common in letters of credit from Kuwait and may be
found in letters of credit from Bahrain. Although more commonly
appearing in letters of credit, the term may also appear in other trade
documents.
It is the Department's view that this term reflects a historical
dispute between the Arabs and the Iranians over geographic place names
which in no way relates to existing economic boycotts. Thus, the term is
neither prohibited nor reportable under the Regulations.
(b) Certify that goods are of U.S.A. origin and contain no foreign
parts.
This term appears periodically on documents from a number of Arab
countries. It is the Department's position that the statement is a
positive certification of origin and, as such, falls within the
exception contained in Sec. 760.3(c) of this part for compliance with
the import and shipping document requirements of a boycotting country.
Even though a negative phrase is contained within the positive clause,
the phrase is a non-exclusionary, non-blacklisting statement. In the
Department's view, the additional phrase does not affect the permissible
status of the positive certificate, nor does it make the request
reportable Sec. 760.5(a)(5)(iii) of this part.
(c) Legalization of documents by any Arab consulate except Egyptian
Consulate permitted.
This term appears from time to time in letters of credit but also
may appear in various other trade documents requiring legalization and
thus is not prohibited, and a request to comply with the statement is
not reportable. Because a number of Arab states do not have formal
diplomatic relations with Egypt, they do not recognize Egyptian embassy
actions. The absence of diplomatic relations is the reason for the
requirement. In the Department's view this does not constitute an
unsanctioned foreign boycott or embargo against Egypt under the terms of
the Export Administration Act. Thus the term is not prohibited, and a
request to comply with the statement is not reportable.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 11 to Part 760--Interpretation
Definition of Unsolicited Invitation To Bid
Sec. 760.5(a)(4) of this part states in part:
``In addition, a United States person who receives an unsolicited
invitation to bid, or similar proposal, containing a boycott request has
not received a reportable request for purposes of this section where he
does not respond to the invitation to bid or other proposal.''
The Regulations do not define ``unsolicited'' in this context. Based
on review of numerous situations, the Department has developed certain
criteria that it applies in determining if an invitation to bid or other
proposal received by a U.S. person is in fact unsolicited.
The invitation is not unsolicited if, during a commercially
reasonable period of time preceding the issuance of the invitation, a
representative of the U.S. person contacted the company or agency
involved for the purpose of promoting business on behalf of the company.
The invitation is not unsolicited if the U.S. person has advertised
the product or line of products that are the subject of the invitation
in periodicals or publications that ordinarily circulate to the country
issuing the invitation during a commercially reasonable period of time
preceding the issuance of the invitation.
The invitation is not unsolicited if the U.S. person has sold the
same or similar products to the company or agency issuing the invitation
within a commercially reasonable period of time before the issuance of
the current invitation.
The invitation is not unsolicited if the U.S. person has
participated in a trade mission to or trade fair in the country issuing
the invitation within a commercially reasonable period of time before
the issuance of the invitation.
Under Sec. 760.5(a)(4) of this part, the invitation is regarded as
not reportable if the U.S. person receiving it does not respond. The
Department has determined that a simple acknowledgment of the invitation
does not constitute a response for purposes of this rule. However, an
acknowledgment that requests inclusion for future invitations will be
considered a response, and a report is required.
Where the person in receipt of an invitation containing a boycott
term or condition is undecided about a response by the time a report
would be required to be filed under the regulations, it is the
Department's view that the person must file a report as called for in
the Regulations. The person filing the report may indicate at the time
of filing that he has not made a decision on the boycott request but
must file a supplemental report
[[Page 250]]
as called for in the regulations at the time a decision is made (Sec.
760.5(b)(6)).
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 12 to Part 760--Interpretation
The Department has taken the position that a U.S. person as defined
by Sec. 760.1(b) of this part may not make use of an agent to furnish
information that the U.S. person is prohibited from furnishing pursuant
to Sec. 760.2(d) of this part.
Example (v) under Sec. 760.4 of this part (Evasion) provides:
``A, a U.S. company, is negotiating a long-term contract with
boycotting country Y to meet all of Y's medical supply needs. Y informs
A that before such a contract can be concluded, A must complete Y's
boycott questionnaire. A knows that it is prohibited from answering the
questionnaire so it arranges for a local agent in Y to supply the
necessary information.''
``A's action constitutes evasion of this part, because it is a
device to mask prohibited activity carried out on A's behalf.''
This interpretation deals with the application of the Regulations to
a commercial agent registration requirement imposed by the government of
Saudi Arabia. The requirement provides that nationals of Saudi Arabia
seeking to register in Saudi Arabia as commercial agents or
representatives of foreign concerns must furnish certain boycott-related
information about the foreign concern prior to obtaining approval of the
registration.
The requirement has been imposed by the Ministry of Commerce of
Saudi Arabia, which is the government agency responsible for regulation
of commercial agents and foreign commercial registrations. The Ministry
requires the agent or representative to state the following:
``Declaration: I, the undersigned, hereby declare, in my capacity as
(blank) that (name and address of foreign principal) is not presently on
the blacklist of the Office for the Boycott of Israel and that it and
all its branches, if any, are bound by the decisions issued by the
Boycott Office and do not (1) participate in the capital of, (2) license
the manufacture of any products or grant trademarks or tradeware license
to, (3) give experience or technical advice to, or (4) have any other
relationship with other companies which are prohibited to be dealt with
by the Boycott Office. Signed (name of commercial agent/representative/
distributor).''
It is the Department's view that under the circumstances
specifically outlined in this interpretation relating to the nature of
the requirement, a U.S. person will not be held responsible for a
violation of this part when such statements are provided by its
commercial agent or representative, even when such statements are made
with the full knowledge of the U.S. person.
Nature of the requirement. For a boycott-related commercial
registration requirement to fall within the coverage of this
interpretation it must have the following characteristics:
1. The requirement for information imposed by the boycotting country
applies to a national or other subject of the boycotting country
qualified under the local laws of that country to function as a
commercial representative within that country;
2. The registration requirement relates to the registration of the
commercial agent's or representative's authority to sell or distribute
goods within the boycotting country acquired from the foreign concern;
3. The requirement is a routine part of the registration process and
is not applied selectively based on boycott-related criteria;
4. The requirement applies only to a commercial agent or
representative in the boycotting country and does not apply to the
foreign concern itself; and
5. The requirement is imposed by the agency of the boycotting
country responsible for regulating commercial agencies.
The U.S. person whose agent is complying with the registration
requirement continues to be subject to all the terms of the Regulations,
and may not provide any prohibited information to the agent for purposes
of the agent's compliance with the requirement.
In addition, the authority granted to the commercial agent or
representative by the U.S. person must be consistent with standard
commercial practices and not involve any grants of authority beyond
those incidental to the commercial sales and distributorship
responsibilities of the agent.
Because the requirement does not apply to the U.S. person, no
reporting obligation under Sec. 760.5 of this part would arise.
This interpretation, like all others issued by the Department
discussing applications of the antiboycott provisions of the Export
Administration Regulations, should be read narrowly. Circumstances that
differ in any material way from those discussed in this notice will be
considered under the applicable provisions of the Regulations. Persons
are particularly advised not to seek to apply this interpretation to
circumstances in which U.S. principals seek to use agents to deal with
boycott-related or potential blacklisting situations.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
[[Page 251]]
Sec. Supplement No. 13 to Part 760--Interpretation
Summary
This interpretation considers boycott-based contractual language
dealing with the selection of suppliers and subcontractors. While this
language borrows terms from the ``unilateral and specific selection''
exception contained in Sec. 760.3(d), it fails to meet the requirements
of that exception. Compliance with the requirements of the language
constitutes a violation of the regulatory prohibition of boycott-based
refusals to do business.
Regulatory Background
Section 760.2(a) of this part prohibits U.S. persons from refusing
or knowingly agreeing to refuse to do business with other persons when
such refusal is pursuant to an agreement with, requirement of, or
request of a boycotting country. That prohibition does not extend to the
performance of management, procurement or other pre-award services,
however, notwithstanding knowledge that the ultimate selection may be
boycott-based. To be permissible such services: (1) Must be customary
for the firm or industry involved and (2) must not exclude others from
the transaction or involve other actions based on the boycott. See Sec.
760.2(a)(6) of this part, ``Refusals to Do Business'', and example
(xiii).
A specific exception is also made in the Regulations for compliance
(and agreements to comply) with a unilateral and specific selection of
suppliers or subcontractors by a boycotting country buyer. See Sec.
760.3(d) of this part. In supplement no. 1 to part 760, the following
form of contractual language was said to fall within that exception for
compliance with unilateral and specific selection:
``The Government of the boycotting country (or the First Party), in
its exclusive power, reserves its right to make the final unilateral and
specific selection of any proposed carriers, insurers, suppliers of
services to be performed within the boycotting country, or of specific
goods to be furnished in accordance with the terms and conditions of
this contract.''
The Department noted that the actual steps necessary to comply with
any selection made under this agreement would also have to meet the
requirements of Sec. 760.3(d) to claim the benefit of that exception.
In other words, the discretion in selecting would have to be exercised
exclusively by the boycotting country customer and the selection would
have to be stated in the affirmative, naming a particular supplier. See
Sec. 760.3(d) (4) and (5) of this part.
Analysis of Additional Contractual Language
The Office of Antiboycott Compliance has learned of the introduction
of a contractual clause into tender documents issued by boycotting
country governments. This clause is, in many respects, similar to that
dealt with in supplement no. 1 to part 760, but several critical
differences exist.
The clause states:
Boycott of [Name of Boycotted Country]
In connection with the performance of this Agreement, Contractor
acknowledges that the import and customs laws and regulations of
boycotting country apply to the furnishing and shipment of any products
or components thereof to boycotting country. The Contractor specifically
acknowledges that the aforementioned import and customs laws and
regulations of boycotting country prohibit, among other things, the
importation into boycotting country of products or components thereof:
(A) Originating in boycotted country; (B) Manufactured, produced and
furnish by companies organized under the laws of boycotted country; and
(C) Manufactured, produced or furnished by Nationals or Residents of
boycotted country.
The Government, in its exclusive power, reserves its right to make
the final unilateral and specific selection of any proposed Carriers,
Insurers, Suppliers of Services to be performed within boycotting
country or of specific goods to be furnished in accordance with the
terms and conditions of this Contract.
To assist the Government in exercising its right under the preceding
paragraph, Contractor further agrees to provide a complete list of names
and addresses of all his Sub-Contractors, Suppliers, Vendors and
Consultants and any other suppliers of the service for the project.
The title of this clause makes clear that its provisions are
intended to be boycott-related. The first paragraph acknowledges the
applicability of certain boycott-related requirements of the boycotting
country's laws in language reviewed in part 760, supplement no. 1, Part
II.B. and found to constitute a permissible agreement under the
exception contained in Sec. 760.3(a) of this part for compliance with
the import requirements of a boycotting country. The second and third
paragraphs together deal with the procedure for selecting subcontractors
and suppliers of services and goods and, in the context of the clause as
a whole, must be regarded as motivated by boycott considerations and
intended to enable the boycotting country government to make boycott-
based selections, including the elimination of blacklisted
subcontractors and suppliers.
The question is whether the incorporation into these paragraphs of
some language from
[[Page 252]]
the ``unilateral and specific selection'' clause approved in supplement
no. 1 to part 760 suffices to take the language outside Sec. 760.2(a)
of this part's prohibition on boycott-based agreements to refuse to do
business. While the first sentence of this clause is consistent with the
language discussed in supplement no. 1 to part 760, the second sentence
significantly alters the effect of this clause. The effect is to draw
the contractor into the decision-making process, thereby destroying the
unilateral character of the selection by the buyer. By agreeing to
submit the names of the suppliers it plans to use, the contractor is
agreeing to give the boycotting country buyer, who has retained the
right of final selection, the ability to reject, for boycott-related
reasons, any supplier the contractor has already chosen. Because the
requirement appears in the contractual provision dealing with the
boycott, the buyer's rejection of any supplier whose name is given to
the buyer pursuant to this provision would be presumed to be boycott-
based. By signing the contract, and thereby agreeing to comply with all
of its provisions, the contractor must either accept the buyer's
rejection of any supplier, which is presumed to be boycott-based because
of the context of this provision, or breach the contract.
In these circumstances, the contractor's method of choosing its
subcontractors and suppliers, in anticipation of the buyer's boycott-
based review, cannot be considered a permissible pre-award service
because of the presumed intrusion of boycott-based criteria into the
selection process. Thus, assuming all other jurisdictional requirements
necessary to establish a violation of part 760 are met, the signing of
the contract by the contractor constitutes a violation of Sec. 760.2(a)
of this part because he is agreeing to refuse to do business for boycott
reasons.
The apparent attempt to bring this language within the exception for
compliance with unilateral and specific selections is ineffective. The
language does not place the discretion to choose suppliers in the hands
of the boycotting country buyer but divides this discretion between the
buyer and his principal contractor. Knowing that the buyer will not
accept a boycotted company as supplier or subcontractor, the contractor
is asked to use his discretion in selecting a single supplier or
subcontractor for each element of the contract. The boycotting country
buyer exercises discretion only through accepting or rejecting the
selected supplier or contractor as its boycott policies require. In
these circumstances it cannot be said that the buyer is exercising right
of unilateral and specific selection which meets the criteria of Sec.
760.3(d). For this reason, agreement to the contractual language
discussed here would constitute an agreement to refuse to do business
with any person rejected by the buyer and would violate Sec. 760.2(a)
of this part.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 14 to Part 760--Interpretation
(a) Contractual clause concerning import, customs and boycott laws
of a boycotting country. The following language has appeared in tender
documents issued by a boycotting country:
``Supplier declares his knowledge of the fact that the import,
Customs and boycott laws, rules and regulations of [name of boycotting
country] apply in importing to [name of boycotting country].''
``Supplier declares his knowledge of the fact that under these laws,
rules and regulations, it is prohibited to import into [name of the
boycotting country] any products or parts thereof that originated in
[name of boycotted country]; were manufactured, produced or imported by
companies formed under the laws of [name of boycotted country]; or were
manufactured, produced or imported by nationals or residents of [name of
boycotted country].''
Agreeing to the above contractual language is a prohibited agreement
to refuse to do business, under Sec. 760.2(a) of this part. The first
paragraph requires broad acknowledgment of the application of the
boycotting country's boycott laws, rules and regulations. Unless this
language is qualified to apply only to boycott restrictions with which
U.S. persons may comply, agreement to it is prohibited. See Sec.
760.2(a) of this part, examples (v) and (vi) under ``Agreements to
Refuse to Do Business.''
The second paragraph does not limit the scope of the boycott
restrictions referenced in the first paragraph. It states that the
boycott laws include restrictions on goods originating in the boycotted
country; manufactured, produced or supplied by companies organized under
the laws of the boycotted country; or manufactured, produced or supplied
by nationals or residents of the boycotted country. Each of these
restrictions is within the exception for compliance with the import
requirements of the boycotting country (Sec. 760.3(a) of this part).
However, the second paragraph's list of restrictions is not exclusive.
Since the boycott laws generally include more than what is listed and
permissible under the antiboycott law, U.S. persons may not agree to the
quoted clause. For example, a country's boycott laws may prohibit
imports of goods manufactured by blacklisted firms. Except as provided
by Sec. 760.3(g) of this part, agreement to and compliance with this
boycott restriction would be prohibited under the antiboycott law.
[[Page 253]]
The above contractual language is distinguished from the contract
clause determined to be permissible in supplement 1, Part II, A, by its
acknowledgment that the boycott requirements of the boycotting country
apply. Although the first sentence of the Supplement 1 clause does not
exclude the possible application of boycott laws, it refers only to the
import and customs laws of the boycotting country without mentioning the
boycott laws as well. As discussed fully in supplement no. 1 to part
760, compliance with or agreement to the clause quoted there is,
therefore, permissible.
The contract clause quoted above, as well as the clause dealt with
in supplement no. 1 to part 760, part II, A, is reportable under Sec.
760.5(a)(1) of this part.
(b) Letter of credit terms removing blacklist certificate
requirement if specified vessels used. The following terms frequently
appear on letters of credit covering shipment to Iraq:
``Shipment to be effected by Iraqi State Enterprise for Maritime
Transport Vessels or by United Arab Shipping Company (SAB) vessels, if
available.''
``If shipment is effected by any of the above company's [sic]
vessels, black list certificate or evidence to that effect is not
required.''
These terms are not reportable and compliance with them is
permissible.
The first sentence, a directive to use Iraqi State Enterprise for
Maritime Transport or United Arab Shipping vessels, is neither
reportable nor prohibited because it is not considered by the Department
to be boycott-related. The apparent reason for the directive is Iraq's
preference to have cargo shipped on its own vessels (or, as in the case
of United Arab Shipping, on vessels owned by a company in part
established and owned by the Iraqi government). Such ``cargo
preference'' requirements, calling for the use of an importing or
exporting country's own ships, are common throughout the world and are
imposed for non-boycott reasons. (See Sec. 760.2(a) of this part,
example (vii) AGREEMENTS TO REFUSE TO DO BUSINESS.)
In contrast, if the letter of credit contains a list of vessels or
carriers that appears to constitute a boycott-related whitelist, a
directive to select a vessel from that list would be both reportable and
prohibited. When such a directive appears in conjunction with a term
removing the blacklist certificate requirement if these vessels are
used, the Department will presume that beneficiaries, banks and any
other U.S. person receiving the letter of credit know that there is a
boycott-related purpose for the directive.
The second sentence of the letter of credit language quoted above
does not, by itself, call for a blacklist certificate and is not
therefore, reportable. If a term elsewhere on the letter of credit
imposes a blacklist certificate requirement, then that other term would
be reportable.
(c) Information not related to a particular transaction in U.S.
commerce. Under Sec. 760.2 (c), (d) and (e), of this part U.S. persons
are prohibited, with respect to their activities in U.S. commerce, from
furnishing certain information. It is the Department's position that the
required nexus with U.S. commerce is established when the furnishing of
information itself occurs in U.S. commerce. Even when the furnishing of
information is not itself in U.S. commerce, however, the necessary
relationship to U.S. commerce will be established if the furnishing of
information relates to particular transactions in U.S. commerce or to
anticipated transactions in U.S. commerce. See, e.g. Sec. 760.2(d),
examples (vii), (ix) and (xii) of this part.
The simplest situation occurs where a U.S. person located in the
United States furnishes information to a boycotting country. The
transfer of information from the United States to a foreign country is
itself an activity in U.S. commerce. See Sec. 760.1(d)(1)(iv) of this
part. In some circumstances, the furnishing of information by a U.S.
person located outside the United States may also be an activity in U.S.
commerce. For example, the controlled foreign subsidiary of a domestic
concern might furnish to a boycotting country information the subsidiary
obtained from the U.S.-located parent for that purpose. The subsidiary's
furnishing would, in these circumstances, constitute an activity in U.S.
commerce. See Sec. 760.1(d)(8) of this part.
Where the furnishing of information is not itself in U.S. commerce,
the U.S. commerce requirement may be satisfied by the fact that the
furnishing is related to an activity in U.S. foreign or domestic
commerce. For example, if a shipment of goods by a controlled-in-fact
foreign subsidiary of a U.S. company to a boycotting country gives rise
to an inquiry from the boycotting country concerning the subsidiary's
relationship with another firm, the Department regards any responsive
furnishing of information by the subsidiary as related to the shipment
giving rise to the inquiry. If the shipment is in U.S. foreign or
domestic commerce, as defined by the regulations, then the Department
regards the furnishing to be related to an activity in U.S. commerce and
subject to the antiboycott regulations, whether or not the furnishing
itself is in U.S. commerce.
In some circumstances, the Department may regard a furnishing of
information as related to a broader category of present and prospective
transactions. For example, if a controlled-in-fact foreign subsidiary of
a U.S. company is requested to furnish information about its commercial
dealings and it appears that failure to respond will result in its
blacklisting, any responsive furnishing of
[[Page 254]]
information will be regarded by the Department as relating to all of the
subsidiary's present and anticipated business activities with the
inquiring boycotting country. Accordingly, if any of these present or
anticipated business activities are in U.S. commerce, the Department
will regard the furnishing as related to an activity in U.S. commerce
and subject to the antiboycott regulations.
In deciding whether anticipated business activities will be in U.S.
commerce, the Department will consider all of the surrounding
circumstances. Particular attention will be given to the history of the
U.S. person's business activities with the boycotting country and
others, the nature of any activities occurring after a furnishing of
information occurs and any relevant economic or commercial factors which
may affect these activities.
For example, if a U.S. person has no activities with the boycotting
country at present but all of its other international activities are in
U.S. commerce, as defined by the Regulations, then the Department is
likely to regard any furnishing of information by that person for the
purpose of securing entry into the boycotting country's market as
relating to anticipated activities in U.S. commerce and subject to the
antiboycott regulations. Similarly, if subsequent to the furnishing of
information to the boycotting country for the purpose of securing entry
into its markets, the U.S. person engages in transactions with that
country which are in U.S. commerce, the Department is likely to regard
the furnishing as related to an activity in U.S. commerce and subject to
the antiboycott regulations.
[61 FR 12862, Mar. 25, 1996, as amended at 65 FR 34950, June 1, 2000]
Sec. Supplement No. 15 to Part 760--Interpretation
Section 760.2 (c), (d), and (e) of this part prohibits United States
persons from furnishing certain types of information with intent to
comply with, further, or support an unsanctioned foreign boycott against
a country friendly to the United States. The Department has been asked
whether prohibited information may be transmitted--that is, passed to
others by a United States person who has not directly or indirectly
authored the information--without such transmission constituting a
furnishing of information in violation of Sec. 760.2 (c), (d), and (e)
of this part. Throughout this interpretation, ``transmission'' is
defined as the passing on by one person of information initially
authored by another. The Department believes that there is no
distinction in the EAR between transmitting (as defined above) and
furnishing prohibited information under the EAR and that the
transmission of prohibited information with the requisite boycott intent
is a furnishing of information violative of the EAR. At the same time,
however, the circumstances relating to the transmitting party's
involvement will be carefully considered in determining whether that
party intended to comply with, further, or support an unsanctioned
foreign boycott.
The EAR does not deal specifically with the relationship between
transmitting and furnishing. However, the restrictions in the EAR on
responses to boycott-related conditions, both by direct and indirect
actions and whether by primary parties or intermediaries, indicate that
U.S. persons who simply transmit prohibited information are to be
treated the same under the EAR as those who both author and furnish
prohibited information. This has been the Department's position in
enforcement actions it has brought.
The few references in the EAR to the transmission of information by
third parties are consistent with this position. Two examples, both
relating to the prohibition against the furnishing of information about
U.S. persons' race, religion, sex, or national origin (Sec. 760.2(c) of
this part), deal explicitly with transmitting information. These
examples (Sec. 760.2(c) of this part, example (v), and Sec. 760.3(f)
of this part, example (vi)) show that, in certain cases, when furnishing
certain information is permissible, either because it is not within a
prohibition or is excepted from a prohibition, transmitting it is also
permissible. These examples concern information that may be furnished by
individuals about themselves or their families. The examples show that
employers may transmit to a boycotting country visa applications or
forms containing information about an employee's race, religion, sex, or
national origin if that employee is the source of the information and
authorizes its transmission. In other words, within the limits of
ministerial action set forth in these examples, employees' actions in
transmitting information are protected by the exception available to the
employee. The distinction between permissible and prohibited behavior
rests not on the definitional distinction between furnishing and
transmitting, but on the excepted nature of the information furnished by
the employee. The information originating from the employee does not
lose its excepted character because it is transmitted by the employer.
The Department's position regarding the furnishing and transmission
of certificates of one's own blacklist status rests on a similar basis
and does not support the contention that third parties may transmit
prohibited information authored by another. Such self-certifications do
not violate any prohibitions in the EAR (see Supplement Nos. 1(I)(B), 2,
and 5(A)(2); Sec. 760.2(f), example (xiv)). It is the
[[Page 255]]
Department's position that it is not prohibited for U.S. persons to
transmit such self-certifications completed by others. Once again,
because furnishing the self-certification is not prohibited, third
parties who transmit the self-certifications offend no prohibition. On
the other hand, if a third party authored information about another's
blacklist status, the act of transmitting that information would be
prohibited.
A third example in the EAR (Sec. 760.5, example (xiv) of this
part), which also concerns a permissible transmission of boycott-related
information, does not support the theory that one may transmit
prohibited information authored by another. This example deals with the
reporting requirements in Sec. 760.5 of this part--not the
prohibitions--and merely illustrates that a person who receives and
transmits a self-certification has not received a reportable request.
It is also the Department's position that a U.S. person violates the
prohibitions against furnishing information by transmitting prohibited
information even if that person has received no reportable request in
the transaction. For example, where documents accompanying a letter of
credit contain prohibited information, a negotiating bank that transmits
the documents, with the requisite boycott intent, to an issuing bank has
not received a reportable request, but has furnished prohibited
information.
While the Department does not regard the suggested distinction
between transmitting and furnishing information as meaningful, the facts
relating to the third party's involvement may be important in
determining whether that party furnished information with the required
intent to comply with, further, or support an unsanctioned foreign
boycott. For example, if it is a standard business practice for one
participant in a transaction to obtain and pass on, without examination,
documents prepared by another party, it might be difficult to maintain
that the first participant intended to comply with a boycott by passing
on information contained in the unexamined documents. Resolution of such
intent questions, however, depends upon an analysis of the individual
facts and circumstances of the transaction and the Department will
continue to engage in such analysis on a case-by-case basis.
This interpretation, like all others issued by the Department
discussing applications of the antiboycott provisions of the EAR, should
be read narrowly. Circumstances that differ in any material way from
those discussed in this interpretation will be considered under the
applicable provisions of the Regulations.
Sec. Supplement No. 16 to Part 760--Interpretation
Pursuant to Articles 5, 7, and 26 of the Treaty of Peace between the
State of Israel and the Hashemite Kingdom of Jordan and implementing
legislation enacted by Jordan, Jordan's participation in the Arab
economic boycott of Israel was formally terminated on August 16, 1995.
On the basis of this action, it is the Department's position that
certain requests for information, action or agreement from Jordan which
were considered boycott-related by implication now cannot be presumed
boycott-related and thus would not be prohibited or reportable under the
regulations. For example, a request that an exporter certify that the
vessel on which it is shipping its goods is eligible to enter Hashemite
Kingdom of Jordan ports has been considered a boycott-related request
that the exporter could not comply with because Jordan has had a boycott
in force against Israel. Such a request from Jordan after August 16,
1995 would not be presumed boycott-related because the underlying
boycott requirement/basis for the certification has been eliminated.
Similarly, a U.S. company would not be prohibited from complying with a
request received from Jordanian government officials to furnish the
place of birth of employees the company is seeking to take to Jordan
because there is no underlying boycott law or policy that would give
rise to a presumption that the request was boycott-related.
U.S. persons are reminded that requests that are on their face
boycott-related or that are for action obviously in furtherance or
support of an unsanctioned foreign boycott are subject to the
regulations, irrespective of the country of origin. For example,
requests containing references to ``blacklisted companies'', ``Israel
boycott list'', ``non-Israeli goods'' or other phrases or words
indicating boycott purpose would be subject to the appropriate
provisions of the Department's antiboycott regulations.
Sec. Supplement No. 17 to Part 760--Interpretation
Pursuant to the agreement between the United Arab Emirates (UAE) and
Israel establishing diplomatic and commercial relations (the ``Abraham
Accords''), on August 16, 2020, the UAE issued Federal Decree-Law No. 4
of 2020, abolishing Federal Law No. 15 of 1972 Concerning the Arab
League Boycott of Israel, thereby formally terminating participation by
the UAE in the Arab League Boycott of Israel as of that date.
On the basis of this action, it is the Department's position that
certain requests for information, action or agreement from the UAE,
which were presumed to be boycott-related under this part of the EAR if
issued
[[Page 256]]
prior to August 16, 2020, would not be presumed to be boycott-related if
issued after August 16, 2020, and thus would not be prohibited or
reportable under this part of the EAR.
For example, a request from the UAE that an exporter certify that
the vessel on which it is shipping its goods is eligible to enter UAE
ports was formerly presumed to be a boycott-related request under this
part of the EAR with which the exporter could not comply because the UAE
had a boycott law in force against Israel. Such a request from the UAE
made after August 16, 2020, would no longer be presumed to be boycott-
related because the underlying boycott requirement/basis for the
certification was eliminated as of August 16, 2020. Similarly, a U.S.
company would not be prohibited from complying with a request made by
UAE government officials after August 16, 2020, to furnish the place of
birth of employees the company is seeking to take to the UAE because
there is no underlying UAE government boycott law or policy that would
give rise to a presumption that the request was boycott-related.
U.S. persons are reminded that requests that are on their face
boycott-related or that are for action obviously in furtherance or
support of an unsanctioned foreign boycott are subject to this part of
the EAR, irrespective of the country of origination. For example,
requests containing references to ``blacklisted companies,'' ``Israel
boycott list,'' ``non-Israeli goods,'' or other phrases or words
indicating a boycott purpose would be subject to the appropriate
provisions of the Department's antiboycott regulations in this part.
[86 FR 30536, June 9, 2021]
PART 762_RECORDKEEPING--Table of Contents
Sec.
762.1 Scope.
762.2 Records to be retained.
762.3 Records exempt from recordkeeping requirements.
762.4 Original records required.
762.5 Reproduction of original records.
762.6 Period of retention.
762.7 Producing and inspecting records.
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12900, Mar. 25, 1996, unless otherwise noted.
Sec. 762.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C.
(a) Transactions subject to this part. The recordkeeping provisions
of this part apply to the following transactions:
(1) Transactions involving restrictive trade practices or boycotts
described in part 760 of the EAR;
(2) Exports of commodities, software, or technology from the United
States and any known reexports, transfers (in-country), transshipment,
or diversions of items exported from the United States;
(3) Exports to Canada, if, at any stage in the transaction, it
appears that a person in a country other than the United States or
Canada has an interest therein, or that the item involved is to be
reexported, transshipped, or diverted from Canada to another foreign
country; or
(4) Any other transactions subject to the EAR, including, but not
limited to, the prohibitions against servicing, forwarding and other
actions for or on behalf of end-users of proliferation concern contained
in Sec. Sec. 736.2(b)(7) and 744.6 of the EAR. This part also applies
to all negotiations connected with those transactions, except that for
export control matters a mere preliminary inquiry or offer to do
business and negative response thereto shall not constitute
negotiations, unless the inquiry or offer to do business proposes a
transaction that a reasonably prudent exporter would believe likely to
lead to a violation of the EAA, the EAR or any order, license or
authorization issued thereunder.
(b) Persons subject to this part. Any person subject to the
jurisdiction of the United States who, as principal or agent (including
a forwarding agent), participates in any transaction described in
paragraph (a) of this section, and any person in the United States or
abroad who is required to make and maintain records under any provision
of the EAR, shall keep and maintain all records described in Sec. 762.2
of this part that are made or obtained by that person and shall produce
them in a manner provided by Sec. 762.7 of this part.
[61 FR 12900, Mar. 25, 1996, as amended at 70 FR 22249, Apr. 29, 2005;
78 FR 13471, Feb. 28, 2013; 87 FR 57106, Sept. 16, 2022]
[[Page 257]]
Sec. 762.2 Records to be retained.
(a) Records required to be retained. The records required to be
retained under this part 762 include the following:
(1) Export control documents as defined in part 772 of the EAR,
except parties submitting documents electronically to BIS via the SNAP-R
system are not required to retain copies of documents so submitted;
(2) Memoranda;
(3) Notes;
(4) Correspondence;
(5) Contracts;
(6) Invitations to bid;
(7) Books of account;
(8) Financial records;
(9) Restrictive trade practice or boycott documents and reports;
(10) Notification from BIS of an application being returned without
action; notification by BIS of an application being denied; notification
by BIS of the results of a commodity classification or encryption review
request conducted by BIS;
(11) The serial number, make, model, and caliber for any firearm
controlled in ECCNs 0A501.a, 0A506, or 0A507 and for shotguns with
barrel length less than 18 inches controlled in 0A502 and 0A508 that
have been exported. The ``exporter'' or any other party to the
transaction (see Sec. 758.3 of the EAR), that creates or receives such
records is a person responsible for retaining this record; and
(12) Other records pertaining to the types of transactions described
in Sec. 762.1(a) of this part, which are made or obtained by a person
described in Sec. 762.1(b) of this part.
(b) Records retention references. Paragraph (a) of this section
describes records that are required to be retained. Other parts,
sections, or supplements of the EAR which require the retention of
records or contain recordkeeping provisions, include, but are not
limited to the following:
(1) Sec. 732.6, Steps for other requirements;
(2) Sec. 734.4(g), de minimis calculation (method);
(3) Section 734.9(h), Foreign Direct Product (FDP) supply chain
certification;
(4) Part 736, General Prohibitions;
(5) Sec. 740.1, Introduction (to License Exceptions);
(6) Sec. 740.9(a)(3)(i)(B), Tools of trade: Temporary exports,
reexports, and transfers (in country) of technology by U.S. persons
(TMP);
(7) Sec. 740.10(c), Servicing and replacement of parts and
equipment (RPL);
(8) Sec. 740.11(b)(2)(iii) and (iv), Exports, reexports and
transfers (in-country) made for or on behalf of a department or agency
of the U.S. Government and Items exported at the direction of the U.S.
Department of Defense (GOV);
(9) Sec. 740.12, Humanitarian donations (GFT);
(10) Sec. 740.13(h), Technology and software--unrestricted (TSU);
(11) Sec. 740.20(g), Responses to License Exception STA eligibility
requests for ``600 series'' end items (STA);
(12) Sec. 743.1, Wassenaar reports;
(13) Sec. 743.2, High Performance Computers;
(14) Sec. 743.4(c)(1) and (c)(2), Conventional arms reporting;
(15) Sec. 745.1, Annual reports;
(16) Sec. 745.2, End-use certificates;
(17) Sec. 746.3 Iraq;
(18) [Reserved]
(19) Sec. 748.1(d)(2), Procedure for requesting authorization to
file paper applications, notifications, or requests;
(20) Sec. 748.4(b), Disclosure of parties on license applications
and the power of attorney;
(21) Sec. 748.6, General instructions for license applications;
(22) Sec. 748.9, Support documents for license applications;
(23) Sec. 748.10, PRC End-User Statement;
(24) Sec. 748.11, Statement by Ultimate Consignee and Purchaser;
(25) Sec. 748.12, Firearms Convention (FC) Import Certificate;
(26) [Reserved]
(27) Supplement No. 2 to Part 748 paragraph (c)(2), Security
Safeguard Plan requirement;
(28) Sec. 750.7, Issuance of license and acknowledgment of
conditions;
(29) Sec. 750.8, Revocation or suspension of license;
(30) Sec. 750.9, Duplicate licenses;
(31) Sec. 750.10, Transfer of licenses for export;
(32)-(39) [Reserved]
[[Page 258]]
(40) Sec. 754.4, Unprocessed western red cedar;
(41) Sec. 758.1 and Sec. 758.2, Automated Export System record;
(42) Sec. 758.1(h), Record and proof of agent's authority;
(43) Sec. 758.3(b), Routed Export Transactions;
(44) Sec. 758.6, Destination control statements;
(45) Sec. 760.5, Reporting requirements;
(46) Sec. 762.2, Records to be retained;
(47) Sec. 764.2, Violations;
(48) Sec. 764.5, Voluntary self-disclosure;
(49) Sec. 766.10, Subpoenas;
(50) Sec. 772.2, ``Specially designed'' definition, note to
paragraphs (b)(4), (b)(5), and (b)(6);
(51) Sec. 740.20, note to paragraph (c)(1), License Exception STA
prior approval on a BIS or DDTC license (STA);
(52) Sec. 744.15(b), UVL statement as well as any logs or records
created for multiple exports, reexports, and transfers (in-country);
(53) Sec. 750.7(c)(2), Notification of name change by advisory
opinion request;
(54) Sec. 748.13, Certain Hong Kong import and export licenses; and
(55) Sec. 740.23, License Exception MED.
(56) Sec. 740.25, License Exception HBM.
(57) Sec. 740.26, License Exception RFF.
(c) Special recordkeeping requirement--(1) Libya. Persons in receipt
of a specific license granted by the Department of the Treasury's Office
of Foreign Assets Control (OFAC) for the export to Libya of any item
subject to the EAR must maintain a record of those items transferred to
Libya pursuant to such specific license and record when the items are
consumed or destroyed in the normal course of their use in Libya,
reexported to a third country not requiring further authorization from
BIS, or returned to the United States. This requirement applies only to
items subject to a license requirement under the EAR for export to Libya
as of April 29, 2004. These records must include the following
information:
(i) Date of export or reexport and related details (including means
of transport);
(ii) Description of items (including ECCN) and value of items in
U.S. Dollars;
(iii) Description of proposed end-use and locations in Libya where
items are intended to be used;
(iv) Parties other than specific OFAC licensee who may be given
temporary access to the items; and
(v) Date of consumption or destruction, if the items are consumed or
destroyed in the normal course of their use in Libya, or the date of
reexport to a third country not requiring further authorization from
BIS, or return to the United States.
(2) [Reserved]
[61 FR 12900, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting Sec.
762.2, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Sec. 762.3 Records exempt from recordkeeping requirements.
(a) The following types of records have been determined to be exempt
from the recordkeeping requirement procedures:
(1) Export information page;
(2) Special export file list;
(3) Vessel log from freight forwarder;
(4) Inspection certificate;
(5) Warranty certificate, except for a warranty certificate issued
for an address located outside the United States for any firearm
controlled in ECCNs 0A501.a or .b, 0A506 or 0A507 and for shotguns with
barrel length less than 18 inches controlled in 0A502 or 0A508;
(6) Guarantee certificate;
(7) Packing material certificate;
(8) Goods quality certificate;
(9) Notification to customer of advance meeting;
(10) Letter of indemnity;
(11) Financial release form;
(12) Financial hold form;
(13) Export parts shipping problem form;
(14) Draft number log;
(15) Expense invoice mailing log;
(16) Financial status report;
(17) Bank release of guarantees;
(18) Cash sheet;
(19) Commission payment back-up;
(20) Commissions payable worksheet;
(21) Commissions payable control;
(22) Check request forms;
(23) Accounts receivable correction form;
[[Page 259]]
(24) Check request register;
(25) Commission payment printout;
(26) Engineering fees invoice;
(27) Foreign tax receipt;
(28) Individual customer credit status;
(29) Request for export customers code forms;
(30) Acknowledgement for receipt of funds;
(31) Escalation development form;
(32) Summary quote;
(33) Purchase order review form;
(34) Proposal extensions;
(35) Financial proposal to export customers;
and
(36) Sales summaries.
(b) [Reserved]
[61 FR 12900, Mar. 25, 1996, as amended at 62 FR 25469, May 9, 1997; 85
FR 4180, Jan. 23, 2020; 89 FR 34710, Apr. 30, 2024]
Sec. 762.4 Original records required.
The regulated person must maintain the original records in the form
in which that person receives or creates them unless that person meets
all of the conditions of Sec. 762.5 of this part relating to
reproduction of records. If the original record does not meet the
standards of legibility and readability described in Sec. 762.5 of this
part and the regulated person intends to rely on that record to meet the
recordkeeping requirements of the EAR, that person must retain the
original record. With respect to documents that BIS issues to a party in
SNAP-R, either an electronically stored copy in a format that makes the
document readable with software possessed by that party or a paper print
out of the complete document is deemed to be an original record for
purposes of this section.
[61 FR 12900, Mar. 25, 1996, as amended at 75 FR 17055, Apr. 5, 2010]
Sec. 762.5 Reproduction of original records.
(a) The regulated person may maintain reproductions instead of the
original records provided all of the requirements of paragraph (b) of
this section are met.
(b) In order to maintain the records required by Sec. 762.2 of this
part, the regulated persons defined in Sec. 762.1 of this part may use
any photographic, photostatic, miniature photographic, micrographic,
automated archival storage, or other process that completely,
accurately, legibly and durably reproduces the original records (whether
on paper, microfilm, or through electronic digital storage techniques).
The process must meet all of the following requirements, which are
applicable to all systems:
(1) The system must be capable of reproducing all records on paper.
(2) The system must record and be able to reproduce all marks,
information, and other characteristics of the original record, including
both obverse and reverse sides of paper documents in legible form.
(3) When displayed on a viewer, monitor, or reproduced on paper, the
records must exhibit a high degree of legibility and readability. (For
purposes of this section, legible and legibility mean the quality of a
letter or numeral that enable the observer to identify it positively and
quickly to the exclusion of all other letters or numerals. Readable and
readability mean the quality of a group of letters or numerals being
recognized as complete words or numbers.)
(4) The system must preserve the initial image (including both
obverse and reverse sides of paper documents) and record all changes,
who made them and when they were made. This information must be stored
in such a manner that none of it may be altered once it is initially
recorded.
(5) The regulated person must establish written procedures to
identify the individuals who are responsible for the operation, use and
maintenance of the system.
(6) The regulated person must establish written procedures for
inspection and quality assurance of records in the system and document
the implementation of those procedures.
(7) The system must be complete and contain all records required to
be kept by this part or the regulated person must provide a method for
correlating, identifying and locating records relating to the same
transaction(s) that are kept in other record keeping systems.
(8) The regulated person must keep a record of where, when, by whom,
and
[[Page 260]]
on what equipment the records and other information were entered into
the system.
(9) Upon request by the Office of Export Enforcement, the Office of
Antiboycott Compliance, or any other agency of competent jurisdiction,
the regulated person must furnish, at the examination site, the records,
the equipment and, if necessary, knowledgeable personnel for locating,
reading, and reproducing any record in the system.
(c) Requirements applicable to systems based on the storage of
digital images. For systems based on the storage of digital images, the
system must provide accessibility to any digital image in the system.
With respect to records of transactions, including those involving
restrictive trade practices or boycott requirements or requests. The
system must be able to locate and reproduce all records relating to a
particular transaction based on any one of the following criteria:
(1) The name(s) of the parties to the transaction;
(2) Any country(ies) connected with the transaction; or
(3) A document reference number that was on any original document.
(d) Requirements applicable to a system based on photographic
processes. For systems based on photographic, photostatic, or miniature
photographic processes, the regulated person must maintain a detailed
index of all records in the system that is arranged in such a manner as
to allow immediate location of any particular record in the system.
Sec. 762.6 Period of retention.
(a) Five year retention period. All records required to be kept by
the EAR must be retained for five years from the latest of the following
times:
(1) The export from the United States of the item involved in the
transaction to which the records pertain or the provision of financing,
transporting or other service for or on behalf of end-users of
proliferation concern as described in Sec. Sec. 736.2(b)(7) and 744.6
of the EAR;
(2) Any known reexport, transfer (in-country), transshipment, or
diversion of such item;
(3) Any other termination of the transaction, whether formally in
writing or by any other means; or
(4) In the case of records of pertaining to transactions involving
restrictive trade practices or boycotts described in part 760 of the
EAR, the date the regulated person receives the boycott-related request
or requirement.
(b) Destruction or disposal of records. If the Bureau of Industry
and Security or any other government agency makes a formal or informal
request for a certain record or records, such record or records may not
be destroyed or disposed of without the written authorization of the
agency concerned. This prohibition applies to records pertaining to
voluntary disclosures made to BIS in accordance with Sec.
764.5(c)(4)(ii) and other records even if such records have been
retained for a period of time exceeding that required by paragraph (a)
of this section.
[61 FR 12900, Mar. 25, 1996, as amended at 72 FR 3946, Jan. 29, 2007; 87
FR 57106, Sept. 16, 2022]
Sec. 762.7 Producing and inspecting records.
(a) Persons located in the United States. Persons located in the
United States may be asked to produce books, records, and other
information that are required to be kept by any provision of the EAR, or
any license, order, or authorization issued thereunder and to make them
available for inspection and copying by any authorized official of the
BIS, or any other official of the United States designated by BIS,
without any charge or expense to such official. OEE and the Office of
Antiboycott Compliance encourage voluntary cooperation with such
requests. When voluntary cooperation is not forthcoming, OEE and the
Office of Antiboycott Compliance are authorized to issue subpoenas
requiring persons to appear and testify, or to produce books, records,
and other writings. In instances where a person does not comply with a
subpoena, the Department of Commerce may petition a district court to
have the subpoena enforced.
(b) Persons located outside of the United States. Persons located
outside of the United States that are required
[[Page 261]]
to keep books, records, and other information by any provision of the
EAR or by any license, order, or authorization issued thereunder shall
produce all books, records, and other information required to be kept,
or reproductions thereof, and make them available for inspection and
copying upon request by an authorized official of BIS without any charge
or expense to such official. BIS may designate any other official of the
United States to exercise the authority of BIS under this subsection.
[85 FR 73416, Nov. 18, 2020]
PART 764_ENFORCEMENT AND PROTECTIVE MEASURES--Table of Contents
Sec.
764.1 Introduction.
764.2 Violations.
764.3 Sanctions.
764.4 Reporting of violations.
764.5 Voluntary self-disclosure.
764.6 Protective administrative measures.
764.7 Activities involving items that may have been illegally exported
or reexported to Libya.
764.8 Voluntary self-disclosures for boycott violations.
Supplement No. 1 to Part 764--Standard Terms of Orders Denying Export
Privileges
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4611-4613; 50 U.S.C. 1701
et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12902, Mar. 25, 1996, unless otherwise noted.
Sec. 764.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C. This part specifies conduct that constitutes a
violation of the ECRA and/or the EAR and the sanctions that may be
imposed for such violations. Antiboycott violations are described in
part 760 of the EAR, and the violations and sanctions specified in part
764 also apply to conduct relating to part 760, unless otherwise stated.
This part describes administrative sanctions that may be imposed by BIS.
This part also describes criminal sanctions that may be imposed by a
United States court and other sanctions that are neither administrative
nor criminal pursuant to sections 11A, B, and C of the Export
Administration Act EAA and other statutes. Information is provided on
how to report and disclose violations. Finally, this part identifies
protective administrative measures that BIS may take in the exercise of
its regulatory authority.
[85 FR 73416, Nov. 18, 2020]
Sec. 764.2 Violations.
(a) Engaging in prohibited conduct. No person may engage in any
transaction or take any other action prohibited by or contrary to, or
refrain from engaging in any transaction or take any other action
required by ECRA, the EAR, or any order, license or authorization issued
thereunder.
(b) Causing, aiding, or abetting a violation. No person may cause or
aid, abet, counsel, command, induce, procure, permit, or approve the
doing of any act prohibited, or the omission of any act required, by
ECRA, the EAR, or any order, license or authorization issued thereunder.
(c) Solicitation and attempt. No person may solicit or attempt a
violation of ECRA, the EAR, or any order, license, or authorization
issued thereunder.
(d) Conspiracy. No person may conspire or act in concert with one or
more persons in any manner or for any purpose to bring about or to do
any act that constitutes a violation of ECRA, the EAR, or any order,
license, or authorization issued thereunder.
(e) Acting with knowledge of a violation. No person may order, buy,
remove, conceal, store, use, sell, loan, dispose of, transfer,
transport, finance, forward, or otherwise service, in whole or in part,
or conduct negotiations to facilitate such activities with respect to,
any item that has been, is being, or is about to be exported,
reexported, or transferred (in-country), or that is otherwise subject to
the EAR, with knowledge that a violation of ECRA, the EAR, or any order,
license, or authorization issued thereunder, has occurred, is about to
occur, or is intended to occur in connection with the item.
(f) [Reserved]
(g) Misrepresentation and concealment of facts. (1) No person may
make any false or misleading representation, statement, or
certification, or falsify or conceal any material fact, either directly
to BIS or an official of any other
[[Page 262]]
United States agency, or indirectly through any other person:
(i) In the course of an investigation or other action subject to the
EAR; or
(ii) In connection with the preparation, submission, issuance, use,
or maintenance of any ``export control document'' or any report filed or
required to be filed pursuant to the EAR; or
(iii) For the purpose of or in connection with effecting an export,
reexport, transfer (in-country) or other activity subject to the EAR.
(2) All representations, statements, and certifications made by any
person are deemed to be continuing in effect. Every person who has made
any representation, statement, or certification must notify BIS, and any
other relevant agency, in writing, of any change of any material fact or
intention from that previously represented, stated, or certified,
immediately upon receipt of any information that would lead a reasonably
prudent person to know that a change of material fact or intention has
occurred or may occur in the future.
(h) Evasion. No person may engage in any transaction or take any
other action with intent to evade the provisions of ECRA, the EAR, or
any order, license or authorization issued thereunder.
(i) Failure to comply with reporting, recordkeeping requirements. No
person may fail or refuse to comply with any reporting or recordkeeping
requirement of ECRA, the EAR, or of any order, license, or authorization
issued thereunder.
(j) License alteration. Except as specifically authorized in the EAR
or in writing by BIS, no person may alter any license, authorization,
export control document, or order issued under ECRA or the EAR.
(k) Acting contrary to the terms of a denial order. No person may
take any action that is prohibited by a denial order or a temporary
denial order issued by BIS to prevent imminent violations of ECRA, the
EAR, or any order, license or authorization issued thereunder.
[85 FR 73416, Nov. 18, 2020]
Sec. 764.3 Sanctions.
(a) Administrative. Violations of ECRA, the EAR, or any order,
license or authorization issued thereunder are subject to the
administrative sanctions described in this section and to any other
liability, sanction, or penalty available under law. The protective
administrative measures that are described in Sec. 764.6 of this part
are distinct from administrative sanctions.
(1) Civil monetary penalty. (i) A civil monetary penalty not to
exceed the amount set forth in ECRA may be imposed for each violation,
and in the event that any provision of the EAR is continued or revised
by IEEPA or any other authority, the maximum monetary civil penalty for
each violation shall be that provided by such other authority.
(ii) The payment of any civil penalty may be made a condition, for a
period not exceeding two years after the imposition of such penalty, to
the granting, restoration, or continuing validity of any export license,
license exception, permission, or privilege granted or to be granted to
the person upon whom such penalty is imposed.
(iii) The payment of any civil penalty may be deferred or suspended
in whole or in part during any probation period that may be imposed.
Such deferral or suspension shall not bar the collection of the penalty
if the conditions of the deferral, suspension, or probation are not
fulfilled.
(2) Denial of export privileges. An order may be issued that
restricts the ability of the named persons to engage in exports,
reexports, and transfers (in-country) involving items subject to the
EAR, or that restricts access by named persons to items subject to the
EAR. An order denying export privileges may be imposed either as a
sanction for a violation of ECRA, the EAR, or any other statute set
forth at 50 U.S.C. 4819(e)(1)(B); or as a protective administrative
measure described in Sec. 764.6(c) or (d) of this part. An order
denying export privileges may suspend or revoke any or all outstanding
licenses issued under the EAR to a person named in the denial order or
in which such person has an interest; may deny or restrict exports,
reexports, and transfers (in-country) by or to such person of
[[Page 263]]
any item subject to the EAR; and may restrict dealings in which that
person may benefit from any export, reexport, or transfer (in-country)
of such items. The standard terms of a denial order are set forth in
supplement no. 1 to this part. A non-standard denial order, narrower in
scope, may be issued. Authorization to engage in actions otherwise
prohibited by a denial order may be given by the Office of Exporter
Services, in consultation with the Office of Export Enforcement, upon a
written request by a person named in the denial order or by a person
seeking permission to deal with a named person. Submit such requests to:
Bureau of Industry and Security, Office of Exporter Services, Room
2099b, U.S. Department of Commerce, 14th Street and Pennsylvania Ave.
NW, Washington, DC 20230.
(3) Exclusion from practice. Any person acting as an attorney,
accountant, consultant, freight forwarder, or in any other
representative capacity for any license application or other matter
before BIS may be excluded by order from any or all such activities
before BIS.
(b) Criminal. Whoever willfully commits, willfully attempts to
commit, or willfully conspires to commit, or aids and abets in the
commission of, an unlawful act described in 50 U.S.C. 4819(a) shall be
fined not more than $1,000,000; and in the case of the individual, shall
be imprisoned for not more than 20 years, or both.
(c) Other sanctions. Conduct that violates ECRA, the EAR, or any
order, license, or authorization issued thereunder, and other conduct
specified in sections 11A, B, and C of the EAA may be subject to
sanctions or other measures in addition to criminal and administrative
sanctions under ECRA or the EAR. These include, but are not limited to,
the following:
(1) Statutory sanctions. Statutorily-mandated sanctions may be
imposed on account of specified conduct related to weapons
proliferation. Such statutory sanctions are not civil or criminal
penalties, but restrict imports and procurement (See section 11A of the
EAA, Multilateral Export Control Violations, and section 11C of the EAA,
Chemical and Biological Weapons Proliferation), or restrict export
licenses (See section 11B of the EAA, Missile Proliferation Violations,
and the Iran-Iraq Arms Non-Proliferation Act of 1992).
(2) Other sanctions and measures--(i) Seizure and forfeiture. Any
property seized pursuant to export laws and regulations administered or
enforced by the Secretary is subject to forfeiture. (50 U.S.C. 4819(d)
and 4820(j); 22 U.S.C. 401; and 13 U.S.C. 305).
(ii) Actions by other agencies. (A) The Department of State may not
issue licenses or approvals for the export or reexport of defense
articles and defense services controlled under the Arms Export Control
Act to persons convicted of criminal offenses specified at 22 U.S.C.
2778(g)(1)(A), or to persons denied export privileges by BIS or another
agency; and may deny such licenses or approvals where the applicant is
indicted for, or any party to the export is convicted of, those
specified criminal offenses. (22 CFR 126.7(a) and 127.11(a)).
(B) The Department of Defense, among other agencies, may suspend the
right of any person to contract with the United States Government based
on export control violations. (Federal Acquisition Regulations at 48 CFR
9.407-2).
[85 FR 73417, Nov. 18, 2020]
Sec. 764.4 Reporting of violations.
(a) Where to report. If a person learns that an export control
violation of the EAR has occurred or may occur, that person may notify:
Office of Export Enforcement, Bureau of Industry and Security,U.S.
Department of Commerce, 14th Street and Constitution Avenue, N.W., Room
H-4520, Washington, D.C. 20230, Tel: (202) 482-1208, Facsimile: (202)
482-0964
or, for violations of part 760 of the EAR:
Office of Antiboycott Compliance, Bureau of Industry and Security, U.S.
Department of Commerce, 14th Street and Constitution Avenue, N.W., Room
H-6099C, Washington, D.C. 20230, Tel: (202) 482-2381, Facsimile: (202)
482-0913.
(b) Failure to report violations. Failure to report potential
violations may result in the unwarranted issuance of licenses or exports
without the required
[[Page 264]]
licenses to the detriment of the interests of the United States.
(c) Reporting requirement distinguished. The reporting provisions in
paragraph (a) of this section are not ``reporting requirements'' within
the meaning of Sec. 764.2(i) of this part.
(d) Formerly embargoed destinations. Reporting requirements for
activities within the scope of Sec. 764.2(e) that involve items subject
to the EAR which may have been illegally exported or reexported to Libya
prior to the lifting of the comprehensive embargo on Libya are found in
Sec. 764.7 of the EAR.
[61 FR 12902, Mar. 25, 1996, as amended at 70 FR 14391, Mar. 22, 2005]
Sec. 764.5 Voluntary self-disclosure.
(a) General policy. BIS strongly encourages disclosure to the Office
of Export Enforcement (OEE) if you believe that you may have violated
the EAR, or any order, license or authorization issued thereunder. As
described in supplement no. 1 to part 766, voluntary self-disclosure is
a mitigating factor, and a firm's deliberate decision not to disclose
significant apparent violations is an aggravating factor in determining
what administrative sanctions, if any, will be sought by OEE. A
deliberate decision not to disclose occurs when a firm uncovers a
significant apparent violation that it has committed but then chooses
not to file a VSD.
(b) Limitations. (1) The provisions of this section do not apply to
disclosures of violations relating to part 760 of the EAR.
(2) The provisions of this section apply only when information is
provided to OEE for its review in determining whether to take
administrative action under part 766 of the EAR for violations of the
export control provisions of the EAR.
(3) The provisions of this section apply only when information is
received by OEE for review prior to the time that OEE, or any other
agency of the United States Government, has learned the same or
substantially similar information from another source and has commenced
an investigation or inquiry in connection with that information.
(4) While voluntary self-disclosure is a mitigating factor in
determining what administrative sanctions, if any, will be sought by
OEE, it is a factor that is considered together with all other factors
in a case. The weight given to voluntary self-disclosure is solely
within the discretion of OEE, and the mitigating effect of voluntary
self-disclosure may be outweighed by aggravating factors. Voluntary
self-disclosure does not prevent transactions from being referred to the
Department of Justice for criminal prosecution. In such a case, OEE
would notify the Department of Justice of the voluntary self-disclosure,
but the consideration of that factor is within the discretion of the
Department of Justice.
(5) A firm will not be deemed to have made a disclosure under this
section unless the individual making the disclosure did so with the full
knowledge and authorization of the firm's senior management.
(6) The provisions of this section do not, nor should they be relied
on to, create, confer, or grant any rights, benefits, privileges, or
protection enforceable at law or in equity by any person, business, or
entity in any civil, criminal, administrative, or other matter.
(c) Voluntary self-disclosures involving minor or technical
violations--(1) General. Any person wanting to voluntarily disclose a
minor or technical violation should submit an abbreviated narrative
report, as described in paragraph (c)(2) of this section. A minor or
technical violation is one that does not contain any aggravating factors
present as defined in section III(A) of supplement no. 1 to part 766.
Examples of minor or technical violations include, but are not limited
to, immaterial Electronic Export Information (EEI) filing errors,
inadvertent record keeping violations resulting from failed file
retrieval or retention mechanisms (e.g., physical damage caused by flood
or fire and/or electronic corruption due to malware, virus, or outage),
incorrect use of one license exception where other license exceptions
were available, etc.
(2) Abbreviated narrative report. The abbreviated narrative report
should be submitted by email to [email protected] or in writing
to the address in paragraph (d)(7) of this section. The email subject
line
[[Page 265]]
should include the word ``abbreviated'' if it is an abbreviated VSD.:
(i) The notification should include:
(A) The name of the person making the disclosure and should
designate a contact person regarding the abbreviated narrative report
and provide that contact person's current business street address, email
address, and telephone number; and
(B) A description of the general nature and extent of the violations
(including, but not limited to, the destination and parties involved in
any transaction, and the number, classification, and value of any items
involved). Parties may itemize the various minor or technical violations
in list or spreadsheet form.
(ii) The Director of OEE at their discretion may request a full
narrative report pursuant to paragraph (d)(3) of this section if OEE
suspects the presence of aggravating factors which will be due in 180
days from the date of the OEE Director's request.
(3) Bundling of minor/technical violations. Parties may bundle
multiple minor or technical violations into one overarching submission,
if the violations occurred within the preceding quarter. Parties may
submit such minor or technical violations into a single VSD submission
on a quarterly basis using the abbreviated narrative account process
identified in paragraph (c)(2) of this section.
(d) Voluntary self-disclosures involving significant violations--(1)
General. Any person wanting to voluntarily disclose a significant
violation should, in the manner outlined in paragraph (c)(2) of this
section, initially notify OEE as soon as possible after violations are
discovered, and then conduct a thorough review of all export-related
transactions where violations are suspected. A significant violation is
one that involves one or more aggravating factors as defined in section
III(A) of supplement no. 1 to part 766. Those unsure of whether their
possible disclosure relates to a minor or technical violation, or a
significant violation, should follow the procedure in paragraph (d)(2)
of this section for a significant violation.
(2) Initial notification--(i) Manner and content of initial
notification. The initial notification should be submitted by email to
[email protected] or in writing to the address in paragraph
(d)(7) of this section. The notification should include the name of the
person making the disclosure and a brief description of the suspected
violations and should designate a contact person regarding the initial
notification and provide that contact person's current business street
address, email address, and telephone number. The notification should
describe the general nature and extent of the violations. OEE recognizes
that there may be situations where it will not be practical to make an
initial notification in writing. For example, written notification may
not be practical if a shipment leaves the United States without the
required license, yet there is still an opportunity to prevent
acquisition of the items by unauthorized persons. In such situations,
OEE should be contacted promptly at the office listed in paragraph
(d)(7) of this section.
(ii) Initial notification date. For purposes of calculating when a
complete narrative account must be submitted under paragraph (d)(2)(iii)
of this section, the initial notification date is the date the
notification is received by OEE. OEE will notify the disclosing party in
writing of the date that it receives the initial notification. At OEE's
discretion, such writing from OEE may be on paper, or in an email
message or facsimile transmission from OEE, or by any other method for
the transmission of written communications. Where it is not practical to
make an initial notification in writing, the person making the
notification should confirm the oral notification in writing as soon as
possible.
(iii) Timely completion of narrative accounts. The full narrative
account required by paragraph (d)(3) of this section must be received by
OEE within 180 days of the initial notification date for purposes of
paragraph (b)(3) of this section, absent an extension from the Director
of OEE. If the person making the initial notification subsequently
completes and submits to OEE the narrative account required by paragraph
(d)(3) of this section such that OEE receives it within 180 days of the
initial
[[Page 266]]
notification date, or within the additional time, if any, granted by the
Director of OEE pursuant to paragraph (d)(2)(iv) of this section, the
disclosure, including violations disclosed in the narrative account that
were not expressly mentioned in the initial notification, will be deemed
to have been made on the initial notification date for purposes of
paragraph (b)(3) of this section if the initial notification was made in
compliance with paragraphs (d)(1) and (2) of this section. Failure to
meet the deadline (either the initial 180-day deadline or an extended
deadline granted by the Director of OEE) would not be an additional
violation of the EAR, but such failure may reduce or eliminate the
mitigating impact of the voluntary disclosure under supplement no. 1 to
this part. For purposes of determining whether the deadline has been met
under this paragraph, a complete narrative account must contain all of
the pertinent information called for in paragraphs (d)(3) through (5) of
this section, and the voluntary self-disclosure must otherwise meet the
requirements of this section.
(iv) Deadline extensions. The Director of OEE may extend the 180-day
deadline upon a determination in his or her discretion that U.S.
Government interests would be served by an extension or that the person
making the initial notification has shown that more than 180 days is
reasonably needed to complete the narrative account.
(A) Conditions for extension. The Director of OEE in his or her
discretion may place conditions on the approval of an extension. For
example, the Director of OEE may require that the disclosing person
agree to toll the statute of limitations with respect to violations
disclosed in the initial notification or discovered during the review
for or preparation of the narrative account, and/or require the
disclosing person to undertake specified interim remedial compliance
measures.
(B) Contents of request. (1) In most instances 180 days should be
adequate to complete the narrative account. Requests to extend the 180-
day deadline set forth in paragraph (d)(2)(iii) of this section will be
determined by the Director of OEE pursuant to his or her authority under
this paragraph (d)(2)(iv) based upon his consideration and evaluation of
U.S. Government interests and the facts and circumstances surrounding
the request and any related investigations. Such requests should show
specifically that the person making the request:
(i) Began its review promptly after discovery of the violations;
(ii) Has been conducting its review and preparation of the narrative
account as expeditiously as can be expected, consistent with the need
for completeness and accuracy;
(iii) Reasonably needs the requested extension despite having begun
its review promptly after discovery of the violations and having
conducted its review and preparation of the narrative account as
expeditiously as can be expected consistent with the need for
completeness and accuracy; and
(iv) Has considered whether interim compliance or other corrective
measures may be needed and has undertaken such measures as appropriate
to prevent recurring or additional violations.
(2) Such requests also should set out a proposed timeline for
completion and submission of the narrative account that is reasonable
under the applicable facts and circumstances and should also designate a
contact person regarding the request and provide that contact person's
current business street address, email address, and telephone number.
Requests may also include additional information that the person making
the request reasonably believes is pertinent to the request under the
applicable facts and circumstances.
(C) Timing of requests. Requests for an extension should be made
before the 180-day deadline and as soon as possible once a disclosing
person determines that it will be unable to meet the deadline or the
extended deadline where an extension previously has been granted, and
possesses the information needed to prepare an extension request in
accordance with paragraph (d)(2)(iv)(B) of this section. Requests for
extension that are not received before the deadline for completing the
narrative account has passed will not be considered. Parties who request
an extension shortly before the deadline incur the risk that the
Director of OEE will be
[[Page 267]]
unable to consider the request, determine whether or not to grant the
extension, and communicate his or her decision before the deadline, and
that any subsequently submitted narrative account will be considered
untimely under paragraph (d)(2)(iii) of this section.
(3) Full narrative. After the initial notification, a thorough
review should be conducted of export-related transactions where
violations with potentially aggravating factors are suspected (as
defined in section III(A) of supplement no. 1 to part 766). OEE
recommends that the review cover a period of five years prior to the
date of the initial notification. If your review goes back less than
five years, you risk failing to discover violations that may later
become the subject of an investigation. Any violations not voluntarily
disclosed do not receive consideration under this section. However, the
failure to make such disclosures will not be treated as a separate
violation unless some other section of the EAR or other provision of law
requires disclosure. Upon completion of the review, OEE should be
furnished with a narrative account that sufficiently describes the
suspected violations so that their nature and gravity can be assessed.
The narrative account should also describe the nature of the review
conducted and measures that may have been taken to minimize the
likelihood that violations will occur in the future. The narrative
account should include:
(i) The kind of violation involved, for example, a shipment without
the required license or dealing with a party denied export privileges;
(ii) An explanation of when and how the violations occurred;
(iii) The complete identities and addresses of all individuals and
organizations, whether foreign or domestic, involved in the activities
giving rise to the violations;
(iv) License numbers;
(v) The description, quantity, value in U.S. dollars and ECCN or
other classification of the items involved; and
(vi) A description of any mitigating circumstances.
(4) Supporting documentation. (i) The narrative account should be
accompanied by copies of documents that explain and support it,
including:
(A) Licensing documents such as licenses, license applications,
import certificates and end-user statements;
(B) Shipping documents such as Shipper's Export Declarations, air
waybills, bills of lading and packing lists; and
(C) Other documents such as letters, facsimiles, telexes and other
evidence of written or oral communications, internal memoranda, purchase
orders, invoices, letters of credit and brochures.
(ii) Any relevant documents not attached to the narrative account
must be retained by the person making the disclosure until OEE requests
them, or until a final decision on the disclosed information has been
made. After a final decision, the documents should be maintained in
accordance with the recordkeeping rules in part 762 of the EAR (15 CFR
part 762).
(5) Certification. A certification must be submitted stating that
all of the representations made in connection with the voluntary self-
disclosure are true and correct to the best of that person's knowledge
and belief. Certifications made by a corporation or other organization
should be signed by an official of the corporation or other organization
with the authority to do so. Sec. 764.2(g), relating to false or
misleading representations, applies in connection with the disclosure of
information under this section.
(6) Oral presentations. OEE believes that oral presentations are
generally not necessary to augment the written narrative account and
supporting documentation. If the person making the disclosure believes
otherwise, a request for a meeting should be included with the
disclosure.
(7) Where to make voluntary self-disclosures. The information
constituting a voluntary self-disclosure or any other correspondence
pertaining to a voluntary self-disclosure may be submitted by email to
[email protected] or mailed to: Director, Office of Export
Enforcement, 1401 Constitution Ave., Room H4514, Washington, DC 20230,
Tel: (202) 482-5036.
(e) Dual-track processing of Voluntary Self-Disclosures by the
Office of Export Enforcement. (1) For VSDs that involve
[[Page 268]]
minor or technical infractions, including abbreviated VSDs, OEE will
generally resolve the VSD within 60 days of a final VSD submission with
one of the actions in paragraphs (e)(1)(i) and (ii) of this section.
(i) Inform the person making the disclosure that, based on the facts
disclosed, it plans to take no action; or
(ii) Issue a warning letter.
(2) For VSDs that indicate significant violations, OEE will conduct
an investigation, and as quickly as the facts and circumstances of a
given case permit, OEE may take any of the following actions:
(i) Inform the person making the disclosure that, based on the facts
disclosed, it plans to take no action;
(ii) Issue a warning letter;
(iii) Issue a proposed charging letter pursuant to Sec. 766.18 of
the EAR and attempt to settle the matter;
(iv) Issue a charging letter pursuant to Sec. 766.3 of the EAR if a
settlement is not reached; and/or
(v) Refer the matter to the Department of Justice for criminal
prosecution.
(f) Criteria. Supplement no. 1 to part 766 describes how BIS
typically exercises its discretion regarding whether to pursue an
administrative enforcement case under part 766 and what administrative
sanctions to seek in settling such a case.
(g) Treatment of unlawfully exported items. (1) Any person taking
certain actions with knowledge that a violation of ECRA or the EAR has
occurred has violated Sec. 764.2(e).
(i) Any person who has made a voluntary self-disclosure knows that a
violation may have occurred. Therefore, at the time that a voluntary
self-disclosure is made, the person making the disclosure may request
permission from BIS to engage in the activities described in Sec.
764.2(e) that would otherwise be prohibited.
(ii) Any person may also notify the Director of OEE that a violation
has occurred and request permission from BIS to engage in the activities
described in Sec. 764.2(e) that would otherwise be prohibited.
(iii) Actions to return to the United States an item that has been
unlawfully exported and disclosed under this section only require
notification to the Director of OEE. Items subject to a violation that
have been returned to the United States do not require further
authorization under this paragraph (g) for future activities, provided
that those future activities comply with any applicable EAR
requirements.
(2) How to submit a request under paragraphs (g)(1)(i) through (iii)
of this section: A request should be submitted on letterhead, signed,
and sent to the Director of the Office of Exporter
Services at [email protected] with a copy sent to
[email protected]. The request should be specific and detail
the following information: nature of the violation including when and
how the violations occurred; description, quantity, value in U.S.
dollars and ECCN or other classification of the items involved; license
numbers, if applicable; identities and addresses of all individuals and
organizations subject to the request, the scope of the request
specifying the Sec. 764.2(e) activities, including end-use, and point
of contact. A copy of the initial or final VSD or notification made to
the Director of OEE should be attached to the request.
(3) If a request submitted pursuant to paragraph (g)(1)(i) or (ii)
of this section is granted by the Office of Exporter Services in
consultation with OEE, future activities with respect to those items
that would otherwise violate Sec. 764.2(e) will not constitute
violations.
Note 1 to paragraph (g)(3):
Even if permission is granted, the person making a voluntary self-
disclosure pursuant to paragraph (g)(1)(i) of this section is not
absolved from liability for any violations disclosed nor relieved of the
obligation to obtain any required reexport authorizations.
(4) Reexports and transfers (in-country). To reexport or transfer
(in-country) items that are the subject of a voluntary self-disclosure
or notification, and that have been exported contrary to the provisions
of ECRA or the EAR, authorization may be requested from BIS in
accordance with the provisions of part 748 of the EAR (15 CFR part 748).
If the applicant who submitted the reexport or transfer authorization
knows that the items are the subject of a voluntary self-disclosure or
notification, the request should state that a
[[Page 269]]
voluntary self-disclosure or notification was made in connection with
the export of the items for which authorization is sought and a copy of
the voluntary self-disclosure or notification should be included with
the license application.
Note 2 to paragraph (g)(4):
If the items are otherwise eligible for reexport or transfer under a
license exception or the No License Required (NLR) designation, a
request under this paragraph (g) may be submitted to obtain permission
for the use of the license exception or NLR designation for such
reexport or transfer, provided the transaction otherwise meets the terms
and conditions of the license exception or NLR designation.
(5) Automated Export System (AES) filing errors. Disclosures and
notifications of AES filing errors reported to OEE under paragraphs
(g)(1)(i) and (ii) of this section, where no other violation of the EAR
only require notification to OEE and do not require authorization under
this paragraph (g) to engage in activities subject to the EAR. The AES
filing must be corrected with the Census Bureau before proceeding with
such activities provided the activities meet any applicable EAR
requirements. If another violation, such as failure to obtain a required
license, has occurred in addition to the AES filing error, authorization
under this paragraph (g) is required.
[61 FR 12902, Mar. 25, 1996, as amended at 62 FR 25469, May 9, 1997; 69
FR 7870, Feb. 20, 2004; 70 FR 22250, Apr. 29, 2005; 78 FR 48605, Aug. 9,
2013; 89 FR 75482, Sept. 16, 2024]
Sec. 764.6 Protective administrative measures.
(a) License Exception limitation. As provided in Sec. 740.2(b) of
the EAR, all License Exceptions are subject to revision, suspension, or
revocation.
(b) Revocation or suspension of licenses. As provided in Sec. 750.8
of the EAR, all licenses are subject to revision, suspension, or
revocation.
(c) Temporary denial orders. BIS may, in accordance with Sec.
766.24 of the EAR, issue an order temporarily denying export privileges
when such an order is necessary in the public interest to prevent the
occurrence of an imminent violation.
(d) Denial based on criminal conviction. BIS may, in accordance with
Sec. 766.25 of the EAR, issue an order denying the export privileges of
any person who has been convicted of an offense specified in Sec. 11(h)
of the EAA.
Sec. 764.7 Activities involving items that may have been illegally
exported or reexported to Libya.
(a) Introduction. As set forth in Sec. 764.2(e) of this part, and
restated in General Prohibition Ten at Sec. 736.2(b)(10) of the EAR, no
person (including a non-U.S. Third Party) may order, buy, remove,
conceal, store, use, sell, loan, dispose of, transfer, finance, forward,
or otherwise service, in whole or in part, any item subject to the EAR
with knowledge that a violation has occurred, or will occur, in
connection with the item. This section addresses the application of
Sec. 764.2(e) of this part to activities involving items subject to the
EAR that may have been illegally exported or reexported to Libya before
the comprehensive embargo on Libya ended (April 29, 2004) (``installed
base'' items).
(b) Libya--(1) Activities involving installed base items in Libya
for which no license is required. Subject to the reporting requirement
set forth in paragraph (b)(1)(ii) of this section, activities within the
scope of Sec. 764.2(e) of this part involving installed base items
described in paragraph (b)(1)(i) of this section that are located in
Libya and that were exported or reexported before April 29, 2004 do not
require a license from BIS.
(i) Scope. An installed base item is within the scope of paragraph
(b)(1) of this section if:
(A) It is not on the Commerce Control List in supplement no. 1 to
part 774 of the EAR;
(B) It is on the Commerce Control List, but is authorized for export
or reexport pursuant to a License Exception to Libya; or
(C) It is on the Commerce Control List and controlled only for AT
reasons or for NS and AT reasons only, and is not listed on the
Wassenaar Arrangement's Sensitive List (Annex 1) or Very Sensitive List
(Annex 2) posted on the Wassenaar Arrangement's Web site
(www.wassenaar.org) at the Control Lists web page.
[[Page 270]]
Note 1 to paragraph (b)(1)(i): An item being exported or reexported
to Libya may require a license based on the classification of the item
to be exported or reexported regardless of whether the item will be used
in connection with an installed base item. See paragraph (b)(4) of this
section.
Note 2 to paragraph (b)(1)(i): Not all items listed on the Wassenaar
Arrangement's Annex 1, Sensitive List, and Annex 2, Very Sensitive List,
fall under the export licensing jurisdiction of the Department of
Commerce. Please refer to the Commerce Control List for additional
jurisdictional information related to those items. Also, if you do not
have access to the internet to review the Wassenaar Arrangement's
Sensitive List and Very Sensitive List, please contact the Office of
Exporter Services, Division of Exporter Counseling for assistance at
telephone number (202) 482-4811.
(ii) Reporting requirement. Any person engaging in activity
described in paragraph (b)(1) of this section must submit to BIS's
Office of Export Enforcement (OEE) a report including all known material
facts with respect to how the installed base item arrived in Libya. The
report must be submitted to OEE at the address identified in Sec.
764.4(a) of the EAR within ninety (90) days of the first activity
relating to the installed base item in Libya. A report may address more
than one activity and/or more than one installed base item. An
additional report must be submitted if any new material information
regarding the export or reexport to Libya of the installed base item is
discovered.
(2) Licensing procedure for activities involving installed base
items in Libya--(i) License requirement. Any person seeking to undertake
activities within the scope of Sec. 764.2(e) of the EAR with respect to
any installed base item located in Libya and not described in paragraph
(b)(1)(i) of this section must obtain a license from BIS prior to
engaging in any such activities. License applications should be
submitted in accordance with Sec. Sec. 748.1, 748.4 and 748.6 of the
EAR, and should fully describe the relevant activity within the scope of
Sec. 764.2(e) of this part which is the basis of the application.
License applications should include all known material facts as to how
the installed base item originally was exported or reexported to Libya.
This section also applies if you know that an item to be exported or
reexported to a third party will be used on an installed base item not
described in paragraph (b)(1)(i) of this section.
(ii) Licensing policy. BIS will review license applications
submitted pursuant to paragraph (b)(2)(i) of this section on a case-by-
case basis. Favorable consideration will be given for those applications
related to civil end-uses in Libya. Applications related to military,
police, intelligence, or other sensitive end-uses in Libya will be
subject to a general policy of denial.
(3) Exclusion. The provisions of this section are not applicable to
any activities within the scope of Sec. 764.2(e) of the EAR undertaken
with respect to an installed base item in Libya by a person who was
party to the original illegal export or reexport of the related
installed base item to Libya. Such persons should voluntarily self-
disclose violations pursuant to the procedures set forth in Sec. 764.5
of this part, which in some cases may allow activities related to
unlawfully exported or reexported items to be undertaken based on
permission from BIS.
(4) Relationship to other Libya license requirements.
Notwithstanding this section, a license may be required pursuant to
another provision of the EAR to engage in activity involving Libya. If a
license is required pursuant to another section of the EAR, and the
transaction also involves activity within the scope of Sec. 764.2(e) of
this part related to an installed base item in Libya, this information
should be specified on the license application. Such applications must
also include all known information as to how the installed base item
originally arrived in Libya. If granted, the license for the proposed
transaction will also authorize the related activity within the scope of
Sec. 764.2(e) of this part.
[70 FR 14391, Mar. 22, 2005, as amended at 71 FR 51719, Aug. 31, 2006;
73 FR 49331, Aug. 21, 2008]
Sec. 764.8 Voluntary self-disclosures for boycott violations.
This section sets forth procedures for disclosing violations of part
760 of the EAR--Restrictive Trade Practices or Boycotts and violations
of part 762--Recordkeeping--with respect to records related to part 760.
In this section,
[[Page 271]]
these provisions are referred to collectively as the ``antiboycott
provisions.'' This section also describes BIS's policy regarding such
disclosures.
(a) General policy. BIS strongly encourages disclosure to the Office
of Antiboycott Compliance (OAC) if you believe that you may have
violated the antiboycott provisions. Voluntary self-disclosures are a
mitigating factor with respect to any enforcement action that OAC might
take.
(b) Limitations. (1) This section does not apply to disclosures of
violations relating to provisions of the EAR other than the antiboycott
provisions. Section 764.5 of this part describes how to prepare
disclosures of violations of the EAR other than the antiboycott
provisions.
(2) The provisions of this section apply only when information is
provided to OAC for its review in determining whether to take
administrative action under parts 764 and 766 of the EAR for violations
of the antiboycott provisions.
(3) Timing. The provisions of this section apply only if OAC
receives the voluntary self-disclosure as described in paragraph (c)(2)
of this section before it commences an investigation or inquiry in
connection with the same or substantially similar information it
received from another source.
(i) Mandatory reports. For purposes of this section, OAC's receipt
of a report required to be filed under Sec. 760.5 of the EAR that
discloses that a person took an action prohibited by part 760 of the EAR
constitutes the receipt of information from another source.
(ii) Requests for advice. For purposes of this section, a violation
that is revealed to OAC by a person who is seeking advice, either by
telephone or e-mail, about the antiboycott provisions does not
constitute the receipt of information from another source. Such
revelation also does not constitute a voluntary self-disclosure or
initial notification of a voluntary self-disclosure for purposes of this
section.
(4) Although a voluntary self-disclosure is a mitigating factor in
determining what administrative sanctions, if any, will be sought by
BIS, it is a factor that is considered together with all other factors
in a case. The weight given to voluntary self-disclosure is solely
within the discretion of BIS, and the mitigating effect of voluntary
self-disclosure may be outweighed by aggravating factors. Voluntary
self-disclosure does not prevent transactions from being referred to the
Department of Justice for criminal prosecution. In such a case, BIS
would notify the Department of Justice of the voluntary self-disclosure,
but the decision as to how to consider that factor is within the
discretion of the Department of Justice.
(5) A firm will not be deemed to have made a disclosure under this
section unless the individual making the disclosure did so with the full
knowledge and authorization of the firm's senior management or of a
person with authority to make such disclosures on behalf of the firm.
(6) The provisions of this section do not, nor should they be relied
on to, create, confer, or grant any rights, benefits, privileges, or
protection enforceable at law or in equity by any person, business, or
entity in any civil, criminal, administrative, or other matter.
(c) Information to be provided--(1) General. Any person wanting to
disclose information that constitutes a voluntary self-disclosure
should, in the manner outlined below, initially notify OAC as soon as
possible after violations are discovered, and then conduct a thorough
review of all transactions where violations of the antiboycott
provisions are suspected.
(2) Initial notification. The initial notification must be in
writing and be sent to the address in Sec. 764.8(c)(7) of this part.
The notification should include the name of the person making the
disclosure and a brief description of the suspected violations. The
notification should describe the general nature and extent of the
violations. If the person making the disclosure subsequently completes
the narrative account required by Sec. 764.8(c)(3) of this part, the
disclosure will be deemed to have been made on the date of the initial
notification for purposes of Sec. 764.8(b)(3) of this part.
(3) Narrative account. After the initial notification, a thorough
review should
[[Page 272]]
be conducted of all business transactions where possible antiboycott
provision violations are suspected. OAC recommends that the review cover
a period of five years prior to the date of the initial notification. If
your review goes back less than five years, you risk failing to discover
violations that may later become the subject of an investigation. Any
violations not voluntarily disclosed do not receive the same mitigation
as the violations voluntarily self-disclosed under this section.
However, the failure to make such disclosures will not be treated as a
separate violation unless some other section of the EAR or other
provision of law enforced by BIS requires disclosure. Upon completion of
the review, OAC should be furnished with a narrative account that
sufficiently describes the suspected violations so that their nature and
gravity can be assessed. The narrative account should also describe the
nature of the review conducted and measures that may have been taken to
minimize the likelihood that violations will occur in the future. The
narrative account should include:
(i) The kind of violation involved, for example, the furnishing of a
certificate indicating that the goods supplied did not originate in a
boycotted country;
(ii) An explanation of when and how the violations occurred,
including a description of activities surrounding the violations (e.g.,
contract negotiations, sale of goods, implementation of letter of
credit, bid solicitation);
(iii) The complete identities and addresses of all individuals and
organizations, whether foreign or domestic, involved in the activities
giving rise to the violations; and
(iv) A description of any mitigating factors.
(4) Supporting documentation.
(i) The narrative account should be accompanied by copies of
documents that explain and support it, including:
(A) Copies of boycott certifications and declarations relating to
the violation, or copies of documents containing prohibited language or
prohibited requests for information;
(B) Other documents relating to the violation, such as letters,
facsimiles, telexes and other evidence of written or oral
communications, negotiations, internal memoranda, purchase orders,
invoices, bid requests, letters of credit and brochures;
(ii) Any relevant documents not attached to the narrative account
must be retained by the person making the disclosure until the latest of
the following: the documents are supplied to OAC; BIS informs the
disclosing party that it will take no action; BIS issues a warning
letter for the violation; BIS issues an order that constitutes the final
agency action in the matter and all avenues for appeal are exhausted; or
the documents are no longer required to be kept under part 762 of the
EAR.
(5) Certification. A certification must be submitted stating that
all of the representations made in connection with the voluntary self-
disclosure are true and correct to the best of that person's knowledge
and belief. Certifications made by a corporation or other organization
should be signed by an official of the corporation or other organization
with the authority to do so. Section 764.2(g) of this part relating to
false or misleading representations applies in connection with the
disclosure of information under this section.
(6) Oral presentations. OAC believes that oral presentations are
generally not necessary to augment the written narrative account and
supporting documentation. If the person making the disclosure believes
otherwise, a request for a meeting should be included with the
disclosure.
(7) Where to make voluntary self-disclosures. The information
constituting a voluntary self-disclosure or any other correspondence
pertaining to a voluntary self-disclosure should be submitted to: Office
of Antiboycott Compliance, 14th and Pennsylvania Ave., NW., Room 6098,
Washington, DC 20230, tel: (202) 482-2381, facsimile: (202) 482-0913.
(d) Action by the Office of Antiboycott Compliance. After OAC has
been provided with the required narrative and supporting documentation,
it will acknowledge the disclosure by letter, provide the person making
the disclosure with a point of contact, and take whatever additional
action, including
[[Page 273]]
further investigation, it deems appropriate. As quickly as the facts and
circumstances of a given case permit, BIS may take any of the following
actions:
(1) Inform the person making the disclosure that, based on the facts
disclosed, it plans to take no action;
(2) Issue a warning letter;
(3) Issue a proposed charging letter and attempt to settle the
matter pursuant to Sec. 766.18 of the EAR;
(4) Issue a charging letter pursuant to Sec. 766.3 of the EAR if a
settlement is not reached or BIS otherwise deems appropriate; and/or
(5) Refer the matter to the Department of Justice for criminal
prosecution.
(e) Criteria. Supplement no. 2 to part 766 of the EAR describes how
BIS typically exercises its discretion regarding whether to pursue an
antiboycott administrative enforcement case under part 766 and what
administrative sanctions to seek in settling such a case.
[72 FR 39004, July 17, 2007]
Sec. Supplement No. 1 to Part 764--Standard Terms of Orders Denying
Export Privileges
(a) General. (1) Orders denying export privileges may be
``standard'' or ``non-standard.'' This Supplement specifies terms of the
standard order denying export privilege with respect to denial orders
issued after March 25, 1996. Denial orders issued prior to March 25,
1996 are to be construed, insofar as possible, as having the same scope
and effect as the standard denial order. All denial orders are published
in the Federal Register. The failure by any person to comply with any
denial order is a violation of the Export Administration Regulations
(EAR) (see Sec. 764.2(k) of this part). BIS provides a list of persons
currently subject to denial orders on its Web site at http://
www.bis.doc.gov.
(2) Each denial order shall include:
(i) The name and address of any denied persons and any related
persons subject to the denial order;
(ii) The basis for the denial order, such as final decision
following charges of violation, settlement agreement, section 11(h) of
the EAA, or temporary denial order request;
(iii) The period of denial, the effective date of the order, whether
and for how long any portion of the denial of export privileges is
suspended, and any conditions of probation; and
(iv) Whether any or all outstanding licenses issued under the EAR to
the person(s) named in the denial order or in which such person(s) has
an interest, are suspended or revoked.
Denial orders issued prior to March 25, 1996, are to be construed,
insofar as possible, as having the same scope and effect as the standard
denial order.
The introduction to each denial order shall be specific to that
order, and shall include: (1) The name and address of any denied persons
and any related persons subject to the denial order; (2) the basis for
the denial order, such as final decision following charges of violation,
settlement agreement, Sec. 11(h) of the EAA, or temporary denial order
request; (3) the period of denial, the effective date of the order,
whether and for how long any portion of the denial of export privileges
is suspended, and any conditions of probation; and (4) whether any or
all outstanding licenses issued under the EAR to the person(s) named in
the denial order or in which such person(s) has an interest, are
suspended or revoked.
(b) Standard denial order terms. The following are the standard
terms for imposing periods of export denial. Some orders also contain
other terms, such as those that impose civil penalties, or that suspend
all or part of the penalties or period of denial.
``It is therefore ordered:
First, that [the denied person(s)] may not, directly or indirectly,
participate in any way in any transaction involving any commodity,
software or technology (hereinafter collectively referred to as
``item'') exported or to be exported from the United States that is
subject to the Export Administration Regulations (EAR), or in any other
activity subject to the EAR, including, but not limited to:
A. Applying for, obtaining, or using any license, license exception,
or export control document;
B. Carrying on negotiations concerning, or ordering, buying,
receiving, using, selling, delivering, storing, disposing of,
forwarding, transporting, financing, or otherwise servicing in any way,
any transaction involving any item exported or to be exported from the
United States that is subject to the EAR, or in any other activity
subject to the EAR; or
C. Benefiting in any way from any transaction involving any item
exported or to be exported from the United States that is subject to the
EAR, or in any other activity subject to the EAR.
Second, that no person may, directly or indirectly, do any of the
following:
A. Export, reexport, or transfer (in-country) to or on behalf of the
denied person any item subject to the EAR;
B. Take any action that facilitates the acquisition or attempted
acquisition by a denied person of the ownership, possession, or control
of any item subject to the EAR that has been or will be exported from
the United States, including financing or other support
[[Page 274]]
activities related to a transaction whereby a denied person acquires or
attempts to acquire such ownership, possession or control;
C. Take any action to acquire from or to facilitate the acquisition
or attempted acquisition from the denied person of any item subject to
the EAR that has been exported from the United States;
D. Obtain from the denied person in the United States any item
subject to the EAR with knowledge or reason to know that the item will
be, or is intended to be, exported from the United States; or
E. Engage in any transaction to service any item subject to the EAR
that has been or will be exported from the United States and which is
owned, possessed or controlled by a denied person, or service any item,
of whatever origin, that is owned, possessed or controlled by a denied
person if such service involves the use of any item subject to the EAR
that has been or will be exported from the United States. For purposes
of this paragraph, servicing means installation, maintenance, repair,
modification or testing.
Third, that, after notice and opportunity for comment as provided in
Sec. 766.23 of the EAR, any person, firm, corporation, or business
organization related to the denied person by affiliation, ownership,
control, or position of responsibility in the conduct of trade or
related services may also be made subject to the provisions of this
order.
This order, which constitutes the final agency action in this
matter, is effective [DATE OF ISSUANCE].''
[61 FR 12902, Mar. 25, 1996, as amended at 67 FR 54953, Aug. 27, 2002;
70 FR 8720, Feb. 23, 2005; 78 FR 22727, Apr. 16, 2013; 85 FR 73417, Nov.
18, 2020]
PART 766_ADMINISTRATIVE ENFORCEMENT PROCEEDINGS--Table of Contents
Sec.
766.1 Scope.
766.2 Definitions.
766.3 Institution of administrative enforcement proceedings.
766.4 Representation.
766.5 Filing and service of papers other than charging letter.
766.6 Answer and demand for hearing.
766.7 Default.
766.8 Summary decision.
766.9 Discovery.
766.10 Subpoenas.
766.11 Matter protected against disclosure.
766.12 Prehearing conference.
766.13 Hearings.
766.14 Interlocutory review of rulings.
766.15 Proceeding without a hearing.
766.16 Procedural stipulations; extension of time.
766.17 Decision of the administrative law judge.
766.18 Settlement.
766.19 Reopening.
766.20 Record for decision and availability of documents.
766.21 Appeals.
766.22 Review by Under Secretary.
766.23 Related persons.
766.24 Temporary denials.
766.25 Administrative action denying export privileges.
Supplement No. 1 to Part 766--Guidance on Charging and Penalty
Determinations in Settlement of Administrative Enforcement
Cases
Supplement No. 2 to Part 766--Guidance on Charging and Penalty
Determinations in Settlement of Administrative Enforcement
Cases Involving Antiboycott Matters
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12907, Mar. 25, 1996, unless otherwise noted.
Sec. 766.1 Scope.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C. This part describes the procedures for imposing
administrative sanctions for violations of the Export Administration Act
of 1979, as amended (the EAA), the Export Administration Regulations
(EAR), or any order, license or authorization issued thereunder. Parts
760 and 764 of the EAR specify those actions that constitute violations,
and part 764 describes the sanctions that apply. In addition to
describing the procedures for imposing sanctions, this part describes
the procedures for imposing temporary denial orders to prevent imminent
violations of the EAA, the EAR, or any order, license or authorization
issued thereunder. This part also describes the procedures for taking
the discretionary protective administrative action of denying the export
privileges of persons who have been convicted of violating any of the
statutes, including the EAA, listed in section 11(h) of the EAA. Nothing
in this part shall be construed as applying to or limiting other
administrative or enforcement action relating to the EAA or the EAR,
including the exercise of any investigative authorities conferred by the
EAA. This part does not confer any procedural
[[Page 275]]
rights or impose any requirements based on the Administrative Procedure
Act for proceedings charging violations under the EAA, except as
expressly provided for in this part.
Sec. 766.2 Definitions.
As used in this part, the following definitions apply:
Administrative law judge. The person authorized to conduct hearings
in administrative enforcement proceedings brought under the EAA or to
hear appeals from the imposition of temporary denial orders. The term
``judge'' may be used for brevity when it is clear that the reference is
to the administrative law judge.
Assistant Secretary. The Assistant Secretary for Export Enforcement,
Bureau of Industry and Security.
Bureau of Industry and Security (BIS). Bureau of Industry and
Security, U.S. Department of Commerce (formerly the Bureau of Export
Administration) and all of its component units, including, in particular
for purposes of this part, the Office of Antiboycott Compliance, the
Office of Export Enforcement, and the Office of Exporter Services.
Final decision. A decision or order assessing a civil penalty,
denial of export privileges or other sanction, or otherwise disposing of
or dismissing a case, which is not subject to further review under this
part, but which is subject to collection proceedings or judicial review
in an appropriate Federal district court as authorized by law.
Initial decision. A decision of the administrative law judge in
proceedings involving violations relating to part 760 of the EAR, which
is subject to appellate review by the Under Secretary of Commerce for
Industry and Security, but which becomes the final decision in the
absence of such an appeal.
Party. BIS and any person named as a respondent under this part.
Recommended decision. A decision of the administrative law judge in
proceedings involving violations other than those relating to part 760
of the EAR, which is subject to review by the Under Secretary of
Commerce for Industry and Security, who issues a written order
affirming, modifying or vacating the recommended decision.
Respondent. Any person named as the subject of a charging letter,
proposed charging letter, temporary denial order, or other order
proposed or issued under this part.
Under Secretary. The Under Secretary for Industry and Security,
United States Department of Commerce.
[61 FR 12907, Mar. 25, 1996, as amended at 67 FR 20631, Apr. 26, 2002;
70 FR 8250, Feb. 18, 2005]
Sec. 766.3 Institution of administrative enforcement proceedings.
(a) Charging letters. The Director of the Office of Export
Enforcement (OEE) or the Director of the Office of Antiboycott
Compliance (OAC), as appropriate, or such other Department of Commerce
official as may be designated by the Assistant Secretary of Commerce for
Export Enforcement, may begin administrative enforcement proceedings
under this part by issuing a charging letter in the name of BIS.
Supplements nos. 1 and 2 to this part describe how BIS typically
exercises its discretion regarding the issuance of charging letters. The
charging letter shall constitute the formal complaint and will state
that there is reason to believe that a violation of the EAA, the EAR, or
any order, license or authorization issued thereunder, has occurred. It
will set forth the essential facts about the alleged violation, refer to
the specific regulatory or other provisions involved, and give notice of
the sanctions available under part 764 of the EAR. The charging letter
will inform the respondent that failure to answer the charges as
provided in Sec. 766.6 of this part will be treated as a default under
Sec. 766.7 of this part, that the respondent is entitled to a hearing
if a written demand for one is requested with the answer, and that the
respondent may be represented by counsel, or by other authorized
representative who has a power of attorney to represent the respondent.
A copy of the charging letter shall be filed with the administrative law
judge, which filing shall toll the running of the applicable statute of
limitations. Charging letters may be amended or supplemented at any time
before an answer is filed, or, with permission of the administrative
[[Page 276]]
law judge, afterwards. BIS may unilaterally withdraw charging letters at
any time, by notifying the respondent and the administrative law judge.
(b) Notice of issuance of charging letter instituting administrative
enforcement proceeding. A respondent shall be notified of the issuance
of a charging letter, or any amendment or supplement thereto:
(1) By sending a copy by registered or certified mail or by express
mail or commercial courier or delivery service addressed to the
respondent at the respondent's last known address;
(2) By leaving a copy with the respondent or with an officer, a
managing or general agent, or any other agent authorized by appointment
or by law to receive service of process for the respondent; or
(3) By leaving a copy with a person of suitable age and discretion
who resides at the respondent's last known dwelling.
(4) Delivery of a copy of the charging letter, if made in the manner
described in paragraph (b)(2) or (3) of this section, shall be evidenced
by a certificate of service signed by the person making such service,
stating the method of service and the identity of the person with whom
the charging letter was left. The certificate of service shall be filed
with the administrative law judge.
(c) The date of service of notice of the issuance of a charging
letter instituting an administrative enforcement proceeding, or service
of notice of the issuance of a supplement or amendment to a charging
letter, is the date of its delivery, or of its attempted delivery, by
any means described in paragraph (b)(1) of this section.
[61 FR 12907, Mar. 25, 1996, as amended at 69 FR 7870, Feb. 20, 2004; 72
FR 39005, July 17, 2007; 78 FR 48606, Aug. 9, 2013]
Sec. 766.4 Representation.
A respondent individual may appear and participate in person, a
corporation by a duly authorized officer or employee, and a partnership
by a partner. If a respondent is represented by counsel, counsel shall
be a member in good standing of the bar of any State, Commonwealth or
Territory of the United States, or of the District of Columbia, or be
licensed to practice law in the country in which counsel resides if not
the United States. A respondent personally, or through counsel or other
representative, shall file a notice of appearance with the
administrative law judge. BIS will be represented by the Office of Chief
Counsel for Industry and Security, U.S. Department of Commerce.
[61 FR 12907, Mar. 25, 1996, as amended at 67 FR 45633, July 10, 2002]
Sec. 766.5 Filing and service of papers other than charging letter.
(a) Filing. All papers to be filed shall be addressed to EAR
Administrative Enforcement Proceedings, U.S. Coast Guard, ALJ Docketing
Center, 40 S. Gay Street, Baltimore, Maryland, 21202-4022, or such other
place as the administrative law judge may designate. Filing by United
States mail, first class postage prepaid, by express or equivalent
parcel delivery service, or by hand delivery, is acceptable. Filing by
mail from a foreign country shall be by airmail. In addition, the
administrative law judge may authorize filing of papers by facsimile or
other electronic means, provided that a hard copy of any such paper is
subsequently filed. A copy of each paper filed shall be simultaneously
served on each party.
(b) Service. Service shall be made by personal delivery or by
mailing one copy of each paper to each party in the proceeding. Service
by delivery service or facsimile, in the manner set forth in paragraph
(a) of this section, is acceptable. Service on BIS shall be addressed to
the Chief Counsel for Industry and Security, Room H-3839, U.S.
Department of Commerce, 14th Street and Constitution Avenue, N.W.,
Washington, D.C. 20230. Service on a respondent shall be to the address
to which the charging letter was sent or to such other address as
respondent may provide. When a party has appeared by counsel or other
representative, service on counsel or other representative shall
constitute service on that party.
[[Page 277]]
(c) Date. The date of filing or service is the day when the papers
are deposited in the mail or are delivered in person, by delivery
service, or by facsimile.
(d) Certificate of service. A certificate of service signed by the
party making service, stating the date and manner of service, shall
accompany every paper, other than the charging letter, filed and served
on parties.
(e) Computing period of time. In computing any period of time
prescribed or allowed by this part or by order of the administrative law
judge or the Under Secretary, the day of the act, event, or default from
which the designated period of time begins to run is not to be included.
The last day of the period so computed is to be included unless it is a
Saturday, a Sunday, or a legal holiday (as defined in Rule 6(a) of the
Federal Rules of Civil Procedure), in which case the period runs until
the end of the next day which is neither a Saturday, a Sunday, nor a
legal holiday. Intermediate Saturdays, Sundays, and legal holidays are
excluded from the computation when the period of time prescribed or
allowed is seven days or less.
[61 FR 12907, Mar. 25, 1996, as amended at 67 FR 45633, July 10, 2002;
70 FR 8250, Feb. 18, 2005]
Sec. 766.6 Answer and demand for hearing.
(a) When to answer. The respondent must answer the charging letter
within 30 days after being served with notice of the issuance of a
charging letter instituting an administrative enforcement proceeding, or
within 30 days of notice of any supplement or amendment to a charging
letter, unless time is extended under Sec. 766.16 of this part.
(b) Contents of answer. The answer must be responsive to the
charging letter and must fully set forth the nature of the respondent's
defense or defenses. The answer must admit or deny specifically each
separate allegation of the charging letter; if the respondent is without
knowledge, the answer must so state and will operate as a denial.
Failure to deny or controvert a particular allegation will be deemed an
admission of that allegation. The answer must also set forth any
additional or new matter the respondent believes supports a defense or
claim of mitigation. Any defense or partial defense not specifically set
forth in the answer shall be deemed waived, and evidence thereon may be
refused, except for good cause shown.
(c) Demand for hearing. If the respondent desires a hearing, a
written demand for one must be submitted with the answer. Any demand by
BIS for a hearing must be filed with the administrative law judge within
30 days after service of the answer. Failure to make a timely written
demand for a hearing shall be deemed a waiver of the party's right to a
hearing, except for good cause shown. If no party demands a hearing, the
matter will go forward in accordance with the procedures set forth in
Sec. 766.15 of this part.
(d) English language required. The answer, all other papers, and all
documentary evidence must be submitted in English, or translations into
English must be filed and served at the same time.
Sec. 766.7 Default.
(a) General. Failure of the respondent to file an answer within the
time provided constitutes a waiver of the respondent's right to appear
and contest the allegations in the charging letter. In such event, the
administrative law judge, on BIS's motion and without further notice to
the respondent, shall find the facts to be as alleged in the charging
letter and render an initial or recommended decision containing findings
of fact and appropriate conclusions of law and issue or recommend an
order imposing appropriate sanctions. The decision and order shall be
subject to review by the Under Secretary in accordance with the
applicable procedures set forth in Sec. 766.21 or Sec. 766.22 of this
part.
(b) Petition to set aside default--(1) Procedure. Upon petition
filed by a respondent against whom a default order has been issued,
which petition is accompanied by an answer meeting the requirements of
Sec. 766.6(b) of this part, the Under Secretary may, after giving all
parties an opportunity to comment, and for good cause shown, set aside
the default and vacate the order entered thereon and remand the matter
to the
[[Page 278]]
administrative law judge for further proceedings.
(2) Time limits. A petition under this section must be made within
one year of the date of entry of the order which the petition seeks to
have vacated.
Sec. 766.8 Summary decision.
At any time after a proceeding has been initiated, a party may move
for a summary decision disposing of some or all of the issues. The
administrative law judge may render an initial or recommended decision
and issue or recommend an order if the entire record shows, as to the
issue(s) under consideration:
(a) That there is no genuine issue as to any material fact; and
(b) That the moving party is entitled to a summary decision as a
matter of law.
Sec. 766.9 Discovery.
(a) General. The parties are encouraged to engage in voluntary
discovery regarding any matter, not privileged, which is relevant to the
subject matter of the pending proceeding. The provisions of the Federal
Rules of Civil Procedure relating to discovery apply to the extent
consistent with this part and except as otherwise provided by the
administrative law judge or by waiver or agreement of the parties. The
administrative law judge may make any order which justice requires to
protect a party or person from annoyance, embarrassment, oppression, or
undue burden or expense. These orders may include limitations on the
scope, method, time and place of discovery, and provisions for
protecting the confidentiality of classified or otherwise sensitive
information.
(b) Interrogatories and requests for admission or production of
documents. A party may serve on any party interrogatories, requests for
admission, or requests for production of documents for inspection and
copying, and a party concerned may apply to the administrative law judge
for such enforcement or protective order as that party deems warranted
with respect to such discovery. The service of a discovery request shall
be made at least 20 days before the scheduled date of the hearing unless
the administrative law judge specifies a shorter time period. Copies of
interrogatories, requests for admission and requests for production of
documents and responses thereto shall be served on all parties, and a
copy of the certificate of service shall be filed with the
administrative law judge. Matters of fact or law of which admission is
requested shall be deemed admitted unless, within a period designated in
the request (at least 10 days after service, or within such additional
time as the administrative law judge may allow), the party to whom the
request is directed serves upon the requesting party a sworn statement
either denying specifically the matters of which admission is requested
or setting forth in detail the reasons why the party to whom the request
is directed cannot truthfully either admit or deny such matters.
(c) Depositions. Upon application of a party and for good cause
shown, the administrative law judge may order the taking of the
testimony of any person by deposition and the production of specified
documents or materials by the person at the deposition. The application
shall state the purpose of the deposition and set forth the facts sought
to be established through the deposition.
(d) Enforcement. The administrative law judge may order a party to
answer designated questions, to produce specified documents or things or
to take any other action in response to a proper discovery request. If a
party does not comply with such an order, the administrative law judge
may make a determination or enter any order in the proceeding as the
judge deems reasonable and appropriate. The judge may strike related
charges or defenses in whole or in part or may take particular facts
relating to the discovery request to which the party failed or refused
to respond as being established for purposes of the proceeding in
accordance with the contentions of the party seeking discovery. In
addition, enforcement by a district court of the United States may be
sought under section 12(a) of the EAA.
Sec. 766.10 Subpoenas.
(a) Issuance. Upon the application of any party, supported by a
satisfactory
[[Page 279]]
showing that there is substantial reason to believe that the evidence
would not otherwise be available, the administrative law judge will
issue subpoenas requiring the attendance and testimony of witnesses and
the production of such books, records or other documentary or physical
evidence for the purpose of the hearing, as the judge deems relevant and
material to the proceedings, and reasonable in scope.
(b) Service. Subpoenas issued by the administrative law judge may be
served in any of the methods set forth in Sec. 766.5(b) of this part.
(c) Timing. Applications for subpoenas must be submitted at least 10
days before the scheduled hearing or deposition, unless the
administrative law judge determines, for good cause shown, that
extraordinary circumstances warrant a shorter time.
Sec. 766.11 Matter protected against disclosure.
(a) Protective measures. It is often necessary for BIS to receive
and consider information and documents that are sensitive from the
standpoint of national security, foreign policy, business
confidentiality, or investigative concern, and that are to be protected
against disclosure. Accordingly, and without limiting the discretion of
the administrative law judge to give effect to any other applicable
privilege, it is proper for the administrative law judge to limit
discovery or introduction of evidence or to issue such protective or
other orders as in the judge's judgment may be consistent with the
objective of preventing undue disclosure of the sensitive documents or
information. Where the administrative law judge determines that
documents containing the sensitive matter need to be made available to a
respondent to avoid prejudice, the judge may direct BIS to prepare an
unclassified and nonsensitive summary or extract of the documents. The
administrative law judge may compare the extract or summary with the
original to ensure that it is supported by the source document and that
it omits only so much as must remain classified or undisclosed. The
summary or extract may be admitted as evidence in the record.
(b) Arrangements for access. If the administrative law judge
determines that this procedure is unsatisfactory and that classified or
otherwise sensitive matter must form part of the record in order to
avoid prejudice to a party, the judge may provide the parties
opportunity to make arrangements that permit a party or a representative
to have access to such matter without compromising sensitive
information. Such arrangements may include obtaining security
clearances, obtaining a national interest determination under section
12(c) of the EAA, or giving counsel for a party access to sensitive
information and documents subject to assurances against further
disclosure, including a protective order, if necessary.
Sec. 766.12 Prehearing conference.
(a) The administrative law judge, on the judge's own motion or on
request of a party, may direct the parties to participate in a
prehearing conference, either in person or by telephone, to consider:
(1) Simplification of issues;
(2) The necessity or desirability of amendments to pleadings;
(3) Obtaining stipulations of fact and of documents to avoid
unnecessary proof; or
(4) Such other matters as may expedite the disposition of the
proceedings.
(b) The administrative law judge may order the conference
proceedings to be recorded electronically or taken by a reporter,
transcribed and filed with the judge.
(c) If a prehearing conference is impracticable, the administrative
law judge may direct the parties to correspond with the judge to achieve
the purposes of such a conference.
(d) The administrative law judge will prepare a summary of any
actions agreed on or taken pursuant to this section. The summary will
include any written stipulations or agreements made by the parties.
Sec. 766.13 Hearings.
(a) Scheduling. The administrative law judge, by agreement with the
parties or upon notice to all parties of not less than 30 days, will
schedule a hearing. All hearings will be held in Washington, D.C.,
unless the administrative
[[Page 280]]
law judge determines, for good cause shown, that another location would
better serve the interests of justice.
(b) Hearing procedure. Hearings will be conducted in a fair and
impartial manner by the administrative law judge, who may limit
attendance at any hearing or portion thereof to the parties, their
representatives and witnesses if the judge deems this necessary or
advisable in order to protect sensitive matter (see Sec. 766.11 of this
part) from improper disclosure. The rules of evidence prevailing in
courts of law do not apply, and all evidentiary material deemed by the
administrative law judge to be relevant and material to the proceeding
and not unduly repetitious will be received and given appropriate
weight.
(c) Testimony and record. Witnesses will testify under oath or
affirmation. A verbatim record of the hearing and of any other oral
proceedings will be taken by reporter or by electronic recording,
transcribed and filed with the administrative law judge. A respondent
may examine the transcript and may obtain a copy by paying any
applicable costs. Upon such terms as the administrative law judge deems
just, the judge may direct that the testimony of any person be taken by
deposition and may admit an affidavit or declaration as evidence,
provided that any affidavits or declarations have been filed and served
on the parties sufficiently in advance of the hearing to permit a party
to file and serve an objection thereto on the grounds that it is
necessary that the affiant or declarant testify at the hearing and be
subject to cross-examination.
(d) Failure to appear. If a party fails to appear in person or by
counsel at a scheduled hearing, the hearing may nevertheless proceed,
and that party's failure to appear will not affect the validity of the
hearing or any proceedings or action taken thereafter.
Sec. 766.14 Interlocutory review of rulings.
(a) At the request of a party, or on the judge's own initiative, the
administrative law judge may certify to the Under Secretary for review a
ruling that does not finally dispose of a proceeding, if the
administrative law judge determines that immediate review may hasten or
facilitate the final disposition of the matter.
(b) Upon certification to the Under Secretary of the interlocutory
ruling for review, the parties will have 10 days to file and serve
briefs stating their positions, and five days to file and serve replies,
following which the Under Secretary will decide the matter promptly.
Sec. 766.15 Proceeding without a hearing.
If the parties have waived a hearing, the case will be decided on
the record by the administrative law judge. Proceeding without a hearing
does not relieve the parties from the necessity of proving the facts
supporting their charges or defenses. Affidavits or declarations,
depositions, admissions, answers to interrogatories and stipulations may
supplement other documentary evidence in the record. The administrative
law judge will give each party reasonable opportunity to file rebuttal
evidence.
Sec. 766.16 Procedural stipulations; extension of time.
(a) Procedural stipulations. Unless otherwise ordered, a written
stipulation agreed to by all parties and filed with the administrative
law judge will modify any procedures established by this part.
(b) Extension of time. (1) The parties may extend any applicable
time limitation, by stipulation filed with the administrative law judge
before the time limitation expires.
(2) The administrative law judge may, on the judge's own initiative
or upon application by any party, either before or after the expiration
of any applicable time limitation, extend the time within which to file
and serve an answer to a charging letter or do any other act required by
this part.
Sec. 766.17 Decision of the administrative law judge.
(a) Predecisional matters. Except for default proceedings under
Sec. 766.7 of this part, the administrative law judge will give the
parties reasonable opportunity to submit the following, which will be
made a part of the record:
[[Page 281]]
(1) Exceptions to any ruling by the judge or to the admissibility of
evidence proffered at the hearing;
(2) Proposed findings of fact and conclusions of law;
(3) Supporting legal arguments for the exceptions and proposed
findings and conclusions submitted; and
(4) A proposed order.
(b) Decision and order. After considering the entire record in the
proceeding, the administrative law judge will issue a written decision.
(1) Initial decision. For proceedings charging violations relating
to part 760 of the EAR, the decision rendered shall be an initial
decision. The decision will include findings of fact, conclusions of
law, and findings as to whether there has been a violation of the EAA,
the EAR, or any order, license or authorization issued thereunder. If
the administrative law judge finds that the evidence of record is
insufficient to sustain a finding that a violation has occurred with
respect to one or more charges, the judge shall order dismissal of the
charges in whole or in part, as appropriate. If the administrative law
judge finds that one or more violations have been committed, the judge
may issue an order imposing administrative sanctions, as provided in
part 764 of the EAR. The decision and order shall be served on each
party, and shall become effective as the final decision of the
Department 30 days after service, unless an appeal is filed in
accordance with Sec. 766.21 of this part.
(2) Recommended decision. For proceedings not involving violations
relating to part 760 of the EAR, the decision rendered shall be a
recommended decision. The decision will include recommended findings of
fact, conclusions of law, and findings as to whether there has been a
violation of the EAA, the EAR or any order, license or authorization
issued thereunder. If the administrative law judge finds that the
evidence of record is insufficient to sustain a recommended finding that
a violation has occurred with respect to one or more charges, the judge
shall recommend dismissal of any such charge. If the administrative law
judge finds that one or more violations have been committed, the judge
shall recommend an order imposing administrative sanctions, as provided
in part 764 of the EAR, or such other action as the judge deems
appropriate. The administrative law judge shall immediately certify the
record, including the original copy of the recommended decision and
order, to the Under Secretary for review in accordance with Sec. 766.22
of this part. The administrative law judge shall also immediately serve
the recommended decision on all parties. Because of the time limits
established in the EAA for review by the Under Secretary, service upon
parties shall be by personal delivery, express mail or other overnight
carrier.
(c) Suspension of sanctions. Any order imposing administrative
sanctions may provide for the suspension of the sanction imposed, in
whole or in part and on such terms of probation or other conditions as
the administrative law judge or the Under Secretary may specify. Any
suspension order may be modified or revoked by the signing official upon
application of BIS showing a violation of the probationary terms or
other conditions, after service on the respondent of notice of the
application in accordance with the service provisions of Sec. 766.3 of
this part, and with such opportunity for response as the responsible
signing official in his/her discretion may allow. A copy of any order
modifying or revoking the suspension shall also be served on the
respondent in accordance with the provisions of Sec. 766.3 of this
part.
(d) Time for decision. Administrative enforcement proceedings not
involving violations relating to part 760 of the EAR shall be concluded,
including review by the Under Secretary under Sec. 766.22 of this part,
within one year of the submission of a charging letter, unless the
administrative law judge, for good cause shown, extends such period. The
charging letter will be deemed to have been submitted to the
administrative law judge on the date the respondent files an answer or
on the date BIS files a motion for a default order pursuant to Sec.
766.7(a) of this part, whichever occurs first.
Sec. 766.18 Settlement.
(a) Cases may be settled before service of a charging letter. In
cases in which settlement is reached before service of a
[[Page 282]]
charging letter, a proposed charging letter will be prepared, and a
settlement proposal consisting of a settlement agreement and order will
be submitted to the Assistant Secretary for approval and signature. If
the Assistant Secretary does not approve the proposal, he/she will
notify the parties and the case will proceed as though no settlement
proposal had been made. If the Assistant Secretary approves the
proposal, he/she will issue an appropriate order, and no action will be
required by the administrative law judge.
(b) Cases may also be settled after service of a charging letter.
(1) If the case is pending before the administrative law judge, the
judge shall stay the proceedings for a reasonable period of time,
usually not to exceed 30 days, upon notification by the parties that
they have entered into good faith settlement negotiations. The
administrative law judge may, in his/her discretion, grant additional
stays. If settlement is reached, a proposal will be submitted to the
Assistant Secretary for approval and signature. If the Assistant
Secretary approves the proposal, he/she will issue an appropriate order,
and notify the administrative law judge that the case is withdrawn from
adjudication. If the Assistant Secretary does not approve the proposal,
he/she will notify the parties and the case will proceed to adjudication
by the administrative law judge as though no settlement proposal had
been made.
(2) If the case is pending before the Under Secretary under Sec.
766.21 or Sec. 766.22 of this part, the parties may submit a settlement
proposal to the Under Secretary for approval and signature. If the Under
Secretary approves the proposal, he/she will issue an appropriate order.
If the Under Secretary does not approve the proposal, the case will
proceed to final decision in accordance with Sec. 766.21 or Sec.
766.22 of this part, as appropriate.
(c) Any order disposing of a case by settlement may suspend the
administrative sanction imposed, in whole or in part, on such terms of
probation or other conditions as the signing official may specify. Any
such suspension may be modified or revoked by the signing official, in
accordance with the procedures set forth in Sec. 766.17(c) of this
part.
(d) Any respondent who agrees to an order imposing any
administrative sanction does so solely for the purpose of resolving the
claims in the administrative enforcement proceeding brought under this
part. This reflects the fact that BIS has neither the authority nor the
responsibility for instituting, conducting, settling, or otherwise
disposing of criminal proceedings. That authority and responsibility are
vested in the Attorney General and the Department of Justice.
(e) Cases that are settled may not be reopened or appealed.
(f) Supplements nos. 1 and 2 to this part describe how BIS typically
exercises its discretion regarding the terms under which it is willing
to settle particular cases.
[61 FR 12907, Mar. 25, 1996, as amended at 69 FR 7870, Feb. 20, 2004; 72
FR 39006, July 17, 2007]
Sec. 766.19 Reopening.
The respondent may petition the administrative law judge within one
year of the date of the final decision, except where the decision arises
from a default judgment or from a settlement, to reopen an
administrative enforcement proceeding to receive any relevant and
material evidence which was unknown or unobtainable at the time the
proceeding was held. The petition must include a summary of such
evidence, the reasons why it is deemed relevant and material, and the
reasons why it could not have been presented at the time the proceedings
were held. The administrative law judge will grant or deny the petition
after providing other parties reasonable opportunity to comment. If the
proceeding is reopened, the administrative law judge may make such
arrangements as the judge deems appropriate for receiving the new
evidence and completing the record. The administrative law judge will
then issue a new initial or recommended decision and order, and the case
will proceed to final decision and order in accordance with Sec. 766.21
or Sec. 766.22 of this part, as appropriate.
[[Page 283]]
Sec. 766.20 Record for decision and availability of documents.
(a) General. The transcript of hearings, exhibits, rulings, orders,
all papers and requests filed in the proceedings and, for purposes of
any appeal under Sec. 766.21 of this part or review under Sec. 766.22
of this part, the decision of the administrative law judge and such
submissions as are provided for by Sec. Sec. 766.21 and 766.22 of this
part, will constitute the record and the exclusive basis for decision.
When a case is settled after the service of a charging letter, the
record will consist of any and all of the foregoing, as well as the
settlement agreement and the order. When a case is settled before
service of a charging letter, the record will consist of the proposed
charging letter, the settlement agreement and the order.
(b) Restricted access. On the judge's own motion, or on the motion
of any party, the administrative law judge may direct that there be a
restricted access portion of the record for any material in the record
to which public access is restricted by law or by the terms of a
protective order entered in the proceedings. A party seeking to restrict
access to any portion of the record is responsible for submitting, at
the time specified in Sec. 766.20(c)(2) of this part, a version of the
document proposed for public availability that reflects the requested
deletion. The restricted access portion of the record will be placed in
a separate file and the file will be clearly marked to avoid improper
disclosure and to identify it as a portion of the official record in the
proceedings. The administrative law judge may act at any time to permit
material that becomes declassified or unrestricted through passage of
time to be transferred to the unrestricted access portion of the record.
(c) Availability of documents--(1) Scope. (i) For proceedings
started on or after October 12, 1979, all charging letters, answers,
initial and recommended decisions, and orders disposing of a case will
be made available for public inspection in the BIS Freedom of
Information Records Inspection Facility, U.S. Department of Commerce,
Room H-6624, 14th Street and Pennsylvania Avenue, N.W., Washington, D.C.
20230. The complete record for decision, as defined in paragraphs (a)
and (b) of this section will be made available on request. In addition,
all decisions of the Under Secretary on appeal pursuant to Sec. 766.22
of this part and those final orders providing for denial, suspension or
revocation of export privileges shall be published in the Federal
Register.
(ii) For proceedings started before October 12, 1979, the public
availability of the record for decision will be governed by the
applicable regulations in effect when the proceedings were begun.
(2) Timing--(i) Antiboycott cases. For matters relating to part 760
of the EAR, documents are available immediately upon filing, except for
any portion of the record for which a request for segregation is made.
Parties that seek to restrict access to any portion of the record under
paragraph (b) of this section must make such a request, together with
the reasons supporting the claim of confidentiality, simultaneously with
the submission of material for the record.
(ii) Other cases. In all other cases, documents other than charging
letters filed on or after June 2, 2022, will be available only after the
final administrative disposition of the case. In these cases, parties
desiring to restrict access to any portion of the record under paragraph
(b) of this section must assert their claim of confidentiality, together
with the reasons for supporting the claim, before the close of the
proceeding.
[61 FR 12907, Mar. 25, 1996, as amended at 87 FR 34153, June 6, 2022]
Sec. 766.21 Appeals.
(a) Grounds. For proceedings charging violations relating to part
760 of the EAR, a party may appeal to the Under Secretary from an order
disposing of a proceeding or an order denying a petition to set aside a
default or a petition for reopening, on the grounds:
(1) That a necessary finding of fact is omitted, erroneous or
unsupported by substantial evidence of record;
(2) That a necessary legal conclusion or finding is contrary to law;
(3) That prejudicial procedural error occurred, or
(4) That the decision or the extent of sanctions is arbitrary,
capricious or an
[[Page 284]]
abuse of discretion. The appeal must specify the grounds on which the
appeal is based and the provisions of the order from which the appeal is
taken.
(b) Filing of appeal. An appeal from an order must be filed with the
Office of the Under Secretary for Export Administration, Bureau of
Industry and Security, U.S. Department of Commerce, Room H-3898, 14th
Street and Constitution Avenue, NW., Washington, DC 20230, within 30
days after service of the order appealed from. If the Under Secretary
cannot act on an appeal for any reason, the Under Secretary will
designate another Department of Commerce official to receive and act on
the appeal.
(c) Effect of appeal. The filing of an appeal shall not stay the
operation of any order, unless the order by its express terms so
provides or unless the Under Secretary, upon application by a party and
with opportunity for response, grants a stay.
(d) Appeal procedure. The Under Secretary normally will not hold
hearings or entertain oral argument on appeals. A full written statement
in support of the appeal must be filed with the appeal and be
simultaneously served on all parties, who shall have 30 days from
service to file a reply. At his/her discretion, the Under Secretary may
accept new submissions, but will not ordinarily accept those submissions
filed more than 30 days after the filing of the reply to the appellant's
first submission.
(e) Decisions. The decision will be in writing and will be
accompanied by an order signed by the Under Secretary giving effect to
the decision. The order may either dispose of the case by affirming,
modifying or reversing the order of the administrative law judge or may
refer the case back to the administrative law judge for further
proceedings.
Sec. 766.22 Review by Under Secretary.
(a) Recommended decision. For proceedings not involving violations
relating to part 760 of the EAR, the administrative law judge shall
immediately refer the recommended decision and order to the Under
Secretary. Because of the time limits provided under the EAA for review
by the Under Secretary, service of the recommended decision and order on
the parties, all papers filed by the parties in response, and the final
decision of the Under Secretary must be by personal delivery, facsimile,
express mail or other overnight carrier. If the Under Secretary cannot
act on a recommended decision and order for any reason, the Under
Secretary will designate another Department of Commerce official to
receive and act on the recommendation.
(b) Submissions by parties. Parties shall have 12 days from the date
of issuance of the recommended decision and order in which to submit
simultaneous responses. Parties thereafter shall have eight days from
receipt of any response(s) in which to submit replies. Any response or
reply must be received within the time specified by the Under Secretary.
(c) Final decision. Within 30 days after receipt of the recommended
decision and order, the Under Secretary shall issue a written order
affirming, modifying or vacating the recommended decision and order of
the administrative law judge. If he/she vacates the recommended decision
and order, the Under Secretary may refer the case back to the
administrative law judge for further proceedings. Because of the time
limits, the Under Secretary's review will ordinarily be limited to the
written record for decision, including the transcript of any hearing,
and any submissions by the parties concerning the recommended decision.
(d) Delivery. The final decision and implementing order shall be
served on the parties and will be publicly available in accordance with
Sec. 766.20 of this part.
[61 FR 12907, Mar. 25, 1996, as amended at 75 FR 33683, June 15, 2010]
Sec. 766.23 Related persons.
(a) General. In order to prevent evasion, certain types of orders
under this part may be made applicable not only to the respondent, but
also to other persons then or thereafter related to the respondent by
ownership, control, position of responsibility, affiliation, or other
connection in the conduct of trade or business. Orders that may be made
applicable to related persons include those that deny or affect export
[[Page 285]]
privileges, including temporary denial orders, and those that exclude a
respondent from practice before BIS.
(b) Procedures. If BIS has reason to believe that a person is
related to the respondent and that an order that is being sought or that
has been issued should be made applicable to that person in order to
prevent evasion of the order, BIS shall, except in an ex parte
proceeding under Sec. 766.24(a) of this part, give that person notice
in accordance with Sec. 766.5(b) of this part and an opportunity to
oppose such action. If the official authorized to issue the order
against the respondent finds that the order should be made applicable to
that person in order to prevent evasion of the order that official shall
issue or amend the order accordingly.
(c) Appeals. Any person named by BIS in an order as related to the
respondent may appeal that action. The sole issues to be raised and
ruled on in any such appeal are whether the person so named is related
to the respondent and whether the order is justified in order to prevent
evasion.
(1) A person named as related to the respondent in an order issued
pursuant to Sec. 766.25 may file an appeal with the Under Secretary for
Industry and Security pursuant to part 756 of the EAR.
(2) A person named as related to the respondent in an order issued
pursuant to other provisions of this part may file an appeal with the
administrative law judge.
(i) If the order made applicable to the related person is for a
violation related to part 760 of the EAR, the related person may file an
appeal with the administrative law judge. The related person may appeal
the initial decision and order of the administrative law judge to the
Under Secretary in accordance with the procedures set forth in Sec.
766.21.
(ii) If the order made applicable to the related person is issued
pursuant to Sec. 766.24 of this part to prevent an imminent violation,
the recommended decision and order of the administrative law judge shall
be reviewed by the Under Secretary in accordance with the procedures set
forth in Sec. 766.24(e) of this part.
(iii) If the order made applicable to the related person is for a
violation of the EAR not related to part 760 of the EAR and not issued
pursuant to Sec. 766.24 of this part, the recommended decision and
order of the administrative law judge shall be reviewed by the Under
Secretary in accordance with the procedures set forth in Sec. 766.22 of
this part.
[61 FR 12907, Mar. 25, 1996, as amended at 71 FR 27605, May 12, 2006]
Sec. 766.24 Temporary denials.
(a) General. The procedures in this section apply to temporary
denial orders issued on or after July 12, 1985. For temporary denial
orders issued on or before July 11, 1985, the proceedings will be
governed by the applicable regulations in effect at the time the
temporary denial orders were issued. Without limiting any other action
BIS may take under the EAR with respect to any application, order,
license or authorization issued under ECRA, BIS may ask the Assistant
Secretary to issue a temporary denial order on an ex parte basis to
prevent an imminent violation, as defined in this section, of the ECRA,
the EAR, or any order, license or authorization issued thereunder. The
temporary denial order will deny export privileges to any person named
in the order as provided for in Sec. 764.3(a)(2) of the EAR.
(b) Issuance. (1) The Assistant Secretary may issue an order
temporarily denying to a person any or all of the export privileges
described in part 764 of the EAR upon a showing by BIS that the order is
necessary in the public interest to prevent an imminent violation of
ECRA, the EAR, or any order, license or authorization issued thereunder.
(2) The temporary denial order shall define the imminent violation
and state why it was issued without a hearing. Because all denial orders
are public, the description of the imminent violation and the reasons
for proceeding on an ex parte basis set forth therein shall be stated in
a manner that is consistent with national security, foreign policy,
business confidentiality, and investigative concerns.
(3) A violation may be ``imminent'' either in time or in degree of
likelihood. To establish grounds for the temporary denial order, BIS may
show either that a violation is about to occur, or that the general
circumstances of
[[Page 286]]
the matter under investigation or case under criminal or administrative
charges demonstrate a likelihood of future violations. To indicate the
likelihood of future violations, BIS may show that the violation under
investigation or charges is significant, deliberate, covert and/or
likely to occur again, rather than technical or negligent, and that it
is appropriate to give notice to companies in the United States and
abroad to cease dealing with the person in U.S.-origin items in order to
reduce the likelihood that a person under investigation or charges
continues to export or acquire abroad such items, risking subsequent
disposition contrary to export control requirements. Lack of information
establishing the precise time a violation may occur does not preclude a
finding that a violation is imminent, so long as there is sufficient
reason to believe the likelihood of a violation.
(4) The temporary denial order will be issued for a period not
exceeding 180 days.
(5) Notice of the issuance of a temporary denial order on an ex
parte basis shall be given in accordance with Sec. 766.5(b) of this
part upon issuance.
(c) Related persons. A temporary denial order may be made applicable
to related persons in accordance with Sec. 766.23 of this part.
(d) Renewal. (1) If, no later than 20 days before the expiration
date of a temporary denial order, BIS believes that renewal of the
denial order is necessary in the public interest to prevent an imminent
violation, BIS may file a written request setting forth the basis for
its belief, including any additional or changed circumstances, asking
that the Assistant Secretary renew the temporary denial order, with
modifications, if any are appropriate, for an additional period not
exceeding 180 days. In cases demonstrating a pattern of repeated,
ongoing and/or continuous apparent violations, BIS may request the
renewal of a temporary denial order for an additional period not
exceeding one year. BIS's request shall be delivered to the respondent,
or any agent designated for this purpose, in accordance with Sec.
766.5(b) of this part unless exceptional circumstances exist, which will
constitute notice of the renewal application.
(2) Non-resident respondents. To facilitate timely notice of renewal
requests, a respondent not a resident of the United States may designate
a local agent for this purpose and provide written notification of such
designation to BIS in the manner set forth in Sec. 766.5(b) of this
part.
(3) Hearing. (i) A respondent may oppose renewal of a temporary
denial order by filing with the Assistant Secretary a written
submission, supported by appropriate evidence, to be received not later
than seven days before the expiration date of such order. For good cause
shown, the Assistant Secretary may consider submissions received not
later than five days before the expiration date. The Assistant Secretary
ordinarily will not allow discovery; however, for good cause shown in
respondent's submission, he/she may allow the parties to take limited
discovery, consisting of a request for production of documents. If
requested by the respondent in the written submission, the Assistant
Secretary shall hold a hearing on the renewal application. The hearing
shall be on the record and ordinarily will consist only of oral
argument. The only issue to be considered on BIS's request for renewal
is whether the temporary denial order should be continued to prevent an
imminent violation as defined herein.
(ii) Any person designated as a related person may not oppose the
issuance or renewal of the temporary denial order, but may file an
appeal in accordance with Sec. 766.23(c) of this part.
(iii) If no written opposition to BIS's renewal request is received
within the specified time, the Assistant Secretary may issue the order
renewing the temporary denial order without a hearing.
(4) A temporary denial order may be renewed more than once.
(e) Appeals--(1) Filing. (i) A respondent may, at any time, file an
appeal of the initial or renewed temporary denial order with the
administrative law judge.
(ii) The filing of an appeal shall stay neither the effectiveness of
the temporary denial order nor any application for renewal, nor will it
operate to bar
[[Page 287]]
the Assistant Secretary's consideration of any renewal application.
(2) Grounds. A respondent may appeal on the grounds that the finding
that the order is necessary in the public interest to prevent an
imminent violation is unsupported.
(3) Appeal procedure. A full written statement in support of the
appeal must be filed with the appeal together with appropriate evidence,
and be simultaneously served on BIS, which shall have seven days from
receipt to file a reply. Service on the administrative law judge shall
be addressed to U.S. Coast Guard, ALJ Docketing Center, 40 S. Gay
Street, Baltimore, Maryland, 21202-4022. Service on BIS shall be as set
forth in Sec. 766.5(b) of this part. The administrative law judge
normally will not hold hearings or entertain oral argument on appeals.
(4) Recommended decision. Within 10 working days after an appeal is
filed, the administrative law judge shall submit a recommended decision
to the Under Secretary, and serve copies on the parties, recommending
whether the issuance or the renewal of the temporary denial order should
be affirmed, modified or vacated.
(5) Final decision. Within five working days after receipt of the
recommended decision, the Under Secretary shall issue a written order
accepting, rejecting or modifying the recommended decision. Because of
the time constraints, the Under Secretary's review will ordinarily be
limited to the written record for decision, including the transcript of
any hearing. The issuance or renewal of the temporary denial order shall
be affirmed only if there is reason to believe that the temporary denial
order is required in the public interest to prevent an imminent
violation of ECRA, the EAR, or any order, license or other authorization
issued under ECRA.
(f) Delivery. A copy of any temporary denial order issued or renewed
and any final decision on appeal shall be published in the Federal
Register and shall be delivered to BIS and to the respondent, or any
agent designated for this purpose, and to any related person in the same
manner as provided in Sec. 766.5 of this part for filing for papers
other than a charging letter.
[61 FR 12907, Mar. 25, 1996, as amended at 71 FR 14099, Mar. 21, 2006;
71 FR 27606, May 12, 2006; 75 FR 33683, June 15, 2010; 88 FR 59793, Aug.
30, 2023]
Sec. 766.25 Administrative action denying export privileges.
(a) General. The Director of the Office of Export Enforcement (OEE),
in consultation with the Director of the Office of Exporter Services,
may deny the export privileges of any person who has been convicted of a
violation of any of the statutes set forth at 50 U.S.C. 4819(e)(1)(B),
including any regulation, license, or order issued pursuant to such
statutes.
(b) Procedure. Upon notification that a person has been convicted of
a violation of one or more of the provisions specified in paragraph (a)
of this section, the Director of OEE, in consultation with the Director
of the Office of Exporter Services, will determine whether to deny such
person export privileges, including but not limited to applying for,
obtaining, or using any license, License Exception, or export control
document; or participating in or benefitting in any way from any export
or export-related transaction subject to the EAR. Before taking action
to deny a person export privileges under this section, the Director of
OEE will provide the person written notice of the proposed action and an
opportunity to comment through a written submission, unless exceptional
circumstances exist. In reviewing the response, the Director of OEE will
consider any relevant or mitigating evidence why these privileges should
not be denied. Upon final determination, the Director of OEE will notify
by letter each person denied export privileges under this section.
(c) Criteria. In determining whether and for how long to deny U.S.
export privileges to a person previously convicted of one or more of the
statutes set forth in paragraph (a) of this section, the Director of OEE
may take into consideration any relevant information, including, but not
limited to, the seriousness of the offense involved in the criminal
prosecution, the nature and duration of the criminal sanctions
[[Page 288]]
imposed, and whether the person has undertaken any corrective measures.
(d) Duration. Any denial of export privileges under this section
shall not exceed 10 years from the date of the conviction of the person
who is subject to the denial.
(e) Effect. Any person denied export privileges under this section
will be considered a ``person denied export privileges'' for purposes of
Sec. 736.2(b)(4) (General Prohibition 4--Engage in actions prohibited
by a denial order) and Sec. 764.2(k) of the EAR.
(f) Publication. The orders denying export privileges under this
section are published in the Federal Register when issued, and, for the
convenience of the public, information about those orders may be
included in compilations maintained by BIS on a Web site and as a
supplement to the unofficial edition of the EAR available by
subscription from the Government Printing Office.
(g) Appeal. An appeal of an action under this section will be
pursuant to part 756 of the EAR.
(h) Applicability to related person. The Director of OEE, in
consultation with the Director of the Office of Exporter Services, may
take action in accordance with Sec. 766.23 of this part to make
applicable to related persons an order that is being sought or that has
been issued under this section.
[61 FR 12907, Mar. 25, 1996, as amended at 65 FR 14863, Mar. 20, 2000;
67 FR 54953, Aug. 27, 2002; 85 FR 73418, Nov. 18, 2020]
Sec. Supplement No. 1 to Part 766--Guidance on Charging and Penalty
Determinations in Settlement of Administrative Enforcement Cases
Introduction
This supplement describes how the Office of Export Enforcement (OEE)
at the Bureau of Industry and Security (BIS) responds to apparent
violations of the Export Administration Regulations (EAR) and,
specifically, how OEE makes penalty determinations in the settlement of
civil administrative enforcement cases under part 764 of the EAR. This
guidance does not apply to enforcement cases for violations under part
760 of the EAR--Restrictive Trade Practices or Boycotts. Supplement no.
2 to part 766 continues to apply to civil administrative enforcement
cases involving part 760 violations.
Because many administrative enforcement cases are resolved through
settlement, the process of settling such cases is integral to the
enforcement program. OEE carefully considers each settlement offer in
light of the facts and circumstances of the case, relevant precedent,
and OEE's objective to achieve in each case an appropriate penalty and
deterrent effect. In settlement negotiations, OEE encourages parties to
provide, and will give serious consideration to, information and
evidence that parties believe are relevant to the application of this
guidance to their cases, to whether a violation has in fact occurred, or
to whether they have an affirmative defense to potential charges.
This guidance does not confer any right or impose any obligation
regarding what penalties OEE may seek in litigating a case or what
posture OEE may take toward settling a case. Parties do not have a right
to a settlement offer or particular settlement terms from OEE,
regardless of settlement positions OEE has taken in other cases.
I. Definitions
Note: See also: Definitions contained in Sec. 766.2 of the EAR.
Apparent Violation means conduct that constitutes an actual or
possible violation of the Export Control Reform Act of 2018, the EAR,
other statutes administered or enforced by BIS, as well as executive
orders, regulations, orders, directives, or licenses issued pursuant
thereto.
Transaction value means the U.S. dollar value of a subject
transaction, as demonstrated by commercial invoices, bills of lading,
signed Customs declarations, AES filings or similar documents. Where the
transaction value is not otherwise ascertainable, OEE may consider the
market value of the items that were the subject of the transaction and/
or the economic benefit derived by the Respondent from the transaction,
in determining transaction value. In situations involving a lease of
U.S.-origin items, the transaction value will generally be the value of
the lease. For purposes of these guidelines, ``transaction value'' will
not necessarily have the same meaning, nor be applied in the same
manner, as that term is used for import valuation purposes at 19 CFR
152.103.
Voluntary self-disclosure means the self-initiated notification to
OEE of an apparent violation as described in and satisfying the
requirements of Sec. 764.5 of the EAR.
II. Types of Responses to Apparent Violations
OEE, among other responsibilities, investigates apparent violations
of the EAR, or any order, license or authorization issued thereunder.
When it appears that such a violation may have occurred, OEE
investigations may lead to no action, a warning letter
[[Page 289]]
or an administrative enforcement proceeding. A violation may also be
referred to the Department of Justice for criminal prosecution. The type
of enforcement action initiated by OEE will depend primarily on the
nature of the violation. Depending on the facts and circumstances of a
particular case, an OEE investigation may lead to one or more of the
following actions:
A. No Action. If OEE determines that there is insufficient evidence
to conclude that a violation has occurred, determines that a violation
did not occur and/or, based on an analysis of the Factors outlined in
section III of these guidelines, concludes that the conduct does not
rise to a level warranting an administrative response, then no action
will be taken. In such circumstances, if the investigation was initiated
by a voluntary self-disclosure (VSD), OEE will issue a letter (a no-
action letter) indicating that the investigation is being closed with no
administrative action being taken. OEE may issue a no-action letter in
non-voluntarily disclosed cases at its discretion. A no-action
determination by OEE represents OEE's disposition of the apparent
violation, unless OEE later learns of additional information regarding
the same or similar transactions or other relevant facts. A no-action
letter is not a final agency action with respect to whether a violation
occurred.
B. Warning Letter. If OEE determines that a violation may have
occurred but a civil penalty is not warranted under the circumstances,
and believes that the underlying conduct could lead to a violation in
other circumstances and/or that a Respondent does not appear to be
exercising due diligence in assuring compliance with the statutes,
executive orders, and regulations that OEE enforces, OEE may issue a
warning letter. A warning letter may convey OEE's concerns about the
underlying conduct and/or the Respondent's compliance policies,
practices, and/or procedures. It may also address an apparent violation
of a minor or technical nature, where good faith efforts to comply with
the law and cooperate with the investigation are present, or where the
investigation commenced as a result of a voluntary self-disclosure
satisfying the requirements of Sec. 764.5 of the EAR, provided that no
aggravating factors exist. In the exercise of its discretion, OEE may
determine in certain instances that issuing a warning letter, instead of
bringing an administrative enforcement proceeding, will achieve the
appropriate enforcement result. A warning letter will describe the
apparent violation and urge compliance. A warning letter represents
OEE's enforcement response to and disposition of the apparent violation,
unless OEE later learns of additional information concerning the same or
similar apparent violations. A warning letter does not constitute a
final agency action with respect to whether a violation has occurred.
C. Administrative enforcement case. If OEE determines that a
violation has occurred and, based on an analysis of the Factors outlined
in section III of these guidelines, concludes that the Respondent's
conduct warrants a civil monetary penalty or other administrative
sanctions, OEE may initiate an administrative enforcement case. The
issuance of a charging letter under Sec. 766.3 of the EAR initiates an
administrative enforcement proceeding. Charging letters may be issued
when there is reason to believe that a violation has occurred. Cases may
be settled before or after the issuance of a charging letter. See Sec.
766.18 of the EAR. OEE may prepare a proposed charging letter which
could result in a case being settled before issuance of an actual
charging letter. See Sec. 766.18(a) of the EAR. If a case does not
settle before issuance of a charging letter and the case proceeds to
adjudication, the resulting charging letter may include more violations
than alleged in the proposed charging letter, and the civil monetary
penalty amounts assessed may be greater that those provided for in
section IV of these guidelines. Civil monetary penalty amounts for cases
settled before the issuance of a charging letter will be determined as
discussed in section IV of these guidelines. A civil monetary penalty
may be assessed for each violation. The maximum amount of such a penalty
per violation is stated in Sec. 764.3(a)(1), subject to adjustments
under Federal Civil Penalties Inflation Adjustment Act Improvements Act
of 2015 (Pub. L. 114-74, sec. 701), which are codified at 15 CFR 6.4.
OEE will afford the Respondent an opportunity to respond to a proposed
charging letter. Responses to charging letters following the institution
of an enforcement proceeding under part 766 of the EAR are governed by
Sec. 766.3 of the EAR.
D. Non-Monetary Penalty. OEE may seek a non-monetary penalty if OEE
determines the violations are not egregious and have not resulted in
serious national security harm, but rise above the level of cases
warranting a warning letter or no-action letter. Instead of requiring
monetary penalties, such agreements will require remediation through the
imposition of a suspended denial order with certain conditions, such as
training and compliance requirements, as appropriate, to mitigate harm
from past violations and prevent future ones.
E. Civil Monetary Penalty. OEE may seek a civil monetary penalty if
OEE determines that a violation has occurred and, based on the Factors
outlined in section III of these guidelines, concludes that the
Respondent's conduct warrants a monetary penalty. Section IV of these
guidelines will guide the agency's exercise of its discretion in
determining civil monetary penalty amounts.
[[Page 290]]
F. Criminal Referral. In appropriate circumstances, OEE may refer
the matter to the Department of Justice for criminal prosecution.
Apparent violations referred for criminal prosecution also may be
subject to a civil monetary penalty and/or other administrative
sanctions or action by BIS.
G. Other Administrative Sanctions or Actions. In addition to or in
lieu of other administrative actions, OEE may seek sanctions listed in
Sec. 764.3 of the EAR. BIS may also take the following administrative
actions, among other actions, in response to an apparent violation:
License Revision, Suspension or Revocation. BIS authorizations to
engage in a transaction pursuant to a license or license exception may
be revised, suspended or revoked in response to an apparent violation as
provided in Sec. Sec. 740.2(b) and 750.8 of the EAR.
Denial of Export Privileges. An order denying a Respondent's export
privileges may be issued, as described in Sec. 764.3(a)(2) of the EAR.
Such a denial may extend to all export privileges, as set out in the
standard terms for denial orders in supplement no. 1 to part 764 of the
EAR, or may be narrower in scope (e.g., limited to exports of specified
items or to specified destinations or customers). A denial order may
also be suspended in whole or in part in accordance with Sec.
766.18(c).
Exclusion from practice. Under Sec. 764.3(a)(3) of the EAR, any
person acting as an attorney, accountant, consultant, freight forwarder
or other person who acts in a representative capacity in any matter
before BIS may be excluded from practicing before BIS.
Training and Audit Requirements. In appropriate cases, OEE may
require as part of a settlement agreement that the Respondent provide
training to employees as part of its compliance program, adopt other
compliance measures, and/or be subject to internal or independent audits
by a qualified outside person.
H. Suspension or Deferral. In appropriate cases, payment of a civil
monetary penalty may be suspended or deferred during a probationary
period under a settlement agreement and order. If the terms of the
settlement agreement or order are not adhered to by the Respondent, then
suspension or deferral may be revoked and the full amount of the penalty
imposed. See Sec. 764.3(a)(1)(iii) of the EAR. In determining whether
suspension or deferral is appropriate, OEE may consider, for example,
whether the Respondent has demonstrated a limited ability to pay a
penalty that would be appropriate for such violations, so that suspended
or deferred payment can be expected to have sufficient deterrent value,
and whether, in light of all of the circumstances, such suspension or
deferral is necessary to make the financial impact of the penalty
consistent with the impact of penalties on other parties who committed
similar violations.
III. Factors Affecting Administrative Sanctions
Many apparent violations are isolated occurrences, the result of a
good-faith misinterpretation, or involve no more than simple negligence
or carelessness. In such instances, absent the presence of aggravating
factors, the matter frequently may be addressed with a no action
determination letter or, if deemed necessary, a warning letter. In other
cases, where the imposition of an administrative penalty is deemed
appropriate, OEE will consider some or all of the following Factors in
determining the appropriate sanctions in administrative cases, including
the appropriate amount of a civil monetary penalty where such a penalty
is sought and is imposed as part of a settlement agreement and order.
These factors describe circumstances that, in OEE's experience, are
commonly relevant to penalty determinations in settled cases. Factors
that are considered exclusively aggravating, such as willfulness, or
exclusively mitigating, such as situations where remedial measures were
taken, are set forth paragraphs II(A) through (D) and (G) through (I).
This guidance also identifies General Factors--which can be either
mitigating or aggravating--such as the presence or absence of an
internal compliance program at the time the apparent violations
occurred. Other relevant Factors may also be considered at OEE's
discretion.
While some violations of the EAR have a degree of knowledge or
intent as an element of the offense, OEE may regard a violation of any
provision of the EAR as knowing or willful if the facts and
circumstances of the case support that conclusion. For example, evidence
that a corporate entity had knowledge at a senior management level may
mean that a higher penalty may be appropriate. OEE will also consider,
in accordance with supplement no. 3 to part 732 of the EAR (15 CFR part
732), the presence of any red flags that should have alerted the
Respondent that a violation was likely to occur. The aggravating factors
identified in the Guidelines do not alter or amend Sec. 764.2(e) or the
definition of ``knowledge'' in Sec. 772.1, or other provisions of parts
764 and 772 of the EAR (15 CFR parts 764 and 772). If the violations are
of such a nature and extent that a monetary fine alone represents an
insufficient penalty, a denial or exclusion order may also be imposed to
prevent future violations of the EAR.
Aggravating Factors
A. Willful or Reckless Violation of Law. OEE will consider a
Respondent's apparent willfulness or recklessness in violating,
attempting to violate, conspiring to violate, or causing a violation of
the law. Generally, to the extent the conduct at issue appears to be the
[[Page 291]]
result of willful conduct--a deliberate intent to violate, attempt to
violate, conspire to violate, or cause a violation of the law--the OEE
enforcement response will be stronger. Among the factors OEE may
consider in evaluating apparent willfulness or recklessness are:
1. Willfulness. Was the conduct at issue the result of a decision to
take action with the knowledge that such action would constitute a
violation of U.S. law? Did the Respondent know that the underlying
conduct constituted, or likely constituted, a violation of U.S. law at
the time of the conduct?
2. Recklessness/gross negligence. Did the Respondent demonstrate
reckless disregard or gross negligence with respect to compliance with
U.S. regulatory requirements or otherwise fail to exercise a minimal
degree of caution or care in avoiding conduct that led to the apparent
violation? Were there warning signs that should have alerted the
Respondent that an action or failure to act would lead to an apparent
violation?
3. Concealment. Was there a deliberate effort by the Respondent to
hide or purposely obfuscate its conduct in order to mislead OEE,
Federal, State, or foreign regulators, or other parties involved in the
conduct, about an apparent violation?
4. Pattern of Conduct. Did the apparent violation constitute or
result from a pattern or practice of conduct or was it relatively
isolated and atypical in nature? In determining both whether to bring
charges and, once charges are brought, whether to treat the case as
egregious, OEE will be mindful of certain situations where multiple
recurring violations resulted from a single inadvertent error, such as
misclassification. However, for cases that settle before filing of a
charging letter with an Administrative Law Judge, OEE will generally
charge only the most serious violation per transaction. If OEE issues a
proposed charging letter and subsequently files a charging letter with
an Administrative Law Judge because a mutually agreeable settlement
cannot be reached, OEE will continue to reserve its authority to proceed
with all available charges in the charging letter based on the facts
presented. When determining a penalty, each violation is potentially
chargeable.
5. Prior Notice. Was the Respondent on notice, or should it
reasonably have been on notice, that the conduct at issue, or similar
conduct, constituted a violation of U.S. law?
6. Management Involvement. In cases of entities, at what level
within the organization did the willful or reckless conduct occur? Were
supervisory or managerial level staff aware, or should they reasonably
have been aware, of the willful or reckless conduct?
B. Awareness of Conduct at Issue: The Respondent's awareness of the
conduct giving rise to the apparent violation. Generally, the greater a
Respondent's actual knowledge of, or reason to know about, the conduct
constituting an apparent violation, the stronger the OEE enforcement
response will be. In the case of a corporation, awareness will focus on
supervisory or managerial level staff in the business unit at issue, as
well as other senior officers and managers. Among the factors OEE may
consider in evaluating the Respondent's awareness of the conduct at
issue are:
1. Actual Knowledge. Did the Respondent have actual knowledge that
the conduct giving rise to an apparent violation took place, and remain
willfully blind to such conduct, and fail to take remedial measures to
address it? Was the conduct part of a business process, structure or
arrangement that was designed or implemented with the intent to prevent
or shield the Respondent from having such actual knowledge, or was the
conduct part of a business process, structure or arrangement implemented
for other legitimate reasons that consequently made it difficult or
impossible for the Respondent to have actual knowledge?
2. Reason to Know. If the Respondent did not have actual knowledge
that the conduct took place, did the Respondent have reason to know, or
should the Respondent reasonably have known, based on all readily
available information and with the exercise of reasonable due diligence,
that the conduct would or might take place?
3. Management Involvement. In the case of an entity, was the conduct
undertaken with the explicit or implicit knowledge of senior management,
or was the conduct undertaken by personnel outside the knowledge of
senior management? If the apparent violation was undertaken without the
knowledge of senior management, was there oversight intended to detect
and prevent violations, or did the lack of knowledge by senior
management result from disregard for its responsibility to comply with
applicable regulations and laws?
C. Harm to Regulatory Program Objectives: The actual or potential
harm to regulatory program objectives caused by the conduct giving rise
to the apparent violation. This factor is present where the conduct in
question, in purpose or effect, substantially implicates national
security, foreign policy or other essential interests protected by the
U.S. export control system. Among other things, OEE may consider such
factors as the reason for controlling the item to the destination in
question; the sensitivity of the item; the prohibitions or restrictions
against the recipient of the item; and the licensing policy concerning
the transaction (such as presumption of approval or denial). OEE, in its
discretion, may consult with other U.S. agencies or with licensing and
enforcement authorities of other countries in making its determination.
Among the factors OEE may
[[Page 292]]
consider in evaluating the harm to regulatory program objectives are:
1. Implications for U.S. National Security: The impact that the
apparent violation had or could potentially have on the national
security of the United States. For example, if a particular export could
undermine U.S. military superiority or endanger U.S. or friendly
military forces or be used in a military application contrary to U.S.
interests, OEE would consider the implications of the apparent violation
to be significant.
2. Implications for U.S. Foreign Policy: The effect that the
apparent violation had or could potentially have on U.S. foreign policy
objectives. For example, if a particular export is, or is likely to be,
used by a foreign regime to monitor communications of its population in
order to suppress free speech and persecute dissidents, or otherwise
used to enable human rights abuses, OEE would consider the implications
of the apparent violation to be significant.
D. Failure to disclose a significant apparent violation. If a firm
(as that term is defined in Sec. 772.1 of the EAR) deliberately chooses
not to disclose a significant apparent violation that it has identified,
OEE will consider that non-disclosure to be an aggravating factor when
assessing what administrative sanctions, if any, will be sought. A
deliberate decision not to disclose occurs when a firm uncovers a
significant apparent violation that they have committed but then chooses
not to file a VSD.
General Factors
E. Individual Characteristics: The particular circumstances and
characteristics of a Respondent. Among the factors OEE may consider in
evaluating individual characteristics are:
1. Commercial Sophistication: The commercial sophistication and
experience of the Respondent. Is the Respondent an individual or an
entity? If an individual, was the conduct constituting the apparent
violation for personal or business reasons?
2. Size and Sophistication of Operations: The size of a Respondent's
business operations, where such information is available and relevant.
At the time of the violation, did the Respondent have any previous
export experience and was the Respondent familiar with export practices
and requirements? Qualification of the Respondent as a small business or
organization for the purposes of the Small Business Regulatory
Enforcement Fairness Act, as determined by reference to the applicable
standards of the Small Business Administration, may also be considered.
3. Volume and Value of Transactions: The total volume and value of
transactions undertaken by the Respondent on an annual basis, with
attention given to the volume and value of the apparent violations as
compared with the total volume and value of all transactions. Was the
quantity and/or value of the exports high, such that a greater penalty
may be necessary to serve as an adequate penalty for the violation or
deterrence of future violations, or to make the penalty proportionate to
those for otherwise comparable violations involving exports of lower
quantity or value?
4. Regulatory History: The Respondent's regulatory history,
including OEE's issuance of prior penalties, warning letters, or other
administrative actions (including settlements). OEE will consider a
Respondent's past regulatory history, including OEE's issuance of prior
penalties, warning letters, or other administrative actions (including
settlements). When an acquiring firm takes reasonable steps to uncover,
correct, and voluntarily disclose or cause the voluntary self-disclosure
to OEE of conduct that gave rise to violations by an acquired business
before the acquisition, OEE typically will not take such violations into
account in applying these factors in settling other violations by the
acquiring firm.
5. Other illegal conduct in connection with the export. Was the
transaction in support of other illegal conduct, for example the export
of firearms as part of a drug smuggling operation, or illegal exports in
support of intellectual property theft, economic espionage or money
laundering?
6. Criminal Convictions. Has the Respondent previously been
convicted of a criminal violation or otherwise entered into a resolution
with the Department of Justice or other prosecutorial authority related
to a criminal violation?
Note: Where necessary to effective enforcement, the prior
involvement in export violation(s) of a Respondent's owners, directors,
officers, partners, or other related persons may be imputed to a
Respondent in determining whether these criteria are satisfied.
F. Compliance Program: The existence, nature and adequacy of a
Respondent's risk-based BIS compliance program at the time of the
apparent violation. OEE will take account of the extent to which a
Respondent complies with the principles set forth in BIS's Export
Compliance Guidelines. Information about the Export Compliance
Guidelines can be accessed through the BIS website at http://
www.bis.gov/. OEE will also consider whether a Respondent's export
compliance program uncovered a problem, thereby preventing further
violations, and whether the Respondent has taken steps to address
compliance concerns raised by the violation, to include the submission
of a VSD and steps to prevent reoccurrence of the violation that are
reasonably calculated to be effective. Conversely, OEE will also
consider whether a firm has deliberately failed to voluntarily disclose
a significant apparent violation uncovered by a company's export
compliance program.
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Mitigating Factors
G. Remedial Response. The Respondent's corrective action taken in
response to the apparent violation. Among the factors OEE may consider
in evaluating the remedial response are:
1. The steps taken by the Respondent upon learning of the apparent
violation. Did the Respondent immediately stop the conduct at issue? Did
the Respondent undertake to file a VSD?
2. In the case of an entity, the processes followed to resolve
issues related to the apparent violation. Did the Respondent discover
necessary information to ascertain the causes and extent of the apparent
violation, fully and expeditiously? Was senior management fully
informed? If so, when?
3. In the case of an entity, whether it adopted new and more
effective internal controls and procedures to prevent the occurrence of
similar apparent violations. If the entity did not have a BIS compliance
program in place at the time of the apparent violation, did it implement
one upon discovery of the apparent violation? If it did have a BIS
compliance program, did it take appropriate steps to enhance the program
to prevent the recurrence of similar violations? Did the entity provide
the individual(s) and/or managers responsible for the apparent violation
with additional training, and/or take other appropriate action, to
ensure that similar violations do not occur in the future?
4. Where applicable, whether the Respondent undertook a thorough
review to identify other apparent violations.
H. Exceptional Cooperation with OEE: The nature and extent of the
Respondent's cooperation with OEE, beyond those actions set forth in
Factor F. Among the factors OEE may consider in evaluating exceptional
cooperation are:
1. Did the Respondent provide OEE with all relevant information
regarding the apparent violation at issue in a timely, comprehensive and
responsive manner (whether or not voluntarily self-disclosed),
including, if applicable, overseas records?
2. Did the Respondent research and disclose to OEE relevant
information regarding any other apparent violations caused by the same
course of conduct?
3. Did the Respondent provide substantial assistance in another OEE
investigation of another person who may have violated the EAR?
4. Has the Respondent previously made substantial voluntary efforts
to provide information (such as providing tips that led to enforcement
actions against other parties) to Federal law enforcement authorities in
support of the enforcement of U.S. export control regulations? Has the
Respondent previously disclosed information regarding the conduct of
others that led to enforcement action by OEE?
5. Did the Respondent enter into a statute of limitations tolling
agreement, if requested by OEE (particularly in situations where the
apparent violations were not immediately disclosed or discovered by OEE,
in particularly complex cases, and in cases in which the Respondent has
requested and received additional time to respond to a request for
information from OEE)? If so, the Respondent's entering into a tolling
agreement may be deemed a mitigating factor.
Note: A Respondent's refusal to enter into a tolling agreement will
not be considered by OEE as an aggravating factor in assessing a
Respondent's cooperation or otherwise under the Guidelines.
I. License Was Likely To Be Approved. Would an export license
application have likely been approved for the transaction had one been
sought? Would the export have qualified for a License Exception? Some
license requirements sections in the EAR also set forth a licensing
policy (i.e., a statement of the policy under which license applications
will be evaluated), such as a general presumption of denial or case by
case review. OEE may also consider the licensing history of the specific
item to that destination and if the item or end-user has a history of
export denials.
Other Relevant Factors Considered on a Case-by-Case Basis
J. Related Violations. Frequently, a single export transaction can
give rise to multiple violations. For example, an exporter who
inadvertently misclassifies an item on the Commerce Control List may, as
a result of that error, export the item without the required export
license and file Electronic Export Information (EEI) to the Automated
Export System (AES) that both misstates the applicable Export Control
Classification Number (ECCN) and erroneously identifies the export as
qualifying for the designation ``NLR'' (no license required) or cites a
license exception that is not applicable. In so doing, the exporter
commits three violations: one violation of Sec. 764.2(a) of the EAR for
the unauthorized export and two violations of Sec. 764.2(g) of the EAR
for the two false statements on the EEI filing to the AES. OEE will
consider whether the violations stemmed from the same underlying error
or omission, and whether they resulted in distinguished or separate
harm. OEE generally does not charge multiple violations on a single
export, and would not consider the existence of such multiple violations
as an aggravating factor in and of itself. It is within OEE's discretion
to charge separate violations and settle the case for a penalty that is
less than would be appropriate for unrelated violations under otherwise
similar circumstances, or to charge fewer violations
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and pursue settlement in accordance with that charging decision. OEE
generally will consider inadvertent, compounded clerical errors as
related and not separate infractions when deciding whether to bring
charges and in determining if a case is egregious.
K. Multiple Unrelated Violations. In cases involving multiple
unrelated violations, OEE is more likely to seek a denial of export
privileges and/or a greater monetary penalty than OEE would otherwise
typically seek. For example, repeated unauthorized exports could warrant
a denial order, even if a single export of the same item to the same
destination under similar circumstances might warrant just a civil
monetary penalty. OEE takes this approach because multiple violations
may indicate serious compliance problems and a resulting greater risk of
future violations. OEE may consider whether a Respondent has taken
effective steps to address compliance concerns in determining whether
multiple violations warrant a denial order in a particular case.
L. Other Enforcement Action. Other enforcement actions taken by
Federal, State, or local agencies against a Respondent for the apparent
violation or similar apparent violations, including whether the
settlement of alleged violations of BIS regulations is part of a
comprehensive settlement with other Federal, State, or local agencies.
Where an administrative enforcement matter under the EAR involves
conduct giving rise to related criminal or civil charges, OEE may take
into account the related violations, and their resolution, in
determining what administrative sanctions are appropriate under part 766
of the EAR (15 CFR part 766). A criminal conviction indicates serious,
willful misconduct and an accordingly high risk of future violations,
absent effective administrative sanctions. However, entry of a guilty
plea can be a sign that a Respondent accepts responsibility for
complying with the EAR and will take greater care to do so in the
future. In appropriate cases where a Respondent is receiving substantial
criminal penalties, OEE may find that sufficient deterrence may be
achieved by lesser administrative sanctions than would be appropriate in
the absence of criminal penalties. Conversely, OEE might seek greater
administrative sanctions in an otherwise similar case where a Respondent
is not subjected to criminal penalties. The presence of a related
criminal or civil disposition may distinguish settlements among civil
penalty cases that appear otherwise to be similar. As a result, the
factors set forth for consideration in civil penalty settlements will
often be applied differently in the context of a ``global settlement''
of both civil and criminal cases, or multiple civil cases, and may
therefore be of limited utility as precedent for future cases,
particularly those not involving a global settlement.
M. Future Compliance/Deterrence Effect. The impact an administrative
enforcement action may have on promoting future compliance with the
regulations by a Respondent and similar parties, particularly those in
the same industry sector.
N. Other Factors That OEE Deems Relevant. On a case-by-case basis,
in determining the appropriate enforcement response and/or the amount of
any civil monetary penalty, OEE will consider the totality of the
circumstances to ensure that its enforcement response is proportionate
to the nature of the violation.
IV. Civil Penalties
A. Determining What Sanctions Are Appropriate in a Settlement
OEE will review the facts and circumstances surrounding an apparent
violation and apply the Factors Affecting Administrative Sanctions in
section III of this supplement in determining the appropriate sanction
or sanctions in an administrative case, including the appropriate amount
of a civil monetary penalty where such a penalty is sought and imposed.
Penalties for settlements reached after the initiation of litigation
will usually be higher than those described by these guidelines.
B. Amount of Civil Penalty
1. Determining Whether a Case is Egregious. In those cases in which
a civil monetary penalty is considered appropriate, the OEE Director
will make a determination as to whether a case is deemed ``egregious''
for purposes of the base penalty calculation. If a case is determined to
be egregious, the OEE Director also will also determine the appropriate
base penalty amount within the range of base penalty amounts prescribed
in paragraphs IV.B.2.a.iii and iv of this supplement. These
determinations will be based on an analysis of the applicable factors.
In making these determinations, substantial weight will generally be
given to Factors A (``willful or reckless violation of law''), B
(``awareness of conduct at issue''), C (``harm to regulatory program
objectives''), and D (``individual characteristics''), with particular
emphasis on Factors A, B, and C.
A case will be considered an ``egregious case'' where the analysis
of the applicable factors, with a focus on Factors A, B, and C,
indicates that the case represents a particularly serious violation of
the law calling for a strong enforcement response.
2. Monetary Penalties in Egregious Cases and Non-Egregious Cases.
The civil monetary penalty amount shall generally be calculated as
follows, except that neither the base penalty amount nor the penalty
amount will exceed the applicable statutory maximum:
a. Base Category Calculation and Voluntary Self-Disclosures.
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i. In a non-egregious case, if the apparent violation is disclosed
through a voluntary self-disclosure, the base penalty amount shall be up
to one-half of the transaction value.
ii. In a non-egregious case, if the apparent violation comes to
OEE's attention by means other than a voluntary self-disclosure, the
base penalty amount shall be up to the transaction value.
iii. In an egregious case, if the apparent violation is disclosed
through a voluntary self-disclosure, the base penalty amount shall be an
amount up to one-half of the statutory maximum penalty applicable to the
violation.
iv. In an egregious case, if the apparent violation comes to OEE's
attention by means other than a voluntary self-disclosure, the base
penalty amount shall be an amount up to the statutory maximum penalty
applicable to the violation.
v. The applicable statutory maximum civil penalty per violation of
the Export Control Reform Act (ECRA) of 2018 is a fine defined in ECRA
and adjusted in accordance with U.S. law, e.g., the Federal Civil
Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L.
114-74, sec. 701), which in 2024 was $364,992, or an amount that is
twice the value of the transaction that is the basis of the violation
with respect to which the penalty is imposed, whichever is greater.
The following matrix represents the base penalty amount of the civil
monetary penalty for each category of violation:
Base Penalty Matrix
------------------------------------------------------------------------
Egregious case?
Voluntary self-disclosure? ---------------------------------------
NO YES
------------------------------------------------------------------------
YES. (1) Up to One-Half (3) Up to One-Half
of the of the Applicable
Transaction Value. Statutory
Maximum.
NO.............................. (2) Up to the (4) Up to the
Transaction Value. Applicable
Statutory
Maximum.
------------------------------------------------------------------------
b. Adjustment for Applicable Relevant Factors. The base penalty
amount of the civil monetary penalty will be adjusted to reflect
applicable Factors for Administrative Action set forth in section III of
these guidelines. The Factors may result in a penalty amount that is
lower or higher than the base penalty amount depending upon whether they
are aggravating or mitigating and how they, in the discretion of OEE,
apply in combination in a particular case.
C. Settlement Procedures
The procedures relating to the settlement of administrative
enforcement cases are set forth in Sec. 766.18 of the EAR.
[89 FR 75485, Sept. 16, 2024]
Sec. Supplement No. 2 to Part 766--Guidance on Charging and Penalty
Determinations in Settlement of Administrative Enforcement Cases
Involving Antiboycott Matters
(a) Introduction--(1) Scope. This Supplement describes how the
Office of Antiboycott Compliance (OAC) responds to violations of part
760 of the EAR ``Restrictive Trade Practices or Boycotts'' and to
violations of part 762 ``Recordkeeping'' when the recordkeeping
requirement pertains to part 760 (together referred to in this
supplement as the ``antiboycott provisions''). It also describes how BIS
makes penalty determinations in the settlement of administrative
enforcement cases brought under parts 764 and 766 of the EAR involving
violations of the antiboycott provisions. This supplement does not apply
to enforcement cases for violations of other provisions of the EAR.
(2) Policy Regarding Settlement. Because many administrative
enforcement cases are resolved through settlement, the process of
settling such cases is integral to the enforcement program. BIS
carefully considers each settlement offer in light of the facts and
circumstances of the case, relevant precedent, and BIS's objective to
achieve in each case an appropriate level of penalty and deterrent
effect. In settlement negotiations, BIS encourages parties to provide,
and will give serious consideration to, information and evidence that
the parties believe is relevant to the application of this guidance to
their cases, to whether a violation has in fact occurred, and to whether
they have a defense to potential charges.
(3) Limitation. BIS's policy and practice is to treat similarly
situated cases similarly, taking into consideration that the facts and
combination of mitigating and aggravating factors are different in each
case. However, this guidance does not confer any right or impose any
obligation regarding what posture or penalties BIS may seek in settling
or litigating a case. Parties do not have a right to a settlement offer
or particular settlement terms from BIS, regardless of settlement
postures BIS has taken in other cases.
(b) Responding to Violations. OAC within BIS investigates possible
violations of the Anti-Boycott Act of 2018, the antiboycott
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provisions of the EAR, or any order or authorization related thereto.
When BIS has reason to believe that such a violation has occurred, BIS
may issue a warning letter or initiate an administrative enforcement
proceeding. A violation may also be referred to the Department of
Justice for criminal prosecution.
(1) Issuing a warning letter. Warning letters represent BIS's belief
that a violation has occurred. In the exercise of its discretion, BIS
may determine in certain instances that issuing a warning letter,
instead of bringing an administrative enforcement proceeding, will
fulfill the appropriate enforcement objective. A warning letter will
fully explain the violation.
(i) BIS may issue warning letters where:
(A) The investigation commenced as a result of a voluntary self-
disclosure satisfying the requirements of Sec. 764.8 of the EAR; or
(B) The party has not previously committed violations of the
antiboycott provisions.
(ii) BIS may also consider the category of violation as discussed in
paragraph (d)(2) of this supplement in determining whether to issue a
warning letter or initiate an enforcement proceeding. A violation
covered by Category C (failure to report or late reporting of receipt of
boycott requests) might warrant a warning letter rather than initiation
of an enforcement proceeding.
(iii) BIS will not issue a warning letter if it concludes, based on
available information, that a violation did not occur.
(iv) BIS may reopen its investigation of a matter should it receive
additional evidence or if it appears that information previously
provided to BIS during the course of its investigation was incorrect.
(2) Pursuing an administrative enforcement case. The issuance of a
charging letter under Sec. 766.3 of this part initiates an
administrative proceeding.
(i) Charging letters may be issued when there is reason to believe
that a violation has occurred. Cases may be settled before or after the
issuance of a charging letter. See Sec. 766.18 of this part.
(ii) Although not required to do so by law, BIS may send a proposed
charging letter to a party to inform the party of the violations that
BIS has reason to believe occurred and how BIS expects that those
violations would be charged. Issuance of the proposed charging letter
provides an opportunity for the party and BIS to consider settlement of
the case prior to the initiation of formal enforcement proceedings.
(3) Referring for criminal prosecution. In appropriate cases, BIS
may refer a case to the Department of Justice for criminal prosecution,
in addition to pursuing an administrative enforcement action.
(c) Types of administrative sanctions. Administrative enforcement
cases generally are settled on terms that include one or more of three
administrative sanctions:
(1) A monetary penalty may be assessed for each violation as
provided in Sec. 764.3(a)(1) of the EAR;
Note to paragraph (c)(1): The maximum penalty is subject to
adjustments under the Federal Civil Penalties Adjustment Act of 1990 (28
U.S.C. 2461, note (2000)), which are codified at 15 CFR 6.4. For
violations that occurred before March 9, 2006, the maximum monetary
penalty per violation is $11,000. For violations occurring on or after
March 9, 2006, the maximum monetary penalty per violation is $50,000.
(2) An order denying a party's export privileges under the EAR may
be issued, under Sec. 764.3(a)(2) of the EAR; or
(3) Exclusion from practice under Sec. 764.3(a)(3) of the EAR.
(d) How BIS determines what sanctions are appropriate in a
settlement--(1) General Factors. BIS looks to the following general
factors in determining what administrative sanctions are appropriate in
each settlement.
(i) Degree of seriousness. In order to violate the antiboycott
provisions of the EAR, a U.S. person does not need to have actual
``knowledge'' or a reason to know, as that term is defined in Sec.
772.1 of the EAR, of relevant U.S. laws and regulations. Typically, in
cases that do not involve knowing violations, BIS will seek a settlement
for payment of a civil penalty (unless the matter is resolved with a
warning letter). However, in cases involving knowing violations,
conscious disregard of the antiboycott provisions, or other such serious
violations (e.g., furnishing prohibited information in response to a
boycott questionnaire with knowledge that such furnishing is in
violation of the EAR), BIS is more likely to seek a denial of export
privileges or an exclusion from practice, and/or a greater monetary
penalty as BIS considers such violations particularly egregious.
(ii) Category of violations. In connection with its activities
described in paragraph (a)(1) of this supplement, BIS recognizes three
categories of violations under the antiboycott provisions of the EAR.
(See Sec. Sec. 760.2, 760.4 and 760.5 of the EAR for examples of each
type of violation other than recordkeeping). These categories reflect
the relative seriousness of a violation, with Category A violations
typically warranting the most stringent penalties, including up to the
maximum monetary penalty, a denial order and/or an exclusion order.
Through providing these categories in this penalty guidelines notice,
BIS hopes to give parties a general sense of how it views the
seriousness of various violations. This guidance, however, does not
confer any right or impose any obligation as to what penalties BIS may
impose
[[Page 297]]
based on its review of the specific facts of a case.
(A) The Category A violations and the sections of the EAR that set
forth their elements are:
(1) Discriminating against U.S. persons on the basis of race,
religion, sex, or national origin--Sec. 760.2(b);
(2) Refusing to do business--Sec. 760.2(a);
(3) Furnishing information about race, religion, sex or national
origin of U.S. persons including, but not limited to, providing
information in connection with a boycott questionnaire about the
religion of employees--760.2(c).
(4) Evading the provisions of part 760--Sec. 760.4; and
(5) Furnishing information about associations with charitable or
fraternal organizations which support a boycotted country--Sec.
760.2(e).
(B) The Category B violations and the sections of the EAR that set
forth their elements are:
(1) Knowingly agreeing to refuse to do business--Sec. 760.2(a);
(2) Requiring, or knowingly agreeing to require, any other person to
refuse to do business--Sec. 760.2(a);
(3) Implementing letters of credit--Sec. 760.2(f);
(4) Furnishing information about business relationships with
boycotted countries or blacklisted persons--Sec. 760.2(d); and
(5) Making recordkeeping violations--part 762.
(C) The Category C violation and the section of the EAR that sets
forth its elements is: Failing to report timely receipt of boycott
requests--Sec. 760.5.
(iii) Violations arising out of related transactions. Frequently, a
single transaction can give rise to multiple violations. Depending on
the facts and circumstances, BIS may choose to impose a smaller or
greater penalty per violation. In exercising its discretion, BIS
typically looks to factors such as whether the violations resulted from
conscious disregard of the requirements of the antiboycott provisions;
whether they stemmed from the same underlying error or omission; and
whether they resulted in distinguishable or separate harm. The three
scenarios set forth below are illustrative of how BIS might view
transactions that lead to multiple violations.
(A) First scenario. An exporter enters into a sales agreement with a
company in a boycotting country. In the course of the negotiations, the
company sends the exporter a request for a signed statement certifying
that the goods to be supplied do not originate in a boycotted country.
The exporter provides the signed certification. Subsequently, the
exporter fails to report the receipt of the request. The exporter has
committed two violations of the antiboycott provisions, first, a
violation of Sec. 760.2(d) for furnishing information concerning the
past or present business relationships with or in a boycotted country,
and second, a violation of Sec. 760.5 for failure to report the receipt
of a request to engage in a restrictive trade practice or boycott.
Although the supplier has committed two violations, BIS may impose a
smaller mitigated penalty on a per violation basis than if the
violations had stemmed from two separate transactions.
(B) Second scenario. An exporter receives a boycott request to
provide a statement that the goods at issue in a sales transaction do
not contain raw materials from a boycotted country and to include the
signed statement along with the invoice. The goods are shipped in ten
separate shipments. Each shipment includes a copy of the invoice and a
copy of the signed boycott-related statement. Each signed statement is a
certification that has been furnished in violation of Sec. 760.2(d)'s
bar on the furnishing of prohibited business information. Technically,
the exporter has committed ten separate violations of Sec. 760.2(d) and
one violation of Sec. 760.5 for failure to report receipt of the
boycott request. Given that the violations arose from a single boycott
request, however, BIS may treat the violations as related and impose a
smaller penalty than it would if the furnishing had stemmed from ten
separate requests.
(C) Third scenario. An exporter has an ongoing relationship with a
company in a boycotting country. The company places three separate
orders for goods on different dates with the exporter. In connection
with each order, the company requests the exporter to provide a signed
statement certifying that the goods to be supplied do not originate in a
boycotted country. The exporter provides a signed certification with
each order of goods that it ships to the company. BIS has the discretion
to penalize the furnishing of each of these three items of information
as a separate violation of Sec. 760.2(d) of the EAR for furnishing
information concerning past or present business relationships with or in
a boycotted country.
(iv) Multiple violations from unrelated transactions. In cases
involving multiple unrelated violations, BIS is more likely to seek a
denial of export privileges, an exclusion from practice, and/or a
greater monetary penalty than in cases involving isolated incidents. For
example, the repeated furnishing of prohibited boycott-related
information about business relationships with or in boycotted countries
during a long period of time could warrant a denial order, even if a
single instance of furnishing such information might warrant only a
monetary penalty. BIS takes this approach because multiple violations
may indicate serious compliance problems and a resulting risk of future
violations. BIS
[[Page 298]]
may consider whether a party has taken effective steps to address
compliance concerns in determining whether multiple violations warrant a
denial or exclusion order in a particular case.
(v) Timing of settlement. Under Sec. 766.18 of this part,
settlement can occur before a charging letter is served, while a case is
before an administrative law judge, or while a case is before the Under
Secretary for Industry and Security under Sec. 766.22 of this part.
However, early settlement--for example, before a charging letter has
been filed--has the benefit of freeing resources for BIS to deploy in
other matters. In contrast, for example, the BIS resources saved by
settlement on the eve of an adversary hearing under Sec. 766.13 of this
part are fewer, insofar as BIS has already expended significant
resources on discovery, motions practice, and trial preparation. Given
the importance of allocating BIS resources to maximize enforcement of
the EAR, BIS has an interest in encouraging early settlement and will
take this interest into account in determining settlement terms.
(vi) Related criminal or civil violations. Where an administrative
enforcement matter under the antiboycott provisions involves conduct
giving rise to related criminal charges, BIS may take into account the
related violations and their resolution in determining what
administrative sanctions are appropriate under part 766 of the EAR. A
criminal conviction indicates serious, willful misconduct and an
accordingly high risk of future violations, absent effective
administrative sanctions. However, entry of a guilty plea can be a sign
that a party accepts responsibility for complying with the antiboycott
provisions and will take greater care to do so in the future. In
appropriate cases where a party is receiving substantial criminal
penalties, BIS may find that sufficient deterrence may be achieved by
lesser administrative sanctions than would be appropriate in the absence
of criminal penalties. Conversely, BIS might seek greater administrative
sanctions in an otherwise similar case where a party is not subjected to
criminal penalties. The presence of a related criminal or civil
disposition may distinguish settlements among civil penalty cases that
appear to be otherwise similar. As a result, the factors set forth for
consideration in civil penalty settlements will often be applied
differently in the context of a ``global settlement'' of both civil and
criminal cases, or multiple civil cases involving other agencies, and
may therefore be of limited utility as precedent for future cases,
particularly those not involving a global settlement.
(vii) Familiarity with the Antiboycott Provisions. Given the scope
and detailed nature of the antiboycott provisions, BIS will consider
whether a party is an experienced participant in the international
business arena who may possess (or ought to possess) familiarity with
the antiboycott laws. In this respect, the size of the party's business,
the presence or absence of a legal division or corporate compliance
program, and the extent of prior involvement in business with or in
boycotted or boycotting countries, may be significant.
(2) Specific mitigating and aggravating factors. In addition to the
general factors described in paragraph (d)(1) of this supplement, BIS
also generally looks to the presence or absence of the specific
mitigating and aggravating factors in this paragraph in determining what
sanctions should apply in a given settlement. These factors describe
circumstances that, in BIS's experience, are commonly relevant to
penalty determinations in settled cases. However, this listing of
factors is not exhaustive and BIS may consider other factors that may
further indicate the blameworthiness of a party's conduct, the actual or
potential harm associated with a violation, the likelihood of future
violations, and/or other considerations relevant to determining what
sanctions are appropriate. The assignment of mitigating or aggravating
factors will depend upon the attendant circumstances of the party's
conduct. Thus, for example, one prior violation should be given less
weight than a history of multiple violations, and a previous violation
reported in a voluntary self-disclosure by a party whose overall
compliance efforts are of high quality should be given less weight than
previous violation(s) not involving such mitigating factors. Some of the
mitigating factors listed in this paragraph are designated as having
``great weight.'' When present, such a factor should ordinarily be given
considerably more weight than a factor that is not so designated.
(i) Specific mitigating factors.
(A) Voluntary self-disclosure. (GREAT WEIGHT) The party has made a
voluntary self-disclosure of the violation, satisfying the requirements
of Sec. 764.8 of the EAR.
(B) Effective compliance program. (GREAT WEIGHT)
(1) General policy or program pertaining to Antiboycott Provisions.
BIS will consider whether a party's compliance efforts uncovered a
problem, thereby preventing further violations, and whether the party
has taken steps to address compliance concerns raised by the violation,
including steps to prevent recurrence of the violation, that are
reasonably calculated to be effective. The focus is on the party's
demonstrated compliance with the antiboycott provisions. Whether a party
has an effective export compliance program covering other provisions of
the EAR is not relevant as a mitigating factor. In the case of a party
that has done previous business with or in boycotted countries or
boycotting countries, BIS will examine whether the party has an
effective
[[Page 299]]
antiboycott compliance program and whether its overall antiboycott
compliance efforts have been of high quality. BIS may deem it
appropriate to review the party's internal business documents relating
to antiboycott compliance (e.g., corporate compliance manuals, employee
training materials).
(2) Compliance with reporting and recordkeeping requirements. In the
case of a party that has received reportable boycott requests in the
past, BIS may examine whether the party complied with the reporting and
recordkeeping requirements of the antiboycott provisions.
(C) Limited business with or in boycotted or boycotting countries.
The party has had little to no previous experience in conducting
business with or in boycotted or boycotting countries. Prior to the
current enforcement proceeding, the party had not engaged in business
with or in such countries, or had only transacted such business on
isolated occasions. BIS may examine the volume of business that the
party has conducted with or in boycotted or boycotting countries as
demonstrated by the size and dollar amount of transactions or the
percentage of a party's overall business that such business constitutes.
(D) History of compliance with the Antiboycott Provisions of the
EAR.
(1) BIS will consider it to be a mitigating factor if:
(i) The party has never been convicted of a criminal violation of
the antiboycott provisions;
(ii) In the past 5 years, the party has not entered into a
settlement or been found liable in a boycott-related administrative
enforcement case with BIS or another U.S. government agency;
(iii) In the past 3 years, the party has not received a warning
letter from BIS relating to the antiboycott provisions; or
(iv) In the past 5 years, the party has not otherwise violated the
antiboycott provisions.
(2) Where necessary to ensure effective enforcement, the prior
involvement in violations of the antiboycott provisions of a party's
owners, directors, officers, partners, or other related persons may be
imputed to a party in determining whether these criteria are satisfied.
When an acquiring firm takes reasonable steps to uncover, correct, and
disclose to BIS conduct that gave rise to violations that the acquired
business committed before the acquisition, BIS typically will not take
such violations into account in applying this factor in settling other
violations by the acquiring firm.
(E) Exceptional cooperation with the investigation. The party has
provided exceptional cooperation to OAC during the course of the
investigation.
(F) Clarity of request to furnish prohibited information or take
prohibited action. The party responded to a request to furnish
information or take action that was ambiguously worded or vague.
(G) Violations arising out of a party's ``passive'' refusal to do
business in connection with an agreement. The party has acquiesced in or
abided by terms or conditions that constitute a prohibited refusal to do
business (e.g., responded to a tender document that contains prohibited
language by sending a bid). See ``active'' agreements to refuse to do
business in paragraph (d)(2)(ii)(I) of this supplement.
(H) Isolated occurrence of violation. The violation was an isolated
occurrence. (Compare to long duration or high frequency of violations as
an aggravating factor in paragraph (d)(2)(ii)(F) of this supplement.)
(ii) Specific Aggravating Factors.
(A) Concealment or obstruction. The party made a deliberate effort
to hide or conceal the violation. (GREAT WEIGHT)
(B) Serious disregard for compliance responsibilities. (GREAT
WEIGHT] There is evidence that the party's conduct demonstrated a
serious disregard for responsibilities associated with compliance with
the antiboycott provisions (e.g.: knowing violation of party's own
compliance policy or evidence that a party chose to treat potential
penalties as a cost of doing business rather than develop a compliance
policy).
(C) History of compliance with the Antiboycott Provisions.
(1) BIS will consider it to be an aggravating factor if:
(i) The party has been convicted of a criminal violation of the
antiboycott provisions;
(ii) In the past 5 years, the party has entered into a settlement or
been found liable in a boycott-related administrative enforcement case
with BIS or another U.S. government agency;
(iii) In the past 3 years, the party has received a warning letter
from BIS relating to the antiboycott provisions; or
(iv) In the past 5 years, the party has otherwise violated the
antiboycott provisions.
(2) Where necessary to ensure effective enforcement, the prior
involvement in violations of the antiboycott provisions of a party's
owners, directors, officers, partners, or other related persons may be
imputed to a party in determining whether these criteria are satisfied.
(3) When an acquiring firm takes reasonable steps to uncover,
correct, and disclose to BIS conduct that gave rise to violations that
the acquired firm committed before being acquired, BIS typically will
not take such violations into account in applying this factor in
settling other violations by the acquiring firm.
(D) Familiarity with the type of transaction at issue in the
violation. For example, in the case of a violation involving a letter of
credit or related financial document, the party
[[Page 300]]
routinely pays, negotiates, confirms, or otherwise implements letters of
credit or related financial documents in the course of its standard
business practices.
(E) Prior history of business with or in boycotted countries or
boycotting countries. The party has a prior history of conducting
business with or in boycotted and boycotting countries. BIS may examine
the volume of business that the party has conducted with or in boycotted
and boycotting countries as reflected by the size and dollar amount of
transactions or the percentage of a party's overall business that such
business constitutes.
(F) Long duration or high frequency of violations. Violations that
occur at frequent intervals or repeated violations occurring over an
extended period of time may be treated more seriously than a single
violation or related violations that are committed within a brief period
of time, particularly if the violations are committed by a party with a
history of business with or in boycotted and boycotting countries.
(Compare to isolated occurrence of violation in paragraph (d)(2)(i)(H)
of this supplement.)
(G) Clarity of request to furnish prohibited information or take
prohibited action. The request to furnish information or take other
prohibited action (e.g., enter into agreement to refuse to do business
with a boycotted country or entity blacklisted by a boycotting country)
is facially clear as to its intended purpose.
(H) Violation relating to specific information concerning an
individual entity or individual. The party has furnished prohibited
information about business relationships with specific companies or
individuals.
(I) Violations relating to ``active'' conduct concerning an
agreement to refuse to do business. The party has taken action that
involves altering, editing, or enhancing prohibited terms or language in
an agreement to refuse to do business, including a letter of credit, or
drafting a clause or provision including prohibited terms or language in
the course of negotiating an agreement to refuse to do business,
including a letter of credit. See ``passive'' agreements to refuse to do
business in paragraph (d)(2)(i)(G) of this supplement.
(e) Determination of Scope of Denial or Exclusion Order. In deciding
whether and what scope of denial or exclusion order is appropriate, the
following factors are particularly relevant: The presence of mitigating
or aggravating factors of great weight; the degree of seriousness
involved; the extent to which senior management participated in or was
aware of the conduct in question; the number of violations; the
existence and seriousness of prior violations; the likelihood of future
violations (taking into account relevant efforts to comply with the
antiboycott provisions); and whether a civil monetary penalty can be
expected to have a sufficient deterrent effect.
(f) How BIS Makes Suspension and Deferral Decisions--(1) Civil
Penalties. In appropriate cases, payment of a civil monetary penalty may
be deferred or suspended. See Sec. 764.3(a)(1)(iii) of the EAR. In
determining whether suspension or deferral is appropriate, BIS may
consider, for example, whether the party has demonstrated a limited
ability to pay a penalty that would be appropriate for such violations,
so that suspended or deferred payment can be expected to have sufficient
deterrent value, and whether, in light of all the circumstances, such
suspension or deferral is necessary to make the impact of the penalty
consistent with the impact of BIS penalties on other parties who
committed similar violations.
(2) Denial of Export Privileges and Exclusion from Practice. In
deciding whether a denial or exclusion order should be suspended, BIS
may consider, for example, the adverse economic consequences of the
order on the party, its employees, and other persons, as well as on the
national interest in maintaining or promoting the competitiveness of
U.S. businesses. An otherwise appropriate denial or exclusion order will
be suspended on the basis of adverse economic consequences only if it is
found that future violations of the antiboycott provisions are unlikely
and if there are adequate measures (usually a substantial civil monetary
penalty) to achieve the necessary deterrent effect.
[72 FR 39006, July 17, 2007, as amended at 87 FR 60892, Oct. 7, 2022]
PART 768_FOREIGN AVAILABILITY DETERMINATION PROCEDURES AND CRITERIA-
-Table of Contents
Sec.
768.1 Introduction.
768.2 Foreign availability described.
768.3 Foreign availability assessment.
768.4 Initiation of an assessment.
768.5 Contents of foreign availability submissions and Technical
Advisory Committee certifications.
768.6 Criteria.
768.7 Procedures.
768.8 Eligibility of expedited licensing procedures for non-controlled
countries.
768.9 Appeals of negative foreign availability determinations.
768.10 Removal of controls on less sophisticated items.
Supplement No. 1 to Part 768--Evidence of Foreign Availability
Supplement No. 2 to Part 768--Items Eligible For Expedited Licensing
Procedures [Reserved]
[[Page 301]]
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 15,
2017, 82 FR 39005 (August 16, 2017).
Source: 61 FR 12915, Mar. 25, 1996, unless otherwise noted.
Sec. 768.1 Introduction.
In this part, references to the Export Administration Regulations
(EAR) are references to 15 CFR chapter VII, subchapter C.
(a) Authority. Pursuant to sections 5(f) and 5(h) of the Export
Administration Act (EAA), the Under Secretary of Commerce for Export
Administration directs the Bureau of Industry and Security (BIS) in
gathering and analyzing all the evidence necessary for the Secretary to
determine foreign availability.
(b) Scope. This part applies only to the extent that items are
controlled for national security purposes. This part does not apply to
encryption items that were formerly controlled on the U.S. Munitions
List and that were transferred to the Commerce Control List consistent
with E.O. 13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date, which shall not be subject to any
mandatory foreign availability review procedures.
(c) Types of programs. There are two general programs of foreign
availability:
(1) Foreign availability to controlled countries. In this category
are denied license assessments (see Sec. Sec. 768.4(b) and 768.7 of
this part) and decontrol assessments (see Sec. Sec. 768.4(c) and 768.7
of this part).
(2) Foreign availability to non-controlled countries. In this
category are denied license assessments, decontrol assessments, and
evaluations of eligibility for expedited licensing (see Sec. 768.8 of
this part).
(d) Definitions. The following are definitions of terms used in this
part 768:
Allegation. See foreign availability submission.
Assessment. An evidentiary analysis that BIS conducts concerning the
foreign availability of a given item based on the assessment criteria,
data gathered by BIS, and the data and recommendations submitted by the
Departments of Defense and State and other relevant departments and
agencies, TAC committees, and industry.
Assessment criteria. Statutorily established criteria that must be
assessed for the Secretary to make a determination with respect to
foreign availability. They are, available-in-fact, from a non-U.S.
source, in sufficient quantity so as to render the control ineffective,
and of comparable quality. (See Sec. 768.6 of this part).
Available-in-fact. An item is available-in-fact to a country if it
is produced within the country or if it may be obtained by that country
from a third country. Ordinarily, items will not be considered
available-in-fact to non-controlled countries if the items are available
only under a validated national security license or a comparable
authorization from a country that maintains export controls on such
items cooperatively with the United States.
Claimant. Any party who makes a foreign availability submission,
excluding TACs.
Comparable quality. An item is of comparable quality to an item
controlled under the EAR if it possesses the characteristics specified
in the Commerce Control List (CCL) for that item and is alike in key
characteristics that include, but are not limited to: (1) Function; (2)
technological approach; (3) performance thresholds; (4) maintainability
and service life; and (5) any other attribute relevant to the purpose
for which the control was placed on the item.
Controlled countries. Albania, Armenia, Azerbaijan, Belarus,
Bulgaria, Cambodia, Cuba, Estonia, Georgia, Kazakhstan, Kyrgyzstan,
Laos, Latvia, Lithuania, Moldova, Mongolia, North Korea, Romania,
Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, Vietnam and the
People's Republic of China.
Decontrol. Removal of license requirements under the EAR.
Decontrol assessment. An assessment of the foreign availability of
an item to a country or countries for purposes of determining whether
decontrol is warranted. Such assessments may be conducted after BIS
receives a foreign
[[Page 302]]
availability submission or a TAC certification, or by the Secretary's
own initiative.
Denied license assessment. A foreign availability assessment
conducted as a result of a claimant's allegation of foreign availability
for an item (or items) that BIS has denied or has issued a letter of
intent to deny a license. If the Secretary determines that foreign
availability exists, BIS's approval of a license will be limited to the
items, countries, and quantities in the allegation.
Determination. The Secretary's decision that foreign availability
within the meaning of the EAA does or does not exist. (See Sec. 768.7
of this part).
Expedited licensing procedure eligibility evaluation. An evaluation
that BIS initiates for the purpose of determining whether an item is
eligible for the expedited licensing procedure. (See Sec. 768.8 of this
part).
Expedited licensing procedures. Under expedited licensing
procedures, BIS reviews and processes a license application for the
export of an eligible item to a non-controlled country within statutory
time limits. Licenses are deemed approved unless BIS denies within the
statutory time limits (See Sec. 768.8 of this part).
Foreign availability submission (FAS). An allegation of foreign
availability a claimant makes, supported by reasonable evidence, and
submits to BIS. (See Sec. 768.5 of this part).
Item. Any commodity, software, or technology.
Items eligible for non-controlled country expedited licensing
procedures. The items described in supplement no. 2 to this part 768 are
eligible for the expedited license procedures (See Sec. 768.8 of this
part).
National Security Override (NSO). A Presidential decision to
maintain export controls on an item notwithstanding its foreign
availability as determined under the EAA. The President's decision is
based on his/her determination that the absence of the controls would
prove detrimental to the national security of the United States. Once
the President makes such a decision, the President must actively pursue
negotiations to eliminate foreign availability with the governments of
the sources of foreign availability. (See Sec. 768.7 of this part).
Non-controlled countries. Any country not defined as a controlled
country by this section.
Non-U.S. source/foreign source. A person located outside the
jurisdiction of the United States (as defined in part 772 of the EAR).
Reasonable evidence. Relevant information that is credible.
Reliable evidence. Relevant information that is credible and
dependable.
Secretary. As used in this part, the Secretary refers to the
Secretary of Commerce or his/her designee.
Similar quality. An item is of similar quality to an item that is
controlled under the EAR if it is substantially alike in key
characteristics that may include, but are not limited to: (1) Function;
(2) technological approach; (3) performance thresholds; (4)
maintainability and service life; and (5) any other attribute relevant
to the purpose for which the control was placed on the item.
Sufficient quantity. The amount of an item that would render the
U.S. export control, or the denial of the license in question,
ineffective in achieving its purpose. For a controlled country, it is
the quantity that meets the military needs of that country so that U.S.
exports of the item to that country would not make a significant
contribution to its military potential.
Technical Advisory Committee (TAC). A Committee created under
section 5(h) of the EAA that advises and assists the Secretary of
Commerce, the Secretary of Defense, and any other department, agency, or
official of the Government of the United States to which the President
delegates authority under the EAA on export control matters related to
specific areas of controlled items.
TAC certification. A statement that a TAC submits to BIS, supported
by reasonable evidence, documented as in a FAS, that foreign
availability to a controlled country exists for an item that falls
within the TAC's area of technical expertise.
[61 FR 12915, Mar. 25, 1996, as amended at 61 FR 68585, Dec. 30, 1996;
62 FR 25469, May 9, 1997]
[[Page 303]]
Sec. 768.2 Foreign availability described.
(a) Foreign availability. Foreign availability exists when the
Secretary determines that an item is comparable in quality to an item
subject to U.S. national security export controls, and is available-in-
fact to a country, from a non-U.S. source, in sufficient quantities to
render the U.S. export control of that item or the denial of a license
ineffective. For a controlled country, such control or denial is
``ineffective'' when maintaining such control or denying a specific
license would not restrict the availability of items that would make a
significant contribution to the military potential of the controlled
country or combination of countries detrimental to the national security
of the United States (see sections 5(a) and 3(2)(A) of the EAA.)
(b) Types of foreign availability. There are two types of foreign
availability:
(1) Foreign availability to a controlled country; and
(2) Foreign availability to a non-controlled country.
Note to paragraph (b) of this section: See Sec. 768.7 of this part
for delineation of the foreign availability assessment procedures, and
Sec. 768.6 of this part for the criteria used in determining foreign
availability.
Sec. 768.3 Foreign availability assessment.
(a) Foreign availability assessment. A foreign availability
assessment is an evidentiary analysis that BIS conducts to assess the
foreign availability of a given item according to the assessment
criteria, based on data submitted by a claimant, the data gathered by
BIS, and the data and recommendations submitted by the Departments of
Defense and State and other relevant departments and agencies, TAC
committees, and industry. BIS uses the results of the analysis in
formulating its recommendation to the Secretary on whether foreign
availability exists for a given item. If the Secretary determines that
foreign availability exists, the Secretary will decontrol the item for
national security reasons or approve the license in question if there is
no foreign policy reason to deny the license, unless the President
exercises a National Security Override (see Sec. 768.7 of this part).
The effect of any such determination on the effectiveness of foreign
policy controls may be considered independent of this part.
(b) Types of assessments. There are two types of foreign
availability assessments:
(1) Denied license assessment; and
(2) Decontrol assessment.
(c) Expedited licensing procedures. See Sec. 768.8 of this part for
the evaluation of eligibility of an item for the expedited licensing
procedures.
[61 FR 12915, Mar. 25, 1996, as amended at 61 FR 68585, Dec. 30, 1996]
Sec. 768.4 Initiation of an assessment.
(a) Assessment request. To initiate an assessment, each claimant or
TAC must submit a FAS or a TAC Certification to BIS. TACs are authorized
to certify foreign availability only to controlled countries. Claimants
can allege foreign availability for either controlled or non-controlled
countries.
(b) Denied license assessment. A claimant whose license application
BIS has denied, or for which it has issued a letter of intent to deny on
national security grounds, may request that BIS initiate a denied
license assessment by submitting a Foreign Availability Submission (FAS)
within 90 days after denial of the license. As part of its submission,
the claimant must request that the specified license application be
approved on the grounds of foreign availability. The evidence must
relate to the particular export as described on the license application
and to the alleged comparable item. If foreign availability is found,
the Secretary will approve the license for the specific items,
countries, and quantities listed on the application. The denied license
assessment procedure, however, is not intended to result in the removal
of the U.S. export control on an item by incrementally providing a
country with amounts that, taken together, would constitute a sufficient
quantity of an item. The Secretary will not approve on foreign
availability grounds a denied license if the approval of such license
would itself render the U.S. export control ineffective in achieving its
purpose. In the case of a positive determination, the Secretary will
determine
[[Page 304]]
whether a decontrol assessment is warranted. If so, then BIS will
initiate a decontrol assessment.
(c) Decontrol assessment. (1) Any claimant may at any time request
that BIS initiate a decontrol assessment by a FAS to BIS alleging
foreign availability to any country or countries.
(2) A TAC may request that BIS initiate a decontrol assessment at
any time by submitting a TAC Certification to BIS that there is foreign
availability to a controlled country for items that fall within the area
of the TAC's technical expertise.
(3) The Secretary, on his/her own initiative, may initiate a
decontrol assessment.
(d) BIS mailing address. All foreign availability submissions and
TAC certifications should be submitted to: Department of Commerce,
Bureau of Industry and Security, Room H-1093, 14th Street and
Pennsylvania Avenue, NW, Washington, DC 20230.
[61 FR 12915, Mar. 25, 1996, as amended at 72 FR 25196, May 4, 2007]
Sec. 768.5 Contents of foreign availability submissions and Technical
Advisory Committee certifications.
(a) All foreign availability submissions must contain, in addition
to information on product or technology alleged to be available from
foreign sources, at least:
(1) The name of the claimant;
(2) The claimant's mailing and business address;
(3) The claimant's telephone number; and
(4) A contact point and telephone number.
(b) Foreign availability submissions and TAC certifications should
contain as much evidence as is available to support the claim,
including, but not limited to:
(1) Product names and model designations of the items alleged to be
comparable;
(2) Extent to which the alleged comparable item is based on U.S.
technology;
(3) Names and locations of the non-U.S. sources and the basis for
claiming that the item is a non-U.S. source item;
(4) Key performance elements, attributes, and characteristics of the
items on which a qualitative comparison may be made;
(5) Non-U.S. source's production quantities and/or sales of the
alleged comparable items and marketing efforts;
(6) Estimated market demand and the economic impact of the control;
(7) Product names, model designations, and value of U.S. controlled
parts and components incorporated in the items alleged to be comparable;
and
(8) The basis for the claim that the item is available-in-fact to
the country or countries for which foreign availability is alleged.
(c) Supporting evidence of foreign availability may include, but is
not limited to, the following:
(1) Foreign manufacturers' catalogs, brochures, operation or
maintenance manuals;
(2) Articles from reputable trade and technical publications;
(3) Photographs;
(4) Depositions based on eyewitness accounts; and
(5) Other credible evidence.
Note to paragraph (c) of this section: See supplement no. 1 to part
768 for additional examples of supporting evidence.
(d) Upon receipt of a FAS or TAC certification, BIS will review it
to determine whether there is sufficient evidence to support the belief
that foreign availability may exist. If BIS determines the FAS or TAC
certification is lacking in supporting evidence, BIS will seek
additional evidence from appropriate sources, including the claimant or
TAC. BIS will initiate the assessment when it determines that it has
sufficient evidence that foreign availability may exist. Claimant and
TAC certified assessments will be deemed to be initiated as of the date
of such determination.
(e) Claimants and TACs are advised to review the foreign
availability assessment criteria described in Sec. 768.6 of this part
and the examples of evidence described in supplement no. 1 to part 768
when assembling supporting evidence for inclusion in the FAS or TAC
certification.
[[Page 305]]
Sec. 768.6 Criteria.
BIS will evaluate the evidence contained in a FAS or TAC
certification and all other evidence gathered in the assessment process
in accordance with certain criteria that must be met before BIS can
recommend a positive determination to the Secretary. The criteria are
defined in Sec. 768.1(d) of this part. In order to initiate an
assessment, each FAS and TAC certification should address each of these
criteria. The criteria are statutorily prescribed and are:
(a) Available-in-fact;
(b) Non-U.S. source;
(c) Sufficient quantity; and
(d) Comparable quality.
Sec. 768.7 Procedures.
(a) Initiation of an assessment. (1) Once BIS accepts a FAS or TAC
certification of foreign availability, BIS will notify the claimant or
TAC that it is initiating the assessment.
(2) BIS will publish a Federal Register notice of the initiation of
any assessment.
(3) BIS will notify the Departments of Defense and State, the
intelligence community, and any other departments, agencies and their
contractors that may have information concerning the item on which BIS
has initiated an assessment. Each such department, agency, and
contractor shall provide BIS all relevant information concerning the
item. BIS will invite interested departments and agencies to participate
in the assessment process (See paragraph (e) of this section).
(b) Data gathering. BIS will seek and consider all available
information that bears upon the presence or absence of foreign
availability, including but not limited to that evidence described in
Sec. 768.5 (b) and (c) of this part. As soon as BIS initiates the
assessment, it will seek evidence relevant to the assessment, including
an analysis of the military needs of a selected country or countries,
technical analysis, and intelligence information from the Departments of
Defense and State, and other U.S. agencies. Evidence is particularly
sought from: industry sources worldwide; other U.S. organizations;
foreign governments; commercial, academic and classified data bases;
scientific and engineering research and development organizations; and
international trade fairs.
(c) Analysis. BIS will conduct its analysis by evaluating whether
the reasonable and reliable evidence that is relevant to each of the
foreign availability criteria provides a sufficient basis to recommend a
determination that foreign availability does or does not exist.
(d) Recommendation and determination. (1) Upon completion of each
assessment, BIS, on the basis of its analysis, will recommend that the
Secretary make a determination either that there is or that there is not
foreign availability, whichever the evidence supports. The assessment
upon which BIS bases its recommendation will accompany the
recommendation to the Secretary.
(2) BIS will recommend on the basis of its analysis that the
Secretary determine that foreign availability exists to a country when
the available evidence demonstrates that an item of comparable quality
is available-in-fact to the country, from non-U.S. sources, in
sufficient quantity so that continuation of the existing national
security export control, or denial of the license application in
question on national security grounds, would be ineffective in achieving
its purpose. For a controlled country, such control or denial is
``ineffective'' when comparable items are available-in-fact from foreign
sources in sufficient quantities so that maintaining such control or
denying a license would not be effective in restricting the availability
of items that would make a significant contribution to the military
potential of any country or combination of countries detrimental to the
national security of the United States.
(3) The Secretary will make the determination of foreign
availability on the basis of the BIS assessment and recommendation; the
Secretary's determination will take into account the evidence provided
to BIS, the recommendations of the Secretaries of Defense and State and
any other interested agencies, and any other information that the
Secretary considers relevant.
[[Page 306]]
(4) For all decontrol and denied license assessments (under section
5(f)(3) of the EAA) initiated by a FAS, the Secretary will make a
determination within 4 months of the initiation of the assessment and
will notify the claimant. The Secretary will submit positive
determinations for review to the appropriate departments and agencies.
(5) The deadlines for determinations based on self-initiated and
TAC-initiated assessments are different from the deadlines for claimant-
initiated assessments (see paragraphs (f)(2) and (f)(3) of this
section).
(e) Interagency review. BIS will notify all appropriate U.S.
agencies and Departments upon the initiation of an assessment and will
invite their participation in the assessment process. BIS will provide
all interested agencies and departments an opportunity to review source
material, draft analyses and draft assessments immediately upon their
receipt or production. For claimant-initiated assessments, BIS will
provide a copy of all positive recommendations and assessments to
interested agencies and departments for their review following the
Secretary's determination of foreign availability. For self-initiated
and TAC-initiated assessments, BIS will provide all interested agencies
an opportunity to review and comment on the assessment.
(f) Notification. (1) No later than 5 months after the initiation of
an assessment based on a FAS (claimant assessments), the Secretary will
inform the claimant in writing and will submit for publication in the
Federal Register a notice that:
(i) Foreign availability exists, and
(A) The requirement of a license has been removed or the license
application in question has been approved; or
(B) The President has determined that for national security purposes
the export controls must be maintained or the license application must
be denied, notwithstanding foreign availability, and that appropriate
steps to eliminate the foreign availability are being initiated; or
(C) In the case of an item controlled multilaterally under the
former COCOM regime, the U.S. Government will conduct any necessary
consultations concerning the proposed decontrol or approval of the
license with the former COCOM regime for a period of up to 4 months from
the date of the publication of the determination in the Federal Register
(the U.S. Government may remove the license requirement for exports to
non-controlled countries pending completion of the former COCOM regime
review process); or
(ii) Foreign availability does not exist.
(2) For all TAC certification assessments, the Secretary will make a
foreign availability determination within 90 days following initiation
of the assessment. BIS will prepare and submit a report to the TAC and
to the Congress stating that:
(i) The Secretary has found foreign availability and has removed the
license requirement; or
(ii) The Secretary has found foreign availability, but has
recommended to the President that negotiations be undertaken to
eliminate the foreign availability; or
(iii) The Secretary has not found foreign availability.
(3) There is no statutory deadline for assessments self-initiated by
the Secretary or for the resulting determination. However, BIS will make
every effort to complete such assessments and determinations promptly.
(g) Foreign availability to controlled countries. When the Secretary
determines that an item controlled for national security reasons is
available to a controlled country and the President does not issue a
National Security Override (NSO), BIS will submit the determination to
the Department of State, along with a draft proposal for the
multilateral decontrol of the item or for the former COCOM regime
approval of the license. The Department of State will submit the
proposal or the license for former COCOM regime review. The former COCOM
regime will have up to 4 months for review of the proposal.
(h) Foreign availability to non-controlled countries. If the
Secretary determines that foreign availability to non-controlled
countries exists, the Secretary will decontrol the item for export to
all non-controlled countries
[[Page 307]]
where it is found to be available, or approve the license in question,
unless the President exercises a National Security Override.
(i) Negotiations to eliminate foreign availability. (1) The
President may determine that an export control must be maintained
notwithstanding the existence of foreign availability. Such a
determination is called a National Security Override (NSO) and is based
on the President's decision that the absence of the control would prove
detrimental to the United States national security. Unless extended (as
described in paragraph (i)(7) of this section), an NSO is effective for
6 months. Where the President invokes an NSO, the U.S. Government will
actively pursue negotiations with the government of any source country
during the 6 month period to eliminate the availability.
(2) There are two types of National Security Overrides:
(i) An NSO of a determination of foreign availability resulting from
an assessment initiated pursuant to section 5(f) of the EAA (claimant
and self-initiated assessments); and
(ii) An NSO of a determination of foreign availability resulting
from an assessment initiated pursuant to section 5(h) of the EAA (TAC-
certification assessments).
(3) For an NSO resulting from an assessment initiated under section
5(f) of the EAA, the Secretary of any agency may recommend that the
President exercise the authority under the EAA to retain the controls or
deny the license notwithstanding the finding of foreign availability.
(4) For an NSO resulting from an assessment initiated under section
5(h) of the EAA, the Secretary of Commerce may recommend that the
President exercise the authority under the EAA to retain the controls
notwithstanding the finding of foreign availability.
(5) Under an NSO resulting from an assessment initiated under
section 5(f) of the EAA, the Committee on Banking, Housing, and Urban
Affairs of the Senate and the Committee on International Relations of
the House of Representatives will be notified of the initiation of the
required negotiations. The notice will include an explanation of the
national security interest that necessitates the retention of controls.
(6) Under an NSO resulting from an assessment initiated under
section 5(f) of the EAA, BIS will publish notices in the Federal
Register consisting of:
(i) The Secretary's determination of foreign availability;
(ii) The President's decision to exercise the NSO;
(iii) A concise statement of the basis for the President's decision;
and
(iv) An estimate of the economic impact of the decision.
(7) The 6 month effective period for an NSO may be extended up to an
additional 12 months if, prior to the end of the 6 months, the President
certifies to Congress that the negotiations are progressing, and
determines that the absence of the controls would continue to be
detrimental to the United States national security.
(8) After the conclusion of negotiations, BIS will retain the
control only to the extent that foreign availability is eliminated. If
foreign availability is not eliminated, BIS will decontrol the item by
removing the requirement for a license for the export of the item to the
destinations covered by the assessment. To the extent that the
negotiations are successful and the foreign availability is eliminated,
BIS will remove the license requirement for the export of the item to
any country that has agreed to eliminate foreign availability.
(j) Changes in foreign availability. If BIS becomes aware of
conditions, including new evidence, that affect a previous determination
that foreign availability exists or does not exist, BIS may review the
conditions. If BIS finds that the foreign availability previously
determined no longer exists, or that foreign availability not earlier
found now does exist, BIS will make a recommendation to the Secretary of
Commerce for the appropriate changes in the control. The Secretary of
Commerce will make a determination, and BIS will publish a Federal
Register notice of the determination.
[[Page 308]]
Sec. 768.8 Eligibility of expedited licensing procedures for
non-controlled countries.
(a) BIS determines the eligibility of an item for expedited
licensing procedures on the basis of an evaluation of the foreign
availability of the item. Eligibility is specific to the items and the
countries to which they are found to be available.
(b) BIS will initiate an eligibility evaluation:
(1) On its own initiative;
(2) On receipt of a FAS; or
(3) On receipt of a TAC certification.
(c) Upon initiation of an eligibility evaluation following receipt
of either a FAS or TAC certification, BIS will notify the claimant or
TAC of the receipt and initiation of an evaluation and publish a Federal
Register notice of the initiation of the evaluation.
(d) The criteria for determining eligibility for expedited licensing
procedures are:
(1) The item must be available-in-fact to the specified
non-controlled country from a foreign source;
(2) The item must be of a quality similar to that of the U.S.-
controlled item; and
(3) The item must be available-in-fact to the specified non-
controlled country without effective restrictions.
(e) Within 30 days of initiation of the evaluation, the Secretary of
Commerce will make a determination of foreign availability on the basis
of the BIS evaluation and recommendation, taking into consideration the
evidence the Secretaries of Defense, State, and other interested
agencies provide to BIS and any other information that the Secretary
considers relevant.
(f) Within 30 days of the receipt of the FAS or TAC certification,
BIS will publish the Secretary's determination in the Federal Register,
that the item will or will not be eligible for expedited licensing
procedures to the stated countries and, where appropriate, amend
supplement no. 2 to part 768.
(g) Following completion of a self-initiated evaluation, BIS will be
notified of the Secretary's determination and, where appropriate,
supplement no. 2 to part 768 will be amended.
(h) Foreign availability submissions and TAC certifications to
initiate an expedited licensing procedure evaluation must be clearly
designated on their face as a request for expedited licensing procedure
and must specify the items, quantities and countries alleged eligible.
Submissions and certifications should be sent to: Department of
Commerce, Bureau of Industry and Security, Room H-1093, 14th Street and
Pennsylvania Avenue, NW., Washington, DC 20230.
[61 FR 12915, Mar. 25, 1996, as amended at 72 FR 25196, May 4, 2007]
Sec. 768.9 Appeals of negative foreign availability determinations.
Appeals of negative determinations will be conducted according to
the standards and procedures described in part 756 of the EAR. A
Presidential decision (NSO) to deny a license or continue controls
notwithstanding a determination of foreign availability is not subject
to appeal.
Sec. 768.10 Removal of controls on less sophisticated items.
Where the Secretary has removed national security controls on an
item for foreign availability reasons, the Secretary will also remove
controls on similar items that are controlled for national security
reasons and whose functions, technological approach, performance
thresholds, and other attributes that form the basis for national
security export controls do not exceed the technical parameters of the
item that BIS has decontrolled for foreign availability reasons.
Sec. Supplement No. 1 to Part 768--Evidence of Foreign Availability
This supplement provides a list of examples of evidence that the
Bureau of Industry and Security (BIS) has found to be useful in
conducting assessments of foreign availability. A claimant submitting
evidence supporting a claim of foreign availability should review this
list for suggestions as evidence is collected. Acceptable evidence
indicating possible foreign availability is not limited to these
examples, nor is any one of these examples, usually, in and of itself,
necessarily sufficient to meet a foreign availability criterion. A
combination of several types of evidence for each criterion usually is
required. A Foreign Availability Submission (FAS)
[[Page 309]]
should include as much evidence as possible on all four of the criteria
listed below. BIS combines the submitted evidence with the evidence that
it collects from other sources. BIS evaluates all evidence, taking into
account factors that may include, but are not limited to: Information
concerning the source of the evidence, corroborative or contradictory
indications, and experience concerning the reliability or reasonableness
of such evidence. BIS will assess all relevant evidence to determine
whether each of the four criteria has been met. Where possible, all
information should be in writing. If information is based on third party
documentation, the submitter should provide such documentation to BIS.
If information is based on oral statements a third party made, the
submitter should provide a memorandum of the conversation to BIS if the
submitter cannot obtain a written memorandum from the source. BIS will
amend this informational list as it identifies new examples of evidence.
(a) Examples of evidence of foreign availability:
The following are intended as examples of evidence that BIS will
consider in evaluating foreign availability. BIS will evaluate all
evidence according to the provisions in Sec. 768.7(c) of this part in
order for it to be used in support of a foreign availability
determination. This list is illustrative only.
(1) Available-in-fact:
(i) Evidence of marketing of an item in a foreign country (e.g., an
advertisement in the media of the foreign country that the item is for
sale there);
(ii) Copies of sales receipts demonstrating sales to foreign
countries;
(iii) The terms of a contract under which the item has been or is
being sold to a foreign country;
(iv) Information, preferably in writing, from an appropriate foreign
government official that the government will not deny the sale of an
item it produces to another country in accordance with its laws and
regulations;
(v) Information, preferably in writing, from a named company
official that the company legally can and would sell an item it produces
to a foreign country;
(vi) Evidence of actual shipments of the item to foreign countries
(e.g., shipping documents, photographs, news reports);
(vii) An eyewitness report of such an item in operation in a foreign
country, providing as much information as available, including where
possible the make and model of the item and its observed operating
characteristics;
(viii) Evidence of the presence of sales personnel or technical
service personnel in a foreign country;
(ix) Evidence of production within a foreign country;
(x) Evidence of the item being exhibited at a trade fair in a
foreign country, particularly for the purpose of inducing sales of the
item to the foreign country;
(xi) A copy of the export control laws or regulations of the source
country, showing that the item is not controlled; or
(xii) A catalog or brochure indicating the item is for sale in a
specific country.
(2) Foreign (non-U.S.) source:
(i) Names of foreign manufacturers of the item including, if
possible, addresses and telephone numbers;
(ii) A report from a reputable source of information on commercial
relationships that a foreign manufacturer is not linked financially or
administratively with a U.S. company;
(iii) A list of the components in the U.S. item and foreign item
indicating model numbers and their sources;
(iv) A schematic of the foreign item identifying its components and
their sources;
(v) Evidence that the item is a direct product of foreign technology
(e.g., a patent law suit lost by a U.S. producer, a foreign patent);
(vi) Evidence of indigenous technology, production facilities, and
the capabilities at those facilities; or
(vii) Evidence that the parts and components of the item are of
foreign origin or are exempt from U.S. licensing requirements by the
parts and components provision Sec. 732.4 of the EAR.
(3) Sufficient quantity:
(i) Evidence that foreign sources have the item in serial
production;
(ii) Evidence that the item or its product is used in civilian
applications in foreign countries;
(iii) Evidence that a foreign country is marketing in the specific
country an item of its indigenous manufacture;
(iv) Evidence of foreign inventories of the item;
(v) Evidence of excess capacity in a foreign country's production
facility;
(vi) Evidence that foreign countries have not targeted the item or
are not seeking to purchase it in the West;
(vii) An estimate by a knowledgeable source of the foreign country's
needs; or
(viii) An authoritative analysis of the worldwide market (i.e.,
demand, production rate for the item for various manufacturers, plant
capacities, installed tooling, monthly production rates, orders, sales
and cumulative sales over 5-6 years).
(4) Comparable quality:
(i) A sample of the foreign item;
(ii) Operation or maintenance manuals of the U.S. and foreign items;
(iii) Records or a statement from a user of the foreign item;
(iv) A comparative evaluation, preferably in writing, of the U.S.
and foreign items by,
[[Page 310]]
for example, a western producer or purchaser of the item, a recognized
expert, a reputable trade publication, or independent laboratory;
(v) A comparative list identifying, by manufacturers and model
numbers, the key performance components and the materials used in the
item that qualitatively affect the performance of the U.S. and foreign
items;
(vi) Evidence of the interchangeability of U.S. and foreign items;
(vii) Patent descriptions for the U.S. and foreign items;
(viii) Evidence that the U.S. and foreign items meet a published
industry, national, or international standard;
(ix) A report or eyewitness account, by deposition or otherwise, of
the foreign item's operation;
(x) Evidence concerning the foreign manufacturers' corporate
reputation;
(xi) Comparison of the U.S. and foreign end item(s) made from a
specific commodity, tool(s), device(s), or technical data; or
(xii) Evidence of the reputation of the foreign item including, if
possible, information on maintenance, repair, performance, and other
pertinent factors.
Sec. Supplement No. 2 to Part 768--Items Eligible for Expedited
Licensing Procedures [Reserved]
PART 770_INTERPRETATIONS--Table of Contents
Sec.
770.1 Introduction.
770.2 Item interpretations.
770.3 Interpretations related to exports of technology and software to
destinations in Country Group D:1.
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Sec. 770.1 Introduction.
In this part, references to the EAR are references to 15 CFR chapter
VII, subchapter C. This part provides commodity, technology, and
software interpretations. These interpretations clarify the scope of
controls where such scope is not readily apparent from the Commerce
Control List (CCL) (see supplement no. 1 to part 774 of the EAR) and
other provisions of the Export Administration Regulations.
Sec. 770.2 Item interpretations.
(a) Interpretation 1: Anti-friction bearing or bearing systems and
specially designed parts. (1) Anti-friction bearings or bearing systems
shipped as spares or replacements are classified under Export Control
Classification Number (ECCN) 2A001 (ball, roller, or needle-roller
bearings and parts). This applies to separate shipments of anti-friction
bearings or bearing systems and anti-friction bearings or bearing
systems shipped with machinery or equipment for which they are intended
to be used as spares or replacement parts.
(2) An anti-friction bearing or bearing system physically
incorporated in a segment of a machine or in a complete machine prior to
shipment loses its identity as a bearing. In this scenario, the machine
or segment of machinery containing the bearing is the item subject to
export control requirements.
(3) An anti-friction bearing or bearing system not incorporated in a
segment of a machine prior to shipment, but shipped as a component of a
complete unassembled (knocked-down) machine, is considered a component
of a machine. In this scenario, the complete machine is the item subject
to export license requirements.
(b) Interpretation 2: Classification of ``parts'' of machinery,
equipment, or other items--(1) An assembled machine or unit of equipment
is being exported. In instances where one or more assembled machines or
units of equipment are being exported, the individual component parts
that are physically incorporated into the machine or equipment do not
require a license. The license or general exception under which the
complete machine or unit of equipment is exported will also cover its
component parts, provided that the parts are normal and usual components
of the machine or equipment being exported, or that the physical
incorporation is not used as a device to evade the requirement for a
license.
(2) Parts are exported as spares, replacements, for resale, or for
stock. In instances where parts are exported as spares, replacements,
for resale, or for stock, a license is required only if the appropriate
entry for the part specifies that a license is required for the intended
destination.
(c) [Reserved]
(d) Interpretation 4: Telecommunications equipment and systems.
Control equipment for paging systems (broadcast radio or selectively
signalled receiving systems) is defined as circuit
[[Page 311]]
switching equipment in Category 5 of the CCL.
(e) Interpretation 5: Numerical control systems--(1) Classification
of ``Numerical Control'' Units. ``Numerical control'' units for machine
tools, regardless of their configurations or architectures, are
controlled by their functional characteristics as described in ECCN
2B001.a. ``Numerical control'' units include computers with add-on
``motion control boards''. A computer with add-on ``motion control
boards'' for machine tools may be controlled under ECCN 2B001.a even
when the computer alone without ``motion control boards'' is not subject
to licensing requirements under Category 4 and the ``motion control
boards'' are not controlled under ECCN 2B001.b.
(2) Export documentation requirement. (i) When preparing a license
application for a numerical control system, the machine tool and the
control unit are classified separately. If either the machine tool or
the control unit requires a license, then the entire unit requires a
license. If either a machine tool or a control unit is exported
separately from the system, the exported component is classified on the
license application without regard to the other parts of a possible
system.
(ii) When preparing the Electronic Export Information (EEI) on the
Automated Export System (AES), a system being shipped complete (i.e.,
machine and control unit), should be reported under the Schedule B
number for each machine. When either a control unit or a machine is
shipped separately, it should be reported under the Schedule B number
appropriate for the individual item being exported.
(f) Interpretation 6: ``Parts,'' ``accessories,'' and equipment
exported as scrap. ``Parts,'' ``accessories,'' or equipment that are
being shipped as scrap should be described on the EEI filing to the AES
in sufficient detail to be identified under the proper ECCN. When
commodities declared as ``parts,'' ``accessories,'' or equipment are
shipped in bulk, or are otherwise not packaged, packed, or sorted in
accordance with normal trade practices, the Customs Officer may require
evidence that the shipment is not scrap. Such evidence may include, but
is not limited to, bills of sale, orders and correspondence indicating
whether the commodities are scrap or are being exported for use as
``parts,'' ``accessories,'' or equipment.
(g) Interpretation 7: Scrap arms, ammunition, and implements of war.
Arms, ammunition, and implements of war, as defined in the U.S.
Munitions List, and are under the jurisdiction of the U.S. Department of
State (22 CFR parts 120 through 130), except for the following, which
are under the jurisdiction of the Department of Commerce:
(1) Cartridge and shell cases that have been rendered useless beyond
the possibility of restoration to their original identity by means of
excessive heating, flame treatment, mangling, crushing, cutting, or by
any other method are ``scrap''.
(2) Cartridge and shell cases that have been sold by the armed
services as ``scrap'', whether or not they have been heated, flame-
treated, mangled, crushed, cut, or reduced to scrap by any other method.
(3) Other commodities that may have been on the U.S. Munitions List
are ``scrap'', and therefore under the jurisdiction of the Department of
Commerce, if they have been rendered useless beyond the possibility of
restoration to their original identity only by means of mangling,
crushing, or cutting. When in doubt as to whether a commodity covered by
the Munitions List has been rendered useless, exporters should consult
the Directorate of Defense Trade Controls, U.S. Department of State,
Washington, DC 20520, or the Exporter Counseling Division, Office of
Exporter Services, Room 1099A, U.S. Department of Commerce, Washington,
DC 20230, before reporting a shipment as metal scrap.
(h)-(j) [Reserved]
(k) Interpretation 11: Precursor chemicals. The following chemicals
are controlled by ECCN 1C350. The appropriate Chemical Abstract Service
Registry (C.A.S.) number and synonyms (i.e., alternative names) are
included to help you determine whether or not your chemicals are
controlled by this entry.
(1) (C.A.S. 1341-49-7) Ammonium hydrogen bifluoride
Acid ammonium fluoride
Ammonium bifluoride
Ammonium difluoride
[[Page 312]]
Ammonium hydrofluoride
Ammonium hydrogen bifluoride
Ammonium hydrogen difluoride
Ammonium monohydrogen difluoride
(2) (C.A.S. 7784-34-1) Arsenic trichloride
Arsenic (III) chloride
Arsenous chloride
Fuming liquid arsenic
Trichloroarsine
(3) (C.A.S. 76-93-7) Benzilic acid
.alpha.,.alpha.-Diphenyl-.alpha.-hydroxyacetic acid
Diphenylglycolic acid
.alpha.,.alpha.-Diphenylglycolic acid
Diphenylhydroxyacetic acid
.alpha.-Hydroxy-2,2-diphenylacetic acid
2-Hydroxy-2,2-diphenylacetic acid
.alpha.-Hydroxy-.alpha.-phenylbenzeneacetic acid
Hydroxydiphenylacetic acid
(4) (C.A.S. 107-07-3) 2-Chloroethanol
2-Chloro-1-ethanol
Chloroethanol
2-Chloroethyl alcohol
Ethene chlorohydrin
Ethylchlorohydrin
Ethylene chlorhydrin
Ethylene chlorohydrin
Glycol chlorohydrin
Glycol monochlorohydrin
2-Hydroxyethyl chloride
(5) (C.A.S. 78-38-6) Diethyl ethylphosphonate Ethylphosphonic acid
diethyl ester
(6) (C.A.S. 15715-41-0) Diethyl methylphosphonite
Diethoxymethylphosphine
Diethyl methanephosphonite
0,0-Diethyl methylphosphonite
Methyldiethoxyphosphine
Methylphosphonous acid diethyl ester
(7) (C.A.S. 2404-03-7) Diethyl-N, N-dimethylphosphoro-amidate
N,N-Dimethyl-O,O'-diethyl phosphoramidate
Diethyl dimethylphosphoramidate
Dimethylphosphoramidic acid diethyl ester
(8) (C.A.S. 762-04-9) Diethyl phosphite
Diethoxyphosphine oxide
Diethyl acid phosphite
Diethyl hydrogen phosphite
Diethyo phosphonate
Hydrogen diethyl phosphite
(9) (C.A.S. 100-37-8) N, N-Diethylethanolamine
N,N-Diethyl-2-aminoethanol
Diethyl (2-hydroxyethyl) amine
N,N-Diethyl-N-(.beta.-hydroxyethyl) amine
N,N-Diethyl-2-hydroxyethylamine
Diethylaminoethanol
2-(Diethylamino) ethanol
2-(Diethylamino)ethyl alcohol
N,N-Diethylmonoethanolamine
(2-Hydroxyethyl) diethylamine
2-Hydroxytriethylamine
(10) (C.A.S. 5842-07-9) N,N-Diisopropyl-.beta.-aminoethane thiol
2-(Diisopropylamino) ethanethiol
Diisopropylaminoethanethiol
.beta.-Diisopropylaminoethanethiol
2-(bis(1-Methylethyl)amino) ethanethiol
(11) (C.A.S. 4261-68-1) N, N-Diisopropyl-.2-aminoethyl chloride
hydrochloride
(12) (C.A.S. 96-80-0) N,N-Diisopropyl-.beta.-aminoethanol
N,N-Diisopropyl-2-aminoethanol
2-(Diisopropylamino) ethanol
(N,N-Diisopropylamino) ethanol
2-(Diisopropylamino) ethyl alcohol
N,N-Diisopropylethanolamine
(13) (C.A.S. 96-79-7) N,N-Diisopropyl-.beta.-aminoethyl chloride
2-Chloro-N,N-diisopropylethanamine
1-Chloro-N,N-diisopropylaminoethane
2-Chloro-N,N-diisopropylethylamine
N-(2-chloroethyl)-N-(1-methylethyl)-2-propanamine
N-(2-Chloroethyl) diisopropylamine
N,N-Diisopropyl-2-chloroethylamine
1-(Diisopropylamino)-2-cholorethane
2-(Diisopropylamino)ethyl chloride
Diisopropylaminoethyl chloride
.beta.-Diisopropylaminoethyl chloride
(14) (C.A.S. 108-18-9) Diisopropylamine
N,N-Diisopropylamine
N-(1-Methylethyl)-2-propanamine
(15) (C.A.S. 6163-75-3) Dimethyl ethylphosphonate
Dimethyl ethanephosphonate
Ethylphosphonic acid dimethyl ester
(16) (C.A.S. 756-79-6) Dimethyl methylphosphonate
Dimethoxymethyl phosphine oxide
Dimethyl methanephosphonate
Methanephosphonic acid dimethyl ester
Methylphosphonic acid dimethyl ester
[[Page 313]]
(17) (C.A.S. 868-85-9) Dimethyl phosphite
Dimethoxyphosphine oxide
Dimethyl acid phosphite
Dimethyl hydrogen phosphite
Dimethyl phosphonate
Hydrogen dimethyl phosphite
Methyl phosphate
(18) (C.A.S. 124-40-3) Dimethylamine
N-Methyl methanamine
(19) (C.A.S. 506-59-2) Dimethylamine hydrochloride
Dimethylammonium chloride
N-Methyl methanamine hydrochloride
(20) [Reserved]
(21) (C.A.S. 1498-40-4) Ethylphosphonous dichloride
Dichloroethylphosphine
Ethyl phosphonous dichloride
Ethyldichlorophosphine
(22) (C.A.S. 430-78-4) Ethylphosphonus difluoride
Ethyldifluorophosphine
(23) (C.A.S. 1066-50-8) Ethylphosphonyl dichloride
Dichloroethylphosphine oxide
Ethanephosphonyl chloride
Ethylphosphinic dichloride
Ethylphosphonic acid dichloride
Ethylphosphonic dichloride
(24) [Reserved]
(25) (C.A.S. 7664-39-3) Hydrogen fluoride
Anhydrous hydrofluoric acid
Fluorhydric acid
Fluorine monohydride
Hydrofluoric acid gas
(26) (C.A.S. 3554-74-3) 3-Hydroxyl-1-methylpiperidine
3-Hydroxy-N-methylpiperidine
1-Methyl-3-hydroxypiperidine
N-Methyl-3-hydroxypiperidine
1-Methyl-3-piperidinol
N-Methyl-3-piperidinol
(27) (C.A.S. 76-89-1) Methyl benzilate
Benzilic acid methyl ester
.alpha.-Hydroxy-.alpha.-phenylbenzeneacetic acid methyl ester
Methyl .alpha.-phenylmandelate
Methyl diphenylglycolate
(28)-(31) [Reserved]
(32) (C.A.S. 10025-87-3) Phosphorus oxychloride
Phosphonyl trichloride
Phosphoric chloride
Phosphoric trichloride
Phosphoroxychloride
Phosphoroxytrichloride
Phosphorus chloride oxide
Phosphorus monoxide trichloride
Phosphorus oxide trichloride
Phosphorus oxytrichloride
Phosphorus trichloride oxide
Phosphoryl trichloride
Trichlorophosphine oxide
Trichlorophosphorus oxide
(33) (C.A.S. 10026-13-8) Phosphorus pentachloride
Pentachlorophosphorane
Pentachlorophosphorus
Phosphoric chloride
Phosphorus(V) chloride
Phosphorus perchloride
(34) (C.A.S. 1314-80-3) Phosphorus pentasulfide
Diphosphorus pentasulfide
Phosphoric sulfide
Phosphorus persulfide
Phosphorus sulfide
(35) (C.A.S. 7719-12-2) Phosphorus trichloride
Phosphorus chloride
Trichlorophosphine
(36) C.A.S. 75-97-8) Pinacolone
tert-Butyl methyl ketone
2,2-Dimethyl-3-butanone
3,3-Dimethyl-2-butanone
2,2-Dimethylbutanone
3,3-Dimethylbutanone
1,1-Dimethylethyl methyl ketone
Methyl tert-butyl ketone
Pinacolin
Pinacoline
1,1,1-Trimethylacetone
(37) (C.A.S. 464-07-3) Pinacolyl alcohol
tert-Butyl methyl carbinol
2,2-Dimethyl-3-butanol
3,3-Dimethyl-2-butanol
1-Methyl-2,2-dimethylpropanol
(38) (C.A.S. 151-50-8) Potassium cyanide
(39) (C.A.S. 7789-23-3) Potassium fluoride
Potassium monofluoride
(40) (C.A.S. 7789-29-9) Potassium hydrogen fluoride
Hydrogen potassium difluoride
Hydrogen potassium fluoride
Potassium acid fluoride
Potassium bifluoride
Potassium hydrogen difluoride
Potassium monohydrogen difluoride
(41) (C.A.S. 1619-34-7) 3-Quinuclidinol
1-Azabicyclo(2.2.2)octan-3-ol
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3-Hydroxyquinuclidine
(42) (C.A.S. 3731-38-2) 3-Quinuclidinone
1-Azabicyclo(2.2.2)octan-3-one
3-Oxyquinuclidine
Quinuclidone
(43) (C.A.S.) 1333-83-1) Sodium bifluoride
Sodium hydrogen difluoride
Sodium hydrogen fluoride
(44) (C.A.S. 143-33-9) Sodium cyanide
(45) (C.A.S. 7681-49-4) Sodium fluoride
Sodium monofluoride
(46) (C.A.S. 1313-82-2) Sodium sulfide
Disodium monosulfide
Disodium sulfide
Sodium monosulfide
Sodium sulfide
(47) (C.A.S. 10025-67-9) Sulfur Monochloride
(48) (C.A.S. 10545-99-0) Sulfur dicholoride
(49) (C.A.S. 111-48-8) Thiodiglycol
Bis(2-hydroxyethyl) sulfide
Bis(2-hydroxyethyl) thioether
Di(2-hydroxyethyl) sulfide
Diethanol sulfide
2,2'-Dithiobis-(ethanol)
3-Thiapentane-1,5-diol
2,2'-Thiobisethanol
2,2'-Thiodiethanol
Thiodiethylene glycol
2,2'-Thiodiglycol
(50) C.A.S. 7719-09-7) Thionyl chloride
Sulfinyl chloride
Sulfinyl dichloride
Sulfur chloride oxide
Sulfur oxychloride
Sulfurous dichloride
Sulfurous oxychloride
Thionyl dichloride
(51) (C.A.S. 102-71-6) Triethanolamine
Alkanolamine 244
Nitrilotriethanol
2,2',2''-Nitrilotriethanol
2,2',2''-Nitrilotris(ethanol)
TEA
TEA (amino alcohol)
Tri (2-hydroxyethyl) amine
Triethanolamin
Tris (.beta.-hydroxyethyl) amine
Tris (2-hydroxyethyl) amine
Trolamine
(52) (C.A.S. 637-39-8) Triethanolamine hydrochloride
(53) (C.A.S. 122-52-1) Triethyl phosphite
Phosphorous acid triethyl ester
Triethoxyphosphine
Tris(ethoxy)phosphine
(54) (C.A.S. 121-45-9) Trimethyl phosphite
Phosphorus acid trimethyl ester
Trimethoxyphosphine
(l) Interpretation 12: Computers. (1) Digital computers or computer
systems classified under ECCN 4A003.b or .c, that qualify for ``No
License Required'' (NLR) must be evaluated on the basis of Adjusted Peak
Performance (APP) alone, to the exclusion of all other technical
parameters. Digital computers or computer systems classified under ECCN
4A003.b or .c that qualify for License Exception APP must be evaluated
on the basis of APP, to the exclusion of all other technical parameters.
Assemblies performing analog-to-digital conversions are evaluated under
Category 3--Electronics, ECCN 3A002.h.
(2) Related equipment classified under ECCN 4A003.g may be exported
or reexported under License Exceptions GBS or CIV. When related
equipment is exported or reexported as part of a computer system, NLR or
License Exception APP is available for the computer system and the
related equipment, as appropriate.
(m) Interpretation 13: Encryption commodities and software
controlled for EI reasons. Encryption commodities and software
controlled for EI reasons under ECCNs 5A002, 5A004 and 5D002 may be pre-
loaded on a laptop, handheld device or other computer or equipment and
exported under the tools of trade provision of License Exception TMP or
the personal use exemption under License Exception BAG, subject to the
terms and conditions of such License Exceptions. Neither License
Exception TMP nor License Exception BAG contains a reporting
requirement. Like other ``information security'' ``software,''
components, ``electronic assemblies'' or modules, the control status of
encryption commodities and software is determined in Category 5--Part 2
even if they are bundled, commingled or incorporated in a computer or
other equipment. However, commodities and software specially designed
for medical end use that incorporate an item in Category
[[Page 315]]
5--Part 2 are not controlled in Category 5--Part 2. See paragraph (a) of
supplement no. 3 to part 774 (Statements of Understanding) of the EAR.
(n) Interpretation 14: Unfinished ``600 series'' commodities.
Forgings, castings, and other unfinished products, such as extrusions
and machined bodies, that have reached a stage in manufacturing where
they are clearly identifiable by mechanical properties, material
composition, geometry, or function as commodities controlled by any
Product Group A (``End Items,'' ``Equipment,'' ``Accessories,''
``Attachments,'' ``Parts,'' ``Components'' and ``Systems'') ``600
series'' ECCN are controlled in that ``600 series'' ECCN.
(o) Interpretation 15: Certain integrated circuits acquired, tested,
or otherwise used by or for the United States Government--(1)
Classification of the integrated circuit (IC). Integrated circuits
(ICs), including packaged ``electronic assemblies'' of ICs described by
this section, that are manufactured using existing commercial
fabrication process technologies and which are acquired, tested, or
otherwise used by, for, or under contract with the United States
Government (USG), are not considered to be radiation hardened (e.g.,
designed to withstand a specified radiation dose or upset) or
temperature rated (e.g., rated to operate at prescribed temperatures) as
may otherwise be specified under an Export Control Classification Number
(ECCN) on the Commerce Control List (CCL) in supplement no. 1 to part
774 of the EAR, provided all of the following apply:
(i) During ``development'', the IC is not designed, rated, or
certified (except by or for the USG) to meet the radiation or
temperature specifications of any ECCN; and
(ii) All commercial testing (including by the manufacturer during
fabrication, sort, packaging or assembly) regarding radiation or
temperature is limited to standard commercial tools and techniques, or
else by means funded or furnished by the USG for their use in the
commercial setting for these specified ICs.
(2) Activities that do not change the classification of ``software''
or ``technology'' for the commercial fabrication of ICs. The
``development'', ``production,'' or subsequent use of the ICs described
by this section does not change the classification of any underlying
standard commercial process ``software'' or ``technology'' used to
manufacture or test these ICs, provided all of the following apply:
(i) Any utilized existing commercial ``software'' or ``technology''
specified under ECCNs 3D991, 3D992, 3D993, 3E001, 3E991, 3E992, 3E993,
9D515.d, 9D515.e, 9E515.d or 9E515.e does not meet the ``required''
standard (as defined in part 772 of the EAR) of any other ECCN on the
CCL; and
Note 1 to paragraph (o)(2)(i): The use of existing commercial
``software'' or ``technology'' by or for the USG for the purposes
described in paragraph (o)(1) of this section does not, in and of
itself, establish the ``required'' standard to meet the specifications
of any ECCN on the CCL.
(ii) The functional capability of the hardware, ``software,'' or
``technology'' existing within the standard commercial fabrication
process has not been modified (e.g., by addition of special process
steps or unique interpretation of design data), except as may be
required or requested by the USG (e.g., as a stipulation of contract
performance) where all of the following apply:
(A) The modifications do not change the ECCN of any item subject to
the EAR (except to a less restrictive classification, e.g., from an ECCN
on the CCL to EAR99); and
(B) The modifications are limited to the manufacture or testing of
ICs by or for the USG as specified in paragraph (o)(1) of this section.
(3) Examples. Scenarios addressed by this section include the
following:
(i) If a commercially fabricated IC specified under ECCN 3A991 is
tested by the USG (or by a person or entity in a contractual
relationship with the USG) and meets the radiation-hardened parameters
in ECCN 3A001.a.1, the classification of the IC does not change from
ECCN 3A991 and the classifications of the underlying standard process
``technology'', ``equipment'' and ``software'' do not change from their
original ECCNs.
(ii) If a standard commercial process for fabricating ICs includes
certain ``technology'' specified under ECCN 3E001 (e.g., for ICs
specified under ECCN 3A001.a.1), or ECCN 9E515 (e.g.,
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for discrete electronic components specified under ECCNs 9A515.d or .e)
and those process ``technologies'' are used to manufacture ICs and
discrete electronic components for the U.S. Government, only the portion
of the ``technology'' that is ``required'' meets the specifications
under ECCN 3E001 or 9E515. Moreover, the use of these standard
commercial processes does not presumptively result in the control of the
resulting U.S. Government ICs under ECCN paragraphs 3A001.a.1 or 9A515.d
or .e; instead, the ECCNs of the U.S. Government ICs subject to the EAR
would be determined according to paragraph (o)(1) of this section.
(iii) If a standard commercial IC fabrication process at a
particular foundry is comprised of tools specified under ECCNs 3B001 or
3B991 or as EAR99, and where the ``technology'' is limited to
``technology'' specified under ECCN 3E991 or as EAR99, and that foundry
(which typically produces ICs specified under ECCN 3A991 or as EAR99)
were to deviate from its standard fabrication process (e.g., by adding
special process steps or design features) to produce a family of ICs
designed to meet or exceed the radiation hardened parameters in ECCN
paragraphs 3A001.a.1 or 9A515.d. or .e and intended for sale to U.S. and
non-U.S. commercial and government customers, then the ECCN of the
additional process ``technology'' that is ``required'' for producing
those specific radiation hardened ICs would need to be separately
evaluated and determined (e.g., under ECCNs 3E001 and 9E515, as
applicable).
[61 FR 12920, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting Sec.
770.2, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Sec. 770.3 Interpretations related to exports of technology and software
to destinations in Country Group D:1.
(a) Introduction. This section is intended to provide you additional
guidance on how to determine whether your technology or software would
be eligible for a License Exception, may be exported under NLR, or
require a license, for export to Country Group D:1.
(b) Scope of licenses. The export of technology and software under a
license is authorized only to the extent specifically indicated on the
face of the license. The only technology and software related to
equipment exports that may be exported without a license is technology
described in Sec. Sec. 734.7 through 734.11 of the EAR; operating
technology and software described in Sec. 740.13(a) of the EAR; sales
technology described in Sec. 740.13(b) of the EAR; and software updates
described in Sec. 740.13(c) of the EAR.
(c) Commingled technology and software. (1) U.S.-origin technology
does not lose its U.S.-origin when it is redrawn, used, consulted, or
otherwise commingled abroad in any respect with other technology of any
other origin. Therefore, any subsequent or similar technical data
prepared or engineered abroad for the design, construction, operation,
or maintenance of any plant or equipment, or part thereof, which is
based on or utilizes any U.S.-origin technology, is subject to the EAR
in the same manner as the original U.S.-origin technology, including
license requirements, unless the commingled technology is not subject to
the EAR by reason of the de minimis exclusions described in Sec. 734.4
of the EAR.
(2) U.S.-origin software that is incorporated into or commingled
with foreign-origin software does not lose its U.S.-origin. Such
commingled software is subject to the EAR is the same manner as the
original U.S.-origin software, including license requirements, unless
the commingled software is not subject to the EAR by reason of the de
minimis exclusions described in Sec. 734.4 of the EAR.
(d) Certain License Exception. The following questions and answers
are intended to further clarify the scope of technology and software
eligible for a License Exception.
(1)(i) Question 1. (A) Our engineers, in installing or repairing
equipment, use techniques (experience as well as proprietary knowledge
of the internal componentry or specifications of the equipment) that
exceed what is provided in the standard manuals or instructions
(including training) given to the customer. In some cases, it is also
[[Page 317]]
a condition of the license that such information provided to the
customer be constrained to the minimum necessary for normal
installation, maintenance and operation situations.
(B) Can we send an engineer (with knowledge and experience) to the
customer site to perform the installation or repair, under the
provisions of License Exception TSU for operation technology and
software described in Sec. 740.13(a) of the EAR, if it is understood
that he is restricted by our normal business practices to performing the
work without imparting the knowledge or technology to the customer
personnel?
(ii) Answer 1. Export of technology includes release of U.S.-origin
data in a foreign country as defined in Sec. 734.15 of the EAR. So long
as the circumstances described here would not exceed that permitted
under the License Exception TSU for operation technology and software,
as described in Sec. 740.13(a) of the EAR, this is not a ``release'' of
technology and a license would not be required.
(2)(i) Question 2. We plan, according to our normal business
practices, to train customer engineers to maintain equipment that we
have exported under a license, License Exception, or NLR. The training
is contractual in nature, provided for a fee, and is scheduled to take
place in part in the customer's facility and in part in the U.S. Can we
now proceed with this training at both locations under a License
Exception?
(ii) Answer 2. (A) Provided that this is your normal training, and
involves technology contained in your manuals and standard instructions
for the exported equipment, and meets the other requirements of License
Exception TSU for operation technology and software described in Sec.
740.13(a), the training may be provided within the limits of those
provisions of License Exception TSU. The location of the training is not
significant, as the export occurs at the time and place of the actual
transfer or imparting of the technology to the customer's engineers.
(B) Any training beyond that covered under the provisions of License
Exception TSU for operation technology and software described in Sec.
740.13(a), but specifically represented in your license application as
required for this customer installation, and in fact authorized on the
face of the license or a separate technology license, may not be
undertaken while the license is suspended or revoked.
[61 FR 12920, Mar. 25, 1996, as amended at 61 FR 64286, Dec. 4, 1996; 62
FR 25470, May 9, 1997; 65 FR 14860, Mar. 20, 2000; 86 FR 54813, Oct. 5,
2021]
PART 772_DEFINITIONS OF TERMS--Table of Contents
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.
Source: 61 FR 12925, Mar. 25, 1996, unless otherwise noted.
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
The following are definitions of terms as used in the Export
Administration Regulations (EAR). In this part, references to the EAR
are references to 15 CFR chapter VII, subchapter C. Those terms in
quotation marks refer to terms used on the Commerce Control List (CCL)
(supplement no. 1 to part 774 of the EAR). Parenthetical references
following the terms in quotation marks (i.e., (Cat 5)) refer to the CCL
category in which that term is found. If a term is used in only one
Export Control Classification Number (ECCN) on the CCL, then that term
will not appear in this part, but will be defined in the Related
Definitions paragraph in the List of Items Controlled Section of that
ECCN.
600 series. ECCNs in the ``xY6zz'' format on the Commerce Control
List (CCL) that control items on the CCL that were previously controlled
on the U.S. Munitions List or that are covered by the Wassenaar
Arrangement Munitions List (WAML). The ``6'' indicates the entry is a
munitions entry on the CCL. The ``x'' represents the CCL category and
``Y'' the CCL product group. The ``600 series'' constitutes the
munitions ECCNs within the larger CCL.
600 Series Major Defense Equipment or MDE. Any item listed in ECCN
9A610.a, 9A619.a, 9A619.b or 9A619.c, having a nonrecurring research and
development cost of more than $50,000,000 or a total
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production cost of more than $200,000,000.
Note to ``600 Series Major Defense Equipment'': For the most current
list of MDE, see Appendix 1, (Nonrecurring Cost Recoupment Charges for
Major Defense Equipment) to DoD 5105.38-M, ``Security Assistance
Management Manual (SAMM),'' dated 04/30/2012, available online at http:/
/www.dsca.osd.mil/samm /ESAMM/Appendix01.htm.
Access information. For purposes of Sec. 734.19(a), information
that allows access to encrypted technology or encrypted software in an
unencrypted form. Examples include decryption keys, network access
codes, and passwords.
Accessories. These are associated items for any ``component,'' ``end
item,'' or ``system,'' and which are not necessary for their operation,
but which enhance their usefulness or effectiveness. For example, for a
riding lawnmower, ``accessories'' and ``attachments'' will include the
bag to capture the cut grass, and a canopy to protect the operator from
the sun and rain. For purposes of this definition, ``accessories'' and
``attachments'' are the same.
Accuracy. (Cat 2, 3, 6, 7 and 8)--``Accuracy'' is usually measured
in terms of inaccuracy. It is defined as the maximum deviation, positive
or negative, of an indicated value from an accepted standard or true
value.
Active flight control systems. (Cat 7)--Function to prevent
undesirable ``aircraft'' and ``missile'' motions or structural loads by
autonomously processing outputs from multiple sensors and then providing
necessary preventive commands to effect automatic control.
Active pixel. (Cat 6)--A minimum (single) element of the solid state
array that has a photoelectric transfer function when exposed to light
(electromagnetic) radiation.
Adaptive control. (Cat 2)--A control system that adjusts the
response from conditions detected during the operation (Ref. ISO 2806-
1980).
Adjusted Peak Performance (APP). (Cat 4) An adjusted peak rate at
which ``digital computers'' perform 64-bit or larger floating point
additions and multiplications. The formula to calculate APP is contained
in a technical note at the end of Category 4 of the Commerce Control
List.
Advanced-Node Integrated Circuits (Advanced-Node IC). For parts 734
and 744 of the EAR, ``advanced-node integrated circuits'' include
integrated circuits that meet any of the following criteria:
(1) Logic integrated circuits using a non-planar transistor
architecture or with a ``production'' 'technology node' of 16/14
nanometers or less;
(2) NOT AND (NAND) memory integrated circuits with 128 layers or
more; or
(3) Dynamic random-access memory (DRAM) integrated circuits having:
(i) A memory cell area of less than 0.0019 [micro]m\2\; or
(ii) A memory density greater than 0.288 gigabits per square
millimeter.
Note 1 to definition of ``Advanced-Node Integrated Circuits'': For
the purposes of paragraph (1) of this definition, the term technology
node refers to the Logic Industry ``Node Range'' figure described in the
International Roadmap for Devices and Systems, 2016 edition (``More
Moore'' White Paper), available at: https://irds.ieee.org/images /files/
pdf/2016_MM.pdf.
Note 2 to definition of ``Advanced-Node Integrated Circuits'': For
the purposes of paragraph (3) of this definition, the term memory
density refers to the capacity of the package or stack comprising the
DRAM integrated circuit measured in gigabytes divided by the footprint
of the package or stack measured in square millimeters. In the case
where a stack is contained in a package, use the area of the package.
Cell area is defined as Wordline*Bitline (which takes into consideration
both transistor and capacitor dimensions).
Advisory Committee on Export Policy (ACEP). The ACEP voting members
include the Assistant Secretary of Commerce for Export Administration,
and Assistant Secretary-level representatives from the Departments of
State, Defense, Justice (for encryption exports), Energy, and the Arms
Control and Disarmament Agency. The appropriate representatives of the
Joint Chiefs of Staff and the Director of the Nonproliferation Center of
the Central Intelligence Agency are non-voting members. The Assistant
Secretary of Commerce for Export Administration is the Chair.
Appropriate acting Assistant Secretary, Deputy Assistant Secretary or
equivalent strength of any agency or department may serve in
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lieu of the Assistant Secretary of the concerned agency or department.
Such representatives, regardless of rank, will speak and vote on behalf
of their agencies or departments. The ACEP may invite Assistant
Secretary-level representatives of other Government agencies or
departments (other than those identified above) to participate in the
activities of the ACEP when matters of interest to such agencies or
departments are under consideration. Decisions are made by majority
vote.
AES. See ``Automated Export System.''
Agricultural commodities. Agricultural commodities include food
(including processed food); feed; fish; shellfish and fish products;
beer, wine and spirits; livestock; fiber including cotton, wool and
other fibers; tobacco and tobacco products; wood and wood products;
seeds; fertilizer and organic fertilizer; reproductive materials such as
fertilized eggs, embryos and semen. For the purposes of the EAR,
agricultural commodities do not include furniture made from wood;
clothing manufactured from plant or animal materials; agricultural
equipment (whether hand tools or motorized equipment); pesticides,
insecticides, or herbicides; or cosmetics (unless derived entirely from
plant materials).
Note 1: This definition of agricultural commodities includes
fertilizer and organic fertilizer, as listed in section 775 of the 2001
Agriculture, Rural Development, Food and Drug Administration, and
Related Agencies Appropriations Act (Act) (Public Law 106-387) and
commodities listed in section 102 of the Agricultural Trade Act of 1978
(7 U.S.C. 5602) as incorporated in section 902 of the Act, as well as
commodities determined by the Department of Agriculture to fall within
the scope of section 102 of the 1978 Agricultural Trade Act.
Note 2: For purposes of License Exception AGR (see Sec. 740.18 of
the EAR), agricultural commodities also include vitamins, minerals, food
additives and dietary supplements, and bottled water. These items do not
fall within the scope of section 102 of the 1978 Agricultural Trade Act,
but are treated as agricultural commodities for the purposes of License
Exception AGR.
Note 3: For purposes of License Exception AGR and export license
applications to Iran under the licensing procedures set forth in the
appropriate regulations promulgated and administered by Treasury's
Office of Foreign Assets Control, agricultural commodities only include
those that are classified as EAR99.
Aircraft. (Cat 1, 6, 7, and 9)--A fixed wing, swivelwing, rotary
wing (helicopter), tilt rotor or tilt-wing airborne vehicle. (See also
``civil aircraft''.)
Airline. Any person engaged primarily in the transport of persons or
property by aircraft for compensation or hire, pursuant to authorization
by the U.S. Government or a foreign government.
Airship. (Cat 2 and 9) A power-driven airborne vehicle that is kept
buoyant by a body of gas (usually helium, formerly hydrogen) which is
lighter than air.
All compensations available. (Cat 2) means after all feasible
measures available to the manufacturer to minimize all systematic
positioning errors for the particular machine-tool model or measuring
errors for the particular coordinate measuring machine are considered.
Allocated by the ITU. (Cat 3 and Cat 5 part 1)--The allocation of
frequency bands according to the current edition of the ITU Radio
Regulations for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.
Angle random walk. (Cat 7) The angular error buildup with time that
is due to white noise in angular rate. (IEEE STD 528-2001)
Angular position deviation. (Cat 2)--The maximum difference between
angular position and the actual, very accurately measured angular
position after the workpiece mount of the table has been turned out of
its initial position. (Reference: VDI/VDE 2617, Draft: ``Rotary tables
on coordinate measuring machines'').
``APP'' See ``Adjusted Peak Performance.'' This term may also appear
without quotation marks.
Applicant. The person who applies for an export or reexport license,
and who has the authority of a principal party in interest to determine
and control the export or reexport of items. See Sec. 748.4 of the EAR
and definition for ``exporter'' in this part of the EAR.
[[Page 320]]
Asymmetric algorithm. (Cat 5) means a cryptographic algorithm using
different, mathematically-related keys for encryption and decryption.
Technical Note: A common use of ``asymmetric algorithms'' is key
management.
Attachments. These are associated items for any ``component,'' ``end
item,'' or ``system,'' and which are not necessary for their operation,
but which enhance their usefulness or effectiveness. For example, for a
riding lawnmower, ``accessories'' and ``attachments'' will include the
bag to capture the cut grass, and a canopy to protect the operator from
the sun and rain. For purposes of this definition, ``attachments'' and
``accessories'' are the same.
Australia Group. The countries participating in the Australia Group
have agreed to adopt harmonized controls on certain dual-use chemicals
(i.e., precursor chemicals), biological agents, related manufacturing
facilities and equipment, and related technology in order to ensure that
exports of these items do not contribute to the proliferation of
chemical or biological weapons. Countries participating in the Australia
Group as of November 1, 2013, include: Argentina, Australia, Austria,
Belgium, Bulgaria, Canada, Croatia, Cyprus, Czech Republic, Denmark,
Estonia, Finland, France, Germany, Greece, Hungary, Iceland, India,
Ireland, Italy, Japan, Korea (South), Latvia, Lithuania, Luxembourg,
Malta, Mexico, the Netherlands, New Zealand, Norway, Poland, Portugal,
Romania, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey,
Ukraine, the United Kingdom, and the United States. See also Sec. 742.2
of the EAR.
Australian airline. Any citizen of Australia who is authorized by
the Australian Government to engage in business as an airline. For
purposes of this definition, an Australian citizen is:
(1) A natural person who is a citizen of Australia; or
(2) A partnership of which each member is such an individual; or
(3) An Australian firm incorporated or otherwise organized under the
laws of Australia or any Australian state or territory, having a total
foreign stock interest not greater than 40 percent, and having the
Chairman or Acting Chairman and at least two-thirds of the Directors
thereof Australian citizens.
``Authentication''. (Cat 5P2) Verifying the identity of a user,
process or device, often as a prerequisite to allowing access to
resources in an information system. This includes verifying the origin
or content of a message or other information, and all aspects of access
control where there is no encryption of files or text except as directly
related to the protection of passwords, Personal Identification Numbers
(PINs) or similar data to prevent unauthorized access.
Automated Export System (AES). AES is a nationwide system
operational at all ports and for all methods of transportation through
which export shipment data required by multiple agencies is filed
electronically to U.S. Customs and Border Protection, using the
efficiencies of Electronic Data Interchange (EDI). AES allows the export
information to be collected electronically and edited immediately. For
more information about AES, visit the Bureau of Census Web site at:
http://www.census.gov/foreign- trade/aes/index.html or see 15 CFR part
30 the Foreign Trade Regulations
Average Output Power. (Cat 6) The average output power is the total
``laser'' output energy, in joules, divided by the period over which a
series of consecutive pulses is emitted, in seconds. For a series of
uniformly spaced pulses it is equal to the total ``laser'' output energy
in a single pulse, in joules, multiplied by the pulse frequency of the
``laser,'' in Hertz.
Bank. Means any of the following:
(a) Bank, savings association, credit union, bank holding company,
bank or savings association service corporation, Edge Act corporation,
Agreement corporation, or any insured depository institution, which is
organized under the laws of the United States or any State and regulated
or supervised by a Federal banking agency or a State bank supervisor; or
(b) A company organized under the laws of a foreign country and
regulated or supervised by a foreign bank regulatory or supervisory
authority which
[[Page 321]]
engages in the business of banking, including without limitation,
foreign commercial banks, foreign merchant banks and other foreign
institutions that engage in banking activities usual in connection with
the business of banking in the countries where such foreign institutions
are organized or operating; or
(c) An entity engaged in the business of providing clearing or
settlement services, that is, or whose members are, regulated or
supervised by a Federal banking agency, a State bank supervisor, or a
foreign bank regulatory or supervisory authority; or
(d) A branch or affiliate of any of the entities listed in
paragraphs (a), (b), or (c) of this definition, regulated or supervised
by a Federal banking agency, a State bank supervisor or a foreign bank
regulatory or supervisory authority; or
(e) An affiliate of any of the entities listed in paragraph (a),
(b), (c), or (d) of this definition, engaged solely in the business of
providing data processing services to a bank or financial institution,
or a branch of such an affiliate.
Basic gate propagation delay time. (Cat 3) The propagation delay
time value corresponding to the basic gate used in a ``monolithic
integrated circuit.'' For a `family' of ``monolithic integrated
circuits'', this may be specified either as the propagation delay time
per typical gate within the given `family' or as the typical propagation
delay time per gate within the given `family'.
Technical Notes: 1. ``Basic gate propagation delay time'' is not to
be confused with the input/output delay time of a complex ``monolithic
integrated circuit.''
2. `Family' consists of all integrated circuits to which all of the
following are applied as their manufacturing methodology and
specifications except their respective functions:
a. The common hardware and software architecture;
b. The common design and process technology; and
c. The common basic characteristics.
Basic Scientific Research. (GTN)--Experimental or theoretical work
undertaken principally to acquire new knowledge of the fundamental
principles of phenomena or observable facts, not primarily directed
towards a specific practical aim or objective.
Bias. (accelerometer) (Cat 7)--The average over a specified time of
accelerometer output measured at specified operating conditions, that
has no correlation with input acceleration or rotation. ``Bias'' is
expressed in g or in meters per second \2\ (g or m/s \2\) (IEEE Std 528-
2001) (Micro g equals 1x10-6 g).
``Bias''. (gyro) (Cat 7) The average over a specified time of gyro
output measured at specified operating conditions that has no
correlation with input rotation or acceleration. ``Bias'' is typically
expressed in degrees per hour (deg/hr). (IEEE Std 528-2001).
Bill of Lading. The contract of carriage and receipt for items,
issued by the carrier. It includes an air waybill, but does not include
an inland bill of lading or a domestic air waybill covering movement to
port only.
Build-to-Print technology. (1) This is ``production'' ``technology''
that is sufficient for an inherently capable end user to produce or
repair a commodity from engineering drawings without any of the
following:
(i) Revealing ``development'' ``technology,'' such as design
methodology, engineering analysis, detailed process or manufacturing
know-how;
(ii) Revealing the production engineering or process improvement
aspect of the ``technology;'' or
(iii) Requiring assistance from the provider of the technology to
produce or repair the commodity.
(2) Acceptance, test, or inspection criteria pertaining to the
commodity at issue is included within the scope of ``build-to-print
technology'' only if it is necessary to verify that the commodity is
acceptable.
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.
CCL. See Commerce Control List.
CCL Group. The Commerce Control List (CCL) is divided into 10
categories. Each category is subdivided into five groups, designated by
the letters A
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through E: (A) Equipment, assemblies and components; (B) Test,
inspection and production equipment; (C) Materials; (D) Software; and
(E) Technology. See Sec. 738.2(b) of the EAR.
Camming. (axial displacement) (Cat 2)--Axial displacement in one
revolution of the main spindle measured in a plane perpendicular to the
spindle faceplate, at a point next to the circumference of the spindle
faceplate (Ref.: ISO 230 Part 1-1986, paragraph 5.63).
Canadian airline. Any citizen of Canada who is authorized by the
Canadian Government to engage in business as an airline. For purposes of
this definition, a Canadian citizen is:
(1) A natural person who is a citizen of Canada; or
(2) A partnership of which each member is such an individual; or
(3) A Canadian firm incorporated or otherwise organized under the
laws of Canada or any Canadian province or territory, having a total
foreign stock interest not greater than 40 percent, and having the
Chairman or Acting Chairman and at least two-thirds of the Directors
thereof Canadian citizens.
Capable of. (MTCR context)--See ``usable in''.
CARICOM (Caribbean Community). For purposes of Sec. Sec. 740.3 and
740.14 of the EAR, the term CARICOM is defined as follows: An
intergovernmental organization that consists of the following (1) member
states Antigua and Barbuda, Bahamas, Barbados, Belize, Dominica,
Grenada, Guyana, Haiti, Jamaica, Montserrat, St. Lucia, Suriname, St.
Kitts and Nevis, St. Vincent and the Grenadines, and Trinidad and
Tobago; (2) associate members Anguilla, Bermuda, British Virgin Islands,
Cayman Islands, and Turks and Caicos; and (3) any other state or
associate member that has acceded to membership in accordance with
Article 3 or Article 231 of the Treaty of Chaguaramas.
Note to definition of CARICOM: Anguilla, Bermuda, British Virgin
Islands, Cayman Islands, Montserrat, and Turks and Caicos are treated as
the United Kingdom under all other EAR provisions that govern licensing
requirements and license exceptions.
Category. The Commerce Control List (CCL) is divided into ten
categories: (0) Nuclear Materials, Facilities and Equipment, and
Miscellaneous; (1) Materials, Chemicals, ``Microorganisms'', and Toxins;
(2) Materials Processing; (3) Electronics Design, Development and
Production; (4) Computers; (5) Telecommunications and Information
Security; (6) Sensors; (7) Navigation and Avionics; (8) Marine; (9)
Propulsion Systems, Space Vehicles, and Related Equipment. See Sec.
738.2(a) of the EAR.
Chemical laser. (Cat 6)--A ``laser'' in which the excited species is
produced by the output energy from a chemical reaction.
Chemical Weapons Convention (CWC). Means ``The Convention on the
Prohibition of the Development, Production, Stockpiling and Use of
Chemical Weapons and on Their Destruction'', opened for signature on
January 13, 1993.
Circular Error Probable. (``CEP'') (Cat 7) In a circular normal
distribution, the radius of the circle containing 50% of the individual
measurements being made, or the radius of the circle within which there
is a 50% probability of being located.
Circulation-controlled, anti-torque or circulation-controlled
direction control systems (Cat 7)--Control systems using air blown over
aerodynamic surfaces to increase or control the forces generated by the
surfaces.
Civil aircraft. (Cat 1, 3, 4, 7 and 9) Those ``aircraft'' listed by
designation in published airworthiness certification lists by civil
aviation authorities of one or more Wassenaar Arrangement Participating
States to fly commercial civil internal and external routes or for
legitimate civil, private or business use. (see also ``aircraft'')
COCOM (Coordinating Committee on Multilateral Export Controls). A
multilateral organization that cooperated in restricting strategic
exports to controlled countries. COCOM was officially disbanded on March
31, 1994. COCOM members included: Australia, Belgium, Canada, Denmark,
France, Germany, Greece, Italy, Japan, Luxembourg, Netherlands, Norway,
Portugal, Spain, Turkey, United Kingdom, and United States.
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Commerce Control List (CCL). A list of items under the export
control jurisdiction of the Bureau of Industry and Security, U.S.
Department of Commerce. Note that certain additional items described in
part 732 of the EAR are also subject to the EAR. The CCL is found in
supplement no. 1 to part 774 of the EAR.
Commodity. Any article, material, or supply except technology and
software.
Communications Channel Controller. (Cat 4)--The physical interface
which controls the flow of synchronous or asynchronous digital
information. It is an assembly that can be integrated into computer or
telecommunications equipment to provide communications access.
Compensation systems. (Cat 6) Consist of the primary scalar sensor,
one or more reference sensors (e.g., vector ``magnetometers'') together
with software that permit reduction of the rigid body rotation noise of
the platform.
Complete breech mechanisms. The mechanism for opening and closing
the breech of a breech-loading firearm, especially of a heavy-caliber
weapon.
Component. This is an item that is useful only when used in
conjunction with an ``end item.'' ``Components'' are also commonly
referred to as assemblies. For purposes of this definition an assembly
and a ``component'' are the same. There are two types of ``components'':
``Major components'' and ``minor components.'' A ``major component''
includes any assembled element which forms a portion of an ``end item''
without which the ``end item'' is inoperable. For example, for an
automobile, ``components'' will include the engine, transmission, and
battery. If you do not have all those items, the automobile will not
function, or function as effectively. A ``minor component'' includes any
assembled element of a ``major component.'' ``Components'' consist of
``parts.'' References in the CCL to ``components'' include both ``major
components'' and ``minor components.''
Composite. (Cat 1, 2, 6, 8, and 9)--A ``matrix'' and an additional
phase or additional phases consisting of particles, whiskers, fibers or
any combination thereof, present for a specific purpose or purposes.
``III/V compounds''. (Cat 3 and 6) Polycrystalline or binary or
complex monocrystalline products consisting of elements of groups IIIA
and VA of Mendeleyev's periodic classification table (e.g., gallium
arsenide, gallium-aluminum arsenide, indium phosphide).
Contouring control. (Cat 2)--Two or more ``numerically controlled''
motions operating in accordance with instructions that specify the next
required position and the required feed rates to that position. These
feed rates are varied in relation to each other so that a desired
contour is generated (Ref. ISO/DIS 2806--1980).
Controlled country. Countries designated controlled for national
security purposes under authority delegated to the Secretary of Commerce
by Executive Order 12214 of May 2, 1980 pursuant to section 5(b) of the
EAA. The controlled countries are: Albania, Armenia, Azerbaijan,
Belarus, Cambodia, Cuba, the People's Republic of China, Georgia, Iraq,
Kazakhstan, Kyrgyzstan, Laos, Macau, Moldova, Mongolia, North Korea,
Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. All
of the controlled countries except Cuba are listed in Country Group D:1
of the EAR. Cuba is listed in Country Group E:2. This definition does
not apply to part 768 of the EAR (Foreign Availability), which provides
a dedicated definition.
Countries supporting international terrorism. In accordance with
Sec. 6(j) of the Export Administration Act of 1979, as amended (EAA),
the Secretary of State has determined that the following countries'
governments have repeatedly provided support for acts of international
terrorism: Iran, North Korea, and Syria.
Country Chart. A chart, found in supplement no. 1 to part 738 of the
EAR, that contains certain licensing requirements based on destination
and reason for control. In combination with the CCL, the Country Chart
indicates when a license is required for any item on the CCL to any
country in the world under General Prohibition One (Exports and
Reexports in the Form Received), General Prohibition Two (Parts and
Components Reexports), and General Prohibition Three (Foreign
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Produced Direct Product Reexports). See part 736 of the EAR.
Country Groups. For export control purposes, foreign countries are
separated into five country groups designated by the symbols A, B, C, D,
and E. (See supplement no. 1 to part 740 of the EAR for a list of
countries in each Country Group.)
Critical temperature. (Cat 1, 3, 5P1, and 6)--The ``critical
temperature'' (sometimes referred to as the transition temperature) of a
specific ``superconductive'' material is the temperature at which the
material loses all resistance to the flow of direct electrical current.
Crude oil. A mixture of hydrocarbons that existed in liquid phase in
underground reservoirs, remains liquid at atmospheric pressure (after
passing through surface separating facilities), and has not been
processed through a crude oil distillation tower. Crude oil includes
reconstituted crude petroleum, lease condensate, and liquid hydrocarbons
produced from tar sands, gilsonite, and oil shale. Drip gases are also
included, but topped crude oil, residual oil, and other finished and
unfinished oils are excluded.
Cryptanalytic items. (Cat 5P2) Systems, equipment or components
designed or modified to perform 'cryptanalytic functions', software
having the characteristics of cryptanalytic hardware or performing
'cryptanalytic functions', or technology for the development, production
or use of cryptanalytic commodities or software.
Note: 1. 'Cryptanalytic functions' are functions designed to defeat
cryptographic mechanisms in order to derive confidential variables or
sensitive data, including clear text, passwords or cryptographic keys.
These functions may include 'cryptanalysis,' which is the analysis of a
cryptographic system or its inputs and outputs to derive confidential
variables or sensitive data, including clear text. (ISO 7498-2-1988 (E),
paragraph 3.3.18).
2. Functions specially designed and limited to protect against
malicious computer damage or unauthorized system intrusion (e.g.,
viruses, worms and trojan horses) are not construed to be 'cryptanalytic
functions.').
Cryptographic activation. (Cat 5P2) Any technique that specifically
activates or enables cryptographic capability of an item, by means of a
mechanism implemented by the manufacturer of the item, where this
mechanism is uniquely bound to any of the following:
(1) A single instance of the item; or
(2) One customer, for multiple instances of the item.
Technical note 1 to definition of ``Cryptographic activation'':
``Cryptographic activation'' techniques and mechanisms may be
implemented as hardware, ``software'' or ``technology''.
Technical note 2 to definition of ``Cryptographic activation'':
Mechanisms for ``cryptographic activation'' can, for example, be serial
number-based license keys or authentication instruments such as
digitally signed certificates.
Cryptography (Cat 5P2)--The discipline that embodies principles,
means and methods for the transformation of data in order to hide its
information content, prevent its undetected modification or prevent its
unauthorized use. ``Cryptography'' is limited to the transformation of
information using one or more 'secret parameters' (e.g., crypto
variables) and/or associated key management.
Notes: 1. ``Cryptography'' does not include 'fixed' data compression
or coding techniques.
2. ``Cryptography'' includes decryption.
Technical Notes: 1. 'Secret parameter': A constant or key kept from
the knowledge of others or shared only within a group.
2. 'Fixed': The coding or compression algorithm cannot accept
externally supplied parameters (e.g., cryptographic or key variables)
and cannot be modified by the user.
Customs officer. The Customs officers in the U.S. Customs Service
and postmasters unless the context indicates otherwise.
CW Laser. (Cat 6) A CW (Continuous Wave) laser is defined as a laser
that produces a nominally constant output energy for greater than 0.25
seconds.
Cyber incident response. (Sec. 740.22, Cat 4) means the process of
exchanging necessary information on a cybersecurity incident with
individuals or organizations responsible for conducting or coordinating
remediation to address the cybersecurity incident.
Data-Based Referenced Navigation (``DBRN'') Systems. (Cat 7) Systems
which use various sources of previously measured geo-mapping data
integrated
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to provide accurate navigation information under dynamic conditions.
Data sources include bathymetric maps, stellar maps, gravity maps,
magnetic maps or 3-D digital terrain maps.
``Data signaling rate.'' (Cat 5) means the rate, as defined in ITU
Recommendation 53-36, taking into account that, for non-binary
modulation, baud and bit per second are not equal. Bits for coding,
checking and synchronization functions are to be included.
Note: When determining the ``data signaling rate'', servicing and
administrative channels shall be excluded.
Technical Note: It is the maximum one-way rate, i.e., the maximum
rate in either transmission or reception.
Depleted uranium. (Cat 0) means uranium depleted in the isotope 235
below that occurring in nature.
Designed or modified. (MTCR context)--Equipment, parts, components,
or ``software'' that, as a result of ``development'', or modification,
have specified properties that make them fit for a particular
application. ``Designed or modified'' equipment, parts, components or
``software'' can be used for other applications. For example, a titanium
coated pump designed for a ``missile'' may be used with corrosive fluids
other than propellants.
Development. (General Technology Note)--``Development'' is related
to all stages prior to serial production, such as: design, design
research, design analyses, design concepts, assembly and testing of
prototypes, pilot production schemes, design data, process of
transforming design data into a product, configuration design,
integration design, layouts.
Diffusion bonding. (Cat 1 and 2)--A solid state joining of at least
two separate pieces of metals into a single piece with a joint strength
equivalent to that of the weakest material, wherein the principal
mechanism is interdiffusion of atoms across the interface.
Digital computer. (Cat 4 and 5)--Equipment that can, in the form of
one or more discrete variables, perform all of the following:
(a) Accept data;
(b) Store data or instructions in fixed or alterable (writable)
storage devices;
(c) Process data by means of a stored sequence of instructions that
is modifiable; and
(d) Provide output of data.
Note: Modifications of a stored sequence of instructions include
replacement of fixed storage devices, but not a physical change in
wiring or interconnections.
Digital transfer rate. (Cat 5)--The total bit rate of the
information that is directly transferred on any type of medium. (See
also ``total digital transfer rate'')
Direct product. The immediate product (including processes and
services) produced directly by the use of technology or software.
Directorate of Defense Trade Controls (DDTC). The office at the
Department of State, formerly known as the Office of Defense Trade
Controls and before that as the Office of Munitions Control, responsible
for reviewing applications to export and reexport items on the U.S.
Munitions List. (See 22 CFR parts 120 through 130.)
Dual use. Items that have both commercial and military or
proliferation applications. While this term is used informally to
describe items that are subject to the EAR, purely commercial items and
certain munitions items listed on the Wassenaar Arrangement Munitions
List (WAML) or the Missile Technology Control Regime Annex are also
subject to the EAR (see Sec. 734.2(a) of the EAR).
Dynamic adaptive routing. (Cat 5)--Automatic rerouting of traffic
based on sensing and analysis of current actual network conditions.
Note: This does not include cases of routing decisions taken on
predefined information.
Effective control. You maintain effective control over an item when
you either retain physical possession of the item, or secure the item in
such an environment as a hotel safe, a bonded warehouse, or a locked or
guarded exhibition facility. Retention of effective control over an item
is a condition of certain temporary exports and reexports.
Electronic assembly. (Cat 4) means a number of electronic components
(i.e.,
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`circuit elements', `discrete components', integrated circuits, etc.)
connected together to perform (a) specific function(s), replaceable as
an entity and normally capable of being disassembled.
Technical Notes: 1. `Circuit element': a single active or passive
functional part of an electronic circuit, such as one diode, one
transistor, one resistor, one capacitor, etc.
2. `Discrete component': a separately packaged `circuit element'
with its own external connections.
Encryption component. Any encryption commodity or software (except
source code), including encryption chips, integrated circuits,
application specific encryption toolkits, or executable or linkable
modules that alone are incapable of performing complete cryptographic
functions, and is designed or intended for use in or the production of
another encryption item.
Encryption items. The phrase encryption items includes all
encryption commodities, software, and technology that contain encryption
features and are subject to the EAR. This does not include encryption
items specifically designed, developed, configured, adapted or modified
for military applications (including command, control and intelligence
applications) which are controlled by the Department of State on the
U.S. Munitions List.
Encryption licensing arrangement. A license that allows the export
of specified products to specified destinations in unlimited quantities.
In certain cases, exports are limited to specified end-users for
specified end-uses. Generally, reporting of all sales of the specified
products is required at six month intervals. This includes sales made
under distribution arrangements and distribution and warehousing
agreements that were previously issued by the Department of State for
encryption items.
Encryption object code. Computer programs containing an encryption
source code that has been compiled into a form of code that can be
directly executed by a computer to perform an encryption function.
Encryption software. Computer programs that provide capability of
encryption functions or confidentiality of information or information
systems. Such software includes source code, object code, applications
software, or system software.
Encryption source code. A precise set of operating instructions to a
computer that, when compiled, allows for the execution of an encryption
function on a computer.
End-effectors. (Cat 2) Grippers, 'active tooling units' and any
other tooling that is attached to the baseplate on the end of a
``robot'' manipulator arm.
Technical Note to definition of ``End-effectors'': 'Active tooling
unit': a device for applying motive power, process energy or sensing to
the workpiece.
End item. This is a system, equipment or assembled commodity ready
for its intended use. Only ammunition, or fuel or other energy source is
required to place it in an operating state. Examples of end items
include ships, aircraft, computers, firearms, and milling machines.
End-user. The person abroad that receives and ultimately uses the
exported or reexported items. The end-user is not a forwarding agent or
intermediary, but may be the purchaser or ultimate consignee.
Energetic materials. (Cat 1) Substances or mixtures that react
chemically to release energy required for their intended application.
``Explosives'', ``pyrotechnics'' and ``propellants'' are subclasses of
energetic materials.
Equipment. This is a combination of parts, components, accessories,
attachments, firmware, or software that operate together to perform a
function of, as, or for an end item or system. Equipment may be a subset
of ``end items'' based on the characteristics of the equipment.
Equipment that meets the definition of an end-item is an end-item.
Equipment that does not meet the definition of an end-item is a part,
component, accessory, attachment, firmware, or software.
Equivalent Density. (Cat 6)--The mass of an optic per unit optical
area projected onto the optical surface.
Equivalent standards. (Cat 1)--Comparable national or international
standards recognized by one or more Wassenaar Arrangement Participating
States and applicable to the relevant entry.
Explosives. (Cat 1)--see Annex ``List of Explosives'' located at the
end of
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Category 1 of supplement no. 1 to part 774 ``Commerce Control List''.
Export. See Sec. 734.13 of the EAR.
Export Administration Act (EAA). Export Administration Act of 1979,
as amended, effective October 1, 1979.
Export Administration Regulations (EAR). Regulations set forth in
parts 730-774, inclusive, of Title 15 of the Code of Federal
Regulations.
Export Administration Review Board--The body authorized by Executive
Order 12002 as amended by Executive Orders 12755 and 13286. The Export
Administration Review Board's role in license application review is in
accordance with Executive Order 12981 as amended by Executive Orders
13020, 13026 and 13117.
Export Control Classification Number (ECCN). The numbers used in
supplement no. 1 to part 774 of the EAR and throughout the EAR. The
Export Control Classification Number consists of a set of digits and a
letter. Reference Sec. 738.2(c) of the EAR for a complete description
of each ECCN's composition.
Export control document. A license; application for license; any and
all documents submitted in accordance with the requirements of the EAR
in support of, or in relation to, a license application; application for
International Import Certificate; Delivery Verification Certificate or
similar evidence of delivery; Electronic Export Information (EEI) on the
Automated Export System (AES) presented in connection with shipments to
any country; a Dock Receipt or bill of lading issued by any carrier in
connection with any export subject to the EAR and any and all documents
prepared and submitted by exporters and agents pursuant to the export
clearance requirements of part 758 of the EAR; a U.S. exporter's report
of request received for information, certification, or other action
indicating a restrictive trade practice or boycott imposed by a foreign
country against a country friendly to the United States, submitted to
the U.S. Department of Commerce in accordance with the provisions of
part 760 of the EAR; Customs Form 7512, Transportation Entry and
Manifest of Goods, Subject to Customs Inspection and Permit, when used
for Transportation and Exportation (T. & E.) or Immediate Exportation
(I.E.); and any other document issued by a U.S. Government agency as
evidence of the existence of a license for the purpose of loading onto
an exporting carrier or otherwise facilitating or effecting an export
from the United States or any reexport of any item requiring a license.
Exporter. The person in the United States who has the authority of a
principal party in interest to determine and control the sending of
items out of the United States.
Exporting carrier. Any instrumentality of water, land, or air
transportation by which an export is effected, including any domestic
air carrier on which any cargo for export is laden or carried.
Extreme Ultraviolet (EUV). Extreme Ultraviolet (EUV) means
electromagnetic spectrum wavelengths greater than 5 nm and less than 124
nm.
FADEC systems. See ``full authority digital engine control
systems.''
FMU--See ``flexible manufacturing unit''
Facilities. This means a building or outdoor area in which people
use an item that is built, installed, produced, or developed for a
particular purpose.
Fibrous or filamentary materials. (Cat 1, 2, 8 and 9)--The term
``fibrous and filamentary materials'' includes:
(a) Continuous monofilaments;
(b) Continuous yarns and rovings;
(c) Tapes, fabrics, random mats and braids;
(d) Chopped fibers, staple fibers and coherent fiber blankets;
(e) Whiskers, either monocrystalline or polycrystalline, of any
length;
(f) Aromatic polyimide pulp.
Film type integrated circuit. (Cat 3)--An array of ``circuit
elements'' and metallic interconnections formed by deposition of a thick
or thin film on an insulating ``substrate''.
Note: ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
Financial Institution. As applied to encryption items, means any of
the following:
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(a) A broker, dealer, government securities broker or dealer, self-
regulatory organization, investment company or investment adviser, which
is regulated or supervised by the Securities and Exchange Commission or
a self-regulatory organization that is registered with the Securities
and Exchange Commission; or
(b) A broker, dealer, government securities broker or dealer,
investment company, investment adviser, or entity that engages in
securities activities that, if conducted in the United States, would be
described by the definition of the term ``self-regulatory organization''
in the Securities Exchange Act of 1934, which is organized under the
laws of a foreign country and regulated or supervised by a foreign
securities authority; or
(c) A U.S. board of trade that is designated as a contract market by
the Commodity Futures Trading Commission or a futures commission
merchant that is regulated or supervised by the Commodity Futures
Trading Commission; or
(d) A U.S. entity engaged primarily in the business of issuing a
general purpose charge, debit, or stored value card, or a branch of, or
affiliate controlled by, such an entity; or
(e) A branch or affiliate of any of the entities listed in
paragraphs (a), (b), or (c) of this definition regulated or supervised
by the Securities and Exchange Commission, the Commodity Futures Trading
Commission, or a foreign securities authority; or
(f) An affiliate of any of the entities listed in paragraph (a),
(b), (c), or (e), of this definition engaged solely in the business of
providing data processing services to one or more bank or financial
institutions, or a branch of such an affiliate; or
(g) A company organized and regulated under the laws of any of the
United States and its branches and affiliates whose primary and
predominant business activity is the writing of insurance or the
reinsuring of risks; or a company organized and regulated under the laws
of a foreign country and its branches and affiliates whose primary and
predominant business activity is the writing of insurance or the
reinsuring of risks.
Firm. A corporation, partnership, limited partnership, association,
company, trust, or any other kind of organization or body corporate,
situated, residing, or doing business in the United States or any
foreign country, including any government or agency thereof.
Flexible manufacturing unit. (FMU), (sometimes also referred to as
`flexible manufacturing system' (FMS) or `flexible manufacturing cell'
(FMC)) (Cat 2)--An entity that includes a combination of at least:
(a) A ``digital computer'' including its own ``main storage'' and
its own ``related equipment''; and
(b) Two or more of the following:
(1) A machine tool described in 2B001.c;
(2) A dimensional inspection machine described in Category 2, or
another digitally controlled measuring machine controlled by an entry in
Category 2;
(3) A ``robot'' controlled by an entry in Category 2 or 8;
(4) Digitally controlled equipment controlled by 1B003, 2B003, or
9B001;
(5) ``Stored program controlled'' equipment controlled by 3B001;
(6) Digitally controlled equipment controlled by 1B001;
(7) Digitally controlled electronic equipment controlled by 3A002.
Fly-by-light system. (Cat 7) A primary digital flight control system
employing feedback to control the ``aircraft'' during flight, where the
commands to the effectors/actuators are optical signals.
Fly-by-wire system. (Cat 7) A primary digital flight control system
employing feedback to control the ``aircraft'' during flight, where the
commands to the effectors/actuators are electrical signals.
Focal plane array. (Cat 6 and 8)--A linear or two-dimensional planar
layer, or combination of planar layers, of individual detector elements,
with or without readout electronics, that work in the focal plane.
N.B. This definition does not include a stack of single detector
elements or any two, three, or four element detectors provided time
delay and integration is not performed within the element.
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Food. Specific to exports and reexports to North Korea, Syria,
Crimea region of Ukraine, and the so-called Donetsk People's Republic
and Luhansk People's Republic regions of Ukraine, food means items that
are consumed by and provide nutrition to humans and animals, and seeds,
with the exception of castor bean seeds, that germinate into items that
will be consumed by and provide nutrition to humans and animals. (Food
does not include alcoholic beverages.)
Foreign government agency. For the purposes of exemption from
support documentation (see Sec. 748.9 of the EAR), a foreign government
agency is defined as follows:
(a) National governmental departments operated by government-paid
personnel performing governmental administrative functions; e.g. Finance
Ministry, Ministry of Defense, Ministry of Health, etc. (municipal or
other local government entities must submit required support
documentation); or
(b) National government-owned public service entities; e.g.,
nationally owned railway, postal, telephone, telegraph, broadcasting,
and power systems, etc. The term ``foreign government agency'' does not
include government corporations, quasi-government agencies, and state
enterprises engaged in commercial, industrial, and manufacturing
activities, such as petroleum refineries, mines, steel mills, retail
stores, automobile manufacturing plants, airlines, or steamship lines
that operate between two or more countries, etc.
Foreign person. Any natural person who is not a lawful permanent
resident of the United States, citizen of the United States, or any
other protected individual as defined by 8 U.S.C. 1324b(a)(3). It also
means any corporation, business association, partnership, trust, society
or any other entity or group that is not incorporated in the United
States or organized to do business in the United States, as well as
international organizations, foreign governments and any agency or
subdivision of a foreign government (e.g., diplomatic mission).
``Foreign person'' is synonymous with ``foreign national,'' as used in
the EAR, and ``foreign person'' as used in the International Traffic in
Arms Regulations (22 CFR 120.16). This definition does not apply to part
760 of the EAR (Restrictive Trade Practices or Boycotts).
Foreign policy control. A control imposed under the EAR for any and
all of the following reasons: chemical and biological weapons, nuclear
nonproliferation, missile technology, regional stability, crime control,
anti-terrorism, United Nations sanctions, and any other reason for
control implemented under section 6 of the EAA or other similar
authority.
Foreign Terrorist Organizations (FTO). Any organization that is
determined by the Secretary of the Treasury to be a foreign terrorist
organization under notices or regulations issued by the Office of
Foreign Assets Control (see 31 CFR chapter V).
Forwarding agent. The person in the United States who is authorized
by a principal party in interest to perform the services required to
facilitate the export of the items from the United States. This may
include air couriers or carriers. In routed export transactions, the
forwarding agent and the exporter may be the same for compliance
purposes under the EAR.
Fractional bandwidth. (Cat 3, 5P1, 5P2)--The ``instantaneous
bandwidth'' divided by the center frequency, expressed as a percentage.
Frequency hopping. (Cat 5P1, 5P2 and 6)--A form of ``spread
spectrum'' in which the transmission frequency of a single communication
channel is made to change by a random or pseudo-random sequence of
discrete steps.
Frequency switching time. (Cat 3) The time (i.e., delay) taken by a
signal when switched from an initial specified output frequency, to
arrive at or within any of the following:
(1) 100 Hz of a final specified output
frequency of less than 1 GHz; or
(2) 0.1 part per million of a final specified
output frequency equal to or greater than 1 GHz.
Fuel cell. (Cat 8) An electrochemical device that converts chemical
energy directly into Direct Current (DC) electricity by consuming fuel
from an external source.
Full Authority Digital Engine Control Systems. (``FADEC Systems'')
(Cat 9) A digital electronic control system for a
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gas turbine engine that is able to autonomously control the engine
throughout its whole operating range from demanded engine start until
demanded engine shut down, in both normal and fault conditions.
Fundamental research. See Sec. 734.8 of the EAR.
Fusible. (Cat 1)--Capable of being cross-linked or polymerized
further (cured) by the use of heat, radiation, catalysts, etc., or that
can be melted without pyrolysis (charring).
Gate-All-Around Field-Effect Transistor (``GAAFET''). (Cat 3)--A
device having a single or multiple semiconductor conduction channel
element(s) with a common gate structure that surrounds and controls
current in all of the semiconductor conduction channel elements. (Note:
This definition includes nanosheet or nanowire field-effect and
surrounding gate transistors and other ``GAAFET'' semiconductor channel
element structures.)
GDSII (``Graphic Design System II'') (Cat 3) is a database file
format for data exchange of integrated circuit artwork or integrated
circuit layout artwork.
General prohibitions. The 10 prohibitions found in part 736 of the
EAR that prohibit certain exports, reexports, and other conduct, subject
to the EAR, absent a license, license exception, or determination that
no license is required (``NLR'').
``Government end user'' (as applied to encryption items). A
government end user is 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 in part 772 of the EAR)
which are engaged in the manufacture or distribution of items or
services controlled on the Wassenaar Munitions List, and international
governmental organizations. This term 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.
Hard selectors. (Cat 5P1) Data or set of data, related to an
individual (e.g., family name, given name, email, street address, phone
number or group affiliations).
Hold Without Action (HWA). License applications may be held without
action only in the limited circumstances described in Sec. 750.4(b) of
the EAR. Encryption review requests may be placed on hold without action
status as provided in Sec. 740.17(d)(2) and Sec. 742.15(b)(2) of the
EAR.
Hybrid computer. (Cat 4)--Equipment that can:
(a) Accept data;
(b) Process data, in both analog and digital representation; and
(c) Provide output of data.
Hybrid integrated circuit. (Cat 3)--Any combination of integrated
circuit(s), or integrated circuit with ``circuit elements'' or
``discrete components'' connected together to perform (a) specific
function(s), and having all of the following criteria:
(a) Containing at least one unencapsulated device;
(b) Connected together using typical IC-production methods;
(c) Replaceable as an entity; and
(d) Not normally capable of being disassembled.
Notes: 1. ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
2. ``Discrete component'': a separately packaged ``circuit element''
with its own external connections.
Image enhancement. (Cat 4)--The processing of externally derived
information-bearing images by algorithms such as time compression,
filtering, extraction, selection, correlation, convolution or
transformations between domains (e.g., fast Fourier transform or Walsh
transform). This does not include algorithms using only linear or
rotational transformation of a single image, such as translation,
feature extraction, registration or false coloration.
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Information security. (Cat 5P2, GSIN, GSN)--All the means and
functions ensuring the accessibility, confidentiality or integrity of
information or communications, excluding the means and functions
intended to safeguard against malfunctions. This includes
``cryptography'', ``cryptographic activation'', ``cryptanalysis'',
protection against compromising emanations and computer security.
Technical Note to definition of ``Information security'':
'Cryptanalysis': the analysis of a cryptographic system or its inputs
and outputs to derive confidential variables or sensitive data,
including clear text. (ISO 7498-2-1988 (E), paragraph 3.3.18)
Instantaneous bandwidth. (Cat 3 and 5)--The bandwidth over which
output power remains constant within 3 dB without adjustment of other
operating parameters.
Intent to Deny (ITD) letter. A letter informing the applicant:
(a) Of the reason for BIS's decision to deny a license application;
and
(b) That the application will be denied 45 days from the date of the
ITD letter, unless the applicant provides, and BIS accepts, a reason why
the application should not be denied for the stated reason. See Sec.
750.6 of the EAR.
Interleaved Analog-to-Digital Converter (ADC). (Cat 3) Devices that
have multiple ADC units that sample the same analog input at different
times such that when the outputs are aggregated, the analog input has
been effectively sampled and converted at a higher sampling rate.
Intermediate consignee. The person that acts as an agent for a
principal party in interest for the purpose of effecting delivery of
items to the ultimate consignee. The intermediate consignee may be a
bank, forwarding agent, or other person who acts as an agent for a
principal party in interest.
Intrinsic Magnetic Gradiometer. (Cat 6)--A single magnetic field
gradient sensing element and associated electronics the output of which
is a measure of magnetic field gradient. (See also ``Magnetic
Gradiometer'')
Intrusion software. (5P2) ``Software'' specially designed or
modified to avoid detection by 'monitoring tools', or to defeat
'protective countermeasures', of a computer or network-capable device,
and performing any of the following:
(1) The extraction of data or information, from a computer or
network-capable device, or the modification of system or user data; or
(2) The modification of the standard execution path of a ``program''
or process in order to allow the execution of externally provided
instructions.
Note 1 to ``Intrusion Software'' Definition: ``Intrusion software''
does not include any of the following: Hypervisors, debuggers or
Software Reverse Engineering (SRE) tools; Digital Rights Management
(DRM) ``software''; or ``Software'' designed to be installed by
manufacturers, administrators or users, for the purposes of asset
tracking or recovery.
Note 2 to ``Intrusion Software'' Definition: Network-capable devices
include mobile devices and smart meters.
Technical Note 1 to ``Intrusion Software'' Definition: 'Monitoring
tools': ``software'' or hardware devices, that monitor system behaviors
or processes running on a device. This includes antivirus (AV) products,
end point security products, Personal Security Products (PSP), Intrusion
Detection Systems (IDS), Intrusion Prevention Systems (IPS) or
firewalls.
Technical Note 2 to ``Intrusion Software'' Definition: 'Protective
countermeasures': techniques designed to ensure the safe execution of
code, such as Data Execution Prevention (DEP), Address Space Layout
Randomization (ASLR) or sandboxing.
Isostatic presses. (Cat 2)--Equipment capable of pressurizing a
closed cavity through various media (gas, liquid, solid particles, etc.)
to create equal pressure in all directions within the cavity upon a
workpiece or material.
Item. ``Item'' means ``commodities, software, and technology.'' When
the EAR intend to refer specifically to commodities, software, or
technology, the text will use the specific reference.
Know. See ``knowledge.''
Knowledge. Knowledge of a circumstance (the term may be a variant,
such as ``know,'' ``reason to know,'' or ``reason to believe'') includes
not only positive knowledge that the circumstance exists or is
substantially certain to occur, but also an awareness of a high
probability of its existence or future occurrence. Such awareness is
inferred from evidence of the conscious disregard of facts known to a
person and is also inferred from a person's willful avoidance of facts.
This definition does not apply to part 760 of the EAR (Restrictive Trade
Practices or Boycotts).
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Laser. (Cat 1, 2, 3, 5P1, 6, 7, 8 and 9)--An item that produces
spatially and temporally coherent light through amplification by
stimulated emission of radiation. See also: ``Chemical laser;'' ``Super
High Power Laser;'' and ``Transfer laser.''
Law or regulation relating to export control. Any statute,
proclamation, executive order, regulation, rule, license, or order
applicable to any conduct involving an export transaction shall be
deemed to be a ``law or regulation relating to export control.''
Legible or legibility. Legible and legibility mean the quality of a
letter or numeral that enables the observer to identify it positively
and quickly to the exclusion of all other letters or numerals.
Less sensitive government end users (as applied to encryption items
and 'cybersecurity items'). The following ``government end users'' (as
defined in this section) are considered ``less sensitive'' for the
purposes of License Exception ENC (Sec. 740.17 of the EAR) and License
Exception ACE (Sec. 740.22 of the EAR):
(1) Local/state/provincial ``government end users'' (departments,
agencies, and entities), including local/state/provincial executive,
legislative, judicial, police, fire, rescue, and public safety agencies.
(2) National/federal/royal ``government end users'' (departments,
agencies, and entities) providing the following civil government
functions and services:
(i) Census and statistics services;
(ii) Civil public works infrastructure services (construction,
maintenance, repair, regulation, and administration) as follows:
Buildings, public transportation, roads and highways, trucking;
(iii) Civil service administration and regulation, including human
resources and personnel/labor management;
(iv) Clean water infrastructure services (treatment, supply and
testing);
(v) Economic (trade/commerce/investment), business and industrial
development, promotion, regulation and administration, excluding the
following end users/end uses:
(A) Agencies, departments, boards, and councils for science and
technology;
(B) Research, development, and national laboratories (other than as
specified in paragraphs (2)(xi) (measurements and standards services)
and (2)(xii) (meteorology/weather/atmospheric services) of this
definition); and
(C) National telecommunications and information technology agencies,
boards, councils, and development authorities (including national
information center, and Information Communications Technology (ICT)/
telecommunications infrastructure/spectrum planning, policy, regulation,
and testing);
(vi) Elections, balloting, and polling services;
(vii) Energy regulation and administration, including oil, gas, and
mining sectors;
(viii) Environmental/natural resources regulation, administration,
and protection, including wildlife, fisheries, and national parks;
(ix) Food/agriculture regulation and administration;
(x) Labor/community/social services planning, regulation, and
administration, including: Housing and urban development, municipality
and rural affairs;
(xi) Measurements and standards services;
(xii) Meteorology (weather, atmospheric) services;
(xiii) National archives/museums;
(xiv) Patents;
(xv) Pilgrimage and religious affairs;
(xvi) Postal services;
(xvii) Public and higher education (excluding government research
institutions and any agency, institution, or affiliate engaged in the
manufacture or distribution of items or services controlled on the
Wassenaar Munitions List);
(xviii) Public health and medicine/pharmaceutical regulation and
administration;
(xix) Public libraries;
(xx) Sports/culture (includes film, commercial broadcasting, and the
arts) promotion, regulation, and administration; and
(xxi) Travel/tourism promotion, regulation, and administration.
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Library. (Cat 1) (parametric technical database) A collection of
technical information, reference to which may enhance the performance of
the relevant systems, equipment or components.
License. Authority issued by the Bureau of Industry and Security
authorizing an export, reexport, or other regulated activity. The term
``license'' does not include authority represented by a ``License
Exception.''
License application; application for license. License application
and similar wording mean an application to BIS requesting the issuance
of a license to the applicant.
License Exception. An authorization described in part 740 of the EAR
that allows you to export or reexport, under stated conditions, items
subject to the EAR that otherwise would require a license. Unless
otherwise indicated, these License Exceptions are not applicable to
exports under the licensing jurisdiction of agencies other than the
Department of Commerce.
Licensee. The person to whom a license has been issued by BIS. See
Sec. 750.7(c) of the EAR for a complete definition and identification
of a licensee's responsibilities.
Lighter-than-air vehicles. (Cat 2 and 9) Balloons and ``airships''
that rely on hot air or on lighter-than-air gases such as helium or
hydrogen for their lift.
Local area network. (Cat 4 and 5 Part 1)--A data communication
system that:
(a) Allows an arbitrary number of independent 'data devices' to
communicate directly with each other; and
(b) Is confined to a geographical area of moderate size (e.g.,
office building, plant, campus, warehouse).
Technical Note to definition of ``Local area network'': 'Data
device' means equipment capable of transmitting or receiving sequences
of digital information.
MBTR--See ``maximum bit transfer rate''.
MTCR. See Missile Technology Control Regime.
MTEC. See Missile Technology Export Control Group.
Magnetic Gradiometers. (Cat 6)--Are designed to detect the spatial
variation of magnetic fields from sources external to the instrument.
They consist of multiple ``magnetometers'' and associated electronics
the output of which is a measure of magnetic field gradient. (See also
``Intrinsic Magnetic Gradiometer''.)
Magnetometers. (Cat 6)--Are designed to detect magnetic fields from
sources external to the instrument. They consist of a single magnetic
field sensing element and associated electronics the output of which is
a measure of the magnetic field.
Material. This is any list-specified crude or processed matter that
is not clearly identifiable as any of the types of items defined in
Sec. 772.1 under the defined terms, ``end item,'' ``component,''
``accessories,'' ``attachments,'' ``part,'' ``software,'' ``system,
``equipment,'' or ``facilities.'' The exclusion from the definition of
material for clearly identifiable items defined in Sec. 772.1, such as
for ``parts'' and ``components,'' does not apply to the following ECCNs:
1C233, 1C234, 1C235, 1C236, 1C237, 1C239, 1C350, 1C395, 1C991, 1C992,
and 1C995.
Matrix. (Cat 1, 2, 8, and 9)--A substantially continuous phase that
fills the space between particles, whiskers or fibers.
Maximum bit transfer rate. (MBTR) (Cat 4)--Of solid state storage
equipment: the number of data bits per second transferred between the
equipment and its controller. Of a disk drive: the internal data
transfer rate calculated as follows:
``MBTR'' (bits per second) = B x R x T, where:
B = Maximum number of data bits per track available to read or write in
a single revolution;
R = Revolutions per second;
T = Number of tracks that can be used or written simultaneously.
Measurement uncertainty. (Cat 2) The characteristic parameter that
specifies in what range around the output value the correct value of the
measurable variable lies with a confidence level of 95%. It includes the
uncorrected systematic deviations, the uncorrected backlash, and the
random deviations (Ref.: ISO 10360-2).
Media access unit. (Cat 5)--Equipment that contains one or more
communication interfaces (``network access controller'',
``communications channel controller'', modem or computer bus)
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to connect terminal equipment to a network.
Medical devices. For purposes of the EAR, medical devices are
``devices'' as defined in section 201 of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 321) including medical supplies, instruments,
equipment, equipped ambulances, institutional washing machines for
sterilization, and vehicles with medical testing equipment. Note that
certain component parts and spares to be exported for incorporation into
medical devices are on the Commerce Control List. Only items meeting the
definition of ``medical device'' and that are classified as EAR99 are
eligible for export to Iran and under the licensing procedures set forth
in the appropriate regulations promulgated and administered by
Treasury's Office of Foreign Assets Control.
Medicines. Medicines means ``drug'' as defined in section 201 of the
Federal Food, Drug and Cosmetic Act (21 U.S.C. 321). For purposes of the
EAR, medicines includes prescription and over the counter medicines for
humans and animals. Note that certain medicines, such as vaccines and
immunotoxins, are on the Commerce Control List. Only items meeting the
definition of ``medicine'' and that are classified as EAR99 are eligible
for export to Iran and under the licensing procedures set forth in the
appropriate regulations promulgated and administered by Treasury's
Office of Foreign Assets Control.
Metal embrittlement agents. (Cat. 0)--Non-lethal weapon substances
that alter the crystal structure of metals within a short time span.
Metal embrittlement agents severely weaken metals by chemically changing
their molecular structure. These agents are compounded in various
substances to include adhesives, liquids, aerosols, foams, and
lubricants.
Microcomputer microcircuit. (Cat 3) means a ``monolithic integrated
circuit'' or ``multichip integrated circuit'' containing an arithmetic
logic unit (ALU) capable of executing a series of general purpose
instructions from an internal storage, on data contained in the internal
storage.
Technical Note 1: The ``microprocessor microcircuit'' normally does
not contain integral user-accessible storage, although storage present
on-the-chip may be used in performing its logic function.
Technical Note 2: The internal storage may be augmented by an
external storage.
Note: This definition includes chip sets which are designed to
operate together to provide the function of a ``microprocessor
microcircuit.''
Microorganisms. (Cat 1 and 2) means bacteria, viruses, mycoplasms,
rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified,
either in the form of isolated live cultures or as material including
living material which has been deliberately inoculated or contaminated
with such cultures.
Microprocessor microcircuit. (Cat 3)--A ``monolithic integrated
circuit'' or ``multichip integrated circuit'' containing an arithmetic
logic unit (ALU) capable of executing a series of general purpose
instructions from an external storage.
N.B. 1: The ``microprocessor microcircuit'' normally does not
contain integral user-accessible storage, although storage present on-
the-chip may be used in performing its logic function.
N.B. 2: This definition includes chip sets that are designed to
operate together to provide the function of a ``microprocessor
microcircuit''.
Microprogram. (Cat 4 and 5)--A sequence of elementary instructions,
maintained in a special storage, the execution of which is initiated by
the introduction of its reference instruction into an instruction
register.
Military commodity. As used in Sec. 734.4(a)(5), supplement no. 1
to part 738 (footnote No. 3), Sec. Sec. 740.2(a)(11), 740.16(a)(2),
740.16(b)(2), 742.6(a)(3), 744.9(a)(2), 744.9(b), ECCN 0A919 and
(Related Controls) in ``600 series'' ECCNs, ``military commodity'' or
``military commodities'' means an article, material, or supply that is
described on the U.S. Munitions List (22 CFR Part 121) or on the
Munitions List that is published by the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies, but
does not include software, technology and any item listed in any ECCN
for which the last three numerals are 018 or any item in the ``600
series.''
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Missile Technology Control Regime (MTCR). The United States and
other nations in this multilateral control regime have agreed to
guidelines for restricting the export and reexport of dual-use items
that may contribute to the development of missiles. The MTCR Annex lists
missile-related equipment and technology controlled either by the
Department of Commerce's Bureau of Industry and Security--Export
Administration Regulations (15 CFR Parts 730 through 799) or by the
Department of State's Directorate of Defense Trade Controls--
International Traffic in Arms Regulations (22 CFR Parts 120 through
130).
Missile Technology Export Control Group (MTEC). Chaired by the
Department of State, the MTEC primarily reviews applications involving
items controlled for Missile Technology (MT) reasons. The MTEC also
reviews applications involving items not controlled for MT reasons, but
destined for a country and/or end-use/end-user of concern.
``Missiles''. (All) Rocket systems (including ballistic missiles,
space launch vehicles, and sounding rockets) and unmanned aerial vehicle
systems (including cruise missiles, target drones, and reconnaissance
drones) ``capable of'' delivering at least 500 kilograms payload to a
range of at least 300 kilometers. See Sec. 746.3 for definition of a
``ballistic missile'' to be exported or reexported to Iraq or
transferred within Iraq.
``MMIC''. (Cat 3 and 5) See ``Monolithic Microwave Integrated
Circuit''
Monolithic integrated circuit. (Cat 3)--A combination of passive or
active ``circuit elements'' or both that:
(a) Are formed by means of diffusion processes, implantation
processes or deposition processes in or on a single semiconducting piece
of material, a so-called `chip';
(b) Can be considered as indivisibly associated; and
(c) Perform the function(s) of a circuit.
Note: ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
``Monolithic Microwave Integrated Circuit'' (``MMIC'') (Cat 3, 5P1
and 9) is a ``monolithic integrated circuit'' that operates at microwave
or millimeter wave frequencies.
Monospectral imaging sensors. (Cat 6) are capable of acquisition of
imaging data from one discrete spectral band.
More sensitive government end users (as applied to encryption items
and 'cybersecurity items'). The following national/federal/royal
(departments, agencies, and entities) ``government end users'' (as
defined in this section) providing the following government functions
and services, are considered ``more sensitive'' for the purposes of
License Exception ENC (Sec. 740.17 of the EAR) and License Exception
ACE (Sec. 740.22 of the EAR):
(1) Agencies, departments, boards, and councils for science and
technology (including research, development, and state/national
laboratories, but not including measurements and standards);
(2) Currency and monetary authorities (including departments and
offices of the national/federal/royal reserve);
(3) Executive agents of state (including offices of president/vice
president/prime minister, royal courts, national security councils,
cabinet/council of ministers/supreme councils/executive councils, crown
princes and other deputies of the rulers, departments and offices of
political/constitutional/mainland affairs);
(4) Legislative bodies responsible for the enactment of laws;
(5) Import/export control, customs and immigration agencies, and
entities;
(6) Intelligence agencies and entities;
(7) Judiciary (including supreme courts and other national/federal/
regional/royal high courts and tribunals);
(8) Maritime, port, railway, and airport authorities;
(9) Military and armed services (including national guard, coast
guard, security bureaus, and paramilitary);
(10) Ministries, departments, and garrisons of defense (including
defense technology agencies);
(11) Ministries and departments of finance and taxation (including
national/federal/royal budget and revenue authorities);
(12) Ministries and departments of foreign affairs/foreign
relations/consulates/embassies;
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(13) Ministries of interior, internal/home/mainland affairs, and
homeland security;
(14) 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);
(15) Police, investigation and other law enforcement agencies, and
entities (including digital crime/cybercrime/computer forensics, counter
narcotics/counter terrorism/counter proliferation agencies);
(16) Prisons; and
(17) Public safety agencies and entities (including national/
federal/royal agencies and departments of civil defense, emergency
management, and first responders).
Motion control board. (Cat 2)--An electronic ``assembly'' specially
designed to provide a computer system with the capability to coordinate
simultaneously the motion of axes of machine tools for ``contouring
control''.
Multichip integrated circuit. (Cat 3)--Two or more ``monolithic
integrated circuits'' bonded to a common ``substrate''.
Multi-data-stream processing. (Cat 4)--The ``microprogram'' or
equipment architecture technique that permits simultaneous processing of
two or more data sequences under the control of one or more instruction
sequences by means such as:
(a) Single Instruction Multiple Data (SIMD) architectures such as
vector or array processors;
(b) Multiple Single Instruction Multiple Data (MSIMD) architectures;
(c) Multiple Instruction Multiple Data (MIMD) architectures,
including those that are tightly coupled, closely coupled or loosely
coupled; or
(d) Structured arrays of processing elements, including systolic
arrays.
Multiple channel Analog-to-Digital Converter (ADC). (Cat 3) Devices
that integrate more than one ADC, designed so that each ADC has a
separate analog input.
Multispectral Imaging Sensors. (Cat 6)--Are capable of simultaneous
or serial acquisition of imaging data from two or more discrete spectral
bands. Sensors having more than twenty discrete spectral bands are
sometimes referred to as hyperspectral imaging sensors.
N.E.S. N.E.S or n.e.s. is an abbreviation meaning ``not elsewhere
specified''.
NATO (North Atlantic Treaty Organization). A strategic defensive
organization that consists of the following member nations: Albania,
Belgium, Bulgaria, Canada, Croatia, Czech Republic, Denmark, Estonia,
France, Germany, Greece, Hungary, Iceland, Italy, Latvia, Lithuania,
Luxembourg, the Netherlands, Norway, Poland, Portugal, Romania,
Slovakia, Slovenia, Spain, Turkey, the United Kingdom, and the United
States.
NLR. NLR (``no license required'') is a symbol entered on the
Electronic Export Information filing on the Automated Export System
certifying that no license is required.
NSG. See Nuclear Suppliers Group.
Natural uranium. (Cat 0) means uranium containing the mixtures of
isotopes occurring in nature.
Net value. The actual selling price, less shipping charges or
current market price, whichever is the larger, to the same type of
purchaser in the United States.
Network Access Controller. (Cat 4)--A physical interface to a
distributed switching network. It uses a common medium which operates
throughout at the same ``digital transfer rate'' using arbitration
(e.g., token or carrier sense) for transmission. Independently from any
other, it selects data packets or data groups (e.g., IEEE 802) addressed
to it. It is an assembly that can be integrated into computer or
telecommunications equipment to provide communications access.
Non-standard cryptography. Means any implementation of
``cryptography'' involving the incorporation or use of proprietary or
unpublished cryptographic functionality, including encryption algorithms
or protocols that have not been adopted or approved by a duly recognized
international standards body (e.g., IEEE, IETF, ISO,
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ITU, ETSI, 3GPP, TIA, and GSMA) and have not otherwise been published.
Nuclear reactor. (Cat 0 and 2) includes the items within or attached
directly to the reactor vessel, the equipment which controls the level
of power in the core, and the components which normally contain, come
into direct contact with or control the primary coolant of the reactor
core.
Nuclear Suppliers Group (NSG). The United States and other nations
in this multilateral control regime have agreed to guidelines for
restricting the export or reexport of items with nuclear applications.
Members include: Argentina, Australia, Austria, Belarus, Belgium,
Brazil, Bulgaria, Canada, Croatia, Cyprus, Czech Republic, Denmark,
Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland,
Italy, Japan, Kazakhstan, Latvia, Lithuania, Luxembourg, Malta, Mexico,
the Netherlands, New Zealand, Norway, People's Republic of China,
Poland, Portugal, Republic of Korea, Romania, Russia, Serbia, Slovak
Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Turkey,
Ukraine, the United Kingdom, and the United States. See also Sec. 742.3
of the EAR.
Numerical control. (Cat 2)--The automatic control of a process
performed by a device that makes use of numeric data usually introduced
as the operation is in progress (Ref. ISO 2382).
``Object code''. (or object language) (GSN)--An equipment executable
form of a convenient expression of one or more processes (``source
code'' (or source language)) that has been compiled by a programming
system. (See also ``source code'')
Office of Foreign Assets Control (FAC) or (OFAC). The office at the
Department of the Treasury responsible for blocking assets of foreign
countries subject to economic sanctions, controlling participation by
U.S. persons, including foreign subsidiaries, in transactions with
specific countries or nationals of such countries, and administering
embargoes on certain countries or areas of countries. (See 31 CFR parts
500 through 590.)
Open cryptographic interface. A mechanism which is designed to allow
a customer or other party to insert cryptographic functionality without
the intervention, help or assistance of the manufacturer or its agents,
e.g., manufacturer's signing of cryptographic code or proprietary
interfaces. If the cryptographic interface implements a fixed set of
cryptographic algorithms, key lengths or key exchange management
systems, that cannot be changed, it will not be considered an ``open''
cryptographic interface. All general application programming interfaces
(e.g., those that accept either a cryptographic or non-cryptographic
interface but do not themselves maintain any cryptographic
functionality) will not be considered ``open'' cryptographic interfaces.
Operate autonomously. (Cat 8)--Fully submerged, without snorkel, all
systems working and cruising at minimum speed at which the submersible
can safely control its depth dynamically by using its depth planes only,
with no need for a support vessel or support base on the surface, sea-
bed or shore, and containing a propulsion system for submerged or
surface use.
Operating Committee (OC). The OC voting members include
representatives of appropriate agencies in the Departments of Commerce,
State, Defense, Justice (for encryption exports), and Energy and the
Arms Control and Disarmament Agency. The appropriate representatives of
the Joint Chiefs of Staff and the Director of the Nonproliferation
Center of the Central Intelligence Agency are non-voting members. The
Department of Commerce representative, appointed by the Secretary, is
the Chair of the OC and serves as the Executive Secretary of the
Advisory Committee on Export Policy. The OC may invite representatives
of other Government agencies or departments (other than those identified
in this definition) to participate in the activities of the OC when
matters of interest to such agencies or departments are under
consideration.
Operations, Administration or Maintenance (``OAM''). (Cat 5P2) Means
performing one or more of the following tasks:
(a) Establishing or managing any of the following:
(1) Accounts or privileges of users or administrators;
(2) Settings of an item; or
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(3) Authentication data in support of the tasks described in
paragraphs (a)(1) or (2) of this definition;
(b) Monitoring or managing the operating condition or performance of
an item; or
(c) Managing logs or audit data in support of any of the tasks
described in paragraphs (a) or (b) of this definition.
Note to definition of ``Operations, Administration or Maintenance'':
``OAM'' does not include any of the following tasks or their associated
key management functions:
a. Provisioning or upgrading any cryptographic functionality that is
not directly related to establishing or managing authentication data in
support of the tasks described in paragraphs (a)(1) or (2) of this
definition; or
b. Performing any cryptographic functionality on the forwarding or
data plane of an item.
Optical integrated circuit. (Cat 3)--A ``monolithic integrated
circuit'' or a ``hybrid integrated circuit'', containing one or more
parts designed to function as photosensor or photoemitter or to perform
(an) optical or (an) electro-optical function(s).
Optical switching. (Cat 5)--The routing of or switching of signals
in optical form without conversion to electrical signals.
Order Party. The person in the United States who conducted the
direct negotiations or correspondence with the foreign purchaser or
ultimate consignee and who, as a result of these negotiations, received
the order from the foreign purchaser or ultimate consignee.
Organization for the Prohibition of Chemical Weapons (OPCW). Means
the international organization, located in The Hague, Netherlands, that
administers the Chemical Weapons Convention.
Other party authorized to receive license. The person authorized by
the applicant to receive the license. If a person and address is listed
in Block 15 of the application, the Bureau of Industry and Security will
send the license to that person instead of the applicant. Designation of
another party to receive the license does not alter the responsibilities
of the applicant, licensee or exporter.
Overall current density. (Cat 3)--The total number of ampere-turns
in the coil (i.e., the sum of the number of turns multiplied by the
maximum current carried by each turn) divided by the total cross-section
of the coil (comprising the superconducting filaments, the metallic
matrix in which the superconducting filaments are embedded, the
encapsulating material, any cooling channels, etc.).
Part. This is any single unassembled element of a ``component,''
``accessory,'' or ``attachment'' which is not normally subject to
disassembly without the destruction or the impairment of design use.
Examples include threaded fasteners (e.g., screws, bolts, nuts, nut
plates, studs, inserts), other fasteners (e.g., clips, rivets, pins),
common hardware (e.g., washers, spacers, insulators, grommets,
bushings), springs and wire.
Part program. (Cat. 2)--An ordered set of instructions that is in a
language and in a format required to cause operations to be effected
under automatic control and that is either written in the form of a
machine program on an input medium or prepared as input data for
processing in a computer to obtain a machine program (Ref. ISO 2806-
1980).
Payload. (MTCR context)--The total mass that can be carried or
delivered by the specified rocket system or unmanned aerial vehicle
(UAV) system that is not used to maintain flight.
Note: The particular equipment, subsystems, or components to be
included in the ``payload'' depends on the type and configuration of the
vehicle under construction.
Technical Notes: a. Ballistic Missiles
1. ``Payload'' for systems with separating re-entry vehicles (RVs)
includes:
i. The RVs, including:
A. Dedicated guidance, navigation, and control equipment;
B. Dedicated countermeasures equipment;
ii. Munitions of any type (e.g., explosive or non-explosive);
iii. Supporting structures and deployment mechanisms for the
munitions (e.g., hardware used to attach to, or separate the RV from,
the bus/post-boost vehicle) that can be removed without violating the
structural integrity of the vehicle;
iv. Mechanisms and devices for safing, arming, fuzing, or firing;
v. Any other countermeasures equipment (e.g., decoys, jammers, or
chaff dispensers) that separate from the RV bus/post-boost vehicle;
vi. The bus/post-boost vehicle or attitude control/velocity trim
module not including
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systems/subsystems essential to the operation of other stages.
2. ``Payload'' for systems with non-separating re-entry vehicles
includes:
i. Munitions of any type (e.g., explosive or non-explosive);
ii. Supporting structures and deployment mechanisms for the
munitions that can be removed without violating the structural integrity
of the vehicle;
iii. Mechanisms and devices for safing, arming, fuzing or firing;
iv. Any countermeasures equipment (e.g., decoys, jammers, or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle.
b. Space Launch Vehicles--``Payload'' includes:
1. Spacecraft (single or multiple), including satellites;
2. Spacecraft-to-launch vehicle adapters including, if applicable,
apogee/perigee kick motors or similar maneuvering systems and separation
systems;
c. Sounding Rockets--``Payload'' includes:
1. Equipment required for a mission, such as data gathering,
recording or transmitting devices for mission-specific data;
2. Recovery equipment (e.g., parachutes) that can be removed without
violating the structural integrity of the vehicle.
d. Cruise Missiles--``Payload'' includes:
1. Munitions of any type (e.g., explosive or non-explosive);
2. Supporting structures and mechanisms for the munitions that can
be removed without violating the structural integrity of the vehicle;
3. Mechanisms and devices for safing, arming, fuzing or firing;
4. Countermeasures equipment (e.g., decoys, jammers or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle;
5. Signature alteration equipment that can be removed without
violating the structural integrity of the vehicle;
e. Other UAVs--``Payload'' includes:
1. Munitions of any type (e.g., explosive or non-explosive);
2. Mechanisms and devices for safing, arming, fuzing or firing;
3. Countermeasures equipment (e.g., decoys, jammers or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle;
4. Signature alteration equipment that can be removed without
violating the structural integrity of the vehicle;
5. Equipment required for a mission such as data gathering,
recording or transmitting devices for mission-specific data and
supporting structures that can be removed without violating the
structural integrity of the vehicle;
6. Recovery equipment (e.g., parachutes) that can be removed without
violating the structural integrity of the vehicle;
7. Munitions supporting structures and deployment mechanisms that
can be removed without violating the structural integrity of the
vehicle.
Peak power. (Cat 6)--The highest power attained in the ``pulse
duration.''
Person. A natural person, including a citizen or national of the
United States or of any foreign country; any firm; any government,
government agency, government department, or government commission; any
labor union; any fraternal or social organization; and any other
association or organization whether or not organized for profit. This
definition does not apply to part 760 of the EAR (Restrictive Trade
Practices or Boycotts).
Personal area network (Cat 5 Part 2)--A data communication system
having all of the following characteristics:
(1) Allows an arbitrary number of independent or interconnected
'data devices' to communicate directly with each other; and
(2) Is confined to the communication between devices within the
immediate physical vicinity of an individual person or device controller
(e.g., single room, office, or automobile).
Technical Notes:
1. 'Data device' means equipment capable of transmitting or
receiving sequences of digital information.
2. The ``local area network'' extends beyond the geographical area
of the ``personal area network''.
Port of export. The port where the cargo to be shipped abroad is
laden aboard the exporting carrier. It includes, in the case of an
export by mail, the place of mailing.
Principal element. (Cat 4)--An element is a ``principal element''
when its replacement value is more than 35% of the total value of the
system of which it is an element. Element value is the price paid for
the element by the manufacturer of the system, or by the system
integrator. Total value is the normal international selling price to
unrelated parties at the point of manufacture or consolidation of
shipment.
Principal parties in interest. Those persons in a transaction that
receive the
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primary benefit, monetary or otherwise, of the transaction. Generally,
the principals in a transaction are the seller and the buyer. In most
cases, the forwarding or other agent is not a principal party in
interest.
Production. (General Technology Note) (All Categories)--Means all
production stages, such as: product engineering, manufacture,
integration, assembly (mounting), inspection, testing, quality
assurance.
Production equipment. (MTCR context)--Tooling, templates, jigs,
mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment,
other machinery and components therefor, limited to those specially
designed or modified for ``development'' or for one or more phases of
``production''.
Production Facilities. (MTCR Context only). (Cat 7 and 9)--Means
``production equipment'' and specially designed ``software'' therefor
integrated into installations for ``development'' or for one or more
phases of ``production''.
Program. (Cat 1, 4, 6, and 7)--A sequence of instructions to carry
out a process in, or convertible into, a form executable by an
electronic computer.
Proof test. (Cat 5)--On-line or off-line production screen testing
that dynamically applies a prescribed tensile stress over a 0.5 to 3 m
length of fiber at a running rate of 2 to 5 m/s while passing between
capstans approximately 150 mm in diameter. The ambient temperature is a
nominal 293 K (20 [deg]C) and relative humidity 40%.
Note: Equivalent national standards for executing the ``proof test''
may be used.
Proscribed person. A person who is prohibited from receiving the
items at issue or participating in a transaction that is subject to the
EAR without authorization under the EAR, such as persons on the Entity
List or denied persons.
Publicly available encryption software. See Sec. 742.15(b) of the
EAR.
Published. See Sec. 734.7 of the EAR.
Pulse compression. (Cat 6)--The coding and processing of a radar
signal pulse of long time duration to one of short time duration, while
maintaining the benefits of high pulse energy.
Pulse duration. (Cat 6)--Duration of a ``laser'' pulse is the time
between the half-power points on the leading edge and trailing edge of
an individual pulse.
Pulsed Laser. (Cat 6)--A pulsed ``laser'' is defined as having a
``pulse duration'' that is less than or equal to 0.25 seconds.
Purchaser. The person abroad who has entered into a transaction to
purchase an item for delivery to the ultimate consignee. In most cases,
the purchaser is not a bank, forwarding agent, or intermediary. The
purchaser and ultimate consignee may be the same entity.
Pyrotechnic(s). (Cat 1) Mixtures of solid or liquid fuels and
oxidizers which, when ignited, undergo an energetic chemical reaction at
a controlled rate intended to produce specific time delays, or
quantities of heat, noise, smoke, visible light or infrared radiation.
Pyrophorics are a subclass of pyrotechnics, which contain no oxidizers
but ignite spontaneously on contact with air.
Quantum cryptography. (Cat 5P2) A family of techniques for the
establishment of a shared key for ``cryptography'' by measuring the
quantum-mechanical properties of a physical system (including those
physical properties explicitly governed by quantum optics, quantum field
theory, or quantum electrodynamics).
RWA. See Return Without Action.
Radar frequency agility. (Cat 6)--Any technique that changes, in a
pseudo-random sequence, the carrier frequency of a pulsed radar
transmitter between pulses or between groups of pulses by an amount
equal to or larger than the pulse bandwidth.
Radar spread spectrum. (Cat 6)--Any modulation technique for
spreading energy originating from a signal with a relatively narrow
frequency band, over a much wider band of frequencies, by using random
or pseudo-random coding.
Radiant sensitivity (Cat 6)--Radiant sensitivity (mA/W) = 0.807 x
(wavelength in nm) x 'Quantum Efficiency (QE)'.
Technical Note: 'QE' is usually expressed as a percentage; however,
for the purposes of this
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formula 'QE' is expressed as a decimal number less than one, e.g., 78%
is 0.78.
Range. (Cat 8)--Half the maximum distance a submersible vehicle can
cover.
Range. (MTCR context)--The maximum distance that the specified
rocket system or unmanned aerial vehicle (UAV) system is capable of
traveling in the mode of stable flight as measured by the projection of
its trajectory over the surface of the Earth.
Technical Notes: a. The maximum capability based on the design
characteristics of the system, when fully loaded with fuel or
propellant, will be taken into consideration in determining ``range''.
b. The ``range'' for both rocket systems and UAV systems will be
determined independently of any external factors such as operational
restrictions, limitations imposed by telemetry, data links or other
external constraints.
c. For rocket systems, the ``range'' will be determined using the
trajectory that maximizes ``range'', assuming ICAO standard atmosphere
with zero wind.
d. For UAV systems, the ``range'' will be determined for a one-way
distance using the most fuel-efficient flight profile (e.g. cruise speed
and altitude), assuming ICAO standard atmosphere with zero wind.
Readable or readability. Readable and readability mean the quality
of a group of letters or numerals being recognized as complete words or
numbers.
``Real-time Processing''. (Cat 2, 4, and 6) The processing of data
by a computer system providing a required level of service, as a
function of available resources, within a guaranteed response time,
regardless of the load of the system, when stimulated by an external
event.
Reasons for Control. Reasons for Control are: Anti-Terrorism (AT),
Chemical & Biological Weapons (CB), Chemical Weapons Convention (CW),
Crime Control (CC), Encryption Items (EI), Firearms Convention (FC),
Missile Technology (MT), National Security (NS), Nuclear
Nonproliferation (NP), Regional Stability (RS), Short Supply (SS),
Significant Items (SI), Surreptitious Listening (SL) and United Nations
sanctions (UN). Items controlled within a particular ECCN may be
controlled for more than one reason.
Recoverable commodities and software. As applied to encryption
items, means any of the following:
(a) A stored data product containing a recovery feature that, when
activated, allows recovery of the plaintext of encrypted data without
the assistance of the end-user; or
(b) A product or system designed such that a network administrator
or other authorized persons who are removed from the end-user can
provide law enforcement access to plaintext without the knowledge or
assistance of the end-user. This includes, for example, products or
systems where plaintext exists and is accessible at intermediate points
in a network or infrastructure system, enterprise-controlled recovery
systems, and products which permit recovery of plaintext at the server
where a system administrator controls or can provide recovery of
plaintext across an enterprise.
Note to this definition: ``Plaintext'' indicates that data that is
initially received by or presented to the recoverable product before
encryption takes place.
Reexport. See Sec. 734.14 of the EAR.
Release. See Sec. 734.15 of the EAR.
Repeatability. (Cat 7)--The closeness of agreement among repeated
measurements of the same variable under the same operating conditions
when changes in conditions or non-operating periods occur between
measurements. (Reference: IEEE STD 528-2001 (one sigma standard
deviation))
Repeatability. (MTCR Context only) (Cat 7)--According to IEEE
Standard for Inertial Sensor Terminology 528-2001 in the Definitions
section paragraph 2.214 titled repeatability (gyro, accelerometer) as
follows: ``The closeness of agreement among repeated measurements of the
same variable under the same operating conditions when changes in
conditions or non-operating periods occur between measurements.''
Replacement license. An authorization by the Bureau of Industry and
Security revising the information, conditions, or riders stated on a
license issued by BIS. See Sec. 750.7 of the EAR.
Required. (General Technology Note) --As applied to ``technology''
or ``software,'' refers to only that portion of ``technology'' or
``software'' which is
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peculiarly responsible for achieving or exceeding the controlled
performance levels, characteristics or functions. Such ``required''
``technology'' or ``software'' may be shared by different products. For
example, assume product ``X'' is controlled on the CCL if it operates at
or above 400 MHz and is not controlled if it operates below 400 MHz. If
production technologies ``A,'' ``B,'' and ``C'' allow production at no
more than 399 MHz, then technologies ``A,'' ``B,'' and ``C'' are not
``required'' to produce the controlled product ``X''. If technologies
``A,'' ``B,'' ``C,'' ``D,'' and ``E'' are used together, a manufacturer
can produce product ``X'' that operates at or above 400 MHz. In this
example, technologies ``D'' and ``E'' are peculiarly responsible for
making the controlled product and are thus ``required'' technology under
the General Technology Note. (See the General Technology Note.)
Note 1 to the definition of Required: The ITAR and the EAR often
divide within each set of regulations or between each set of
regulations:
(a) Controls on parts, components, accessories, attachments, and
software; and
(b) Controls on the end items, systems, equipment, or other items
into which those parts, components, accessories, attachments, and
software are to be installed or incorporated.
Note 2 to the definition of Required: The references to
``characteristics'' and ``functions'' are not limited to entries on the
CCL that use specific technical parameters to describe the scope of what
is controlled. The ``characteristics'' and ``functions'' of an item
listed are, absent a specific regulatory definition, a standard
dictionary's definition of the item. For example, ECCN 9A610.a controls
military aircraft specially designed for a military use that are not
enumerated in USML paragraph VIII(a). No performance level is identified
in the entry, but the control characteristic of the aircraft is that it
is specially designed ``for military use.'' Thus, any technology,
regardless of significance, peculiar to making an aircraft ``for
military use'' as opposed to, for example, an aircraft controlled under
ECCN 9A991.a, would be technical data ``required'' for an aircraft
specially designed for military use thus controlled under ECCN 9E610.
Note 3 to the definition of Required: Unclassified technology not
specifically enumerated on the USML is ``subject to the EAR'' if it is
``required'' for the ``development,'' ``production,'' ``use,''
operation, installation, maintenance, repair, overhaul, or refurbishing
(or other terms specified in ECCNs on the CCL that control
``technology'') of a commodity or software that is subject to the EAR.
Thus, for example, if unclassified technology not specifically
enumerated on the USML is ``required'' for the development or production
of a 9A610.x aircraft component that is to be integrated or installed in
a USML VIII(a) aircraft, then the ``technology'' is controlled under
ECCN 9E610, not USML VIII(i). Conversely, technical data directly
related to, for example, the development or production of a component
subject to the ITAR does not become subject to the EAR merely because it
is developed or produced with equipment subject to the EAR.
Return Without Action (RWA). An application may be RWA'd for one of
the following reasons:
(a) The applicant has requested the application be returned;
(b) A License Exception applies;
(c) The items are not under Department of Commerce jurisdiction;
(d) Required documentation has not been submitted with the
application; or
(e) The applicant cannot be reached after several attempts to
request additional information necessary for processing of the
application.
Robot. (Cat 2 and 8)--A manipulation mechanism, which may be of the
continuous path or of the point-to-point variety, may use ``sensors'',
and has all the following characteristics:
(a) Is multifunctional;
(b) Is capable of positioning or orienting material, parts, tools or
special devices through variable movements in a three dimensional space;
(c) Incorporates three or more closed or open loop servo-devices
that may include stepping motors; and
(d) Has ``user-accessible programmability'' by means of teach/
playback method or by means of an electronic computer that may be a
programmable logic controller, i.e., without mechanical intervention.
Note: This definition does not include the following devices:
(a) Manipulation mechanisms that are only manually/teleoperator
controllable;
(b) Fixed sequence manipulation mechanisms that are automated moving
devices, operating according to mechanically fixed programmed motions.
The program is mechanically limited by fixed stops, such as pins or
cams. The sequence of motions and
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the selection of paths or angles are not variable or changeable by
mechanical, electronic or electrical means;
(c) Mechanically controlled variable sequence manipulation
mechanisms that are automated moving devices, operating according to
mechanically fixed programmed motions. The program is mechanically
limited by fixed, but adjustable stops, such as pins or cams. The
sequence of motions and the selection of paths or angles are variable
within the fixed program pattern. Variations or modifications of the
program pattern (e.g., changes of pins or exchanges of cams) in one or
more motion axes are accomplished only through mechanical operations;
(d) Non-servo-controlled variable sequence manipulation mechanisms
that are automated moving devices, operating according to mechanically
fixed programmed motions. The program is variable, but the sequence
proceeds only by the binary signal from mechanically fixed electrical
binary devices or adjustable stops;
(e) Stacker cranes defined as Cartesian coordinate manipulator
systems manufactured as an integral part of a vertical array of storage
bins and designed to access the contents of those bins for storage or
retrieval.
Routed export transaction. A transaction where the foreign principal
party in interest authorizes a U.S. forwarding or other agent to
facilitate export of items from the United States.
Run-out. (out-of-true running) (Cat 2)--Radial displacement in one
revolution of the main spindle measured in a plane perpendicular to the
spindle axis at a point on the external or internal revolving surface to
be tested (Ref.: ISO 230 Part 1-1986, paragraph 5.61).
SHPL. (Cat 6) is equivalent to ``Super High Power Laser'', see
definition for ``super high power laser.''
SNEC. See Subgroup on Nuclear Export Coordination.
Sample rate. (Cat 3) For an Analog-to-Digital Converter (ADC) the
maximum number of samples that are measured at the analog input over a
period of one second, except for oversampling ADCs. For oversampling
ADCs the ``sample rate'' is taken to be its output word rate. ``Sample
rate'' may also be referred to as sampling rate, usually specified in
Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or
conversion rate, usually specified in Hertz (Hz).
Satellite navigation system (Cat 5P2, 7)--A system consisting of
ground stations, a constellation of satellites, and receivers, that
enables receiver locations to be calculated on the basis of signals
received from the satellites. It includes Global Navigation Satellite
Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).
Scale factor. (gyro or accelerometer) (Cat 7)--The ratio of change
in output to a change in the input intended to be measured. Scale factor
is generally evaluated as the slope of the straight line that can be
fitted by the method of least squares to input-output data obtained by
varying the input cyclically over the input range.
Schedule B numbers. The commodity numbers appearing in the current
edition of the Bureau of the Census publication, Schedule B Statistical
Classification of Domestic and Foreign Commodities Exported from the
United States. (See part 758 of the EAR for information on use of
Schedule B numbers.)
Shield. Chaired by the Department of State, the Shield primarily
reviews applications involving items controlled for Chemical and
Biological Weapons (CBW) reasons. The Shield also reviews applications
involving items not controlled for CBW reasons, but destined for a
country and/or end-use/end-user of concern. See Sec. 750.4 of the EAR.
Signal analyzers. (Cat 3)--Apparatus capable of measuring and
displaying basic properties of the single-frequency components of multi-
frequency signals.
Signal processing. (Cat 3, 4, 5, and 6)--The processing of
externally derived information-bearing signals by algorithms such as
time compression, filtering, extraction, selection, correlation,
convolution or transformations between domains (e.g., fast Fourier
transform or Walsh transform).
Single shipment. All items moving at the same time from one exporter
to one consignee or intermediate consignee on the same exporting
carrier, even if these items will be forwarded to one or more ultimate
consignees. Items being transported in this manner shall be treated as a
single shipment even if the items represent more than one order or are
in separate containers.
Software. (Cat: all)--A collection of one or more ``programs'' or
``microprograms'' fixed in any tangible medium of expression.
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Source code (or source language). (Cat 1, 4, 5P2, 6, 7, and 9)--A
convenient expression of one or more processes that may be turned by a
programming system into equipment executable form (``object code'' (or
object language)).
``Space-qualified''. (Cat 3, 6, and 7) Designed, manufactured, or
qualified through successful testing, for operation at altitudes greater
than 100 km above the surface of the Earth.
Note 1: A determination that a specific item is ``space-qualified''
by virtue of testing does not mean that other items in the same
production run or model series are ``space-qualified'' if not
individually tested.
Note 2: The terms 'designed' and 'manufactured' in this definition
are synonymous with ``specially designed.'' Thus, for example, an item
that is ``specially designed'' for a spacecraft is deemed to be
'designed' or 'manufactured' for operation at altitudes greater than 100
km and an item that is not ``specially designed'' for a spacecraft is
not deemed to have been so 'designed' or 'manufactured.'
Spacecraft. (Cat 9)--Active and passive satellites and space probes.
Spacecraft bus. (Cat 9) Equipment that provides the support
infrastructure of the ``spacecraft'' and location for the ``spacecraft
payload''.
Spacecraft payload. (Cat 9) Equipment, attached to the ``spacecraft
bus'', designed to perform a mission in space (e.g., communications,
observation, science).
Specially Designated National (SDN). Any person who is determined by
the Secretary of the Treasury to be a specially designated national for
any reason under regulations issued by the Office of Foreign Assets
Control (see 31 CFR parts 500 through 590).
Specially Designated Terrorist (SDT). Any person who is determined
by the Secretary of the Treasury to be a specially designated terrorist
under notices or regulations issued by the Office of Foreign Assets
Control (see 31 CFR chapter V).
Specially designed. When applying this definition, follow this
sequential analysis set forth below. (For additional guidance on the
order of review of ``specially designed,'' including how the review of
the term relates to the larger CCL, see supplement no. 4 to Part 774 of
the EAR--Commerce Control List Order of Review.)
(a) Except for items described in (b), an ``item'' is ``specially
designed'' if it:
(1) As a result of ``development'' has properties peculiarly
responsible for achieving or exceeding the performance levels,
characteristics, or functions in the relevant ECCN or U.S. Munitions
List (USML) paragraph; or
(2) Is a ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' for use in or with a commodity or defense article
`enumerated' or otherwise described on the CCL or the USML.
(b) A ``part,'' ``component,'' ``accessory,'' ``attachment,'' or
``software'' that would be controlled by paragraph (a) is not
``specially designed'' if it:
(1) Has been identified to be in an ECCN paragraph that does not
contain ``specially designed'' as a control parameter or as an EAR99
item in a commodity jurisdiction (CJ) determination or interagency-
cleared commodity classification (CCATS) pursuant to Sec. 748.3(e);
(2) Is, regardless of `form' or `fit,' a fastener (e.g., screw,
bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer, spacer,
insulator, grommet, bushing, spring, wire, solder;
(3) Has the same function, performance capabilities, and the same or
`equivalent' form and fit, as a commodity or software used in or with an
item that:
(i) Is or was in ``production'' (i.e., not in ``development''); and
(ii) Is either not `enumerated' on the CCL or USML, or is described
in an ECCN controlled only for Anti-Terrorism (AT) reasons;
(4) Was or is being developed with ``knowledge'' that it would be
for use in or with commodities or software (i) described in an ECCN and
(ii) also commodities or software either not `enumerated' on the CCL or
the USML (e.g., EAR99 commodities or software) or commodities or
software described in an ECCN controlled only for Anti-Terrorism (AT)
reasons;
(5) Was or is being developed as a general purpose commodity or
software, i.e., with no ``knowledge'' for use in or with a particular
commodity (e.g., an F/A-18 or HMMWV) or type of commodity (e.g., an
aircraft or machine tool); or
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(6) Was or is being developed with ``knowledge'' that it would be
for use in or with commodities or software described (i) in an ECCN
controlled for AT-only reasons and also EAR99 commodities or software;
or (ii) exclusively for use in or with EAR99 commodities or software.
Note 1: `Enumerated' refers to any item (i) on either the USML or
CCL not controlled in a `catch-all' paragraph and (ii) when on the CCL,
controlled by an ECCN for more than Anti-Terrorism (AT) reasons only. An
example of an `enumerated' ECCN is 2A226, which controls valves with the
following three characteristics: a ``nominal size'' of 5 mm or greater;
having a bellows seal; and wholly made of or lined with aluminum,
aluminum alloy, nickel, or nickel alloy containing more than 60% nickel
by weight. The CCL also contains notes excluding from control ``parts''
and ``components'' ``specially designed'' for uncontrolled items. Such
uncontrolled items are merely `described' and are not `enumerated.' Note
2 to ECCN 1A002 is an example of items excluded from control based on
being ``specially designed'' for a `described' item. Commodities or
software in an ECCN controlled only for AT reasons are other examples of
items `described' on the CCL. ECCN 2B996, which controls dimensional
inspection or measuring systems or equipment not controlled by 2B006, is
an example of a commodity `described' in an ECCN controlled only for AT
reasons. For purposes of ``specially designed,'' ECCNs 0B505.c, 0B999,
0D999, 1B999, 1C992, 1C995, 1C997, 1C999, 3A991, 4A994, 5A992 (except
for .z), 5D992 (except for .z), 6A998 (except for .b), and 9A991 are
treated as ECCNs controlled exclusively for AT reasons.
Note 2: A `catch-all' paragraph is one that does not refer to
specific types of ``parts,'' ``components,'' ``accessories,'' or
``attachments'' but rather controls non-specific ``parts,''
``components,'' ``accessories,'' or ``attachments'' because they were
``specially designed'' for an enumerated item. For example, ECCN
paragraph 9A610.x is a catch-all, because it controls ``parts,''
``components,'' ``accessories,'' and ``attachments'' ``specially
designed'' for military aircraft, but does not identify specific types
of ``parts,'' ``components,'' ``accessories,'' or ``attachments'' within
its control. Another example of a `catch-all' is the heading of 7A102,
which controls ``specially designed'' components for the gyros
enumerated in 7A102, but does not identify the specific types of
``components'' within its control.
Note to paragraph (a)(1): Items that as a result of ``development''
have properties peculiarly responsible for achieving or exceeding the
performance levels, `functions' or characteristics in a relevant ECCN
paragraph may have properties shared by different products. For example,
ECCN 1A007 controls equipment and devices, specially designed to
initiate charges and devices containing energetic materials, by
electrical means. An example of equipment not meeting the peculiarly
responsible standard under paragraph (a)(1) is a garage door opener,
that as a result of ``development'' has properties that enable the
garage door opener to send an encoded signal to another piece of
equipment to perform an action (i.e., the opening of a garage door). The
garage door opener is not ``specially designed'' for purposes of 1A007
because although the garage door opener could be used to send a signal
by electrical means to charges or devices containing energetic
materials, the garage door opener does not have properties peculiarly
responsible for achieving or exceeding the performance levels,
`functions' or characteristics in 1A007. For example, the garage door
opener is designed to only perform at a limited range and the level of
encoding is not as advanced as the encoding usually required in
equipment and devices used to initiate charges and devices containing
energetic materials, by electrical means. Conversely, another piece of
equipment that, as a result of ``development,'' has the properties
(e.g., sending a signal at a longer range, having signals with advanced
encoding to prevent interference, and having signals that are specific
to detonating blasting caps) needed for equipment used to initiate
charges and devices containing energetic materials, would be peculiarly
responsible because the equipment has a direct and proximate causal
relationship that is central or special for achieving or exceeding the
performance levels, `functions' or characteristics identified in 1A007.
Note 1 to paragraph (b)(3): Commodities in ``production'' that are
subsequently subject to ``development'' activities, such as those that
would result in enhancements or improvements only in the reliability or
maintainability of the commodity (e.g., an increased mean time between
failure (MTBF)), including those pertaining to quality improvements,
cost reductions, or feature enhancements, remain in ``production.''
However, any new models or versions of such commodities developed from
such efforts that change the basic performance or capability of the
commodity are in ``development'' until and unless they enter into
``production.''
Note 2 to paragraph (b)(3): With respect to a commodity,
`equivalent' means that its form has been modified solely for `fit'
purposes.
Note 3 to paragraph (b)(3): The `form' of a commodity is defined by
its configuration (including the geometrically measured configuration),
material, and material properties that uniquely characterize it. The
`fit'
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of a commodity is defined by its ability to physically interface or
interconnect with or become an integral part of another item. The
`function' of the item is the action or actions it is designed to
perform. `Performance capability' is the measure of a commodity's
effectiveness to perform a designated function in a given environment
(e.g., measured in terms of speed, durability, reliability, pressure,
accuracy, efficiency). For software, `form' means the design, logic
flow, and algorithms. `Fit' means the ability to interface or connect
with an item subject to the EAR. The `function' means the action or
actions it performs directly to an item subject to the EAR or as a
stand-alone application. `Performance capability' means the measure of
software's effectiveness to perform a designated function.
Note to paragraphs (b)(3) and (b)(4): ECCNs controlled for AT-only
reasons that use ``specially designed'' are eligible for paragraphs
(b)(3) and (b)(4). However, the criteria for release under (b)(3) or
(b)(4) must be met by another ECCN controlled for AT-only reasons or an
EAR99 item in addition to the AT-only ECCN being reviewed for release
from ``specially designed.'' For example, if a single gasket is used in
ECCN 9A990 tractors (9A990 includes a control on ``specially designed''
``parts'') and also pick-up trucks designated as EAR99 that are in
``production'', the single gasket would be released from ``specially
designed'' on the basis of paragraph (b)(3). Or if the single gasket is
or was used in 9A990 tractors and also 9A991.b aircraft (another AT-only
controlled ECCN), that are in ``production,'' the gasket would be
released from ``specially designed'' on the basis of paragraph (b)(3).
Alternatively, if the single gasket is or was only used in ECCN 9A990
tractors that are in ``production,'' then paragraph (b)(3) would not be
available. This same concept applies for paragraph (b)(4).
Note to paragraphs (b)(4), (b)(5) and (b)(6): For a commodity or
software to be not ``specially designed'' on the basis of paragraphs
(b)(4), (b)(5) or (b)(6), documents contemporaneous with its
``development,'' in their totality, must establish the elements of
paragraphs (b)(4), (b)(5) or (b)(6). Such documents may include concept
design information, marketing plans, declarations in patent
applications, or contracts. Absent such documents, the ``commodity'' may
not be excluded from being ``specially designed'' by paragraphs (b)(4),
(b)(5) or (b)(6).
``Specific modulus''. (Cat 1)--Young's modulus in pascals,
equivalent to N/m\2\, divided by specific weight in N/m\3\, measured at
a temperature of (296 2) K ((23 2) [deg]C) and a relative humidity of (50 5)%.
``Specific tensile strength''. (Cat 1)--Ultimate tensile strength in
pascals, equivalent to N/m\2\, divided by specific weight in N/m\3\,
measured at a temperature of (296 2) K ((23 2) [deg]C) and relative humidity of (50 5)%.
Spectral efficiency. (Cat 5)--A figure of merit parametrized to
characterize the efficiency of transmission system that uses complex
modulation schemes such as QAM (quadrature amplitude modulation),
Trellis coding, QSPK (Q-phased shift key), etc. It is defined as
follows:
[GRAPHIC] [TIFF OMITTED] TR25MR96.013
Spinning mass gyros. (Cat 7) ``Spinning mass gyros'' are gyros which
use a continually rotating mass to sense angular motion.
Spread spectrum. (Cat 5)--The technique whereby energy in a
relatively narrow-band communication channel is spread over a much wider
energy spectrum.
Spread spectrum radar. (Cat 6)--(see ``Radar spread spectrum'')
Stability (Cat 7) Standard deviation (1 sigma) of the variation of a
particular parameter from its calibrated value measured under stable
temperature conditions. This can be expressed as a function of time.
Note: For gyroscopes and accelerometers, ``stability'' can be
estimated by determining the Allan variance noise-analysis value at the
integration period (i.e., sample time) consistent with the stated
measurement period, which may include extrapolating the Allan variance
noise analysis beyond the instability point into the rate/acceleration
random walk or rate/acceleration ramp regions to an integration period
consistent with the stated measurement period (Reference: IEEE Std. 952-
1997 [R2008] or IEEE Std 1293-1998 [R2008]).
Standards-related activity. See Sec. 734.10 of the EAR.
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Steady state mode. (Cat 9) The term ``steady state mode'' defines
engine operation conditions, where the engine parameters, such as
thrust/power, rpm and others, have no appreciable fluctuations, when the
ambient air temperature and pressure at the engine inlet are constant.
Stored program controlled. (Cat 2, 3, and 5)--A control using
instructions stored in an electronic storage that a processor can
execute in order to direct the performance of predetermined functions.
Note: Equipment may be ``stored program controlled'' whether the
electronic storage is internal or external to the equipment.
Subgroup on Nuclear Export Coordination (SNEC). Chaired by the
Department of State, the SNEC primarily reviews applications involving
items controlled for nuclear nonproliferation (NP) reasons. The SNEC
also reviews applications involving items not controlled for NP reasons,
but destined for a country and/or end-use/end-user of NP concern.
Subject to the EAR. A term used in the EAR to describe those
commodities, software, technology, and activities over which the Bureau
of Industry and Security (BIS) exercises regulatory jurisdiction under
the EAR (See Sec. 734.2(a) of the EAR).
Subject to the ITAR. A term used in the EAR to describe those
commodities, software, technology (e.g., technical data) and defense
services over which the U.S. Department of State, Directorate of Defense
Trade Controls (DDTC) exercises regulatory jurisdiction under the
International Traffic in Arms Regulations (ITAR) (see 22 CFR parts 120
through 130).
``Sub-orbital craft''. (Cat 9) A craft having an enclosure designed
for the transport of people or cargo, which is designed to:
(1) Operate above the stratosphere;
(2) Perform a non-orbital trajectory; and
(3) Land back on Earth with the people or cargo intact.
Substrate. (Cat 3)--A sheet of base material with or without an
interconnection pattern and on which or within which ``discrete
components'' or integrated circuits or both can be located.
Note: ``Discrete component'': a separately packaged ``circuit
element'' with its own external connections.
Substrate blanks. (Cat 3 and 6)--Monolithic compounds with
dimensions suitable for the production of optical elements such as
mirrors or optical windows.
Super High Power Laser. (SHPL) (Cat 6)--A ``laser'' capable of
delivering (the total or any portion of) the output energy exceeding 1
kJ within 50 ms or having an average or CW power exceeding 20 kW.
Superalloy. (Cat 2 and 9) Nickel, cobalt, or iron base alloys having
a stress rupture life greater than 1,000 hours at 400 MPa and an
ultimate tensile strength greater than 850 MPa, at 922 K (649 [deg]C) or
higher.
Supercomputer. (734, 744) A computing ``system'' having a collective
maximum theoretical compute capacity of 100 or more double-precision
(64-bit) petaflops or 200 or more single-precision (32-bit) petaflops
within a 41,600 ft\3\ or smaller envelope.
Note 1 to ``Supercomputer'': The 41,600 ft\3\ envelope corresponds,
for example, to a 4x4x6.5 ft rack size and therefore 6,400 ft\2\ of
floor space. The envelope may include empty floor space between racks as
well as adjacent floors for multi-floor systems.
Note 2 to ``Supercomputer'': Typically, a 'supercomputer' is a high-
performance multi-rack system having thousands of closely coupled
compute cores connected in parallel with networking technology and
having a high peak power capacity requiring cooling elements. They are
used for computationally intensive tasks including scientific and
engineering work. Supercomputers may include shared memory, distributed
memory, or a combination of both.
Superconductive. (Cat 1, 3, 5P1, 6, and 8)--Materials, i.e., metals,
alloys, or compounds that can lose all electrical resistance, i.e., that
can attain infinite electrical conductivity and carry very large
electrical currents without Joule heating.
Note: The ``superconductive'' state of a material is individually
characterized by a ``critical temperature'', a critical magnetic field
that is a function of temperature, and a critical current density that
is a function of both magnetic field and temperature.
Superplastic forming. (Cat 1 and 2)--A deformation process using
heat for metals that are normally characterized
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by low elongation (less than 20%) at the breaking point as determined at
room temperature by conventional tensile strength testing, in order to
achieve elongations during processing that are at least 2 times those
values.
Symmetric algorithm. (Cat 5, Part II) A cryptographic algorithm
using an identical key for both encryption and decryption. A common use
of ``symmetric algorithms'' is confidentiality of data.
System. This is any combination of ``end items,'' ``equipment,''
``parts,'' ``components,'' ``accessories,'' ``attachments,'' firmware,
or ``software'' that operate together to perform a function.
Note: The industrial standards established by INCOSE and NASA
provide examples for when commodities and software operate together to
perform a function as a system. References to these standards are
included in this note to provide additional examples for when
commodities or software operate together to perform a function as a
system. See the INCOSE standards for what constitutes a system at
(http://g2sebok.incose.org/ app/mss/asset.cfm?ID=INCOSE%20G2SEBOK%202.
00&ST=F), and in the (INCOSE SE Handbook v3.1 2007; ISO/IEC 15288:2008).
Also see the NASA standards for examples of what constitutes a system in
the (NASA SE Handbook SP-2007-6105 Rev 1).
Technology. Technology means:
Information necessary for the ``development,'' ``production,''
``use,'' operation, installation, maintenance, repair, overhaul, or
refurbishing (or other terms specified in ECCNs on the CCL that control
``technology'') of an item.
N.B.: Controlled ``technology'' is defined in the General Technology
Note and in the Commerce Control List (supplement no. 1 to part 774 of
the EAR).
Note 1 to definition of Technology: ``Technology'' may be in any
tangible or intangible form, such as written or oral communications,
blueprints, drawings, photographs, plans, diagrams, models, formulae,
tables, engineering designs and specifications, computer-aided design
files, manuals or documentation, electronic media or information
revealed through visual inspection;
Note 2 to definition of Technology: The modification of the design
of an existing item creates a new item and technology for the modified
design is technology for the development or production of the new item.
Terminal interface equipment. (Cat 4)--Equipment at which
information enters or leaves the telecommunication systems, e.g.,
telephone, data device, computer, facsimile device.
``Three dimensional integrated circuit''. (Cat 3) A collection of
semiconductor dies or active device layers, integrated together, and
having through semiconductor via connections passing completely through
an interposer, substrate, die or layer to establish interconnections
between the device layers. An interposer is an interface that enables
electrical connections.
Tilting spindle. (Cat 2)--A tool-handling spindle that alters,
during the machining process, the angular position of its center line
with respect to any other axis.
Time constant. (Cat 6)--The time taken from the application of a
light stimulus for the current increment to reach a value of 1-1/e times
the final value (i.e., 63% of the final value).
``Tip shroud'' (Cat 9)--A stationary ring component (solid or
segmented) attached to the inner surface of the engine turbine casing or
a feature at the outer tip of the turbine blade, which primarily
provides a gas seal between the stationary and rotating components.
Total control of flight. (Cat 7) means an automated control of
``aircraft'' state variables and flight path to meet mission objectives
responding to real time changes in data regarding objectives, hazards or
other ``aircraft.''
Total digital transfer rate. (Cat 5)--The number of bits, including
line coding, overhead and so forth per unit time passing between
corresponding equipment in a digital transmission system. (See also
``digital transfer rate''.)
Toxins. (Cat 1 and 2) means toxins in the form of deliberately
isolated preparations or mixtures, no matter how produced, other than
toxins present as contaminants of other materials such as pathological
specimens, crops, foodstuffs or seed stocks of ``microorganisms.''
Transfer. A shipment, transmission, or release of items subject to
the EAR either within the United States or outside the United States.
For In-country transfer/Transfer (in-country), see Sec. 734.16 of the
EAR.
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Note to definition of Transfer: This definition of ``transfer'' does
not apply to Sec. 750.10 of the EAR or Supplement No. 8 to part 760 of
the EAR. The term ``transfer'' may also be included on licenses issued
by BIS. In that regard, the changes that can be made to a BIS license
are the non-material changes described in Sec. 750.7(c) of the EAR. Any
other change to a BIS license without authorization is a violation of
the EAR. See Sec. Sec. 750.7(c) and 764.2(e) of the EAR.
Tunable. (Cat 6)--The ability of a ``laser'' to produce a continuous
output at all wavelengths over a range of several ``laser'' transitions.
A line selectable ``laser'' produces discrete wavelengths within one
``laser'' transition and is not considered ``tunable''.
U.S. Person. (a) For purposes of Sec. Sec. 732.3(j), 736.2(b)(7),
740.21(e)(1), 744.6, 744.10, 744.11, 744.12, 744.13, 744.14, and
745.2(a)(1) of the EAR, the term U.S. person includes:
(1) Any individual who is a citizen of the United States, a
permanent resident alien of the United States, or a protected individual
as defined by 8 U.S.C. 1324b(a)(3);
(2) Any juridical person organized under the laws of the United
States or any jurisdiction within the United States, including foreign
branches; and
(3) Any person in the United States.
(b) See also Sec. Sec. 740.9, 740.14, and 740.21(f)(2) and parts
746 and 760 of the EAR for definitions of ``U.S. person'' that are
specific to those sections and parts.
U.S. subsidiary. As applied to encryption items, means
(a) A foreign branch of a U.S. company; or
(b) A foreign subsidiary or entity of a U.S. entity in which:
(1) The U.S. entity beneficially owns or controls (whether directly
or indirectly) 25 percent or more of the voting securities of the
foreign subsidiary or entity, if no other persons owns or controls
(whether directly or indirectly) an equal or larger percentage; or
(2) The foreign entity is operated by the U.S. entity pursuant to
the provisions of an exclusive management contract; or
(3) A majority of the members of the board of directors of the
foreign subsidiary or entity also are members of the comparable
governing body of the U.S. entity; or
(4) The U.S. entity has the authority to appoint the majority of the
members of the board of directors of the foreign subsidiary or entity;
or
(5) The U.S. entity has the authority to appoint the chief operating
officer of the foreign subsidiary or entity.
Ultimate consignee. The principal party in interest located abroad
who receives the exported or reexported items. The ultimate consignee is
not a forwarding agent or other intermediary, but may be the end-user.
Unidirectional positioning repeatability. (Cat 2) The smaller of
values R[uarr] and R[darr] (forward and backward), as defined by 3.21 of
ISO 230-2:2014 or national equivalents, of an individual machine tool
axis.
United Kingdom (or UK) airline. Any citizen of the United Kingdom
who is authorized by the Government of the United Kingdom to engage in
business as an airline. For purposes of this definition, a United
Kingdom citizen is:
(1) A natural person who is a citizen of the United Kingdom; or
(2) A partnership of which each member is such an individual; or
(3) A United Kingdom firm incorporated or otherwise organized under
the laws of the United Kingdom or any country or territory that
comprises the United Kingdom, having a total foreign stock interest not
greater than 40 percent, and having the Chairman or Acting Chairman and
at least two-thirds of the Directors thereof United Kingdom citizens.
United States. Unless otherwise stated, the 50 States, including
offshore areas within their jurisdiction pursuant to section 3 of the
Submerged Lands Act (43 U.S.C. 1311), the District of Columbia, Puerto
Rico, and all territories, dependencies, and possessions of the United
States, including foreign trade zones established pursuant to 19 U.S.C.
81A-81U, and also including the outer continental shelf, as defined in
section 2(a) of the Outer Continental Shelf Lands Act (43 U.S.C.
1331(a)).
United States airline. Any citizen of the United States who is
authorized by the U.S. Government to engage in business as an airline.
For purposes of this definition, a U.S. citizen is:
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(a) An individual who is a citizen of the United States or one of
its possessions; or
(b) A partnership of which each member is such an individual; or
(c) A corporation or association created or organized under the laws
of the United States, or of any State, Territory, or possession of the
United States, of which the president and two-thirds of the board of
directors and other managing officers thereof are such individuals and
in which at least 75 percent of the voting interest is owned or
controlled by persons who are citizens of the United States or of one of
its possessions.
``Unmanned aerial vehicle'' (``UAV''). (Cat 9) Any ``aircraft''
capable of initiating flight and sustaining controlled flight and
navigation without any human presence on board.
Note to definition of ``Unmanned aerial vehicle'' (``UAV''): For the
purposes of Sec. 744.3 of the EAR, unmanned air vehicles, which are the
same as ``unmanned aerial vehicles,'' include, but are not limited to,
cruise missiles, target drones and reconnaissance drones.
``Usable in'', ``usable for'', ``usable as'' or ``Capable of''.
(MTCR context)--Equipment, parts, components, materials or ``software''
which are suitable for a particular purpose. There is no need for the
equipment, parts, components, materials or ``software'' to have been
configured, modified or specified for the particular purpose. For
example, any military specification memory circuit would be ``capable
of'' operation in a guidance system.
Use. (All categories and General Technology Note)--Operation,
installation (including on-site installation), maintenance (checking),
repair, overhaul and refurbishing.
Note: If an ECCN specifies one or more of the six elements of
``use'' in the heading or control text, only those elements specified
are classified under that ECCN.
User-accessible programmability. (Cat 6)--The facility allowing a
user to insert, modify, or replace ``programs'' by means other than:
(a) A physical change in wiring or interconnections; or
(b) The setting of function controls including entry of parameters.
Utilization facility. (a) As defined by 10 CFR 110.2 of the Nuclear
Regulatory Commission Regulations, utilization facility means a nuclear
reactor, other than one that is a production facility, any of the
following major components of a nuclear reactor: Pressure vessels
designed to contain the core of a nuclear reactor, other than one that
is a production facility, and the following major components of a
nuclear reactor:
(1) Primary coolant pumps;
(2) Fuel charging or discharging machines; and
(3) Control rods.
(b) Utilization facility does not include the steam turbine
generator portion of a nuclear power plant.
Vacuum electronic devices (Cat 3) Electronic devices based on the
interaction of an electron beam with an electromagnetic wave propagating
in a vacuum circuit or interacting with radio-frequency vacuum cavity
resonators. ``Vacuum electronic devices'' include klystrons, travelling-
wave tubes, and their derivatives.
Vector Rate. (Cat 4)--See: ``Two dimensional Vector Rate''; ``Three
dimensional Vector Rate''.
Vulnerability disclosure. (Sec. 740.22, Cat 4) means the process of
identifying, reporting, or communicating a vulnerability to, or
analyzing a vulnerability with, individuals or organizations responsible
for conducting or coordinating remediation for the purpose of resolving
the vulnerability.
You. Any person, including a natural person, including a citizen of
the United States or any foreign country; any firm; any government,
government agency, government department, or government commission; any
labor union; any fraternal or social organization; and any other
association or organization whether or not organized for profit.
[61 FR 12925, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting Sec.
772.1, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
[[Page 351]]
PART 774_THE COMMERCE CONTROL LIST--Table of Contents
Sec.
774.1 Introduction.
774.2 [Reserved]
Supplement No. 1 to Part 774--The Commerce Control List
Supplement No. 2 to Part 774--General Technology and Software Notes
Supplement No. 3 to Part 774--Statement of Understanding
Supplement No. 4 to Part 774--Commerce Control List Order of Review
Supplement No. 5 to Part 774--Items Classified Under ECCNS 0A521, 0B521,
0C521, 0D521 and 0E521
Supplement No. 6 to Part 774--Sensitive List
Supplement No. 7 to Part 774--Very Sensitive List
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22
U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15 U.S.C. 1824; 50
U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001
Comp., p. 783.
Source: 61 FR 12937, Mar. 25, 1996, unless otherwise noted.
Sec. 774.1 Introduction.
(a) Scope of the control list. In this part, references to the EAR
are references to 15 CFR chapter VII, subchapter C. The Bureau of
Industry and Security (BIS) maintains the Commerce Control List (CCL)
that includes ``items''--i.e., ``commodities,'' ``software,'' and
``technology''--subject to the authority of BIS. The CCL does not
include items exclusively controlled for export by another department or
agency of the U.S. Government, though in instances where other agencies
administer controls over related items, entries in the CCL may contain a
reference to such controls. In addition, those items ``subject to the
EAR'' but not identified on the CCL are identified by the designator
``EAR99.'' See Sec. 734.2(a) of the EAR for items that are ``subject to
the EAR.'' EAR Part 738 contains an explanation of the organization of
the CCL and its relationship to the Country Chart.
(b) ECCN cross-references for items subject to exclusive
jurisdiction of another agency. (1) Prior to October 15, 2013, the CCL
contained certain ECCNs that were only included as cross references to
items subject to the export control regulations administered by the
Nuclear Regulatory Commission.
(2) ECCNs formerly listed on the CCL that, as of October 15, 2013
were subject to the export licensing authority of the Nuclear Regulatory
Commission at 10 CFR part 110 are: 0A001, 0B001, 0B002, 0B003, 0B004,
0B005, 0B006, 0C001, 0C002, 0C004, 0C005, 0C006, 0C201 and 1C012.
(3) The following multilateral export control regime reference is
provided, as an additional point of historical reference: 0C201--INFCIRC
254 Part 1, 5.3.1(b).
Note to paragraph (b): ECCNs 0D001 and 0E001 are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). These ECCNs are retained on
the CCL as cross references to the ITAR, although the former cross
references to export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110) for ECCN 0D001, and to the Department
of Energy (see 10 CFR part 810) for 0E001 were removed from the
Control(s) paragraph in the License Requirements section of these two
ECCNs and added as a more general jurisdictional cross reference in a
heading note added to these two ECCNs as of June 5, 2014.
(c) Where to find the CCL? The CCL is contained in supplement no. 1
to this part, and supplement no. 2 to this part contains the General
Technology and Software Notes relevant to entries contained in the CCL.
(d) Conventions related to the use of quotation marks on the CCL.
The use of double quotation marks on the CCL is intended to be an aid to
alert you to terms used on the CCL that are defined in part 772
(Definitions of Terms), or for purposes of ECCNs, where a definition is
provided in the ``related definitions'' paragraph in the License
Requirements section of ECCNs or sometimes in Notes and Technical Notes
for particular ECCNs and that definition is specific to that particular
ECCN. In this sense the quotes are helpful both in the use of single and
double quotes, but a good compliance practice is to familiarize yourself
with the defined terms in part 772, and when reviewing a control
parameter on the CCL that uses a term that is not in quotes to be aware
it may be defined in part 772. It is also a useful compliance practice
to review the ``Related Definitions'' paragraph and Notes and Technical
Notes
[[Page 352]]
to determine if the term is defined for purposes of a particular ECCN.
(1) Use of double quotes. If a term on the CCL uses double quotes it
means there is a defined term in part 772. However, the absence of
double quotes does not mean that a term used on the CCL is not defined
in part 772. Because the CCL includes many terms that are defined in
part 772, BIS's practice is to use double quotes for certain key terms
and to use double quotes when needed for consistency with multilateral
export control regime based entries, such as many derived from control
lists, in particular for the Wassenaar Arrangement that also uses the
double quotes convention. However, because of the large number of
defined terms used on the CCL and a desire to avoid hindering
readability by placing quotes around too many words used in particular
ECCNs, BIS's practice is to not add double quotes around certain terms,
such as items and commodities. This convention also applies to the use
of double quotes within the Definition of Terms section under part 772.
(2) Use of single quotes. The CCL also includes a convention
regarding the use of single quotes. Single quotes on the CCL identify a
term as a defined term in the context of a particular ECCN. This
convention also applies to the use of single quotes within the
Definition of Terms section under part 772.
(e) Chemicals identified by Chemical Abstracts Service (CAS) number.
In some instances chemicals are listed by name and CAS number. The list
applies to chemicals of the same structural formula (including hydrates)
regardless of name or CAS number. CAS numbers are shown to assist in
identifying a particular chemical or mixture, irrespective of
nomenclature. CAS numbers cannot be used as unique identifiers because
some forms of the listed chemical have different CAS numbers, and
mixtures containing a listed chemical may also have different CAS
numbers.
[78 FR 61903, Oct. 4, 2013, as amended at 79 FR 32627, June 5, 2014; 81
FR 64679, Sept. 20, 2016]
Sec. 774.2 [Reserved]
Sec. Supplement No. 1 to Part 774--The Commerce Control List
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,''
``Parts,'' ``Components,'' and ``Systems''
0A002 Power generating or propulsion equipment ``specially designed''
for use with space, marine or mobile ``nuclear reactors''.
(These items are ``subject to the ITAR.'' See 22 CFR parts 120
through 130.)
0A501 Firearms (except 0A502 shotguns, 0A506 semi-automatic rifles,
0A507 semi-automatic pistols, and 0A508 semi-automatic
shotguns) and related commodities (except semi-automatic
related commodities enumerated or otherwise described in ECCN
0A509 for ECCNs 0A506, 0A507, or 0A508) as follows (see List
of Items controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 0A501.y. NS Column 1
RS applies to entire entry except 0A501.y. RS Column 1
FC applies to entire entry except 0A501.y. FC Column 1
CC applies to entire entry except 0A501.y. CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirement Note: In addition to using the Commerce Country
Chart to determine license requirements, a license is required for
exports and reexports of ECCN 0A501.y.7 firearms to the People's
Republic of China.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 0A501.c, .d, and .x.
$500 for 0A501.c, .d, .e, and .x if the ultimate destination is Canada.
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in this entry.
List of Items Controlled
Related Controls: (1) See USML Category I for firearms that are fully
automatic, and certain related parts, components, accessories, and
attachments (including magazines with a capacity of greater than 50
[[Page 353]]
rounds). (2) See ECCN 0A506 for semi-automatic rifles. (3) See ECCN
0A507 for semi-automatic pistols. (4) See ECCN 0A508 for semi-automatic
shotguns and ECCN 0A502 for certain ``parts'' and ``components'' for
semi-automatic shotguns that are not controlled by 0A509.a or .c. (5)
See ECCN 0A509 for enumerated or otherwise described ``parts,''
``components,'' devices, ``accessories,'' and ``attachments'' for ECCNs
0A506, 0A507, and 0A508. (6) See .d, .x, and .y of this entry for other
``parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' for 0A506 and 0A507, or 0A508. (7) See ECCN 0A502
for non-automatic shotguns and their ``parts'' and ``components'' that
are subject to the EAR and for certain ``parts'' and ``components'' for
semi-automatic shotguns that are not controlled by 0A509.a or .c. (8)
See ECCN 0A504 and USML Category XII for controls on optical sighting
devices.
Related Definitions: N/A
Items:
a. Non-automatic and non-semi-automatic firearms equal to .50
caliber (12.7 mm) or less.
Note 1 to paragraph 0A501.a: 'Combination pistols' are controlled
under ECCN 0A501.a. A 'combination pistol' (a.k.a., a combination gun)
has at least one rifled barrel and at least one smoothbore barrel
(generally a shotgun style barrel).
Note 2 to paragraph 0A501.a: Semi-automatic firearms equal to .50
caliber (12.7 mm) or less are controlled under ECCNs 0A506 and 0A507.
Technical Note to 0A501.a: Firearms described in 0A501.a include
those chambered for the .50 BMG cartridge.
b. Non-automatic and non-semi-automatic rifles, carbines, revolvers
or pistols with a caliber greater than .50 inches (12.7 mm) but less
than or equal to .72 inches (18.0 mm).
c. The following types of ``parts'' and ``components'' if
``specially designed'' for a commodity controlled by paragraph .a or .b
of this entry or ECCNs 0A506 or 0A507, or USML Category I (unless
otherwise enumerated or elsewhere specified on the USML or controlled
under ECCN 0A509): Barrels, cylinders, barrel extensions, mounting
blocks (trunnions), bolts, bolt carriers, operating rods, gas pistons,
trigger housings, triggers, hammers/striker, sears, disconnectors,
pistol grips that contain fire control ``parts'' or ``components''
(e.g., triggers, hammers/striker, sears, disconnectors) and buttstocks
that contain fire control ``parts'' or ``components.''
Technical Note to 0A501.c: Barrel blanks that have reached a stage
in manufacturing in which they are either chambered or rifled are
controlled by 0A501.c.
d. Detachable magazines with a capacity of 17 to 50 rounds
``specially designed'' for a commodity controlled by paragraph .a or .b
of this entry or controlled by ECCNs 0A506 or 0A507.
Note 3 to paragraph 0A501.d: Magazines with a capacity of 16 rounds
or less are controlled under 0A501.x; for magazines with a capacity
greater than 50 rounds, see USML Category I.
e. Receivers (frames) and ``complete breech mechanisms,'' including
castings, forgings, stampings, or machined items thereof, ``specially
designed'' for a commodity controlled by paragraph .a or .b of this
entry.
Note 4 to 0A501.e: Frames (receivers) under 0A501.e refers to any
``part'' or ``component'' of the firearm that has or is customarily
marked with a serial number when required by law. This paragraph 0A501.e
is synonymous with a ``part'' or ``component'' that is regulated by the
Bureau of Alcohol, Tobacco, Firearms and Explosives (see 18 U.S.C.
921(a)(3); 27 CFR parts 447, 478, and 479,) as a firearm.
Note 5 to 0A501.e: Frames (receivers) ``specially designed'' for
semi-automatic firearms are controlled under ECCN 0A509.b or .c.
f. through w. [Reserved]
x. ``Parts'' and ``components'' that are ``specially designed'' for
a commodity classified under paragraphs .a through .c of this entry, a
commodity classified under ECCNs 0A506 or 0A507, or the USML and not
elsewhere specified on the USML or CCL or controlled under ECCN 0A509.
y. Specific ``parts,'' ``components,'' ``accessories'' and
``attachments'' ``specially designed'' for a commodity subject to
control in this ECCN, ECCNs 0A506, 0A507, or common to a defense article
in USML Category I and not elsewhere specified in the USML or CCL as
follows, and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor.
y.1. Stocks (including adjustable, collapsible, blades and braces),
grips, handguards, or forends, that do not contain any fire control
``parts'' or ``components'' (e.g., triggers, hammers/striker, sears,
disconnectors);
y.2 to y.5. [Reserved]
y.6. Bayonets; and
y.7. Firearms manufactured from 1890 to 1898 and reproductions
thereof.
Technical Note 1 to 0A501: ECCN 0A501 includes ``parts'' and
``components'' that are not ``subject to the ITAR'' even though they are
common to firearms described in ECCN 0A501 and to those firearms
``subject to the ITAR.''
Technical Note 2 to 0A501: A receiver with any other controlled
``part'' or ``component'' (e.g., a barrel (0A501.c), or trigger guard
(0A501.x), or stock (0A501.y.1)) is still controlled under 0A501.e.
Note 6 to 0A501: Antique firearms i.e., those manufactured before
1890) and reproductions thereof, muzzle loading and black powder
firearms except those designs based on centerfire weapons of a post 1937
design, BB guns, pellet rifles, paint ball, and all other air rifles are
EAR99 commodities.
[[Page 354]]
Note 7 to 0A501: Muzzle loading and black powder firearms with a
caliber less than 20 mm that were manufactured post 1937 that are used
for hunting or sporting purposes that were not ``specially designed''
for military use and are not described on the USML nor controlled as
shotguns under ECCN 0A502 are EAR99 commodities.
Note 8 to 0A501: Scope mounts or accessory rails, iron sights, sling
swivels, and butt plates or recoil pads that are subject to the EAR are
designated as EAR99. These commodities have been determined to no longer
warrant being ``specially designed'' for purposes of ECCN 0A501.
Note 9 to 0A501: A kit, including a replacement or repair kit, of
firearms ``parts'' or ``components'' customarily sold and exported
together takes on the classification of the most restrictive ``part'' or
``component'' that is included in the kit. For example, a kit containing
0A501.y and .x ``parts,'' is controlled as a 0A501.x kit because the .x
``part'' is the most restrictive ``part'' included in the kit. A
complete 0A501 firearm disassembled in a kit form is controlled as a
firearm under 0A501.a, .b, or .y.7.
0A502 Shotguns; shotguns ``parts'' and ``components,'' consisting of
complete trigger mechanisms; magazines and magazine extension
tubes; ``complete breech mechanisms;'' except: semi-automatic
shotguns controlled under ECCN 0A508; certain ``parts,''
components,'' devices, ``accessories,'' and ``attachments''
for semi-automatic shotguns controlled under ECCN 0A509;
equipment used to slaughter domestic animals or used
exclusively to treat or tranquilize animals; and arms designed
solely for signal, flare, or saluting use.
License Requirements
Reason for Control: RS, FC, CC, UN, AT, NS
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to shotguns with a barrel NS Column 1
length less than 18 inches (45.72 cm).
RS applies to shotguns with a barrel RS Column 1
length less than 18 inches (45.72 cm).
FC applies to entire entry................ FC Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
AT applies to shotguns with a barrel AT Column 1
length less than 18 inches (45.72 cm).
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 0A502 shotgun ``parts'' and ``components,'' consisting of
complete trigger mechanisms; magazines and magazine extension tubes.
$500 for 0A502 shotgun ``parts'' and ``components,'' consisting of
complete trigger mechanisms; magazines and magazine extension tubes,
``complete breech mechanisms'' if the ultimate destination is Canada.
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category I for shotguns that are fully
automatic. (2) See ECCN 0A508 for semi-automatic shotguns. (3) See ECCN
0A509 for enumerated or otherwise described ``parts,'' ``components,''
devices, ``accessories,'' and ``attachments'' for ECCN 0A508. (4) See
0A501.d, .x, and .y for other ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' for 0A508.
(5) See ECCNs 0A501 for non-semi-automatic firearms, 0A506 for semi-
automatic rifles, and 0A507 for semi-automatic pistols.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note 1 to 0A502: Shotguns made in or before 1898 are considered
antique shotguns and designated as EAR99.
Technical Note: Non-automatic and non-semi-automatic shot pistols or
shotguns that have had the shoulder stock removed and a pistol grip
attached are controlled by ECCN 0A502. Non-automatic and non-semi-
automatic slug guns are also controlled under ECCN 0A502.
0A503 Discharge type arms; non-lethal or less-lethal grenades and
projectiles, and ``specially designed'' ``parts'' and
``components'' of those projectiles; and devices to administer
electric shock, for example, stun guns, shock batons, shock
shields, electric cattle prods, immobilization guns and
projectiles; except equipment used to slaughter domestic
animals or used exclusively to treat or tranquilize animals,
and except arms designed solely for signal, flare, or saluting
use; and ``specially designed'' ``parts'' and ``components,''
n.e.s.
License Requirements
Reason for Control: CC, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ A license is required for
ALL destinations, except
Canada, regardless of end
use. Accordingly, a column
specific to this control
does not appear on the
Commerce Country Chart.
(See part 742 of the EAR
for additional information)
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
[[Page 355]]
List of Items Controlled
Related Controls: Law enforcement restraint devices that administer an
electric shock are controlled under ECCN 0A982. Electronic devices that
monitor and report a person's location to enforce restrictions on
movement for law enforcement or penal reasons are controlled under ECCN
3A981.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0A504 Optical sighting devices for firearms (including shotguns
controlled by 0A502); and ``components'' as follows (see List
of Items Controlled).
License Requirements
Reason for Control: FC, RS, CC, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to paragraph .i................ RS Column 1
FC applies to paragraphs .a, .b, .c, .d, FC Column 1
.e, .g, and .i of this entry.
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 0A504.g.
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(c) for sighting devices
using second generation image intensifier tubes having luminous
sensitivity greater than 350 [micro]A/lm, or third generation or higher
image intensifier tubes, that are ``subject to the ITAR.'' (2) See USML
Category XII(b) for laser aiming or laser illumination systems ``subject
to the ITAR.'' (3) Section 744.9 of the EAR imposes a license
requirement on certain commodities described in 0A504 if being exported,
reexported, or transferred (in-country) for use by a military end user
or for incorporation into an item controlled by ECCN 0A919.
Related Definitions: N/A
Items:
a. Telescopic sights.
b. Holographic sights.
c. Reflex or ``red dot'' sights.
d. Reticle sights.
e. Other sighting devices that contain optical elements.
f. Laser aiming devices or laser illuminators ``specially designed''
for use on firearms, and having an operational wavelength exceeding 400
nm but not exceeding 710 nm.
Note 1 to 0A504.f: 0A504.f does not control laser boresighting
devices that must be placed in the bore or chamber to provide a
reference for aligning the firearms sights.
g. Lenses, other optical elements and adjustment mechanisms for
articles in paragraphs .a, .b, .c, .d, .e, or .i.
h. [Reserved]
i. Riflescopes that were not ``subject to the EAR'' as of March 8,
2020 and are ``specially designed'' for use in firearms that are
``subject to the ITAR.''
Note 2 to paragraph i: For purpose of the application of ``specially
designed'' for the riflescopes controlled under 0A504.i, paragraph
(a)(1) of the definition of ``specially designed'' in Sec. 772.1 of the
EAR is what is used to determine whether the riflescope is ``specially
designed.''
0A505 Ammunition as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to 0A505.a and .x.............. NS Column 1
RS applies to 0A505.a and .x.............. RS Column 1
FC applies to entire entry except 0A505.d. FC Column 1
CC applies to 0A505.a, .b, and .x......... CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to 0A505.a, .d, and .x......... AT Column 1
AT applies to 0A505.c..................... A license is required for
items controlled by
paragraph .c of this entry
to North Korea for anti-
terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT licensing requirements
for this entry. See Sec.
742.19 of the EAR for
additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for items in 0A505.x, except $3,000 for items in 0A505.x that,
immediately prior to March 9, 2020, were classified under 0A018.b.
(i.e., ``Specially designed'' components and parts for ammunition,
except cartridge cases, powder bags, bullets, jackets, cores, shells,
projectiles, boosters, fuses and components, primers, and other
detonating devices and ammunition belting and linking machines (all of
which are ``subject to the ITAR''). (See 22 CFR parts 120 through 130))
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0A505.
List of Items Controlled
Related Controls: (1) See USML Category III for ammunition for modern
heavy weapons
[[Page 356]]
such as howitzers, artillery, cannon, mortars and recoilless rifles as
well as inherently military ammunition types such as ammunition
preassembled into links or belts, caseless ammunition, tracer
ammunition, ammunition with a depleted uranium projectile or a
projectile with a hardened tip or core and ammunition with an explosive
projectile. (2) Percussion caps, and lead balls and bullets, for use
with muzzle-loading firearms are EAR99 items. (3) See USML Category III
for shotgun projectiles that are flechettes, incendiary, tracer, or
explosive.
Related Definitions: 'Marking rounds' are non-lethal, typically used for
training purposes, and contain a dye or paint in a capsule that is not a
chemical irritant.
Items:
a. Ammunition for firearms controlled by ECCNs 0A501, 0A506, or
0A507 or USML Category I and not enumerated in paragraph .b, .c, or .d
of this entry or described in USML Category III.
b. Buckshot (No. 4 .24[sec] diameter and larger, any material)
shotgun shells and shotgun shells that contain only buckshot, or are for
the dispersion of chemical irritants.
c. Shotgun shells (including less than lethal rounds) that do not
contain buckshot; and ``specially designed'' ``parts'' and
``components'' of shotgun shells.
d. Blank ammunition for firearms controlled by ECCNs 0A501, 0A502,
0A506, 0A507, or 0A508 and not described in USML Category III.
Technical Note to 0A505.d: Includes 'marking rounds' that have
paint/dye as the projectile.
e. through w. [Reserved]
x. ``Parts'' and ``components'' that are ``specially designed'' for
a commodity subject to control in this ECCN or a defense article in USML
Category III and not elsewhere specified on the USML or the CCL.
Note 1 to 0A505.x: The controls on ``parts'' and ``components'' in
this entry include Berdan and boxer primers, metallic cartridge cases,
and standard metallic projectiles such as full metal jacket, lead core,
copper projectiles, and frangible projectiles.
Note 2 to 0A505: Metal shot smaller than No. 4 Buckshot, empty and
unprimed shotgun shells, shotgun wads, smokeless gunpowder, 'dummy
rounds' and 'drill rounds' (unless linked or belted), not incorporating
a lethal or non-lethal projectile(s) are designated EAR99. A 'dummy
round' or 'drill round' is a round that is completely inert, (i.e.,
contains no primer, propellant, or explosive charge). It is typically
used to check weapon function and for crew training.
Note 3 to 0A505: Shotgun shells that contain two or more balls/shot
larger than .24-inch are controlled under 0A505.b.
0A506 Semi-Automatic Rifles as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
FC applies to entire entry................ FC Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0A506.
List of Items Controlled
Related Controls: (1) See USML Category I for firearms that are fully
automatic, and magazines with a capacity of greater than 50 rounds. (2)
See ECCN 0A507 for semi-automatic pistols, excluding pistols built with,
e.g., AR- or AK-style receivers (frames), which are controlled under
ECCN 0A506. (3) See ECCN 0A508 for semi-automatic shotguns and ECCN
0A502 for certain ``parts'' and ``components'' for semi-automatic
shotguns that are not controlled by 0A509.a or .c. (4) See ECCN 0A509
for enumerated or otherwise described ``parts,'' ``components,''
devices, ``accessories,'' and ``attachments'' for ECCNs 0A506, 0A507,
and 0A508. (5) See 0A501.c, .d, .x, and .y for other ``parts,''
``components,'' ``accessories,'' and ``attachments'' ``specially
designed'' for 0A506 and 0A507, or 0A508. (6) See ECCN 0A501 for non-
semi-automatic firearms (except 0A502 shotguns) and related commodities
that are subject to the EAR. (7) See ECCN 0A502 for non-automatic
shotguns and their ``parts'' and ``components'' that are subject to the
EAR and certain ``parts'' and ``components'' for semi-automatic shotguns
that are not controlled by 0A509.a or .c. (8) See ECCN 0A504 and USML
Category XII for controls on optical sighting devices.
Related Definitions: N/A
Items:
a. Semi-automatic centerfire (non-rimfire) rifles equal to .50
caliber (12.7 mm) or less that has any one of the following:
a.1. ability to accept a detachable large capacity magazine (more
than 10 rounds); or may be easily modified to do so;
a.2. folding or telescoping stock;
a.3. separate pistol grips;
a.4. ability to accept a bayonet;
a.5. a flash suppressor; or
a.6. bipods.
b. Semi-automatic rifles equal to .50 caliber (12.7 mm) or less,
including all non-centerfire (rimfire), n.e.s.
[[Page 357]]
Note 1 to 0A506.a and .b: ``Parts'' and ``components'' that are
``specially designed'' for a commodity classified under .a or .b of this
entry, except those controlled under ECCN 0A509, are controlled under
ECCN 0A501.c, .d, .x, or .y.
Technical Note 1 to 0A506: Firearms described in 0A506 include those
chambered for the .50 BMG cartridge.
Technical Note 2 to 0A506: Firearms described in 0A506 include
pistols built with, e.g., AR- or AK-style receivers (frames).
0A507 Semi-Automatic Pistols as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
FC applies to entire entry................ FC Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0A507.
List of Items Controlled
Related Controls: (1) See USML Category I for firearms that are fully
automatic, and magazines with a capacity of greater than 50 rounds. (2)
See ECCN 0A506 for semi-automatic rifles. (3) See ECCN 0A508 for semi-
automatic shotguns and ECCN 0A502 for certain ``parts'' and
``components'' for semi-automatic shotguns that are not controlled by
0A509.a or .c. (4) See ECCN 0A509 for enumerated or otherwise described
``parts,'' ``components,'' devices, ``accessories,'' and ``attachments''
for ECCNs 0A506, 0A507, and 0A508. (5) See ECCN 0A501.c, .d, .x, and .y
for other ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for 0A506 and 0A507, or 0A508.
(6) See ECCN 0A501 for non-semi-automatic firearms (except 0A502
shotguns) and related commodities that are subject to the EAR. (7) See
ECCN 0A502 for non-automatic shotguns and their ``parts'' and
``components'' that are subject to the EAR and certain ``parts'' and
``components'' for semi-automatic shotguns that are not controlled by
0A509.a or .c. (8) See ECCN 0A504 and USML Category XII for controls on
optical sighting devices.
Related Definitions: N/A
Items:
a. Semi-automatic centerfire (non-rimfire) pistols equal to .50
caliber (12.7 mm) or less.
b. Semi-automatic rimfire pistols equal to .50 caliber (12.7 mm) or
less.
Note 1 to 0A507.a and .b: ``Parts'' and ``components'' that are
``specially designed'' for a commodity classified under .a or .b of this
entry, except those controlled under ECCN 0A509, are controlled under
ECCN 0A501.c, .d, .x, or .y.
Technical Note to 0A507: Firearms described in 0A507 includes those
chambered for the .50 BMG cartridge, including revolvers, or that may be
developed to fire .50 BMG cartridges.
0A508 Semi-Automatic Shotguns as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to semi-automatic shotguns with NS Column 1
a barrel length less than 18 inches
(45.72 cm).
RS applies to semi-automatic shotguns with RS Column 1
a barrel length less than 18 inches
(45.72 cm).
FC applies to entire entry................ FC Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to semi-automatic shotguns with AT Column 1
a barrel length less than 18 inches
(45.72 cm).
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0A508.
List of Items Controlled
Related Controls: (1) See USML Category I for shotguns that are fully
automatic. (2) See ECCN 0A502 for non-semi-automatic shotguns. (3) See
ECCN 0A509 for enumerated or otherwise described ``parts,''
``components,'' devices, ``accessories,'' and ``attachments'' for ECCN
0A508. (4) See 0A501.d, .x, and .y for other ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' for 0A508.
(5) See ECCNs 0A501 for non-semi-automatic firearms, 0A506 for semi-
automatic rifles, and 0A507 for semi-automatic pistols.
Related Definitions: N/A
Items:
a. Semi-automatic centerfire (non-rimfire) shotguns with any one of
the following:
a.1. folding, telescoping, or collapsible stock;
a.2. a flash suppressor;
a.3. a magazine over five rounds;
a.4. a drum magazine;
[[Page 358]]
a.5. Excessive Weight (greater than 10 lbs for 12 gauge or smaller);
or
a.6. Excessive Bulk (greater than 3 inches in width and/or greater
than 4 inches in depth).
b. Semi-automatic shotguns, including all non-centerfire (rimfire),
n.e.s.
0A509 Certain ``parts,'' ``components,'' devices, ``accessories,'' and
``attachments'' for items controlled under ECCNs 0A506, 0A507,
and 0A508 as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, FC, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
FC applies to entire entry................ FC Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0A509.
List of Items Controlled
Related Controls: (1) See USML Category I for firearms that are fully
automatic, and magazines with a capacity of greater than 50 rounds. (2)
See ECCN 0A506 for semi-automatic rifles. (3) See ECCN 0A507 for semi-
automatic pistols. (4) See ECCN 0A508 for semi-automatic shotguns and
ECCN 0A502 for certain ``parts'' and ``components'' for semi-automatic
shotguns that are not controlled by .a or .c of this entry. (5) See ECCN
0A501.c, .d, .x, and .y for other ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' for 0A506
and 0A507, or 0A508. (6) See ECCN 0A501 for non-semi-automatic firearms
(except 0A502 shotguns) and related commodities that are subject to the
EAR. (7) See ECCN 0A502 for non-automatic shotguns and their ``parts''
and ``components'' that are subject to the EAR and certain ``parts'' and
``components'' for semi-automatic shotguns that are not controlled by .a
or .c of this entry. (8) See ECCN 0A504 and USML Category XII for
controls on optical sighting devices. (9) See USML Category I for
similar items.
Related Definitions: N/A
Items:
a. Any ``part,'' ``component,'' device, ``attachment,'' or
``accessory'' not elsewhere specified on the USML that is designed or
functions to convert a non-semi-automatic firearm controlled by 0A501 or
0A502 to semi-automatic or to accelerate the rate of fire of a semi-
automatic firearm controlled by 0A506, 0A507, or 0A508.
b. Receivers (frames), including castings, forgings, stampings, or
machined items thereof, ``specially designed'' for an item controlled by
ECCN 0A506.
c. Receivers (frames), including castings, forgings, stampings, or
machined items thereof, ``specially designed'' for an item controlled by
ECCN 0A507.
d. Receivers (frames) and ``specially designed'' ``complete breech
mechanisms'' for a commodity controlled by ECCN 0A508.
Note 1 to 0A509.b and .c: Receivers (frames) under 0A509.b and .c
refers to any ``part'' or ``component'' of the firearm that has or is
customarily marked with a serial number when required by law. Paragraph
0A509.b and .c are synonymous with a ``part'' or ``component'' that is
regulated by the Bureau of Alcohol, Tobacco, Firearms and Explosives
(see 18 U.S.C. 921(a)(3); 27 CFR parts 447, 478, and 479,) as a firearm.
0A521 Any commodity subject to the EAR that is not listed elsewhere in
the CCL, but which is controlled for export because it
provides at least a significant military or intelligence
advantage to the United States or for foreign policy reasons.
0A521 commodities are subject to RS1 controls with no license
exception eligibility other than License Exception GOV for U.S.
Government personnel and agencies under Sec. 740.11(b)(2)(ii) of the
EAR, or an item-specific license exception identified in Supplement No.
5 to part 774 particular to an item covered under ECCN 0A521. The list
of commodities determined to be classified under ECCN 0A521 controls is
published in Supplement No. 5 to part 774. The license requirements and
licensing policy relating to ECCN 0A521 are set forth in Sec.
742.6(a)(8) of the EAR.
0A602 Guns and Armament as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: N/A
Special Conditions for STA
[[Page 359]]
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0A602.
List of Items Controlled
Related Controls: (1) Modern heavy weapons such as howitzers, artillery,
cannon, mortars, and recoilless rifles are ``subject to the ITAR.'' (2)
See ECCN 0A919 for foreign-made ``military commodities'' that
incorporate more than a de minimis amount of U.S.-origin ``600 series''
items. (3) See ECCN 0A606 for engines that are ``specially designed''
for a self-propelled gun or howitzer subject to control under paragraph
.a of this ECCN or USML Category VII.
Related Definitions: N/A
Items:
a. Guns and armament manufactured between 1890 and 1919.
b. Military flame throwers with an effective range less than 20
meters.
c. through w. [Reserved]
x. ``Parts'' and ``components'' that are ``specially designed'' for
a commodity subject to control in paragraphs .a or .b of this ECCN or a
defense article in USML Category II and not elsewhere specified on the
USML or the CCL.
Note 1 to 0A602.x: Engines that are ``specially designed'' for a
self-propelled gun or howitzer subject to control under paragraph .a of
this ECCN or a defense article in USML Category VII are controlled under
ECCN 0A606.x.
Note 2 to 0A602: ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' specified in USML subcategory II(j) are subject to the
controls of that paragraph.
Note 3 to 0A602: Black powder guns and armament manufactured in or
prior to 1890 and replicas thereof designed for use with black powder
propellants are designated EAR99.
0A604 Commodities related to military explosive devices and charges (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in this ECCN 0A604.
List of Items Controlled
Related Controls: (1) Torpedoes, bombs, and mines are ``subject to the
ITAR'' (see 22 CFR Sec. 121.1, USML Category IV). (2) Smoke bombs, non-
irritant smoke flares, canisters, grenades and charges, and other
pyrotechnical articles having both military and commercial applications
are controlled by ECCN 1A984. (3) Certain explosive detonator firing
sets, electrically driven explosive detonators, and detonators and
multipoint initiation systems are controlled by ECCN 1A007 or ECCN
3A232. (4) See ECCN 0A919 for foreign-made ``military commodities'' that
incorporate more than a de minimis amount of U.S.-origin ``600 series''
controlled content.
Related Definitions: N/A
Items: a. Demolition blocks, and detonators designed, modified, or
adapted therefor.
b. Military explosive excavating devices.
Note to 0A604.a and .b: This entry does not control the detonators
and other items described in ECCN 1A007 or ECCN 3A232.
c. Smoke hand grenades and stun hand grenades (e.g., ``flashbangs'')
not controlled by ECCN 1A984.
d. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity subject to control in
paragraphs .a through .c of this ECCN, or for a defense article
controlled under USML Category IV, and not specified elsewhere on the
USML.
Note to 0A604.x: ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' specified in USML Category IV(h) are subject to the
controls of that paragraph
0A606 Ground vehicles and related commodities, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0A606.b NS Column 1
and .y.
NS applies to 0A606.b..................... NS Column 2
RS applies to entire entry, except 0A606.b RS Column 1
and .y.
RS applies to 0A606.b..................... RS Column 2
RS applies to 0A606.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7))
AT applies to entire entry................ AT Column 1
UN applies to entire entry, except 0A606.y See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec. 740.20(c)(1)
of the EAR) may not
[[Page 360]]
be used for any item in 0A606.a, unless determined by BIS to be eligible
for License Exception STA in accordance with Sec. 740.20(g) (License
Exception STA eligibility requests for 9x515 and ``600 series'' items).
(2) Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of the
EAR) may not be used for any item in 0A606.
List of Items Controlled
Related Controls: (1) The ground vehicles, other articles, technical
data (including software) and services described in 22 CFR part 121,
Category VII are subject to the jurisdiction of the International
Traffic in Arms Regulations. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis amount
of U.S.-origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. Ground vehicles, whether manned or unmanned, ``specially
designed'' for a military use and not enumerated or otherwise described
in USML Category VII.
Note 1 to paragraph a: For purposes of paragraph a, ``ground
vehicles'' include (i) tanks and armored vehicles manufactured prior to
1956 that have not been modified since 1955 and that do not contain a
functional weapon or a weapon capable of becoming functional through
repair; (ii) military railway trains except those that are armed or are
``specially designed'' to launch missiles; (iii) unarmored military
recovery and other support vehicles; (iv) unarmored, unarmed vehicles
with mounts or hard points for firearms of .50 caliber or less; and (v)
trailers ``specially designed'' for use with other ground vehicles
enumerated in USML Category VII or ECCN 0A606.a, and not separately
enumerated or otherwise described in USML Category VII. For purposes of
this note, the term ``modified'' does not include incorporation of
safety features required by law, cosmetic changes (e.g., different paint
or repositioning of bolt holes) or addition of ``parts'' or
``components'' available prior to 1956.
Note 2 to paragraph a: A ground vehicle's being ``specially
designed'' for military use for purposes of determining controls under
paragraph .a. entails a structural, electrical or mechanical feature
involving one or more ``components'' that are ``specially designed'' for
military use. Such ``components'' include:
a. Pneumatic tire casings of a kind ``specially designed'' to be
bullet-proof;
b. Armored protection of vital ``parts'' (e.g., fuel tanks or
vehicle cabs);
c. Special reinforcements or mountings for weapons;
d. Black-out lighting.
b. Other ground vehicles, ``parts'' and ``components,'' as follows:
b.1. Unarmed vehicles that are derived from civilian vehicles and
that have all of the following:
b.1.a. Manufactured or fitted with materials or ``components'' other
than reactive or electromagnetic armor to provide ballistic protection
equal to or better than level III (National Institute of Justice
standard 0108.01, September 1985) or ``equivalent standards'';
b.1.b. A transmission to provide drive to both front and rear wheels
simultaneously, including those for vehicles having additional wheels
for load bearing purposes whether driven or not;
b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg; and
b.1.d. Designed or modified for off-road use.
b.2. ``Parts'' and ``components'' having all of the following:
b.2.a. ``Specially designed'' for vehicles specified in paragraph
.b.1 of this entry; and
b.2.b. Providing ballistic protection equal to or better than level
III (National Institute of Justice standard 0108.01, September 1985) or
``equivalent standards''.
Note 1 to paragraph b: Ground vehicles otherwise controlled by
0A606.b.1 that contain reactive or electromagnetic armor are subject to
the controls of USML Category VII.
Note 2 to paragraph b: ECCN 0A606.b.1 does not control civilian
vehicles ``specially designed'' for transporting money or valuables.
Note 3 to paragraph b: ``Unarmed'' means not having installed
weapons, installed mountings for weapons, or special reinforcements for
mounts for weapons.
c. Air-cooled diesel engines and engine blocks for armored vehicles
that weigh more than 40 tons.
d. Fully automatic continuously variable transmissions for tracked
combat vehicles.
e. Deep water fording kits ``specially designed'' for ground
vehicles controlled by ECCN 0A606.a or USML Category VII.
f. Self-launching bridge ``components'' not enumerated in USML
Category VII(g) ``specially designed'' for deployment by ground vehicles
enumerated in USML Category VII or this ECCN.
g. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity enumerated or otherwise
described in ECCN 0A606 (other than 0A606.b or 0A606.y) or a defense
article enumerated in USML Category VII and not elsewhere specified on
the USML or in 0A606.y.
Note 1: Forgings, castings, and other unfinished products, such as
extrusions and machined bodies, that have reached a stage in manufacture
where they are clearly identifiable by mechanical properties, material
composition, geometry, or function as commodities controlled by ECCN
0A606.x are controlled by ECCN 0A606.x.
Note 2: ``Parts,'' ``components,'' ``accessories'' and
``attachments'' enumerated in USML paragraph VII(g) are subject to the
controls of that
[[Page 361]]
paragraph. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' described in ECCN 0A606.y are subject to the controls of
that paragraph.
y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity enumerated or
otherwise described in this ECCN (other than ECCN 0A606.b) or for a
defense article in USML Category VII and not elsewhere specified on the
USML or the CCL, as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefor:
y.1. Brake discs, rotors, drums, calipers, cylinders, pads, shoes,
lines, hoses, vacuum boosters, and parts therefor;
y.2. Alternators and generators;
y.3. Axles;
y.4. Batteries;
y.5. Bearings (e.g., ball, roller, wheel);
y.6. Cables, cable assembles, and connectors;
y.7. Cooling system hoses;
y.8. Hydraulic, fuel, oil, and air filters, not controlled by ECCN
1A004;
y.9. Gaskets and o-rings;
y.10. Hydraulic system hoses, fittings, couplings, adapters, and
valves;
y.11. Latches and hinges;
y.12. Lighting systems, fuses, and ``components;''
y.13. Pneumatic hoses, fittings, adapters, couplings, and valves;
y.14. Seats, seat assemblies, seat supports, and harnesses;
y.15 Tires, except run flat; and
y.16 Windows, except those for armored vehicles.
0A614 Military training ``equipment,'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)) of
the EAR may not be used for any item in 0A614.
List of Items Controlled
Related Controls: (1) Defense articles that are enumerated or otherwise
described in USML Category IX and ``technical data'' (including
``software'') directly related thereto are ``subject to the ITAR''. (2)
See ECCN 0A919 for foreign-made ``military commodities'' that
incorporate more than a de minimis of US-origin ``600 series'' items.
(3) ``Parts,'' ``components,'' ``accessories'' and ``attachments'' that
are common to a simulator controlled by ECCN 0A614.a and to a simulated
system or an end item that is controlled on the USML or elsewhere on the
CCL are controlled under the same USML Category or ECCN as the
``parts,'' ``components,'' ``accessories'' and ``attachments'' of the
simulated system or end item.
Related Definitions: N/A
Items: a. ``Equipment'' ``specially designed'' for military training
that is not enumerated or otherwise described in USML Category IX.
Note 1 to 0A614: This entry includes operational flight trainers,
radar target trainers, flight simulators for aircraft classified under
ECCN 9A610.a, human-rated centrifuges, radar trainers for radars
classified under ECCN 3A611, instrument flight trainers for military
aircraft, navigation trainers for military items, target equipment,
armament trainers, military pilotless aircraft trainers, mobile training
units and training ``equipment'' for ground military operations.
Note 2 to 0A614: This entry does not apply to ``equipment''
``specially designed'' for training in the use of hunting or sporting
weapons.
b. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' ``attachments'' that
are ``specially designed'' for a commodity controlled by this entry or
an article enumerated or otherwise described in USML Category IX, and
not specified elsewhere on the USML.
0A617 Miscellaneous ``Equipment,'' Materials, and Related Commodities
(See List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0A617.y NS Column 1
RS applies to entire entry, except 0A617.y RS Column 1
RS applies to 0A617.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7))
AT applies to entire entry................ AT Column 1
UN applies to entire...................... See Sec. 764.1(b) for UN
entry, except 0A617.y..................... controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0A617.
[[Page 362]]
List of Items Controlled
Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category XIII, and
technical data (including software) directly related thereto, are
subject to the ITAR. (2) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content. (3) For controls on self-
contained diving and underwater swimming apparatus and related
commodities, see ECCN 8A620.f. (4) For controls on robots, robot
controllers, and robot end-effectors, see USML Category VII and ECCNs
0A606 and 2B007. (5) ``Libraries,'' i.e., parametric technical
databases, ``specially designed'' for military use with equipment
controlled by the USML or a ``600 series'' ECCN are controlled by the
technical data and technology controls pertaining to such items. (6) For
controls on nuclear power generating equipment or propulsion equipment,
including ``nuclear reactors,'' ``specially designed'' for military use,
and ``parts'' and ``components'' ``specially designed'' therefor, see
USML Categories VI, XIII, XV, and XX. (7) Simulators ``specially
designed'' for military ``nuclear reactors'' are controlled by USML
Category IX(b). (8) See USML Categories X, XI and XII for ``laser''
protection equipment (e.g., eye and sensor protection) ``specially
designed'' for military use. (9) ``Fuel cells'' ``specially designed''
for a defense article on the USML or a commodity controlled by a ``600
series'' ECCN are controlled according to the corresponding ``600
series'' ECCN for such end items. (10) See USML Category XV for controls
on fuel cells ``specially designed'' for satellite or spacecraft.
Related Definitions: N/A
Items:
a. [Reserved]
b. Concealment and deception equipment ``specially designed'' for
military application, including special paints, decoys, smoke or
obscuration equipment and simulators, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefor,
not controlled by USML Category XIII.
c. Ferries, bridges not described in ECCN 0A606 or USML Category
VII, and pontoons, ``specially designed'' for military use.
d. Test models ``specially designed'' for the ``development'' of
defense articles controlled by USML Categories IV, VI, VII and VIII.
e. [Reserved]
f. ``Metal embrittlement agents.''
g. through x. [Reserved]
y. Other commodities as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefore:
y.1. Construction equipment ``specially designed'' for military use,
including such equipment ``specially designed'' for transport in
aircraft controlled by USML VIII(a) or ECCN 9A610.a.
y.2. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' for commodities in paragraph .y.1 of this entry,
including crew protection kits used as protective cabs.
y.3. ISO intermodal containers or demountable vehicle bodies (i.e.,
swap bodies), n.e.s., ``specially designed'' or 'modified' for shipping
or packing defense articles or items controlled by a ``600 series''
ECCN.
Technical Note: For the purpose of 0A617.y.3, 'modified' means any
structural, electrical, mechanical, or other change that provides a non-
military item with military capabilities equivalent to an item which is
``specially designed'' for military use.
y.4. Field generators ``specially designed'' for military use.
y.5. Power controlled searchlights and control units therefor,
``specially designed'' for military use, and ``equipment'' mounting such
units.
0A919 ``Military commodities'' located and produced outside the United
States as follows (see list of items controlled)
License Requirements
Reasons for Control: RS, AT
------------------------------------------------------------------------
Country Chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 1, See Sec.
742.6(a)(3) for license
requirements.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) ``Military commodities'' are subject to the
export licensing jurisdiction of the Department of State if they
incorporate items that are subject to the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120-130). (2) ``Military commodities''
described in this paragraph are subject to the export licensing
jurisdiction of the Department of State if such commodities are
described on the U.S. Munitions List (22 CFR part 121) and are in the
United States. (3) The furnishing of assistance (including training) to
foreign persons, whether in the United States or abroad, in the design,
development, engineering, manufacture, production, assembly, testing,
repair, maintenance, modification, operation, demilitarization,
destruction, processing, or use of defense articles that are subject to
the ITAR;
[[Page 363]]
or the furnishing to foreign persons of any technical data controlled
under 22 CFR 121.1 whether in the United States or abroad are under the
licensing jurisdiction of the Department of State. (4) Brokering
activities (as defined in 22 CFR 129) of ``military commodities'' that
are subject to the ITAR are under the licensing jurisdiction of the
Department of State.
Related Definitions: ``Military commodity'' or ``military
commodities'' means an article, material or supply that is described on
the U.S. Munitions List (22 CFR part 121) or on the Munitions List that
is published by the Wassenaar Arrangement on Export Controls for
Conventional Arms and Dual-Use Goods and Technologies (i.e., the
Wassenaar Arrangement Munitions List (WAML)), but does not include
software, technology, any item listed in any ECCN for which the last
three numerals are 018, or any item in the ``600 series.''
Items:
a. ``Military commodities'' produced and located outside the United
States that are not subject to the International Traffic in Arms
Regulations (22 CFR parts 120-130) and having any of the following
characteristics:
a.1. Incorporate more than a de minimis amount of U.S.-origin
controlled content classified under ECCNs 6A002, 6A003, or 6A993.a
(having a maximum frame rate equal to or less than 9 Hz and thus meeting
the criterion of Note 3.a to 6A003.b.4);
a.2. Incorporate more than a de minimis amount of U.S.-origin ``600
series'' controlled content (see Sec. 734.4 of the EAR); or
a.3. Are direct products of U.S.-origin ``600 series'' technology or
software (see Sec. 734.9(d) of the EAR).
b. [Reserved]
0A977 Water cannon systems for riot or crowd control, and ``parts'' and
``components'' ``specially designed'' therefor.
License Requirements
Reason for Control: CC 1
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0A977.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: 0A977 water cannon systems include, for example: vehicles or
fixed stations equipped with remotely operated water cannon that are
designed to protect the operator from an outside riot with features such
as armor, shatter resistant windows, metal screens, bull-bars, or run-
flat tires. Components ``specially designed'' for water cannons may
include, for example: deck gun water nozzles, pumps, reservoirs,
cameras, and lights that are hardened or shielded against projectiles,
elevating masts for those items, and teleoperation systems for those
items.
0A978 Law enforcement striking weapons, including saps, police batons,
side handle batons, tonfas, sjamboks, and whips.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0A979 Police helmets and shields; and ``specially designed''
``components,'' n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0A980 Horses by sea.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
[[Page 364]]
0A981 Equipment designed for the execution of human beings as follows
(see List of Items Controlled).
License Requirements
Reason for Control: CC
Control(s): CC applies to entire entry. A license is required for ALL
destinations regardless of end-use. Accordingly, a column specific to
this control does not appear on the Commerce Country Chart. (See Sec.
742.7 of the EAR for additional information.)
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Gallows and guillotines.
b. Electric chairs for the purpose of executing human beings.
c. Air tight vaults designed for the execution of human beings by
the administration of a lethal gas or substance.
d. Automatic drug injection systems designed for the execution of
human beings by administration of a lethal substance.
0A982 Law enforcement restraint devices, including leg irons, shackles,
and handcuffs; straight jackets; stun cuffs; shock belts;
shock sleeves; multipoint restraint devices such as restraint
chairs; and ``specially designed'' ``parts,'' ``components''
and ``accessories,'' n.e.s.
License Requirements
Reason for Control: CC
Control(s): CC applies to entire entry. A license is required for ALL
destinations, except Canada, regardless of end-use. Accordingly, a
column specific to this control does not appear on the Commerce Country
Chart. (See part 742 of the EAR for additional information.)
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls:Thumbcuffs and fingercuffs are classified under ECCN
0A983, ``specially designed'' implements of torture. Restraint devices
that electronically monitor or report the location of confined persons
for law enforcement or penal reasons are controlled under ECCN 3A981.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note to ECCN 0A982. This ECCN applies to restraint devices used in
law enforcement activities. It does not apply to medical devices that
are equipped to restrain patient movement during medical procedures. It
does not apply to devices that confine memory impaired patients to
appropriate medical facilities. It does not apply to safety equipment
such as safety belts or child automobile safety seats.
0A983 ``Specially designed'' implements of torture, including
thumbscrews, thumbcuffs, fingercuffs, spiked batons, and
``specially designed'' ``parts,'' ``components'' and
``accessories,'' n.e.s.
License Requirements
Reason for Control: CC
Control(s): CC applies to entire entry. A license is required for ALL
destinations, regardless of end-use. Accordingly, a column specific to
this control does not appear on the Commerce Country Chart. (See part
742 of the EAR for additional information.)
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
Note to ECCN 0A983. In this ECCN, ``torture'' has the meaning set
forth in Section 2340(1) of Title 18, United States Code.
0A998 Oil and gas exploration equipment, software, and data, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: Foreign policy
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
Russian industry sector sanction applies See Sec. 746.8 for
to entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Oil and gas exploration data, e.g., seismic analysis data.
b. Hydraulic fracturing items, as follows:
b.1. Hydraulic fracturing design and analysis software and data.
b.2. Hydraulic fracturing 'proppant,' 'fracking fluid,' and chemical
additives therefor.
Technical Note: A 'proppant' is a solid material, typically treated
sand or man-made ceramic materials, designed to keep an induced
hydraulic fracture open, during or following a fracturing treatment. It
is added to a 'fracking fluid' which may vary in composition depending
on the type of fracturing used, and can be gel, foam or slickwater-
based.
[[Page 365]]
b.3. High pressure pumps.
0A999 Specific Processing Equipment, as Follows (See List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s):
Country Chart. AT applies to entire entry. A license is required for
items controlled by this entry to North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine AT
licensing requirements for this entry. See Sec. 742.19 of the EAR for
additional information.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Ring Magnets;
b. Reserved.
B. ``Test'', ``Inspection'' and ``Production Equipment''
0B501 Test, inspection, and production ``equipment'' and related
commodities for the ``development'' or ``production'' of
commodities enumerated or otherwise described in ECCNs 0A501,
0A506, 0A507, or 0A509 or USML Category I as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except NS Column 1
equipment for ECCN 0A501.y.
RS applies to entire entry except RS Column 1
equipment for ECCN 0A501.y.
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of all
License Exceptions)
LVS: $3000
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used to ship any item in this entry.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Small arms chambering machines.
b. Small arms deep hole drilling machines and drills therefor.
c. Small arms rifling machines.
d. Small arms boring/reaming machines.
e. Production equipment (including dies, fixtures, and other
tooling) ``specially designed'' for the ``production'' of the items
controlled in 0A501.a through .x., 0A506, 0A507, 0A509, or USML Category
I.
0B505 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development'' or
``production'' of commodities enumerated or otherwise
described in ECCN 0A505 or USML Category III, except equipment
for the hand loading of cartridges and shotgun shells, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to paragraphs .a and .x........ NS Column 1
RS applies to paragraphs .a and .x........ RS Column 1
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to paragraphs .a, .d, and .x... AT Column 1
AT applies to paragraph .c................ A license is required for
export or reexport of these
items to North Korea for
anti-terrorism reasons
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0B505.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Production equipment (including tooling, templates, jigs,
mandrels, molds, dies, fixtures, alignment mechanisms, and test
equipment), not enumerated in USML Category III that are ``specially
designed'' for the ``production'' of commodities controlled by ECCN
0A505.a or .x or USML Category III.
b. Equipment ``specially designed'' for the ``production'' of
commodities in ECCN 0A505.b.
c. Equipment ``specially designed'' for the ``production'' of
commodities in ECCN 0A505.c.
d. Equipment ``specially designed'' for the ``production'' of
commodities in ECCN 0A505.d.
e. through .w [Reserved]
x. ``Parts'' and ``components'' ``specially designed'' for a
commodity subject to control in paragraph .a of this entry.
[[Page 366]]
0B521 Any commodity subject to the EAR that is not listed elsewhere in
the CCL, but which is controlled for export because it
provides at least a significant military or intelligence
advantage to the United States or for foreign policy reasons.
0B521 commodities are subject to RS1 controls with no license
exception eligibility other than License Exception GOV for U.S.
Government personnel and agencies under Sec. 740.11(b)(2)(ii) of the
EAR, or an item-specific license exception identified in Supplement No.
5 to part 774 particular to an item covered under ECCN 0B521. The list
of commodities determined to be classified under ECCN 0B521 controls is
published in Supplement No. 5 to part 774. The license requirements and
licensing policy relating to ECCN 0B521 are set forth in Sec.
742.6(a)(8) of the EAR.
0B602 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development'' or
``production'' of commodities enumerated or otherwise
described in ECCN 0A602 or USML Category II as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0B602.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. The following commodities if ``specially designed'' for the
``development'' or ``production'' of commodities enumerated in ECCN
0A602.a or USML Category II:
a.1. Gun barrel rifling and broaching machines and tools therefor;
a.2. Gun barrel rifling machines;
a.3. Gun barrel trepanning machines;
a.4. Gun boring and turning machines;
a.5. Gun honing machines of 6 feet (183 cm) stroke or more;
a.6. Gun jump screw lathes;
a.7. Gun rifling machines; and
a.8. Barrel straightening presses.
b. Jigs and fixtures and other metal-working implements or
accessories of the kinds exclusively designed for use in the manufacture
of items in ECCN 0A602 or USML Category II.
c. Other tooling and equipment, ``specially designed'' for the
``production'' of items in ECCN 0A602 or USML Category II.
d. Test and evaluation equipment and test models, including
diagnostic instrumentation and physical test models, ``specially
designed'' for items in ECCN 0A602 or USML Category II.
0B604 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities in ECCN 0A604 or related defense articles in USML
Category IV (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in this ECCN 0B604.
List of Items Controlled
Related Controls: (1) See ECCN 9B604, which controls test, inspection,
and production ``equipment'' and related commodities ``specially
designed'' for the ``development'' or ``production'' of commodities in
ECCN 9A604 or related defense articles in USML Category IV. (2) See ECCN
0A919 for foreign-made ``military commodities'' that incorporate more
than a de minimis amount of US-origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and other production ``equipment'' that are
``specially designed'' for the ``development,'' ``production,'' repair,
overhaul, or refurbishing of commodities controlled by ECCN 0A604 or for
bombs, torpedoes, depth charges, mines and hand grenades, and parts,
components, accessories and attachments therefor, controlled under USML
Category IV.
b. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity subject to control in
paragraph .a of this ECCN.
[[Page 367]]
0B606 Test, inspection, and production ``equipment'' and related
commodities, not enumerated on the USML, ``specially
designed'' for the ``development,'' ``production,'' repair,
overhaul, or refurbishing of commodities enumerated or
otherwise described in ECCN 0A606 or USML Category VII (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0B606.
List of Items Controlled
Related Controls: (1) Ground vehicles, other articles, technical data
(including software) and services described in 22 CFR part 121, Category
VII are subject to the jurisdiction of the International Traffic in Arms
Regulations. (2) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and production ``equipment'' ``specially
designed'' for the ``development,'' ``production,'' repair, overhaul, or
refurbishing of commodities enumerated or otherwise described in ECCN
0A606 (except for 0A606.b or 0A606.y) or in USML Category VII, and
``parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' therefor.
Note 1: ECCN 0B606 includes (i) armor plate drilling machines, other
than radial drilling machines, (ii) armor plate planing machines, (iii)
armor plate quenching presses; and (iv) tank turret bearing grinding
machines.
b. Environmental test facilities ``specially designed'' for the
certification, qualification, or testing of commodities enumerated or
otherwise described in ECCN 0A606 (except for 0A606.b or 0A606.y) or in
USML Category VII, and ``equipment'' ``specially designed'' therefor.
0B614 Test, inspection, and production ``equipment'' for military
training ``equipment'' and ``specially designed'' ``parts,''
``components,'' ``accessories'' and ``attachments'' therefor,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0B614.
List of Items Controlled
Related Controls: See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and other production ``equipment''
``specially designed'' for the ``development,'' ``production,'' repair,
overhaul, or refurbishing of commodities controlled by ECCN 0A614 or
articles enumerated or otherwise described in USML Category IX.
b. through .w [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and ``attachments''
that are ``specially designed'' for a commodity controlled by ECCN
0B614.
0B617 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities enumerated or otherwise described in ECCN 0A617 or
USML Category XIII, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefor (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
[[Page 368]]
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0B617.
List of Items Controlled
Related Controls: See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and production ``equipment'' not controlled
by USML Category XIII(k) ``specially designed'' for the ``production,''
``development,'' repair, overhaul, or refurbishing of commodities
enumerated or otherwise described in ECCN 0A617, (except for 0A617.y) or
USML Category XIII, and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor.
b. [Reserved]
Note: Field engineer equipment ``specially designed'' for use in a
combat zone, identified in the Wassenaar Arrangement Munitions List
17.d, and mobile repair shops ``specially designed'' or modified to
service military equipment, identified in Wassenaar Arrangement
Munitions List 17.j, are controlled by 0B617 to the extent that the
items are not included in USML Category XIII(k).
0B999 Specific Processing Equipment, as Follows (See List of Items
Controlled).
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT license requirements for
this entry. See Sec.
742.19 of the EAR for
additional information.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Hot cells;
b. Glove boxes suitable for use with radioactive materials.
C. ``Materials''
0C521 Any material subject to the EAR that is not listed elsewhere in
the CCL, but which is controlled for export because it
provides at least a significant military or intelligence
advantage to the United States or for foreign policy reasons.
0C521 materials are subject to RS1 controls with no license
exception eligibility other than License Exception GOV for U.S.
Government personnel and agencies under Sec. 740.11(b)(2)(ii) of the
EAR, or an item-specific license exception identified in Supplement No.
5 to part 774 particular to an item covered under ECCN 0C521. The list
of materials determined to be classified under ECCN 0C521 controls is
published in Supplement No. 5 to part 774. The license requirements and
licensing policy relating to ECCN 0C521 are set forth in Sec.
742.6(a)(8) of the EAR.
0C606 Materials ``specially designed'' for commodities controlled by
ECCN 0A606 not elsewhere specified in the USML (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0C606.
List of Items Controlled
Related Controls: (1) Materials that are subject to the jurisdiction of
the ITAR are described in USML Category XIII. (2) See ECCN 0A919 for
foreign-made ``military commodities'' that incorporate more than a de
minimis amount of U.S.-origin ``600 series'' controlled content.
Related Definitions: N/A
Items: Materials ``specially designed'' for commodities enumerated or
otherwise described in ECCN 0A606 (other than 0A606.b or 0A606.y) or
USML Category VII, not elsewhere specified in the USML or the CCL.
Note: Materials ``specially designed'' for both ground vehicles
enumerated or otherwise described in USML Category VII and ground
vehicles enumerated or otherwise described in ECCN 0A606 are subject to
the controls of this ECCN
[[Page 369]]
unless identified in USML Category VII(g) as being subject to the
controls of that paragraph.
0C617 Miscellaneous Materials ``Specially Designed'' for Military Use
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0C617.
List of Items Controlled
Related Controls: (1) For controls on other signature suppression
materials, see USML Category XIII and ECCNs 1C001 and 1C101. (2) See
ECCN 0A919 for foreign-made ``military commodities'' that incorporate
more than a de minimis amount of U.S.-origin ``600 series'' controlled
content.
Related Definitions: N/A
Items: a. Materials, coatings and treatments for signature suppression,
``specially designed'' for military use to reduce detectability or
observability and that are not controlled by USML Category XIII or ECCNs
1C001 or 1C101.
b. [Reserved]
D. ``Software''
0D001 ``Software'' ``specially designed'' or modified for the
``development,'' ``production,'' or ``use'' of commodities
described in 0A002. (These items are ``subject to the ITAR.''
See 22 CFR parts 120 through 130.)
Heading Note: Certain ``software'' for the ``development,''
``production,'' or ``use'' of nuclear related commodities is subject to
the export licensing authority of the Nuclear Regulatory Commission (see
10 CFR part 110).
License Requirements
Control(s): ``Software'' for items described in 0A002 is ``subject to
the ITAR'' (see 22 CFR parts 120 through 130).
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading.
0D501 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 0A501, 0A506, 0A507, 0A509 or 0B501.
License Requirements
Reason for Control: NS, RS, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except NS Column 1
``software'' for commodities in ECCN
0A501.y or equipment in ECCN 0B501 for
commodities in ECCN 0A501.y.
RS applies to entire entry except RS Column 1
``software'' for commodities in ECCN
0A501.y or equipment in ECCN 0B501 for
commodities in ECCN 0A501.y.
CC applies to entire entry except CC Column 2
``software'' for commodities in ECCN
0A501.y or equipment in ECCN 0B501 for
commodities in ECCN 0A501.y.
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 0D501.
List of Items Controlled
Related Controls: See USML Category I for ``software'' directly related
to articles described in USML Category I.
Related Definitions: N/A
Items: The list of items controlled is contained in this ECCN heading.
0D505 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 0A505 or 0B505.
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``software'' for commodities NS Column 1
in ECCN 0A505.a and .x and equipment in
ECCN 0B505.a .and .x.
RS applies to ``software'' for commodities RS Column 1
in ECCN 0A505.a and .x and equipment in
ECCN 0B505.a and .x.
[[Page 370]]
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to ``software'' for commodities AT Column 1
in ECCN 0A505.a, .d, or .x and equipment
in ECCN 0B505.a, .d, or .x.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 0D505.
List of Items Controlled
Related Controls: ``Software'' required for and directly related to
articles enumerated in USML Category III is ``subject to the ITAR''.
Related Definitions: N/A
Items: The list of items controlled is contained in this ECCN heading.
0D521 Any software subject to the EAR that is not listed elsewhere in
the CCL, but which is controlled for export because it
provides at least a significant military or intelligence
advantage to the United States or for foreign policy reasons.
0D521 software is subject to RS1 controls with no license exception
eligibility other than License Exception GOV for U.S. Government
personnel and agencies under Sec. 740.11(b)(2)(ii) of the EAR, or an
item-specific license exception identified in Supplement No. 5 to part
774 particular to an item covered under ECCN 0D521. The list of software
determined to be classified under ECCN 0D521 controls is published in
Supplement No. 5 to part 774. The license requirements and licensing
policy relating to ECCN 0D521 are set forth in Sec. 742.6(a)(8) of the
EAR.
0D602 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation or maintenance of commodities
controlled by 0A602 or 0B602 as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0D602.
List of Items Controlled
Related Controls: (1) ``Software'' required for and directly related to
articles enumerated in USML Category II is ``subject to the ITAR''. (2)
See ECCN 0A919 for foreign-made ``military commodities'' that
incorporate more than a de minimis amount of U.S.-origin ``600 series''
items.
Related Definitions: N/A
Items: ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 0A602 and ECCN 0B602.
0D604 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by ECCN 0A604 or 0B604 (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in this ECCN 0D604.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated in USML Category IV is controlled under USML Category IV(i).
(2) See ECCN 0A919 for foreign-made ``military commodities'' that
incorporate more than a de minimis amount of U.S.-origin ``600 series''
controlled content.
Related Definitions: N/A
Items: a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 0A604 or 0B604.
b. [Reserved]
0D606 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of ground vehicles
and related commodities controlled by 0A606, 0B606, or 0C606
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
[[Page 371]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0D606.y NS Column 1.
RS applies to entire entry, except 0D606.y RS Column 1.
RS applies to 0D606.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0D606.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any software in 0D606.
List of Items Controlled
Related Controls: (1) Software directly related to articles enumerated
or otherwise described in USML Category VII are subject to the controls
of USML paragraph VII(h). (2) See ECCN 0A919 for foreign made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCNs 0A606 (except for ECCNs 0A606.b or 0A606.y), 0B606, or 0C606.
b. through x. [Reserved]
y. ``Specific software'' ``specially designed'' for the
``production,'' ``development,'' operation, or maintenance of
commodities described in ECCN 0A606.y.
0D614 ``Software'' related to military training ``equipment,'' as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 0D614.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated in USML Category IX is subject to the control of USML
paragraph IX(e). (2) See ECCN 0A919 for foreign made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' items.
Related Definitions: N/A
Items: a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCNs 0A614 or 0B614.
b. [Reserved]
0D617 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 0A617, ``equipment'' controlled by 0B617, or
materials controlled by 0C617 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0D617.y NS Column 1.
RS applies to entire entry, except 0D617.y RS Column 1.
RS applies to 0D617.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0D617.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any ``software'' in 0D617.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
controlled by USML Category XIII is subject to the control of USML
paragraph XIII(l). (2) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. ``Software'' (other than ``software'' controlled in paragraph .y
of this entry) ``specially designed'' for the ``development,''
``production,'' operation or maintenance of commodities controlled by
ECCNs 0A617 (except 0A617.y), 0B617, or 0C617.
b. to x. [Reserved].
y. Specific ``software'' ``specially designed'' for the
``production,'' ``development,'' operation or maintenance of commodities
controlled by ECCN 0A617.y.
[[Page 372]]
0D977 ``Software'' ``specially designed'' for the ``development,''
``production'' or ``use'' of commodities controlled by 0A977.
License Requirements
Reason for Control: CC1
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0D977.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0D999 Specific Software, as Follows (See List of Items Controlled).
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT license requirements for
this entry. See Sec.
742.19 of the EAR for
additional information.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Software for neutronic calculations/modeling;
b. Software for radiation transport calculations/modeling;
c. Software for hydrodynamic calculations/modeling.
E. ``Technology''
0E001 ``Technology,'' according to the Nuclear Technology Note, for the
``development,'' ``production,'' or ``use'' of items described
in 0A002, or 0D001.
Heading Note: ``Technology'' for certain items subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110) is subject to the export licensing authority of the Department
of Energy (see 10 CFR part 810).
License Requirements
Reason for Control:
Control(s): ``Technology'' for items described in 0A002 and 0D001
(applies to ``software'' in 0D001 for items described in 0A002 only) is
subject to the export licensing authority of the U.S. Department of
State, Directorate of Defense Trade Controls (see 22 CFR part 121).
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading.
0E501 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
or overhaul of commodities controlled by 0A501, 0A506, 0A507,
0A509, or 0B501 as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in ECCN 0E501.
List of Items Controlled
Related Controls: See USML Category I for technical data directly
related to articles described in USML Category I.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of commodities controlled by ECCN 0A501 (other than
0A501.y), 0A506, 0A507, 0A509, or 0B501.
[[Page 373]]
b. ``Technology'' ``required'' for the operation, installation,
maintenance, repair, or overhaul of commodities controlled by ECCN 0A501
(other than 0A501.y), 0A506, 0A507, 0A509, or 0B501.
0E502 ``Technology'' ``required'' for the ``development'' or
``production'' of commodities controlled by 0A502, 0A508, or
0A509.
License Requirements
Reason for Control: CC, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See USML Category I for technical data directly
related to articles described in USML Category I.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0E504 ``Technology'' ``required'' for the ``development'' or
``production'' of commodities controlled by 0A504 that
incorporate a focal plane array or image intensifier tube.
License Requirements
Reason for Control: RS, CC, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 1
CC applies to entire entry................ CC Column 2
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0E505 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by 0A505.
License Requirements
Reason for Control: NS, RS, UN, CC, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1
``development,'' ``production,''
operation, installation, maintenance,
repair, overhaul, or refurbishing
commodities in 0A505.a and .x; for
equipment for those commodities in 0B505;
and for ``software'' for that equipment
and those commodities in 0D505.
RS applies to ``technology'' for RS Column 1
``development,'' ``production,''
operation, installation, maintenance,
repair, overhaul, or refurbishing
commodities in 0A505.a and .x; for
equipment for those commodities in 0B505
and for ``software'' for those
commodities and that equipment in 0D505.
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
CC applies to ``technology'' for the CC Column 2
``development'' or ``production'' of
commodities in 0A505.a, .b, and .x.
AT applies to ``technology'' for AT Column 1
``development,'' ``production,''
operation, installation, maintenance,
repair, overhaul, or refurbishing
commodities in 0A505.a, .d, and .x.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in 0E505.
List of Items Controlled
Related Controls: See USML Category III for technical data directly
related to articles described in USML Category III.
Related Definitions: N/A
Items: The list of items controlled is contained in this ECCN heading.
0E521 Any technology subject to the EAR that is not listed elsewhere in
the CCL, but which is controlled for export because it
provides at least a significant military or intelligence
advantage to the United States or for foreign policy reasons.
0E521 technology is subject to RS1 controls with no license
exception eligibility other than License Exception GOV for U.S.
Government personnel and agencies under Sec. 740.11(b)(2)(ii) of the
EAR, or an item-specific license exception identified in Supplement No.
5 to part 774 particular to an item covered under ECCN 0E521. The list
of technologies determined to be classified under
[[Page 374]]
ECCN 0E521 controls is published in Supplement No. 5 to part 774. The
license requirements and licensing policy relating to ECCN 0E521 are set
forth in Sec. 742.6(a)(8) of the EAR.
0E602 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by 0A602
or 0B602, or ``software'' controlled by 0D602 as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, UN, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
UN applies to entire entry................ See Sec. 746.1 of the EAR
for UN controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 0E602.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
in USML Category II are ``subject to the ITAR.''
Related Definitions: N/A
Items: ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, or
overhaul of commodities controlled by ECCN 0A602 or 0B602, or
``software'' controlled by ECCN 0D602.
0E604 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by ECCN
0A604 or 0B604, or ``software'' controlled by ECCN 0D604 (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (See Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in this ECCN 0E604.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
in USML Category IV are controlled under USML Category IV(i).
Related Definitions: N/A
Items: a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities controlled by ECCN 0A604 or 0B604, or
``software'' controlled by ECCN 0D604.
b. [Reserved]
0E606 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbushing of ground vehicles and related
commodities in 0A606, 0B606, 0C606, or software in 0D606 (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0E606.y NS Column 1.
RS applies to entire entry, except 0E606.y RS Column 1.
RS applies to 0E606.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0E606.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any technology in 0D606.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
in USML Category VII are subject to the controls of USML paragraph
VII(h).
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities enumerated or otherwise described in ECCN
0A606 (except for ECCNs 0A606.b or 0A606.y), 0B606, or 0C606.
b. through x. [Reserved]
y. Specific ``technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul
or refurbishing of commodities or software in ECCN 0A606.y or 0D606.y.
[[Page 375]]
0E614 ``Technology,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any technology in 0E614.
List of Items Controlled
Related Controls: ``Technical data'' directly related to articles
enumerated in USML Category IX is subject to the control of USML
paragraph IX(e).
Related Definitions: N/A
Items: a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities or ``software'' controlled by ECCNs
0A614, 0B614, or 0D614.
b. [Reserved]
0E617 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by ECCN
0A617, ``equipment'' controlled by 0B617, or materials
controlled by 0C617, or ``software'' controlled by ECCN 0D617
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 0E617.y NS Column 1.
RS applies to entire entry, except 0E617.y RS Column 1.
RS applies to 0E617.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0E617.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any technology in 0E617.
List of Items Controlled
Related Controls: Technical data directly related to articles controlled
by USML Category XIII are subject to the control of USML paragraph
XIII(l).
Related Definitions: N/A
Items:
a. ``Technology'' (other than ``technology'' controlled by paragraph
.y of this entry) ``required'' for the ``development,'' ``production,''
operation, installation, maintenance, repair, overhaul, or refurbishing
of commodities or ``software'' controlled by ECCN 0A617 (except
0A617.y), 0B617, 0C617, or 0D617 (except 0D617.y).
b. through x. [Reserved].
y. Specific ``technology'' ``required'' for the ``production,''
``development,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities controlled by ECCN 0A617.y or
``software'' controlled by 0D617.y.
0E977 ``Technology'' ``required'' for the ``development'' or
``production'' of commodities controlled by 0A977.
License Requirements
Reason for Control: CC1
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 0E977.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
0E982 ``Technology'' exclusively for the ``development'' or
``production'' of equipment controlled by 0A982 or 0A503.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s)
-------------------------------------------------------------------------
CC applies to ``technology'' for items controlled by 0A982 or 0A503. A
license is required for ALL destinations, except Canada, regardless of
end use. Accordingly, a column specific to this control does not appear
on the Commerce Country Chart. (See part 742 of the EAR for additional
information.)
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
[[Page 376]]
Items:
The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Category 1--Special Materials and Related Equipment, Chemicals,
``Microorganisms,'' and ``Toxins''
Note: The Food and Drug Administration (FDA) and the Drug
Enforcement Administration (DEA) may control exports of items subject to
the EAR and on the Commerce Control List. BIS provides cross references
to these other agency controls for convenience only. Therefore, please
consult relevant FDA and DEA regulations for guidance related to the
item you wish to export and do not rely solely on the EAR for
information about other agency export control requirements. See
Supplement No. 3 to part 730 (Other U.S. Government Departments and
Agencies with Export Control Responsibilities) for more information.
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components''and ``Systems''
1A001 ``Parts'' and ``components'' made from fluorinated compounds, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: (1) Items ``specially designed'' or modified for
missiles or for items on the U.S. Munitions List are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130, including USML Category XXI).
Related Definitions: N/A
Items: a. Seals, gaskets, sealants or fuel bladders, ``specially
designed'' for ``aircraft'' or aerospace use, made from more than 50% by
weight of any of the materials controlled by 1C009.b or 1C009.c;
b. [Reserved]
1A002 ``Composite'' structures or laminates, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to 1A002.b.1 in the form of NP Column 1
tubes with an inside diameter between 75
mm and 400 mm.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500; N/A for NP; N/A for ``composite'' structures or laminates
controlled by 1A002.a, having an organic ``matrix'' and made from
materials controlled by 1C010.c or 1C010.d.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCNs 1A202, 1C010, 1C210, 9A010, and 9A110.
(3) ``Composite'' structures ``specially designed'' for missile
applications (including ``specially designed'' subsystems, ``parts,''
and ``components'') are controlled by ECCN 9A110. (4) ``Composite''
structures or laminates ``specially designed'' or prepared for use in
separating uranium isotopes are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Made from any of the following:
a.1. An organic ``matrix'' and ``fibrous or filamentary materials''
specified by 1C010.c or 1C010.d; or
a.2. Prepregs or preforms specified by 1C010.e;
b. Made from a metal or carbon ``matrix'', and any of the following:
b.1. Carbon ``fibrous or filamentary materials'' having all of the
following:
b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m; or
b.2. Materials controlled by 1C010.c.
Note 1: 1A002 does not control ``composite'' structures or laminates
made from epoxy resin impregnated carbon ``fibrous or filamentary
materials'', for the repair of ``civil aircraft'' structures or
laminates, having all of the following:
[[Page 377]]
a. An area not exceeding 1 m\2\;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Note 2: 1A002 does not control semi-finished items, ``specially
designed'' for civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
Note 3: 1A002.b.1 does not apply to semi-finished items containing a
maximum of two dimensions of interwoven filaments and ``specially
designed'' for applications as follows:
a. Metal heat-treatment furnaces for tempering metals;
b. Silicon boule production equipment.
Note 4: 1A002 does not apply to finished items ``specially
designed'' for a specific application.
Note 5: 1A002.b.1 does not apply to mechanically chopped, milled, or
cut carbon ``fibrous or filamentary materials'' 25.0 mm or less in
length.
1A003 Manufactures of non-``fusible'' aromatic polyimides in film,
sheet, tape or ribbon form having any of the following (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $200
GBS: N/A
List of Items Controlled
Related Controls: This entry does not control manufactures when coated
or laminated with copper and designed for the production of electronic
printed circuit boards. For ``fusible'' aromatic polyimides in any form,
see 1C008.a.3.
Related Definitions: N/A
Items: a. A thickness exceeding 0.254 mm; or
b. Coated or laminated with carbon, graphite, metals or magnetic
substances.
1A004 Protective and detection equipment and ``components'', not
``specially designed'' for military use, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, CB, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
CB applies to chemical detection systems CB Column 2
and dedicated detectors therefor, in
1A004.c, that also have the technical
characteristic.
RS apply to 1A004.d....................... RS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: Yes for 1A004.a, .b, and .c.2.
List of Items Controlled
Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See ECCN
1D003 for ``software'' ``specially designed'' or modified to enable
equipment to perform the functions of equipment controlled under section
1A004.c (Nuclear, biological, and chemical (NBC) detection systems). (3)
See ECCN 1E002.g for control libraries (parametric technical databases)
``specially designed'' or modified to enable equipment to perform the
functions of equipment controlled under 1A004.c (Nuclear, biological,
and chemical (NBC) detection systems). (4) Chemical and biological
protective and detection equipment specifically designed, developed,
modified, configured, or adapted for military applications is ``subject
to the ITAR'' (see 22 CFR parts 120 through 130, including USML Category
XIV(f)), as is commercial equipment that incorporates ``parts'' or
``components'' controlled under that category except for domestic
preparedness devices for individual protection that integrate
``components'' and ``parts'' identified in USML Category XIV(f)(4) when
such ``parts'' or ``components'' are: Integral to the device;
inseparable from the device; and incapable of replacement without
compromising the effectiveness of the device, in which case the
equipment is subject to the export licensing jurisdiction of the
Department of Commerce under ECCN 1A004. (5) This entry does not control
radionuclides incorporated in equipment listed in this entry--such
materials are subject to the licensing jurisdiction of the Nuclear
Regulatory Commission (See 10 CFR part 110).
Related Definitions: (1) 'Biological agents' means: pathogens or toxins,
selected or modified (such as altering purity, shelf life, virulence,
dissemination characteristics, or resistance to UV radiation) to produce
casualties in humans or animals, degrade equipment or damage crops or
the environment. (2) 'Riot control agents' are substances which, under
the expected conditions of use for riot control purposes, produce
rapidly in humans sensory irritation or disabling physical effects which
disappear within a short time following termination of exposure. (Tear
gases are a subset of 'riot control agents.')
Items:
[[Page 378]]
a. Full face masks, filter canisters and decontamination equipment
therefor, designed or modified for defense against any of the following,
and ``specially designed'' ``components'' therefor:
Note: 1A004.a includes Powered Air Purifying Respirators (PAPR) that
are designed or modified for defense against agents or materials, listed
in 1A004.a.
Technical Notes: For the purposes of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. 'Biological agents';
a.2. 'Radioactive materials';
a.3. Chemical warfare (CW) agents; or
a.4. 'Riot control agents', as follows:
a.4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA)
(CAS 5798-79-8);
a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine chloride),
(Adamsite), (DM) (CAS 578-94-9);
a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, ``specially designed'' or
modified for defense against any of the following:
b.1. 'Biological agents';
b.2. 'Radioactive materials'; or
b.3. Chemical warfare (CW) agents;
c. Detection systems, ``specially designed'' or modified for
detection or identification of any of the following, and ``specially
designed'' ``components'' therefor:
c.1. 'Biological agents';
c.2. 'Radioactive materials'; or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or
identifying the presence of ``explosives'' (as listed in the annex at
the end of Category 1) residues and utilizing 'trace detection'
techniques (e.g., surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).
Technical Note: For the purposes of 1A004.d, 'trace detection' is
defined as the capability to detect less than 1 ppm vapor, or 1 mg solid
or liquid.
Note 1: 1A004.d does not apply to equipment ``specially designed''
for laboratory use.
Note 2: 1A004.d does not apply to non-contact walk-through security
portals.
Note: 1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or
function to protect against hazards specific to residential safety or
civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes: 1. 1A004 includes equipment, ``components'' that
have been 'identified,' successfully tested to national standards or
otherwise proven effective, for the detection of or defense against
'radioactive materials' 'biological agents,' chemical warfare agents,
'simulants' or ``riot control agents,'' even if such equipment or
``components'' are used in civil industries such as mining, quarrying,
agriculture, pharmaceuticals, medical, veterinary, environmental, waste
management, or the food industry.
2. 'Simulant': A substance or material that is used in place of
toxic agent (chemical or biological) in training, research, testing or
evaluation.
3. For the purposes of 1A004, 'radioactive materials' are those
selected or modified to increase their effectiveness in producing
casualties in humans or animals, degrading equipment or damaging crops
or the environment.
1A005 Body armor and ``specially designed'' ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, UN, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirements Notes: 1. Soft body armor not manufactured to
military standards or specifications must provide ballistic protection
equal to or less than NIJ level III (NIJ 0101.06, July 2008) to be
controlled under 1A005.a. 2. For purposes of 1A005.a, military standards
and specifications include, at a minimum, specifications for
fragmentation protection.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: Yes, except UN
List of Items Controlled
Related Controls: (1) Bulletproof and bullet resistant vests (body
armor) providing NIJ Type IV protection or greater are ``subject to the
ITAR'' (see 22 CFR 121.1 Category X(a)). (2) Soft body armor and
protective garments manufactured to military standards or specifications
that provide protection equal to or less than NIJ level III or
[[Page 379]]
``equivalent standards'' are classified under ECCN 1A613.d.1. (3) Hard
armor plates providing NIJ level III or ``equivalent standard''
ballistic protection are classified under ECCN 1A613.d.2. (4) Police
helmets and shields are classified under ECCN 0A979. (5) Other personal
protective ``equipment'' ``specially designed'' for military
applications not controlled by the USML or elsewhere in the CCL is
classified under ECCN 1A613.e. (6) For ``fibrous or filamentary
materials'' used in the manufacture of body armor, see ECCN 1C010.
Related Definitions: N/A
Items:
a. Soft body armor not manufactured to military standards or
specifications, or to their equivalents, and ``specially designed''
``components'' therefor;
b. Hard body armor plates that provide ballistic protection less
than NIJ level III (NIJ 0101.06, July 2008) or ``equivalent standards''.
Notes to ECCN 1A005: 1. This entry does not control body armor when
accompanying its user for the user's own personal protection.
2. This entry does not control body armor designed to provide
frontal protection only from both fragment and blast from non-military
explosive devices.
3. This entry does not apply to body armor designed to provide
protection only from knife, spike, needle or blunt trauma.
1A006 Equipment, ``specially designed'' or modified for the disposal of
Improvised Explosive Devices (IEDs), as follows (see List of
Items Controlled), and ``specially designed'' ``components''
and ``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirement Note: 1A006 does not apply to equipment when
accompanying its operator.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: Equipment ``specially designed'' for military use for
the disposal of IEDs is ``subject to the ITAR'' (see 22 CFR parts 120
through 130, including USML Category IV).
Related Definitions: N/A
Items:
a. Remotely operated vehicles;
b. 'Disruptors'.
Technical Note: For the purposes of 1A006.b 'disruptors' are devices
``specially designed'' for the purpose of preventing the operation of an
explosive device by projecting a liquid, solid or frangible projectile.
Note: 1A006 does not apply to equipment when accompanying its
operator.
1A007 Equipment and devices, ``specially designed'' to initiate charges
and devices containing ``energetic materials,'' by electrical
means, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to 1A007.b, as well as 1A007.a NP Column 1
when the detonator firing set meets or
exceeds the parameters of 3A229.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: High explosives and related equipment ``specially
designed'' for military use are ``subject to the ITAR'' (see 22 CFR
parts 120 through 130). This entry does not control detonators using
only primary explosives, such as lead azide. See also ECCNs 0A604,
3A229, and 3A232. See 1E001 for ``development'' and ``production''
technology controls, and 1E201 for ``use'' technology controls.
Related Definitions: N/A
Items:
a. Explosive detonator firing sets designed to drive explosive
detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes:
1. The word initiator or igniter is sometimes used in place of the
word detonator.
2. For the purposes of 1A007.b, the detonators of concern all
utilize a small electrical conductor (bridge, bridge wire, or foil) that
explosively vaporizes when a fast, high-current electrical pulse is
passed through it. In non slapper types, the exploding conductor starts
a chemical detonation in a contacting high explosive material such as
PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive
vaporization of the electrical conductor drives a flyer or slapper
across a gap, and the impact of the slapper on
[[Page 380]]
an explosive starts a chemical detonation. The slapper in some designs
is driven by magnetic force. The term exploding foil detonator may refer
to either an EB or a slapper-type detonator.
1A008 Charges, devices and ``components'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, UN, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000 for .a through .c; $6,000 for .d.
GBS: N/A
List of Items Controlled
Related Controls: (1) All of the following are ``subject to the ITAR''
(see 22 CFR parts 120 through 130):
a. High explosives and related equipment ``specially designed'' for
military use;
b. Explosive devices or charges in this entry that utilize USML
controlled energetic materials (See 22 CFR 121.1 Category V), if they
have been specifically designed, developed, configured, adapted, or
modified for a military application;
c. Shaped charges that have all of the following a uniform shaped
conical liner with an included angle of 90 degrees or less, more than
2.0 kg of controlled materials, and a diameter exceeding 4.5 inches;
d. Detonating cord containing greater than 0.1 kg per meter (470
grains per foot) of controlled materials;
e. Cutters and severing tools containing greater than 10 kg of
controlled materials;
f. With the exception of cutters and severing tools, devices or
charges controlled by this entry where the USML controlled materials can
be easily extracted without destroying the device or charge; and
g. Individual USML controlled energetic materials in this entry,
even when compounded with other materials, when not incorporated into
explosive devices or charges controlled by this entry or 1C992.
(2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for additional
controlled energetic materials. See ECCN 1E001 for the ``development''
or ``production'' ``technology'' for the commodities controlled by ECCN
1A008, but not for explosives or commodities that are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
a. 'Shaped charges' having all of the following:
a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
a.2. Outer casing diameter equal to or greater than 75 mm;
b. Linear shaped cutting charges having all of the following, and
``specially designed'' ``components'' therefor:
b.1. An explosive load greater than 40 g/m; and
b.2. A width of 10 mm or more;
c. Detonating cord with explosive core load greater than 64 g/m;
d. Cutters, not specified by 1A008.b, and severing tools, having a
NEQ greater than 3.5 kg.
Technical Note: For the purposes of 1A008.a, 'shaped charges' are
explosive charges shaped to focus the effects of the explosive blast.
Note: The only charges and devices specified in 1A008 are those
containing ``explosives'' (see list of explosives in the Annex at the
end of Category 1) and mixtures thereof.
1A101 Devices for reduced observables such as radar reflectivity,
ultraviolet/infrared signatures and acoustic signatures, for
applications usable in rockets, missiles, or unmanned aerial
vehicles capable of achieving a ``range'' equal to or greater
than 300 km or their complete subsystems.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 1C101. (2) For commodities that meet the
definition of defense articles under 22 CFR 120.3 of the International
Traffic in Arms Regulations (ITAR), describes similar commodities
``subject to the ITAR'' (See 22 CFR parts 120 through 130, including
USML Category XIII).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1A102 Resaturated pyrolized carbon-carbon ``parts'' and ``components''
designed for rockets, missiles, or unmanned aerial vehicles
capable of achieving a ``range'' equal to or greater than 300
km. (These items are ``subject to the ITAR.'' See 22 CFR parts
120 through 130.)
1A202 Composite structures, other than those controlled by 1A002, in the
form of
[[Page 381]]
tubes and having both of the following characteristics (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E201 (``use'') and 1E202
(``development'' and ``production'') for technology for items controlled
by this entry. (2) Also see ECCNs 1A002, 1C010, 1C210, 9A010, and 9A110.
(3) ``Composite'' structures ``specially designed'' or prepared for use
in separating uranium isotopes are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. An inside diameter of between 75 mm and 400 mm; and
b. Made with any of the ``fibrous or filamentary materials''
specified in 1C010.a or .b or 1C210.a or with carbon prepreg materials
specified in 1C210.c.
1A225 Platinized catalysts ``specially designed'' or prepared for
promoting the hydrogen isotope exchange reaction between
hydrogen and water for the recovery of tritium from heavy
water or for the production of heavy water.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E201 (``use'') and 1E202
(``development'' and ``production'') for technology for items controlled
by this entry. (2) Equipment ``specially designed'' or prepared for the
production of heavy water is subject to the export licensing authority
of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1A226 Specialized packings, which may be used in separating heavy water
from ordinary water, having both of the following
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E201 (``use'') and 1E202
(``development'' and ``production'') for technology for items controlled
by this entry. (2) Equipment ``specially designed'' or prepared for the
production of heavy water is subject to the export licensing authority
of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Made of phosphor bronze mesh chemically treated to improve
wettability; and
b. Designed to be used in vacuum distillation towers.
1A227 High-density (lead glass or other) radiation shielding windows,
having all of the following characteristics (see List of Items
Controlled), and ``specially designed'' frames therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E201 (``use'') and 1E202
(``development'' and ``production'') for technology for items controlled
by this entry. (2) Equipment ``specially designed'' or prepared for
nuclear reactors and reprocessing facilities is subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
Related Definitions: In 1A227.a, the term ``cold area'' means the
viewing area of the window exposed to the lowest level of radiation in
the design application.
Items: a. A ``cold area'' greater than 0.09 m\2\;
[[Page 382]]
b. A density greater than 3 g/cm\3\; and
c. A thickness of 100 mm or greater.
1A231 Target assemblies and components for the production of tritium as
follows (See List of Items Controlled):
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see
Control(s) supplement No. 1 to part
738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls:See ECCNs 1E001 (``production'') and 1E201 (``use'')
for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. Target assemblies made of or containing lithium enriched in
the lithium-6 isotope ``specially designed'' for the ``production'' of
tritium through irradiation, including insertion in a nuclear reactor;
b. Components ``specially designed'' for the target assemblies
specified in item a.
Technical Note to ECCN 1A231.b.: Components ``specially designed''
for target assemblies for the ``production'' of tritium may include
lithium pellets, tritium getters, and specially-coated cladding.
1A290 Depleted uranium (any uranium containing less than 0.711% of the
isotope U-235) in shipments of more than 1,000 kilograms in
the form of shielding contained in X-ray units, radiographic
exposure or teletherapy devices, radioactive thermoelectric
generators, or packaging for the transportation of radioactive
materials.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control depleted uranium in
fabricated forms for use in munitions. See 22 CFR part 121 for depleted
uranium ``subject to the ITAR. (2) Depleted uranium that is not
fabricated for use in munitions or fabricated into commodities solely to
take advantage of its high density (e.g., aircraft, ship, or other
counterweights) or in the forms listed in this entry are subject to the
export licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.) (3) ``Natural uranium'' or ``depleted uranium'' or
thorium in the form of metal, alloy, chemical compound or concentrate
and any other material containing one or more of the foregoing are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A607 Military dissemination ``equipment'' for riot control agents,
military detection and protection ``equipment'' for
toxicological agents (including chemical, biological, and riot
control agents), and related commodities (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to Part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1A607.
List of Items Controlled
Related Controls: (1) Vaccines identified in ECCN 1C991 are not
controlled by this ECCN. (2) See 22 CFR 121.1 (USML), Category XIV(h),
for vaccines that are subject to the ITAR. (3) Protection and detection
equipment and related items identified in ECCN 1A004, 1A995, or 2B351
are not controlled by this ECCN. (4) See 22 CFR 121.1 (USML), Category
XIV(f), for dissemination, detection and protection equipment that is
subject to the ITAR. (5) See ECCN 0A919 for ``military commodities''
located and produced outside the United States that incorporate more
than a de minimis amount of US-origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. through d. [Reserved]
e. ``Equipment'' ``specially designed'' for military use and for the
dissemination of any of the riot control agents controlled in ECCN
1C607.a.
[[Page 383]]
f. Protection ``equipment'' (including air conditioning units,
protective coatings, and protective clothing):
f.1. Not controlled by USML Category XIV(f); and
f.2. ``Specially designed'' for military use and for defense
against:
f.2.1. Materials specified by USML Category XIV (a) or (b); or
f.2.2. Riot control agents controlled in 1C607.a.
g. Decontamination ``equipment'':
g.1. Not controlled by USML Category XIV(f); and
g.2. ``Specially designed'' for military use and for decontamination
of objects contaminated with materials controlled by USML Category
XIV(a) or (b).
h. ``Equipment'':
h.1. Not controlled by USML Category XIV(f); and
h.2. ``Specially designed'' for military use and for the detection
or identification of:
h.2.1. Materials specified by USML Category XIV(a) or (b); or
h.2.2. Riot control agents controlled by ECCN 1C607.a.
i. [Reserved]
j. ``Equipment'' ``specially designed'' to:
j.1. Interface with a detector, shelter, vehicle, vessel, or
aircraft controlled by the USML or a ``600 series'' ECCN; and
j.2. Collect and process samples of articles controlled in USML
Category XIV(a) or (b).
k. Medical countermeasures that are ``specially designed'' for
military use (including pre- and post-treatments, antidotes, and medical
diagnostics) and ``specially designed'' to counter chemical agents
controlled by the USML Category XIV(a).
Note: Examples of ``equipment'' controlled by this entry are barrier
and non-barrier creams and filled autoinjectors (e.g., combopens where
one injector contains 2-PAM and the other atropine) if ``specially
designed'' to counter such agents.
l. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity controlled by ECCN
1A607.e, .f, .g, .h, or .j or for a defense article controlled by USML
Category XIV(f) and that are not enumerated or otherwise described
elsewhere in the USML.
1A613 Armored and protective ``equipment'' and related commodities, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 1A613.y. NS Column 1.
RS applies to entire entry except 1A613.y. RS Column 1.
RS applies 1A613.y........................ China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 1A613.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1A613.
List of Items Controlled
Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category X or XIII
of the ITAR, and technical data (including software) directly related
thereto, are ``subject to the ITAR.'' (2) See ECCN 0A919 for foreign-
made ``military commodities'' that incorporate more than a de minimis
amount of US-origin ``600 series'' controlled content. (3) See ECCN
9A610.g for anti-gravity suits (``G-suits'') and pressure suits capable
of operating at altitudes higher than 55,000 feet above sea level. (4)
For other military helmet ``components'' or ``accessories'' not
specified in 1A613.c, see the relevant ECCN in the CCL or USML Entry.
Related Definitions: References to ``NIJ Type'' protection are to the
National Institute of Justice Classification guide at NIJ Standard
0101.06, Ballistic Resistance of Body Armor, and NIJ Standard 0108.01,
Ballistic Resistant Protective Materials.
Items:
a. Metallic or non-metallic armored plate ``specially designed'' for
military use and not controlled by the USML.
Note to paragraph a: For controls on body armor plates, see ECCN
1A613.d.2 and USML Category X(a)(1).
b. Shelters ``specially designed'' to:
b.1. Provide ballistic protection for military systems; or
b.2. Protect against nuclear, biological, or chemical contamination.
c. Military helmets (other than helmets controlled under 1A613.y.1)
providing less than NIJ Type IV or ``equivalent standards'' protection.
Note 1: See ECCN 0A979 for controls on police helmets.
Note 2: See USML Category X(a)(5) and (a)(6) for controls on other
military helmets.
Note 3: 1A613.c does not apply to helmets that meet all the
following:
a. Were first manufactured before 1970; and
b. Are neither designed or modified to accept, nor equipped with
items specified by the U.S.
[[Page 384]]
Munitions List (22 CFR 121) or another ``600 series'' ECCN.
d. Body armor and protective garments, as follows:
d.1. Soft body armor and protective garments manufactured to
military standards or specifications, or to their equivalents, that
provide ballistic protection equal to or less than NIJ level III (NIJ
0101.06, July 2008) or ``equivalent standards''; or
Note: For 1A613.d.1, military standards or specifications include,
at a minimum, specifications for fragmentation protection.
d.2. Hard body armor plates that provide ballistic protection equal
to NIJ level III (NIJ 0101.06, July 2008) or ``equivalent standards''.
Note: See ECCN 1A005 for controls on soft body armor not
manufactured to military standards or specifications and hard body armor
plates providing less than NIJ level III or ``equivalent standards''
protection. For body armor providing NIJ Type IV protection or greater,
see USML Category X(a)(1).
e. Atmospheric diving suits ``specially designed'' for rescue
operations for submarines controlled by the USML or the CCL.
f. Other personal protective ``equipment'' ``specially designed''
for military applications not controlled by the USML, not elsewhere
controlled on the CCL.
g. to w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity controlled by ECCN 1A613
(except for 1A613.y) or an article enumerated in USML Category X, and
not controlled elsewhere in the USML.
Note: 1A613.x includes forgings, castings, and other unfinished
products, such as extrusions and machined bodies, that have reached a
stage in manufacturing where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as commodities
specified in ECCN 1A613.x.
y. Other commodities as follows:
y.1 Conventional military steel helmets.
Note: 1A613.y.1 does not apply to helmets that meet all the
following:
a. Were first manufactured before 1970; and
b. Are neither designed or modified to accept, nor equipped with
items specified by the U.S. Munitions List (22 CFR 121) or another ``600
series'' ECCN.
N.B. to paragraph y.1: For other military helmet ``components'' or
``accessories,'' see the relevant ECCN in the CCL or USML Entry.
y.2 [Reserved]
1A984 Chemical agents, including tear gas formulation containing 1
percent or less of orthochlorobenzalmalononitrile (CS), or 1
percent or less of chloroacetophenone (CN), except in
individual containers with a net weight of 20 grams or less;
liquid pepper except when packaged in individual containers
with a net weight of 3 ounces (85.05 grams) or less; smoke
bombs; non-irritant smoke flares, canisters, grenades and
charges; and other pyrotechnic articles having dual military
and commercial use, and ``parts'' and ``components''
``specially designed'' therefor, n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
1A985 Fingerprinting powders, dyes, and inks.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 3A981.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1A995 Protective and detection equipment not ``specially designed'' for
military use and not controlled by ECCN 1A004 or ECCN 2B351,
as follows (see List of Items Controlled), and ``parts'' and
``components'' not ``specially designed'' for military use and
not controlled by ECCN 1A004 or ECCN 2B351 therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
[[Page 385]]
List of Items Controlled
Related controls: See ECCNs 1A004, 2B351, and 2B352.
Related Definitions: N/A
Items: a. Personal radiation monitoring dosimeters;
b. Equipment limited by design or function to protect against
hazards specific to civil industries, such as mining, quarrying,
agriculture, pharmaceuticals, medical, veterinary, environmental, waste
management, or to the food industry.
Note: This entry (1A995) does not control items for protection
against chemical or biological agents that are consumer goods, packaged
for retail sale or personal use, or medical products, such as latex exam
gloves, latex surgical gloves, liquid disinfectant soap, disposable
surgical drapes, surgical gowns, surgical foot covers, and surgical
masks. Such items are classified as EAR99.
1A999 Specific Processing Equipment, n.e.s., as Follows (See List of
Items Controlled).
License Requirements
Reason for Control: AT
Control(s):
Country Chart. AT applies to entire entry. A license is required for
items controlled by this entry to North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine AT
licensing requirements for this entry. See Sec. 742.19 of the EAR for
additional information.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Radiation detection, monitoring and measurement equipment,
n.e.s.;
b. Radiographic detection equipment such as x-ray converters, and
storage phosphor image plates.
B. ``Test'', ``Inspection'' and ``Production Equipment''
1B001 Equipment for the production or inspection of ``composite''
structures or laminates controlled by 1A002 or ``fibrous or
filamentary materials'' controlled by 1C010, as follows (see
List of Items Controlled), and ``specially designed''
``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4, e and f. Note: MT applies to
equipment in 1B001.d that meet or exceed
the parameters of 1B101.
NP applies to filament winding machines NP Column 1.
described in 1B001.a that are capable of
winding cylindrical rotors having a
diameter between 75 mm (3 in) and 400 mm
(16 in) and lengths of 600 mm (24 in) or
greater; AND coordinating and programming
controls and precision mandrels for these
filament winding machines.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT and for 1B001.a; $5000 for all other items
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 1D001 for software for items controlled
by this entry and see ECCNs 1E001 (``development'' and ``production'')
and 1E101 (``use'') for technology for items controlled by this entry.
(2) Also see ECCNs 1B101 and 1B201.
Related Definitions: N/A
Items:
a. Filament winding machines, of which the motions for positioning,
wrapping and winding fibers are coordinated and programmed in three or
more 'primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' structures or laminates, from ``fibrous or
filamentary materials'';
b. 'Tape laying machines', of which the motions for positioning and
laying tape are coordinated and programmed in five or more 'primary
servo positioning' axes, ``specially designed'' for the manufacture of
``composite'' airframe or missile structures;
Technical Note: For the purposes of 1B001.b, 'tape-laying machines'
have the ability to lay one or more 'filament bands' limited to widths
greater than 25.4 mm and less than or equal to 304.8 mm, and to cut and
restart individual 'filament band' courses during the laying process.
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits,
``specially designed'' or modified for weaving, interlacing or braiding
fibers for ``composite'' structures;
Technical Note: For the purposes of 1B001.c the technique of
interlacing includes knitting.
d. Equipment ``specially designed'' or adapted for the production of
reinforcement fibers, as follows:
[[Page 386]]
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibers
or silicon carbide fibers, including special equipment to strain the
fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds, on heated filamentary substrates, to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such as
aluminum oxide);
d.4. Equipment for converting aluminum containing precursor fibers
into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the hot
melt method;
f. Non-destructive inspection equipment ``specially designed'' for
``composite'' materials, as follows:
f.1. X-ray tomography systems for three dimensional defect
inspection;
f.2. Numerically controlled ultrasonic testing machines of which the
motions for positioning transmitters or receivers are simultaneously
coordinated and programmed in four or more axes to follow the three
dimensional contours of the ``part'' or ``component'' under inspection;
g. Tow-placement machines, of which the motions for positioning and
laying tows are coordinated and programmed in two or more 'primary servo
positioning' axes, ``specially designed'' for the manufacture of
``composite'' airframe or missile structures.
Technical Note to 1B001.g: For the purposes of 1B001.g, 'tow-
placement machines' have the ability to place one or more 'filament
bands' having widths less than or equal to 25.4 mm, and to cut and
restart individual 'filament band' courses during the placement process.
Technical Notes for 1B001:
1. For the purposes of 1B001, 'primary servo positioning' axes
control, under computer ``program'' direction, the position of the end
effector (i.e., head) in space relative to the work piece at the correct
orientation and direction to achieve the desired process.
2. For the purposes of 1B001, a 'filament band' is a single
continuous width of fully or partially resin-impregnated tape, tow or
fiber. Fully or partially resin-impregnated 'filament bands' include
those coated with dry powder that tacks upon heating.
1B002 Equipment designed to produce metal alloy powder or particulate
materials and having any of the following (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' to avoid contamination; and
b. ``Specially designed'' for use in one of the processes specified
by 1C002.c.2.
1B003 Tools, dies, molds or fixtures, for ``superplastic forming'' or
``diffusion bonding'' titanium, aluminum or their alloys,
``specially designed'' for the manufacture of any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: For ``specially designed''``production equipment''of
systems, sub-systems, and ``parts'' and ``components'' controlled by
9A005 to 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 9A120
usable in ``missiles,'' see 9B115.
Related Definitions: N/A
Items: a. Airframe or aerospace structures;
b. ``Aircraft'' or aerospace engines; or
c. ``Specially designed'' ``parts'' and ``components'' for
structures specified by 1B003.a or for engines specified by 1B003.b.
1B018 Items on the Wassenaar Arrangement Munitions List (see List of
Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to equipment for the MT Column 1.
``production'' of rocket propellants.
RS applies to 1B018.a..................... RS Column 2.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
[[Page 387]]
LVS: $3000 for 1B018.a for countries WITHOUT an ``X'' in RS Column 2 on
the Country Chart contained in Supplement No. 1 to part 738 of the EAR;
$5000 for 1B018.b.
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 1B608.a, .b, and .x for items that,
immediately prior to July 1, 2014, were classified under 1B018.a.
Related Definitions: N/A
Items: a. [Reserved]
b. [Reserved]
1B101 Equipment, other than that controlled by 1B001, for the
``production'' of structural composites, fibers, prepregs or
preforms, usable for rockets, missiles, or unmanned aerial
vehicles capable of achieving a ``range'' equal to or greater
than 300 km and their subsystems, as follows (see List of
Items Controlled); and ``specially designed'' ``parts,''
``components'' and ``accessories'' therefor.
License Requirements
Reason for Control:MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to filament winding machines NP Column 1.
described in 1B101.a that are capable of
winding cylindrical rotors having a
diameter between 75 mm (3 in.) and 400 mm
(16 in.) and lengths of 600 mm (24 in.)
or greater AND to coordinating and
programming controls and precision
mandrels for these filament winding
machines.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 1D101 for software for items controlled by
this entry and see ECCNs 1E001 (``development'' and ``production'') and
1E101 (``use'') for technology for items controlled by this entry. Also
see 1B201.
Related Definitions: Examples of ``parts,'' ``components'' and
accessories for the machines controlled by this entry are molds,
mandrels, dies, fixtures and tooling for the preform pressing, curing,
casting, sintering or bonding of composite structures, laminates and
manufactures thereof.
Items: a. Filament winding machines or 'fiber/tow-placement machines,'
of which the motions for positioning, wrapping and winding fibers can be
coordinated and programmed in three or more axes, designed to fabricate
composite structures or laminates from fibrous or filamentary materials,
and coordinating and programming controls;
b. 'Tape-laying machines' of which the motions for positioning and
laying tape can be coordinated and programmed in two or more axes,
designed for the manufacture of composite airframe and missile
structures;
Technical Notes for paragraphs a and b: For the purposes of 1B101.a.
and 1B101.b., the following definitions apply:
1. 'Fiber/tow-placement machines' and 'tape-laying machines' are
machines that perform similar processes that use computer-guided heads
to lay one or several 'filament bands' onto a mold to create a part or a
structure. These machines have the ability to cut and restart individual
'filament band' courses during the laying process.
2. A 'filament band' is a single continuous width of fully or
partially resin-impregnated tape, tow, or fiber. Fully or partially
resin-impregnated 'filament bands' include those coated with dry powder
that tacks upon heating.
3. 'Fiber/tow-placement machines' have the ability to place one or
more 'filament bands' having widths less than or equal to 25.4 mm. This
refers to the minimum width of material the machine can place,
regardless of the upper capability of the machine.
4. 'Tape-laying machines' have the ability to place one or more
'filament bands' having widths less than or equal to 304.8 mm, but
cannot place 'filament bands' with a width equal to or less than 25.4
mm. This refers to the minimum width of material the machine can place,
regardless of the upper capability of the machine.
c. Equipment designed or modified for the ``production'' of
``fibrous or filamentary materials'' as follows:
c.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon or polycarbosilane) including special provision
to strain the fiber during heating;
c.2. Equipment for the vapor deposition of elements or compounds on
heated filament substrates; and
c.3. Equipment for the wet-spinning of refractory ceramics (such as
aluminum oxide);
d. Equipment designed or modified for special fiber surface
treatment or for producing prepregs and preforms controlled by 9A110.
Note: Equipment covered in 1B101.d includes but is not limited to,
rollers, tension stretchers, coating equipment, cutting equipment and
clicker dies.
1B102 Metal powder ``production equipment,'' other than that specified
in 1B002, and ``parts'' and ``components'' as follows (see
List of Items Controlled).
License Requirements
Reason for Control: MT, AT
[[Page 388]]
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 1. See also 1B115.b.
Related Definitions: N/A
Items: a. Metal powder ``production equipment'' usable for the
``production'', in a controlled environment, of spherical, spheroidal or
atomized materials specified in 1C011.a., 1C011.b., 1C111.a.1.,
1C111.a.2., or controlled for MT reasons in Category V of the USML.
b. ``Specially designed'' ``parts'' and ``components'' for
``production equipment'' specified in 1B002 or 1B102.a.
Note: 1B102 includes: a. Plasma generators (high frequency arc-jet)
usable for obtaining sputtered or spherical metallic powders with
organization of the process in an argon-water environment;
b. Electroburst equipment usable for obtaining sputtered or
spherical metallic powders with organization of the process in an argon-
water environment;
c. Equipment usable for the ``production'' of spherical aluminum
powders by powdering a melt in an inert medium (e.g., nitrogen).
1B115 ``Equipment, other than that controlled in 1B002 or 1B102, for the
``production'' of propellant or propellant constituents (see
List of Items Controlled), and ``specially designed''
``parts'' and ``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: For the control of batch mixers, continuous mixers and
fluid energy mills, see 1B117, 1B118 and 1B119.
Related Definitions: N/A
Items: a. ``Production equipment'' for the ``production'', handling or
acceptance testing of liquid propellants or propellant constituents
controlled by 1C011.a, 1C011.b, 1C111 or on the U.S. Munitions List;
b. ``Production equipment,'' for the production, handling, mixing,
curing, casting, pressing, machining, extruding or acceptance testing of
solid propellants or propellant constituents described in 1C011.a,
1C011.b or 1C111, or on the U.S. Munitions List.
Note: 1B115.b does not control batch mixers, continuous mixers or
fluid energy mills. For the control of batch mixers, continuous mixers
and fluid energy mills see 1B117, 1B118, and 1B119.
Note 1: [Reserved]
Note 2: 1B115 does not control equipment for the ``production,''
handling and acceptance testing of boron carbide.
1B116 ``Specially Designed'' nozzles for producing pyrolitically derived
materials formed on a mold, mandrel or other substrate from
precursor gases which decompose in the 1,573 K (1,300 [deg]C)
to 3,173 K (2,900 [deg]C) temperature range at pressures of
130 Pa to 20 kPa.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B117 Batch mixers having all of the following (see List of Items
Controlled), and ``specially designed'' ``parts'' and
``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 1B115, 1B118, and 1B119.
Related Definitions: N/A
Items: a. Capable of mixing under vacuum in the range from zero to
13.326 kPa;
b. Capable of controlling the temperature of the mixing chamber;
c. A total volumetric capacity of 110 liters (30 gallons) or more;
and
[[Page 389]]
d. At least one 'mixing/kneading shaft' mounted off center.
Note to paragraph d: In 1B117.d. the term 'mixing/kneading shaft'
does not refer to deagglomerators or knife-spindles.
1B118 Continuous mixers having all of the following (see List of Items
Controlled), and ``specially designed'' ``parts'' and
``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 1B115, 1B117, and 1B119.
Related Definitions: N/A
Items: a. Capable of mixing under vacuum in the range from zero to
13.326 kPa;
b. Capable of controlling the temperature of the mixing chamber; and
c. Either of the following:
c.1. Two or more mixing/kneading shafts; or
c.2. A single rotating and oscillating shaft with kneading teeth/
pins as well as kneading teeth/pins inside the casing of the mixing
chamber.
1B119 Fluid energy mills usable for grinding or milling propellant or
propellant constituents specified in 1C011.a, 1C011.b or
1C111, or on the U.S. Munitions List, and ``specially
designed'' ``parts'' and ``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 1B115, 1B117 and 1B118.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1B201 Filament winding machines (other than those controlled by ECCN
1B001 or 1B101) and related equipment, as described in this
ECCN (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 1D201 for software for items controlled by
this entry and see ECCNs 1E001 (``development'' and ``production'') and
1E201 (``use'') for technology for items controlled by this entry. Also
see ECCN 1E203 for technology for the ``development'' of software
controlled by ECCN 1D201.
Related Definitions: N/A
Items: a. Filament winding machines having all of the following
characteristics:
a.1. Having motions for positioning, wrapping, and winding fibers
coordinated and programmed in two or more axes;
a.2. ``Specially Designed'' to fabricate composite structures or
laminates from ``fibrous or filamentary materials''; and
a.3. Capable of winding cylindrical tubes with an internal diameter
between 75 mm and 650 mm and lengths of 300 mm or greater;
b. Coordinating and programming controls for filament winding
machines controlled by 1B201.a;
c. Precision mandrels for filament winding machines controlled by
1B201.a.
1B225 Electrolytic cells for fluorine production with a production
capacity greater than 250 g of fluorine per hour.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) See ECCN 1B999 for specific processing equipment,
n.e.s.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
[[Page 390]]
1B226 Electromagnetic isotope separators designed for, or equipped with,
single or multiple ion sources capable of providing a total
ion beam current of 50 mA or greater.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Electromagnetic isotope separators ``specially
designed'' or prepared for use in separating uranium isotopes are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110). (2) See ECCNs 1E001 (``development''
and ``production'') and 1E201 (``use'') for technology for items
controlled by this entry.
Related Definitions: N/A
ECCN Controls: This entry includes separators capable of enriching
stable isotopes and separators with the ion sources and collectors both
in the magnetic field and those configurations in which they are
external to the field.
Items: The list of items controlled is contained in the ECCN heading.
1B228 Hydrogen cryogenic distillation columns having all of the
characteristics described in this ECCN (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Equipment ``specially designed'' or prepared for
the production of heavy water is subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
(2) See ECCNs 1E001 (``development'' and ``production'') and 1E201
(``use'') for technology for items controlled by this entry.
Related Definitions: (1) The term ``fine grain stainless steels,'' for
purposes of this ECCN, means fine grain austenitic stainless steels with
an ASTM (or equivalent standard) grain size number of 5 or greater. (2)
The term ``effective length,'' for purposes of this ECCN, means the
active height of packing material in a packed-type column, or the active
height of internal contactor plates in a plate-type column.
Items: a. Designed to operate with internal temperatures of 35 K (-238
[deg]C) or less;
b. Designed to operate at an internal pressure of 0.5 to 5 MPa (5 to
50 atmospheres);
c. Constructed of ``fine-grain stainless steels'' of the 300 series
with low sulphur content or equivalent cryogenic and H2-
compatible materials; and
d. With internal diameters of 30 cm or greater and ``effective
lengths'' of 4 m or greater.
1B230 Pumps capable of circulating solutions of concentrated or dilute
potassium amide catalyst in liquid ammonia (KNH2/
NH3), having all of the following characteristics
(see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Equipment ``specially designed'' or prepared for
the production of heavy water is subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
(2) See ECCNs 1E001 (``development'' and ``production'') and 1E201
(``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. Airtight (i.e., hermetically sealed);
b. A capacity greater than 8.5 m\3\/h; and
c. Either of the following characteristics:
c.1. For concentrated potassium amide solutions (1% or greater), an
operating pressure of 1.5 to 60 MPa (15-600 atmospheres); or
c.2. For dilute potassium amide solutions (less than 1%), an
operating pressure of 20 to 60 MPa (200-600 atmospheres).
1B231 Tritium facilities or plants, and equipment therefor, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
[[Page 391]]
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Tritium, tritium compounds, and mixtures
containing tritium are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110). (2) See ECCNs 1E001
(``development'' and ``production'') and 1E201 (``use'') for technology
for items controlled by this entry.
Related Definitions: N/A
Items:
a. Facilities or plant for the production, recovery, extraction,
concentration, or handling of tritium;
b. Equipment for tritium facilities or plant, as follows:
b.1. Hydrogen or helium refrigeration units capable of cooling to 23
K (-250 [deg]C) or less, with heat removal capacity greater than 150
watts; or
b.2. Hydrogen isotope storage or hydrogen isotope purification
systems using metal hydrides as the storage, or purification medium.
1B232 Turboexpanders or turboexpander-compressor sets having both of the
following characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Equipment ``specially designed'' or prepared for
the production of heavy water is subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
(2) See ECCNs 1E001 (``development'' and ``production'') and 1E201
(``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. Designed for operation with an outlet temperature of 35 K (-
238 [deg]C) or less; and
b. Designed for a throughput of hydrogen gas of 1,000 kg/h or
greater.
1B233 Lithium isotope separation facilities or plants, and systems and
equipment therefor (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to 1B233.b..................... NP Column 1
AT applies to 1B233.b..................... AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 1E001 (``development'' and
``production'') and ECCN 1E201 (``use'') for technology for items
described in this entry. (2) Facilities and plants described in 1B233.a
are subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110). (3) Certain lithium isotope separation
equipment and components for the plasma separation process (PSP) that
are described in 1B233.b through .d are also directly applicable to
uranium isotope separation and are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Facilities or plants for the separation of lithium isotopes;
b. Equipment for the separation of lithium isotopes based on the
lithium-mercury amalgam process, as follows:
b.1. Packed liquid-liquid exchange columns ``specially designed''
for lithium amalgams;
b.2. Mercury and/or lithium amalgam pumps;
b.3. Lithium amalgam electrolysis cells;
b.4. Evaporators for concentrated lithium hydroxide solution.
c. Ion exchange systems ``specially designed'' for lithium isotope
separation, and ``specially designed'' component parts therefor;
d. Chemical exchange systems (employing crown ethers, cryptands, or
lariat ethers) ``specially designed'' for lithium isotope separation,
and ``specially designed'' component parts therefor.
1B234 High explosive containment vessels, chambers, containers, and
other similar containment devices, not enumerated in ECCN
1B608 or in USML Category IV or V of the ITAR, designed for
the testing of high explosives or explosive devices and having
both of the characteristics described in this ECCN (see List
of Items Controlled).
License Requirements
Reason for Control: NP, AT
[[Page 392]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Devices ``specially designed'' for the handling,
control, activation, monitoring, detection, protection, discharge, or
detonation of the articles enumerated in USML Category IV(a) and (b) are
controlled by USML Category IV(c) of the ITAR (see 22 CFR parts 120
through 130). (2) See USML Category V of the ITAR (22 CFR parts 120
through 130) for devices identified therein that are ``specially
designed'' to fully contain explosives enumerated in USML Category V.
(3) Also see ECCN 1B608 for ``equipment'' ``specially designed'' for the
``development,'' ``production,'' repair, overhaul, or refurbishing of
items controlled by ECCN 1C608 or USML Category V and not elsewhere
specified on the USML.
Related Definitions: N/A
Items: a. Designed to fully contain an explosion equivalent to 2 kg of
TNT or greater; and
b. Having design elements or features enabling real time or delayed
transfer of diagnostic or measurement information.
1B607 Military test, inspection, and production ``equipment'' and
related commodities ``specially designed'' for the
``development,'' ``production,'' repair, overhaul, or
refurbishing of commodities identified in ECCN 1A607 or 1C607,
or defense articles enumerated or otherwise described in USML
Category XIV (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to Part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1B607.
List of Items Controlled
Related Controls: (1) See ECCN 2B350 for controls on certain
incinerators. (2) See ECCN 0A919 for ``military commodities'' located
and produced outside the United States that incorporate more than a de
minimis amount of US-origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. ``Equipment'' ``specially designed'' for the destruction of
the chemical agents controlled by USML Category XIV(a).
Note to 1B607.a: ECCN 1B607.a includes controls over facilities
``specially designed'' for destruction operations. This paragraph .a
does not control incinerators and ``specially designed'' handling
facilities or ``specially designed'' waste supply systems therefor.
b. Test facilities and ``equipment'' ``specially designed'' for
military certification, qualification, or testing of commodities
controlled by ECCN 1A607.e, .f, .g, .h, or .j or by USML Category
XIV(f), except for XIV(f)(1).
c. Tooling and ``equipment'' ``specially designed'' for the
``development,'' ``production,'' repair, overhaul, or refurbishing of
commodities controlled by ECCN 1A607.e, .f .g, .h, or .j or USML
Category XIV(f).
d. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity controlled by ECCN
1B607.b or .c, or for a defense article controlled by USML Category
XIV(f), and that are not enumerated or otherwise described elsewhere in
the USML.
1B608 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities enumerated in ECCN 1C608 or USML Category V (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to equipment ``specially MT Column 1
designed'' for MT-controlled commodities
in ECCN 1C608 or MT articles in USML
Category V.
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
[[Page 393]]
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1B608.
List of Items Controlled
Related Controls: (1) Defense articles that are enumerated in USML
Category V, and technical data (including software) directly related
thereto, are ``subject to the ITAR''. (2) See ECCN 0A919 for foreign-
made ``military commodities'' that incorporate more than a de minimis
amount of US-origin ``600 series'' controlled content. (3) See ECCN
1B115 for controls on ``production equipment,'' not controlled by this
ECCN 1B608, for propellants or propellant constituents described in ECCN
1C011.a, 1C011.b, or 1C111 or in USML Category V.
Related Definitions: N/A
Items: a. ``Equipment'' ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of items controlled by
ECCN 1C608 or USML Category V and not elsewhere specified on the USML.
Note to paragraph a: ECCN 1B608.a. includes: (1) Continuous
nitrators; (2) dehydration presses;
(3) cutting machines for the sizing of extruded propellants; (4)
sweetie barrels (tumblers) 6 feet or more in diameter and having over
500 pounds product capacity; (5) convection current converters for the
conversion of materials listed in USML Category V(c)(2); and (6)
extrusion presses for the extrusion of small arms, cannon and rocket
propellants.
b. Complete installations ``specially designed'' for the
``development,'' ``production,'' repair, overhaul, or refurbishing of
items controlled by ECCN 1C608 or USML Category V and not elsewhere
specified on the USML.
c. Environmental test facilities ``specially designed'' for the
certification, qualification, or testing of items controlled by ECCN
1C608 or USML Category V.
d. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and ``attachments''
that are ``specially designed'' for a commodity subject to control in
this ECCN or a defense article in USML Category V and not elsewhere
specified on the USML.
1B613 Test, inspection, and ``production'' ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities controlled by ECCN 1A613 or USML Category X, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1B613.
List of Items Controlled
Related Controls: See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and ``production'' ``equipment,'' not
controlled by USML Category X(c), that is ``specially designed'' for the
``development,'' ``production,'' repair, overhaul, or refurbishing of
commodities controlled by ECCN 1A613 or USML Category X.
b. Plasma pressure compaction (P2C) ``equipment'' ``specially
designed'' for the ``production'' of ceramic or composite body armor
plates controlled by ECCN 1A613 or USML Category X.
1B999 Specific processing equipment, n.e.s., as follows (see List of
Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) no. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
Pakistan or transfer within
Iraq or Pakistan for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT license requirements for
this entry. See Sec.
742.19 of the EAR for
additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
[[Page 394]]
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 1B001, 1B101, 1B201, 1B225, and 1D999
Related Definitions: N/A
Items:
a. Electrolytic cells for fluorine production, n.e.s.
b. Particle accelerators.
c. Industrial process control hardware/systems designed for power
industries, n.e.s.
d. Freon and chilled water cooling systems capable of continuous
cooling duties of 100,000 BTU/hr (29.3 kW) or greater.
e. Equipment for the production of structural composites, fibers,
prepregs and preforms, n.e.s.
1C001 Materials ``specially designed'' for absorbing electromagnetic
radiation, or intrinsically conductive polymers, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to items that meet or exceed MT Column 1
the parameters of ECCN 1C101.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C101.
Related Definitions: N/A
Items:
a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz but
less than 3 x 10\12\ Hz.
Note 1: 1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic fibers,
with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface is
non-planar in shape, including pyramids, cones, wedges and convoluted
surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with carbon-
loading, or organic materials, including binders, providing more than 5%
echo compared with metal over a bandwidth exceeding 15% of the center frequency of the incident energy, and
not capable of withstanding temperatures exceeding 450 K (177 [deg]C);
or
b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the center
frequency of the incident energy, and not capable of withstanding
temperatures exceeding 800 K (527 [deg]C);
Technical Note: For the purposes of 1C001.a Note 1.c.1, absorption
test samples should be a square at least 5 wavelengths of the center
frequency on a side and positioned in the far field of the radiating
element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having all of the
following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 [deg]C) or less;
e. Planar absorbers having no magnetic loss and fabricated from
'open-cell foams' plastic material with a density of 0.15 grams/cm\3\ or
less.
Technical Note: For the purposes of 1C001.a Note e., 'open-cell
foams' are flexible and porous materials, having an inner structure open
to the atmosphere. 'Open-cell foams' are also known as reticulated
foams.
Note 2: Nothing in Note 1 releases magnetic materials to provide
absorption when contained in paint.
b. Materials not transparent to visible light and ``specially
designed'' for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150 THz
but less than 370 THz);
Note: 1C001.b does not apply to materials, ``specially designed'' or
formulated for any of the following applications:
a. ``Laser'' marking of polymers; or
b. ``Laser'' welding of polymers.
c. Intrinsically conductive polymeric materials with a 'bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or a
'sheet (surface) resistivity' of less than 100 ohms/square, based on any
of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note: 1C001.c does not apply to materials in a liquid form.
Technical Note: For the purposes of 1C001.c, 'bulk electrical
conductivity' and 'sheet (surface) resistivity' should be determined
using ASTM D-257 or national equivalents.
[[Page 395]]
1C002 Metal alloys, metal alloy powder and alloyed materials, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to 1C002.b.3 or b.4 if they NP Column 1
exceed the parameters stated in 1C202.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for NP
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCN 1C202. (3) Aluminum alloys and titanium
alloys in physical forms and finished products ``especially designed''
or prepared for use in separating uranium isotopes are subject to the
export licensing authority of the Nuclear Regulatory Commission (see 10
CFR part 110).
Related Definition: N/A
Items:
Note: 1C002 does not control metal alloys, metal alloy powder and
alloyed materials, specially formulated for coating purposes.
Technical Note: For the purposes of 1C002, metal alloys are those
containing a higher percentage by weight of the stated metal than of any
other element.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight
aluminum, a maximum of 38% by weight aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more aluminum
and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate
material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A 'stress-rupture life' of 10,000 hours or longer at 923 K
(650 [deg]C) at a stress of 676 MPa; or
b.1.b. A 'low cycle fatigue life' of 10,000 cycles or more at 823 K
(550 [deg]C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A 'stress-rupture life' of 10,000 hours or longer at 1,073 K
(800 [deg]C) at a stress of 400 MPa; or
b.2.b. A 'low cycle fatigue life' of 10,000 cycles or more at 973 K
(700 [deg]C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A 'stress-rupture life' of 10,000 hours or longer at 723 K
(450 [deg]C) at a stress of 200 MPa; or
b.3.b. A 'low cycle fatigue life' of 10,000 cycles or more at 723 K
(450 [deg]C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200 [deg]C);
or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25 [deg]C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium chloride
aqueous solution measured in accordance with ASTM standard G-31 or
national equivalents;
Technical Notes: For the purposes of 1C002.b:
1. 'Stress-rupture life' should be measured in accordance with ASTM
standard E-139 or national equivalents.
2. 'Low cycle fatigue life' should be measured in accordance with
ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-
Cycle Fatigue Testing' or national equivalents. Testing should be axial
with an average stress ratio equal to 1 and a stress-concentration
factor (Kt) equal to 1. The average stress ratio is defined as maximum
stress minus minimum stress divided by maximum stress.
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note: For the purposes of 1C002.c.1, X equals one or more
alloying elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine
``parts'' or ``components,'' i.e., with less than 3 non-metallic
particles (introduced during the manufacturing process) larger than 100
[micro]m in 109 alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-
Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-
Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. 'Vacuum atomization';
c.2.b. 'Gas atomization';
c.2.c. 'Rotary atomization';
c.2.d. 'Splat quenching';
c.2.e. 'Melt spinning' and 'comminution';
c.2.f. 'Melt extraction' and 'comminution';
c.2.g. 'Mechanical alloying'; or
c.2.h. 'Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or 1C002.b;
[[Page 396]]
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods; and
d.3. Produced in a controlled environment by any of the following:
d.3.a. 'Splat quenching';
d.3.b. 'Melt spinning'; or
d.3.c. 'Melt extraction'.
Technical Notes: For the purposes of 1C002:
1. 'Vacuum atomization' is a process to reduce a molten stream of
metal to droplets of a diameter of 500 [micro]m or less by the rapid
evolution of a dissolved gas upon exposure to a vacuum.
2. 'Gas atomization' is a process to reduce a molten stream of metal
alloy to droplets of 500 [micro]m diameter or less by a high pressure
gas stream.
3. 'Rotary atomization' is a process to reduce a stream or pool of
molten metal to droplets of a diameter of 500 [micro]m or less by
centrifugal force.
4. 'Splat quenching' is a process to 'solidify rapidly' a molten
metal stream impinging upon a chilled block, forming a flake-like
product.
5. 'Melt spinning' is a process to 'solidify rapidly' a molten metal
stream impinging upon a rotating chilled block, forming a flake, ribbon
or rod-like product.
6. 'Comminution' is a process to reduce a material to particles by
crushing or grinding.
7. 'Melt extraction' is a process to 'solidify rapidly' and extract
a ribbon-like alloy product by the insertion of a short segment of a
rotating chilled block into a bath of a molten metal alloy.
8. 'Mechanical alloying' is an alloying process resulting from the
bonding, fracturing and rebonding of elemental and master alloy powders
by mechanical impact. Non-metallic particles may be incorporated in the
alloy by addition of the appropriate powders.
9. 'Plasma atomization' is a process to reduce a molten stream or
solid metal to droplets of 500 [micro]m diameter or less, using plasma
torches in an inert gas environment.
10. For the purposes of 1C002 Technical Notes, 'solidify rapidly' is
a process involving the solidification of molten material at cooling
rates exceeding 1000 K/sec.
1C003 Magnetic metals, of all types and of whatever form, having any of
the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Initial relative permeability of 120,000 or more and a thickness
of 0.05 mm or less;
Technical Note: For the purposes of 1C003.a, measurement of initial
relative permeability must be performed on fully annealed materials.
b. Magnetostrictive alloys having any of the following:
b.1. A saturation magnetostriction of more than 5 x
104-4; or
b.2. A magnetomechanical coupling factor (k) of more than 0.8; or
c. Amorphous or 'nanocrystalline' alloy strips, having all of the
following:
c.1. A composition having a minimum of 75% by weight of iron, cobalt
or nickel;
c.2. A saturation magnetic induction (Bs) of 1.6 T or
more; and
c.3. Any of the following:
c.3.a. A strip thickness of 0.02 mm or less; or
c.3.b. An electrical resistivity of 2 x 10-4 ohm cm or
more.
Technical Note: For the purposes of 1C003.c, 'nanocrystalline'
materials are those materials having a crystal grain size of 50 nm or
less, as determined by X-ray diffraction.
1C004 Uranium titanium alloys or tungsten alloys with a ``matrix'' based
on iron, nickel or copper, having all of the following (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $3000
GBS: N/A
List of Items Controlled
Related Controls: See also 1C117 and 1C226.
Related Definitions: N/A
Items: a. A density exceeding 17.5 g/cm\3\;
b. An elastic limit exceeding 880 MPa;
c. An ultimate tensile strength exceeding 1,270 MPa; and
d. An elongation exceeding 8%.
1C005 ``Superconductive'' ``composite'' conductors in lengths exceeding
100 m or with a mass exceeding 100 g, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
[[Page 397]]
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Superconductive'' ``composite'' conductors containing one or
more niobium-titanium 'filaments', having all of the following:
a.1. Embedded in a ``matrix'' other than a copper or copper-based
mixed ``matrix''; and
a.2. Having a cross-section area less than 0.28 x 10-4
mm\2\ (6 [micro]m in diameter for circular 'filaments');
b. ``Superconductive'' ``composite'' conductors consisting of one or
more ``superconductive'' 'filaments' other than niobium-titanium, having
all of the following:
b.1. A ``critical temperature'' at zero magnetic induction exceeding
9.85 K (-263.31 [deg]C); and
b.2. Remaining in the ``superconductive'' state at a temperature of
4.2 K (-268.96 [deg]C) when exposed to a magnetic field oriented in any
direction perpendicular to the longitudinal axis of conductor and
corresponding to a magnetic induction of 12 T with critical current
density exceeding 1750 A/mm\2\ on overall cross-section of the
conductor.
c. ``Superconductive'' ``composite'' conductors consisting of one or
more ``superconductive'' 'filaments' which remain ``superconductive''
above 115 K (-158.16 [deg]C).
Technical Note: For the purposes of 1C005, 'filaments' may be in
wire, cylinder, film, tape or ribbon form.
1C006 Fluids and lubricating materials, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: Yes for 1C006.d
List of Items Controlled
Related Controls: See also 1C996.
Related Definitions: N/A
Items:
a. [Reserved]
b. Lubricating materials containing, as their principal ingredients,
phenylene or alkylphenylene ethers or thio-ethers, or their mixtures,
containing more than two ether or thio-ether functions or mixtures
thereof.
c. Damping or flotation fluids having all of the following:
c.1. Purity exceeding 99.8%;
c.2. Containing less than 25 particles of 200 [micro]m or larger in
size per 100 ml; and
c.3. Made from at least 85% of any of the following:
c.3.a. Dibromotetrafluoroethane (CAS 25497-30-7, 124-73-2, 27336-23-
8);
c.3.b. Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3.c. Polybromotrifluoroethylene;
d. Fluorocarbon fluids designed for electronic cooling and having
all of the following:
d.1. Containing 85% by weight or more of any of the following, or
mixtures thereof:
d.1.a. Monomeric forms of perfluoropolyalkylether-triazines or
perfluoroaliphatic-ethers;
d.1.b. Perfluoroalkylamines;
d.1.c. Perfluorocycloalkanes; or
d.1.d. Perfluoroalkanes;
d.2. Density at 298 K (25 [deg]C) of 1.5 g/ml or more;
d.3. In a liquid state at 273 K (0 [deg]C); and
d.4. Containing 60% or more by weight of fluorine.
Note: 1C006.d does not apply to materials specified and packaged as
medical products.
1C007 Ceramic powders, ceramic ``matrix'' ``composite'' materials and
'precursor materials,' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to items in 1C007.c when the MT Column 1
dielectric constant is less than 6 at any
frequency from 100 MHz to 100 GHz for use
in ``missile'' radomes.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except N/A for MT and for 1C007.e
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in 1C007.c
entry to any of the destinations listed in Country
[[Page 398]]
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C107
Related Definitions: N/A
Items: a. Ceramic powders of titanium diboride (TiB2) (CAS
12045-63-5) having total metallic impurities, excluding intentional
additions, of less than 5,000 ppm, an average particle size equal to or
less than 5 [micro]m and no more than 10% of the particles larger than
10 [micro]m;
b. [Reserved]
c. Ceramic ``matrix'' ``composite'' materials as follows:
c.1. Ceramic-ceramic ``composite'' materials with a glass or oxide-
``matrix'' and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following materials:
c.1.a.1. Al2O3 (CAS 1344-28-1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to ``composites'' containing fibers
with a tensile strength of less than 700 MPa at 1,273 K (1,000 [deg]C)
or tensile creep resistance of more than 1% creep strain at 100 MPa load
and 1,273 K (1,000 [deg]C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ``specific tensile strength'' exceeding 12.7 x 10
\3\ m;
c.2. Ceramic ``matrix'' ``composite'' materials with a ``matrix''
formed of carbides or nitrides of silicon, zirconium or boron;
N.B.: For items previously specified by 1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.: For items previously specified by 1C007.d see 1C007.c.2.
e. 'Precursor materials' ``specially designed'' for the
``production'' of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007, 'precursor materials' are
special purpose polymeric or metallo-organic materials used for the
``production'' of silicon carbide, silicon nitride, or ceramics with
silicon, carbon and nitrogen.
f. [Reserved]
N.B.: For items previously specified by 1C007.f see 1C007.c.1.a.
1C008 Non-fluorinated polymeric substances as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $200
GBS: N/A
List of Items Controlled
Related Controls: See also 1A003.
Related Definitions: N/A
Items:
a. Imides as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides (PAI) having a 'glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C);
a.3. Aromatic polyimides having a 'glass transition temperature
(Tg)' exceeding 505 K (232 [deg]C);
a.4. Aromatic polyetherimides having a 'glass transition temperature
(Tg)' exceeding 563 K (290 [deg]C);
Note: 1C008.a controls the substances in liquid or solid ``fusible''
form, including resin, powder, pellet, film, sheet, tape, or ribbon.
N.B.: For non-``fusible'' aromatic polyimides in film, sheet, tape,
or ribbon form, see ECCN 1A003.
b. [Reserved]
c. [Reserved]
d. Polyarylene ketones;
e. Polyarylene sulfides, where the arylene group is biphenylene,
triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a 'glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C).
Technical Notes:
1. For the purposes of 1C008.a.2 thermoplastic materials, 1C008.a.4
materials, and 1C008.f materials, the 'glass transition temperature
(Tg)' is determined using the method described in ISO 11357-2 (1999) or
national equivalents.
2. For the purposes of 1C008.a.2 thermosetting materials and
1C008.a.3 materials, the 'glass transition temperature (Tg)' is
determined using the 3-point bend method described in ASTM D 7028-07 or
equivalent national standard. The test is to be performed using a dry
test specimen which has attained a minimum of 90% degree of cure as
specified by ASTM E 2160-04 or equivalent national standard, and was
cured using the combination of standard- and post-cure processes that
yield the highest Tg.
1C009 Unprocessed fluorinated compounds as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
[[Page 399]]
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: See also 1A001.
Related Definitions: N/A
Items: a. [Reserved]
b. Fluorinated polyimides containing 10% by weight or more of
combined fluorine;
c. Fluorinated phosphazene elastomers containing 30% by weight or
more of combined fluorine.
1C010 ``Fibrous or filamentary materials'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to 1C010.a (aramid ``fibrous or NP Column 1
filamentary materials'', b (carbon
``fibrous and filamentary materials''),
and e.1 for ``fibrous and filamentary
materials'' that meet or exceed the
control criteria of ECCN 1C210.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, N/A for NP
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in 1C010.c
to any of the destinations listed in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCNs 1C210 and 1C990. (3) See also 9C110
for material not controlled by 1C010.e, as defined by notes 1 or 2.
Related Definitions: (1) ``Specific modulus'': Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in N/m3, measured
at a temperature of (296+2) K ((23+2) [deg]C) and a relative humidity of
(50+5) %. (2) ``Specific tensile strength'': ultimate tensile strength
in pascals, equivalent to N/m2 divided by specific weight in N/m3,
measured at a temperature of (296+2) K ((23+2) [deg]C) and a relative
humidity of (50+5) %.
Items:
Technical Notes:
1. For the purposes of calculating ``specific tensile strength'',
``specific modulus'' or specific weight of ``fibrous or filamentary
materials'' in 1C010.a, 1C010.b, 1C010.c, or 1C010.e.1.b the tensile
strength and modulus should be determined by using Method A described in
ISO 10618 (2004) or national equivalents.
2. For the purposes of assessing the ``specific tensile strength'',
``specific modulus'' or specific weight of non-unidirectional ``fibrous
or filamentary materials'' (e.g., fabrics, random mats or braids) in
1C010, this is to be based on the mechanical properties of the
constituent unidirectional monofilaments (e.g., monofilaments, yarns,
rovings or tows) prior to processing into the non-unidirectional
``fibrous or filamentary materials''.
a. Organic ``fibrous or filamentary materials'', having all of the
following:
a.1. ``Specific modulus'' exceeding 12.7 x 10\6\ m; and
a.2. ``Specific tensile strength'' exceeding 23.5 x 10\4\ m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of the
following:
b.1. ``Specific modulus'' exceeding 14.65 x 10\6\ m; and
b.2. ``Specific tensile strength'' exceeding 26.82 x 10\4\ m;
Note: 1C010.b does not control:
a. ``Fibrous or filamentary materials'', for the repair of ``civil
aircraft'' structures or laminates, having all of the following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon ``fibrous or
filamentary materials'' 25.0 mm or less in length.
c. Inorganic ``fibrous or filamentary materials'', having all of the
following:
c.1. Having any of the following:
c.1.a. Composed of 50% or more by weight silicon dioxide
(SiO2) and having a ``specific modulus'' exceeding 2.54 x
10\6\ m; or
c.1.b. Not specified in 1C010.c.1.a and having a ``specific
modulus'' exceeding 5.6 x 10\6\ m; and
c.2. Melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 [deg]C) in an inert environment;
Note: 1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3% by weight or more
silica, with a ``specific modulus'' of less than 10 x 106 m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
[[Page 400]]
d. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 [deg]C) in
an inert environment.
d. ``Fibrous or filamentary materials'', having any of the
following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or 1C010.d.1.b
and 'commingled' with other fibers controlled by 1C010.a, 1C010.b or
1C010.c;
Technical Note: For the purposes of 1C010.d.2, 'commingled' is
filament to filament blending of thermoplastic fibers and reinforcement
fibers in order to produce a fiber reinforcement ``matrix'' mix in total
fiber form.
e. Fully or partially resin impregnated or pitch impregnated
``fibrous or filamentary materials'' (prepregs), metal or carbon coated
``fibrous or filamentary materials'' (preforms) or 'carbon fiber
preforms', having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic ``fibrous or filamentary materials'' controlled by
1C010.c; or
e.1.b. Organic or carbon ``fibrous or filamentary materials'',
having all of the following:
e.1.b.1. ``Specific modulus'' exceeding 10.15 x 10\6\ m; and
e.1.b.2 ``Specific tensile strength'' exceeding 17.7 x 10\4\m; and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. 'Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 453 K (180 [deg]C) and having
a phenolic resin; or
e.2.c. 'Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 505 K (232 [deg]C) and having
a resin or pitch, not specified by 1C008 or 1C009.b, and not being a
phenolic resin;
Note 1: Metal or carbon coated ``fibrous or filamentary materials''
(preforms) or 'carbon fiber preforms', not impregnated with resin or
pitch, are specified by ``fibrous or filamentary materials'' in 1C010.a,
1C010.b or 1C010.c.
Note 2: 1C010.e does not apply to:
a. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of ``civil aircraft''
structures or laminates, having all of the following:
1. An area not exceeding 1 m2
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated
mechanically chopped, milled or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length when using a resin or pitch other
than those specified by 1C008 or 1C009.b.
Technical Notes:
1. For the purposes of 1C010.e and Note 1, 'carbon fiber preforms'
are an ordered arrangement of uncoated or coated fibers intended to
constitute a framework of a part before the ``matrix'' is introduced to
form a ``composite''.
2. For the purposes of 1C010.e.2, 'Dynamic Mechanical Analysis glass
transition temperature (DMA Tg)' is determined using the method
described in ASTM D 7028 -07, or equivalent national standard, on a dry
test specimen. In the case of thermoset materials, degree of cure of a
dry test specimen shall be a minimum of 90% as defined by ASTM E 2160 04
or equivalent national standard.
1C011 Metals and compounds, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to 1C011.a and .b for items MT Column 1
that meet or exceed the parameters in
1C111..
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 1C111 and 1C608. (2) All of the
following are ``subject to the ITAR'' (see 22 CFR parts 120 through
130): (a) Materials controlled by 1C011.a, and metal fuels in particle
form, whether spherical, atomized, spheroidal, flaked or ground,
manufactured from material consisting of 99 percent or more of items
controlled by 1C011.b; and (b) Metal powders mixed with other substances
to form a mixture formulated for military purposes.
Related Definitions: N/A
Items:
a. Metals in particle sizes of less than 60 [micro]m whether
spherical, atomized, spheroidal, flaked or ground, manufactured from
material consisting of 99% or more of zirconium, magnesium and alloys
thereof;
Technical Note: For the purposes of 1C011.a, the natural content of
hafnium in the zirconium (typically 2% to 7%) is counted with the
zirconium.
Note: The metals or alloys specified by 1C011.a also refer to metals
or alloys encapsulated in aluminum, magnesium, zirconium or beryllium.
b. Boron or boron alloys, with a particle size of 60 [micro]m or
less, as follows:
b.1. Boron with a purity of 85% by weight or more;
b.2. Boron alloys with a boron content of 85% by weight or more;
[[Page 401]]
Note: The metals or alloys specified by 1C011.b also refer to metals
or alloys encapsulated in aluminum, magnesium, zirconium or beryllium.
c. Guanidine nitrate (CAS 506-93-4);
d. Nitroguanidine (NQ) (CAS 556-88-7).
1C018 Commercial charges and devices containing energetic materials on
the Wassenaar Arrangement Munitions List and certain
chemicals.
No items currently are in this ECCN. (1) See ECCN 1C608.b. through
.m for items that, immediately prior to July 1, 2014 were classified
under 1C018.b through .m. (2) See ECCNs 1C011, 1C111, and 1C239 for
additional controlled energetic materials, including chlorine
trifluoride (ClF3), which is controlled under ECCN
1C111.a.3.f. (3) See ECCN 1A008 for shaped charges, detonating cord, and
cutters and severing tools.
1C101 Materials for Reduced Observables such as Radar Reflectivity,
Ultraviolet/Infrared Signatures and Acoustic Signatures (i.e.,
Stealth Technology), Other than Those Controlled by 1C001, for
applications usable in rockets, missiles, or unmanned aerial
vehicles capable of achieving a ``range'' equal to or greater
than 300km, and their subsystems.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Materials controlled by this entry include
structural materials and coatings (including paints), ``specially
designed'' for reduced or tailored reflectivity or emissivity in the
microwave, infrared or ultraviolet spectra. (2) This entry does not
control coatings (including paints) when specially used for the thermal
control of satellites. (3) For commodities that meet the definition of
defense articles under 22 CFR 120.3 of the International Traffic in Arms
Regulations (ITAR), which describes similar commodities ``subject to the
ITAR'' (See 22 CFR parts 120 through 130, including USML Category XIII).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1C102 Resaturated pyrolized carbon-carbon materials designed for space
launch vehicles specified in 9A004 or sounding rockets
specified in 9A104. (These items are ``subject to the ITAR.''
See 22 CFR parts 120 through 130.)
1C107 Graphite and Ceramic Materials, Other Than Those Controlled by
1C007, Which Can be Machined to Any of the Following Products
as Follows (See List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 1C004, 1C007, and 1C298. (2) For
commodities that meet the definition of defense articles under 22 CFR
120.3 of the ITAR, which describes similar commodities ``subject to the
ITAR'' (See 22 CFR parts 120 through 130, including USML Category XIII).
(3) ``Special fissile materials'' and ``other fissile materials'';
except, four ``effective grams'' or less when contained in a sensing
component in instruments are subject to the export licensing authority
of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Fine grain graphites with a bulk density of 1.72 g/cm\3\ or
greater, measured at 15 [deg]C, and having a grain size of 100
micrometers or less, usable for rocket nozzles and reentry vehicle nose
tips as follows:
a.1. Cylinders having a diameter of 120 mm or greater and a length
of 50 mm or greater;
a.2. Tubes having an inner diameter of 65 mm or greater and a wall
thickness of 25 mm or greater and a length of 50 mm or greater;
a.3. Blocks having a size of 120 mm x 120 mm x 50 mm or greater.
b. Pyrolytic or fibrous reinforced graphites, usable for rocket
nozzles and reentry vehicle nose tips;
c. Ceramic composite materials (dielectric constant is less than 6
at any frequency from 100 MHz to 100 GHz) for use in radomes useable in
rockets, missiles, and unmanned aerial vehicles capable of achieving a
``range'' equal to or greater than 300 km; or
d. High-temperature ceramic materials, useable in rockets, missiles,
and unmanned aerial vehicles capable of achieving a ``range'' equal to
or greater than 300 km, as follows:
d.1. Bulk machinable silicon-carbide reinforced unfired ceramic,
usable for nose tips.
d.2. Reinforced silicon-carbide ceramic composites usable for nose
tips, re-entry vehicles, nozzle flaps.
[[Page 402]]
d.3. Bulk machinable ceramic composite materials consisting of an
'Ultra High Temperature Ceramic (UHTC)' matrix with a melting point
equal to or greater than 3000 [deg]C and reinforced with fibers or
filaments, usable for missile components (such as nose tips, re-entry
vehicles, leading edges, jet vanes, control surfaces, or rocket motor
throat inserts).
Note: ECCN 1C107.d.3. does not control 'Ultra High Temperature
Ceramic (UHTC)' materials in non-composite form.
Technical Note: 'Ultra High Temperature Ceramics (UHTC)' includes:
Titanium diboride (TiB2), zirconium diboride (ZrB2), niobium diboride
(NbB2), hafnium diboride (HfB2), tantalum diboride (TaB2), titanium
carbide (TiC), zirconium carbide (ZrC), niobium carbide (NbC), hafnium
carbide (HfC), tantalum carbide (TaC).
1C111 Propellants and constituent chemicals for propellants, other than
those specified in 1C011, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: MT, NP, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to 1C111.a.3.f only............ NP Column 1.
RS applies to 1C111.d.3 only.............. RS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category V(e)(7) for controls on HTPB
(hydroxyl terminated polybutadiene) with a hydroxyl functionality equal
to or greater than 2.2 and less than or equal to 2.4, a hydroxyl value
of less than 0.77 meq/g, and a viscosity at 30 [deg]C of less than 47
poise (CAS 69102-90-5). (2) See USML Category V for controls on
ferrocene derivatives, including butacene. (3) See ECCN 1C608 for
controls on oxidizers that are composed of fluorine and also other
halogens, oxygen, or nitrogen, except for chlorine trifluoride, which is
controlled under this ECCN 1C111.a.3.f. (4) See ECCN 1C011.b for
controls on boron and boron alloys not controlled under this ECCN
1C111.a.2.b. (5) See USML Category V for controls on Inhibited Red
Fuming Nitric Acid (IRFNA) (CAS 8007-58-7).
Related Definitions: Particle size is the mean particle diameter on a
weight or volume basis. Best industrial practices must be used in
sampling, and in determining particle size, and the controls may not be
undermined by the addition of larger or smaller sized material to shift
the mean diameter.
Items:
a. Propulsive substances:
a.1. Spherical or spheroidal aluminum powder (C.A.S. 7429-90-5) in
particle size of less than 200 x 10-6 m (200 [micro]m) and an
aluminum content of 97% by weight or more, if at least 10% of the total
weight is made up of particles of less than 63 [micro]m, according to
ISO 2591-1:1988 or national equivalents.
Technical Note: A particle size of 63 [micro]m (ISO R-565)
corresponds to 250 mesh (Tyler) or 230 mesh (ASTM standard E-11).
a.2. Metal powders and alloys where at least 90% of the total
particles by particle volume or weight are made up of particles of less
than 60 [micro] (determined by measurement techniques such as using a
sieve, laser diffraction or optical scanning), whether spherical,
atomized, spheroidal, flaked or ground, as follows:
a.2.a. Consisting of 97% by weight or more of any of the following:
a.2.a.1. Zirconium (C.A.S. 7440-67-7);
a.2.a.2. Beryllium (C.A.S. 7440-41-7); or
a.2.a.3. Magnesium (C.A.S. 7439-95-4);
a.2.b. Boron or boron alloys with a boron content of 85% or more by
weight.
Technical Note: The natural content of hafnium in the zirconium
(typically 2% to 7%) is counted with the zirconium.
Note: In a multimodal particle distribution (e.g., mixtures of
different grain sizes) in which one or more modes are controlled, the
entire powder mixture is controlled.
a.3. Oxidizer substances usable in liquid propellant rocket engines,
as follows:
a.3.a. Dinitrogen trioxide (CAS 10544-73-7);
a.3.b. Nitrogen dioxide (CAS 10102-44-0)/dinitrogen tetroxide (CAS
10544-72-6);
a.3.c. Dinitrogen pentoxide (CAS 10102-03-1);
a.3.d. Mixed oxides of nitrogen (MON);
a.3.e. [Reserved];
a.3.f. Chlorine trifluoride (ClF3).
Technical Note: Mixed oxides of nitrogen (MON) are solutions of
nitric oxide (NO) in dinitrogen tetroxide/nitrogen dioxide (N2O4/NO2)
that can be used in missile systems. There are a range of compositions
that can be denoted as MONi or MONij, where i and j are integers
representing the percentage of nitric oxide in the mixture (e.g., MON3
contains 3% nitric oxide, MON25 25% nitric oxide. An upper limit is
MON40, 40% by weight).
b. Polymeric substances:
b.1. Carboxy-terminated polybutadiene (including carboxyl-terminated
polybutadiene) (CTPB);
b.2. Hydroxy-terminated polybutadiene (including hydroxyl-terminated
polybutadiene) (HTPB) (CAS 69102-90-5), except for hydroxyl-terminated
polybutadiene as specified in USML Category V (see 22 CFR 121.1)
[[Page 403]]
(also see Related Controls Note 1 for this ECCN);
b.3. Polybutadiene acrylic acid (PBAA);
b.4. Polybutadiene acrylic acid acrylonitrile (PBAN) (CAS 25265-19-
4/CAS 68891-50-9);
b.5. Polytetrahydrofuran polyethylene glycol (TPEG).
Technical Note: Polytetrahydrofuran polyethylene glycol (TPEG) is a
block copolymer of poly 1,4-Butanediol (CAS 110-63-4) and polyethylene
glycol (PEG) (CAS 25322-68-3).
c. Other propellant energetic materials, additives, or agents:
c.1. [Reserved]
c.2. Triethylene glycol dinitrate (TEGDN);
c.3. 2 Nitrodiphenylamine (2-NDPA);
c.4. Trimethylolethane trinitrate (TMETN);
c.5. Diethylene glycol dinitrate (DEGDN).
d. Hydrazine and derivatives as follows:
d.1. Hydrazine (C.A.S. 302-01-2) in concentrations of 70% or more;
d.2. Monomethyl hydrazine (MMH) (C.A.S. 60-34-4);
d.3. Symmetrical dimethyl hydrazine (SDMH) (C.A.S. 540-73-8);
d.4. Unsymmetrical dimethyl hydrazine (UDMH) (C.A.S. 57-14-7);
d.5. Trimethylhydrazine (C.A.S. 1741-01-1);
d.6. Tetramethylhydrazine (C.A.S. 6415-12-9);
d.7. N,N diallylhydrazine (CAS 5164-11-4);
d.8. Allylhydrazine (C.A.S. 7422-78-8);
d.9. Ethylene dihydrazine (CAS 6068-98-0);
d.10. Monomethylhydrazine dinitrate;
d.11. Unsymmetrical dimethylhydrazine nitrate;
d.12. 1,1-Dimethylhydrazinium azide (CAS 227955-52-4)/1,2-
Dimethylhydrazinium azide (CAS 299177-50-7);
d.13. Hydrazinium azide (C.A.S. 14546-44-2);
d.14. Hydrazinium dinitrate (CAS 13464-98-7);
d.15. Diimido oxalic acid dihydrazine (C.A.S. 3457-37-2);
d.16. 2-hydroxyethylhydrazine nitrate (HEHN);
d.17. Hydrazinium diperchlorate (C.A.S. 13812-39-0);
d.18. Methylhydrazine nitrate (MHN) (CAS 29674-96-2);
d.19. 1,1-Diethylhydrazine nitrate (DEHN)/1,2-Diethylhydrazine
nitrate (DEHN) (CAS 363453-17-2);
d.20. 3,6-dihydrazino tetrazine nitrate (DHTN), also referred to as
1,4-dihydrazine nitrate.
e. Hydrazine replacement fuels as follows:
e.1. 2-Dimethylaminoethylazide (DMAZ) (CAS 86147-04-8);
e.2. [Reserved]
1C116 Maraging steels having both of the following (see List of Items
Controlled).
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
NP applies to items that meet or exceed NP Column 1
the parameters of 1C216.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E101 (``use'') for technology for items controlled
by this entry. (2) Also see ECCN 1C216. (3) Maraging steel, in physical
forms and finished products and ``specially designed'' or prepared for
use in separating uranium isotopes, is subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Having an ultimate tensile strength, measured at 20 [deg]C,
equal to or greater than:
a.1. 0.9 GPa in the solution annealed stage; or
a.2. 1.5 GPa in the precipitation hardened stage; and
b. Any of the following forms:
b.1 Sheet, plate or tubing with a wall or plate thickness equal to
or less than 5.0 mm;
or
b.2 Tubular forms with a wall thickness equal to or less than 50 mm
and having an inner diameter equal to or greater than 270 mm.
Technical Note: Maraging steels are iron alloys that are generally:
a. Characterized by high nickel, very low carbon content and use
substitutional elements or precipitates to produce strengthening and
age-hardening of the alloy; and
b. Subjected to heat treatment cycles to facilitate the martensitic
transformation process (solution annealed stage) and subsequently age
hardened (precipitation hardened stage).
1C117 Materials for the fabrication of missile ``parts'' or
``components'' for rockets or missiles capable of achieving a
``range'' equal to or greater than 300 km, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 404]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 1C226.
Related Definitions: N/A
Items: a. Tungsten and alloys in particulate form with a tungsten
content of 97% by weight or more and a particle size of 50 x
10-6 m (50 [micro]m) or less;
b. Molybdenum and alloys in particulate form with a molybdenum
content of 97% by weight or more and a particle size of 50 x
10-6 m (50 [micro]m) or less;
c. Tungsten materials in the solid form having all of the following:
c.1. Any of the following material compositions:
c.1.a. Tungsten and alloys containing 97% by weight or more of
tungsten;
c.1.b. Copper infiltrated tungsten containing 80% by weight or more
of tungsten; or
c.1.c. Silver infiltrated tungsten containing 80% by weight or more
of tungsten; and
c.2. Able to be machined to any of the following products:
c.2.a. Cylinders having a diameter of 120 mm or greater and a length
of 50 mm or greater;
c.2.b. Tubes having an inner diameter of 65 mm or greater and a wall
thickness of 25 mm or greater and a length of 50 mm or greater; or
c.2.c. Blocks having a size of 120 mm x 120 mm x 50 mm or greater.
1C118 Titanium-stabilized duplex stainless steel (Ti-DSS), having all of
the following characteristics (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Having all of the following characteristics:
a.1. Containing 17.0-23.0% by weight of chromium and 4.5-7.0% by
weight of nickel;
a.2. Having a titanium content of greater than 0.10% by weight; and
a.3. A ferritic-austenitic microstructure (also referred to as a
two-phase microstructure) of which at least 10% by volume (according to
ASTM E-1181-87 or national equivalents) is austenite; and
b. Having any of the following forms:
b.1. Ingots or bars having a size of 100 mm or more in each
dimension;
b.2. Sheets having a width of 600 mm or more and a thickness of 3 mm
or less; or
b.3. Tubes having an outer diameter of 600 mm or more and a wall
thickness of 3 mm or less.
1C202 Alloys other than those controlled by 1C002.b.3 or 1C002.b.4 as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCN 1C002. (3) Aluminum alloys and titanium
alloys, in physical forms and finished products and ``specially
designed'' or prepared for use in separating uranium isotopes, are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: The phrase ``capable of'' refers to aluminum alloys
and titanium alloys either before or after heat treatment.
Items: a. Aluminum alloys having both of the following characteristics:
a.1. ``Capable of'' an ultimate tensile strength of 460 MPa or more
at 293 K (20 [deg]C); and
a.2. In the form of tubes or cylindrical solid forms (including
forgings) with an outside diameter of more than 75 mm;
b. Titanium alloys having both of the following characteristics:
b.1. ``Capable of'' an ultimate tensile strength of 900 MPa or more
at 293 K (20 [deg]C); and
b.2. In the form of tubes or cylindrical solid forms (including
forgings) with an outside diameter of more than 75 mm.
1C210 ``Fibrous or filamentary materials'' or prepregs, other than those
controlled by 1C010.a, .b or .e, as follows (see List of Items
Controlled).
License Requirements
[[Page 405]]
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCNs 1C010 and 1C990.
Related Definitions: For the purpose of this entry, the term ``fibrous
or filamentary materials'' is restricted to continuous
``monofilaments'', ``yarns'', ``rovings'', ``tows'', or ``tapes''.
Definitions for other terms used in this entry:
Filament or Monofilament is the smallest increment of fiber, usually
several [micro]m in diameter.
Strand is a bundle of filaments (typically over 200) arranged
approximately parallel.
Roving is a bundle (typically 12-120) of approximately parallel
strands.
Yarn is a bundle of twisted strands.
Tow is a bundle of filaments, usually approximately parallel.
Tape is a material constructed of interlaced or unidirectional
filaments, strands, rovings, tows, or yarns, etc., usually
preimpregnated with resin.
Specific modulus is the Young's modulus in N/m\2\ divided by the
specific weight in N/m\3\, measured at a temperature of (296 2) K ((23 2) [deg]C) and a
relative humidity of 50 5 percent.
Specific tensile strength is the ultimate tensile strength in N/m\2\
divided by specific weight in N/m\3\, measured at a temperature of (296
2) K ((23 2) [deg]C) and a
relative humidity of 50 5 percent.
Items: a. Carbon or aramid ``fibrous or filamentary materials'' having a
``specific modulus'' of 12.7 x 10\6\ m or greater or a ``specific
tensile strength'' of 235 x 10\3\ m or greater except Aramid ``fibrous
or filamentary materials'' having 0.25 percent or more by weight of an
ester based fiber surface modifier;
b. Glass ``fibrous or filamentary materials'' having a ``specific
modulus'' of 3.18 x 10\6\ m or greater and a ``specific tensile
strength'' of 76.2 x 10\3\ m or greater; or
c. Thermoset resin impregnated continuous ``yarns'', ``rovings'',
``tows'' or ``tapes'' with a width no greater than 15 mm (prepregs),
made from carbon or glass ``fibrous or filamentary materials''
controlled by 1C210.a or .b.
Technical Note: The resin forms the matrix of the composite.
1C216 Maraging steel, other than that controlled by 1C116, ``capable
of'' an ultimate tensile strength of 1,950 MPa or more, at 293
K (20 [deg]C).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry.
(2) Also see ECCN 1C116.
(3) Maraging steel, in physical form and finished products
``specially designed'' or prepared for use in separating uranium
isotopes, is subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: The phrase ``capable of'' in the ECCN heading
refers to maraging steel either before or after heat treatment.
ECCN Controls: This entry does not control forms in which all linear
dimensions are 75 mm or less.
Items: The list of items controlled is contained in the ECCN heading.
1C225 Boron enriched in the boron-10 (\10\B) isotope to greater than its
natural isotopic abundance, as follows: elemental boron,
compounds, mixtures containing boron, manufactures thereof,
waste or scrap of any of the foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: In this entry, mixtures containing boron include
boron-loaded materials.
Items: The list of items controlled is contained in the ECCN heading.
[[Page 406]]
Technical Note: The natural isotopic abundance of boron-10 is
approximately 18.5 weight percent (20 atom percent).
1C226 Tungsten, tungsten carbide, and alloys containing more than 90%
tungsten by weight, having both of the following
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
ECCN Controls: This entry does not control manufactures ``specially
designed'' as weights or gamma-ray collimators.
Items: a. In forms with a hollow cylindrical symmetry (including
cylinder segments) with an inside diameter between 100 and 300 mm; and
b. A mass greater than 20 kg.
1C227 Calcium having both of the following characteristics (see List of
Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. Containing less than 1,000 parts per million by weight of
metallic impurities other than magnesium; and
b. Containing less than 10 parts per million by weight of boron.
1C228 Magnesium having both of the following characteristics (see List
of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. Containing less than 200 parts per million by weight of
metallic impurities other than calcium; and
b. Containing less than 10 parts per million by weight of boron.
1C229 Bismuth having both of the following characteristics (see List of
Items Controlled)
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: a. A purity of 99.99% or greater by weight; and
b. Containing less than 10 parts per million by weight of silver.
1C230 Beryllium metal, alloys containing more than 50% beryllium by
weight, beryllium compounds, manufactures thereof, and waste
or scrap of any of the foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 407]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
ECCN Controls: This entry does not control the following:
a. Metal windows for X-ray machines, or for bore-hole logging
devices;
b. Oxide shapes in fabricated or semi-fabricated forms ``specially
designed'' for electronic component parts or as substrates for
electronic circuits;
c. Beryl (silicate of beryllium and aluminum) in the form of
emeralds or aquamarines.
Items: The list of items controlled is contained in the ECCN heading.
1C231 Hafnium metal, hafnium alloys and compounds containing more than
60% hafnium by weight, manufactures thereof, and waste or
scrap of any of the foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1C232 Helium-3 (\3\He), mixtures containing helium-3, and products or
devices containing any of the foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
ECCN Controls: This entry does not control a product or device
containing less than 1 g of helium-3.
Items: The list of items controlled is contained in the ECCN heading.
1C233 Lithium enriched in the lithium-6 (\6\ Li) isotope to greater than
its natural isotopic abundance, and products or devices
containing enriched lithium, as follows: elemental lithium,
alloys, compounds, mixtures containing lithium, manufactures
thereof, and waste or scrap of any of the foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) See ECCN 1B233 for lithium isotope separation
facilities or plants, and equipment therefor. (3) Certain facilities or
plants for the separation of lithium isotopes are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
Related Definitions: The natural isotopic abundance of lithium-6 is
approximately 6.5 weight percent (7.5 atom percent).
ECCN Controls: This entry does not control thermoluminescent dosimeters.
Items: The list of items controlled is contained in the ECCN heading.
1C234 Zirconium with a hafnium content of less than 1 part hafnium to
500 parts zirconium by weight, as follows: metal, alloys
containing more than 50% zirconium by weight, compounds,
manufactures thereof, and waste or scrap of any of the
foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 408]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Zirconium metal and alloys in the form of tubes or
assemblies of tubes, ``specially designed'' or prepared for use in a
reactor, are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
ECCN Controls: This entry does not control zirconium in the form of foil
having a thickness of 0.10 mm (0.004 in.) or less.
Items: The list of items controlled is contained in the ECCN heading.
1C235 Tritium, tritium compounds, mixtures containing tritium in which
the ratio of tritium to hydrogen atoms exceeds 1 part in
1,000, and products or devices containing any of the
foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Also see ECCN 1B231. (3) Tritium that is byproduct
material (e.g., produced in a nuclear reactor) is subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
Related Definitions: N/A
ECCN Controls: (1) This entry does not control tritium, tritium
compounds, and mixtures that are byproduct material (e.g., produced in a
nuclear reactor)--such materials are subject to the licensing
jurisdiction of the Nuclear Regulatory Commission (see Related Controls
paragraph for this entry). (2) This entry does not control a product or
device containing less than 1.48 x 10\3\ GBq (40 Ci) of tritium.
Items: The list of items controlled is contained in the ECCN heading.
1C236 Radionuclides appropriate for making neutron sources based on
alpha-n reaction and products or devices containing such
radionuclides (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Certain alpha-emitting radionuclides are subject to
the export licensing authority of the Nuclear Regulatory Commission (see
10 CFR part 110).
Related Definitions: N/A
ECCN Controls: This entry does not control a product or device
containing less than 3.7 GBq (100 millicuries) of activity.
Items: a. Radionuclides identified in 1C236.a.1 in any of the forms
described in 1C236.a.2:
a.1. Radionuclides, as follows, appropriate for making neutron
sources based on alpha-n reactions:
a.1.a. Actinium 225;
a.1.b. Actinium 227;
a.1.c. Californium 253;
a.1.d. Curium 240;
a.1.e. Curium 241;
a.1.f. Curium 242;
a.1.g. Curium 243;
a.1.h. Curium 244;
a.1.i. Einsteinium 253;
a.1.j. Einsteinium 254;
a.1.k. Gadolinium 148;
a.1.l. Plutonium 236;
a.1.m. Plutonium 238;
a.1.n. Polonium 208;
a.1.o. Polonium 209;
a.1.p. Polonium 210;
a.1.q. Radium 223;
a.1.r. Thorium 227;
a.1.s. Thorium 228;
a.1.t. Uranium 230;
a.1.u. Uranium 232; and
a.2. In any of the following forms:
a.2.a. Elemental;
a.2.b. Compounds having a total activity of 37 GBq (1 curie) per kg
or greater; or
a.2.c. Mixtures having a total activity of 37 GBq (1 curie) per kg
or greater.
b. Products or devices containing radionuclides identified in
1C236.a.1 in any of the forms described in 1C236.a.2.
1C237 Radium-226 (\226\Ra), radium-226 alloys, radium-226 compounds,
mixtures containing radium-226, manufactures
[[Page 409]]
thereof, and products or devices containing any of the
foregoing.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1E001 (``development'' and ``production'')
and 1E201 (``use'') for technology for items controlled by this entry.
Related Definitions: N/A
ECCN Controls: This entry does not control the following:
a. Medical applicators;
b. A product or device containing less than 0.37 GBq (10
millicuries) of radium-226.
Items: The list of items controlled is contained in the ECCN heading.
1C239 High explosives, other than those controlled by the U.S. Munitions
List, or substances or mixtures containing more than 2% by
weight thereof, with a crystal density greater than 1.8 g/
cm\3\ and having a detonation velocity greater than 8,000 m/s.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) See ECCNs 1C608 (energetic materials and related
commodities on the Wassenaar Arrangement Munitions List) and 1C992
(commercial charges and devices containing energetic materials, n.e.s
and nitrogen trifluoride in a gaseous state). (3) High explosives for
military use are ``subject to the ITAR'' (see 22 CFR Part 121.1).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1C240 Nickel powder or porous nickel metal, other than nickel powder or
porous nickel metal, specially prepared for the manufacture of
gaseous diffusion barriers subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR
part 110), as follows (see List of Items Controlled).
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items controlled
by this entry. (2) Nickel powder and porous nickel metal, ``specially
designed'' or prepared for use in separating uranium isotopes, are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
ECCN Controls: This entry does not control the following:
a. Filamentary nickel powders;
b. Single porous nickel sheets with an area of 1,000 cm\2\ per sheet
or less.
Items: a. Nickel powder having both of the following characteristics:
a.1. A nickel purity content of 99.0% or greater by weight; and
a.2. A mean particle size of less than 10 micrometers measured by
American Society for Testing and Materials (ASTM) B330 standard;
b. Porous nickel metal produced from materials controlled by
1C240.a.
Technical Note: 1C240.b refers to porous metal formed by compacting
and sintering the materials in 1C240.a to form a metal material with
fine pores interconnected throughout the structure.
1C241 Rhenium and alloys containing rhenium (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
[[Page 410]]
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Rhenium and alloys containing rhenium, as follows, having both
of the characteristics described in 1C241.b:
a.1. Alloys containing 90% by weight or more of rhenium;
a.2. Alloys containing 90% by weight or more of any combination of
rhenium and tungsten; and
b. Having both of the following characteristics:
b.1. In forms with a hollow cylindrical symmetry (including cylinder
segments) with an inside diameter between 100 mm and 300 mm; and
b.2. A mass greater than 20 kg.
1C298 Graphite and deuterium that is intended for use other than in a
nuclear reactor, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2.
------------------------------------------------------------------------
License Requirement Note: The graphite and deuterium, as defined in this
entry, when intended for use in a nuclear reactor, is subject to the
export licensing authority of the Nuclear Regulatory Commission (see 10
CFR part 110).
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 1C107. (2) Graphite having a purity level
of less than 5 parts per million ``boron equivalent'' as measured
according to ASTM standard C-1233-98 and intended for use in a nuclear
reactor is subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110). (3) Deuterium and any
deuterium compound, including heavy water, in which the ratio of
deuterium atoms to hydrogen atoms exceeds 1:5000; and intended for use
in a nuclear reactor is subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: For the purpose of this entry, graphite with a
purity level better than 5 parts per million boron equivalent is
determined according to ASTM standard C1233-98. In applying ASTM
standard C1233-98, the boron equivalence of the element carbon is not
included in the boron equivalence calculation, since carbon is not
considered an impurity. For the purpose of this entry, 'Deuterium' means
deuterium and any deuterium compound, including heavy water, in which
the ratio of deuterium atoms to hydrogen atoms exceeds 1:5000.
Items:
a. Graphite with a boron content of less than 5 parts per million
and a density greater than 1.5 grams per cubic centimeter that is
intended for use other than in a nuclear reactor;
b. 'Deuterium' not for use in a nuclear reactor.
1C350 Chemicals that may be used as precursors for toxic chemical agents
(see List of Items Controlled).
License Requirements
Reason for Control: CB, CW, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry CB Column 2.
------------------------------------------------------------------------
CW applies to 1C350.b and .c. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for CW
reasons. A license is required, for CW reasons, to export or reexport
Schedule 2 chemicals and mixtures identified in 1C350.b to States not
Party to the CWC (destinations not listed in Supplement No. 2 to part
745 of the EAR). A license is required, for CW reasons, to export
Schedule 3 chemicals and mixtures identified in 1C350.c to States not
Party to the CWC, unless an End-Use Certificate issued by the government
of the importing country has been obtained by the exporter prior to
export. A license is required, for CW reasons, to reexport Schedule 3
chemicals and mixtures identified in 1C350.c from a State not Party to
the CWC to any other State not Party to the CWC. (See Sec. 742.18 of
the EAR for license requirements and policies for toxic and precursor
chemicals controlled for CW reasons. See Sec. 745.2 of the EAR for End-
Use Certificate requirements that apply to exports of Schedule 3
chemicals to countries not listed in Supplement No. 2 to part 745 of the
EAR.)
AT applies to entire entry. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for AT
reasons in 1C350. A license is required, for AT reasons, to export or
reexport items controlled by 1C350 to a country in Country Group E:1 of
Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for
additional information on the AT controls that apply to Iran, North
Korea, and Syria. See part 746 of the EAR for additional information on
sanctions that apply to Iran, North Korea, and Syria.)
License Requirement Notes1. SAMPLE SHIPMENTS: Subject to the
following requirements and restrictions, a license is not required for
[[Page 411]]
sample shipments when the cumulative total of these shipments does not
exceed a 55-gallon container or 200 kg of a single chemical to any one
consignee during a calendar year. A consignee that receives a sample
shipment under this exclusion may not resell, transfer, or reexport the
sample shipment, but may use the sample shipment for any other legal
purpose unrelated to chemical weapons.
a. Chemicals Not Eligible
A. [Reserved]
B. CWC Schedule 2 chemicals (States not Party to the CWC). No CWC
Schedule 2 chemical or mixture identified in 1C350.b is eligible for
sample shipment to States not Party to the CWC (destinations not listed
in Supplement No. 2 to part 745 of the EAR) without a license.
b. Countries Not Eligible: Countries in Country Group E:1 of
Supplement No. 1 to part 740 of the EAR are not eligible to receive
sample shipments of any chemicals controlled by this ECCN without a
license.
c. Sample shipments that require an End-Use Certificate for CW
reasons: No CWC Schedule 3 chemical or mixture identified in 1C350.c is
eligible for sample shipment to States not Party to the CWC
(destinations not listed in Supplement No. 2 to part 745 of the EAR)
without a license, unless an End-Use Certificate issued by the
government of the importing country is obtained by the exporter prior to
export (see Sec. 745.2 of the EAR for End-Use Certificate
requirements).
d. Sample shipments that require a license for reasons set forth
elsewhere in the EAR: Sample shipments, as described in this Note 1, may
require a license for reasons set forth elsewhere in the EAR. See, in
particular, the end-use/end-user restrictions in part 744 of the EAR,
and the restrictions that apply to embargoed countries in part 746 of
the EAR.
e. Annual report requirement. The exporter is required to submit an
annual written report for shipments of samples made under this Note 1.
The report must be on company letterhead stationery (titled ``Report of
Sample Shipments of Chemical Precursors'' at the top of the first page)
and identify the chemical(s), Chemical Abstract Service Registry
(C.A.S.) number(s), quantity(ies), the ultimate consignee's name and
address, and the date of export for all sample shipments that were made
during the previous calendar year. The report must be submitted no later
than February 28 of the year following the calendar year in which the
sample shipments were made, to: U.S. Department of Commerce, Bureau of
Industry and Security, 14th Street and Pennsylvania Ave. NW, Room 2099B,
Washington, DC 20230, Attn: ``Report of Sample Shipments of Chemical
Precursors.''
2. MIXTURES:
a. Mixtures that contain precursor chemicals identified in ECCN
1C350, in concentrations that are below the levels indicated in 1C350.b
through .d, are controlled by ECCN 1C395 or 1C995 and are subject to the
licensing requirements specified in those ECCNs.
b. A license is not required under this ECCN for a mixture, when the
controlled chemical in the mixture is a normal ingredient in consumer
goods packaged for retail sale for personal use. Such consumer goods are
designated EAR99. However, a license may be required for reasons set
forth elsewhere in the EAR.
Note to Mixtures: Calculation of concentrations of AG-controlled
chemicals:
a. Exclusion. No chemical may be added to the mixture (solution) for
the sole purpose of circumventing the Export Administration Regulations;
b. Percent Weight Calculation. When calculating the percentage, by
weight, of ingredients in a chemical mixture, include all ingredients of
the mixture, including those that act as solvents.
3. COMPOUNDS. Compounds created with any chemicals identified in
this ECCN 1C350 may be shipped NLR (No License Required), without
obtaining an End-Use Certificate, unless those compounds are also
identified in this entry or require a license for reasons set forth
elsewhere in the EAR.
4. TESTING KITS: Certain medical, analytical, diagnostic, and food
testing kits containing small quantities of chemicals identified in this
ECCN 1C350, are excluded from the scope of this ECCN and are controlled
under ECCN 1C395 or 1C995. (Note that replacement reagents for such kits
are controlled by this ECCN 1C350 if the reagents contain one or more of
the precursor chemicals identified in 1C350 in concentrations equal to
or greater than the control levels for mixtures indicated in 1C350.)
Technical Notes:
1. For purposes of this entry, a ``mixture'' is defined as a solid,
liquid or gaseous product made up of two or more ingredients that do not
react together under normal storage conditions.
2. The scope of this control applicable to Hydrogen Fluoride (see
1C350.d.14 in the List of Items Controlled) includes its liquid,
gaseous, and aqueous phases, and hydrates.
3. Precursor chemicals in ECCN 1C350 are listed by name, Chemical
Abstract Service (CAS) number and CWC Schedule (where applicable).
Precursor chemicals of the same structural formula (e.g., hydrates,
isotopically-labeled forms or all possible stereoisomers) are controlled
by ECCN 1C350, regardless of name or CAS number. CAS numbers are shown
to assist in identifying whether a particular precursor chemical or
mixture is controlled under ECCN 1C350, irrespective of nomenclature.
However, CAS numbers cannot be used as unique identifiers in all
situations because some forms of the listed precursor chemical have
different CAS numbers, and mixtures containing a precursor chemical
listed in ECCN 1C350 may also have different CAS numbers.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
[[Page 412]]
List of Items Controlled
Related Controls: See USML Category XIV for related chemical agent
binary precursors and key precursors ``subject to the ITAR'' (see 22 CFR
parts 120 through 130).
Related Definitions: See Sec. 770.2(k) of the EAR for synonyms for the
chemicals listed in this entry.
Items:
a. [Reserved]
b. Australia Group-controlled precursor chemicals also identified as
Schedule 2 chemicals under the CWC, as follows, and mixtures in which at
least one of the following chemicals constitutes 30 percent or more of
the weight of the mixture:
b.1. (C.A.S. 7784-34-1) Arsenic trichloride;
b.2. (C.A.S. 76-93-7) Benzilic acid;
b.3. (C.A.S. 78-38-6) Diethyl ethylphosphonate;
b.4. (C.A.S. 683-08-9) Diethyl methylphosphonate;
b.5. (C.A.S. 15715-41-0) Diethyl methylphosphonite;
b.6. (C.A.S. 2404-03-7) Diethyl-N,N-dimethylphosphoroamidate;
b.7. (C.A.S. 41480-75-5) N,N-Diisopropylaminoethanethiol
hydrochloride;
b.8. (C.A.S. 5842-07-9) N,N-Diisopropyl-beta-aminoethane thiol;
b.9. (C.A.S. 96-80-0) N,N-Diisopropyl-beta-aminoethanol;
b.10. (C.A.S. 96-79-7), N,N-Diisopropyl-beta-aminoethyl chloride;
b.11. (C.A.S. 4261-68-1) N,N-Diisopropyl-beta-aminoethyl chloride
hydrochloride;
b.12. (C.A.S. 6163-75-3) Dimethyl ethylphosphonate;
b.13. (C.A.S. 756-79-6) Dimethyl methylphosphonate;
b.14. (C.A.S. 677-43-0) N,N-dimethylamino-phosphoryl dichloride;
b.15. (C.A.S. 1498-40-4) Ethyl phosphonous dichloride [Ethyl
phosphinyl dichloride];
b.16. (C.A.S. 430-78-4) Ethyl phosphonus difluoride [Ethyl
phosphinyl difluoride];
b.17. (C.A.S. 1066-50-8) Ethyl phosphonyl dichloride;
b.18. (C.A.S. 993-13-5) Methylphosphonic acid;
b.19. (C.A.S. 676-98-2) Methylphosphonothioic dichloride.
b.20. (C.A.S. 464-07-3) Pinacolyl alcohol;
b.21. (C.A.S. 1619-34-7) 3-Quinuclidinol;
b.22. (C.A.S. 111-48-8) Thiodiglycol.
c. Australia Group-controlled precursor chemicals also identified as
Schedule 3 chemicals under the CWC, as follows, and mixtures in which at
least one of the following chemicals constitutes 30 percent or more of
the weight of the mixture:
c.1. (C.A.S. 762-04-9) Diethyl phosphite;
c.2. (C.A.S. 868-85-9) Dimethyl phosphite (dimethyl hydrogen
phosphite);
c.3. (C.A.S. 139-87-7) Ethyldiethanolamine;
c.4. (C.A.S. 10025-87-3) Phosphorus oxychloride;
c.5. (C.A.S. 10026-13-8) Phosphorus pentachloride;
c.6. (C.A.S. 7719-12-2) Phosphorus trichloride;
c.7. (C.A.S. 10545-99-0) Sulfur dichloride;
c.8. (C.A.S. 10025-67-9) Sulfur monochloride;
c.9. (C.A.S. 7719-09-7) Thionyl chloride;
c.10. (C.A.S. 102-71-6) Triethanolamine;
c.11. (C.A.S. 122-52-1) Triethyl phosphite;
c.12. (C.A.S. 121-45-9) Trimethyl phosphite.
d. Other Australia Group-controlled precursor chemicals not also
identified as Schedule 1, 2, or 3 chemicals under the CWC, as follows,
and mixtures in which at least one of the following chemicals
constitutes 30 percent or more of the weight of the mixture:
d.1. (C.A.S. 1341-49-7) Ammonium hydrogen fluoride;
d.2. (C.A.S. 107-07-3) 2-Chloroethanol;
d.3. (C.A.S. 109-89-7) Diethylamine;
d.4. (C.A.S. 100-37-8) N,N-Diethylaminoethanol;
d.5. (C.A.S. 589-57-1) Diethyl chlorophosphite;
d.6. (C.A.S. 298-06-6) O,O-Diethyl phosphorodithioate;
d.7. (C.A.S. 2465-65-8) O,O-Diethyl phosphorothioate;
d.8. (C.A.S. 108-18-9) Di-isopropylamine;
d.9. (C.A.S. 124-40-3) Dimethylamine;
d.10. (C.A.S. 506-59-2) Dimethylamine hydrochloride;
d.11. (C.A.S. 142-84-7) Dipropylamine
d.12. (C.A.S. 762-77-6) Ethyl chlorofluorophosphate;
d.13. (C.A.S. 1498-51-7) Ethyl dichlorophosphate;
d.14. (C.A.S. 460-52-6) Ethyl difluorophosphate;
d.15. (C.A.S. 7664-39-3) Hydrogen fluoride;
d.16. (C.A.S. 3554-74-3) 3-Hydroxyl-1-methylpiperidine;
d.17. (C.A.S. 76-89-1) Methyl benzilate;
d.18. (C.A.S. 754-01-8) Methyl chlorofluorophosphate;
d.19. (C.A.S. 677-24-7) Methyl dichlorophosphate;
d.20. (C.A.S. 22382-13-4) Methyl difluorophosphate;
d.21. (C.A.S. 14277-06-6) N,N Diethylacetamidine;
d.22. (C.A.S. 53510-30-8) N,N-Diethylbutanamidine;
d.23. (C.A.S. 90324-67-7) N,N-Diethylformamidine;
d.24. (C.A.S. 1342789-47-2) N,N Diethylisobutanamidine;
d.25. (C.A.S. 84764-73-8) N,N-Diethylpropanamidine;
d.26. (C.A.S. 1315467-17-4) N,N-Diisopropylbutanamidine;
[[Page 413]]
d.27. (C.A.S. 857522-08-8) N,N-Diisopropylformamidine;
d.28. (C.A.S. 2909-14-0) N,N-Dimethylacetamidine;
d.29. (C.A.S. 1340437-35-5) N,N-Dimethylbutanamidine;
d.30. (C.A.S. 44205-42-7) N,N-Dimethylformamidine;
d.31. (C.A.S. 321881-25-8) N,N-Dimethylisobutanamidine;
d.32. (C.A.S. 56776-14-8) N,N-Dimethylpropanamidine;
d.33. (C.A.S. 1339586-99-0) N,N-Dipropylacetamidine;
d.34. C.A.S. 1342422-35-8) N,N-Dipropylbutanamidine;
d.35. (C.A.S. 48044-20-8) N,N-Dipropylformamidine;
d.36. (C.A.S. 1342700-45-1) N,N-Dipropylisobutanamidine;
d.37. (C.A.S. 1341496-89-6) N,N-Dipropylpropanamidine;
d.38. (C.A.S. 1314-80-3) Phosphorus pentasulfide;
d.39. (C.A.S. 75-97-8) Pinacolone;
d.40. (C.A.S. 7789-29-9) Potassium bifluoride;
d.41. (C.A.S. 151-50-8) Potassium cyanide;
d.42. (C.A.S. 7789-23-3) Potassium fluoride;
d.43. (C.A.S. 3731-38-2) 3-Quinuclidone;
d.44. (C.A.S. 1333-83-1) Sodium bifluoride;
d.45. (C.A.S. 143-33-9) Sodium cyanide;
d.46. (C.A.S. 7681-49-4) Sodium fluoride;
d.47. (C.A.S. 16893-85-9) Sodium hexafluorosilicate;
d.48. (C.A.S. 1313-82-2) Sodium sulfide;
d.49. (C.A.S. 637-39-8) Triethanolamine hydrochloride;
d.50. (C.A.S. 116-17-6) Tri-isopropyl phosphite.
1C351 Human and animal pathogens and ``toxins,'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: CB, CW, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to items controlled by CB Column 1.
1C351.d.15 and .16.
CB applies to entire entry................ CB Column 2.
------------------------------------------------------------------------
CW applies to 1C351.d.15 and .d.16 and a license is required for CW
reasons for all destinations, including Australia, Canada, and the
United Kingdom, as follows: CW applies to 1C351.d.15 for ricin in the
form of (1) Ricinus communis AgglutininII (RCAII), also known
as ricin D or Ricinus Communis LectinIII (RCLIII) and (2)
Ricinus communis LectinIV (RCLIV), also known as ricin E. CW
applies to 1C351.d.16 for saxitoxin identified by C.A.S. 35523-89-8.
See Sec. 742.18 of the EAR for licensing information pertaining to
chemicals subject to restriction pursuant to the Chemical Weapons
Convention (CWC). The Commerce Country Chart is not designed to
determine licensing requirements for items controlled for CW reasons.
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ Column 1.
------------------------------------------------------------------------
License Requirement Notes
1. All vaccines and 'immunotoxins' are excluded from the scope of
this entry. Certain medical products and diagnostic and food testing
kits that contain biological toxins controlled under 1C351.d, with the
exception of toxins controlled for CW reasons under 1C351.d.15 or .d.16,
are excluded from the scope of this entry. Vaccines, 'immunotoxins',
certain medical products, and diagnostic and food testing kits excluded
from the scope of this entry are controlled under ECCN 1C991.
2. Clostridium perfringens strains, other than the epsilon toxin-
producing strains of Clostridium perfringens described in 1C351.c.12,
are excluded from the scope of this entry, since they may be used as
positive control cultures for food testing and quality control.
3. Unless specified elsewhere in this ECCN 1C351 (e.g., in License
Requirement Notes 1-3), this ECCN controls all biological agents and
``toxins,'' regardless of quantity or attenuation, that are identified
in the List of Items Controlled for this ECCN, including small
quantities or attenuated strains of select biological agents or
``toxins'' that are excluded from the lists of select biological agents
or ``toxins'' by the Animal and Plant Health Inspection Service (APHIS),
U.S. Department of Agriculture (USDA), or the Centers for Disease
Control and Prevention (CDC), U.S. Department of Health and Human
Services (HHS), in accordance with their regulations in 9 CFR part 121
and 42 CFR part 73, respectively.
4. Biological agents and pathogens are controlled under this ECCN
1C351 when they are an isolated live culture of a pathogen agent, or a
preparation of a toxin agent that has been isolated or extracted from
any source or material, including living material that has been
deliberately inoculated or contaminated with the agent. Isolated live
cultures of a pathogen agent include live cultures in dormant form or in
dried preparations, whether the agent is natural, enhanced or modified.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Certain forms of ricin and saxitoxin in 1C351.d.15
and .d.16 are CWC Schedule 1 chemicals (see Sec. 742.18 of the EAR).
The U.S. Government must provide advance notification and annual reports
to the OPCW of all exports of Schedule 1 chemicals. See Sec. 745.1 of
the EAR for
[[Page 414]]
notification procedures. See 22 CFR part 121, Category XIV for CWC
Schedule 1 chemicals that are ``subject to the ITAR.'' (2) The Animal
and Plant Health Inspection Service (APHIS), U.S. Department of
Agriculture, and the Centers for Disease Control and Prevention (CDC),
U.S. Department of Health and Human Services, maintain controls on the
possession, use, and transfer within the United States of certain items
controlled by this ECCN (for APHIS, see 7 CFR 331.3(b), 9 CFR 121.3(b),
and 9 CFR 121.4(b); for CDC, see 42 CFR 73.3(b) and 42 CFR 73.4(b)). (3)
See USML Category XIV for modified biological agents and biologically
derived substances that are ``subject to the ITAR'' (see 22 CFR parts
120 through 130).
Related Definitions: For the purposes of this entry, 'immunotoxins' are
monoclonal antibodies linked to a toxin with the intention of destroying
a specific target cell while leaving adjacent cells intact.
Items:
a. Viruses identified on the Australia Group (AG) ``List of Human
and Animal Pathogens and Toxins for Export Control,'' as follows:
a.1. African horse sickness virus;
a.2. African swine fever virus;
a.3. Andes virus;
a.4. Avian influenza (AI) viruses identified as having high
pathogenicity (HP), as follows:
a.4.a. AI viruses that have an intravenous pathogenicity index
(IVPI) in 6-week-old chickens greater than 1.2; or
a.4.b. AI viruses that cause at least 75% mortality in 4- to 8-week-
old chickens infected intravenously.
Note: Avian influenza (AI) viruses of the H5 or H7 subtype that do
not have either of the characteristics described in 1C351.a.4
(specifically, 1C351.a.4.a or .a.4.b) should be sequenced to determine
whether multiple basic amino acids are present at the cleavage site of
the haemagglutinin molecule (HA0). If the amino acid motif is similar to
that observed for other HPAI isolates, then the isolate being tested
should be considered as HPAI and the virus is controlled under
1C351.a.4.
a.5. Bluetongue virus;
a.6. Chapare virus;
a.7. Chikungunya virus;
a.8. Choclo virus;
a.9. Classical swine fever virus (Hog cholera virus);
a.10. Crimean-Congo hemorrhagic fever virus;
a.11. Dobrava-Belgrade virus;
a.12. Eastern equine encephalitis virus;
a.13. Ebolavirus (includes all members of the Ebolavirus genus);
a.14. Foot-and-mouth disease virus;
a.15. Goatpox virus;
a.16. Guanarito virus;
a.17. Hantaan virus;
a.18. Hendra virus (Equine morbillivirus);
a.19. Japanese encephalitis virus;
a.20. Junin virus;
a.21. Kyasanur Forest disease virus;
a.22. Laguna Negra virus;
a.23. Lassa virus;
a.24. Louping ill virus;
a.25. Lujo virus;
a.26. Lumpy skin disease virus;
a.27. Lymphocytic choriomeningitis virus;
a.28. Machupo virus;
a.29. Marburgvirus (includes all members of the Marburgvirus genus);
a.30. Middle East respiratory syndrome-related coronavirus (MERS-
related coronavirus);
a.31. Monkeypox virus;
a.32. Murray Valley encephalitis virus;
a.33. Newcastle disease virus;
a.34. Nipah virus;
a.35. Omsk hemorrhagic fever virus;
a.36. Oropouche virus;
a.37. Peste-des-petits ruminants virus;
a.38. Porcine Teschovirus;
a.39. Powassan virus;
a.40. Rabies virus and all other members of the Lyssavirus genus;
a.41. Reconstructed 1918 influenza virus;
Technical Note: 1C351.a.41 includes reconstructed replication
competent forms of the 1918 pandemic influenza virus containing any
portion of the coding regions of all eight gene segments.
a.42. Rift Valley fever virus;
a.43. Rinderpest virus;
a.44. Rocio virus;
a.45. Sabia virus;
a.46. Seoul virus;
a.47. Severe acute respiratory syndrome-related coronavirus (SARS-
related coronavirus);
a.48. Sheeppox virus;
a.49. Sin Nombre virus;
a.50. St. Louis encephalitis virus;
a.51. Suid herpesvirus 1 (Pseudorabies virus; Aujeszky's disease);
a.52. Swine vesicular disease virus;
a.53. Tick-borne encephalitis virus (Far Eastern subtype, formerly
known as Russian Spring-Summer encephalitis virus--see 1C351.b.3 for
Siberian subtype);
a.54. Variola virus;
a.55. Venezuelan equine encephalitis virus;
a.56. Vesicular stomatitis virus;
a.57. Western equine encephalitis virus; or
a.58. Yellow fever virus.
b. Viruses identified on the APHIS/CDC ``select agents'' lists (see
Related Controls paragraph 2 for this ECCN), but not identified on the
Australia Group (AG) ``List of Human and Animal Pathogens and Toxins for
Export Control,'' as follows:
b.1. [Reserved];
b.2. [Reserved]; or
b.3. Tick-borne encephalitis virus (Siberian subtype, formerly West
Siberian virus--see 1C351.a.53 for Far Eastern subtype).
[[Page 415]]
c. Bacteria identified on the Australia Group (AG) ``List of Human
and Animal Pathogens and Toxins for Export Control,'' as follows:
c.1. Bacillus anthracis;
c.2. Brucella abortus;
c.3. Brucella melitensis;
c.4. Brucella suis;
c.5. Burkholderia mallei (Pseudomonas mallei);
c.6. Burkholderia pseudomallei (Pseudomonas pseudomallei);
c.7. Chlamydia psittaci (Chlamydophila psittaci);
c.8. Clostriduim argentinense (formerly known as Clostridium
botulinum Type G), botulinum neurotoxin producing strains;
c.9. Clostridium baratii, botulinum neurotoxin producing strains;
c.10. Clostridium botulinum;
c.11. Clostridium butyricum, botulinum neurotoxin producing strains;
c.12. Clostridium perfringens, epsilon toxin producing types;
c.13. Coxiella burnetii;
c.14. Francisella tularensis;
c.15. Mycoplasma capricolum subspecies capripneumoniae (``strain
F38'');
c.16. Mycoplasma mycoides subspecies mycoides SC (small colony)
(a.k.a. contagious bovine pleuropneumonia);
c.17. Rickettsia prowazekii;
c.18. Salmonella enterica subspecies enterica serovar Typhi
(Salmonella typhi);
c.19. Shiga toxin producing Escherichia coli (STEC) of serogroups
O26, O45, O103, O104, O111, O121, O145, O157, and other shiga toxin
producing serogroups;
Note:
Shiga toxin producing Escherichia coli (STEC) includes, inter alia,
enterohaemorrhagic E. coli (EHEC), verotoxin producing E. coli (VTEC) or
verocytotoxin producing E. coli (VTEC).
c.20. Shigella dysenteriae;
c.21. Vibrio cholerae; or
c.22. Yersinia pestis.
d. ``Toxins'' identified on the Australia Group (AG) ``List of Human
and Animal Pathogens and Toxins for Export Control,'' as follows, or
their subunits:
d.1. Abrin;
d.2. Aflatoxins;
d.3. Botulinum neurotoxins;
d.4. Brevetoxins;
d.5. Clostridium perfringens alpha, beta 1, beta 2, epsilon and iota
toxins;
d.6. Conotoxins;
d.7. Diacetoxyscirpenol;
d.8. Gonyautoxins;
d.9. HT-2 toxin;
d.10. Microcystins (Cyanginosins);
d.11. Modeccin;
d.12. Neosaxitoxin (NEO);
d.13. Nodularins;
d.14. Palytoxin;
d.15. Ricin;
d.16. Saxitoxin;
d.17. Shiga toxins (shiga-like toxins, verotoxins, and
verocytotoxins);
d.18. Staphylococcus aureus enterotoxins, hemolysin alpha toxin, and
toxic shock syndrome toxin (formerly known as Staphylococcus enterotoxin
F);
d.19. T-2 toxin;
d.20. Tetrodotoxin;
d.21. Viscumin (Viscum album lectin 1); or
d.22. Volkensin.
e. ``Fungi'', as follows:
e.1. Coccidioides immitis; or
e.2. Coccidioides posadasii.
1C353 Genetic elements and genetically modified organisms, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to genetic elements of items CB Column 1.
controlled by 1C351.d.15 and .16.
CB applies to entire entry................ CB Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Notes:
1. Vaccines that contain genetic elements or genetically modified
organisms identified in this ECCN are controlled by ECCN 1C991.
2. Unless specified elsewhere in this ECCN 1C353 (e.g., in License
Requirement Note 1), this ECCN controls genetic elements or genetically
modified organisms for all biological agents and ``toxins,'' regardless
of quantity or attenuation, that are identified in the List of Items
Controlled for this ECCN, including genetic elements or genetically
modified organisms for attenuated strains of select biological agents or
``toxins'' that are excluded from the lists of select biological agents
or ``toxins'' by the Animal and Plant Health Inspection Service (APHIS),
U.S. Department of Agriculture, or the Centers for Disease Control and
Prevention (CDC), U.S. Department of Health and Human Services, in
accordance with the APHIS regulations in 7 CFR part 331 and 9 CFR part
121 and the CDC regulations in 42 CFR part 73.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) The Animal and Plant Health Inspection Service
(APHIS), U.S. Department of Agriculture, and the Centers for Disease
Control and Prevention (CDC), U.S. Department of Health and Human
Services, maintain controls on the possession, use, and transfer within
the United States of certain items controlled by this ECCN, including
(but not limited to) certain genetic elements, recombinant nucleic
acids, and recombinant organisms
[[Page 416]]
associated with the agents or toxins in ECCN 1C351 or 1C354 (for APHIS,
see 7 CFR 331.3(c), 9 CFR 121.3(c), and 9 CFR 121.4(c); for CDC, see 42
CFR 73.3(c) and 42 CFR 73.4(c)). (2) See USML Category XIV for modified
biological agents and biologically derived substances that are ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definition: N/A
Items:
a. Any genetically modified organism that contains, or any genetic
element that codes for, any of the following:
a.1. Any gene, genes, translated product or translated products
specific to any virus controlled by 1C351.a or .b or 1C354.c;
a.2. Any gene or genes specific to any bacterium controlled by
1C351.c or 1C354.a, or any fungus controlled by 1C351.e or 1C354.b, and
which;
a.2.a. In itself or through its transcribed or translated products
represents a significant hazard to human, animal or plant health; or
a.2.b. Could endow or enhance pathogenicity; or
a.3. Any toxins, or their subunits, controlled by 1C351.d.
b. [Reserved].
Technical Notes: 1. Genetically modified organisms include organisms
in which the nucleic acid sequences have been created or altered by
deliberate molecular manipulation.
2. ``Genetic elements'' include, inter alia, chromosomes, genomes,
plasmids, transposons, vectors, and inactivated organisms containing
recoverable nucleic acid fragments, whether genetically modified or
unmodified, or chemically synthesized in whole or in part. For the
purposes of this ECCN 1C353, nucleic acids from an inactivated organism,
virus, or sample are considered to be 'recoverable' if the inactivation
and preparation of the material is intended or known to facilitate
isolation, purification, amplification, detection, or identification of
nucleic acids.
3. This ECCN does not control nucleic acid sequences of shiga toxin
producing Escherichia coli of serogroups O26, O45, O103, O104, O111,
O121, O145, O157, and other shiga toxin producing serogroups, other than
those genetic elements coding for shiga toxin, or for its subunits.
4. 'Endow or enhance pathogenicity' is defined as when the insertion
or integration of the nucleic acid sequence or sequences is/are likely
to enable or increase a recipient organism's ability to be used to
deliberately cause disease or death. This might include alterations to,
inter alia: virulence, transmissibility, stability, route of infection,
host range, reproducibility, ability to evade or suppress host immunity,
resistance to medical countermeasures, or detectability.
1C354 Plant pathogens, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirements Notes:
1. All vaccines are excluded from the scope of this ECCN. See ECCN
1C991 for vaccines.
2. Unless specified elsewhere in this ECCN 1C354 (e.g., in License
Requirement Note 1), this ECCN controls all biological agents,
regardless of quantity or attenuation, that are identified in the List
of Items Controlled for this ECCN, including small quantities or
attenuated strains of select biological agents that are excluded from
the list of PPQ select agents and ``toxins'' by the Animal and Plant
Health Inspection Service (APHIS), U.S. Department of Agriculture, in
accordance with their regulations in 7 CFR part 331.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) The Animal and Plant Health Inspection Service
(APHIS), U.S. Department of Agriculture, maintains controls on the
possession, use, and transfer within the United States of certain items
controlled by this ECCN (see 7 CFR 331.3(c), 9 CFR 121.3(c), and 9 CFR
121.4(c)). (2) See 22 CFR part 121, Category XIV(b), for modified
biological agents and biologically derived substances that are subject
to the export licensing jurisdiction of the U.S. Department of State,
Directorate of Defense Trade Controls.
Related Definitions: N/A
Items:
a. Bacteria, as follows:
a.1. Xanthomonas albilineans;
a.2. Xanthomonas citri pv. citri (Xanthomonas axonopodis pv. citri,
Xanthomonas campestris pv. citri);
a.3. Xanthomonas oryzae [this species of proteobacteria is
identified on the APHIS ``select agents'' list (see Related Controls
paragraph for this ECCN), but only the pathovar Xanthomonas oryzae pv.
oryzae (syn. Pseudomonas campestris pv. oryzae) is identified on the
Australia Group (AG) ``List of Plant Pathogens for Export Control''];
a.4. Clavibacter michiganensis subsp. sepedonicus (Clavibacter
sepedonicus, Clavibacter michiganense subsp. sepedonicus,
Corynebacterium michiganensis subsp. sepedonicum, Corynebacterium
sepedonicum);
a.5. Ralstonia solanacearum, race 3, biovar 2;
a.6. Raythayibactor toxicus [this bacterium is identified on the
APHIS ``select agents'' list (see the Related Controls paragraph for
[[Page 417]]
this ECCN), but is not identified on the Australia Group (AG) ``List of
Plant Pathogens for Export Control''].
b. Fungi, as follows:
b.1. Bipolaris oryzae (Cochliobolus miyabeanus, Helminthosporium
oryzae);
b.2. Colletotrichum kahawae (Colletotrichum coffeanum var.
virulans);
b.3. Pseudocercospora ulei (Microcyclus ulei, Dothidella ulei);
b.4. Puccinnia graminis ssp. graminis var. graminis/Puccinia
graminis ssp. graminis var. stakmanii (Puccinia graminis [syn. Puccinia
graminis f. sp. tritici]);
b.5. Puccinia striiformis (syn. Puccinia glumarum);
b.6. Magnaporthe oryzae (Pyricularia oryzae);
b.7. Peronosclerospora philippinensis (Peronosclerospora sacchari);
b.8. Sclerophthora rayssiae var. zeae;
b.9. Synchytrium endobioticum;
b.10. Tilletia indica;
b.11. Thecaphora solani;
b.12. Phoma glycinicola (formerly Pyrenochaeta glycines) [this
fungus is identified on the APHIS ``select agents'' list (see the
Related Controls paragraph for this ECCN), but is not identified on the
Australia Group (AG) ``List of Plant Pathogens for Export Control''].
c. Viruses, as follows:
c.1. Andean potato latent virus (Potato Andean latent tymovirus);
c.2. Potato spindle tuber viroid.
1C355 Chemical Weapons Convention (CWC) Schedule 2 and 3 chemicals and
families of chemicals not controlled by ECCN 1C350 or
``subject to the ITAR'' (see 22 CFR parts) (see List of Items
Controlled).
License Requirements
Reason for Control: CW, AT.
Control(s)
CW applies to entire entry. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for CW
reasons. A license is required to export or reexport CWC Schedule 2
chemicals and mixtures identified in 1C355.a to States not Party to the
CWC (destinations not listed in Supplement No. 2 to part 745 of the
EAR). A license is required to export CWC Schedule 3 chemicals and
mixtures identified in 1C355.b to States not Party to the CWC, unless an
End Use Certificate issued by the government of the importing country is
obtained by the exporter, prior to export. A license is required to
reexport CWC Schedule 3 chemicals and mixtures identified in 1C355.b
from a State not Party to the CWC to any other State not Party to the
CWC. (See Sec. 742.18 of the EAR for license requirements and policies
for toxic and precursor chemicals controlled for CW reasons.)
AT applies to entire entry. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for AT
reasons in 1C350. A license is required, for AT reasons, to export or
reexport items controlled by 1C350 to a country in Country Group E:1 of
Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for
additional information on the AT controls that apply to Iran, North
Korea, and Syria. See part 746 of the EAR for additional information on
sanctions that apply to Iran, North Korea, and Syria.)
License Requirements Notes:
1. MIXTURES:
a. Mixtures containing toxic and precursor chemicals identified in
ECCN 1C355, in concentrations that are below the control levels
indicated in 1C355.a and .b, are controlled by ECCN 1C995 and are
subject to the license requirements specified in that ECCN.
b. Mixtures containing chemicals identified in this entry are not
controlled by ECCN 1C355 when the controlled chemical is a normal
ingredient in consumer goods packaged for retail sale for personal use
or packaged for individual use. Such consumer goods are classified as
EAR99.
Note to mixtures: Calculation of concentrations of CW-controlled
chemicals:
a. Exclusion. No chemical may be added to the mixture (solution) for
the sole purpose of circumventing the Export Administration Regulations;
b. Percent Weight Calculation. When calculating the percentage, by
weight, of ingredients in a chemical mixture, include all ingredients of
the mixture, including those that act as solvents.
2. COMPOUNDS: Compounds created with any chemicals identified in
this ECCN 1C355 may be shipped NLR (No License Required), without
obtaining an End-Use Certificate, unless those compounds are also
identified in this entry or require a license for reasons set forth
elsewhere in the EAR.
Technical Notes: For purposes of this entry, a ``mixture'' is
defined as a solid, liquid or gaseous product made up of two or more
ingredients that do not react together under normal storage conditions.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also ECCNs 1C350 1C351, 1C395, and 1C995. See
Sec. Sec. 742.18 and 745.2 of the EAR for End-Use Certification
requirements.
Related Definitions: N/A
Items:
a. CWC Schedule 2 chemicals and mixtures containing Schedule 2
chemicals:
a.1. Toxic chemicals, as follows, and mixtures containing toxic
chemicals:
a.1.a. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene
(C.A.S. 382-21-8)
[[Page 418]]
and mixtures in which PFIB constitutes more than 1 percent of the weight
of the mixture;
a.1.b. [Reserved]
a.2. Precursor chemicals, as follows, and mixtures in which at least
one of the following precursor chemicals constitutes more than 10
percent of the weight of the mixture:
a.2.a. Chemicals, except for those listed in Schedule 1, containing
a phosphorus atom to which is bonded one methyl, ethyl, or propyl
(normal or iso) group but not further carbon atoms.
Note: 1C355.a.2.a does not control Fonofos: O-Ethyl S-phenyl
ethylphosphonothiolothionate (C.A.S. 944-22-9).
a.2.b. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) phosphoramidic
dihalides;
a.2.c. FAMILY: Dialkyl (Me, Et, n-Pr or i-Pr) N,N-dialkyl (Me, Et,
n-Pr, or i-Pr)-phosphoramidates;
a.2.d. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethyl-2-
chlorides and corresponding protonated salts;
a.2.e. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-ols
and corresponding protonated salts;
Note: 1C355.a.2.e. does not control N,N-Dimethylaminoethanol and
corresponding protonated salts (C.A.S. 108-01-0) or N,N-
Diethylaminoethanol and corresponding protonated salts (C.A.S. 100-37-
8).
a.2.f. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-
thiols and corresponding protonated salts.
b. CWC Schedule 3 chemicals and mixtures containing Schedule 3
chemicals:
b.1. Toxic chemicals, as follows, and mixtures in which at least one
of the following toxic chemicals constitutes 30 percent or more of the
weight of the mixture:
b.1.a. Phosgene: Carbonyl dichloride (C.A.S. 75-44-5);
b.1.b. Cyanogen chloride (C.A.S. 506-77-4);
b.1.c. Hydrogen cyanide (C.A.S. 74-90-8);
b.1.d. Chloropicrin: Trichloronitromethane (CAS 76-06-2).
b.2. Precursor chemicals, as follows, and mixtures in which at least
one of the following precursor chemicals constitutes 30 percent or more
of the weight of the mixture:
b.2.a. [Reserved];
b.2.b. Methyldiethanolamine (C.A.S. 105-59-9).
1C395 Mixtures and Medical, Analytical, Diagnostic, and Food Testing
Kits Not Controlled by ECCN 1C350, as follows (See List of
Items Controlled).
License Requirements
Reason for Control: CB, CW, AT
Control(s): CB applies to entire entry. The Commerce Country Chart is
not designed to determine licensing requirements for items controlled
for CB reasons in 1C395. A license is required, for CB reasons, to
export or reexport mixtures controlled by 1C395.a and test kits
controlled by 1C395.b to States not Party to the CWC (destinations not
listed in Supplement No. 2 to part 745 of the EAR).
CW applies to entire entry. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for CW
reasons. A license is required for CW reasons, as follows, to States not
Party to the CWC (destinations not listed in Supplement No. 2 to part
745 of the EAR): (1) Exports and reexports of mixtures controlled by
1C395.a, (2) exports and reexports of test kits controlled by 1C395.b
that contain CWC Schedule 2 chemicals controlled by ECCN 1C350, (3)
exports of test kits controlled by 1C395.b that contain CWC Schedule 3
chemicals controlled by ECCN 1C350, except that a license is not
required, for CW reasons, to export test kits containing CWC Schedule 3
chemicals if an End-Use Certificate issued by the government of the
importing country is obtained by the exporter prior to export, and (4)
reexports from States not Party to the CWC of test kits controlled by
1C395.b that contain CWC Schedule 3 chemicals. (See Sec. 742.18 of the
EAR for license requirements and policies for toxic and precursor
chemicals controlled for CW reasons.)
AT applies to entire entry. The Commerce Country Chart is not
designed to determine licensing requirements for items controlled for AT
reasons in 1C395. A license is required, for AT reasons, to export or
reexport items controlled by 1C395 to a country in Country Group E:1 of
Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for
additional information on the AT controls that apply to Iran, North
Korea, Sudan, and Syria. See part 746 of the EAR for additional
information on sanctions that apply to Iran, North Korea, and Syria.)
License Requirements Notes: 1. 1C395.b does not control mixtures
that contain precursor chemicals identified in ECCN 1C350.b or .c in
concentrations below the control levels for mixtures indicated in
1C350.b or .c. 1C395.a and 1C995.a.1 and a.2.a control such mixtures,
unless they are consumer goods, as described in License Requirements
Note 2 of this ECCN.
2. This ECCN does not control mixtures when the controlled chemicals
are normal ingredients in consumer goods packaged for retail sale for
personal use. Such consumer goods are classified as EAR99.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 1. ECCN 1C350 controls mixtures containing 30 percent
or higher concentrations, by weight, of any single CWC
[[Page 419]]
Schedule 2 chemical identified in ECCN 1C350.b; ECCN 1C995 controls such
mixtures containing concentrations of 10 percent or less. 2. ECCN 1C995
controls ``medical, analytical, diagnostic, and food testing kits'' (as
defined in the Related Definitions paragraph of this ECCN) that contain
precursor chemicals listed in ECCN 1C350.d. ECCN 1C350 controls any such
kits in which the amount of any single chemical listed in 1C350.b, .c,
or .d exceeds 300 grams by weight.
Related Definitions: For the purpose of this entry, ``medical,
analytical, diagnostic, and food testing kits'' are pre-packaged
materials of defined composition that are specifically developed,
packaged and marketed for medical, analytical, diagnostic, or public
health purposes. Replacement reagents for medical, analytical,
diagnostic, and food testing kits described in 1C395.b are controlled by
ECCN 1C350 if the reagents contain at least one of the precursor
chemicals identified in that ECCN in concentrations equal to or greater
than the control levels for mixtures indicated in 1C350.b. or .c.
Items: a. Mixtures containing more than 10 percent, but less than 30
percent, by weight of any single CWC Schedule 2 chemical identified in
ECCN 1C350.b (For controls on other mixtures containing these chemicals,
see Note 1 in the Related Controls paragraph of this ECCN.).
b. ``Medical, analytical, diagnostic, and food testing kits'' (as
defined in the Related Definitions for this ECCN) that contain CWC
Schedule 2 or 3 chemicals controlled by ECCN 1C350.b or .c in an amount
not exceeding 300 grams per chemical. (For controls on other such test
kits containing these and other controlled chemicals, see Note 2 in the
Related Controls paragraph of this ECCN.)
1C607 Tear Gases, Riot Control Agents and materials for the detection
and decontamination of chemical warfare agents (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to Part 738)
------------------------------------------------------------------------
NS applies to entire entry, except NS Column 1.
1C607.a.10, .a.11, .a.12, and .a.14.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1C607.
List of Items Controlled
Related Controls: (1) See ECCN 1A984 for controls on other riot control
agents. (2) See 22 CFR 121.1 (USML), Category XIV(b), for modified
biological agents and biologically derived substances that are subject
to the ITAR. (3) See 22 CFR 121.1 (USML), Category XIV(g), for ITAR
controls on antibodies, recombinant protective antigens,
polynucleotides, biopolymers or biocatalysts (including the expression
vectors, viruses, plasmids, or cultures of specific cells used to
produce them) that are ``specially designed'' for use with articles
controlled under USML Category XIV(f). (4) See ECCN 0A919 for ``military
commodities'' located and produced outside the United States that
incorporate more than a de minimis amount of US-origin ``600 series''
controlled content.
Related Definitions: N/A
Items: a. Tear gases and riot control agents including:
a.1. CA (Bromobenzyl cyanide) (CAS 5798-79-8);
a.2. CS (o-Chlorobenzylidenemalononitrile or o-
Chlorobenzalmalononitrile) (CAS 2698-41-1);
a.3. CN (Phenylacyl chloride or w-Chloroacetophenone) (CAS 532-27-
4);
a.4. CR (Dibenz-(b,f)-1,4-oxazephine) (CAS 257-07-8);
a.5. Adamsite (Diphenylamine chloroarsine or DM) (CAS 578-94-9);
a.6. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
a.7. Dibromodimethyl ether (CAS 4497-29-4);
a.8. Dichlorodimethyl ether (ClCi) (CAS 542-88-1);
a.9. Ethyldibromoarsine (CAS 683-43-2);
a.10. Bromo acetone (CAS 598-31-2);
a.11. Bromo methylethylketone (CAS 816-40-0);
a.12. Iodo acetone (CAS 3019-04-3);
a.13. Phenylcarbylamine chloride (CAS 622-44-6);
a.14. Ethyl iodoacetate (CAS 623-48-3);
Note to 1C607.a: ECCN 1C607.a. does not control the following:
formulations containing 1% or less of CN or CS; individually packaged
tear gases or riot control agents for personal self-defense purposes
that are controlled by ECCN 1A984; or active constituent chemicals, and
combinations thereof, identified and packaged for food production or
medical purposes.
b. ``Biopolymers,'' not controlled by USML Category XIV(g)
``specially designed'' or processed for the detection or identification
of chemical warfare agents specified by USML Category XIV(a), and the
cultures of specific cells used to produce them.
[[Page 420]]
c. ``Biocatalysts,'' and biological systems therefor, not controlled
by USML Category XIV(g) ``specially designed'' for the decontamination
or degradation of chemical warfare agents controlled in USML Category
XIV (a), as follows:
c.1. ``Biocatalysts'' ``specially designed'' for the decontamination
or degradation of chemical warfare agents controlled in USML Category
XIV(a) resulting from directed laboratory selection or genetic
manipulation of biological systems;
c.2. Biological systems containing the genetic information specific
to the production of ``biocatalysts'' specified by 1C607.c.1, as
follows:
c.2.a. ``Expression vectors;''
c.2.b. Viruses; or
c.2.c. Cultures of cells.
Note to 1C607.b and .c: The cultures of cells and biological systems
are exclusive and these sub-items do not apply to cells or biological
systems for civil purposes, such as agricultural, pharmaceutical,
medical, veterinary, environmental, waste management, or in the food
industry.
d. Chemical mixtures not controlled by USML Category XIV(f)
``specially designed'' for military use for the decontamination of
objects contaminated with materials specified by USML Category XIV(a) or
(b).
1C608 ``Energetic materials'' and related commodities (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to 1C608.m..................... MT Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not control devices or charges
containing materials controlled by USML subparagraphs V(c)(6), V(h), or
V(i). The USML controls devices containing such materials. (2) The USML
in Categories III, IV, or V controls devices and charges in this entry
if they contain materials controlled by Category V (other than slurries)
and such materials can be easily extracted without destroying the device
or charge. (3) See also explosives and other items enumerated in ECCNs
1A006, 1A007, 1A008, 1C011, 1C111, 1C239, and 1C992. (4) See ECCN 0A919
for foreign-made ``military commodities'' that incorporate more than a
de minimis amount of US-origin ``600 series'' controlled content.
Related Definitions: (1) For purposes of this entry, the term
'controlled materials' means controlled energetic materials enumerated
in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V. (2) For the
purposes of this entry, the term 'propellants' means substances or
mixtures that react chemically to produce large volumes of hot gases at
controlled rates to perform mechanical work.
Items: a. 'Single base', 'double base', and 'triple base' 'propellants'
having nitrocellulose with nitrogen content greater than 12.6% in the
form of either:
a.1. 'Sheetstock' or 'carpet rolls'; or
a.2. Grains with diameter greater than 0.10 inches.
Note: This entry does not control 'propellant' grains used in
shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes: 1. 'Sheetstock' is 'propellant' that has been
manufactured in the form of a sheet suitable for further processing.
2. A 'carpet roll' is 'propellant' that has been manufactured as a
sheet, often cut to a desired width, and subsequently rolled up (like a
carpet).
3. 'Single base' is 'propellant' which consists mostly of
nitrocellulose.
4. 'Double base' 'propellant' consist mostly of nitrocellulose and
nitroglycerine.
5. 'Triple base' consists mostly of nitrocellulose, nitroglycerine,
and nitroguanidine. Such 'propellants' contain other materials, such as
resins or stabilizers, that could include carbon, salts, burn rate
modifiers, nitrodiphenylamine, wax, polyethylene glycol (PEG),
polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300
grains per foot), but not more than 0.1 kg per meter (470 grains per
foot) of 'controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but not
more than 1.0 kg of 'controlled materials.'
d. Detonators (electric or nonelectric) and ``specially designed''
assemblies therefor containing greater than 0.01 kg, but not more than
0.1 kg of 'controlled materials'.
e. Igniters not controlled by USML Categories III or IV that contain
greater than 0.01 kg, but not more than 0.1 kg of 'controlled
materials'.
f. Oil well cartridges containing greater than 0.015 kg, but not
more than 0.1 kg of 'controlled materials'.
[[Page 421]]
g. Commercial cast or pressed boosters containing greater than 1.0
kg, but not more than 5.0 kg of 'controlled materials'.
h. Commercial prefabricated slurries and emulsions containing
greater than 10 kg and less than or equal to thirty-five percent by
weight of USML 'controlled materials'.
i. [Reserved]
j. ``Pyrotechnic'' devices ``specially designed'' for commercial
purposes (e.g., theatrical stages, motion picture special effects, and
fireworks displays), and containing greater than 3.0 kg, but not more
than 5.0 kg of 'controlled materials'.
k. Other commercial explosive devices or charges ``specially
designed'' for commercial applications, not controlled by 1C608.c
through .g above, containing greater than 1.0 kg, but not more than 5.0
kg of 'controlled materials'.
l. Propyleneimine (2 methylaziridine) (C.A.S. 75-55-8).
m. Any oxidizer or 'mixture' thereof that is a compound composed of
fluorine and any of the following: other halogens, oxygen, or nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride (NF3) (CAS 7783-54-2) in a
gaseous state is controlled under ECCN 1C992 and not under ECCN 1C608.m.
Note 2 to 1C608.m: Chlorine trifluoride (ClF3) (CAS 7790-91-2) is
controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m: Oxygen difluoride (OF2) is controlled under USML
Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note to 1C608.l and m: If a chemical in ECCN 1C608.l or .m is
incorporated into a commercial charge or device described in ECCN
1C608.c through .k or in ECCN 1C992, the classification of the
commercial charge or device applies to the item.
Technical Note to 1C608.m: 'Mixture' refers to a composition of two
or more substances with at least one substance being enumerated in
1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the USML.
n. Any explosives, 'propellants', oxidizers, ``pyrotechnics'',
fuels, binders, or additives that are ``specially designed'' for
military application and not enumerated or otherwise described in USML
Category V or elsewhere on the USML.
Note 1: 1C608.n does not apply to the following ``aircraft'' fuels:
JP-4, JP-5, and JP-8.
Note 2: ``Aircraft'' fuels specified by 1C608.n, Note 1 are finished
products, not their constituents.
1C980 Inorganic chemicals listed in Supplement No. 1 to part 754 of the
EAR that were produced or derived from the Naval Petroleum
Reserves (NPR) or became available for export as a result of
an exchange of any NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1C982 Other petroleum products listed in Supplement No. 1 to part 754 of
the EAR that were produced or derived from the Naval Petroleum
Reserves (NPR) or became available for export as a result of
an exchange of any NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C983 Natural gas liquids and other natural gas derivatives listed in
Supplement No. 1 to part 754 of the EAR that were produced or
derived from the Naval Petroleum Reserves (NPR) or became
available for export as a result of an exchange of any NPR
produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C984 Manufactured gas and synthetic natural gas (except when commingled
with natural gas and thus subject to export authorization from
the Department of Energy) listed in Supplement No. 1 to part
754 of the EAR that were produced or derived from the Naval
Petroleum Reserves (NPR) or became available for export as a
[[Page 422]]
result of an exchange of any NPR produced or derived
commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C988 Unprocessed western red cedar (thuja plicata) logs and timber, and
rough, dressed and worked lumber containing wane, as described
in Sec. 754.4 of the EAR.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements (and
possible License Exceptions) proceed directly to part 754 of the EAR.
The Commerce Country Chart is not designed to determine licensing
requirements for items controlled for SS reasons
List of Items Controlled
Related Controls: N/A
Related Definitions: For a non-exhaustive list of 10-digit Harmonized
System-based Schedule B commodity numbers that may apply to unprocessed
Western Red Cedar products subject to Sec. 754.4 and related
definitions, see Supplement No. 2 to part 754 of the EAR.
Items: The list of items controlled is contained in the ECCN heading
1C990 Fibrous and filamentary materials, not controlled by 1C010 or
1C210, for use in ``composite'' structures and with a specific
modulus of 3.18 x 10 \6\ m or greater and a specific tensile
strength of 7.62 x 10 \4\ m or greater.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C991 Vaccines, immunotoxins, medical products, diagnostic and food
testing kits, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to 1C991.c..................... CB Column 3.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Medical products containing ricin or saxitoxin, as
follows, are controlled for CW reasons under ECCN 1C351:
(a) Ricinus communis AgglutininII (RCAII), also known as
ricin D, or Ricinus Communis LectinIII (RCLIII);
(b) Ricinus communis LectinIV (RCLIV), also known as ricin E;
or
(c) Saxitoxin identified by C.A.S. 35523-89-8.
(2) The export of a ``medical product'' that is an ``Investigational New
Drug'' (IND), as defined in 21 CFR 312.3, is subject to certain U.S.
Food and Drug Administration (FDA) requirements that are independent of
the export requirements specified in this ECCN or elsewhere in the EAR.
These FDA requirements are described in 21 CFR 312.110 and must be
satisfied in addition to any requirements specified in the EAR.
(3) Also see 21 CFR 314.410 for FDA requirements concerning exports of
new drugs and new drug substances.
Related Definitions: For the purpose of this entry, 'immunotoxins' are
monoclonal antibodies linked to a toxin with the intention of destroying
a specific target cell while leaving adjacent cells intact. For the
purpose of this entry, 'medical products' are: (1) Pharmaceutical
formulations designed for testing and human (or veterinary)
administration in the treatment of medical conditions; (2) prepackaged
for distribution as clinical or medical products; and (3) approved by
the U.S. Food and Drug Administration either to be marketed as clinical
or medical products or for use as an ``Investigational New Drug'' (IND)
(see 21 CFR part 312). For the purpose of this entry, 'diagnostic and
food testing kits' are specifically developed, packaged and marketed for
diagnostic or public health purposes. Biological toxins in any other
configuration, including bulk shipments, or for any other end-uses are
controlled by ECCN 1C351. For the purpose of this entry,
[[Page 423]]
'vaccine' is defined as a medicinal (or veterinary) product in a
pharmaceutical formulation, approved by the U.S. Food and Drug
Administration or the U.S. Department of Agriculture to be marketed as a
medical (or veterinary) product or for use in clinical trials, that is
intended to stimulate a protective immunological response in humans or
animals in order to prevent disease in those to whom or to which it is
administered.
Items:
Technical Note: For purposes of the controls described in this ECCN,
'toxins' refers to those toxins, or their subunits, controlled under
ECCN 1C351.d.
a. Vaccines containing, or designed for use against, items
controlled by ECCN 1C351, 1C353 or 1C354.
b. Immunotoxins containing toxins controlled by 1C351.d;
c. Medical products that contain any of the following:
c.1. Toxins controlled by ECCN 1C351.d (except for botulinum
neurotoxins controlled by ECCN 1C351.d.3, conotoxins controlled by ECCN
1C351.d.6, or items controlled for CW reasons under ECCN 1C351.d.15 or
.d.16); or
c.2. Genetically modified organisms or genetic elements controlled
by ECCN 1C353.a.3 (except for those that contain, or code for, botulinum
neurotoxins controlled by ECCN 1C351.d.3 or conotoxins controlled by
ECCN 1C351.d.6);
d. Medical products not controlled by 1C991.c that contain any of
the following:
d.1. Botulinum neurotoxins controlled by ECCN 1C351.d.3;
d.2. Conotoxins controlled by ECCN 1C351.d.6; or
d.3. Genetically modified organisms or genetic elements controlled
by ECCN 1C353.a.3 that contain, or code for, botulinum neurotoxins
controlled by ECCN 1C351.d.3 or conotoxins controlled by ECCN 1C351.d.6;
e. Diagnostic and food testing kits containing toxins controlled by
ECCN 1C351.d (except for items controlled for CW reasons under ECCN
1C351.d.15 or .d.16).
1C992 Commercial charges and devices containing energetic materials,
n.e.s. and nitrogen trifluoride in a gaseous state (see List
of Items Controlled).
License Requirements
Reason for Control: AT, RS, foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq and
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Commercial charges and devices ``subject to the
EAR,'' contain energetic materials described on the USML that exceed the
quantities noted or that are not covered by this entry are controlled
under ECCN 1C608. (2) Nitrogen trifluoride when not in a gaseous state
is controlled under ECCN 1C608.
Related Definitions: (1) Items controlled by this entry ECCN 1C992 are
those materials not controlled by ECCN 1C608 and not ``subject to the
ITAR.'' (2) For purposes of this entry, the term ``controlled
materials'' means controlled energetic materials (see ECCNs 1C011,
1C111, 1C239, and 1C608; see also 22 CFR 121.1, Category V). (3) The
individual energetic materials described on the USML, even when
compounded with other materials, remain ``subject to the ITAR'' when not
incorporated into explosive devices or charges. (4) Commercial
prefabricated slurries and emulsions containing greater than 35% of
energetic materials described on the USML are ``subject to the ITAR.''
(5) For purposes of this entry, the mass of aluminum powder, potassium
perchlorate, and any of the substances listed in the note to the USML
(see 22 CFR 121.12) (such as ammonium pictrate, black powder, etc.)
contained in commercial explosive devices and in the charges are omitted
when determining the total mass of controlled material.
Items:
a. Shaped charges ``specially designed'' for oil well operations,
utilizing one charge functioning along a single axis, that upon
detonation produce a hole, and
a.1. Contain any formulation of controlled materials;
a.2. Have only a uniform shaped conical liner with an included angle
of 90 degrees or less;
[[Page 424]]
a.3. Contain more than 0.010 kg but less than or equal to 0.090 kg
of controlled materials; and
a.4. Have a diameter not exceeding 4.5 inches;
b. Shaped charges ``specially designed'' for oil well operations
containing less than or equal to 0.010 kg of controlled materials;
c. Detonation cord or shock tubes containing less than or equal to
0.064 kg per meter (300 grains per foot) of controlled materials;
d. Cartridge power devices, that contain less than or equal to 0.70
kg of controlled materials in the deflagration material;
e. Detonators (electric or nonelectric) and assemblies thereof, that
contain less than or equal to 0.01 kg of controlled materials;
f. Igniters, that contain less than or equal to 0.01 kg of
controlled materials;
g. Oil well cartridges, that contain less than or equal to 0.015 kg
of controlled energetic materials;
h. Commercial cast or pressed boosters containing less than or equal
to 1.0 kg of controlled materials;
i. Commercial prefabricated slurries and emulsions containing less
than or equal to 10.0 kg and less than or equal to thirty-five percent
by weight of materials described on the USML;
j. Cutters and severing tools containing less than or equal to 3.5
kg of controlled materials;
k. Pyrotechnic devices when designed exclusively for commercial
purposes (e.g., theatrical stages, motion picture special effects, and
fireworks displays) and containing less than or equal to 3.0 kg of
controlled materials; or
l. Other commercial explosive devices and charges not controlled by
1C992.a through .k containing less than or equal to 1.0 kg of controlled
materials.
Note: 1C992.l includes automotive safety devices; extinguishing
systems; cartridges for riveting guns; explosive charges for
agricultural, oil and gas operations, sporting goods, commercial mining,
or public works purposes; and delay tubes used in the assembly of
commercial explosive devices.
m. Nitrogen trifluoride (NF3) in a gaseous state.
1C995 Mixtures not controlled by ECCN 1C350, ECCN 1C355 or ECCN 1C395
that contain chemicals controlled by ECCN 1C350 or ECCN 1C355
and medical, analytical, diagnostic, and food testing kits not
controlled by ECCN 1C350 or ECCN 1C395 that contain chemicals
controlled by ECCN 1C350.d, as follows (see List of Items
controlled).
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
------------------------------------------------------------------------
License Requirement Notes: 1. This ECCN does not control mixtures
containing less than 0.5% of any single toxic or precursor chemical
controlled by ECCN 1C350.b, .c, or .d or ECCN 1C355 as unavoidable by-
products or impurities. Such mixtures are classified as EAR99.
2. 1C995.c does not control mixtures that contain precursor
chemicals identified in 1C350.d in concentrations below the levels for
mixtures indicated in 1C350.d. 1C995.a.2.b controls such mixtures,
unless they are consumer goods as described in License Requirements Note
3 of this ECCN.
3. This ECCN does not control mixtures when the controlled chemicals
are normal ingredients in consumer goods packaged for retail sale for
personal use. Such consumer goods are classified as EAR99.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 1. ECCN 1C350 controls mixtures containing 30 percent
or higher concentrations of any single CWC Schedule 2 chemical
identified in ECCN 1C350.b. ECCN 1C395 controls mixtures containing
concentrations of more than 10 percent, but less than 30 percent, of any
single CWC Schedule 2 chemical identified in ECCN 1C350.b. 2. ECCN 1C350
controls mixtures containing chemicals identified in ECCN 1C350.c or .d
that exceed the concentration levels indicated in 1C995.a.2. 3. ECCN
1C355 controls mixtures containing chemicals identified in ECCN 1C355
that exceed the concentration levels indicated in 1C995.b. 4. ECCN 1C395
controls ``medical, analytical, diagnostic, and food testing kits'' (as
defined in the Related Controls paragraph of this ECCN) that contain CWC
Schedule 2 or 3 chemicals listed in 1C350.b or .c. ECCN 1C350 controls
any such testing kits in which the amount of any single chemical listed
in 1C350.b, .c., or .d exceeds 300 grams by weight.
Related Definitions: For the purpose of this entry, ``medical,
analytical, diagnostic, and food testing kits'' are pre-packaged
[[Page 425]]
materials of defined composition that are specifically developed,
packaged and marketed for medical, analytical, diagnostic, or public
health purposes. Replacement reagents for medical, analytical,
diagnostic, and food testing kits described in 1C995.c are controlled by
ECCN 1C350 if the reagents contain at least one of the precursor
chemicals identified in that ECCN in concentrations equal to or greater
than the control levels for mixtures indicated in 1C350.d.
Items: a. Mixtures containing the following concentrations of precursor
chemicals controlled by ECCN 1C350 (For controls on other mixtures
containing these chemicals, see Notes 1 and 2 in the Related Controls
paragraph of this ECCN.):
a.1. Mixtures containing 10 percent or less, by weight, of any
single CWC Schedule 2 chemical controlled by ECCN 1C350.b;
a.2. Mixtures containing less than 30 percent, by weight, of:
a.2.a. Any single CWC Schedule 3 chemical controlled by ECCN
1C350.c; or
a.2.b. Any single precursor chemical controlled by ECCN 1C350.d.
b. Mixtures containing the following concentrations of toxic or
precursor chemicals controlled by ECCN 1C355 (For controls on other
mixtures containing these chemicals, see Note 3 in the Related Controls
paragraph of this ECCN.):
b.1. Mixtures containing the following concentrations of CWC
Schedule 2 chemicals controlled by ECCN 1C355.a:
b.1.a. Mixtures containing 1 percent or less, by weight, of any
single CWC Schedule 2 chemical controlled by ECCN 1C355.a.1 (i.e.,
mixtures containing PFIB); or
b.1.b. Mixtures containing 10 percent or less, by weight, of any
single CWC Schedule 2 chemical controlled by 1C355.a.2;
b.2. Mixtures containing less than 30 percent, by weight, of any
single CWC Schedule 3 chemical controlled by ECCN 1C355.b.
c. ``Medical, analytical, diagnostic, and food testing kits'' (as
defined in the Related Definitions for this ECCN) that contain precursor
chemicals controlled by ECCN 1C350.d in an amount not exceeding 300
grams per chemical. (For controls on other such test kits containing
these and other controlled chemicals, see Note 4 in the Related Controls
paragraph of this ECCN.)
1C996 Hydraulic fluids containing synthetic hydrocarbon oils, not
controlled by 1C006, having all the following characteristics
(see List of Items Controlled).
License Requirements
Reason for Control:AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. A flash point exceeding 477 K (204 [deg]C);
b. A pour point at 239 K (--34 [deg]C) or less;
c. A viscosity index of 75 or more; and
d. A thermal stability at 616 K (343 [deg]C).
1C997 Ammonium Nitrate, Including Fertilizers and Fertilizer Blends
Containing More Than 15% by Weight Ammonium Nitrate, Except
Liquid Fertilizers (Containing Any Amount of Ammonium Nitrate)
or Dry Fertilizers Containing Less Than 15% by Weight Ammonium
Nitrate.
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1C998 Non-fluorinated polymeric substances, not controlled by 1C008, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
[[Page 426]]
Related Definitions: N/A
Items: a. Polyarylene ether ketones, as follows:
a.1 Polyether ether ketone (PEEK);
a.2. Polyether ketone ketone (PEKK);
a.3. Polyether ketone (PEK);
a.4. Polyether ketone ether ketone ketone (PEKEKK);
b. [Reserved]
1C999 Specific Materials, n.e.s., as Follows (See List of Items
Controlled).
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT license requirements for
this entry. See Sec.
742.19 of the EAR for
additional information.
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
transfer within Iraq for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 1C236.
Related Definitions: N/A
Items: a. Hardened steel and tungsten carbide precision ball bearings
(3mm or greater diameter);
b. 304 and 316 stainless steel plate, n.e.s.;
c. Monel plate;
d. Tributyl phosphate;
e. Nitric acid in concentrations of 20 weight percent or greater;
f. Fluorine;
g. Alpha-emitting radionuclides, n.e.s.
D. ``Software''
1D001 ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment
controlled by 1B001 to 1B003.
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to ``software'' for the MT Column 1
``development,'' ``production,''
operation, or maintenance of items
controlled by 1B001 for MT reasons.
NP applies to ``software'' for the NP Column 1
``development'', ``production'' or
``use'' of items controlled by 1B001 for
NP reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes, except N/A for MT
List of Items Controlled
Related Controls: (1) See ECCNs 1E101 (``use'') and 1E102
(``development'' and ``production'') for technology for items controlled
by this entry. (2) Also see 1D002, 1D101, 1D201, and 1D999.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1D002 ``Software'' for the ``development'' of organic ``matrix'', metal
``matrix'' or carbon ``matrix'' laminates or ``composites''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
List of Items Controlled
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' for the ``development'' of organic ``matrix'', metal
``matrix'' or carbon ``matrix'' laminates or ``composites'' specified in
ECCN 1A002 to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
Related Controls: ``Software'' for items controlled by 1A102 are
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D003 ``Software'' ``specially designed'' or modified to enable
equipment to perform
[[Page 427]]
the functions of equipment controlled under 1A004.c or
1A004.d.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
RS applies to software for equipment RS Column 2.
controlled by 1A004.d.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
Special Conditions for STA
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1D018 ``Software'' ``specially designed`` or modified for the
``development,'' ``production,'' or ``use'' of items
controlled by 1B018.b.
License Requirements
Reason for Control: NS, MT, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to ``software'' for the
``development'', ``production'',
operation, or maintenance of items
controlled by 1B018 for MT reasons.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 1D608 for ``software'' for items classified
under ECCN 1B608 that, immediately prior to July 1, 2014, were
classified under 1B018.a.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D101 ``Software'' ``specially designed'' or modified for the operation
or maintenance of commodities controlled by 1B101, 1B102,
1B115, 1B117, 1B118, or 1B119.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to ``software'' for the ``use'' NP Column 1.
of items controlled by 1B101.a.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCNs 1E101 (``use'') and 1E102 (``development''
and ``production'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1D103 ``Software'' ``specially designed'' for reduced observables such
as radar reflectivity, ultraviolet/infrared signatures and
acoustic signatures, for applications usable in rockets,
missiles, or unmanned aerial vehicles capable of delivering at
least a 500 kg payload to a ``range'' equal to or greater than
300 km and their complete subsystems.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) This entry includes ``software'' ``specially
designed'' for analysis of signature reduction. (2) For software that
meets the definition of defense articles under 22 CFR 120.3 of the
International Traffic in Arms Regulations (ITAR), which describes
similar software that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130, including USML Category XIII).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D201 ``Software'' ``specially designed'' or modified for the ``use'' of
items controlled by 1B201.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 428]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCNs 1E201 (``use'') and 1E203 (``development''
and ``production'') for technology for items controlled by this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1D390 ``Software'' for process control that is specifically configured
to control or initiate ``production'' of chemicals controlled
by 1C350.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: See Section 772.1 of the EAR for the definitions of
``software,'' ``program,'' and ``microprogram.''
Items: The list of items controlled is contained in the ECCN heading
1D607 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of items controlled
by 1A607, 1B607 or 1C607 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to Part 738)
------------------------------------------------------------------------
NS applies to entire entry, except NS Column 1.
``software'' for 1C607.a.10, .a.11,
.a.12, and .a.14.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1D607.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated or otherwise described in USML Category XIV is subject to the
ITAR (see 22 CFR Sec. 121.1, Category XIV(m)). ``Software'' controlled
by USML Category XIV(m) includes ``software'' directly related to any
equipment containing reagents, algorithms, coefficients, software,
libraries, spectral databases, or alarm set point levels developed under
U.S. Department of Defense contract or funding for the detection,
identification, warning or monitoring of items controlled in paragraphs
(a) or (b) of USML Category XIV, or for chemical or biological agents
specified by U.S. Department of Defense funding or contract. (2) See
ECCN 0A919 for ``military commodities'' located and produced outside the
United States that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 1A607, 1B607, or 1C607.
b. [Reserved]
1D608 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 1B608 or 1C608 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to ``software'' ``specially MT Column 1
designed'' for the ``use'' of 1B608
equipment in the ``production'' and
handling of materials controlled by
1C608.m or MT articles in USML Category V.
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1D608.
List of Items Controlled
Related Controls: (1) Software directly related to articles enumerated
or otherwise described in USML Categories III, IV or V is subject to the
controls of those USML Categories, respectively. (2) See ECCN 0A919 for
foreign-made ``military commodities'' that incorporate more than a de
minimis amount of U.S.-origin ``600 series'' items.
Related Definitions: N/A
[[Page 429]]
Items: a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 1B608 or 1C608.
b. [Reserved]
1D613 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 1A613 or 1B613, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 1D613.y. NS Column 1.
RS applies to entire entry except 1D613.y. RS Column 1.
RS applies to 1D613.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 1D613.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 1D613.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
controlled by USML Category X is subject to the control of USML
paragraph X(e) of the ITAR. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis amount
of US-origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. ``Software'' (other than ``software'' controlled in paragraph .y
of this entry) ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCNs 1A613 (except 1A613.y) or 1B613 (except 1B613.y).
b. to x. [Reserved]
y. Specific ``software'' ``specially designed'' for the
``production,'' ``development,'' operation, or maintenance of
commodities controlled by ECCN 1A613.y.
1D993 ``Software'' ``specially designed'' for the ``development,''
``production'' or ``use'' of materials controlled by 1C210.b,
or 1C990.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D999 Specific Software, n.e.s., as Follows (See List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s):
Country Chart. AT applies to entire entry. A license is required for
items controlled by this entry to North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine AT
licensing requirements for this entry. See Sec. 742.19 of the EAR for
additional information.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See also 1B999.
Related Definitions: N/A
Items: a. Software ``specially designed'' for industrial process control
hardware/systems controlled by 1B999, n.e.s.;
b. Software ``specially designed'' for equipment for the production
of structural composites, fibers, prepregs and preforms controlled by
1B999, n.e.s.
E. ``Technology''
1E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of items controlled by
1A002, 1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008 1A101,
1A231, 1B (except 1B608, 1B613 or 1B999), or 1C (except 1C355,
1C608, 1C980 to 1C984, 1C988, 1C990, 1C991, 1C995 to 1C999).
License Requirements
Reason for Control: NS, MT, NP, CB, RS, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 1A002, 1A003, 1A005,
1A006.b, 1A007, 1B001 to 1B003, 1B018,
1C001 to 1C011, or 1C018.
NS applies to ``technology'' for items NS Column 2.
controlled by 1A004.
[[Page 430]]
MT applies to ``technology'' for items MT Column 1.
controlled by 1A101, 1B001, 1B101, 1B102,
1B115 to 1B119, 1C001, 1C007, 1C011,
1C101, 1C102, 1C107, 1C111, 1C116, 1C117,
or 1C118 for MT reasons.
NP applies to ``technology'' for items NP Column 1.
controlled by 1A002, 1A007, 1A231, 1B001,
1B101, 1B201, 1B225, 1B226, 1B228 to
1B234, 1C002, 1C010, 1C111, 1C116, 1C202,
1C210, 1C216, 1C225 to 1C237, or 1C239 to
1C241 for NP reasons.
CB applies to ``technology'' for items CB Column 1.
controlled by 1C351.d.15 and .16 and the
1C353 genetic elements of toxins in ECCN
1C351.d.15 and .16.
CB applies to ``technology'' for items CB Column 2.
controlled by 1C351, 1C353, or 1C354; and
CB applies to ``technology'' for
materials controlled by 1C350 and for
chemical detection systems and dedicated
detectors therefor, in 1A004.c, that also
have the technical characteristics
described in 2B351.a.
RS applies to technology for equipment RS Column 2.
controlled in 1A004.d.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for the following:
(1) Items controlled for MT reasons; or
(2) Exports and reexports to destinations outside of those countries
listed in Country Group A:5 (See Supplement No. 1 to part 740 of the
EAR) of ``technology'' for the ``development'' or production'' of the
following:
(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are composite structures or
laminates having an organic ``matrix'' and being made from materials
listed under 1C010.c or 1C010.d.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment and materials specified
by ECCNs 1A002, 1C001, 1C007.c, 1C010.c or d or 1C012 to any of the
destinations listed in Country Group A:6 (See Supplement No. 1 to part
740 of the EAR).
List of Items Controlled
Related Controls (1) Also see ECCNs 1E101, 1E201, and 1E202. (2) See
ECCN 1E608 for ``technology'' for items classified under ECCN 1B608 or
1C608 that, immediately prior to July 1, 2014, were classified under
ECCN 1B018.a or 1C018.b through .m (note that ECCN 1E001 controls
``development'' and ``production'' ``technology'' for chlorine
trifluoride controlled by ECCN 1C111.a.3.f--see ECCN 1E101 for controls
on ``use'' ``technology'' for chlorine trifluoride). (3) See ECCN
1E002.g for control libraries (parametric technical databases)
``specially designed'' or modified to enable equipment to perform the
functions of equipment controlled under ECCN 1A004.c (Nuclear,
biological and chemical (NBC) detection systems) or ECCN 1A004.d
(Equipment for detecting or identifying explosives residues). (4)
``Technology'' for lithium isotope separation (see related ECCN 1B233)
and ``technology'' for items described in ECCN 1C012 are subject to the
export licensing authority of the Department of Energy (see 10 CFR part
810). (5) ``Technology'' for items described in ECCN 1A102 is ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
1E002 Other ``technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 1E002.g NS Column 1
NS applies to 1E002.g NS Column 2
MT applies to 1E002.e MT Column 1
NP applies to ``technology'' for items NP Column 1
controlled by 1A002 for NP reasons
AT applies to entire entry AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for 1E002.e and .f.
License Exceptions Note: License Exception TSU is not applicable for
the repair ``technology'' controlled by 1E002.e or .f, see supplement
no. 2 to this part.
[[Page 431]]
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any item
in 1E002.e or .f to any of the destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1E001, 1E101,1E102, 1E202, and 1E994 for
``technology'' related to 1E002.e or .f.
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production'' of
polybenzothiazoles or polybenzoxazoles;
b. ``Technology'' for the ``development'' or ``production'' of
fluoroelastomer compounds containing at least one vinylether monomer;
c. ``Technology'' for the design or ``production'' of the following
ceramic powders or non-``composite'' ceramic materials:
c.1. Ceramic powders having all of the following:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of zirconium and complex oxides of
silicon or aluminum;
c.1.a.2. Single nitrides of boron (cubic crystalline forms);
c.1.a.3. Single or complex carbides of silicon or boron; or
c.1.a.4. Single or complex nitrides of silicon;
c.1.b. Any of the following total metallic impurities (excluding
intentional additions):
c.1.b.1. Less than 1,000 ppm for single oxides or carbides; or
c.1.b.2. Less than 5,000 ppm for complex compounds or single
nitrides; and
c.1.c. Being any of the following:
c.1.c.1. Zirconia (CAS 1314-23-4) with an average particle size
equal to or less than 1 [micro]m and no more than 10% of the particles
larger than 5 [micro]m; or
c.1.c.2. Other ceramic powders with an average particle size equal
to or less than 5 [micro]m and no more than 10% of the particles larger
than 10 [micro]m;
c.2. Non-``composite'' ceramic materials composed of the materials
described in 1E002.c.1;
Note: 1E002.c.2 does not control ``technology'' for abrasives.
d. [Reserved]
e. ``Technology'' for the installation, maintenance or repair of
materials controlled by 1C001;
f. ``Technology'' for the repair of ``composite'' structures,
laminates or materials controlled by 1A002 or 1C007.c;
Note: 1E002.f does not control ``technology'' for the repair of
``civil aircraft'' structures using carbon ``fibrous or filamentary
materials'' and epoxy resins, contained in ``aircraft'' manufacturers'
manuals.
g. ``Libraries'' ``specially designed'' or modified to enable
equipment to perform the functions of equipment controlled under 1A004.c
or 1A004.d.
1E101 ``Technology'', in accordance with the General Technology Note,
for the ``use'' of commodities and ``software'' controlled by
1A101, 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001,
1C007, 1C011, 1C101, 1C107, 1C111, 1C116, 1C117, 1C118, 1D001,
1D101, or 1D103.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to ``technology'' for MT Column 1
commodities and software controlled by
1A101, 1A102, 1B001, 1B101, 1B102, 1B115
to 1B119, 1C001, 1C007, 1C011, 1C101,
1C107, 1C111, 1C116, 1C117, 1C118, 1D001,
1D101, or 1D103 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 1B001, 1B101, 1C111, 1C116,
1D001, or 1D101 for NP reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: ``Technology'' for items controlled by 1A102 is
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E102 ``Technology'' according to the General Technology Note for the
``development'' of software controlled by 1D001, 1D101 or
1D103.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to ``technology'' for items NP Column 1.
controlled by 1D001 and 1D101 for NP
reasons.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: This entry includes databases ``specially designed''
for analysis of signature reduction.
[[Page 432]]
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E103 ``Technical data'' (including processing conditions) and
procedures for the regulation of temperature, pressure or
atmosphere in autoclaves or hydroclaves, when used for the
``production'' of ``composites'' or partially processed
``composites'', usable for equipment or materials specified in
1C007, 1C102, 1C107, 1C116, 1C117, 1C118, 9A110, and 9C110.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See also 1E203
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E104 ``Technology'' for the ``production'' of pyrolytically derived
materials formed on a mold, mandrel or other substrate from
precursor gases which decompose in the 1,573 K (1,300 [deg]C)
to 3,173 K (2,900 [deg]C) temperature range at pressures of
130 Pa (1 mm Hg) to 20 kPa (150 mm Hg), including
``technology'' for the composition of precursor gases, flow-
rates and process control schedules and parameters.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E201 ``Technology'' according to the General Technology Note for the
``use'' of items controlled by 1A002, 1A007, 1A202, 1A225 to
1A227, 1A231, 1B201, 1B225, 1B226, 1B228 to 1B232, 1B233.b,
1B234, 1C002.b.3 and b.4, 1C010.a, 1C010.b, 1C010.e.1, 1C202,
1C210, 1C216, 1C225 to 1C237, 1C239 to 1C241 or 1D201.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry, for items NP Column 1
controlled for NP reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E202 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of goods controlled by 1A202
or 1A225 to 1A227.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E203 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of ``software'' controlled
by 1D201.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E350 ``Technology'' according to the ``General Technology Note'' for
facilities designed or intended to produce chemicals
controlled by 1C350.
[[Page 433]]
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E351 ``Technology'' according to the ``General Technology Note'' for
the disposal of chemicals or microbiological materials
controlled by 1C350, 1C351, 1C353, or 1C354.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to ``technology'' for the CB Column 1.
disposal of items controlled by
1C351.d.15 and .16 and the 1C353 genetic
elements of toxins in ECCN 1C351.d.15 and
.16.
CB applies to ``technology'' for the CB Column 2.
disposal of items controlled by 1C351,
1C353, or 1C354; and CB applies to
``technology'' for the disposal of items
controlled by 1C350.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
1E355 Technology for the production of Chemical Weapons Convention (CWC)
Schedule 2 and 3 chemicals, as follows (see List of Items
Controlled):
License Requirements
Reason for Control: CW, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CW applies to entire entry. A license is
required for CW reasons to CWC non-States
Parties (destinations not listed in
Supplement No. 2 to part 745), except for
Israel and Taiwan. See Sec. 742.18 of
the EAR. The Commerce Country Chart is
not designed to determine licensing
requirements for items controlled for CW
reasons.
AT applies to the entire entry............ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Technology for the production of the following CWC Schedule 2
toxic chemicals:
a.1. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-
21-8);
a.2. [Reserved]
b. Technology for the production of the following CWC Schedule 3
toxic chemicals:
b.1. Phosgene: Carbonyl dichloride (75-44-5);
b.2. Cyanogen chloride (506-77-4);
b.3. Hydrogen cyanide (74-90-8).
1E607 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of items controlled by ECCN 1A607,
1B607, 1C607, or 1D607 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to Part 738)
------------------------------------------------------------------------
NS applies to entire entry, except NS Column 1.
``technology'' for 1C607.a.10, .a.11,
.a.12, and .a.14 and for 1D607
``software'' therefor.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1E607.
List of Items Controlled
Related Controls: Technical data directly related to defense articles
enumerated or
[[Page 434]]
otherwise described in USML Category XIV are subject to the ITAR (see 22
CFR Sec. 121.1, Category XIV(m)). Technical data controlled by USML
Category XIV(m) include technical data directly related to any equipment
containing reagents, algorithms, coefficients, software, libraries,
spectral databases, or alarm set point levels developed under U.S.
Department of Defense contract or funding for the detection,
identification, warning or monitoring of items controlled in paragraphs
(a) or (b) of USML Category XIV, or for chemical or biological agents
specified by U.S. Department of Defense funding or contract.
Related Definitions: N/A
Items: a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of items controlled by ECCN 1A607, 1B607, 1C607 or
1D607.
Note to 1E607.a: ECCN 1E607.a includes ``technology'' ``required''
exclusively for the incorporation of ``biocatalysts'' controlled by ECCN
1C607.c.1 into military carrier substances or military material.
b. [Reserved]
1E608 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of equipment controlled in 1B608 or
materials controlled by 1C608 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to ``technology'' ``required'' MT Column 1
for 1C608.m.
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of all
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 1E608.
List of Items Controlled
Related Controls: (1) Technical data directly related to articles
enumerated or otherwise described in USML Categories III, IV, or V are
subject to the controls of those USML Categories, respectively.
(2) ``Technology'' for chlorine trifluoride is controlled under ECCN
1E001 (``development'' and ``production'') and ECCN 1E101 (``use'').
Related Definitions: N/A
Items: a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of equipment controlled by ECCN 1B608 or materials
controlled by ECCN 1C608.
b. ``Technology'' ``required'' for the ``development'' or
``production'' of nitrocellulose with nitrogen content over 12.6% and at
rates greater than 2000 pounds per hour.
c. ``Technology'' ``required'' for the ``development'' or
``production'' of nitrate esters (e.g., nitroglycerine) at rates greater
than 2000 pounds per hour.
1E613 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by 1A613
or 1B613 or ``software'' controlled by 1D613, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 1E613.y. NS Column 1.
RS applies to entire entry except 1E613.y. RS Column 1.
RS applies to 1E613.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 1E613.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in 1E613.
List of Items Controlled
Related Controls: Technical data directly related to articles controlled
by USML Category X are subject to the control of USML paragraph X(e) of
the ITAR.
Related Definitions: N/A
Items:
a. ``Technology'' (other than ``technology'' controlled by paragraph
.y of this entry) ``required'' for the ``development,'' ``production,''
operation, installation, maintenance, repair, overhaul, or refurbishing
of commodities or ``software'' controlled by ECCNs 1A613 (except
1A613.y), 1B613 or 1D613 (except 1D613.y).
b. through x. [Reserved]
y. Specific ``technology'' ``required'' for the ``production,''
``development,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities or software controlled by ECCN 1A613.y or
1D613.y.
[[Page 435]]
1E994 ``Technology'' for the ``development'', ``production'', or ``use''
of fibrous and filamentary materials controlled by 1C990.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
1E998 ``Technology'' for the ``development'' or ``production'' of
processing equipment controlled by 1B999, and materials
controlled by 1C996, 1C997, 1C998, or 1C999.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items Subject to the EAR That Are Not Elsewhere Specified in This
CCL Category or in Any Other Category in the CCL Are
Designated by the Number EAR99.
Annex to Category 1
List of Explosives (See ECCNs 1A004 and 1A008)
1. ADNBF (aminodinitrobenzofuroxan or 7 amino 4,6
dinitrobenzofurazane 1 oxide) (CAS 97096 78 1);
2. BNCP (cis bis (5 nitrotetrazolato) tetra amine cobalt (III)
perchlorate) (CAS 117412 28 9);
3. CL 14 (diamino dinitrobenzofuroxan or 5,7 diamino 4,6
dinitrobenzofurazane 1 oxide) (CAS 117907 74 1);
4. CL 20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285 90 4);
chlathrates of CL 20;
5. CP (2 (5 cyanotetrazolato) penta amine cobalt (III) perchlorate)
(CAS 70247 32 4);
6. DADE (1,1 diamino 2,2 dinitroethylene, FOX-7) (CAS 145250-81-3);
7. DATB (diaminotrinitrobenzene) (CAS 1630 08 6);
8. DDFP (1,4 dinitrodifurazanopiperazine);
9. DDPO (2,6 diamino 3,5 dinitropyrazine 1 oxide, PZO) (CAS 194486
77 6);
10. DIPAM (3,3[min] diamino 2,2[min],4,4[min],6,6[min]
hexanitrobiphenyl or dipicramide) (CAS 17215 44 0);
11. DNGU (DINGU or dinitroglycoluril) (CAS 55510 04 8);
12. Furazans as follows:
a. DAAOF (diaminoazoxyfurazan);
b. DAAzF (diaminoazofurazan) (CAS 78644 90 3);
13. HMX and derivatives, as follows:
a. HMX (Cyclotetramethylenetetranitramine, octahydro 1,3,5,7
tetranitro 1,3,5,7 tetrazine, 1,3,5,7 tetranitro 1,3,5,7 tetraza
cyclooctane, octogen or octogene) (CAS 2691 41 0);
b. Difluoroaminated analogs of HMX;
c. K 55 (2,4,6,8 tetranitro 2,4,6,8 tetraazabicyclo [3,3,0] octanone
3, tetranitrosemiglycouril or keto bicyclic HMX) (CAS 130256 72 3);
14. HNAD (hexanitroadamantane) (CAS 143850 71 9);
15. HNS (hexanitrostilbene) (CAS 20062 22 0);
16. Imidazoles as follows:
a. BNNII (Octahydro 2,5 bis(nitroimino)imidazo [4,5 d]imidazole);
b. DNI (2,4 dinitroimidazole) (CAS 5213 49 0);
c. FDIA (1 fluoro 2,4 dinitroimidazole);
d. NTDNIA (N (2 nitrotriazolo) 2,4 dinitroimidazole);
e. PTIA (1 picryl 2,4,5 trinitroimidazole);
17. NTNMH (1 (2 nitrotriazolo) 2 dinitromethylene hydrazine);
18. NTO (ONTA or 3 nitro 1,2,4 triazol 5 one) (CAS 932 64 9);
19. Polynitrocubanes with more than four nitro groups;
20. PYX (2,6 Bis(picrylamino) 3,5 dinitropyridine) (CAS 38082 89 2);
21. RDX and derivatives, as follows:
a. RDX (cyclotrimethylenetrinitramine, cyclonite, T4, hexahydro
1,3,5 trinitro 1,3,5 triazine, 1,3,5 trinitro 1,3,5 triaza cyclohexane,
hexogen or hexogene) (CAS 121 82 4);
b. Keto RDX (K 6 or 2,4,6 trinitro 2,4,6 triazacyclohexanone) (CAS
115029 35 1);
22. TAGN (triaminoguanidinenitrate) (CAS 4000 16 2);
23. TATB (triaminotrinitrobenzene) (CAS 3058 38 6);
24. TEDDZ (3,3,7,7 tetrabis(difluoroamine) octahydro 1,5 dinitro 1,5
diazocine);
25. Tetrazoles as follows:
a. NTAT (nitrotriazol aminotetrazole);
b. NTNT (1 N (2 nitrotriazolo) 4 nitrotetrazole);
26. Tetryl (trinitrophenylmethylnitramine) (CAS 479 45 8);
[[Page 436]]
27. TNAD (1,4,5,8 tetranitro 1,4,5,8 tetraazadecalin) (CAS 135877 16
6);
28. TNAZ (1,3,3 trinitroazetidine) (CAS 97645 24 4);
29. TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510 03 7);
30. TNP (1,4,5,8 tetranitro pyridazino[4,5 d]pyridazine) (CAS 229176
04 9);
31. Triazines as follows:
a. DNAM (2 oxy 4,6 dinitroamino s triazine) (CAS 19899 80 0);
b. NNHT (2 nitroimino 5 nitro hexahydro 1,3,5 triazine) (CAS 130400
13 4);
32. Triazoles as follows:
a. 5 azido 2 nitrotriazole;
b. ADHTDN (4 amino 3,5 dihydrazino 1,2,4 triazole dinitramide) (CAS
1614 08 0);
c. ADNT (1 amino 3,5 dinitro 1,2,4 triazole);
d. BDNTA ((bis dinitrotriazole)amine);
e. DBT (3,3[min] dinitro 5,5 bi 1,2,4 triazole) (CAS 30003 46 4);
f. DNBT (dinitrobistriazole) (CAS 70890 46 9);
g. [Reserved]
h. NTDNT (1 N (2 nitrotriazolo) 3,5 dinitrotriazole);
i. PDNT (1 picryl 3,5 dinitrotriazole);
j. TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243 36 1);
33. ``Explosives'' not listed elsewhere in this list having a
detonation velocity exceeding 8,700 m/s, at maximum density, or a
detonation pressure exceeding 34 GPa (340 kbar);
34. [Reserved]
35. Nitrocellulose (containing more than 12.5% nitrogen) (CAS 9004-
70-0);
36. Nitroglycol (CAS 628-96-6);
37. Pentaerythritol tetranitrate (PETN) (CAS 78-11-5);
38. Picryl chloride (CAS 88-88-0);
39. 2,4,6 Trinitrotoluene (TNT) (CAS 118-96-7);
40. Nitroglycerine (NG) (CAS 55-63-0);
41. Triacetone Triperoxide (TATP) (CAS 17088-37-8);
42. Guanidine nitrate (CAS 506-93-4);
43. Nitroguanidine (NQ) (CAS 556 88 7);
44. DNAN (2,4-dinitroanisole) (CAS 119-27-7);
45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-diazaisowurtzitane);
46. GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
47. Tetrazines as follows:
a. BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine);
b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
48. Energetic ionic materials melting between 343 K (70 [deg]C) and
373 K (100 [deg]C) and with detonation velocity exceeding 6,800 m/s or
detonation pressure exceeding 18 GPa (180 kbar);
49. BTNEN (Bis(2,2,2-trinitroethyl)-nitramine) (CAS 19836-28-3);
50. FTDO (5,6-(3[min],4[min]-furazano)- 1,2,3,4-tetrazine-1,3-
dioxide);
51. EDNA (Ethylenedinitramine) (CAS 505-71-5);
52. TKX-50 (Dihydroxylammonium 5,5[min]-bistetrazole-1,1[min]-
diolate).
Category 2--Materials Processing
Note: For quiet running bearings, see the U.S. Munitions List.
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
2A001 Anti-friction bearings, bearing systems and ``components,'' as
follows, (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
an inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm..
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a,
N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:
Note: 2A001.a includes ball bearing and roller elements ``specially
designed'' for the items specified therein.
a. Ball bearings and solid roller bearings, having all tolerances
specified by the manufacturer in accordance with ISO 492 Tolerance Class
2 or Class 4 (or national equivalents), or better, and having both
'rings' and 'rolling elements', made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes: For the purposes of 2A001.a:
[[Page 437]]
1. 'Ring'--is an annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. 'Rolling element'--is a ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following, and
``specially designed'' components therefor:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for actuators; or
c.3. High temperature (450 K (177 [deg]C) and above) position
sensors.
2A101 Radial Ball Bearings Having all Tolerances Specified in Accordance
With ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance
Class ABEC-9 or Other National Equivalents), or Better and
Having all of the Following Characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 2A001.
Related Definitions: N/A
Items:
a. An inner ring bore diameter between 12 and 50 mm;
b. An outer ring outside diameter between 25 and 100 mm; and
c. A width between 10 and 20 mm.
2A225 Crucibles made of materials resistant to liquid actinide metals
(see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items: a. Crucibles having both of the following characteristics:
a.1. A volume of between 150 cm\3\ (150 ml) and 8,000 cm\3\ (8
liters); and
a.2. Made of, or coated with, any of the following materials, or
combination of the following materials, having an overall impurity level
of 2% or less by weight:
a.2.a. Calcium fluoride (CaF2);
a.2.b. Calcium zirconate (metazirconate) (CaZrO3);
a.2.c. Cerium sulfide (Ce2S3);
a.2.d. Erbium oxide (erbia) (Er2O3);
a.2.e. Hafnium oxide (hafnia) (HfO2);
a.2.f. Magnesium oxide (MgO);
a.2.g. Nitrided niobium-titanium-tungsten alloy (approximately 50%
Nb, 30% Ti, 20% W);
a.2.h. Yttrium oxide (yttria) (Y2O3); or
a.2.i. Zirconium oxide (zirconia) (ZrO2);
b. Crucibles having both of the following characteristics:
b.1. A volume of between 50 cm\3\ (50 ml) and 2,000 cm\3\ (2
liters); and
b.2. Made of or lined with tantalum, having a purity of 99.9% or
greater by weight;
c. Crucibles having all of the following characteristics:
c.1. A volume of between 50 cm\3\ (50 ml) and 2,000 cm\3\ (2
liters);
c.2. Made of or lined with tantalum, having a purity of 98% or
greater by weight; and
c.3. Coated with tantalum carbide, nitride, boride, or any
combination thereof.
2A226 Valves having all of the following characteristics (see List of
Items Controlled).
License Requirements
Reason for Control:NP, CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
CB applies to valves that also meet or CB Column 2.
exceed the technical parameters in
2B350.g.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCNs 2A992, 2B350.g and
2B999. (3) Valves ``specially designed'' or prepared for certain nuclear
uses are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
[[Page 438]]
Related Definitions: For valves with different inlet and outlet
diameters, the ``nominal size'' in 2A226 refers to the smallest
diameter.
Items: a. A ``nominal size'' of 5 mm or greater;
b. Having a bellows seal; and
c. Wholly made of or lined with aluminum, aluminum alloy, nickel, or
nickel alloy containing more than 60% nickel by weight.
2A290 Generators and other equipment ``specially designed'', prepared,
or intended for use with nuclear plants.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D290 for software for items controlled
under this entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E290 (``use'') for technology for items
controlled under this entry. (3) Also see ECCN 2A291. (4) Certain
nuclear equipment ``specially designed'' or prepared for use in nuclear
plants is subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Generators, turbine-generator sets, steam turbines, heat
exchangers, and heat exchanger type condensers designed or intended for
use in a nuclear reactor;
b. Process control systems intended for use with the equipment
controlled by 2A290.a.
2A291 Equipment, except items controlled by 2A290, related to nuclear
material handling and processing and to nuclear reactors, and
``parts,'' ``components'' and ``accessories'' therefor (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D290 for software for items controlled
under this entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E290 (``use'') for technology for items
controlled under this entry. (3) Also see ECCN 2A290. (4) Certain
equipment ``specially designed'' or prepared for use in a nuclear
reactor or in nuclear material handling is subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110). (5) Nuclear radiation detection and measurement devices
``specially designed'' or modified for military purposes are ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: a. Process control systems intended for use with nuclear
reactors.
b. Simulators ``specially designed'' for ``nuclear reactors''.
c. Casks that are ``specially designed'' for transportation of high-
level radioactive material and that weigh more than 1,000 kg.
d. Commodities, ``parts,'' ``components'' and ``accessories''
``specially designed'' or prepared for use with nuclear plants (e.g.,
snubbers, airlocks, pumps, reactor fuel charging and discharging
equipment, containment equipment such as hydrogen recombiner and
penetration seals, and reactor and fuel inspection equipment, including
ultrasonic or eddy current test equipment).
e. Radiation detectors and monitors ``specially designed'' for
detecting or measuring ``special nuclear material'' (as defined in 10
CFR part 110) or for nuclear reactors.
Technical Notes: 1. 2A291.e does not control neutron flux detectors
and monitors. These are subject to the export licens ing authority of
the Nuclear Regulatory Commission, pursuant to 10 CFR part 110.
2. 2A291.e does not control general purpose radiation detection
equipment, such as geiger counters and dosimeters. These items are
controlled by ECCN 1A999.
2A983 Explosives or detonator detection equipment, both bulk and trace
based, consisting of an automated device, or combination of
devices for automated decision making to detect the presence
of different types of explosives, explosive residue, or
detonators; and ``parts'' and ``components,'' n.e.s.
License Requirements
Reason for Control:RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
[[Page 439]]
GBS: N/A
List of Items Controlled
Related Controls: Also see 1A004 and 1A995.
Related Definitions: (1) For the purpose of this entry, automated
decision making is the ability of the equipment to detect explosives or
detonators at the design or operator-selected level of sensitivity and
provide an automated alarm when explosives or detonators at or above the
sensitivity level are detected. This entry does not control equipment
that depends on operator interpretation of indicators such as inorganic/
organic color mapping of the items(s) being scanned.
(2) Explosives and detonators include commercial charges and devices
controlled by 1C018 and 1C992 and energetic materials controlled by
ECCNs 1C011, 1C111, 1C239 and 22 CFR 121.1 Category V.
Items:
Note: Explosives or detonation detection equipment in 2A983 includes
equipment for screening people, documents, baggage, other personal
effects, cargo and/or mail.
a. Explosives detection equipment for automated decision making to
detect and identify bulk explosives utilizing, but not limited to, x-ray
(e.g., computed tomography, dual energy, or coherent scattering),
nuclear (e.g., thermal neutron analysis, pulse fast neutron analysis,
pulse fast neutron transmission spectroscopy, and gamma resonance
absorption), or electromagnetic techniques (e.g., quadropole resonance
and dielectrometry).
b. [Reserved]
c. Detonator detection equipment for automated decision making to
detect and identify initiation devices (e.g. detonators, blasting caps)
utilizing, but not limited to, x-ray (e.g. dual energy or computed
tomography) or electromagnetic techniques.
2A984 Concealed object detection equipment operating in the frequency
range from 30 GHz to 3000 GHz and having a spatial resolution
of 0.1 milliradian up to and including 1 milliradian at a
standoff distance of 100 meters; and ``parts'' and
``components,'' n.e.s.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS:N/A
GBS:N/A
List of Items Controlled
Related Controls: (1) Concealed object detection equipment operating in
the frequency range from 30 GHz to 3000 GHz and having a spatial
resolution less than 0.1 milliradian (a lower milliradian number means a
more accurate image resolution) at a standoff distance of 100 meters is
``subject to the ITAR'' under USML Category XII(c). (2) Concealed object
detection equipment operating in the frequency range from 30 GHz to 3000
GHz and having a spatial resolution greater than 1 milliradian (a higher
milliradian number means a less accurate image resolution) at a standoff
distance of 100 meters is designated as EAR99. (3) See ECCNs 2D984 and
2E984 for related software and technology controls.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: Concealed object detection equipment includes but is not
limited to equipment for screening people, documents, baggage, other
personal effects, cargo and/or mail.
Technical Note: The range of frequencies span what is generally
considered as the millimeter-wave, submillimeter-wave and terahertz
frequency regions.
2A991 Bearings and bearing systems not controlled by 2A001 (see List of
Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control balls with tolerance
specified by the manufacturer in accordance with ISO 3290 as grade 5 or
worse. (2) Quiet running bearings are ``subject to the ITAR'' (see 22
CFR parts 120 through 130).
Related Definitions: (1) (a) DN is the product of the bearing bore
diameter in mm and the bearing rotational velocity in rpm. (b) Operating
temperatures include those temperatures obtained when a gas turbine
engine has stopped after operation. (2) Annular Bearing Engineers
Committee (ABEC); American National Standards Institute (ANSI); Anti-
Friction Bearing Manufacturers Association (AFBMA)
Items: a. Ball bearings or Solid ball bearings, having tolerances
specified by the manufacturer in accordance with ABEC 7, ABEC 7P, or
ABEC 7T or ISO Standard Class 4 or better (or equivalents) and having
any of the following characteristics.
[[Page 440]]
a.1. Manufactured for use at operating temperatures above 573 K (300
[deg]C) either by using special materials or by special heat treatment;
or
a.2. With lubricating elements or ``part'' or ``component''
modifications that, according to the manufacturer's specifications, are
``specially designed'' to enable the bearings to operate at speeds
exceeding 2.3 million DN.
b. Solid tapered roller bearings, having tolerances specified by the
manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or Class A
(metric) or better (or equivalents) and having either of the following
characteristics.
b.1. With lubricating elements or ``part'' or ``component''
modifications that, according to the manufacturer's specifications, are
``specially designed'' to enable the bearings to operate at speeds
exceeding 2.3 million DN; or
b.2. Manufactured for use at operating temperatures below 219 K (-54
[deg]C) or above 423 K (150 [deg]C).
c. Gas-lubricated foil bearing manufactured for use at operating
temperatures of 561 K (288 [deg]C) or higher and a unit load capacity
exceeding 1 MPa.
d. Active magnetic bearing systems.
e. Fabric-lined self-aligning or fabric-lined journal sliding
bearings manufactured for use at operating temperatures below 219 K (-54
[deg]C) or above 423 K (150 [deg]C).
2A992 Piping, fittings and valves made of, or lined with stainless,
copper-nickel alloy or other alloy steel containing 10% or
more nickel and/or chromium.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) no. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Pakistan or
transfer within Pakistan
for regional stability
reasons. The Commerce
Country Chart is not
designed to determine RS
license requirements for
this entry. See Sec.
742.6(a)(12) of the EAR for
additional information.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls:
(1) See ECCN 2D993 for software for items controlled under this
entry.
(2) See ECCNs 2E001 (``development''), 2E002 (``production''), and
2E993 (``use'') for technology for items controlled under this entry.
(3) Also see ECCNs 2A226, 2B350 and 2B999. Related Definitions: N/A
Items:
a. Pressure tube, pipe, and fittings of 200 mm (8 in.) or more
inside diameter, and suitable for operation at pressures of 3.4 MPa (500
psi) or greater;
b. Pipe valves having all of the following characteristics that are
not controlled by ECCN 2B350.g:
b.1. A pipe size connection of 200 mm (8 in.) or more inside
diameter; and
b.2. Rated at 10.3 MPa (1,500 psi) or more.
2A993 Pumps designed to move molten metals by electromagnetic forces.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D993 for software for items controlled
under this entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E993 (``use'') for technology for items
controlled under this entry. (3) Pumps for use in liquid-metal-cooled
reactors are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2A994 Portable electric generators and ``specially designed'' ``parts''
and ``components''.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for items
controlled by this entry to Iran and North Korea. The Commerce Country
Chart is not designed to determine licensing requirements for this
entry. See part 746 of the EAR for additional information on Iran. See
Sec. 742.19 of the EAR for additional information on North Korea.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 2D994 and 2E994.
[[Page 441]]
Related Definitions: `Portable electric generators' - The generators
that are in 2A994 are portable - 5,000 lbs. or less on wheels or
transportable in a 2\1/2\ ton truck without a special set up
requirement.
Items: The list of items controlled is contained in the ECCN heading
2A999 Specific Processing Equipment, n.e.s., as Follows (See List of
Items Controlled).
License Requirements
Reason for Control: AT
Control(s):
Country Chart. AT applies to entire entry. A license is required for
items controlled by this entry to North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine AT
licensing requirements for this entry. See Sec. 742.19 of the EAR for
additional information.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 2A226, 2B350.
Related Definitions: N/A
Items: a. Bellows sealed valves;
b. Reserved.
B. ``Test'', ``Inspection'' and ``Production Equipment''
Technical Notes for 2B001 to 2B009, 2B201, and 2B991 to 2B999: 1.
Secondary parallel contouring axes, (e.g., the w-axis on horizontal
boring mills or a secondary rotary axis the center line of which is
parallel to the primary rotary axis) are not counted in the total number
of contouring axes. Rotary axes need not rotate over 360[deg]. A rotary
axis can be driven by a linear device (e.g., a screw or a rack-and-
pinion).
2. The number of axes which can be coordinated simultaneously for
``contouring control'' is the number of axes along or around which,
during processing of the workpiece, simultaneous and interrelated
motions are performed between the workpiece and a tool. This does not
include any additional axes along or around which other relative motions
within the machine are performed, such as:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate
workpieces;
2.c. Co-linear rotary axes designed for manipulating the same
workpiece by holding it in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International
Standard ISO 841:2001, Industrial automation systems and integration--
Numerical control of machines--Coordinate system and motion
nomenclature.
4. A ``tilting spindle'' is counted as a rotary axis.
5. 'Stated ``unidirectional positioning repeatability'' ' may be
used for each specific machine model as an alternative to individual
machine tests, and is determined as follows:
5.a. Select five machines of a model to be evaluated;
5.b. Measure the linear axis repeatability (R[uarr],R[darr])
according to ISO 230-2:2014 and evaluate ``unidirectional positioning
repeatability'' for each axis of each of the five machines;
5.c. Determine the arithmetic mean value of the ''unidirectional
positioning repeatability''-values for each axis of all five machines
together. These arithmetic mean values ``unidirectional positioning
repeatability'' (UPR) become the stated value of each axis for the
model...) (UPRX, UPRy, . . .);
5.d. Since the Category 2 list refers to each linear axis there will
be as many 'stated ``unidirectional positioning repeatability'' ' values
as there are linear axes;
5.e. If any axis of a machine model not controlled by 2B001.a. to
2B001.c. has a 'stated ``unidirectional positioning repeatability'' '
equal to or less than the specified ``unidirectional positioning
repeatability'' of each machine tool model plus 0.7 [micro]m, the
builder should be required to reaffirm the accuracy level once every
eighteen months.
6. For the purpose of 2B, measurement uncertainty for the
``unidirectional positioning repeatability'' of machine tools, as
defined in the International Standard ISO 230-2:2014, shall not be
considered.
7. For the purpose of 2B, the measurement of axes shall be made
according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes
longer than 2 meters shall be made over 2 m segments. Axes longer than 4
m require multiple tests (e.g., two tests for axes longer than 4 m and
up to 8 m, three tests for axes longer than 8 m and up to 12 m), each
over 2 m segments and distributed in equal intervals over the axis
length. Test segments are equally spaced along the full axis length,
with any excess length equally divided at the beginning, in between, and
at the end of the test segments. The smallest ``unidirectional
positioning repeatability''-value of all test segments is to be
reported.
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according
to the manufacturer's technical specifications, can be
equipped with electronic devices for ``numerical control''; as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
[[Page 442]]
NP applies to 2B001.a, .b, .c, and .d, NP Column 1.
EXCEPT:.
(1) turning machines under 2B001.a with a
capacity no greater than 35 mm diameter;
(2) bar machines (Swissturn), limited to
machining only bar feed through, if
maximum bar diameter is equal to or less
than 42 mm and there is no capability of
mounting chucks. (Machines may have
drilling and/or milling capabilities for
machining ``parts'' or ``components''
with diameters less than 42 mm); or.
(3) milling machines under 2B001.b with x-
axis travel greater than two meters and
overall positioning accuracy according to
ISO 230/2 (2006) on the x-axis more
(worse) than 22.5 [micro]m..
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for optical finishing machines. (2)
See ECCNs 2D001 and 2D002 for software for items controlled under this
entry. (3) See ECCNs 2E001 (``development''), 2E002 (``production''),
and 2E201 (``use'') for technology for items controlled under this
entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions: N/A
Items:
Note 1: 2B001 does not control special purpose machine tools limited
to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools limited
to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3: A machine tool having at least two of the three turning,
milling or grinding capabilities (e.g., a turning machine with milling
capability), must be evaluated against each applicable entry 2B001.a, .b
or .c.
Note 4: A machine tool having an additive manufacturing capability
in addition to a turning, milling or grinding capability must be
evaluated against each applicable entry 2B001.a, .b or .c.
a. Machine tools for turning having two or more axes which can be
coordinated simultaneously for ``contouring control'' having any of the
following:
a.1. ``Unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis with a travel
length less than 1.0 m; or
a.2. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.1 [micro]m along one or more linear axis with a travel
length equal to or greater than 1.0 m;
Note 1: 2B001.a does not control turning machines ``specially
designed'' for producing contact lenses, having all of the following:
a. Machine controller limited to using ophthalmic based ``software''
for part programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar machines (Swissturn), limited
to machining only bar feed thru, if maximum bar diameter is equal to or
less than 42 mm and there is no capability of mounting chucks. Machines
may have drilling or milling capabilities for machining parts with
diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be coordinated
simultaneously for ``contouring control'' having any of the following:
b.1.a. ``Unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis with a travel
length less than 1.0 m; or
b.1.b. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.1 [micro]m along one or more linear axis with a travel
length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously for
``contouring control'' having any of the following:
b.2.a. ``Unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis with a travel
length less than 1.0 m;
b.2.b. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.4 [micro]m along one or more linear axis with a travel
length equal to or greater than 1 m and less than 4 m; or
b.2.c. ``Unidirectional positioning repeatability'' equal to or less
(better) than 6.0 [micro]m along one or more linear axis with a travel
length equal to or greater than 4 m;
b.3. A ``unidirectional positioning repeatability'' for jig boring
machines, equal to or less (better) than 1.1 [micro]m along one or more
linear axis; or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle ``run-out'' and ``camming'' less (better) than 0.0004
mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
[[Page 443]]
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.1 [micro]m along one or more linear axis; and
c.1.b. Three or four axes which can be coordinated simultaneously
for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously for
``contouring control'' having any of the following:
c.2.a. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.1 [micro]m along one or more linear axis with a travel
length less than 1m;
c.2.b. ``Unidirectional positioning repeatability'' equal to or less
(better) than 1.4 [micro]m along one or more linear axis with a travel
length equal to or greater than 1 m and less than 4 m; or
c.2.c. ``Unidirectional positioning repeatability'' equal to or less
(better) than 6.0 [micro]m along one or more linear axis with a travel
length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding machines as follows:
a. Cylindrical external, internal, and external-internal grinding
machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not have a
z-axis or a w-axis, with a ``unidirectional positioning repeatability''
less (better) than 1.1 [micro]m.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type which
have two or more rotary axes which can be coordinated simultaneously for
``contouring control'';
e. Machine tools for removing metals, ceramics or ``composites'',
having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for ``contouring control'';
and
e.2.b. A positioning ``accuracy'' of less (better) than 0.003[deg];
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability exceeding
5m.
2B002 Numerically controlled optical finishing machine tools equipped
for selective material removal to produce non-spherical
optical surfaces having all of the following characteristics
(See List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 2B001.
Related Definitions: For the purposes of 2B002, `MRF' is a material
removal process using an abrasive magnetic fluid whose viscosity is
controlled by a magnetic field. `ERF' is a removal process using an
abrasive fluid whose viscosity is controlled by an electric field.
`Energetic particle beam finishing' uses Reactive Atom Plasmas (RAP) or
ion-beams to selectively remove material. `Inflatable membrane tool
finishing' is a process that uses a pressurized membrane that deforms to
contact the workpiece over a small area.'Fluid jet finishing' makes use
of a fluid stream for material removal.
Items: a. Finishing the form to less (better) than 1.0 [micro]m;
b. Finishing to a roughness less (better) than 100 nm rms;
c. Four or more axes which can be coordinated simultaneously for
``contouring control''; and
d. Using any of the following processes:
d.1. `Magnetorheological finishing (MRF)';
d.2. `Electrorheological finishing (ERF)';
d.3. `Energetic particle beam finishing';
d.4. `Inflatable membrane tool finishing'; or
d.5. `Fluid jet finishing'.
2B003 ``Numerically controlled'' machine tools, ``specially designed''
for the shaving, finishing, grinding or honing of hardened
(Rc = 40 or more) spur, helical and double-helical
gears having all of the following.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
[[Page 444]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
List of Items Controlled
Related Controls: See also 2B993
Related Definitions: N/A
Items:
a. A pitch diameter exceeding 1,250 mm;
b. A face width of 15% of pitch diameter or larger; and
c. A finished quality of AGMA 14 or better (equivalent to ISO 1328
class 3).
2B004 Hot ``isostatic presses'' having all of the characteristics
described in the List of Items Controlled, and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, MT NP, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to entire entry................ MT Column 1
NP applies to entire entry, except NP Column 1
2B004.b.3 and presses with maximum
working pressures below 69 MPa.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D001 for software for items controlled
under this entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) For ``specially designed'' dies, molds
and tooling, see ECCNs 0B501, 0B602, 0B606, 1B003, 9B004, and 9B009. (4)
For additional controls on dies, molds and tooling, see ECCNs 1B101.d,
2B104 and 2B204. (5) Also see ECCNs 2B117 and 2B999.a.
Related Definitions: N/A
Items:
a. A controlled thermal environment within the closed cavity and
possessing a chamber cavity with an inside diameter of 406 mm or more;
and
b. Having any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K (1,500
[deg]C); or
b.3. A facility for hydrocarbon impregnation and removal of
resultant gaseous degradation products.
Technical Note: For the purposes of 2B004, the inside chamber
dimension is that of the chamber in which both the working temperature
and the working pressure are achieved and does not include fixtures.
That dimension will be the smaller of either the inside diameter of the
pressure chamber or the inside diameter of the insulated furnace
chamber, depending on which of the two chambers is located inside the
other.
2B005 Equipment ``specially designed'' for the deposition, processing
and in-process control of inorganic overlays, coatings and
surface modifications, as follows, for substrates specified in
column 2, by processes shown in column 1 in the ``Materials
Processing Table; Deposition Techniques'' following 2E003.f
(see List of Items Controlled), and ``specially designed''
automated handling, positioning, manipulation and control
``components'' therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1000
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control chemical vapor
deposition, cathodic arc, sputter deposition, ion plating or ion
implantation equipment, ``specially designed'' for cutting or machining
tools. (2) Vapor deposition equipment for the production of filamentary
materials are controlled by 1B001 or 1B101. (3) Chemical Vapor
Deposition furnaces designed or modified for densification of carbon-
carbon composites are controlled by 2B105. (4) See also 2B999.i.
Related Definitions: N/A
Items: a. Chemical vapor deposition (CVD)``production equipment''having
all of the following:
a.1. A process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Having any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa)
rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. Ion implantation ``production equipment'' having beam currents of
5 mA or more;
[[Page 445]]
c. Electron beam physical vapor deposition (EB-PVD) ``production
equipment'' incorporating power systems rated for over 80 kW and having
any of the following:
c.1. A liquid pool level ``laser'' control system which regulates
precisely the ingots feed rate; or
c.2. A computer controlled rate monitor operating on the principle
of photo-luminescence of the ionized atoms in the evaporant stream to
control the deposition rate of a coating containing two or more
elements;
d. Plasma spraying ``production equipment'' having any of the
following:
d.1. Operating at reduced pressure controlled atmosphere (equal or
less than 10 kPa measured above and within 300 mm of the gun nozzle
exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to
the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. Sputter deposition ``production equipment'' capable of current
densities of 0.1 mA/mm\2\ or higher at a deposition rate 15 [micro]m/h
or more;
f. Cathodic arc deposition ``production equipment'' incorporating a
grid of electromagnets for steering control of the arc spot on the
cathode;
g. Ion plating ``production equipment'' capable of in situ
measurement of any of the following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
2B006 Dimensional inspection or measuring systems, equipment, position
feedback units and ``electronic assemblies'', as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to those items in 2B006.a, b.1, NP Column 1
b.3, and .c (angular displacement
measuring instruments) that meet or
exceed the technical parameters in 2B206..
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:
a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length (volumetric)
maximum permissible error of length measurement (E0,MPE) at
any point within the operating range of the machine (i.e., within the
length of axes) equal to or less (better) than (1.7 + L/1,000) [micro]m
(L is the measured length in mm) according to ISO 10360-2 (2009);
Technical Note: For the purposes of 2B006.a, E0,MPE of
the most accurate configuration of the CMM specified by the manufacturer
(e.g.,best of the following: Probe, stylus length, motion parameters,
environment) and with ``all compensations available'' shall be compared
to the 1.7 + L/1,000 [micro]m threshold.
b. Linear displacement measuring instruments or systems, linear
position feedback units, and ``electronic assemblies'', as follows:
Note: Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.
b.1. 'Non-contact type measuring systems' with a 'resolution' equal
to or less (better) than 0.2 [micro]m within 0 to 0.2 mm of the
'measuring range';
Technical Notes: For the purposes of 2B006.b.1:
1. 'Non-contact type measuring systems' are designed to measure the
distance between the probe and measured object along a single vector,
where the probe or measured object is in motion.
2. 'Measuring range' means the distance between the minimum and
maximum working distance.
b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than (800
+ (600 x L/1,000)) nm (L equals effective length in mm);
b.3. Measuring systems having all of the following:
b.3.a. Containing a ``laser'';
b.3.b. A 'resolution' over their full scale of 0.200 nm or less
(better); and
b.3.c. Capable of achieving a ``measurement uncertainty'' equal to
or less (better) than (1.6 + L/2,000) nm (L is the measured length in
mm) at any point within a measuring range, when compensated for the
refractive index of air and measured over a period of 30 seconds at a
temperature of 200.01 [deg]C;
Technical Note: For the purposes of 2B006.b, 'resolution' is the
least increment of a measuring device; on digital instruments, the least
significant bit.
b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
[[Page 446]]
c. Rotary position feedback units ``specially designed'' for machine
tools or angular displacement measuring instruments, having an angular
position ``accuracy'' equal to or less (better) than 0.9 second of arc;
Note: 2B006.c does not control optical instruments, such as
autocollimators, using collimated light (e.g., ``laser'' light) to
detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface
defects), by measuring optical scatter with a sensitivity of 0.5 nm or
less (better).
Note: 2B006 includes machine tools, other than those specified by
2B001, that can be used as measuring machines, if they meet or exceed
the criteria specified for the measuring machine function.
2B007 ``Robots'' having any of the following characteristics described
in the List of Items Controlled and ``specially designed''
controllers and ``end-effectors'' therefor.
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to equipment that meets or NP Column 1
exceeds the criteria in ECCNs 2B207.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except 2B007.b and .c
GBS: N/A
List of Items Controlled
Related Controls:
(1) See ECCN 2D001 for ``software'' for items controlled under this
entry. (2) See ECCNs 2E001 (``development''), 2E002 (``production''),
and 2E201 (``use'') for technology for items controlled under this
entry. (3) Also see ECCNs 2B207, 2B225 and 2B997.
Related Definitions: N/A
Items: a. [Reserved]
b. ``Specially designed'' to comply with national safety standards
applicable to potentially explosive munitions environments;
Note: 2B007.b does not apply to ``robots'' ``specially designed''
for paint-spraying booths.
c. ``Specially designed'' or rated as radiation-hardened to
withstand a total radiation dose greater than 5 x 10\3\ Gy (silicon)
without operational degradation; or
Technical Note: The term Gy (silicon) refers to the energy in Joules
per kilogram absorbed by an unshielded silicon sample when exposed to
ionizing radiation.
d. ``Specially designed'' to operate at altitudes exceeding 30,000
m.
2B008 'Compound rotary tables' and ``tilting spindles'', ``specially
designed'' for machine tools, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 2B998.
Related Definition: N/A
Items:
a. [Reserved]
b. [Reserved]
c. 'Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or grinding;
and
c.2. Two rotary axes designed to be coordinated simultaneously for
``contouring control''.
Technical Note: For the purposes of 2B008.c, a 'compound rotary
table' is a table allowing the workpiece to rotate and tilt about two
non-parallel axes.
d. ``Tilting spindles'' having all of the following:
d.1. Designed for machine tools for turning, milling or grinding;
and
d.2. Designed to be coordinated simultaneously for ``contouring
control''.
2B009 Spin-forming machines and flow-forming machines, which, according
to the manufacturer's technical specifications, can be
equipped with ``numerical control'' units or a computer
control and having all of the following characteristics (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to: spin-forming............... MT Column 1
machines combining the functions of spin-
forming and flow-forming; and flow-
forming machines that meet or exceed the
parameters of 2B009.a and 2B109.
NP applies to flow-forming machines, and NP Column 1
spin-forming machines capable of flow-
forming functions, that meet or exceed
the parameters of 2B209.
[[Page 447]]
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B109 and 2B209 for
additional flow-forming machines for MT and NP reasons.
Related Definitions: N/A
Items:
a. Three or more axes which can be coordinated simultaneously for
``contouring control''; and
b. A roller force more than 60 kN.
Technical Note: For the purposes of 2B009, machines combining the
function of spin-forming and flow-forming are regarded as flow-forming
machines.
2B018 Equipment on the Wassenaar Arrangement Munitions List.
No commodities currently are controlled by this entry. Commodities
formerly controlled by paragraphs .a through .d, .m, and .s of this
entry are controlled in ECCN 0B606. Commodities formerly controlled by
paragraphs .e through .l of this entry are controlled by ECCN 0B602.
Commodities formerly controlled by paragraphs .o through .r of this
entry are controlled by ECCN 0B501. Commodities formerly controlled by
paragraph .n of this entry are controlled in ECCN 0B501 if they are
``specially designed'' for the ``production'' of the items controlled in
ECCNs 0A501.a through .x, 0A506, 0A507, or 0A509 or USML Category I and
controlled in ECCN 0B602 if they are of the kind exclusively designed
for use in the manufacture of items in ECCN 0A602 or USML Category II.
2B104 ``Isostatic presses'', other than those controlled by 2B004,
having all of the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D101 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B004, 2B204, and 2B117.
Related Definitions: The inside chamber dimension is that of the chamber
in which both the working temperature and the working pressure are
achieved and does not include fixtures. That dimension will be the
smaller of either the inside diameter of the pressure chamber or the
inside diameter of the insulated chamber, depending on which of the two
chambers is located inside the other.
Items: a. Maximum working pressure equal to or greater than 69 MPa;
b. Designed to achieve and maintain a controlled thermal environment
of 873 K (600 [deg]C) or greater; and
c. Possessing a chamber cavity with an inside diameter of 254 mm or
greater.
2B105 Chemical vapor deposition (CVD) furnaces, other than those
controlled by 2B005.a, designed or modified for the
densification of carbon-carbon composites.
License Requirements
Reason for Control:MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D101 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B005, 2B117, 2B226 and
2B227.
Related Definitions: N/A
Items: The list of items controlled in contained in the ECCN heading.
2B109 Flow-forming machines, other than those controlled by 2B009, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
[[Page 448]]
NP applies to items controlled by this NP Column 1
entry that meet or exceed the technical
parameters in 2B209.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D101 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B009 and 2B209.
Related Definitions: N/A
Items: a. Flow-forming machines, usable in the ``production'' of
propulsion components and equipment (e.g., motor cases and interstages)
for ``missiles'', having all of the following:
a.1. Equipped with, or according to the manufacturer's technical
specification are capable of being equipped with, ``numerical control''
units or a computer control, even when not equipped with such units at
delivery; and
a.2. More than two axes which can be coordinated simultaneously for
``contouring control.''
b. ``Specially designed'' ``parts'' and ``components'' for flow-
forming machines controlled in 2B009 for MT reasons or 2B109.a.
Technical Note: 1. Machines combining the function of spin-forming
and flow-forming are for the purpose of 2B109 regarded as flow-forming
machines.
2B116 Vibration test systems and equipment, usable for rockets,
missiles, or unmanned aerial vehicles capable of achieving a
``range'' equal to or greater than 300 km and their
subsystems, and ``parts'' and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to electrodynamic vibration NP Column 1.
test systems in 2B116.a and to all items
in 2B116.b, .c, and .d.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D101 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 9B106 and 9B990.
Related Definitions: Vibration test systems incorporating a digital
controller are those systems, the functions of which are, partly or
entirely, automatically controlled by stored and digitally coded
electrical signals.
Items: a. Vibration test systems employing feedback or closed loop
techniques and incorporating a digital controller, capable of vibrating
a system at an acceleration equal to or greater than 10 g rms between 20
Hz to 2,000 Hz while imparting forces equal to or greater than 50 kN
(11,250 lbs.), measured `bare table';
b. Digital controllers, combined with ``specially designed''
vibration test ``software'', with a `real-time control bandwidth'
greater than 5 kHz and designed for use with vibration test systems
described in 2B116.a;
c. Vibration thrusters (shaker units), with or without associated
amplifiers, capable of imparting a force equal to or greater than 50 kN
(11,250 lbs.), measured `bare table', and usable in vibration test
systems described in 2B116.a;
d. Test piece support structures and electronic units designed to
combine multiple shaker units into a complete shaker system capable of
providing an effective combined force equal to or greater than 50 kN,
measured `bare table', and usable in vibration test systems described in
2B116.a.
Technical Notes: (1) `Bare table' means a flat table, or surface,
with no fixture or fitting.
(2) `Real-time control bandwidth' is defined as the maximum rate at
which a controller can execute complete cycles of sampling, processing
data and transmitting control signals.
2B117 Equipment and process controls, other than those controlled by
2B004, 2B005.a, 2B104 or 2B105, designed or modified for the
densification and pyrolysis of structural composite rocket
nozzles and reentry vehicle nose tips.
License Requirements
Reason for Control:MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
[[Page 449]]
List of Items Controlled
Related Controls: (1) See ECCN 2D101 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCN s 2B004, 2B005, 2B104,
2B105, and 2B204.
Related Definitions: N/A
Items: The list of items controlled in contained in the ECCN heading.
2B119 Balancing machines and related equipment, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 7B101.
Related Definitions: N/A
Items:
a. Balancing machines having all of the following characteristics:
a.1. Not capable of balancing rotors/assemblies having a mass
greater than 3 kg;
a.2. Capable of balancing rotors/assemblies at speeds greater than
12,500 rpm;
a.3. Capable of correcting unbalance in two planes or more; and
a.4. Capable of balancing to a residual specific unbalance of 0.2 g
mm per kg of rotor mass.
Note: 2B119.a. does not control balancing machines designed or
modified for dental or other medical equipment.
b. Indicator heads designed or modified for use with machines
specified in 2B119.a.
Note: Indicator heads are sometimes known as balancing
instrumentation.
2B120 Motion simulators or rate tables (equipment capable of simulating
motion), having all of the following characteristics (see List
of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Rate tables not controlled by 2B120 and providing
the characteristics of a positioning table are to be evaluated according
to 2B121. (2) Equipment that has the characteristics specified in 2B121,
which also meets the characteristics of 2B120 will be treated as
equipment specified in 2B120. (3) See also 2B008, 2B121, 7B101 and
7B994.
Related Definitions: N/A
Items: a. Two or more axes;
b. Designed or modified to incorporate sliprings or integrated non-
contact devices capable of transferring electrical power, signal
information, or both; and
c. Having any of the following characteristics:
c.1. For any single axis having all of the following:
c.1.a. Capable of rates of rotation of 400 degrees/s or more, or 30
degrees/s or less, and
c.1.b. A rate resolution equal to or less than 6 degrees/s and an
accuracy equal to or less than 0.6 degrees/s; or
c.2. Having a worst-case rate stability equal to or better (less)
than plus or minus 0.05% averaged over 10 degrees or more; or
c.3. A positioning ``accuracy'' equal to or better than 5 arc-
second.
Note: 2B120 does not control rotary tables designed or modified for
machine tools or for medical equipment. For controls on machine tool
rotary tables see 2B008.
2B121 Positioning tables (equipment capable of precise rotary position
in any axis), other than those controlled in 2B120, having all
the following characteristics (See List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) Equipment that has the characteristics specified
in 2B121, which also meets the characteristics of 2B120 will be treated
as equipment specified in 2B120. (2) See also 2B008, 2B120, 7B101, and
7B994.
Related Definitions: N/A
Items: a. Two or more axes; and
b. A positioning ``accuracy'' equal to or better than 5 arc-second.
[[Page 450]]
Note: 2B121 does not control rotary tables designed or modified for
machine tools or for medical equipment. For controls on machine tool
rotary tables see 2B008.
2B122 Centrifuges capable of imparting accelerations greater than 100 g
and designed or modified to incorporate sliprings or
integrated non-contact devices capable of transferring
electrical power, signal information, or both.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 7B101.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2B201 Machine tools, and any combination thereof, other than those
controlled by 2B001, for removing or cutting metals, ceramics
or ``composites,'' which, according to manufacturer's
technical specifications, can be equipped with electronic
devices for simultaneous ``contouring control'' in two or more
axes.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D002 and 2D202 for ``software'' for
items controlled by this entry. ``Numerical control'' units are
controlled by their associated ``software''. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B001 and 2B991.
Related Definitions: N/A
Items:
Note: 2B201 does not control special purpose machine tools limited
to the manufacture of any of the following parts:
a. Gears;
b. Crank shafts or cam shafts;
c. Tools or cutters;
d. Extruder worms;
Technical Note: The identified positioning accuracy values in this
entry are based on ISO 230/2 (2006), which equates to the values based
on ISO 230/2 (1988) that are used by the Nuclear Supplier's Group (NSG).
In 2B201.a and .b.1, this results in a change from 6 [micro]m to 4.5
[micro]m. In paragraph .b of the Note to 2B201.b, the resulting change
is from 30 [micro]m to 22.5 [micro]m, In 2B201.c, the resulting change
is from 4 [micro]m to 3 [micro]m.
a. Machine tools for turning, that have positioning accuracies
according to ISO 230/2 (2006) with all compensations available better
(less) than 4.5 [micro]m along any linear axis (overall positioning) for
machines capable of machining diameters greater than 35 mm;
Note to 2B201.a: 2B201.a does not control bar machines (Swissturn),
limited to machining only bar feed thru, if maximum bar diameter is
equal to or less than 42 mm and there is no capability of mounting
chucks. Machines may have drilling and/or milling capabilities for
machining parts with diameters less than 42 mm.
b. Machine tools for milling, having any of the following
characteristics:
b.1. Positioning accuracies according to ISO 230/2 (2006) with ``all
compensations available'' equal to or less (better) than 4.5 [micro]m
along any linear axis (overall positioning);
b.2. Two or more contouring rotary axes; or
b.3. Five or more axes which can be coordinated simultaneously for
``contouring control.''
Note to 2B201.b: 2B201.b does not control milling machines having
the following characteristics:
a. X-axis travel greater than 2 m; and
b. Overall positioning accuracy according to ISO 230/2 (2006) on the
x-axis more (worse) than 22.5 [micro]m.
c. Machine tools for grinding, having any of the following
characteristics:
c.1. Positioning accuracies according to ISO 230/2 (2006) with ``all
compensations available'' equal to or less (better) than 3 [micro]m
along any linear axis (overall positioning);
c.2. Two or more contouring rotary axes; or
c.3. Five or more axes which can be coordinated simultaneously for
``contouring control.''
Note to 2B201.c: 2B201.c does not control the following grinding
machines:
a. Cylindrical external, internal, and external-internal grinding
machines having all of the following characteristics:
1. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length; and
2. Axes limited to x, z and c.
b. Jig grinders that do not have a z-axis or a w-axis with an
overall positioning accuracy less (better) than 3 microns. Positioning
accuracy is according to ISO 230/2 (2006).
[[Page 451]]
Technical Note: 2B201.b.3 and c.3 include machines based on a
parallel linear kinematic design (e.g. hexapods) that have 5 or more
axes none of which are rotary axes.
2B204 ``Isostatic presses'', other than those controlled by 2B004 or
2B104, and related equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D201 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B004 and 2B104.
Related Definitions: The inside chamber dimension is that of the chamber
in which both the working temperature and working pressure are achieved
and does not include fixtures. That dimension will be the smaller of
either the inside diameter of the pressure chamber or the inside
diameter of the insulated chamber, depending on which of the two
chambers is located inside the other.
Items: a. ``Isostatic presses'' having both of the following
characteristics:
a.1. Capable of achieving a maximum working pressure of 69 MPa or
greater; and
a.2. A chamber cavity with an inside diameter in excess of 152 mm;
b. Dies, molds and controls, ``specially designed'' for ``isostatic
presses'' controlled by 2B204.a.
2B206 Dimensional inspection machines, instruments or systems, other
than those described in 2B006, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D002 and 2D201 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B006 and 2B996.
Related Definitions: N/A
Items:
Control Notes to ECCN 2B206: (1) Machine tools that can be used as
measuring machines are controlled by ECCN 2B206 if they meet or exceed
the control parameters specified in this entry for the measuring machine
function. (2) The machines described in ECCN 2B206 are controlled by
this entry if they exceed the specified control threshold anywhere in
their operating range.
Technical Note to ECCN 2B206: All parameters of measurement values
in this entry represent plus/minus, i.e., not total band.
a. Computer controlled or numerically controlled coordinate
measuring machines (CMM) with either of the following characteristics:
a.1. Having only two axes with a maximum permissible error of length
measurement along any axis (one dimension), identified as any
combination of E0x MPE, E0y MPE or
E0z MPE, equal to or less (better) than (1.25 + L/1,000)
[micro]m (where L is the measured length in mm) at any point within the
operating range of the machine (i.e., within the length of the axis),
according to ISO 10360-2 (2009); or
a.2. Having three or more axes with a three dimensional (volumetric)
maximum permissible error of length measurement, identified as
E0, MPE, equal to or less (better) than (1.7 + L/
800) [micro]m (where L is the measured length in mm) at any point within
the operating range of the machine (i.e., within the length of the
axis), according to ISO 10360-2 (2009).
Technical Note to 2B206.a.2: The E0, MPE of
the most accurate configuration of the CMM specified according to ISO
10360-2 (2009) by the manufacturer (e.g., best of the following: Probe,
stylus length, motion parameters, environment) and with all
compensations available shall be compared to the 1.7 + L/800 [micro]m
threshold.
b. Systems for simultaneous linear-angular inspection of hemishells,
having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to or
less (better) than 3.5 [micro]m per 5 mm; and
b.2. ``Angular position deviation'' equal to or less than 0.02[deg].
c. Linear displacement measuring systems having both of the
following characteristics:
c.1. Containing a ``laser;'' and
c.2. Capable of maintaining, for at least 12 hours over a
temperature range of 1 K around a standard
temperature and a standard pressure, both:
[[Page 452]]
c.2.a. A ``resolution'' over their full scale of 0.1 [micro]m or
better; and
c.2.b. A ``measurement uncertainty'' equal to or better (less) than
(0.2 + L/2,000) [micro]m (L is the measured length in millimeters).
Control Note to 2B206.c: 2B206.c does not control measuring
interferometer systems, without closed or open loop feedback, containing
a ``laser'' to measure slide movement errors of machine tools,
dimensional inspection machines, or similar equipment.
Technical Note to 2B206.c: In 2B206.c, ``linear displacement'' means
the change of distance between the measuring probe and the measured
object.
d. Linear Variable Differential Transformer (LVDT) systems having
all of the following:
d.1. Having any of the following:
d.1.a. ``Linearity'' equal to or less (better) than 0.1% measured
from 0 to the full operating range, for LVDTs with a full operating
range up to and including 5 mm; or
d.1.b. ``Linearity'' equal to or less (better) than 0.1% measured
from 0 to 5 mm for LVDTs with a 'full operating range' greater than
5 mm; and
d.2. Drift equal to or less (better) than 0.1% per day at a standard
ambient test room temperature 1 K.
2B207 ``Robots'', ``end-effectors'' and control units, other than those
controlled by 2B007, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D201 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B007, 2B225, and 2B997.
Related Definitions: N/A
ECCN Controls: This entry does not control ``robots'' ``specially
designed'' for non-nuclear industrial applications, such as automobile
paint-spraying booths.
Items: a. ``Robots'' or ``end-effectors'' ``specially designed'' to
comply with national safety standards applicable to handling high
explosives (for example, meeting electrical code ratings for high
explosives);
b. Control units ``specially designed'' for any of the ``robots'' or
``end-effectors'' controlled by 2B207.a.
2B209 Flow forming machines, spin forming machines capable of flow
forming functions, other than those controlled by 2B009 or
2B109, and mandrels, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D201 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B009 and 2B109.
Related Definitions: N/A
Items:
a. Machines having both of the following characteristics:
a.1. Three or more rollers (active or guiding); and
a.2. According to the manufacturer's technical specifications, can
be equipped with ``numerical control'' units or a computer control;
Note: 2B209.a includes machines that have only a single roller
designed to deform metal, plus two auxiliary rollers that support the
mandrel, but do not participate directly in the deformation process.
b. Rotor-forming mandrels designed to form cylindrical rotors of
inside diameter between 75 mm and 650 mm.
2B225 Remote manipulators that can be used to provide remote actions in
radiochemical separation operations or hot cells, having
either of the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
[[Page 453]]
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCNs 2B007 and 2B207. (3)
Remote manipulators ``specially designed'' or prepared for use in fuel
reprocessing or for use in a reactor are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. A capability of penetrating 0.6 m or more of hot cell wall
(through-the-wall operation); or
b. A capability of bridging over the top of a hot cell wall with a
thickness of 0.6 m or more (over-the-wall operation).
Technical Note: Remote manipulators provide translation of human
operator actions to a remote operating arm and terminal fixture. They
may be of ``master/slave'' type or operated by joystick or keypad.
2B226 Controlled atmosphere (vacuum or inert gas) induction furnaces,
and power supplies therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 2B227 and Category 3B.
Related Definitions: N/A
ECCN Controls: 2B226.a does not control furnaces designed for the
processing of semiconductor wafers.
Items: a. Furnaces having all of the following characteristics:
a.1. Capable of operation above 1,123 K (850 [deg]C);
a.2. Induction coils 600 mm or less in diameter; and
a.3. Designed for power inputs of 5 kW or more;
b. Power supplies, with a specified power output of 5 kW or more,
``specially designed'' for furnaces controlled by 2B226.a.
2B227 Vacuum or other controlled atmosphere metallurgical melting and
casting furnaces and related equipment, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D201 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 2B226.
Related Definitions: N/A
Items: a. Arc remelt and casting furnaces having both of the following
characteristics:
a.1. Consumable electrode capabilities between 1,000 cm\3\ and
20,000 cm\3\; and
a.2. Capable of operating with melting temperatures above 1,973 K
(1,700 [deg]C);
b. Electron beam melting furnaces and plasma atomization and melting
furnaces, having both of the following characteristics:
b.1. A power of 50 kW or greater; and
b.2. Capable of operating with melting temperatures above 1,473 K
(1,200 [deg]C);
c. Computer control and monitoring systems specially configured for
any of the furnaces controlled by 2B227.a or .b.
2B228 Rotor fabrication and assembly equipment, rotor straightening
equipment, bellows-forming mandrels and dies, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items:
a. Rotor assembly equipment for assembly of gas centrifuge rotor
tube sections, baffles, and end-caps;
[[Page 454]]
Note: 2B228.a includes precision mandrels, clamps, and shrink fit
machines.
b. Rotor straightening equipment for alignment of gas centrifuge
rotor tube sections to a common axis;
Technical Note: The rotor straightening equipment in 2B228.b
normally consists of precision measuring probes linked to a computer
that subsequently controls the action of, for example, pneumatic rams
used for aligning the rotor tube sections.
c. Bellows-forming mandrels and dies for producing single-
convolution bellows.
Technical Note: In 2B228.c, the bellows have all of the following
characteristics:
1. Inside diameter between 75 mm and 650 mm;
2. Length equal to or greater than 12.7 mm;
3. Single convolution depth greater than 2 mm; and
4. Made of high-strength aluminum alloys, maraging steel or high
strength ``fibrous or filamentary materials''.
2B229 Centrifugal multiplane balancing machines, fixed or portable,
horizontal or vertical, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D201 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items: a. Centrifugal balancing machines designed for balancing flexible
rotors having a length of 600 mm or more and having all of the following
characteristics:
a.1. Swing or journal diameter greater than 75 mm;
a.2. Mass capability of from 0.9 to 23 kg; and
a.3. Capable of balancing speed of revolution greater than 5,000
r.p.m.;
b. Centrifugal balancing machines designed for balancing hollow
cylindrical rotor ``parts'' or ``components'' and having all of the
following characteristics:
b.1. Journal diameter greater than 75 mm;
b.2. Mass capability of from 0.9 to 23 kg;
b.3. A minimum achievable residual specific unbalance equal to or
less than 10 g-mm/kg per plane; and
b.4. Belt drive type.
2B230 All types of ``pressure transducers'' capable of measuring
absolute pressures and having all of the characteristics
described in this ECCN (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: (1) For purposes of this entry, ``pressure
transducers'' are devices that convert pressure measurements into a
signal. (2) For purposes of this entry, ``accuracy'' includes non-
linearity, hysteresis and repeatability at ambient temperature.
Items: a. Pressure sensing elements made of or protected by aluminum,
aluminum alloy, aluminum oxide (alumina or sapphire), nickel, nickel
alloy with more than 60% nickel by weight, or fully fluorinated
hydrocarbon polymers;
b. Seals, if any, essential for sealing the pressure sensing
element, and in direct contact with the process medium, made of or
protected by aluminum, aluminum alloy, aluminum oxide (alumina or
sapphire), nickel, nickel alloy with more than 60% nickel by weight, or
fully fluorinated hydrocarbon polymers; and
c. Either of the following characteristics:
c.1. A full scale of less 13 kPa and an ``accuracy'' of better than
1% of full scale; or
c.2. A full scale of 13 kPa or greater and an ``accuracy'' of better
than 130 Pa when measuring at 13 kPa.
2B231 Vacuum pumps having all of the characteristics described in this
ECCN (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
[[Page 455]]
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for ``technology'' for items
controlled under this entry. (2) Also see bellows-sealed scroll-type
compressors and bellows-sealed scroll-type vacuum pumps controlled under
ECCN 2B233. (3) Vacuum pumps ``specially designed'' or prepared for the
separation of uranium isotopes are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: (1) The pumping speed is determined at the
measurement point with nitrogen gas or air. (2) The ultimate vacuum is
determined at the input of the pump with the input of the pump blocked
off.
Items: a. Input throat size equal to or greater than 380 mm;
b. Pumping speed equal to or greater than 15 m\3\/s; and
c. Capable of producing an ultimate vacuum better than 13.3 mPa.
2B232 High-velocity gun systems (propellant, gas, coil, electromagnetic,
and electrothermal types, and other advanced systems) capable
of accelerating projectiles to 1.5 km/s or greater.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2B233 Bellows-sealed scroll-type compressors and bellows-sealed scroll-
type vacuum pumps having all of the characteristics described
in this ECCN (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for ``technology'' for items
controlled under this entry. (2) Also see vacuum pumps controlled under
ECCN 2B231. (3) Vacuum pumps ``specially designed'' or prepared for the
separation of uranium isotopes are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Capable of an inlet volume flow rate of 50 m\3\/h or greater;
b. Capable of a pressure ratio of 2:1 or greater; and
c. Having all surfaces that come in contact with the process gas
made from any of the following:
c.1. Aluminum or aluminum alloy;
c.2. Aluminum oxide;
c.3. Stainless steel;
c.4. Nickel or nickel alloy;
c.5. Phosphor bronze; or
c.6. Fluoropolymers.
Technical Notes: 1. In a scroll compressor or vacuum pump, crescent-
shaped pockets of gas are trapped between one or more pairs of
intermeshed spiral vanes, or scrolls, one of which moves while the other
remains stationary. The moving scroll orbits the stationary scroll; it
does not rotate. As the moving scroll orbits the stationary scroll, the
gas pockets diminish in size (i.e., they are compressed) as they move
toward the outlet port of the machine.
2. In a bellows-sealed scroll compressor or vacuum pump, the process
gas is totally isolated from the lubricated parts of the pump and from
the external atmosphere by a metal bellows. One end of the bellows is
attached to the moving scroll and the other end is attached to the
stationary housing of the pump.
3. Fluoropolymers include, but are not limited to, the following
materials:
a. Polytetrafluoroethylene (PTFE);
b. Fluorinated Ethylene Propylene (FEP);
c. Perfluoroalkoxy (PFA);
d. Polychlorotrifluoroethylene (PCTFE); and
e. Vinylidene fluoride-hexafluoropropylene copolymer.
2B350 Chemical manufacturing facilities and equipment, except valves
controlled by 2A226, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2
[[Page 456]]
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirement Note: This ECCN does not control equipment that is
both: (1) ``Specially Designed'' for use in civil applications e.g.,
food processing, pulp and paper processing, or water purification) and
(2) inappropriate, by the nature of its design, for use in storing,
processing, producing or conducting and controlling the flow of the
chemical weapons precursors controlled by 1C350.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $2,000 for all Country Group B destinations, except those also
listed under Country Group D:3 (see Supplement No. 1 to part 740 of the
EAR).
GBS: N/A
List of Items Controlled
Related Controls: See also ECCNs 2A226, 2A992, 2A993, 2B231, and 2B999.
Related Definitions: For purposes of this entry the term 'chemical
warfare agents' includes those agents ``subject to the ITAR'' (see 22
CFR parts 120 through 130).
Items: a. Reaction vessels, reactors and prefabricated repair assemblies
therefor, as follows:
a.1. Reaction vessels or reactors, with or without agitators, with
total internal (geometric) volume greater than 0.1 m\3\ (100 liters) and
less than 20 m\3\ (20,000 liters), where all surfaces that come in
direct contact with the chemical(s) being processed or contained are
made from any of the following materials:
a.1.a Alloys with more than 25% nickel and 20% chromium by weight;
a.1.b. Nickel or alloys with more than 40% nickel by weight;
a.1.c. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
a.1.d. Glass (including vitrified or enameled coating or glass
lining);
a.1.e. Tantalum or tantalum alloys;
a.1.f. Titanium or titanium alloys;
a.1.g. Zirconium or zirconium alloys; or
a.1.h. Niobium (columbium) or niobium alloys;
a.2. Prefabricated repair assemblies, and their specially designed
components, that:
a.2.a. Are designed for mechanical attachment to glass-lined
reaction vessels or reactors described in 2B350.a.1; and
a.2.b. Have metallic surfaces that are made from tantalum or
tantalum alloys and come in direct contact with the chemical(s) being
processed.
b. Agitators designed for use in reaction vessels or reactors
described in 2B350.a.1, and impellers, blades or shafts designed for
such agitators, where all surfaces that come in direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
b.1. Alloys with more than 25% nickel and 20% chromium by weight;
b.2. Nickel or alloys with more than 40% nickel by weight;
b.3. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
b.4. Glass (including vitrified or enameled coatings or glass
lining);
b.5. Tantalum or tantalum alloys;
b.6. Titanium or titanium alloys;
b.7. Zirconium or zirconium alloys; or
b.8. Niobium (columbium) or niobium alloys.
c. Storage tanks, containers, receivers and prefabricated repair
assemblies therefor, as follows:
c.1. Storage tanks, containers or receivers with a total internal
(geometric) volume greater than 0.1 m\3\ (100 liters) where all surfaces
that come in direct contact with the chemical(s) being processed or
contained are made from any of the following materials:
c.1.a. Alloys with more than 25% nickel and 20% chromium by weight;
c.1.b. Nickel or alloys with more than 40% nickel by weight;
c.1.c. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
c.1.d. Glass (including vitrified or enameled coatings or glass
lining);
c.1.e. Tantalum or tantalum alloys;
c.1.f. Titanium or titanium alloys;
c.1.g. Zirconium or zirconium alloys; or
c.1.h. Niobium (columbium) or niobium alloys;
c.2. Prefabricated repair assemblies, and their specially designed
components, that:
c.2.a. Are designed for mechanical attachment to glass-lined storage
tanks, containers or receivers described in 2B350.c.1; and
c.2.b. Have metallic surfaces that are made from tantalum or
tantalum alloys and come in direct contact with the chemical(s) being
processed.
d. Heat exchangers or condensers with a heat transfer surface area
of less than 20 m\2\, but greater than 0.15 m\2\, and tubes, plates,
coils or blocks (cores) designed for such heat exchangers or condensers,
where all surfaces that come in direct contact with the chemical(s)
being processed are made from any of the following materials:
d.1. Alloys with more than 25% nickel and 20% chromium by weight;
d.2. Nickel or alloys with more than 40% nickel by weight;
d.3. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
d.4. Glass (including vitrified or enameled coatings or glass
lining);
d.5. Tantalum or tantalum alloys;
[[Page 457]]
d.6. Titanium or titanium alloys;
d.7. Zirconium or zirconium alloys;
d.8. Niobium (columbium) or niobium alloys;
d.9. Graphite or carbon-graphite;
d.10. Silicon carbide; or
d.11. Titanium carbide.
e. Distillation or absorption columns of internal diameter greater
than 0.1 m, and liquid distributors, vapor distributors or liquid
collectors designed for such distillation or absorption columns, where
all surfaces that come in direct contact with the chemical(s) being
processed are made from any of the following materials:
e.1. Alloys with more than 25% nickel and 20% chromium by weight;
e.2. Nickel or alloys with more than 40% nickel by weight;
e.3. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
e.4. Glass (including vitrified or enameled coatings or glass
lining);
e.5. Tantalum or tantalum alloys;
e.6. Titanium or titanium alloys;
e.7. Zirconium or zirconium alloys;
e.8. Niobium (columbium) or niobium alloys; or
e.9. Graphite or carbon-graphite.
f. Remotely operated filling equipment in which all surfaces that
come in direct contact with the chemical(s) being processed are made
from any of the following materials:
f.1. Alloys with more than 25% nickel and 20% chromium by weight; or
f.2. Nickel or alloys with more than 40% nickel by weight.
g. Valves, as follows:
g.1. Valves having both of the following characteristics:
g.1.a. A nominal size greater than 1.0 cm (\3/8\ in.); and
g.1.b. All surfaces that come in direct contact with the chemical(s)
being produced, processed, or contained are made from materials
identified in Technical Note 1 to 2B350.g.
g.2. Valves, except for valves controlled by 2B350.g.1, having all
of the following characteristics:
g.2.a. A nominal size equal to or greater than 2.54 cm (1 inch) and
equal to or less than 10.16 cm (4 inches);
g.2.b. Casings (valve bodies) or preformed casing liners controlled
by 2B350.g.3, in which all surfaces that come in direct contact with the
chemical(s) being produced, processed, or contained are made from
materials identified in Technical Note 1 to 2B350.g; and
g.2.c. A closure element designed to be interchangeable.
g.3. Casings (valve bodies) and preformed casing liners having both
of the following characteristics:
g.3.a. Designed for valves in 2B350.g.1 or .g.2; and
g.3.b. All surfaces that come in direct contact with the chemical(s)
being produced, processed, or contained are made from materials
identified in Technical Note 1 to 2B350.g.
Technical Note 1 to 2B350.g: All surfaces of the valves controlled
by 2B350.g.1, and the casings (valve bodies) and preformed casing liners
controlled by 2B350.g.3, that come in direct contact with the
chemical(s) being produced, processed, or contained are made from the
following materials:
a. Alloys with more than 25% nickel and 20% chromium by weight;
b. Nickel or alloys with more than 40% nickel by weight;
c. Fluoropolymers (polymeric or elastomeric materials with more than
35% fluorine by weight);
d. Glass (including vitrified or enameled coating or glass lining);
e. Tantalum or tantalum alloys;
f. Titanium or titanium alloys;
g. Zirconium or zirconium alloys;
h. Niobium (columbium) or niobium alloys; or
i. Ceramic materials, as follows:
i.1. Silicon carbide with a purity of 80% or more by weight;
i.2. Aluminum oxide (alumina) with a purity of 99.9% or more by
weight; or
i.3. Zirconium oxide (zirconia).
Technical Note 2 to 2B350.g: The 'nominal size' is defined as the
smaller of the inlet and outlet port diameters.
h. Multi-walled piping incorporating a leak detection port, in which
all surfaces that come in direct contact with the chemical(s) being
processed or contained are made from any of the following materials:
h.1. Alloys with more than 25% nickel and 20% chromium by weight;
h.2. Nickel or alloys with more than 40% nickel by weight;
h.3. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
h.4. Glass (including vitrified or enameled coatings or glass
lining);
h.5. Tantalum or tantalum alloys;
h.6. Titanium or titanium alloys;
h.7. Zirconium or zirconium alloys;
h.8. Niobium (columbium) or niobium alloys; or
h.9. Graphite or carbon-graphite.
i. Multiple-seal and seal-less pumps with manufacturer's specified
maximum flow-rate greater than 0.6 m\3\/hour (600 liters/hour), or
vacuum pumps with manufacturer's specified maximum flow-rate greater
than 5 m\3\/hour (5,000 liters/hour) (under standard temperature (273 K
(0 [deg]C)) and pressure (101.3 kPa) conditions), and casings (pump
bodies), preformed casing liners, impellers, rotors or jet pump nozzles
designed for such pumps, in
[[Page 458]]
which all surfaces that come into direct contact with the chemical(s)
being processed are made from any of the following materials:
i.1. Alloys with more than 25% nickel and 20% chromium by weight;
i.2. Nickel or alloys with more than 40% nickel by weight;
i.3. Fluoropolymers (polymeric or elastomeric materials with more
than 35% fluorine by weight);
i.4. Glass (including vitrified or enameled coatings or glass
lining);
i.5. Tantalum or tantalum alloys;
i.6. Titanium or titanium alloys;
i.7. Zirconium or zirconium alloys;
i.8. Niobium (columbium) or niobium alloys.
i.9. Graphite or carbon-graphite;
i.10. Ceramics; or
i.11. Ferrosilicon (high silicon iron alloys).
Technical Note to 2B350.i: The seals referred to in 2B350.i come
into direct contact with the chemical(s) being processed (or are
designed to do so), and provide a sealing function where a rotary or
reciprocating drive shaft passes through a pump body.
j. Incinerators designed to destroy chemical warfare agents,
chemical weapons precursors controlled by 1C350, or chemical munitions
having ``specially designed'' waste supply systems, special handling
facilities and an average combustion chamber temperature greater than
1000 [deg]C in which all surfaces in the waste supply system that come
into direct contact with the waste products are made from or lined with
any of the following materials:
j.1. Alloys with more than 25% nickel and 20% chromium by weight;
j.2. Nickel or alloys with more than 40% nickel by weight; or
j.3. Ceramics.
Technical Note 1: Carbon-graphite is a composition consisting
primarily of graphite and amorphous carbon, in which the graphite is 8
percent or more by weight of the composition.
Technical Note 2: For the items listed in 2B350, the term 'alloy,'
when not accompanied by a specific elemental concentration, is
understood as identifying those alloys where the identified metal is
present in a higher percentage by weight than any other element.
Technical Note 3: The materials used for gaskets, packing, seals,
screws or washers, or other materials performing a sealing function, do
not determine the control status of the items in this ECCN, provided
that such components are designed to be interchangeable.
Note: See Categories V and XIV of the United States Munitions List
for all chemicals that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
2B351 Toxic gas monitors and monitoring systems, and their dedicated
detecting ``parts'' and ``components'' (i.e., detectors,
sensor devices, and replaceable sensor cartridges), as
follows, except those systems and detectors controlled by ECCN
1A004.c (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 2D351 for ``software'' for toxic gas monitors
and monitoring systems, and their dedicated detecting ``parts'' and
``components,'' controlled by this ECCN. Also see ECCN 1A004, which
controls chemical detection systems and ``specially designed'' ``parts''
and ``components'' therefor that are ``specially designed'' or modified
for detection or identification of chemical warfare agents, but not
``specially designed'' for military use, and ECCN 1A995, which controls
certain detection equipment, ``parts'' and ``components'' not controlled
by ECCN 1A004 or by this ECCN.
Related Definitions: (1) For the purposes of this entry, the term
``dedicated'' means committed entirely to a single purpose or device.
(2) For the purposes of this entry, the term ``continuous operation''
describes the capability of the equipment to operate on line without
human intervention. The intent of this entry is to control toxic gas
monitors and monitoring systems capable of collection and detection of
samples in environments such as chemical plants, rather than those used
for batch-mode operation in laboratories.
Items:
a. Designed for continuous operation and usable for the detection of
chemical warfare agents or precursor chemicals controlled by 1C350
'minimum detection limit' of 0.3 mg/m\3\; or
b. Designed for the detection of cholinesterase-inhibiting activity.
Technical note: The 'minimum detection limit' of toxic gas monitors
or monitoring systems is the lowest detectable concentration of the
analyte required to produce a signal greater than three times the
standard deviation of the toxic gas monitor's or monitoring system's
signal when measuring a blank sample.
In the case of toxic gas monitors or monitoring systems having a
deadband or programmed zero suppression, the 'minimum detection limit'
is the
[[Page 459]]
lowest detectable concentration required to produce a reading.
2B352 Equipment Capable of Use in Handling Biological Materials, as
Follows (See List of Items Controlled).
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 1A004 and 1A995 for protective equipment
that is not covered by this entry. Also see ECCN 9A120 for controls on
certain ``UAV'' systems designed or modified to dispense an aerosol and
capable of carrying elements of a payload in the form of a particulate
or liquid, other than fuel ``parts'' or ``components'' of such vehicles,
of a volume greater than 20 liters.
Related Definitions: (1) ``Lighter than air vehicles''--balloons and
airships that rely on hot air or on lighter-than-air gases, such as
helium or hydrogen, for their lift. (2) ``UAVs''--Unmanned Aerial
Vehicles. (3) ``VMD''--Volume Median Diameter.
Items:
a. Containment facilities and related equipment, as follows:
a.1. Complete containment facilities at P3 or P4 containment level.
Technical Note to 2B352.a.1: P3 or P4 (BL3, BL4, L3, L4) containment
levels are as specified in the WHO Laboratory Biosafety Manual (3rd
edition, Geneva, 2004).
a.2. Equipment designed for fixed installation in containment
facilities specified in paragraph a.1 of this ECCN, as follows:
a.2.a. Double-door pass-through decontamination autoclaves;
a.2.b. Breathing air suit decontamination showers;
a.2.c. Mechanical-seal or inflatable-seal walkthrough doors.
b. Fermenters and components as follows:
b.1. Fermenters capable of cultivation of micro-organisms or of live
cells for the production of viruses or toxins, without the propagation
of aerosols, having a total internal volume of 20 liters or greater.
b.2. Components designed for such fermenters, as follows:
b.2.a. Cultivation chambers designed to be sterilized or disinfected
in situ;
b.2.b. Cultivation chamber holding devices; or
b.2.c. Process control units capable of simultaneously monitoring
and controlling two or more fermentation system parameters (e.g.,
temperature, pH, nutrients, agitation, dissolved oxygen, air flow, foam
control).
Technical Notes to 2B352.b:
1. Fermenters include bioreactors (including single-use (disposable)
bioreactors), chemostats and continuous-flow systems.
2. Cultivation chamber holding devices controlled by 2B352.b.2.b
include single-use cultivation chambers with rigid walls.
c. Centrifugal separators capable of continuous separation, without
the propagation of aerosols, having a flow rate greater than 100 liters
per hour, as follows:
c.1. Centrifugal separators having all of the following
characteristics:
c.1.a. One or more sealing joints within the steam containment area;
c.1.b. Components of polished stainless steel or titanium; and
c.1.c. Capable of in-situ steam sterilization in a closed state.
c.2. Single-use centrifugal separators, in which all components that
come in direct contact with the substances being processed are
disposable or single-use.
Technical Note to 2B352.c: Centrifugal separators and single-use
centrifugal separators include decanters.
d. Cross (tangential) flow filtration equipment and ``accessories'',
as follows:
d.1. Cross (tangential) flow filtration equipment capable of
separation of microorganisms, viruses, toxins or cell cultures having
all of the following characteristics:
d.1.a. A total filtration area equal to or greater than 1 square
meter (1 m\2\); and
d.1.b. Having any of the following characteristics:
d.1.b.1. Capable of being sterilized or disinfected in-situ; or
d.1.b.2. Using disposable or single-use filtration ``parts'' or
``components''.
N.B.: 2B352.d.1 does not control reverse osmosis and hemodialysis
equipment, as specified by the manufacturer.
d.2. Cross (tangential) flow filtration ``parts'' or ``components''
(e.g., modules, elements, cassettes, cartridges, units or plates) with
filtration area equal to or greater than 0.2 square meters (0.2 m\2\)
for each ``part'' or ``component'' and designed for use in cross
(tangential) flow filtration equipment controlled by 2B352.d.1.
Technical Note: In this ECCN, ``sterilized'' denotes the elimination
of all viable microbes from the equipment through the use of either
physical (e.g., steam) or chemical agents. ``Disinfected'' denotes a
process to reduce the number of microorganisms, but not usually of
bacterial spores, through the use of chemical agents, without
necessarily killing or removing all organisms.
[[Page 460]]
e. Steam, gas or vapor sterilizable freeze-drying equipment with a
condenser capacity of 10 kg of ice or greater in 24 hours (10 liters of
water or greater in 24 hours) and less than 1000 kg of ice in 24 hours
(less than 1,000 liters of water in 24 hours).
f. Spray-drying equipment capable of drying toxins or pathogenic
microorganisms having all of the following characteristics:
f.1. A water evaporation capacity of =0.4 kg/h and <=400
kg/h;
f.2. The ability to generate a typical mean product particle size of
<=10 micrometers with existing fittings or by minimal modification of
the spray-dryer with atomization nozzles enabling generation of the
required particle size; and
f.3. Capable of being sterilized or disinfected in situ.
g. Protective and containment equipment, as follows:
g.1. Protective full or half suits, or hoods dependent upon a
tethered external air supply and operating under positive pressure.
Technical Note to 2B352.g.1: 2B352.g.1 does not control suits
designed to be worn with self-contained breathing apparatus.
g.2. Biocontainment chambers, isolators, or biological safety
cabinets having all of the following characteristics, for normal
operation:
g.2.a. Fully enclosed workspace where the operator is separated from
the work by a physical barrier;
g.2.b. Able to operate at negative pressure;
g.2.c. Means to safely manipulate items in the workspace; and
g.2.d. Supply and exhaust air to and from the workspace is high-
efficiency particulate air (HEPA) filtered.
Note 1 to 2B352.g.2: 2B352.g.2 controls class III biosafety
cabinets, as specified in the WHO Laboratory Biosafety Manual (3rd
edition, Geneva, 2004) or constructed in accordance with national
standards, regulations or guidance.
Note 2 to 2B352.g.2: 2B352.g.2 controls any isolator having all of
the characteristics described in 2B352.g.2.a through g.2.d, regardless
of its intended use and its designation, except for medical isolators
``specially designed'' for barrier nursing or transportation of infected
patients.
h. Aerosol inhalation equipment designed for aerosol challenge
testing with microorganisms, viruses or toxins, as follows:
h.1. Whole-body exposure chambers having a capacity of 1 cubic meter
or greater;
h.2. Nose-only exposure apparatus utilizing directed aerosol flow
and having a capacity for the exposure of 12 or more rodents, or two or
more animals other than rodents, and closed animal restraint tubes
designed for use with such apparatus.
i. Spraying or fogging systems and ``parts'' and ``components''
therefor, as follows:
i.1. Complete spraying or fogging systems, ``specially designed'' or
modified for fitting to aircraft, ``lighter than air vehicles,'' or
``UAVs,'' capable of delivering, from a liquid suspension, an initial
droplet ``VMD'' of less than 50 microns at a flow rate of greater than 2
liters per minute;
i.2. Spray booms or arrays of aerosol generating units, ``specially
designed'' or modified for fitting to aircraft, ``lighter than air
vehicles,'' or ``UAVs,'' capable of delivering, from a liquid
suspension, an initial droplet ``VMD'' of less than 50 microns at a flow
rate of greater than 2 liters per minute;
i.3. Aerosol generating units ``specially designed'' for fitting to
the systems as specified in paragraphs i.1 and i.2 of this ECCN.
Technical Notes to 2B352.i:
1. Aerosol generating units are devices ``specially designed'' or
modified for fitting to aircraft and include nozzles, rotary drum
atomizers and similar devices.
2. This ECCN does not control spraying or fogging systems, ``parts''
and ``components,'' as specified in 2B352.i, that are demonstrated not
to be capable of delivering biological agents in the form of infectious
aerosols.
3. Droplet size for spray equipment or nozzles ``specially
designed'' for use on aircraft or ``UAVs'' should be measured using
either of the following methods (pending the adoption of internationally
accepted standards):
a. Doppler laser method,
b. Forward laser diffraction method.
j. Nucleic acid assemblers and synthesizers that are both:
j.1 Partly or entirely automated; and
j.2. Designed to generate continuous nucleic acids greater than 1.5
kilobases in length with error rates less than 5% in a single run.
k. Peptide synthesizers that are both:
k.1 Partly or entirely automated; and
k.2 Capable of generating peptides at a 'system synthesis scale' of
1 mmol or greater.
Technical Note to 2B352.k: 'System synthesis scale' denotes the
maximum amount of peptide (mmol) that can be produced by the instrument
using the largest compatible reaction vessels (L). For multiple peptides
produced in parallel, this is the sum of the largest compatible reaction
vessels (L).
N.B. to paragraph .k: See ECCN 2B350 for other chemical reaction
vessels or reactors.
2B910 Additive manufacturing equipment, designed to produce metal or
metal alloy components, having all of the following (see List
of Items Controlled), and ``specially designed''
``components'' therefor.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control.
See Sec. 742.4(a)(5) and
(b)(10) of the EAR.
RS applies to entire entry................ Worldwide control.
See Sec. 742.6(a)(10) and
(b)(11) of the EAR.
[[Page 461]]
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
ECCN to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For related ``technology'' see ECCN 2E910.
Related Definitions: N/A
Items:
a. Having at least one of the following consolidation sources:
a.1. ``Laser'';
a.2. Electron beam; or
a.3. Electric arc;
b. Having a controlled process atmosphere of any of the following:
b.1. Inert gas; or
b.2. Vacuum (equal to or less than 100 Pa);
c. Having any of the following 'in-process monitoring' equipment in
a 'co-axial configuration' or 'paraxial configuration':
c.1. Imaging camera with a peak response in the wavelength range
exceeding 380 nm but not exceeding 14,000 nm;
c.2. Pyrometer designed to measure temperatures greater than
1,273.15K (1,000 [deg]C); or
c.3. Radiometer or spectrometer with a peak response in the
wavelength range exceeding 380 nm but not exceeding 3,000 nm; and
d. A closed loop control system designed to modify the consolidation
source parameters, build path, or equipment settings during the build
cycle in response to feedback from 'in-process monitoring' equipment
specified in 2B910.c.
Technical Notes: For the purposes of 2B910:
1. 'In-process monitoring', also known as in-situ process
monitoring, pertains to the observation and measurement of the additive
manufacturing process including electromagnetic, or thermal, emissions
from the melt pool.
2. 'Co-axial configuration', also known as on-axis or inline
configuration, pertains to one or more sensors that are mounted in an
optical path shared by the ``laser'' consolidation source.
3. 'Paraxial configuration' pertains to one or more sensors that are
physically mounted onto or integrated into the ``laser'', electron beam,
or electric arc consolidation source component.
4. For both 'co-axial configuration' and 'paraxial configuration',
the field of view of the sensor(s) is fixed to the moving reference
frame of the consolidation source and moves in the same scan
trajectories of the consolidation source throughout the build process.
2B991 Numerical control units for machine tools and ``numerically
controlled'' machine tools, n.e.s. (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also ECCNs 2B001 and 2B201.
Related Definitions: N/A
Items: a. ``Numerical control'' units for machine tools:
a.1. Having four interpolating axes that can be coordinated
simultaneously for ``contouring control;'' or
a.2. Having two or more axes that can be coordinated simultaneously
for ``contouring control'' and a minimum programmable increment better
(less) than 0.001 mm;
a.3. ``Numerical control'' units for machine tools having two, three
or four interpolating axes that can be coordinated simultaneously for
``contouring control,'' and capable of receiving directly (on-line) and
processing computer-aided-design (CAD) data for internal preparation of
machine instructions; or
b. ``Motion control boards'' ``specially designed'' for machine
tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of ``real-time processing'' of data to modify tool
path, feed rate and spindle data, during the machining operation, by any
of the following:
b.2.a. Automatic calculation and modification of part program data
for machining in two or more axes by means of measuring cycles and
access to source data; or
b.2.b. ``Adaptive control'' with more than one physical variable
measured and processed by means of a computing model (strategy) to
change one or more machining instructions to optimize the process.
b.3. Capable of receiving and processing CAD data for internal
preparation of machine instructions; or
c. ``Numerically controlled'' machine tools that, according to the
manufacturer's technical specifications, can be equipped with
[[Page 462]]
electronic devices for simultaneous ``contouring control'' in two or
more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for
contouring control; and
c.2. Positioning accuracies according to ISO 230/2 (2006), with all
compensations available:
c.2.a. Better than 15 [micro]m along any linear axis (overall
positioning) for grinding machines;
c.2.b. Better than 15 [micro]m along any linear axis (overall
positioning) for milling machines; or
c.2.c. Better than 15 [micro]m along any linear axis (overall
positioning) for turning machines; or
d. Machine tools, as follows, for removing or cutting metals,
ceramics or composites, that, according to the manufacturer's technical
specifications, can be equipped with electronic devices for simultaneous
``contouring control'' in two or more axes:
d.1. Machine tools for turning, grinding, milling or any combination
thereof, having two or more axes that can be coordinated simultaneously
for ``contouring control'' and having any of the following
characteristics:
d.1.a. One or more contouring ``tilting spindles;''
Note: 2B991.d.1.a. applies to machine tools for grinding or milling
only.
d.1.b. ``Camming'' (axial displacement) in one revolution of the
spindle less (better) than 0.0006 mm total indicator reading (TIR);
Note: 2B991.d.1.b. applies to machine tools for turning only.
d.1.c. ``Run out'' (out-of-true running) in one revolution of the
spindle less (better) than 0.0006 mm total indicator reading (TIR);
d.1.d. The ``positioning accuracies'', with all compensations
available, are less (better) than: 0.001[deg] on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type that
have five or more axes that can be coordinated simultaneously for
``contouring control.''
2B992 Non-``numerically controlled'' machine tools for generating
optical quality surfaces, (see List of Items Controlled) and
``specially designed'' ``parts'' and ``components'' therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Turning machines using a single point cutting tool and having
all of the following characteristics:
a.1. Slide positioning accuracy less (better) than 0.0005 mm per 300
mm of travel;
a.2. Bidirectional slide positioning repeatability less (better)
than 0.00025 mm per 300 mm of travel;
a.3. Spindle ``run out'' and ``camming'' less (better) than 0.0004
mm total indicator reading (TIR);
a.4. Angular deviation of the slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over full travel; and
a.5. Slide perpendicularity less (better) than 0.001 mm per 300 mm
of travel;
Technical Note: The bidirectional slide positioning repeatability
(R) of an axis is the maximum value of the repeatability of positioning
at any position along or around the axis determined using the procedure
and under the conditions specified in part 2.11 of ISO 230/2: 1988.
b. Fly cutting machines having all of the following characteristics:
b.1. Spindle ``run out'' and ``camming'' less (better) than 0.0004
mm TIR; and
b.2. Angular deviation of slide movement (yaw, pitch and roll) less
(better) than 2 seconds of arc, TIR, over full travel.
2B993 Gearmaking and/or finishing machinery not controlled by 2B003
capable of producing gears to a quality level of better than
AGMA 11.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2B996 Dimensional inspection or measuring systems or equipment not
controlled by 2B006 or 2B206, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 463]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Manual dimensional inspection machines, having both of the
following characteristics:
a.1. Two or more axes; and
a.2. A measurement uncertainty equal to or less (better) than (3 +
L/300) micrometer in any axes (L measured length in mm).
2B997 ``Robots'' not controlled by 2B007 or 2B207 that are capable of
employing feedback information in real-time processing from
one or more sensors to generate or modify ``programs'' or to
generate or modify numerical program data.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2B998 Assemblies, circuit boards or inserts ``specially designed'' for
machine tools controlled by 2B991, or for equipment controlled
by 2B993, 2B996 or 2B997.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: This entry does not control measuring interferometer
systems, without closed or open loop feedback, containing a laser to
measure slide movement errors of machine-tools, dimensional inspection
machines or similar equipment.
Related Definition: N/A
Items: a. Spindle assemblies, consisting of spindles and bearings as a
minimal assembly, with radial (``run out'') or axial (``camming'') axis
motion in one revolution of the spindle less (better) than 0.0006 mm
total indicator reading (TIR);
b. Single point diamond cutting tool inserts, having all of the
following characteristics:
b.1. Flawless and chip-free cutting edge when magnified 400 times in
any direction;
b.2. Cutting radius from 0.1 to 5 mm inclusive; and
b.3. Cutting radius out-of-roundness less (better) than 0.002 mm
TIR.
c. ``Specially designed'' printed circuit boards with mounted
``parts'' or ``components'' capable of upgrading, according to the
manufacturer's specifications, ``numerical control'' units, machine
tools or feed-back devices to or above the levels specified in ECCNs
2B991, 2B993, 2B996, 2B997, or 2B998.
2B999 Specific Processing Equipment, n.e.s., as Follows (See List of
Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) no. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry except A license is required for
2B999.h.2 items controlled by this
entry, other than
2B999.h.2, for export or
reexport to Pakistan or
transfer within Pakistan
for regional stability
reasons. The Commerce
Country Chart is not
designed to determine RS
license requirements for
this entry. See Sec.
742.6(a)(12) of the EAR for
additional information.
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT licensing requirements
for this entry. See Sec.
742.19 of the EAR for
additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 1B233, 2A992, 2A993, 2B001.f, 2B004,
2B009, 2B104, 2B109, 2B204, 2B209, 2B228, 2B229, 2B231, and 2B350. (2)
Certain nuclear related processing equipment is subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
Related Definitions: N/A
Items:
a. Isostatic presses, n.e.s.
[[Page 464]]
b. Bellows manufacturing equipment, including hydraulic forming
equipment and bellows forming dies.
c. Laser welding machines.
d. MIG welders.
e. E-beam welders.
f. Monel equipment, including valves, piping, tanks and vessels.
g. 304 and 316 stainless steel valves, piping, tanks and vessels.
Note: Fittings are considered part of ``piping'' for purposes of
2B999.g.
h. Mining and drilling equipment, as follows:
h.1. Large boring equipment capable of drilling holes greater than
two feet in diameter.
h.2. Large earth-moving equipment used in the mining industry.
i. Electroplating equipment designed for coating parts with nickel
or aluminum.
j. Pumps designed for industrial service and for use with an
electrical motor of 5 HP or greater.
k. Vacuum valves, piping, flanges, gaskets and related equipment
``specially designed'' for use in high-vacuum service, n.e.s.
l. Spin forming and flow forming machines, n.e.s.
m. Centrifugal multiplane balancing machines, n.e.s.
n. Austenitic stainless-steel plate, valves, piping, tanks and
vessels.
C. ``Materials'' [Reserved]
D. ``Software''
2D001 ``Software'', other than that controlled by 2D002, as follows (See
list of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to ``software'' for equipment MT Column 1
controlled by 2B004 and 2B009 for MT
reasons.
NP applies to ``specially designed'' or NP Column 1
modified ``software'' for equipment
controlled by 2B001 for NP reasons, and
to ``specially designed'' ``software''
for equipment controlled by 2B004, 2B006,
2B007, or 2B009 for NP reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes, except N/A for MT
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'', other than that specified by ECCN 2D002, ``specially
designed'' for the ``development'' or ``production'' of equipment as
follows: ECCN 2B001 entire entry; or ``Numerically controlled'' or
manual machine tools as specified in 2B003 to any of the destinations
listed in Country Group A:6 (See Supplement No. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development'') and 2E101
(``use'') for technology for ``software'' controlled under this entry.
(2) Also see ECCNs 2D101 and 2D201.
Related Definitions: N/A
Items: a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'' of equipment controlled by 2A001 or
2B001 to 2B009;
b. ``Software'' ``specially designed'' or modified for the ``use''
of equipment specified by 2A001.c., 2B001, or 2B003 to 2B009.
Note: 2D001 does not apply to part programming ``software'' that
generates ``numerical control'' codes for machining various parts.
2D002 ``Software'' for electronic devices, even when residing in an
electronic device or system, enabling such devices or systems
to function as a ``numerical control'' unit, capable of
coordinating simultaneously more than 4 axes for ``contouring
control''.
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development'') and 2E201
(``use'') for technology for ``software'' controlled under this entry.
(2) Also see ECCN 2D202.
Related Definitions: N/A
Items:
Note 1: 2D002 does not control ``software'' ``specially designed''
or modified for the operation of items not specified by Category 2.
Note 2: 2D002 does not control ``software'' for items specified by
2B002. See 2D001 and 2D003 for ``software'' for items specified by
2B002.
Note 3: 2D002 does not apply to ``software'' that is exported with,
and the minimum necessary for the operation of, items not specified by
Category 2.
[[Page 465]]
The list of items controlled is contained in the ECCN heading.
2D003 ``Software'', designed or modified for the operation of equipment
specified by 2B002, that converts optical design, workpiece
measurements and material removal functions into ``numerical
control'' commands to achieve the desired workpiece form.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes.
List of Items Controlled
Related Controls: See ECCN 2E001 (``development'') for technology for
``software'' controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D018 ``Software'' for the ``development,'' ``production,'' or ``use''
of equipment controlled by 2B018.
No software is currently controlled under this entry. See ECCNs
0D501, 0D602, and 0D606 for software formerly controlled under this
entry.
2D101 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled by 2B104, 2B105, 2B109, 2B116, 2B117, or
2B119 to 2B122.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
NP applies to ``software'' ``specially NP Column 1.
designed'' for the use'' of items
controlled by 2B104, 2B109, or 2B116 for
NP reasons.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development'') and 2E101
(``use'') for technology for ``software'' controlled under this entry.
(2) Also see ECCN 9D004.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D201 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled by 2B204, 2B206, 2B207, 2B209, 2B227, or
2B229.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2E001 (``development'') and 2E201
(``use'') for technology for ``software'' controlled under this entry.
(2) Also see ECCNs 2D002 and 2D202.
Related Definitions: N/A
ECCN Controls: ``Software'' ``specially designed'' or modified for
systems controlled by 2B206.b includes ``software'' for simultaneous
measurements of wall thickness and contour.
Items: The list of items controlled is contained in the ECCN heading.
2D202 ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment
controlled by 2B201.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
ECCN Controls: ECCN 2D202 does not control part programming ``software''
that generates ``numerical control'' command codes, but does not allow
direct use of equipment for machining various parts.
Items: The list of items controlled is contained in the ECCN heading.
2D290 ``Software'' ``specially designed'' or modified for the
``development,'' ``production,'' or ``use'' of items
controlled by 2A290 or 2A291.
License Requirements
Reason for Control: NP, AT
[[Page 466]]
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 2E001 (``development'') for technology for
``software'' controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D351 Dedicated ``software'' for toxic gas monitors and monitoring
systems, and their dedicated detecting ``parts'' and
``components,'' controlled by ECCN 2B351.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: (1) For the purposes of this entry, the term
``dedicated'' means committed entirely to a single purpose or device.
(2) See Section 772.1 of the EAR for the definitions of ``software,''
``program,'' and ``microprogram.''
Items: The list of items controlled is contained in the ECCN heading.
2D352 ``Software'' designed for nucleic acid assemblers and synthesizers
controlled by 2B352.j that is capable of designing and
building functional genetic elements from digital sequence
data.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 1E001 for ``development'' or ``production
``technology'' for genetic elements controlled by ECCN 1C353.
Related Definitions: See Section 772.1 of the EAR for the definitions of
``software,'' ``program,'' and ``microprogram.''
Items: The list of items controlled is contained in the ECCN heading.
2D910 ``Software'', not specified elsewhere, ``specially designed'' or
modified for the ``development'' or ``production'' of
equipment specified in ECCN 2B910.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to entire entry................ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D983 ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment
controlled by 2A983.
License Requirements
Reason for Control:RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D984 ``Software'' ``required'' for the ``development'', ``production''
or ``use'' of concealed object detection equipment controlled
by 2A984.
[[Page 467]]
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) ``Software'' ``required'' for the ``development,''
``production'' or ``use'' of concealed object detection equipment
operating in the frequency range from 30 GHz to 3000 GHz and having a
spatial resolution less than 0.5 milliradian (a lower milliradian number
means a more accurate image resolution) at a standoff distance of 100
meters is ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
(2) ``Software'' ``required'' for the ``development'', ``production'' or
``use'' of concealed object detection equipment operating in the
frequency range from 30 GHz to 3000 GHz and having a spatial resolution
greater than 1 milliradian spatial resolution (a higher milliradian
number means a less accurate image resolution) at a standoff distance of
100 meters is designated as EAR99. (3) See ECCNs 2A984 and 2E984 for
related commodity and technology controls.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D991 ``Software'' ``specially designed'' for the ``development'',
``production'', or ``use'' of equipment controlled by 2B991,
2B993, or 2B996, 2B997, and 2B998.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D992 Specific ``software'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'' to provide ``adaptive control'' and having both
of the following characteristics:
a.1. For ``flexible manufacturing units'' (FMUs) which consist at
least of equipment described in b.1 and b.2 of the definition of
``flexible manufacturing unit'' contained in part 772 of the EAR; and
a.2. Capable of generating or modifying, in ``real-time
processing'', programs or data by using the signals obtained
simultaneously by means of at least two detection techniques, such as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement; and
a.2.g. Torque measurement.
Note: 2D992.a does not control ``software'' which only provides
rescheduling of functionally identical equipment within ``flexible
manufacturing units'' using pre-stored part programs and a pre-stored
strategy for the distribution of the part programs.
b. Reserved.
2D993 ``Software'' ``specially designed'' or modified for the
``development,'' ``production,'' or ``use'' of items
controlled by 2A992 or 2A993.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 2E001 (``development'') for ``technology''
for ``software'' controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2D994 ``Software'' ``specially designed'' for the ``development'' or
``production'' of
[[Page 468]]
portable electric generators controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for items
controlled by this entry to Iran and North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information on Iran. See Sec. 742.19 of the EAR for
additional information on North Korea.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. ``Technology''
2E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 2A
(except 2A983, 2A984, 2A991, or 2A994), 2B (except 2B991,
2B993, 2B996, 2B997, 2B998, or 2B999), or 2D (except 2D983,
2D984, 2D991, 2D992, or 2D994).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 2A001, 2B001 to 2B009,
2D001 or 2D002.
MT applies to ``technology'' for items MT Column 1.
controlled by 2B004, 2B009, 2B104, 2B105,
2B109, 2B116, 2B117, 2B119 to 2B122,
2D001, or 2D101 for MT reasons.
NP applies to ``technology'' for items NP Column 1.
controlled by 2A225, 2A226, 2B001, 2B004,
2B006, 2B007, 2B009, 2B104, 2B109, 2B116,
2B201, 2B204, 2B206, 2B207, 2B209, 2B225
to 2B233, 2D001, 2D002, 2D101, 2D201, or
2D202 for NP reasons.
NP applies to ``technology'' for items NP Column 2.
controlled by 2A290, 2A291, or 2D290 for
NP reasons.
CB applies to ``technology'' for equipment CB Column 2.
controlled by 2B350 to 2B352, valves
controlled by 2A226 having the
characteristics of those controlled by
2B350.g, and software controlled by 2D351
or 2D352.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for MT
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' of ``software'' specified in the License Exception STA
paragraph in the License Exception section of ECCN 2D001 or for the
``development'' of equipment as follows: ECCN 2B001 entire entry; or
``Numerically controlled'' or manual machine tools as specified in 2B003
to any of the destinations listed in Country Group A:6 (See Supplement
No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 2E101, 2E201, and 2E301
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note 1 to 2E001: ECCN 2E001 includes ``technology'' for the
integration of probe systems into coordinate measurement machines
specified by 2B006.a.
2E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 2A (except 2A983,
2A984, 2A991, or 2A994), or 2B (except 2B991, 2B993, 2B996,
2B997, 2B998, or 2B999).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for equipment NS Column 1
controlled by 2A001, 2B001 to 2B009.
MT applies to ``technology'' for equipment MT Column 1
controlled by 2B004, 2B009, 2B104, 2B105,
2B109, 2B116, 2B117, or 2B119 to 2B122
for MT reasons.
[[Page 469]]
NP applies to ``technology'' for equipment NP Column 1
controlled by 2A225, 2A226, 2B001, 2B004,
2B006, 2B007, 2B009, 2B104, 2B109, 2B116,
2B201, 2B204, 2B206, 2B207, 2B209, 2B225
to 2B233 for NP reasons.
NP applies to ``technology'' for equipment NP Column 2
controlled by 2A290 or 2A291 for NP
reasons.
CB applies to ``technology'' for equipment CB Column 2
Controlled by 2B350 to 2B352 and for
valves controlled by 2A226 having the
characteristics of those controlled by
2B350.g.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for MT
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``production'' of equipment as follows: ECCN 2B001 entire entry; or
``Numerically controlled'' or manual machine tools as specified in 2B003
to any of the destinations listed in Country Group A:6 (See Supplement
No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
2E003 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except 2E003.b, .e and .f
List of Items Controlled
Related Controls: (1) See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified for
densification of carbon-carbon composites, structural composite rocket
nozzles and reentry vehicle nose tips. (2) See 2E903 for ``technology'',
not specified elsewhere, for the ``development'' or ``production'' of
coating systems (as defined in 2E903).
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. 'Direct-acting hydraulic pressing';
b.2. [Reserved]
N.B.: For ``technology'' for metal-working manufacturing processes
for gas turbine engines and components, see 9E003 and USML Category XIX.
Technical Note: For the purposes of 2E003.b.1.c, 'direct-acting
hydraulic pressing' is a deformation process which uses a fluid-filled
flexible bladder in direct contact with the workpiece.
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ``Technology'' for the ``development'' of integration
``software'' for incorporation of expert systems for advanced decision
support of shop floor operations into ``numerical control'' units;
f. ``Technology'' for the application of inorganic overlay coatings
or inorganic surface modification coatings (specified in column 3 of the
following table) to non-electronic substrates (specified in column 2 of
the following table), by processes specified in column 1 of the
following table and defined in the Technical Note.
Category 2E--Materials Processing Table; Deposition Techniques
------------------------------------------------------------------------
1. Coating process (1) \1\ 2. Substrate 3. Resultant coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''..... Aluminides for
(CVD) internal passages
Ceramics (19) and Silicides Carbides
Low-expansion Dielectric layers
glasses (14). (15) Diamond
Diamond-like carbon
(17)
[[Page 470]]
Carbon-carbon, Silicides
Ceramic, and Metal Carbides
``matrix'' Refractory metals,
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten Mixtures
Silicon Carbide thereof (4)
(18). Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Diamond
Diamond-like carbon
(17)
Sensor window Dielectric layers
materials (9). (15)
Diamond
Diamond-like carbon
(17)
B. Thermal Evaportation
Physical Vapor
1. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed aluminides
Deposition (TE-PVD) (2)
Electron-Beam (EB-PVD). McrAlX (5)
Modified zirconia
(12) Silicides
Aluminides
Mixtures thereof (4)
Ceramics (19) and Dielectric layers
Low-expansion (15)
glasses (14).
Corrosion resistant MCrAIX (5)
steel (7). Modified zirconia
(12)
Mixtures thereof (4)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys (13) Borides
Nitrides
2. Ion assisted Ceramics (19) and Dielectric layers
resistive heating. Low-expansion (15)
Physical Vapor glasses (14). Diamond-like carbon
Deposition (PVD) (Ion (17)
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
3. Physical Vapor Ceramics (19) and Silicides
Deposition (PVD): Low-expansion Dielectric layers
``Laser'' Vaporization. glasses (14). (15)
Diamond-like carbon
(17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
4. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed Aluminides
Cathodic Arc Discharge. (2)
MCrAlX (5)
[[Page 471]]
Polymers (11) and Borides
Organic ``matrix'' Carbides
``composites''. Nitrides
Diamond-like carbon
(17)
C. Pack cementation (see A Carbon-carbon, Silicides
above for out-of-pack Ceramic and Metal Carbides
cementation) (10). ``matrix'' Mixtures thereof (4)
``composites''.
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
D. Plasma spraying.......... ``Superalloys''..... MCrAlX (5)
Modified zirconia
(12)
Mixtures thereof (4)
Abradable Nickel-
Graphite
Abradable materials
containing Ni-Cr-Al
Abradable
Al-Si-Polyester
Alloyed aluminides
(2)
Aluminum alloys (6). MCrAIX (5)
Modified zirconia
(12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8), Silicides
Carbides, Corrosion MCrAIX (5)
resistant steel (7). Modified zirconia
(12)
Mixtures thereof (4)
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides
(2)
Abradable, Nickel- Abradable materials
Graphite. containing Ni-Cr-Al
Abradable Al-Si-
Polyester
E. Slurry Deposition........ Refractory metals Fused silicides
and alloys (8). Fused aluminides
except for
resistance heating
elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof (4)
``composites''.
F. Sputter Deposition....... ``Superalloys''..... Alloyed silicides
Alloyed aluminides
(2)
Noble metal modified
aluminides (3)
McrAlX (5)
Modified zirconia
(12)
Platinum Mixtures
thereof (4)
Ceramics and Low- Silicides
expansion glasses Platinum
(14). Mixtures thereof (4)
Dielectric layers
(15)
Diamond-like carbon
(17)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''. Mixtures thereof (4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Boron nitride
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
[[Page 472]]
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium)
Titanium alloys (13) Borides
Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
\1\ The numbers in parenthesis refer to the Notes following this Table.
Notes to Table on Deposition Techniques 1. The term 'coating
process' includes coating repair and refurbishing as well as original
coating.
2. The term 'alloyed aluminide coating' includes single or multiple-
step coatings in which an element or elements are deposited prior to or
during application of the aluminide coating, even if these elements are
deposited by another coating process. It does not, however, include the
multiple use of single-step pack cementation processes to achieve
alloyed aluminides.
3. The term 'noble metal modified aluminide' coating includes
multiple-step coatings in which the noble metal or noble metals are laid
down by some other coating process prior to application of the aluminide
coating.
4. The term 'mixtures thereof' includes infiltrated material, graded
compositions, co-deposits and multilayer deposits and are obtained by
one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium, silicon,
tantalum in any amount or other intentional additions over 0.01% by
weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of
chromium, less than 7% by weight of aluminum and less than 2% by weight
of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of chromium,
10 to 12% by weight of aluminum and 0.5 to 0.7% by weight of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of chromium,
10 to 12% by weight of aluminum and 0.9 to 1.1% by weight of yttrium.
6. The term 'aluminum alloys' refers to alloys having an ultimate
tensile strength of 190 MPa or more measured at 293 K (20 [deg]C).
7. The term 'corrosion resistant steel' refers to AISI (American
Iron and Steel Institute) 300 series or equivalent national standard
steels.
8. 'Refractory metals and alloys' include the following metals and
their alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. 'Sensor window materials', as follows: alumina, silicon,
germanium, zinc sulfide, zinc selenide, gallium arsenide, diamond,
gallium phosphide, sapphire and the following metal halides: sensor
window materials of more than 40 mm diameter for zirconium fluoride and
hafnium fluoride.
10. Category 2 does not include ``technology'' for single-step pack
cementation of solid airfoils.
11. 'Polymers', as follows: Polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
12. 'Modified zirconia' refers to additions of other metal oxides,
(e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia
in order to stabilize certain crystallographic phases and phase
compositions. Thermal barrier coatings made of zirconia, modified with
calcia or magnesia by mixing or fusion, are not controlled.
13. 'Titanium alloys' refers only to aerospace alloys having an
ultimate tensile strength of 900 MPa or more measured at 293 K (20
[deg]C).
14. 'Low-expansion glasses' refers to glasses which have a
coefficient of thermal expansion of 1 x 10-7 K-1
or less measured at 293 K (20 [deg]C).
15. 'Dielectric layers' are coatings constructed of multi-layers of
insulator materials in which the interference properties of a design
composed of materials of various refractive indices are used to reflect,
transmit or absorb various wavelength bands. Dielectric layers refers to
more than four dielectric layers or dielectric/metal ``composite''
layers.
16. 'Cemented tungsten carbide' does not include cutting and forming
tool materials consisting of tungsten carbide/(cobalt, nickel), titanium
carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium
carbide/nickel.
17. ``Technology'' for depositing diamond-like carbon on any of the
following is not controlled:
[[Page 473]]
magnetic disk drives and heads, equipment for the manufacture of
disposables, valves for faucets, acoustic diaphragms for speakers,
engine parts for automobiles, cutting tools, punching-pressing dies,
office automation equipment, microphones, medical devices or molds, for
casting or molding of plastics, manufactured from alloys containing less
than 5% beryllium.
18. 'Silicon carbide' does not include cutting and forming tool
materials.
19. Ceramic substrates, as used in this entry, does not include
ceramic materials containing 5% by weight, or greater, clay or cement
content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques: Processes
specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or surface
modification coating process wherein a metal, alloy, ``composite'',
dielectric or ceramic is deposited upon a heated substrate. Gaseous
reactants are decomposed or combined in the vicinity of a substrate
resulting in the deposition of the desired elemental, alloy or compound
material on the substrate. Energy for this decomposition or chemical
reaction process may be provided by the heat of the substrate, a glow
discharge plasma, or ``laser'' irradiation.
Note 1: CVD includes the following processes: Directed gas flow out-
of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process are
produced using the same basic reactions and parameters as the pack
cementation process, except that the substrate to be coated is not in
contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less than
0.1 Pa wherein a source of thermal energy is used to vaporize the
coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a common
modification in this technique. The use of monitors to provide in-
process measurement of optical characteristics and thickness of coatings
can be a feature of these processes. Specific TE-PVD processes are as
follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate the
material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically resistive
heating sources in combination with impinging ion beam(s) to produce a
controlled and uniform flux of evaporated coating species;
3. ``Laser'' Vaporization uses either pulsed or continuous wave
``laser'' beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge established on
the surface by a momentary contact of a ground trigger. Controlled
motion of arcing erodes the cathode surface creating a highly ionized
plasma. The anode can be either a cone attached to the periphery of the
cathode, through an insulator, or the chamber. Substrate biasing is used
for non line-of-sight deposition;
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD process
in which a plasma or an ion source is used to ionize the species to be
deposited, and a negative bias is applied to the substrate in order to
facilitate the extraction of the species from the plasma. The
introduction of reactive species, evaporation of solids within the
process chamber, and the use of monitors to provide in-process
measurement of optical characteristics and thicknesses of coatings are
ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture (a
pack), that consists of:
1. The metallic powders that are to be deposited (usually aluminum,
chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note: The substrate and powder mixture is contained within a retort
which is heated to between 1,030 K (757 [deg]C) to 1,375 K (1,102
[deg]C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a substrate,
whereon an integrally bonded coating is formed. Plasma spraying
constitutes either low pressure plasma spraying or high velocity plasma
spraying. Note 1: Low pressure means less than ambient
atmospheric pressure.
Note 2: High velocity refers to nozzle-exit gas velocity exceeding
750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or overlay
coating process wherein a metallic or ceramic powder with an organic
binder is suspended in a liquid and is applied to a substrate by either
spraying, dipping or painting, subsequent air or oven drying, and heat
treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated by
an electric field towards the surface of a target (coating material).
The kinetic energy of the
[[Page 474]]
impacting ions is sufficient to cause target surface atoms to be
released and deposited on an appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating and
rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
g. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor deposition or
sputter deposition.
Accompanying Technical Information to Table on Deposition
Techniques:
1. Technical information for pretreatments of the substrates listed
in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion product or
foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance techniques
for evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the
coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. Technical information for quality assurance techniques for the
evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a
function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific coating
and surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
[[Page 475]]
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
2E018 ``Technology'' for the ``use'' of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to ``technology'' for equipment MT Column 1.
controlled by 2B018 for MT reasons.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
TSR: Yes.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2B004,
2B009, 2B104, 2B105, 2B109, 2B116, 2B117, 2B119 to 2B122,
2D001, 2D002 or 2D101.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to ``technology'' for items MT Column 1
controlled by 2B004, 2B009, 2B104, 2B105,
2B109, 2B116, 2B117, 2B119 to 2B122,
2D001, or 2D101 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 2B004, 2B009, 2B104, 2B109,
2B116, 2D001, 2D002 or 2D101 for NP
reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) This entry controls only ``technology'' for 2B009
and 2B109 for spin forming machines combining the functions of spin
forming and flow forming, and flow forming machines. (2) Also see 2E201.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2A225,
2A226, 2B001, 2B006, 2B007.b, 2B007.c, 2B201, 2B204, 2B206,
2B207, 2B209, 2B225 to 2B233, 2D002, 2D201 or 2D202 for NP
reasons.
License Requirements
Reason for Control: NP, CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
CB applies to ``technology'' for valves CB Column 2.
controlled by 2A226 that meet or exceed
the technical parameters in 2B350.g.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: Also see 2E290 and 2E991.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E290 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 2A290 or 2A291.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
[[Page 476]]
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E301 ``Technology'' according to the ``General Technology Note'' for
the ``use'' of items controlled by 2B350, 2B351 and 2B352.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CB applies to entire entry................ CB Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The lists of items controlled are contained in the ECCN headings.
2E903 ``Technology'', not specified elsewhere, for the ``development''
or ``production'' of `coating systems' having all of the
following: (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to entire entry................ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Designed to protect ceramic ``matrix'' ``composite'' materials
specified by ECCN 1C007 from corrosion; and
b. Designed to operate at temperatures exceeding 1,373.15 K (1,100
[deg]C).
Technical Note: For the purposes of 2E903, 'coating systems' consist
of one or more layers (e.g., bond, interlayer, top coat) of material
deposited on the substrate.
2E910 ``Technology'', not specified elsewhere, ``specially designed'' or
modified for the ``development'' or ``production'' of
equipment specified in ECCN 2B910.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to entire entry................ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E983 ``Technology'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment
controlled by 2A983, or the ``development'' of software
controlled by 2D983.
License Requirements
Reason for Control:RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E984 ``Technology'' ``required'' for the ``development'',
``production'' or ``use'' of
[[Page 477]]
equipment controlled by 2A984 or ``required'' for the
``development'' of ``software'' controlled by 2D984.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ RS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) ``Technology'' ``required'' for the
``development,'' ``production'' or ``use'' of concealed object detection
equipment operating in the frequency range from 30 GHz to 3000 GHz and
having a spatial resolution less than 0.5 milliradian (a lower
milliradian number means a more accurate image resolution) at a standoff
distance of 100 meters or ``required'' for the ``development'' of
``software'' ``required'' for the ``development,'' ``production'' or
``use'' of concealed object detection equipment operating in the
frequency range from 30 GHz to 3000 GHz and having a spatial resolution
less than 0.5 milliradian at a standoff distance of 100 meters is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' ``required'' for the ``development'', ``production'' or
``use'' of concealed object detection equipment operating in the
frequency range from 30 GHz to 3000 GHz and having a spatial resolution
greater than 1 milliradian spatial resolution (a higher milliradian
number means a less accurate image resolution) at a standoff distance of
100 meters or ``required'' for the ``development'' of ``software''
``required'' for the ``development'', ``production'' or ``use'' of
concealed object detection equipment operating in the frequency range
from 30 GHz to 3000 GHz and having a spatial resolution greater than 1
milliradian spatial resolution (a higher milliradian number means a less
accurate image resolution) at a standoff distance of 100 meters is
designated as EAR99. (3) See ECCNs 2A984 and 2D984 for related commodity
and software controls.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E991 ``Technology'' for the ``use'' of equipment controlled by 2B991,
2B993, 2B996, or 2B997.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E993 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 2A992 or 2A993.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E994 ``Technology'' for the ``use'' of portable electric generators
controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for items
controlled by this entry to Iran and North Korea for anti-terrorism
reasons. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information on Iran. See Sec. 742.19 of the EAR for
additional information on North Korea.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items Subject to the EAR That Are Not Elsewhere Specified in This
CCL Category or in Any Other Category in the CCL Are
Designated by the Number EAR99.
[[Page 478]]
Category 3--Electronics
A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,''
``Parts,'' ``Components,'' and ``Systems''
Note 1: The control status of equipment and ``components'' described
in 3A001(other than those described in 3A001.a.3 to 3A001.a.10,
3A001.a.12 to 3A001.a.14, 3A001.b.12, or 3A001.z), 3A002, 3A901, which
are ``specially designed'' for or which have the same functional
characteristics as other equipment is determined by the control status
of the other equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9, 3A001.a.12 to 3A001.a.14, 3A001.z or 3A901 that
are unalterably programmed or designed for a specific function for other
equipment is determined by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, or
3A001.a.12 to 3A001.a.14, 3A001.z and 3A901.
Note 3: The status of wafers (finished or unfinished), in which the
function has been determined, is to be evaluated against the parameters
of items in 3A.
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to ``Monolithic Microwave NS Column 1.
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications;
and 3A001.z.1.
NS applies to entire entry................ NS Column 2.
RS applies ``Monolithic Microwave RS Column 1.
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications;
and 3A001.z.1.
RS applies to 3A001.z..................... To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
MT applies to 3A001.a.1.a when usable in MT Column 1.
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54 [deg]C to above +125 [deg]C;
and 3A001.z.2.
NP applies to pulse discharge capacitors NP Column 1.
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively; and 3A001.z.3.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User authorizations.
License Requirements: See Sec. 744.17 of the EAR for additional license
requirements for microprocessors having a processing speed of 5 GFLOPS
or more and an arithmetic logic unit with an access width of 32 bit or
more, including those incorporating ``information security''
functionality, and associated ``software'' and ``technology'' for the
``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT, NP; N/A for ``Monolithic Microwave Integrated Circuit''
(``MMIC'') amplifiers in 3A001.b.2, discrete microwave transistors in
3A001.b.3, and 3A001.z.1, except those that are being exported or
reexported for use in civil telecommunications applications.
Yes for:
$1500: 3A001.c.
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for use in
civil telecommunications applications), b.9, .d, .e, .f, .g, and z.1
(exported or reexported for use in civil telecommunications
applications).
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled for
MT), b.2 (exported or reexported for use in civil telecommunications
applications), b.8 (except for ``vacuum electronic devices'' exceeding
18 GHz), b.9., b.10, .g, .h, .i, and z.1 (exported or reexported for use
in civil telecommunications applications).
[[Page 479]]
NAC/ACA: Yes, for 3A001.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3A001.z.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in 3A001.b.2
or b.3, except those that are being exported or reexported for use in
civil telecommunications applications, to any of the destinations listed
in Country Group A:5 or A:6 (See Supplement No. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain ``space-
qualified'' electronics and Category XI of the USML for certain ASICs,
'transmit/receive modules,' 'transmit modules,' or 'MMICs' ``subject to
the ITAR.'' (2) See also 3A090, 3A101, 3A201, 3A611, 3A901 for cryogenic
CMOS integrated circuits and parametric signal amplifiers or quantum
limited amplifiers not controlled by 3A001, 3A991, and 9A515.
Related Definitions: 'Microcircuit' means a device in which a number of
passive or active elements are considered as indivisibly associated on
or within a continuous structure to perform the function of a circuit.
For the purposes of integrated circuits in 3A001.a.1, 5 x 10\3\ Gy(Si) =
5 x 10\5\ Rads (Si); 5 x 10\6\ Gy (Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: Integrated circuits include the following types:
--``Monolithic integrated circuits'';
--``Hybrid integrated circuits'';
--``Multichip integrated circuits'';
--``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
--``Optical integrated circuits'';
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened to
withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of
5 x 10\13\ n/cm\2\ or higher on silicon, or its equivalent for other
materials;
Note: 3A001.a.1.c does not apply to Metal Insulator Semiconductors
(MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-digital
converters, integrated circuits that contain analog-to-digital
converters and store or process the digitized data, digital-to-analog
converters, electro-optical or ``optical integrated circuits'' designed
for ``signal processing'', field programmable logic devices, custom
integrated circuits for which either the function is unknown or the
control status of the equipment in which the integrated circuit will be
used in unknown, Fast Fourier Transform (FFT) processors, Static Random-
Access Memories (SRAMs), or 'non-volatile memories,' having any of the
following:
Technical Note: For the purposes of 3A001.a.2, 'non-volatile
memories' are memories with data retention over a period of time after a
power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K (-
55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature range
from 218 K (-55 [deg]C) to 398 K (+125 [deg]C);
N.B.: For cryogenic CMOS integrated circuits not specified by
3A001.a.2, see 3A901.a.
Note: 3A001.a.2 does not apply to integrated circuits designed for
civil automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from a
compound semiconductor and operating at a clock frequency exceeding 40
MHz;
Note: 3A001.a.3 includes digital signal processors, digital array
processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, with a
``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, with
a ``sample rate'' greater than 600 Mega Samples Per Second (MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, with
a ``sample rate'' greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, with
a ``sample rate'' greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
Technical Notes: For the purposes of 3A001.a.5.a:
1. A resolution of n bit corresponds to a quantization of 2n levels.
2. The resolution of the ADC is the number of bits of the digital
output that represents the measured analog input. Effective Number of
Bits (ENOB) is not used to determine the resolution of the ADC.
[[Page 480]]
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs'' that
are specified to have an interleaved mode of operation, the ``sample
rates'' are aggregated and the ``sample rate'' is the maximum combined
total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10-bit or more but less than 12-bit, with
an 'adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the
following:
a.5.b.2.a. An 'adjusted update rate' exceeding 1,250 MSPS but not
exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. A settling time less than 9 ns to arrive at or within
0.024% of full scale from a full scale step; or
a.5.b.2.a.2. A 'Spurious Free Dynamic Range' (SFDR) greater than 68
dBc (carrier) when synthesizing a full scale analog signal of 100 MHz or
the highest full scale analog signal frequency specified below 100 MHz;
or
a.5.b.2.b. An 'adjusted update rate' exceeding 3,500 MSPS;
Technical Notes: For the purposes of 3A001.a.5.b:
1. 'Spurious Free Dynamic Range' (SFDR) is defined as the ratio of
the RMS value of the carrier frequency (maximum signal component) at the
input of the DAC to the RMS value of the next largest noise or harmonic
distortion component at its output.
2. SFDR is determined directly from the specification table or from
the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. 'Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the 'adjusted update
rate' is the rate at which the digital signal is converted to an analog
signal and the output analog values are changed by the DAC. For DACs
where the interpolation mode may be bypassed (interpolation factor of
one), the DAC should be considered as a conventional (non-interpolating)
DAC.
b. For interpolating DACs (oversampling DACs), the 'adjusted update
rate' is defined as the DAC update rate divided by the smallest
interpolating factor. For interpolating DACs, the 'adjusted update rate'
may be referred to by different terms including:
input data rate
input word rate
input sample rate
maximum total input bus rate
maximum DAC clock rate for DAC clock input
a.6. Electro-optical and ``optical integrated circuits'', designed
for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element; and
a.6.c. Optical waveguides;
a.7. 'Field programmable logic devices' having any of the following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An 'aggregate one-way peak serial transceiver data rate' of
500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs);
--Field Programmable Gate Arrays (FPGAs);
--Field Programmable Logic Arrays (FPLAs);
--Field Programmable Interconnects (FPICs).
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes: For the purposes of 3A001.a.7:
1. Maximum number of digital input/outputs in 3A001.a.7.a is also
referred to as maximum user input/outputs or maximum available input/
outputs, whether the integrated circuit is packaged or bare die.
2. 'Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. [Reserved];
a.10. Custom integrated circuits for which the function is unknown,
or the control status of the equipment in which the integrated circuits
will be used is unknown to the manufacturer, having any of the
following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less than
0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input gates);
or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: For the purposes of 3A001.a.12, when N is equal to
1,024 points, the formula in 3A001.a.12 gives an execution time of 500
ms.
a.13. Direct Digital Synthesizer (DDS) integrated circuits having
any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of 3.5
GHz or more and a DAC resolution of 10 bit or more, but less than 12
bit; or
[[Page 481]]
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: For the purposes of 3A001.a.13, the DAC clock
frequency may be specified as the master clock frequency or the input
clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit, with
a ``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit, with
a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, with
a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit, with
a ``sample rate'' greater than 400 Mega Samples Per Second (MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes: For the purposes of 3A001.a.14:
1. A resolution of n bit corresponds to a quantization of 2n levels.
2. The resolution of the ADC is the number of bits of the digital
output of the ADC that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For integrated circuits with non- interleaving ``multiple channel
ADCs'', the ``sample rate'' is not aggregated and the ``sample rate'' is
the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved mode
of operation, the ``sample rates'' are aggregated and the ``sample
rate'' is the maximum combined total rate of all of the interleaved
channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: For the purposes of 3A001.b, the parameter peak
saturated power output may also be referred to on product data sheets as
output power, saturated power output, maximum power output, peak power
output, or peak envelope power output.
N.B.: For parametric signal amplifiers or Quantum-limited amplifiers
(QLAs) not specified by 3A001.b, see ECCN 3A901.b.
b.1. ``Vacuum electronic devices'' and cathodes, as follows:
Note 1: 3A001.b.1 does not control ``vacuum electronic devices''
designed or rated for operation in any frequency band and having all of
the following:
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications services,
but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified'' ``vacuum
electronic devices'' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and having
all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications services,
but not for radio-determination.
b.1.a. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding 2.5
kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one octave,
and average power (expressed in kW) times frequency (expressed in GHz)
of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less, and
average power (expressed in kW) times frequency (expressed in GHz) of
more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ``vacuum electronic devices'' with a
gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for ``vacuum electronic
devices,'' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. ``Vacuum electronic devices'' with the capability to operate
in a 'dual mode.'
Technical Note: For the purposes of 3A001.b.1.d, 'dual mode' means
the ``vacuum
[[Page 482]]
electronic device'' beam current can be intentionally changed between
continuous-wave and pulsed mode operation by use of a grid and produces
a peak pulse output power greater than the continuous-wave output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase shifter
see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up to
and including 6.8 GHz with a ``fractional bandwidth'' greater than 15%,
and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75 dBm)
at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4 dBm)
at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46 dBm) at
any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.2.a.4. A peak saturated power output greater than 20 W (43 dBm) at
any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up to
and including 16 GHz with a ``fractional bandwidth'' greater than 10%,
and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40 dBm) at
any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm) at
any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and
including 31.8 GHz, and with a ``fractional bandwidth'' of greater than
10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up to
and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and
including 43.5 GHz, and with a ``fractional bandwidth'' of greater than
10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to
and including 75 GHz, and with a ``fractional bandwidth'' of greater
than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and
including 90 GHz, and with a ``fractional bandwidth'' of greater than
5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency range,
as defined by 3A001.b.2.a through 3A001.b.2.h, is determined by the
lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for product
group A. Systems, Equipment, and Components mean that 3A001.b.2 does not
control ``MMICs'' if they are ``specially designed'' for other
applications, e.g., telecommunications, radar, automobiles.
b.3. Discrete microwave transistors that are any of the following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up to
and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56 dBm)
at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.3.a.4. A peak saturated power output greater than 60 W (47.78 dBm)
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up to
and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47 dBm) at
any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76 dBm)
at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46 dBm) at
any frequency exceeding 12 GHz up to and including 16 GHz; or
b.3.b.4. A peak saturated power output greater than 7 W (38.45 dBm)
at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to
and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and
including 43.5 GHz;
[[Page 483]]
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz; or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e and
rated for operation with a peak saturated power output greater than 5 W
(37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8
GHz;
Note 1: The control status of a transistor in 3A001.b.3.a through
3A001.b.3.e, whose rated operating frequency includes frequencies listed
in more than one frequency range, as defined by 3A001.b.3.a through
3A001.b.3.e, is determined by the lowest peak saturated power output
control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers, or
dice mounted in packages. Some discrete transistors may also be referred
to as power amplifiers, but the status of these discrete transistors is
determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of the
following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up to
and including 6.8 GHz with a ``fractional bandwidth'' greater than 15%,
and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57 dBm)
at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3 dBm)
at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53 dBm)
at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.4.a.4. A peak saturated power output greater than 90 W (49.54 dBm)
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up to
and including 31.8 GHz with a ``fractional bandwidth'' greater than 10%,
and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.45 dBm)
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47 dBm) at
any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77 dBm)
at any frequency exceeding 12 GHz up to and including 16 GHz; or
b.4.b.4. A peak saturated power output greater than 20 W (43 dBm) at
any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to
and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and
including 43.5 GHz, and with a ``fractional bandwidth'' of greater than
10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23 dBm)
at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with
a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13 dBm)
at any frequency exceeding 75 GHz up to and including 90 GHz, and with a
``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70 dBm)
at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For 'transmit/receive modules' and 'transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency range,
as defined by 3A001.b.4.a through 3A001.b.4.e, is determined by the
lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-stop
filters, having more than 5 tunable resonators capable of tuning across
a 1.5:1 frequency band (fmax/fmin) in less than 10
ms and having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center frequency;
or
b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal generators
as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm) anywhere
within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network analyzers
as follows:
b.7.c.1. Beyond 110 GHz;
[[Page 484]]
b.7.c.2. To an output power greater than 31.62 mW (15 dBm) anywhere
within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110 GHz;
or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing ``vacuum electronic
devices'' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU'' for
radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave ``vacuum electronic device,'' a ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') and an integrated electronic power
conditioner and having all of the following:
b.9.a. A 'turn-on time' from off to fully operational in less than
10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax 2fmin) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF output
power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: For the purposes of 3A001.b.9:
1. To calculate the volume in 3A001.b.9.b, the following example is
provided: for a maximum rated power of 20 W, the volume would be: 20 W x
10 cm\3\/W = 200 cm\3\.
2. The 'turn-on time' in 3A001.b.9.a refers to the time from fully-
off to fully operational, i.e., it includes the warm-up time of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better) than
- (126 + 20log10F - 20log10f) anywhere within the
range of 10 Hz <= F <= 10 kHz;
Technical Note: For the purposes of 3A001.b.10, F is the offset from
the operating frequency in Hz and f is the operating frequency in MHz.
b.11. 'Frequency synthesizer' ``electronic assemblies'' having a
``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [micro]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 31.8 GHz but
not exceeding 37 GHz;
b.11.e. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 37 GHz but not
exceeding 75 GHz;
b.11.f. Less than 100 [micro]s for any frequency change exceeding
5.0 GHz within the synthesized frequency range exceeding 75 GHz but not
exceeding 90 GHz; or
b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
Technical Note: For the purposes of 3A001.b.11, a 'frequency
synthesizer' is any kind of frequency source, regardless of the actual
technique used, providing a multiplicity of simultaneous or alternative
output frequencies, from one or more outputs, controlled by, derived
from or disciplined by a lesser number of standard (or master)
frequencies.
N.B.: For general purpose ``signal analyzers'', signal generators,
network analyzers and microwave test receivers, see 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
b.12. 'Transmit/receive modules,' 'transmit/receive MMICs,'
'transmit modules,' and 'transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts), Psat,
greater than 505.62 divided by the maximum operating frequency (in GHz)
squared [Psat505.62 W*GHz\2\/fGHz\2\]
for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any channel;
b.12.c. Any planar side with length d (in cm) equal to or less than
15 divided by the lowest operating frequency in GHz [d <= 15cm*GHz*N/
fGHz] where N is the number of transmit or transmit/receive
channels; and
b.12.d. An electronically variable phase shifter per channel;
Technical Notes: For the purposes of 3A001.b.12:
1. A 'transmit/receive module' is a multifunction ``electronic
assembly'' that provides bi-directional amplitude and phase control for
transmission and reception of signals.
2. A 'transmit module' is an ``electronic assembly'' that provides
amplitude and phase control for transmission of signals.
3. A 'transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission and
reception of signals.
4. A 'transmit MMIC' is a ``MMIC'' that provides amplitude and phase
control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.12.c for transmit/receive or
transmit
[[Page 485]]
modules that have a rated operation range extending downward to 2.7 GHz
and below [d<=15cm*GHz*N/2.7 GHz].
6. 3A001.b.12 applies to 'transmit/receive modules' or 'transmit
modules' with or without a heat sink. The value of d in 3A001.b.12.c
does not include any portion of the 'transmit/receive module' or
'transmit module' that functions as a heat sink.
7. 'Transmit/receive modules' or 'transmit modules,' 'transmit/
receive MMICs' or 'transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz
and having any of the following:
c.1.b.1. A 'frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth (time
in [micro]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [micro]s; or
c.1.c. A carrier frequency of 1 GHz or less and having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth (time
in [micro]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [micro]s; or
c.1.c.3. A 'frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: For the purposes of 3A001.c.1, 'frequency side-lobe
rejection' is the maximum rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and light
waves that permit the direct processing of signals or images, including
spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch filtering,
or resonating function.
d. Electronic devices and circuits containing ``components,''
manufactured from ``superconductive'' materials, ``specially designed''
for operation at temperatures below the ``critical temperature'' of at
least one of the ``superconductive'' constituents and having any of the
following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant circuits
with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. 'Cells' as follows:
e.1.a 'Primary cells' having any of the following at 20 [deg]C:
e.1.a.1. 'Energy density' exceeding 550 Wh/kg and a 'continuous
power density' exceeding 50 W/kg; or
e.1.a.2. 'Energy density' exceeding 50 Wh/kg and a 'continuous power
density' exceeding 350 W/kg;
e.1.b. 'Secondary cells' having an 'energy density' exceeding 350
Wh/kg at 20 [deg]C;
Technical Notes:
1. For the purposes of 3A001.e.1, 'energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal capacity
in ampere-hours (Ah) divided by the mass in kilograms. If the nominal
capacity is not stated, energy density is calculated from the nominal
voltage squared then multiplied by the discharge duration in hours
divided by the discharge load in Ohms and the mass in kilograms.
2. For the purposes of 3A001.e.1, a 'cell' is defined as an
electrochemical device, which has positive and negative electrodes, an
electrolyte, and is a source of electrical energy. It is the basic
building block of a battery.
3. For the purposes of 3A001.e.1.a, a 'primary cell' is a 'cell'
that is not designed to be charged by any other source.
4. For the purposes of 3A001.e.1.b, a 'secondary cell' is a 'cell'
that is designed to be charged by an external electrical source.
5. For the purposes of 3A001.e.1.a, 'continuous power density' (W/
kg) is calculated from the nominal voltage multiplied by the specified
maximum continuous discharge current in ampere (A) divided by the mass
in kilograms. 'Continuous power density' is also referred to as specific
power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz (single
shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
[[Page 486]]
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than 10,000;
e.3. ``Superconductive'' electromagnets and solenoids, ``specially
designed'' to be fully charged or discharged in less than one second and
having all of the following:
Note: 3A001.e.3 does not control ``superconductive'' electromagnets
or solenoids ``specially designed'' for Magnetic Resonance Imaging (MRI)
medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in the
first second;
e.3.b. Inner diameter of the current carrying windings of more than
250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or ``overall
current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,'' having a
minimum average efficiency exceeding 20% at an operating temperature of
301 K (28 [deg]C) under simulated 'AM0' illumination with an irradiance
of 1,367 Watts per square meter (W/m\2\);
Technical Note: For the purposes of 3A001.e.4, 'AM0', or 'Air Mass
Zero', refers to the spectral irradiance of sun light in the earth's
outer atmosphere when the distance between the earth and sun is one
astronomical unit (AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second of arc and
``specially designed'' encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and
'thyristor modules', using either electrically, optically, or electron
radiation controlled switch methods and having any of the following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000 V;
and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g does not control thyristor devices and 'thyristor
modules' incorporated into equipment designed for civil railway or
``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a 'thyristor module'
contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or 'modules',
having all of the following:
h.1. Rated for a maximum operating junction temperature greater than
488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage) exceeding
300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, 'modules' contain one
or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes drain
to source voltage, collector to emitter voltage, repetitive peak reverse
voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h does not apply to switches, diodes, or 'modules',
incorporated into equipment designed for civil automobile, civil
railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators, designed
for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less than
20 GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.1.a. A 'half-wave voltage' ('V[pi]') less than 2.7 V when measured
at a frequency of 1 GHz or below; or
i.1.b. A 'V[pi]' of less than 4 V when measured at a frequency of
more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20 GHz,
an optical insertion loss equal to or less than 3 dB and having any of
the following:
i.2.a. A 'V[pi]' less than 3.3 V when measured at a frequency of 1
GHz or below; or
i.2.b. A 'V[pi]' less than 5 V when measured at a frequency of more
than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical input
and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a 'half-wave voltage'
('V[pi]') is the applied voltage necessary to make a phase change of 180
degrees
[[Page 487]]
in the wavelength of light propagating through the optical modulator.
j. through y. [Reserved]
z. Any commodity described in 3A001 that meets or exceeds the
performance parameters in 3A090, as follows:
z.1. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers described in 3A001.b.2 and discrete microwave transistors in
3A001.b.3 that also meet or exceed the performance parameters in ECCN
3A090, except those 3A001.b.2 and b.3 items being exported or reexported
for use in civil telecommunications applications;
z.2. Commodities that are described in 3A001.a.1.a when usable in
``missiles'' that also meet or exceed the performance parameters in ECCN
3A090; and to 3A001.a.5.a when ``designed or modified'' for military
use, hermetically sealed and rated for operation in the temperature
range from below -54 [deg]C to above +125 [deg]C and that also meet or
exceed the performance parameters in ECCN 3A090;
z.3. Pulse discharge capacitors described in 3A001.e.2 and
superconducting solenoidal electromagnets in 3A001.e.3 that meet or
exceed the technical parameters in 3A201.a and 3A201.b, respectively and
that also meet or exceed the performance parameters in ECCN 3A090;
or
z.4. All other commodities specified in this ECCN that meet or
exceed the performance parameters of ECCN 3A090.
3A002 General purpose ``electronic assemblies,'' modules and equipment,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in 3A002.g.1
to any of the destinations listed in Country Group A:6 (See Supplement
No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of the USML for certain ``space-
qualified'' atomic frequency standards ``subject to the ITAR'' (see 22
CFR parts 120 through 130). See also 3A101, 3A992 and 9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see 3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained 'continuous throughput' of more than 6.4 Gbit/s
to disk or solid-state drive memory; and
a.6.b. ``Signal processing'' of the radio frequency signal data
while it is being recorded;
Technical Notes: For the purposes of 3A002.a.6:
1. For recorders with a parallel bus architecture, the 'continuous
throughput' rate is the highest word rate multiplied by the number of
bits in a word.
2. 'Continuous throughput' is the fastest data rate the instrument
can record to disk or solid-state drive memory without the loss of any
information while sustaining the input digital data rate or digitizer
conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical scale
setting that provides the lowest noise value for any input 3dB bandwidth
of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth (RBW)
exceeding 40 MHz anywhere within the frequency range exceeding 31.8 GHz
but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having a Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. 'Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [micro]s or less; or
c.4.b.2. A 'frequency mask trigger' function, with 100% probability
of trigger (capture) for signals having a duration of 15 [micro]s or
less;
[[Page 488]]
Technical Notes:
1. For the purposes of 3A002.c.4.a, 'real-time bandwidth' is the
widest frequency range for which the analyzer can continuously transform
time-domain data entirely into frequency-domain results, using a Fourier
or other discrete time transform that processes every incoming time
point, without a reduction of measured amplitude of more than 3 dB below
the actual signal amplitude caused by gaps or windowing effects, while
outputting or displaying the transformed data.
2. For the purposes of 3A002.c.4.b.1., probability of discovery is
also referred to as probability of intercept or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal duration
necessary for the specified level measurement uncertainty.
4. For the purposes of 3A002.c.4.b.2, a 'frequency mask trigger' is
a mechanism where the trigger function is able to select a frequency
range to be triggered on as a subset of the acquisition bandwidth while
ignoring other signals that may also be present within the same
acquisition bandwidth. A 'frequency mask trigger' may contain more than
one independent set of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers'' using
only constant percentage bandwidth filters (also known as octave or
fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of the
following, anywhere within the frequency range exceeding 31.8 GHz but
not exceeding 37 GHz:
d.1.a. 'Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within the
frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [micro]s for any frequency change exceeding 2.2
GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8
GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [micro]s for any frequency change exceeding 550
MHz within the frequency range exceeding 31.8 GHz but not exceeding 37
GHz;
d.3.e. Less than 100 [micro]s for any frequency change exceeding 2.2
GHz within the frequency range exceeding 37 GHz but not exceeding 75
GHz; or
d.3.f. [Reserved]
d.3.g. Less than 100 [micro]s for any frequency change exceeding 5.0
GHz within the frequency range exceeding 75 GHz but not exceeding 90
GHz.
d.4. A single sideband (SSB) phase noise, in dBc/Hz, specified as
being any of the following:
d.4.a. Less (better) than -(126 + 20 log10 F-
20log10f) for anywhere within the range of 10 Hz <= F <= 10
kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than -(206-20log10f) for anywhere
within the range of 10 kHz < F <= 100 kHz anywhere within the frequency
range exceeding 3.2 GHz but not exceeding 90 GHz;
Technical Note: For the purposes of 3A002.d.4, F is the offset from
the operating frequency in Hz and f is the operating frequency in MHz.
d.5. An 'RF modulation bandwidth' of digital baseband signals as
specified by any of the following:
d.5.a. Exceeding 2.2 GHz within the frequency range exceeding 4.8
GHz but not exceeding 31.8 GHz;
d.5.b. Exceeding 550 MHz within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz;
d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37 GHz
but not exceeding 75 GHz;
d.5.d. Exceeding 5.0 GHz within the frequency range exceeding 75 GHz
but not exceeding 90 GHz; or
Technical Note: For the purposes of 3A002.d.5, 'RF modulation
bandwidth' is the Radio Frequency (RF) bandwidth occupied by a digitally
encoded baseband signal modulated onto an RF signal. It is also referred
to as information bandwidth or vector modulation bandwidth. I/Q digital
modulation is the technical method for producing a vector-modulated RF
output signal, and that output signal is typically specified as having
an 'RF modulation bandwidth'.
d.6. A maximum frequency exceeding 90 GHz;
Note 1: For the purposes of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two or
more crystal oscillator frequencies, or by an addition or subtraction
followed by a multiplication of the result.
Technical Notes:
1. For the purposes of 3A002.d, the maximum frequency of an
arbitrary waveform or function generator is calculated by dividing the
sample rate, in samples/second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, 'pulse duration' is defined as
the time interval from the point on the leading edge that is 50% of the
pulse amplitude to the point on the trailing edge that is 50% of the
pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within the
operating frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
[[Page 489]]
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110 GHz;
e.3. 'Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: For the purposes of 3A002.e.3, 'nonlinear vector
measurement functionality' is an instrument's ability to analyze the
test results of devices driven into the large-signal domain or the non-
linear distortion range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x 10-11/
month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies,'' modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with a
``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit, with a
``sample rate'' greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit, with a
``sample rate'' greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with a
``sample rate'' greater than 400 Mega Samples Per Second (MSPS); or
h.1.e. A resolution of 16 bit or more with a ``sample rate'' greater
than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal analyzers,''
signal generators, network analyzers and microwave test receivers, are
specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d, 3A002.e and
3A002.f, respectively.
Technical Notes: For the purposes of 3A002.h:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the digital
output of the ADC that represents the measured analog input word.
Effective Number of Bits (ENOB) is not used to determine the resolution
of the ADC.
3. For non-interleaved multiple-channel ``electronic assemblies'',
modules, or equipment, the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For interleaved channels on multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are aggregated
and the ``sample rate'' is the maximum combined total rate of all the
interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient recorders.
3A003 Spray cooling thermal management systems employing closed loop
fluid handling and reconditioning equipment in a sealed
enclosure where a dielectric fluid is sprayed onto electronic
``components'' using ``specially designed'' spray nozzles that
are designed to maintain electronic ``components'' within
their operating temperature range, and ``specially designed''
``components'' therefore.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3A090 Integrated circuits as follows (see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry, except 3A090.c To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
[[Page 490]]
RS applies to 3A090.c..................... To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6)(i)(B) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
NAC/ACA: Yes, for 3A090.a, if the item is not designed or marketed for
use in datacenters and has a 'total processing performance' of 4800 or
more; yes, for 3A090.b, if the item is designed or marketed for use in
datacenters. N/A for 3A090.c.
HBM: Yes, for 3A090.c. See Sec. 740.25 of the EAR.
List of Items Controlled
Related Controls: (1) See ECCNs 3D001, 3E001, 5D002.z, and 5D992.z for
associated technology and software controls. (2) See ECCNs 3A001.z,
5A002.z, 5A004.z, and 5A992.z.
Related Definitions: N/A
Items:
a. Integrated circuits having one or more digital processing units
having either of the following:
a.1. A 'total processing performance' of 4800 or more, or
a.2. A 'total processing performance' of 1600 or more and a
'performance density' of 5.92 or more.
b. Integrated circuits having one or more digital processing units
having either of the following:
b.1. A 'total processing performance' of 2400 or more and less than
4800 and a 'performance density' of 1.6 or more and less than 5.92, or
b.2. A 'total processing performance' of 1600 or more and a
'performance density' of 3.2 or more and less than 5.92.
Note 1 to 3A090.a and 3A090.b: 3A090.a and 3A090.b do not apply to
items that are not designed or marketed for use in datacenters and do
not have a 'total processing performance' of 4800 or more. For 3A090.a
and 3A090.b items that are not designed or marketed for use in
datacenters and that have a 'total processing performance' of 4800 or
more, see license exceptions NAC and ACA.
Note 2 to 3A090.a and 3A090.b: Integrated circuits specified by
3A090 include graphical processing units (GPUs), tensor processing units
(TPUs), neural processors, in-memory processors, vision processors, text
processors, co-processors/accelerators, adaptive processors, field-
programmable logic devices (FPLDs), and application-specific integrated
circuits (ASICs). Examples of integrated circuits are in the Note to
3A001.a.
Note 3 to 3A090.a and 3A090.b: For integrated circuits (ICs) that
are excluded from ECCN 3A090 under Note 2 or 3 to 3A090, those ICs are
also not applicable for classifications made under ECCNs 3A001.z,
4A003.z, 4A004.z, 4A005.z, 4A090, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or
5D992.z because those other CCL classifications are based on the
incorporation of an integrated circuit (IC) that meets the control
parameters under ECCN 3A090 or otherwise meets or exceeds the control
parameters or ECCNs 3A090 or 4A090. The performance parameters under
ECCN 3A090.c are not used for determining whether an item is classified
in a .z ECCN. See the Related Controls paragraphs of ECCNs 3A001.z,
4A003.z, 4A004.z, 4A005.z, 4A090, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or
5D992.z.
Technical Notes to 3A090.a and 3A090.b: 1. 'Total processing
performance' ('TPP') is 2 x 'MacTOPS' x 'bit length of the operation',
aggregated over all processing units on the integrated circuit.
a. For purposes of 3A090, 'MacTOPS' is the theoretical peak number
of Tera (10\12\) operations per second for multiply-accumulate
computation (D = A x B + C).
b. The 2 in the 'TPP' formula is based on industry convention of
counting one multiply-accumulate computation, D = A x B + C, as 2
operations for purpose of datasheets. Therefore, 2 x MacTOPS may
correspond to the reported TOPS or FLOPS on a datasheet.
c. For purposes of 3A090, 'bit length of the operation' for a
multiply-accumulate computation is the largest bit-length of the inputs
to the multiply operation.
d. Aggregate the TPPs for each processing unit on the integrated
circuit to arrive at a total. 'TPP' = TPP1 + TPP2 + . . . . + TPPn
(where n is the number or processing units on the integrated circuit).
2. The rate of 'MacTOPS' is to be calculated at its maximum value
theoretically possible. The rate of 'MacTOPS' is assumed to be the
highest value the manufacturer claims in annual or brochure for the
integrated circuit. For example, the 'TPP' threshold of 4800 can be met
with 600 tera integer operations (or 2 x 300 'MacTOPS') at 8 bits or 300
tera FLOPS (or 2 x 150 'MacTOPS') at 16 bits. If the integrated circuit
(IC) is designed for MAC computation with multiple bit lengths that
achieve different 'TPP' values, the highest 'TPP' value should be
evaluated against parameters in 3A090.
3. For integrated circuits specified by 3A090 that provide
processing of both sparse and dense matrices, the 'TPP' values are the
values for processing of dense matrices (e.g., without sparsity).
4. 'Performance density' is 'TPP' divided by 'applicable die area'.
For purposes of 3A090, 'applicable die area' is measured in millimeters
squared and includes all die area of logic dies
[[Page 491]]
manufactured with a process node that uses a non-planar transistor
architecture.
c. High bandwidth memory (HBM) having a 'memory bandwidth density'
greater than 2 gigabytes per second per square millimeter.
Technical note to 3A090.c: 'Memory bandwidth density' is the memory
bandwidth measured in gigabytes per second divided by the area of the
package or stack measured in square millimeters. In the case where a
stack is contained in a package, use the memory bandwidth of the
packaged device and the area of the package. High bandwidth memory (HBM)
includes dynamic random access memory integrated circuits, regardless of
whether they conform to the JEDEC standards for high bandwidth memory,
provided they have a 'memory bandwidth density' greater than 2 gigabytes
per second per square millimeter. This control does not cover co-
packaged integrated circuits with both HBM and logic integrated circuit
where the dominant function of the co-packaged integrated circuit is
processing. It does include HBM permanently affixed to a logic
integrated circuit designed as a control interface and incorporating a
physical layer (PHY) function.
3A101 Electronic equipment, devices, ``parts'' and ``components,'' other
than those controlled by 3A001, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also ECCN 3A002.h for controls on analog-to-
digital ``electronic assemblies,'' modules or equipment.
Related Definitions: N/A
Items: a. Analog-to-digital converters usable in ``missiles,'' and
having any of the following characteristics:
a.1. ``Specially designed'' to meet military specifications for
ruggedized equipment;
a.2. ``Specially designed'' for military use and being any of the
following types:
a.2.a. Analog-to-digital converter microcircuits which are
radiation-hardened or have all of the following characteristics:
a.2.a.1. Rated for operation in the temperature range from below -54
[deg]C to above +125 [deg]C; and
a.2.a.2. Hermetically sealed; or
a.2.b. Electrical input type analog-to-digital converter printed
circuit boards or modules, having all of the following characteristics:
a.2.b.1. Rated for operation in the temperature range from below -45
[deg]C to above +80 [deg]C; and
a.2.b.2. Incorporating microcircuits identified in 3A101.a.2 .a;
b. Accelerators capable of delivering electromagnetic radiation
produced by bremsstrahlung from accelerated electrons of 2 MeV or
greater, and systems containing those accelerators, usable for the
``missiles'' or the subsystems of ``missiles''.
Note: 3A101.b above does not include equipment ``specially
designed'' for medical purposes.
3A201 Electronic ``parts'' and ``components,'' other than those
controlled by 3A001, as follows (see List of Items
Controlled).
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (2) Also see 3A001.e.2 (capacitors) and 3A001.e.3
(superconducting electromagnets). (3) Superconducting electromagnets
``specially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Pulse discharge capacitors having either of the following sets
of characteristics:
a.1. Voltage rating greater than 1.4 kV, energy storage greater than
10 J, capacitance greater than 0.5 [micro]F, and series inductance less
than 50 nH; or
a.2. Voltage rating greater than 750 V, capacitance greater than
0.25 [micro]F, and series inductance less than 10 nH;
b. Superconducting solenoidal electromagnets having all of the
following characteristics:
b.1. Capable of creating magnetic fields greater than 2 T;
b.2. A ratio of length to inner diameter greater than 2;
b.3. Inner diameter greater than 300 mm; and
b.4. Magnetic field uniform to better than 1% over the central 50%
of the inner volume;
Note: 3A201.b does not control magnets ``specially designed'' for
and exported ``as parts of'' medical nuclear magnetic resonance (NMR)
imaging systems. The phrase ``as part of'' does not
[[Page 492]]
necessarily mean physical part in the same shipment; separate shipments
from different sources are allowed, provided the related export
documents clearly specify that the shipments are dispatched ``as part
of'' the imaging systems.
c. Flash X-ray generators or pulsed electron accelerators having
either of the following sets of characteristics:
c.1. An accelerator peak electron energy of 500 keV or greater, but
less than 25 MeV, and with a ``figure of merit'' (K) of 0.25 or greater;
or
c.2. An accelerator peak electron energy of 25 MeV or greater, and a
``peak power'' greater than 50 MW;
Note: 3A201.c does not control accelerators that are ``parts'' or
``components'' of devices designed for purposes other than electron beam
or X-ray radiation (electron microscopy, for example) nor those designed
for medical purposes.
Technical Notes: (1) The ``figure of merit'' K is defined as: K =
1.7 x 10\3\V \2.65\Q. V is the peak electron energy in million electron
volts. If the accelerator beam pulse duration is less than or equal to 1
[micro]s, then Q is the total accelerated charge in Coulombs. If the
accelerator beam pulse duration is greater than 1 [micro]s, then Q is
the maximum accelerated charge in 1 [micro]s. Q equals the intergral of
i with respect to t, over the lesser of 1 [micro]s or the time duration
of the beam pulse Q= [int] idt), where i is beam current in amperes and
t is time in seconds.
(2) ``Peak power'' = (peak potential in volts) x (peak beam current
in amperes).
(3) In machines based on microwave accelerating cavities, the time
duration of the beam pulse is the lesser of 1 [micro]s or the duration
of the bunched beam packet resulting from one microwave modulator pulse.
(4) In machines based on microwave accelerating cavities, the peak
beam current is the average current in the time duration of a bunched
beam packet.
3A225 Frequency changers (a.k.a. converters or inverters) and
generators, except those subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR
part 110), that are usable as a variable frequency or fixed
frequency motor drive and have all of the characteristics
described in this ECCN (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 3D201 for ``software'' ``specially
designed'' for the ``use'' of equipment described in this entry. (2) See
ECCN 3D202 for ``software'' ``specially designed'' to enhance or release
the performance characteristics of frequency changers or generators to
meet or exceed the level of the performance characteristics described in
this entry. (3) See ECCNs 3E001 (``development'' and ``production'') and
3E201 (``use'') for ``technology'' for items controlled under this
entry. (4) Frequency changers (a.k.a. converters or inverters)
``specially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Multiphase output providing a power of 40 VA or greater;
b. Operating at a frequency of 600 Hz or more; and
c. Frequency control better (less) than 0.2%.
Notes: 1. This ECCN controls frequency changers intended for use in
specific industrial machinery and/or consumer goods (machine tools,
vehicles, etc.) only if the frequency changers can meet the performance
characteristics described in this entry when removed from the machinery
and/or goods. This Note does not exclude from control under this entry
any frequency changer described herein that is the principal element of
a non-controlled item and can feasibly be removed or used for other
purposes.
2. To determine whether a particular frequency changer meets or
exceeds the performance characteristics described in this entry, both
hardware and ``software'' performance constraints must be considered.
Technical Notes: 1. Frequency changers controlled by this ECCN are
also known as converters or inverters.
2. The performance characteristics described in this ECCN also may
be met by certain equipment marketed as: Generators, electronic test
equipment, AC power supplies, variable speed motor drives, variable
speed drives (VSDs), variable frequency drives (VFDs), adjustable
frequency drives (AFDs), or adjustable speed drives (ASDs).
3A226 High-power direct current power supplies having both of the
following characteristics (see List of Items Controlled),
excluding items that are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Requirements
Reason for Control: NP, AT
[[Page 493]]
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (2) Also see ECCN 3A227. (3) Direct current power
supplies ``specially designed'' or prepared for use in separating
uranium isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Capable of continuously producing, over a time period of 8
hours, 100 V or greater with current output of 500 A or greater; and
b. Current or voltage stability better than 0.1% over a time period
of 8 hours.
3A227 High-voltage direct current power supplies, having both of the
following characteristics (see List of Items Controlled),
excluding items that are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (2) Also see ECCN 3A226. (3) Direct current power
supplies ``specially designed'' or prepared for use in separating
uranium isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Capable of continuously producing, over a time period of 8
hours, 20 kV or greater with current output of 1 A or greater; and
b. Current or voltage stability better than 0.1% over a time period
of 8 hours.
3A228 Switching devices, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry.
(2) Also see ECCN 3A991.k.
Related Definitions: N/A
Items: a. Cold-cathode tubes, whether gas filled or not, operating
similarly to a spark gap, having all of the following characteristics:
a.1. Containing three or more electrodes;
a.2. Anode peak voltage rating of 2.5 kV or more;
a.3. Anode peak current rating of 100 A or more; and
a.4. Anode delay time of 10 [micro]s or less.
Technical Note: 3A228.a includes gas krytron tubes and vacuum
sprytron tubes.
b. Triggered spark-gaps having both of the following
characteristics:
b.1. An anode delay time of 15 [micro]s or less; and
b.2. Rated for a peak current of 500 A or more.
c. Modules or assemblies with a fast switching function having all
of the following characteristics:
c.1. Anode peak voltage rating greater than 2 kV;
c.2. Anode peak current rating of 500 A or more; and
c.3. Turn-on time of 1 [micro]s or less.
3A229 Firing sets and equivalent high-current pulse generators for
detonators controlled by 3A232 (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT, foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
[[Page 494]]
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 and 1E001 (``development'' and
``production'') and 3E201 and 1E201 (``use'') for technology for items
controlled under this entry. (2) See 1A007.a for explosive detonator
firing sets designed to drive explosive detonators controlled by
1A007.b. (3) High explosives and related equipment for military use are
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
ECCN Controls: (1) Optically driven firing sets include both those
employing laser initiation and laser charging. (2) Explosively driven
firing sets include booth explosive ferroelectric and explosive
ferromagnetic firing set types. (3) 3A229.b includes xenon flash-lamp
drivers.
Items:
a. Detonator firing sets (initiation systems, firesets), including
electronically-charged, explosively-driven and optically-driven firing
sets designed to drive multiple controlled detonators controlled by
3A232;
b. Modular electrical pulse generators (pulsers) having all of the
following characteristics:
b.1. Designed for portable, mobile, or ruggedized use;
b.2. Capable of delivering their energy in less than 15 [micro]s
into loads of less than 40 [Omega] (ohms);
b.3. Having an output greater than 100 A;
b.4. No dimension greater than 30 cm;
b.5. Weight less than 30 kg; and
b.6. Specified for use over an extended temperature range 223 K (-50
[deg]C) to 373 K (100 [deg]C) or specified as suitable for aerospace
applications.
c. Micro-firing units having all of the following characteristics:
c.1. No dimension greater than 35 mm;
c.2. Voltage rating of equal to or greater than 1 kV; and
c.3. Capacitance of equal to or greater than 100 nF.
3A230 High-speed pulse generators, and pulse heads therefor, having both
of the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (2) See ECCNs 3A002.d.1, 3A992.a and 3A999.d.
Related Definitions: 1. In 3A230.b, the term ``pulse transition time''
is defined as the time interval between 10% and 90% voltage amplitude.
2. Pulse heads are impulse forming networks designed to accept a voltage
step function and shape it into a variety of pulse forms that can
include rectangular, triangular, step, impulse, exponential, or
monocycle types. Pulse heads can be an integral part of the pulse
generator, they can be a plug-in module to the device or they can be an
externally connected device.
Items: a. Output voltage greater than 6 V into a resistive load of less
than 55 ohms; and
b. ``Pulse transition time'' less than 500 ps.
3A231 Neutron generator systems, including tubes, having both of the
characteristics described in this ECCN (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT, foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 3E001 (``development'' and ``production'')
and 3E201 (``use'') for technology for items controlled under this
entry.
Related Definitions: N/A
Items:
a. Designed for operation without an external vacuum system; and
b. Utilizing electrostatic acceleration to induce:
b.1. A tritium-deuterium nuclear reaction; or
b.2. A deuterium-deuterium nuclear reaction and capable of an output
of 3 x 10\9\ neutrons/s or greater.
3A232 Detonators and multipoint initiation systems, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: AT, RS, foreign policy
[[Page 495]]
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 0A604 and 1A007 for electrically driven
explosive detonators. (2) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (3) High explosives and related equipment for military
use are ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
ECCN Controls: This entry does not control detonators using only primary
explosives, such as lead azide.
Items:
a. [Reserved]
b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an explosive surface over an area greater
than 5,000 mm\2\ from a single firing signal with an initiation timing
spread over the surface of less than 2.5 [micro]s.
Technical Note: The word initiator is sometimes used in place of the
word detonator.
3A233 Mass spectrometers, capable of measuring ions of 230 u or greater
and having a resolution of better than 2 parts in 230, and ion
sources therefor, excluding items that are subject to the
export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items controlled
under this entry. (2) Mass spectrometers ``specially designed'' or
prepared for analyzing on-line samples of UF6 gas streams are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Inductively coupled plasma mass spectrometers (ICP/MS);
b. Glow discharge mass spectrometers (GDMS);
c. Thermal ionization mass spectrometers (TIMS);
d. Electron bombardment mass spectrometers having both of the
following features:
d.1. A molecular beam inlet system that injects a collimated beam of
analyte molecules into a region of the ion source where the molecules
are ionized by an electron beam; and
d.2. One or more cold traps that can be cooled to a temperature of
193 K (-80 [deg]C) or less in order to trap analyte molecules that are
not ionized by the electron beam;
e. Mass spectrometers equipped with a microfluorination ion source
designed for actinides or actinide fluorides.
Technical Notes:
1. ECCN 3A233.d controls mass spectrometers that are typically used
for isotopic analysis of UF6 gas samples.
2. Electron bombardment mass spectrometers in ECCN 3A233.d are also
known as electron impact mass spectrometers or electron ionization mass
spectrometers.
3. In ECCN 3A233.d.2, a ``cold trap'' is a device that traps gas
molecules by condensing or freezing them on cold surfaces. For the
purposes of this ECCN, a closed-loop gaseous helium cryogenic vacuum
pump is not a cold trap.
3A234 Striplines to provide low inductance path to detonators with the
following characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Voltage rating greater than 2 kV; and
b. Inductance of less than 20 nH.
3A611 Military electronics, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
[[Page 496]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 3A611.y. NS Column 1.
RS applies to entire entry except 3A611.y. RS Column 1.
RS applies to 3A611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7))
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 3A611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (see Part 740 for a Description of All
License Exceptions)
LVS: $1,500 for 3A611.a, .d through .h and .x; N/A for ECCN 3A611.c.
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 3A611.
List of Items Controlled
Related Controls: (1) Electronic items that are enumerated in USML
Category XI or other USML categories, and technical data (including
software) directly related thereto, are subject to the ITAR. (2)
Application specific integrated circuits (ASICs) and programmable logic
devices (PLD) that are programmed for defense articles that are subject
to the ITAR are controlled in USML Category XI(c)(1). (3) See ECCN
3A001.a.7 for controls on unprogrammed programmable logic devices (PLD).
(4) Printed circuit boards and populated circuit cards with a layout
that is ``specially designed'' for defense articles are controlled in
USML Category XI(c)(2). (5) Multichip modules for which the pattern or
layout is ``specially designed'' for defense articles are controlled in
USML Category XI(c)(3). (6) Electronic items ``specially designed'' for
military application that are not controlled in any USML category but
are within the scope of another ``600 series'' ECCN or a 9x515 ECCN are
controlled by that ``600 series'' ECCN or 9x515 ECCN. For example,
electronic components not enumerated on the USML or a ``600 series''
other than 3A611 that are ``specially designed'' for a military aircraft
controlled by USML Category VIII or ECCN 9A610 are controlled by the
catch-all control in ECCN 9A610.x. Electronic components not enumerated
on the USML or another ``600 series'' entry that are ``specially
designed'' for a military vehicle controlled by USML Category VII or
ECCN 0A606 are controlled by ECCN 0A606.x. Electronic components not
enumerated on the USML that are ``specially designed'' for a missile
controlled by USML Category IV are controlled by ECCN 9A604.(7) Certain
radiation-hardened microelectronic circuits are controlled by ECCN
9A515.d or 9A515.e, when ``specially designed'' for defense articles,
``600 series'' items, or items controlled by 9A515.
Related Definitions: N/A
Items:
a. Electronic ``equipment,'' ``end items,'' and ``systems''
``specially designed'' for a military application that are not
enumerated or otherwise described in either a USML category or another
``600 series'' ECCN.
Note to 3A611.a: ECCN 3A611.a includes any radar,
telecommunications, acoustic or computer equipment, end items, or
systems ``specially designed'' for military application that are not
enumerated or otherwise described in any USML category or controlled by
another ``600 series'' ECCN.
b.-d. [Reserved]
e. High frequency (HF) surface wave radar that maintains the
positional state of maritime surface or low altitude airborne objects of
interest in a received radar signal through time.
Note to 3A611.e: ECCN 3A611.e does not apply to systems, equipment,
and assemblies ``specially designed'' for marine traffic control.
f. Application specific integrated circuits (ASICs) and programmable
logic devices (PLD) that are not controlled by paragraph .y of this
entry and that are programmed for ``600 series'' items.
Note to paragraph .f: In this paragraph, the term 'application
specific integrated circuit' means an integrated circuit developed and
produced for a specific application or function regardless of number of
customers for which the integrated circuit is developed or produced.
g. Printed circuit boards and populated circuit card assemblies that
are not controlled by paragraph .y of this entry and for which the
layout is ``specially designed'' for ``600 series'' items.
h. Multichip modules that are not controlled by paragraph .y of this
entry and for which the pattern or layout is ``specially designed'' for
``600 series'' items.
i. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity controlled by this entry
or for an article controlled by USML Category XI, and not enumerated or
described in any USML category or in any paragraph other than the .x
paragraph of another 600 series ECCN or in paragraph .y of this entry.
Note 1 to ECCN 3A611.x: ECCN 3A611.x includes ``parts,''
``components,'' ``accessories,'' and ``attachments'' ``specially
designed'' for a radar, telecommunications, acoustic system or equipment
or computer ``specially designed'' for military application that are
neither controlled in any USML category nor controlled in any paragraph
other than the .x paragraph of another ``600 series'' ECCN.
[[Page 497]]
Note 2 to ECCN 3A611.x: ECCN 3A611.x controls ``parts'' and
``components'' ``specially designed'' for underwater sensors or
projectors controlled by USML Category XI(c)(12) containing single-
crystal lead magnesium niobate lead titanate (PMN-PT) based
piezoelectrics.
Note 3 to ECCN 3A611.x: ``Parts,'' ``components,'' ``accessories,''
and ``attachments'' subject to the EAR and within the scope of any 600
series .x entry that are of a type that are or would potentially be for
use in or with multiple platforms (e.g., military electronics, military
vehicles, and military aircraft) may be classified under 3A611.x.
y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity subject to
control in a ``600 series'' ECCN or a defense article and not elsewhere
specified in any paragraph other than the .y paragraph of a ``600
series'' ECCN or the USML as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefor:
y.1. Electrical connectors;
y.2. Electric fans;
y.3. Heat sinks;
y.4. Joy sticks;
y.5. Mica paper capacitors;
y.6. Microphones;
y.7. Potentiometers;
y.8. Rheostats;
y.9. Electric connector backshells;
y.10. Solenoids;
y.11. Speakers;
y.12. Trackballs;
y.13. Electric transformers;
y.14. Application specific integrated circuits (ASICs) and
programmable logic devices (PLD) that are programmed for commodities
controlled in the .y paragraph of any ``600 series'' ECCN;
y.15. Printed circuit boards and populated circuit card assemblies
for which the layout is ``specially designed'' for an item controlled by
the .y paragraph of any ``600 series'' ECCN;
y.16. Multichip modules for which the pattern or layout is
``specially designed'' for an item in the .y paragraph of a ``600
series'' ECCN;
y.17. Circuit breakers;
y.18. Ground fault circuit interrupters;
y.19. Electrical contacts;
y.20. Electrical guide pins;
y.21. Filtered and unfiltered mechanical switches;
y.22. Thumbwheels;
y.23. Fixed resistors;
y.24. Electrical jumpers;
y.25. Grounding straps;
y.26. Indicator dials;
y.27. Contactors;
y.28. Touchpads;
y.29. Mechanical caps;
y.30. Mechanical plugs;
y.31. Finger barriers;
y.32. Flip-guards;
y.33. Identification plates and nameplates;
y.34. Knobs;
y.35. Hydraulic, pneumatic, fuel and lubrication gauges.
Note to ECCN 3A611: When applying the ``specially designed''
definition to determine whether a printed circuit board, populated
circuit card assembly or multichip module is controlled by paragraph .g,
.h, .y.15 or .y.16 of this entry, the layout of the board or assembly
and the pattern and layout of the module are the only characteristics
that need be evaluated under the ``specially designed'' definition.
3A901 Electronic items, not specified by ECCN 3A001, as follows (see
List of Items Controlled).
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to entire entry................ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For related ``software'' see ECCN 3D901 and for
``technology'' see ECCN 3E901.
Related Definitions: N/A
Items:
a. Complementary Metal Oxide Semiconductor (CMOS) integrated
circuits, not specified by 3A001.a.2, designed to operate at an ambient
temperature equal to or less (better) than 4.5 K (-268.65 [deg]C).
Technical Note: For the purposes of 3A901.a, CMOS integrated
circuits are also referred to as cryogenic CMOS or cryo-CMOS.
b. Parametric signal amplifiers having all of the following:
b.1. Designed for operation at an ambient temperature below 1 K (-
272.15 [deg]C);
b.2. Designed for operation at any frequency from 2 GHz up to and
including 15 GHz; and
[[Page 498]]
b.3. A noise figure less (better) than 0.015 dB at any frequency
from 2 GHz up to and including 15 GHz at 1 K (-272.15 [deg]C).
Note: For the purposes of 3A901.b, parametric signal amplifiers
include Travelling Wave Parametric Amplifiers (TWPAs).
Technical Note: For the purposes of 3A901.b, parametric signal
amplifiers may also be referred to as Quantum-limited amplifiers (QLAs).
3A904 Cryogenic cooling systems and components, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 3E901 for related technology controls for
the ``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Systems rated to provide a cooling power greater than or equal to
600 [micro]W at or below a temperature of 0.1 K (-273.05 [deg]C) for a
period of greater than 48 hours;
b. Two-stage pulse tube cryocoolers rated to maintain a temperature
below 4 K (-269.15 [deg]C) and provide a cooling power greater than or
equal to 1.5 W at or below a temperature of 4.2 K (-268.95 [deg]C).
3A980 Voice print identification and analysis equipment and ``specially
designed'' ``components'' therefor, n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3A981 Polygraphs (except biomedical recorders designed for use in
medical facilities for monitoring biological and neurophysical
responses); fingerprint analyzers, cameras and equipment,
n.e.s.; automated fingerprint and identification retrieval
systems, n.e.s.; psychological stress analysis equipment;
electronic monitoring restraint devices; and ``specially
designed'' ``components'' and ``accessories'' therefor, n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 0A982 for other types of restraint devices.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note to ECCN 3A981. In this ECCN, electronic monitoring restraint
devices are devices used to record or report the location of confined
persons for law enforcement or penal reasons. The term does not include
devices that confine memory impaired patents to appropriate medical
facilities.
3A991 Electronic devices, and ``components'' not controlled by 3A001.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
[[Page 499]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) For associated ``software'' for commodities in
this ECCN, see 3D991 and for associated ``technology for commodities in
this ECCN, see 3E991. (2) See also ECCNs 5A002.z, 5A004.z, and 5A992.z.
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic
unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial communication
port that provides a direct external interconnection between parallel
``microprocessor microcircuits'' with a transfer rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories (EEPROMs)
with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other EEPROM
types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access time of
less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time of
less than 25 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with an
output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105
million words per second;
c.3. A resolution of more than 12 bit but equal to or less than 14
bit with an output rate greater than 10 million words per second; or
c.4. A resolution of more than 14 bit with an output rate greater
than 2.5 million words per second;
d. Field programmable logic devices having a maximum number of
single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated execution
time for a 1,024 point complex FFT of less than 1 ms;
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the integrated
circuits will be used is unknown to the manufacturer, having any of the
following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4 ns;
g. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, with any of the following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more; and
g.2.b. The product of the rated average output power (expressed in
kW) and the maximum operating frequency (expressed in GHz) of more than
0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an octave;
and
g.2.d. The product of the rated average output power (expressed in
kW) and the maximum operating frequency (expressed in GHz) of more than
0.4;
h. Flexible waveguides designed for use at frequencies exceeding 40
GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time in
microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds;
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less at
293 K (20 [deg]C);
j.2. Secondary cells having an energy density of 350 Wh/kg or less
at 293 K (20 [deg]C);
Note: 3A991.j does not control batteries, including single cell
batteries.
Technical Notes:
1. For the purposes of 3A991.j energy density (Wh/kg) is calculated
from the nominal voltage multiplied by the nominal capacity in ampere-
hours divided by the mass in kilograms. If the nominal capacity is not
stated, energy density is calculated from the nominal voltage squared
then multiplied by the discharge duration in hours divided by the
discharge load in Ohms and the mass in kilograms.
2. For the purposes of 3A991.j, a 'cell' is defined as an
electrochemical device, which has positive and negative electrodes, and
electrolyte, and is a source of electrical energy. It is the basic
building block of a battery.
[[Page 500]]
3. For the purposes of 3A991.j.1, a 'primary cell' is a 'cell' that
is not designed to be charged by any other source.
4. For the purposes of 3A991.j.2, a 'secondary cell' is a 'cell'
that is designed to be charged by an external electrical source.
k. ``Superconductive'' electromagnets or solenoids ``specially
designed'' to be fully charged or discharged in less than one minute,
having all of the following:
Note: 3A991.k does not control ``superconductive'' electromagnets or
solenoids designed for Magnetic Resonance Imaging (MRI) medical
equipment.
k.1. Maximum energy delivered during the discharge divided by the
duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more than
250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\;
l. Circuits or systems for electromagnetic energy storage,
containing ``components'' manufactured from ``superconductive''
materials ``specially designed'' for operation at temperatures below the
``critical temperature'' of at least one of their ``superconductive''
constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound semiconductor
having an equivalent gate count of more than 300 (2 input gates);
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar
panels, and solar arrays, which are ``space qualified'' and not
controlled by 3A001.e.4;
p. Integrated circuits, n.e.s., having any of the following:
p.1. A processing performance of 8 TOPS or more; or
p.2. An aggregate bidirectional transfer rate over all inputs and
outputs of 150 Gbyte/s or more to or from integrated circuits other than
volatile memories.
Technical Notes: For the purposes of 3A991.p:
1. This ECCN includes but is not limited to central processing units
(CPU), graphics processing units (GPU), tensor processing units (TPU),
neural processors, in-memory processors, vision processors, text
processors, co-processors/accelerators, adaptive processors, and field-
programmable logic devices (FPLDs).
2. TOPS is Tera Operations Per Second or 10\12\ Operations per
Second.
3. For purposes of 3A991.p, TOPS is 2 x 'MacTOPS' aggregated over
all processing units on the integrated circuit.
a. For purposes of 3A991.p, 'MacTOPS' is the theoretical peak number
of Tera (10[supcaret]12) operations per second for multiply-accumulate
computation (D = A x B + C).
b. The 2 in the formula is based on industry convention of counting
one multiply-accumulate computation, D = A x B + C, as 2 operations for
purpose of datasheets. Therefore, 2 x 'MacTOPS' may correspond to the
reported TOPS or FLOPS on a datasheet.
3A992 General purpose electronic equipment, not controlled by 3A002, as
Follows (See List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) no. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Pakistan or
transfer within Pakistan
for regional stability
reasons. The Commerce
Country Chart is not
designed to determine RS
license requirements for
this entry. See Sec.
742.6(a)(12) of the EAR for
additional information.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Electronic test equipment, n.e.s.
b. Digital instrumentation magnetic tape data recorders having any
of the following characteristics;
b.1. A maximum digital interface transfer rate exceeding 60 Mbit/s
and employing helical scan techniques;
b.2. A maximum digital interface transfer rate exceeding 120 Mbit/s
and employing fixed head techniques; or
b.3. ``Space qualified''.
c. Equipment, with a maximum digital interface transfer rate
exceeding 60 Mbit/s, designed to convert digital video magnetic tape
recorders for use as digital instrumentation data recorders.
d. Non-modular analog oscilloscopes having a bandwidth of 1 GHz or
greater.
e. Modular analog oscilloscope systems having either of the
following characteristics:
e.1. A mainframe with a bandwidth of 1 GHz or greater; or
e.2. Plug-in modules with an individual bandwidth of 4 GHz or
greater.
[[Page 501]]
f. Analog sampling oscilloscopes for the analysis of recurring
phenomena with an effective bandwidth greater than 4 GHz.
g. Digital oscilloscopes and transient recorders, using analog-to-
digital conversion techniques, capable of storing transients by
sequentially sampling single-shot inputs at successive intervals of less
than 1 ns (greater than 1 gigasample per second), digitizing to 8 bits
or greater resolution and storing 256 or more samples.
Note: This ECCN controls the following ``specially designed''
``parts'' and ``components'' for analog oscilloscopes:
1. Plug-in units;
2. External amplifiers;
3. Pre-amplifiers;
4. Sampling devices;
5. Cathode ray tubes.
3A999 Specific Processing Equipment, n.e.s., as Follows (See List of
Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Iraq or
Pakistan or transfer within
Iraq or Pakistan for
regional stability reasons.
The Commerce Country Chart
is not designed to
determine RS license
requirements for this
entry. See Sec. Sec.
742.6 and 746.3 of the EAR
for additional information.
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT license requirements for
this entry. See Sec.
742.19 of the EAR for
additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 3A225 (for frequency changers capable of
operating in the frequency range of 600 Hz and above), and 3A233. (2)
Certain auxiliary systems, equipment, ``parts'' and ``components'' for
isotope separation plants, made of or protected by UF6
resistant materials are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Frequency changers capable of operating in the frequency range
from 300 up to 600 Hz, n.e.s.
b. Mass spectrometers n.e.s.
c. All flash x-ray machines, and ``parts'' or ``components'' of
pulsed power systems designed thereof, including Marx generators, high
power pulse shaping networks, high voltage capacitors, and triggers.
d. Pulse amplifiers, n.e.s.
e. Electronic equipment for time delay generation or time interval
measurement, as follows:
e.1. Digital time delay generators with a resolution of 50
nanoseconds or less over time intervals of 1 microsecond or greater.
e.2. Multi-channel (three or more) or modular time interval meter
and chronometry equipment with resolution of 50 nanoseconds or less over
time intervals of 1 microsecond or greater.
f. Chromatography and spectrometry analytical instruments.
B. ``Test'', ``Inspection'' and ``Production Equipment''
3B001 Equipment for the manufacturing of semiconductor devices,
materials, or related equipment, as follows (see List of Items
Controlled) and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to 3B001.c.1.a, 3B001.c.1.c, Worldwide control. See Sec.
and 3B001.q. 742.4(a)(5) and (b)(10) of
the EAR.
RS applies to 3B001.c.1.a, 3B001.c.1.c, Worldwide control. See Sec.
and 3B001.q. 742.6(a)(10) and (b)(11)
of the EAR.
NS applies to 3B001.a.1 to a.3, b, e, f.2 NS Column 2.
to f.4, g to j.
NS applies to 3B001.a.4, c, d, f.1, f.5, k To or within Macau or a
to n, p.2, p.4, r. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to 3B001.a.4, c, d, f.1, f.5, k To or within Macau or a
to n, p.2, p.4, r. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6) of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500, except semiconductor manufacturing equipment specified in
3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, r.
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment using
gas sources), c.1.a (Equipment designed or
[[Page 502]]
modified for isotropic dry etching), c.1.c (Equipment designed or
modified for anisotropic dry etching), .e (automatic loading multi-
chamber central wafer handling systems only if connected to equipment
controlled by 3B001.a.3, or .f), .f (lithography equipment) and .q
(``EUV'' masks and reticles designed for integrated circuits, not
specified by 3B001.g, and having a mask ``substrate blank'' specified by
3B001.j).
IEC: Yes, for 3B001.c.1.a, c.1.c, and .q, see Sec. 740.2(a)(22) and
Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship 3B001.c.1.a, c.1.c,
and .q to any of the destinations listed in Country Group A:5 or A:6
(See supplement no. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 3B903 and 3B991. See ECCNs 3D001, 3D992,
3E001, and 3E992 for related ``software'' and ``technology'' controls.
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than 2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material having
two or more of the following elements: aluminum, gallium, indium,
arsenic, phosphorus, antimony, oxygen, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or solid
sources;
a.4. Equipment designed for epitaxial growth of silicon (Si) or
silicon germanium (SiGe), and having all of the following:
a.4.a. At least one preclean chamber designed to provide a surface
preparation means to clean the surface of the wafer; and
a.4.b. An epitaxial deposition chamber designed to operate at a
temperature equal to or below 958 K (685 [deg]C).
b. Semiconductor wafer fabrication equipment designed for ion
implantation and having any of the following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of 20
keV or more and a beam current of 10 mA or more for hydrogen, deuterium,
or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA or
more for high energy oxygen implant into a heated semiconductor material
``substrate''; or
b.5. Being designed and optimized to operate at beam energy of 20
keV or more and a beam current of 10mA or more for silicon implant into
a semiconductor material ``substrate'' heated to 600 [deg]C or greater;
c. Etch equipment.
c.1. Equipment designed for dry etching as follows:
c.1.a. Equipment designed or modified for isotropic dry etching,
having a largest 'silicon germanium-to-silicon (SiGe:Si) etch
selectivity' of greater than or equal to 100:1; or
c.1.b. [Reserved]
c.1.c. Equipment designed or modified for anisotropic dry etching,
having all of the following;
c.1.c.1. Radio Frequency (RF) power source(s) with at least one
pulsed RF output;
c.1.c.2. One or more fast gas switching valve(s) with switching time
less than 300 milliseconds; and
c.1.c.3. Electrostatic chuck with twenty or more individually
controllable variable temperature elements;
c.2. Equipment designed for wet chemical processing and having a
largest 'silicon germanium-to-silicon (SiGe:Si) etch selectivity' of
greater than or equal to 100:1;
c.3. Equipment designed for anisotropic dry etching having all of
following:
c.3.a Two or more RF independent sources;
c.3.b Two or more independent gas sources;
c.3.c 'Process uniformity tuning' for wafer thickness variation
compensation; and
c.3.d Through Silicon Via (TSV) reveal Endpoint Detection (EPD);
c.4. Equipment designed for Through Silicon Via (TSV) etch having
all of the following:
c.4.a. Silicon etch rate greater than 7 microns per minute;
c.4.b. Within wafer (WIW) etch depth non-uniformity of less than or
equal 2 percent; and
c.4.c. A Through Silicon Via (TSV) aspect ratio greater than or
equal to 10:1.
Note 1: 3B001.c includes etching by 'radicals', ions, sequential
reactions, or non-sequential reaction.
Note 2: 3B001.c.1.c includes etching using RF pulse excited plasma,
pulsed duty cycle excited plasma, pulsed voltage on electrodes modified
plasma, cyclic injection and purging of gases combined with a plasma,
plasma atomic layer etching, or plasma quasi-atomic layer etching.
Technical Notes: 1. For the purposes of 3B001.c, 'silicon germanium-
to-silicon (SiGe:Si) etch selectivity' is measured for a Ge
concentration of greater than or equal to 30%
(Si0.70Ge0.30).
2. For the purposes of 3B001.c Note 1 and 3B001.d.14, 'radical' is
defined as an atom, molecule, or ion that has an unpaired electron in an
open electron shell configuration.
3. For the purposes of 3B001.c.3, 'process uniformity tuning' is the
process of compensating for incoming wafer thickness variations after
grinding.
d. Semiconductor manufacturing deposition equipment, as follows:
[[Page 503]]
d.1. Equipment designed for cobalt (Co) electroplating or cobalt
electroless-plating deposition processes;
Note: 3B001.d.1 controls semiconductor wafer processing equipment.
d.2. Equipment designed for:
d.2.a. Chemical vapor deposition of cobalt (Co) fill metal; or
d.2.b. Selective bottom-up chemical vapor deposition of tungsten (W)
fill metal;
d.3. Semiconductor manufacturing equipment designed to fabricate a
metal contact by multistep processing within a single chamber by
performing all of the following:
d.3.a. Deposition of a tungsten layer, using an organometallic
compound, while maintaining the wafer substrate temperature greater than
100 [deg]C and less than 500 [deg]C; and
d.3.b. Surface treatment plasma process using hydrogen (H2),
hydrogen and nitrogen (H2+N2), or ammonia (NH3).
d.4. Equipment or systems designed for multistep processing in
multiple chambers or stations, as follows:
d.4.a. Equipment designed to fabricate a metal contact by performing
all of the following processes:
d.4.a.1. Surface treatment plasma process using hydrogen
(H2), including hydrogen and nitrogen (H2 +
N2) or ammonia (NH3), while maintaining the wafer
substrate at a temperature greater than 100 [deg]C and less than 500
[deg]C;
d.4.a.2. Surface treatment plasma process using oxygen
(O2) or ozone (O3), while maintaining the wafer
substrate at a temperature greater than 40 [deg]C and less than 500
[deg]C; and
d.4.a.3. Deposition of a tungsten (W) layer while maintaining the
wafer substrate temperature greater than 100 [deg]C and less than 500
[deg]C;
d.4.b. Equipment designed to fabricate a metal contact by performing
all of the following processes:
d.4.b.1 Surface treatment process using a remote plasma generator
and an ion filter; and
d.4.b.2. Deposition of a cobalt (Co) layer selectively onto copper
(Cu) using an organometallic compound;
Note: This control does not apply to equipment that is non-
selective.
d.4.c. Equipment designed to fabricate a metal contact by performing
all the following processes:
d.4.c.1. Deposition of a titanium nitride (TiN) or tungsten carbide
(WC) layer, using an organometallic compound, while maintaining the
wafer substrate at a temperature greater than 20 [deg]C and less than
500 [deg]C;
d.4.c.2. Deposition of a cobalt (Co) layer using a physical sputter
deposition technique and having a process pressure greater than 133.3
mPa and less than 13.33 Pa, while maintaining the wafer substrate at a
temperature below 500 [deg]C; and
d.4.c.3. Deposition of a cobalt (Co) layer using an organometallic
compound and having a process pressure greater than 133.3 Pa and less
than 13.33 kPa, while maintaining the wafer substrate at a temperature
greater than 20 [deg]C and less than 500 [deg]C;
d.4.d. Equipment designed to fabricate copper (Cu) interconnects by
performing all of the following processes:
d.4.d.1. Deposition of a cobalt (Co) or ruthenium (Ru) layer using
an organometallic compound and having a process pressure greater than
133.3 Pa and less than 13.33 kPa, while maintaining the wafer substrate
at a temperature greater than 20 [deg]C and less than 500 [deg]C; and
d.4.d.2. Deposition of a copper layer using a physical vapor
deposition technique and having a process pressure greater than 133.3
mPa and less than 13.33 Pa, while maintaining the wafer substrate at a
temperature below 500 [deg]C;
d.5. Equipment designed for plasma enhanced chemical vapor
deposition of carbon hard masks more than 2 um thick and with density of
greater than 1.7g/cc;
d.6. Atomic Layer Deposition (ALD) equipment designed for area
selective deposition of a barrier or liner using an organometallic
compound;
Note: 3B001.d.6 includes equipment capable of area selective
deposition of a barrier layer to enable fill metal contact to an
underlying electrical conductor without a barrier layer at the fill
metal via interface to an underlying electrical conductor.
d.7. Equipment designed for Atomic Layer Deposition (ALD) of
tungsten (W) to fill an entire interconnect or in a channel less than 40
nm wide, while maintaining the wafer substrate at a temperature less
than 500 [deg]C.
d.8. Equipment designed for Atomic Layer Deposition (ALD) of 'work
function metal' having all of the following:
d.8.a. More than one metal source of which one is designed for an
aluminum (Al) precursor;
d.8.b. Precursor vessel designed and enabled to operate at a
temperature greater than 30 [deg]C; and
d.8.c. Designed for depositing a 'work function metal' having all of
the following:
d.8.c.1. Deposition of titanium-aluminum carbide (TiAlC); and
d.8.c.2. Enabling a work function greater than 4.0 eV;
Technical Note: For the purposes of 3B001.d.8, 'work function metal'
is a material that controls the threshold voltage of a transistor.
d.9. Spatial Atomic Layer Deposition (ALD) equipment having a wafer
support platform that rotates around an axis having any of the
following:
d.9.a. A spatial plasma enhanced atomic layer deposition mode of
operation;
d.9.b. A plasma source; or
[[Page 504]]
d.9.c. A plasma shield or means to confine the plasma to the plasma
exposure process region;
d.10. Equipment designed for Atomic Layer Deposition (ALD) or
Chemical Vapor Deposition (CVD) of plasma enhanced of low fluorine
tungsten (FW) (fluorine (F) concentration less than 10\19\ atoms/cm\3\)
films;
d.11. [Reserved]
d.12. Equipment designed for depositing a metal layer, and having
any of the following:
d.12.a. Selective tungsten (W) growth without a barrier; or
d.12.b. Selective molybdenum (Mo) growth without a barrier;
d.13. Equipment designed for depositing a ruthenium layer (Ru) using
an organometallic compound, while maintaining the wafer substrate at a
temperature greater than 20 [deg]C and less than 500 [deg]C;
d.14. Equipment designed for deposition assisted by remotely
generated 'radicals', enabling the fabrication of a silicon (Si) and
carbon (C) containing film, and having all of the following properties
of the deposited film:
d.14.a. A dielectric constant (k) of less than 4.4;
d.14.b. In features with an aspect ratio greater than 5:1 with
lateral openings of less than 35 nm; and
d.14.c. A feature-to-feature pitch of less than 45 nm;
d.15. Equipment designed for void free plasma enhanced deposition of
a low-k dielectric layer in gaps between metal lines less than 25 nm and
having an aspect ratio greater than or equal to 1:1 with a less than 3.3
dielectric constant;
d.16. [Reserved]
d.17. Equipment designed for plasma enhanced chemical vapor
deposition (PECVD) or radical assisted chemical vapor deposition and UV
curing in a single platform of a dielectric film, while maintaining a
substrate temperature below 500 [deg]C, having all of the following:
d.17.a. A thickness of more than 6 nm and less than 20 nm on metal
features having less than 24 nm pitch and having an aspect ratio equal
to or greater than 1:1.8; and
d.17.b. A dielectric constant less than 3.0;
d.18. Equipment designed or modified for Atomic Layer Deposition
(ALD) of molybdenum (Mo), ruthenium (Ru), or combinations Mo or Ru, and
having all of the following:
d.18.a. A metal precursor source designed or modified to operate at
a temperature greater 75 [deg]C; and
d.18.b. A process chamber (module) using a reducing agent containing
hydrogen (H) at a pressure greater than or equal to 30 Torr (4 kPa).
Note: For the purposes of paragraph d.18.a, the metal precursor
source need not be integrated with the equipment. The metal precursor
could be delivered by an on-tool source or from a sub-fab source.
d.19. Deposition equipment having direct-liquid injection of more
than two metal precursors, designed or modified to deposit a conformal
dielectric film with a dielectric constant (K) greater than 40 in
features with aspect ratio greater than 200:1 in a single deposition
chamber.
d.20. Physical vapor deposition equipment having electromagnets for
ion flux guidance, and ``specially designed'' to deposit tungsten (W)
metal into features having an aspect ratio of 3:1 or greater.
e. Automatic loading multi-chamber central wafer handling systems
having all of the following:
e.1. Interfaces for wafer input and output, to which more than two
functionally different 'semiconductor process tools' controlled by
3B001.a, .b., .c, and .d are designed to be connected; and
e.2. Designed to form an integrated system in a vacuum environment
for 'sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes: 1. For the purposes of 3B001.e, 'semiconductor
process tools' refers to modular tools that provide physical processes
for semiconductor ``production'' that are functionally different, such
as deposition, implant or thermal processing.
2. For the purposes of 3B001.e, 'sequential multiple wafer
processing' means the capability to process each wafer in different
'semiconductor process tools', such as by transferring each wafer from
one tool to a second tool and on to a third tool with the automatic
loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or step
and scan (scanner) equipment for wafer processing using photo-optical or
X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. A light source wavelength equal to or longer than 193 nm and
having all of the following:
f.1.b.1. The capability to produce a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less; and
f.1.b.2. A maximum 'dedicated chuck overlay' value of less than or
equal to 1.50 nm;
Technical Notes: For the purposes of 3B001.f.1.b:
1. The 'Minimum Resolvable Feature size' (MRF) (i.e., resolution) is
calculated by the following formula:
[[Page 505]]
[GRAPHIC] [TIFF OMITTED] TR05DE24.008
where, for the purposes of 3B001.f.1.b, the K factor = 0.25 'MRF' is
also known as resolution.
2. 'Dedicated chuck overlay' is the alignment accuracy of a new
pattern to an existing pattern printed on a wafer by the same
lithographic system. 'Dedicated chuck overlay' is also known as single
machine overlay.
f.2. Imprint lithography equipment capable of production features of
45 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all of
the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than 65
nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean + 3
sigma) on the mask;
f.4. Equipment designed for device processing using direct writing
methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
f.5. Imprint lithography equipment having an overlay accuracy less
(better) than 1.5;
g. Masks and reticles, designed for integrated circuits controlled
by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a light
source wavelength less than 245 nm;
Note: 3B001.h does not control multi-layer masks with a phase shift
layer designed for the fabrication of memory devices not controlled by
3A001.
N.B.: For masks and reticles, ``specially designed'' for optical
sensors, see 6B002.
i. Imprint lithography templates designed for integrated circuits by
3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the following:
j.1. ``Specially designed'' for ``Extreme Ultraviolet'' (``EUV'')
lithography; and
j.2. Compliant with SEMI Standard P37;
k. Equipment designed for ion beam deposition or physical vapor
deposition of a multi-layer reflector for ``EUV'' masks;
l. ``EUV'' pellicles;
m. Equipment for manufacturing ``EUV'' pellicles;
n. Equipment designed for coating, depositing, baking, or developing
photoresist formulated for ``EUV'' lithography;
o. [Reserved]
p. Removal and cleaning equipment as follows:
p.1. [Reserved]
p.2. Single wafer wet cleaning equipment with surface modification
drying; or
p.3. [Reserved]
p.4. Equipment designed for single wafer cleaning using
supercritical CO2 or sublimation drying;
q. ``EUV'' masks and ``EUV'' reticles, designed for integrated
circuits, not specified by 3B001.g, and having a mask ``substrate
blank'' specified by 3B001.j; or
Technical Notes: For the purposes of 3B001.q, masks or reticles with
a mounted pellicle are considered masks and reticles.
r. Equipment designed for EUV 'pattern shaping.'
Technical Note: For the purposes of 3B001.r, 'pattern shaping' is a
deposition or removal process used to improve overall patterning by
reshaping or trimming patterns produced using EUV lithography with non-
vertical directed particles including ions, neutral particles, clusters,
radicals, or light.
3B002 Test or inspection equipment ``specially designed'' for testing or
inspecting finished or unfinished semiconductor devices as
follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to 3B002.a and b............... NS Column 2.
[[Page 506]]
NS applies to 3B002.c..................... To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to 3B002.c..................... To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6) of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500, except semiconductor manufacturing equipment specified in
3B002.c.
GBS: Yes
List of Items Controlled
Related Controls: See also 3A999.a, 3B992, and 3B993.
Related Definitions: N/A
Items:
a. For testing S-parameters of items specified by 3A001.b.3.
b. For testing microwave integrated circuits controlled by
3A001.b.2.
c. Inspection equipment designed for ``EUV'' mask blanks or ``EUV''
patterned masks.
3B611 Test, inspection, and production commodities for military
electronics, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (see Part 740 for a description of all
license exceptions)
LVS: $1500.
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 3B611.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Test, inspection, and production end items and equipment
``specially designed'' for the ``development,'' ``production,'' repair,
overhaul or refurbishing of items controlled in ECCN 3A611 (except
3A611.y) or USML Category XI that are not enumerated in USML Category XI
or controlled by another ``600 series'' ECCN.
b. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and ``attachments''
that are ``specially designed'' for a commodity listed in this entry and
that are not enumerated on the USML or controlled by another ``600
series'' ECCN.
3B903 Scanning Electron Microscope (SEM) equipment designed for imaging
semiconductor devices or integrated circuits, having all of
the following (See List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCNs 3D901 for related ``development'' or
``production'' ``software'', ECCN 3E901 for related ``development'' and
``production'' ``technology''.
Related Definition: N/A
Items:
a. Stage placement accuracy less (better) than 30 nm;
b. Stage positioning measurement performed using laser
interferometry;
c. Position calibration within a field-of-view (FOV) based on laser
interferometer length-scale measurement;
d. Collection and storage of images having more than 2 x 10\8\
pixels;
e. FOV overlap of less than 5 percent in vertical and horizontal
directions;
f. Stitching overlap of FOV less than 50 nm; and
g. Accelerating voltage more than 21 kV.
Note 1: 3B903 includes SEM equipment designed for chip design
recovery.
[[Page 507]]
Note 2: 3B903 does not apply to SEM equipment designed to accept a
Semiconductor Equipment and Materials International (SEMI) standard
wafer carrier, such as a 200 mm or larger Front Opening Unified Pod
(FOUP).
3B904 Cryogenic wafer probing ``equipment'', having all of the following
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 3E901 for related technology controls for the
``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Designed to test devices at temperatures less than or equal to
4.5 K (-268.65 [deg]C); and
b. Designed to accommodate wafer diameters greater than or equal to
100 mm.
3B991 Equipment not controlled by 3B001, 3B993, or 3B994, for the
manufacture of electronic ``parts,'' ``components,'' and
materials, and ``specially designed'' ``parts,''
``components,'' and ``accessories'' therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: 'Sputtering' is an overlay coating process wherein
positively charged ions are accelerated by an electric field towards the
surface of a target (coating material). The kinetic energy of the
impacting ions is sufficient to cause target surface atoms to be
released and deposited on the substrate. Note: Triode, magnetron or
radio frequency sputtering to increase adhesion of coating and rate of
deposition are ordinary modifications of the process.
Items:
a. Equipment ``specially designed'' for the manufacture of electron
tubes, optical elements, and ``specially designed'' ``parts'' and
``components'' therefor controlled by 3A001 or 3A991;
b. Equipment ``specially designed'' for the manufacture of
semiconductor devices, integrated circuits and ``electronic
assemblies,'' as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use in
the manufacture of other devices, such as imaging devices, electro-
optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the manufacture
of devices, ``parts,'' and ``components'' as specified in the heading of
3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace liners,
paddles, boats (except ``specially designed'' caged boats), bubblers,
cassettes or crucibles ``specially designed'' for the processing
equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and materials
controlled by 3C001;
b.1.b. Equipment ``specially designed'' for purifying or processing
III/V and II/VI semiconductor materials controlled by ECCNs 3C001,
3C002, 3C003, 3C004, or 3C005 except crystal pullers, for which see
3B991.b.1.c below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than constant
temperature furnaces employing high rates of energy transfer capable of
processing wafers at a rate exceeding 0.005 m\2\ per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having any of
the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 10\5\ Pa;
or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100
mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial growth
having any of the following characteristics:
[[Page 508]]
b.1.d.1. Capable of producing silicon layer with a thickness uniform
to less than 2.5% across a distance of 200 mm or
more;
b.1.d.2. Capable of producing a layer of any material other than
silicon with a thickness uniformity across the wafer of equal to or
better than 3.5%; or
b.1.d.3. Rotation of individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced 'sputtering' equipment with ``specially
designed'' integral load locks capable of transferring wafers in an
isolated vacuum environment;
b.1.g. Equipment ``specially designed'' for ion implantation, ion-
enhanced, or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimized to operate at a beam energy (accelerating voltage)
of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (i.e., etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Note 1: ``Batch types'' refers to machines not ``specially
designed'' for production processing of single wafers. Such machines can
process two or more wafers simultaneously with common process parameters
(e.g., RF power, temperature, etch gas species, flow rates).
Note 2: ``Single wafer types'' refers to machines ``specially
designed'' for production processing of single wafers. These machines
may use automatic wafer handling techniques to load a single wafer into
the equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters (e.g.,
RF power or end point) can be independently determined for each
individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment (e.g., plasma-
enhanced CVD (PECVD) or photo-enhanced CVD) for semiconductor device
manufacturing, having either of the following capabilities, for
deposition of oxides, nitrides, metals, or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
10\5\ Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock wafer
handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems ``specially designed'' or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition systems
or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. ``Specially designed'' equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. ``Specially designed'' equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-sigma
value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and polishing
equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers ``specially designed'' to permit the
integration of any equipment controlled by 3B991 into a complete system;
b.1.m. ``Stored program controlled'' equipment using ``lasers'' for
the repair or trimming of ``monolithic integrated circuits'' with either
of the following characteristics:
b.1.m.1. Positioning accuracy less than 1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates,'' mask-making equipment and image
transfer equipment for the manufacture of devices, ``parts'' and
``components'' as specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well as
the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
[[Page 509]]
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer or
more; and
b.2.a.2.b. The design does not include special features to alter the
intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) coated
``substrates'' (e.g., glass, quartz, sapphire) for the preparation of
masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' ``specially designed'' for X-ray masks;
b.2.c. Equipment, other than general purpose computers, ``specially
designed'' for computer aided design (CAD) of semiconductor devices or
integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of producing
arrays larger than 100 mm x 100 mm, or capable of producing a single
exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or
capable of producing line widths of less than 2.5 micrometer in the
photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less than
2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st of January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the inspection of
masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance in
one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning electron
microscopes except when ``specially designed'' and instrumented for
automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using photo-
optical or X-ray methods (e.g., lithography equipment) including both
projection image transfer equipment and step and repeat (i.e., direct
step on wafer) or step and scan (scanner) equipment, capable of
performing any of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5 micrometer;
b.2.f.2. Alignment with a precision finer than 0.25 micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than 0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5 micrometer;
Note: For focused, deflected-beam systems(direct write systems), see
3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers capable
of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as follows:
b.3.a. ``Stored program controlled'' die bonders having all of the
following characteristics:
b.3.a.1. ``Specially designed'' for ``hybrid integrated circuits'';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; and
b.3.a.3. Placement accuracy in the X-Y plane of finer than 10 micrometer;
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the cap
is heated locally to a higher temperature than the body of the package,
``specially designed'' for ceramic microcircuit packages controlled by
3A001 and that have a throughput equal to or more than one package per
minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air environment
of 10 or less particles of 0.3 micrometer or smaller per 0.02832 m\3\
and filter materials therefor.
3B992 Equipment not controlled by 3B002, 3B993, or 3B994, for the
inspection or testing of electronic ``components'' and
materials, (see List of Items Controlled) and ``specially
designed'' ``parts,'' ``components'' and ``accessories''
therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
[[Page 510]]
GBS: N/A
List of Items Controlled
Related Controls: See also 3A992.a.
Related Definitions: N/A
Items:
a. Equipment ``specially designed'' for the inspection or testing of
electron tubes, optical elements and ``specially designed'' ``parts''
and ``components'' therefor controlled by 3A001 or 3A991;
b. Equipment ``specially designed'' for the inspection or testing of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B992.b also controls equipment used or modified for use in
the inspection or testing of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.
b.1. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6 micrometer
or less in or on processed wafers, ``substrates'', other than printed
circuit boards or chips, using optical image acquisition techniques for
pattern comparison;
Note: 3B992.b.1 does not control general purpose scanning electron
microscopes, except when ``specially designed'' and instrumented for
automatic pattern inspection.
b.2. ``specially designed'' ``stored program controlled'' measuring
and analysis equipment, as follows:
b.2.a. ``specially designed'' for the measurement of oxygen (O) or
carbon (C) content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of 1
micrometer or finer;
b.2.c. ``specially designed'' flatness measurement instruments
capable of measuring deviations from flatness of 10 micrometer or less
with a resolution of 1 micrometer or finer.
b.3. ``Stored program controlled'' wafer probing equipment having
any of the following characteristics:
b.3.a. Positioning accuracy finer than 3.5 micrometer;
b.3.b. Capable of testing devices having more than 68 terminals; or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. ``Stored program controlled'' equipment ``specially
designed'' for testing discrete semiconductor devices and unencapsulated
dice, capable of testing at frequencies exceeding 18 GHz;
Technical Note: Discrete semiconductor devices include photocells
and solar cells.
b.4.b. ``Stored program controlled'' equipment ``specially
designed'' for testing integrated circuits and ``electronic assemblies''
thereof, capable of functional testing:
b.4.b.1. At a 'pattern rate' exceeding 20 MHz; or
b.4.b.2. At a 'pattern rate' exceeding 10 MHz but not exceeding 20
MHz and capable of testing packages of more than 68 terminals.
Note: 3B992.b.4.b does not control test equipment ``specially
designed'' for testing:
1. memories;
2. ``Assemblies'' or a class of ``electronic assemblies'' for home
and entertainment applications; and
3. Electronic ``parts,'' ``components,'' ``assemblies'' and
integrated circuits not controlled by 3A001 or 3A991 provided such test
equipment does not incorporate computing facilities with ``user
accessible programmability.''
Technical Note: For purposes of 3B992.b.4.b, 'pattern rate' is
defined as the maximum frequency of digital operation of a tester. It is
therefore equivalent to the highest data rate that a tester can provide
in non-multiplexed mode. It is also referred to as test speed, maximum
digital frequency or maximum digital speed.
b.4.c. Equipment ``specially designed'' for determining the
performance of focal-plane arrays at wavelengths of more than 1,200 nm,
using ``stored program controlled'' measurements or computer aided
evaluation and having any of the following characteristics:
b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
b.4.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation transfer
function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating images
with more than 32 x 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV or
below, or ``laser'' beam systems, for non-contactive probing of powered-
up semiconductor devices having any of the following:
b.5.a. Stroboscopic capability with either beam blanking or detector
strobing;
b.5.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of
integrated circuits;
Note: 3B992.b.5 does not control scanning electron microscopes,
except when ``specially designed'' and instrumented for non-contactive
probing of a powered-up semiconductor device.
b.6. ``Stored program controlled'' multifunctional focused ion beam
systems ``specially designed'' for manufacturing, repairing, physical
layout analysis and testing of masks or semiconductor devices and having
either of the following characteristics:
b.6.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
[[Page 511]]
b.7. Particle measuring systems employing ``lasers'' designed for
measuring particle size and concentration in air having both of the
following characteristics:
b.7.a. Capable of measuring particle sizes of 0.2 micrometer or less
at a flow rate of 0.02832 m\3\ per minute or more; and
b.7.b. Capable of characterizing Class 10 clean air or better.
3B993 Specified semiconductor manufacturing equipment as follows (see
list of items controls).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 3D993 and 3E993 for associated
``software'' and ``technology'' controls. (2) For additional controls
that apply to this ECCN, see also Sec. 744.11(a)(2)(v) and Sec.
744.23(a)(4) of the EAR.
Related Definitions: N/A
Items:
a. [Reserved]
b. Semiconductor wafer fabrication equipment for 300 mm wafers
designed for ion implantation and having any of the following:
b.1. Equipment designed for plasma doping, having all of the
following:
b.1.a. One or more Radio Frequency (RF) power source(s);
b.1.b. One or more pulsed DC Power Source; and
b.1.c. One or more n-type or p-type dopant implants.
b.2 [Reserved]
c. Etch equipment as follows:
c.1. Equipment designed or modified for anisotropic etching of
dielectric materials and enabling the fabrication of high aspect ratio
features with aspect ratio greater than 30:1 and a lateral dimension on
the top surface of less than 100 nm, and having all of the following:
c.1.a. Radio Frequency (RF) power source(s) with at least one pulsed
RF output; and
c.1.b. One or more fast gas switching valve(s) with switching time
less than 300 milliseconds.
Note: 3B993.c.1 includes etching by 'radicals', ions, sequential
reactions, or non-sequential reaction.
Technical Note: For the purposes of the Note to 3B993.c.1, 'radical'
is defined as an atom, molecule, or ion that has an unpaired electron in
an open electron shell configuration.
c.2. Equipment, not specified by 3B993.c.1, designed for anisotropic
etching of dielectric material and enabling the fabrication of high
aspect ratio features having all of the following:
c.2.a. An aspect ratio greater than 30:1; and
c.2.b. A lateral dimension on the top surface of less than 40 nm.
Note: 3B993.c.2 does not apply to equipment designed for wafer
diameters less than 300 mm.
c.3. Equipment, not specified by 3B001.c.1.c, designed or modified
for anisotropic dry etching, having all of the following:
c.3.a. Radio Frequency (RF) power source(s) with at least one pulsed
RF output;
c.3.b. One or more fast gas switching valve(s) with switching time
less than 500 milliseconds; and
c.3.c. Electrostatic chuck with greater than or equal to 10
individually controllable variable temperature elements.
d. Semiconductor manufacturing deposition equipment as follows:
d.1. Equipment designed, not specified by 3B001.d.14, for deposition
assisted by remotely generated 'radicals', enabling the fabrication of a
silicon (Si) and carbon (C) containing film, and having all of the
following properties of the deposited film:
d.1.a. A dielectric constant (k) of less than 5.3;
d.1.b. In features with an aspect ratio greater than 5:1 with
lateral openings of less than 70 nm; and
d.1.c. A feature-to-feature pitch of less than 100 nm.
d.2. Equipment designed for deposition of a film, containing silicon
and carbon, and having a dielectric constant (k) of less than 5.3, into
lateral openings having widths of less than 70 nm and aspect ratios
greater than 5:1 (depth: width) and a feature-to-feature pitch of less
than 100 nm, while maintaining the wafer substrate at a temperature
greater than 400 [deg]C and less than 650 [deg]C, and having all of the
following:
d.2.a. Boat designed to hold multiple vertically stacked wafers;
d.2.b. Two or more vertical injectors; and
d.2.c. A silicon source and propene are introduced to a different
injector than a nitrogen source or an oxygen source.
d.3. Equipment designed for chemical vapor deposition of a carbon
material layer with a density more than 1.6 g/cm\3\.
d.4. Deposition equipment, not specified by 3B001.d.19, having
direct-liquid injection of more than two metal precursors, designed or
modified to deposit a conformal dielectric film with a dielectric
constant (K) greater than 35 in features with aspect ratio greater than
50:1 in a single deposition chamber.
e. [Reserved]
[[Page 512]]
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or step
and scan (scanner) lithography equipment for wafer processing using
photo-optical or X-ray methods and having all of the following:
f.1.a. [Reserved]
f.1.b. A light source wavelength equal to or longer than 193 nm and
having all of the following:
f.1.b.1 The capability to produce a pattern with a 'Minimum
Resolvable Feature size' ('MRF') of 45 nm or less; and
f.1.b.2. A maximum 'dedicated chuck overlay' value greater than 1.50
nm and less than or equal to 2.40 nm.
Technical Notes for paragraph 3B993.f.1: 1. The 'Minimum Resolvable
Feature size' ('MRF') is calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR05DE24.009
where, for the purposes of 3B993.f.1, the K factor = 0.25.
'MRF' is also known as resolution.
2. 'Dedicated chuck overlay' is the alignment accuracy of a new
pattern to an existing pattern printed on a wafer by the same
lithographic system. 'Dedicated chuck overlay' is also known as single
machine overlay.
f.2. Imprint lithography equipment having an overlay accuracy above
1.5 nm and less (better) than or equal to 4.0 nm.
f.3. Commodities designed or modified to increase the number of
wafers processed per hour, averaged over any time interval, by greater
than 1%, of equipment specified in 3B001.f.1 or 3B993.f.1.
g. through n. [Reserved]
o. Annealing equipment designed for 300 mm wafers as follows:
o.1 Annealing equipment, operating in a vacuum (equal to or less
than 0.01 Pa) environment, performing any of the following:
o.1.a. Reflow of copper (Cu) to minimize or eliminate voids or seams
in copper (Cu) metal interconnects; or
o.1.b. Reflow of cobalt (Co) or tungsten (W) fill metal to minimize
or eliminate voids or seams;
o.2. Equipment designed to heat a semiconductor wafer to a
temperature greater than 1000 [deg]C (1832 [deg]F) for a 'duration' less
than 2 ms.
Technical Note: For the purposes of 3B993.o.2, 'duration' is the
period above stated temperature.
p. Removal and cleaning equipment as follows:
p.1. Equipment designed for removing polymeric residue and copper
oxide (CuO) film and enabling deposition of copper (Cu) metal in a
vacuum (equal to or less than 0.01 Pa) environment.
p.2. [Reserved]
p.3. Equipment designed for dry surface oxide removal preclean or
dry surface decontamination.
Note to 3B993.p.1 and p.3: These controls do not apply to deposition
equipment.
q. Inspection and metrology equipment as follows:
q.1. Patterned wafer defect metrology or patterned wafer defect
inspection equipment, designed or modified to accept wafers greater than
or equal to 300 mm in diameter, and having all of the following:
q.1.a. Designed or modified to detect defects having a size equal to
or less than 21 nm; and
q.1.b. Having any of the following:
q.1.b.1. A light source with an optical wavelength less than 400 nm;
q.1.b.2. An electron-beam source with a resolution less (better)
than or equal to 1.65 nm;
q.1.b.3. A Cold Field Emission (CFE) electron-beam source; or
q.1.b.4. Two or more electron-beam sources.
q.2. Metrology equipment as follows:
q.2.a. Stand-alone equipment designed to measure wafer shape
parameters prior to lithography exposure and utilize measurements to
improve overlay or focus of a deep ultraviolet (DUV) lithography system
having an immersion lens having a numerical aperture more than 1.3 or an
Extreme Ultraviolet lithography (EUV) system; or
q.2.b. Metrology equipment designed to measure focus or overlay
after resist development or after etch on product wafers using image-
based overlay or diffraction-based measurements techniques, with an
overlay measurement accuracy less (better) than or equal to 0.5 nm
having any of the following:
q.2.b.1 designed for integration to a 'track'; or
q.2.b.2 'fast wavelength switching functionality';
[[Page 513]]
Technical Notes: 1. For the purposes of 3B993.q.2, a 'track' is
equipment designed for coating and developing photoresist formulated for
lithography.
2. For the purposes of 3B993.q.2, 'fast wavelength switching
functionality' is defined as having the ability the change the
measurement wavelength and acquire a measurement in less than 25 ms.
3B994 Semiconductor manufacturing equipment that enables ``advanced-node
integrated circuit'' production, as follows (see list of items
controls).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
commodities specified in this ECCN to any of the destinations listed in
Country Group A:5 or A:6 (See supplement no.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 3D994 and 3E994 for associated software
and technology controls. (2) For additional controls that apply to this
ECCN, see also Sec. 744.11(a)(2)(v) and Sec. 744.23(a)(4) of the EAR.
Related Definitions: N/A
Items:
Note for 3B994: Equipment specified in this ECCN 3B994 are limited
to equipment designed for volume production, such as equipment designed
to accept a SEMI standard wafer carrier such as a 200 mm or larger Front
Opening Unified Pod or be connected to a multi-chamber wafer handling
system.
a. [Reserved]
b. Semiconductor wafer fabrication equipment designed for ion
implantation of 300mm wafers as follows:
b.1. [Reserved]
b.2. Ion implantation equipment as follows:
b.2.a. Having all of the following:
b.2.a.1. Beam current greater than 1uA and less than 5mA; and
b.2.a.2. Beam energy greater than 5 keV and less than 300 keV; or
b.2.b. Having all of the following:
b.2.b.1. Beam current greater than 5 mA; and
b.2.b.2. Beam energy less than 5 keV; or
b.2.c. Having angular accuracy equal to or less (better) than 0.1
degrees.
c. through p. [Reserved]
q. Inspection and metrology equipment as follows:
q.1. and q.2. [Reserved]
q.3. Optical thin film metrology equipment or optical critical
dimension metrology equipment designed for 300mm wafers and containing
software designed for measuring non-planar transistors.
C. ``Materials''
3C001 Hetero-epitaxial materials consisting of a ``substrate'' having
stacked epitaxially grown multiple layers of any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control equipment or material
whose functionality has been unalterably disabled. (2) See also ECCNs
3C907 (Epitaxial materials), 3C908 (Fluorides, hydrides, chlorides, of
silicon or germanium), and 3C909 (Silicon, silicon oxides, germanium or
germanium oxides).
Related Definitions: N/A
Items:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon Carbide (SiC); or
d. ``III/V compounds'' of gallium or indium.
Note: 3C001.d does not apply to a ``substrate'' having one or more
P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs,
AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the
elements, except if the P-type epitaxial layer is between N-type layers.
e. Gallium Oxide (Ga2O3); or
f. Diamond.
N.B.: For materials having layers of isotopically enriched Silicon
or Germanium isotopes, see 3C907.
3C002 Resist materials as follows (see List of Items Controlled) and
``substrates'' coated with the following resists.
License Requirements
Reason for Control: NS, AT
[[Page 514]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes for 3C002.a provided that they are not also controlled by
3C002.b through .e.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Resists designed for semiconductor lithography as follows:
a.1. Positive resists adjusted (optimized) for use at wavelengths
less than 193 nm but equal to or greater than 15 nm;
a.2. Resists adjusted (optimized) for use at wavelengths less than
15 nm but greater than 1 nm;
b. All resists designed for use with electron beams or ion beams,
with a sensitivity of 0.01 [micro]coulomb/mm\2\ or better;
c. [Reserved]
d. All resists optimized for surface imaging technologies;
e. All resists designed or optimized for use with imprint
lithography equipment specified by 3B001.f.2 that use either a thermal
or photo-curable process.
3C003 Organo-inorganic compounds as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $3000
GBS: N/A
List of Items Controlled
Related Controls: This entry controls only compounds whose metallic,
partly metallic or non-metallic element is directly linked to carbon in
the organic part of the molecule.
Related Definition: N/A
Items: a. Organo-metallic compounds of aluminum, gallium or indium,
having a purity (metal basis) better than 99.999%;
b. Organo-arsenic, organo-antimony and organo-phosphorus compounds,
having a purity (inorganic element basis) better than 99.999%.
3C004 Hydrides of phosphorus, arsenic or antimony, having a purity
better than 99.999%, even diluted in inert gases or hydrogen.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $3000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: This entry does not control hydrides containing 20% molar or
more of inert gases or hydrogen.
3C005 High resistivity materials as follows (See List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
List of Items Controlled
Related Controls: See ECCN 3E001 for related development and production
technology, and ECCN 3B991.b.1.b for related production equipment.
Related Definition: N/A
Items:
a. Silicon Carbide (SiC), Gallium Nitride (GaN), Aluminum Nitride
(AlN), Aluminum Gallium Nitride (AlGaN), Gallium Oxide
(Ga2O3), or diamond semiconductor ``substrates'',
or ingots, boules, or other preforms of those materials, having
resistivities greater than 10,000 ohm-cm at 20 [deg]C;
b. Polycrystalline ``substrates'' or polycrystalline ceramic
``substrates'', having resistivities greater than 10,000 ohm-cm at 20
[deg]C and having at least one non-epitaxial single-crystal layer of
Silicon (Si), Silicon Carbide (SiC), Gallium Nitride (GaN), Aluminum
Nitride (AlN), Aluminum Gallium Nitride (AlGaN), Gallium Oxide
(Ga2O3), or diamond on the surface of the
``substrate''.
3C006 Materials, not specified by 3C001, consisting of a ``substrate''
specified by 3C005 with at least one epitaxial layer of
Silicon Carbide (SiC), Gallium Nitride
[[Page 515]]
(GaN), Aluminum Nitride (AlN), Aluminum Gallium Nitride
(AlGaN), Gallium Oxide (Ga[bdi2]O[bdi3]) or diamond.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
List of Items Controlled
Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development'' and
``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3C907 Epitaxial materials consisting of a ``substrate'' having at least
one epitaxially grown layer of any of the following (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 3E901 for related technology controls for the
``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon
isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of
germanium isotopes other than germanium-70, germanium-72, germanium-74,
or germanium-76.
3C908 Fluorides, hydrides, chlorides, of silicon or germanium,
containing any of the following (See List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country Chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control.
See Sec. 742.4(a)(5) and
(b)(10) of the EAR.
RS applies to entire entry................ Worldwide control.
See Sec. 742.6(a)(10) and
(b)(11) of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 3E901 for related technology controls for the
``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon
isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of
germanium isotopes other than germanium-70, germanium-72, germanium-74,
or germanium-76.
3C909 Silicon, silicon oxides, germanium or germanium oxides, containing
any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
[[Page 516]]
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls See ECCN 3E901 for related technology controls for the
``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon
isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of
germanium isotopes other than germanium-70, germanium-72, germanium-74,
or germanium-76.
Note: 3C909 includes ``substrates'', lumps, ingots, boules and
preforms.
N.B.: For materials having layers of isotopically enriched silicon
(Si) or germanium (Ge) isotopes, see 3C907.
3C992 Positive resists designed for semiconductor lithography specially
adjusted (optimized) for use at wavelengths between 370 and
193 nm.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
D. ``Software''
3D001 ``Software'' ``specially designed'' for the ``development'' or
``production'' of commodities controlled by 3A001.b to
3A002.h, 3A090, or 3B (except 3B001.a.4, c, d, f.1, f.5, k to
n, p.2, p.4, r, 3B002.c, 3B903, 3B904, 3B991, 3B992, 3B993, or
3B994).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``software'' for equipment Worldwide control.
controlled by 3B001.q. See Sec. 742.4(a)(5) and
(b)(10) of the EAR.
RS applies to ``software'' for equipment Worldwide control.
controlled by 3B001.q. See Sec. 742.6(a)(10) and
(b)(11) of the EAR.
NS applies to ``software'' for commodities NS Column 1.
controlled by 3A001.b to 3A001.h,
3A001.z, and 3B (except as specified in
the heading).
RS applies to ``software'' for commodities To or within destinations
controlled by 3A001.z and 3A090 (except specified in Country Groups
for 3A090.c). D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
RS applies to ``software'' for commodities To or within Macau or a
controlled by 3A090.c. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6)(i) of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for ``software'' ``specially designed'' for the
``development'' or ``production'' of Traveling Wave Tube Amplifiers
described in 3A001.b.8 having operating frequencies exceeding 18 GHz; or
commodities specified in 3A090.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3D001 ``software'' for commodities controlled by
3A001.z and 3A090.
IEC: Yes, for ``software'' for equipment controlled by 3B001.q, see
Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment specified by 3B001.q to any of the
destinations listed in Country Group A:5 or A:6 (See supplement no.1 to
part 740 of the EAR); and 3A090, or 3A002.g.1 to any of the destinations
listed in Country Group A:6.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
[[Page 517]]
3D002 ``Software'' ``specially designed'' for the ``use'' of equipment
controlled by 3B001.a to .f, or 3B002.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
NS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.4(a)(5) and (b)(10) of
the EAR.
RS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for RS.
IEC: Yes, for ``software'' for equipment controlled by 3B001.c.1.a and
3B001.c.1.c, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``use'' of equipment
specified by 3B001.c.1.a or c.1.b to any of the destinations listed in
Country Group A:5 or A:6 (See supplement no.1 to part 740 of the EAR)
List of Items Controlled
Related Controls: Also see 3D991.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D003 'Computational lithography' ``software'' ``specially designed''
for the ``development'' of patterns on ``EUV''-lithography
masks or reticles.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: For the purposes of 3D003, 'computational
lithography' is the use of computer modelling to predict, correct,
optimize and verify imaging performance of the lithography process over
a range of patterns, processes, and system conditions.
Items:
The list of items controlled is contained in the ECCN heading.
3D004 ``Software'' ``specially designed'' for the ``development'' of
equipment controlled by 3A003.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D005 ``Software'' ``specially designed'' to restore normal operation of
a microcomputer, ``microprocessor microcircuit'' or
``microcomputer microcircuit'' within 1 ms after an
Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD)
disruption, without loss of continuation of operation.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3D006 'Electronic Computer-Aided Design' ('ECAD') ``software''
``specially designed'' for the ``development'' of integrated
circuits having any ``Gate-All-Around Field-
[[Page 518]]
Effect Transistor'' (``GAAFET'') structure, and having any of
the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' for implementing 'Register Transfer Level'
('RTL') to 'Geometrical Database Standard II' ('GDSII') or equivalent
standard; or
b. ``Specially designed'' for optimization of power or timing rules.
Technical Notes: For the purposes of 3D006:
1. 'Electronic Computer-Aided Design' ('ECAD') is a category of
``software'' tools used for designing, analyzing, optimizing, and
validating the performance of an integrated circuit or printed circuit
board.
2. 'Register Transfer Level' ('RTL') is a design abstraction which
models a synchronous digital circuit in terms of the flow of digital
signals between hardware registers and the logical operations performed
on those signals.
3. 'Geometrical Database Standard II' ('GDSII') is a database file
format for data exchange of integrated circuit or integrated circuit
layout artwork.
3D101 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled by 3A101.b.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D201 ``Software'' ``specially designed'' for the ``use'' of equipment
described in ECCN 3A225.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 3E202 (``development,'' ``production,'' and
``use'') for ``technology'' for items controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D202 ``Software'' ``specially designed'' to enhance or release the
performance characteristics of frequency changers or
generators to meet or exceed the level of the performance
characteristics described in ECCN 3A225.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCN 3E202 (``development,'' ``production,'' and
``use'') for ``technology'' for items controlled under this entry.
Related Definitions: N/A
Items: a. ``Software'' or encryption keys/codes ``specially designed''
to enhance or release the performance characteristics of equipment not
controlled by ECCN 3A225, so that such equipment meets or exceeds the
performance characteristics of equipment controlled by that ECCN.
b. ``Software'' ``specially designed'' to enhance or release the
performance characteristics of equipment controlled by ECCN 3A225.
3D611 ``Software'' ``specially designed'' for military electronics, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 3D611.y. NS Column 1.
RS applies to entire entry except 3D611.y. RS Column 1.
[[Page 519]]
RS applies to 3D611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 3D611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: 1. Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 3D611.
2. Except for ``build-to-print'' software, License Exception STA is not
eligible for software enumerated in ECCN 3D611.b.
List of Items Controlled
Related Controls: ``Software'' directly related to articles enumerated
in USML Category XI is controlled in USML Category XI(d).
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 3A611 (other than 3A611.y) and 3B611.
b. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation or maintenance of technology in ECCN 3E611.b.
c. through x. [Reserved]
y. ``Software'' ``specially designed'' for the ``production,''
``development,'' operation or maintenance of commodities enumerated in
ECCNs 3A611.y.
3D901 ``Software'', not specified elsewhere, ``specially designed'' or
modified for the ``development'' or ``production'' of items
specified in ECCN 3A901.b, 3B903, or 3B904.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to entire entry................ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Special Reporting: Deemed exports and deemed reexports of ``software''
specified in this ECCN for commodities in ECCNs 3A901.b, and 3B904 are
subject to reporting requirements in accordance with Sec. 743.8 of the
EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D907 ``Software'' designed to extract ``GDSII'' or equivalent standard
layout data and perform layer-to-layer alignment from SEM
images, and generate multi-layer ``GDSII'' data or the circuit
netlist.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: An example of an equivalent standard to ``GDSII''
would be Open Artwork System Interchange Standard (OASIS).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D980 ``Software'' ``specially designed'' for the ``development,''
``production'' or ``use'' of commodities controlled by 3A980
and 3A981.
License Requirements
Reason for Control: CC, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 520]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D991 ``Software'' ``specially designed'' for the ``development,''
``production'' or ``use'' of electronic devices, ``parts'' or
``components'' controlled by 3A991, general purpose electronic
equipment controlled by 3A992, or manufacturing and test
equipment controlled by 3B991 and 3B992; or ``software''
``specially designed'' for the ``use'' of equipment controlled
by 3B001.g and .h.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D992 ``Software'' for the ``development'' or ``production'' of
commodities specified in 3B001.a.4, c, d, f.1, f.5, k to n,
p.2, p.4, r, or 3B002.c and ``software'' as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to the entire entry............ To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to the entire entry............ To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6)(i) of the EAR.
NS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.4(a)(5) and (b)(10) of
the EAR.
RS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, for ``software'' for equipment controlled by 3B001.c.1.a and
3B001.c.1.c, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' specified in this ECCN to any of the destinations listed in
Country Group A:5 or A:6 (See supplement no.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For additional controls that apply to this ECCN, see
also Sec. 744.11(a)(2)(v) and (a)(3) and Sec. 744.23(a)(4)(iii) of the
EAR.
Related Definitions: N/A
Items:
a. ``Software'' for the ``development'' or ``production,'' of
commodities specified in 3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, r,
or 3B002.c; and
b. 'Electronic Computer-Aided Design' ('ECAD') ``software'' designed
for the integration of multiple dies into a 'multi-chip' integrated
circuit, and having all of the following:
b.1. Floor planning; and
b.2. Co-design or co-simulation of die and package.
Technical Note: For the purposes of 3D992.b, 'multi-chip' includes
multi-die and multi-chiplet.
3D993 ``Software'' for the ``development'' or ``production'' of
commodities specified in 3B993 and ``software'' as follows
(see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
[[Page 521]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' specified in this ECCN to any of the destinations listed in
Country Group A:5 or A:6 (see supplement no.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For additional controls that apply to this ECCN, see
also Sec. 744.11(a)(2)(v) and (a)(3) and Sec. 744.23(a)(4)(iii) of the
EAR.
Related Definitions: N/A
Items:
a. ``Software'' for the ``development'' or ``production'' of
commodities specified in 3B993.
b. 'Electronic Computer-Aided Design' ('ECAD') ``software'' designed
or modified for the ``development'' or ``production'' of integrated
circuits using multipatterning.
c. 'Computational lithography' ``software'' designed or modified for
the ``development'' or ``production'' of patterns on DUV lithography
masks or reticles.
d. ``Software'' designed or modified to increase the number of
wafers processed per hour, averaged over any time interval, by greater
than 1%, of equipment specified in 3B001.f.1 or 3B993.f.1.
Technical Note: For the purposes of 3D993, 'computational
lithography' is the use of computer modelling to predict, correct,
optimize and verify imaging performance of the lithography process over
a range of patterns, processes, and system conditions.
3D994 ``Software'' for the ``development'' or ``production'' of
commodities specified in 3B994 and ``software'' as follows
(see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' specified in this ECCN to any of the destinations listed in
Country Group A:5 or A:6 (see supplement no. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For additional controls that apply to this ECCN, see
also Sec. 744.11(a)(2)(v) and (a)(3) and Sec. 744.23(a)(4)(iii) of the
EAR.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. ``Technology''
Note 1 to Cat 3 Product Group E: 3E001 and 3E905 do not apply to
'Process Design Kits' ('PDKs') unless they include libraries
implementing functions or technologies for items specified by 3A001.
Technical Note: For the purposes of 3E001 and 3E905, a 'Process
Design Kit' ('PDK') is a software tool provided by a semiconductor
manufacturer to ensure that the required design practices and rules are
taken into account in order to successfully produce a specific
integrated circuit design in a specific semiconductor process, in
accordance with technological and manufacturing constraints (each
semiconductor manufacturing process has its particular 'PDK').
3E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of commodities controlled by
3A (except 3A901, 3A904, 3A980, 3A981, 3A991, 3A992, or
3A999), 3B (except 3B001.a.4, c, d, f.1, f.5, k to n, p.2,
p.4, r, 3B002.c, 3B903, 3B904, 3B991, 3B992, 3B993, or 3B994)
or 3C (except 3C907, 3C908, 3C909, or 3C992).
License Requirements
Reason for Control: NS, MT, NP, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
commodities controlled by 3A001, 3A002,
3A003, 3B001 (except as noted in the
heading), 3B002 (except 3B002.c), or
3C001 to 3C006.
MT applies to ``technology'' for MT Column 1.
commodities controlled by 3A001 or 3A101
for MT Reasons.
NP applies to ``technology'' for NP Column 1.
commodities controlled by 3A001, 3A201,
or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for Worldwide (see Sec.
commodities controlled in 3A090, when 742.6(a)(6)(ii)).
exported from Macau or a destination
specified in Country Group D:5.
[[Page 522]]
RS applies to ``technology'' for To or within destinations
commodities controlled by 3A001.z, 3A090 specified in Country Groups
(except for 3A090.c). D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
RS applies to ``technology'' for To or within Macau or a
commodities controlled by 3A090.c. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6)(i)(B) of the
EAR.
RS applies to ``technology'' for RS Column 2.
commodities controlled by 3A001.a.15 or
b.13, 3A004, 3B003, 3C007, 3C008, or
3C009.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, Special Comprehensive Licenses, and Validated
End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for MT, and ``technology'' for the ``development''
or ``production'' of: (a) vacuum electronic device amplifiers described
in 3A001.b.8, having operating frequencies exceeding 19 GHz; (b) solar
cells, coverglass-interconnect-cells or covered-interconnect-cells (CIC)
``assemblies,'' solar arrays and/or solar panels described in 3A001.e.4;
(c) ``Monolithic Microwave Integrated Circuit'' (``MMIC'') amplifiers in
3A001.b.2; (d) discrete microwave transistors in 3A001.b.3; and (e)
commodities described in 3A090.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3E001 ``technology'' for commodities controlled by
3A001.z, 3A090.
IEC: Yes, for ``technology'' for equipment controlled by 3B001.q, see
Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (see supplement no.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2, b.3,
commodities specified in 3A090, to any of the destinations listed in
Country Group A:5 or A:6 (see supplement no. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) ``Technology'' according to the General Technology
Note for the ``development'' or ``production'' of certain ``space-
qualified'' atomic frequency standards described in Category XV(e)(9),
MMICs described in Category XV(e)(14), and oscillators described in
Category XV(e)(15) of the USML are ``subject to the ITAR'' (see 22 CFR
parts 120 through 130). See also ECCNs 3E101, 3E201 and 9E515. (2)
``Technology'' for ``development'' or ``production'' of ``Microwave
Monolithic Integrated Circuits'' (``MMIC'') amplifiers in 3A001.b.2 is
controlled in this ECCN 3E001; 5E001.d refers only to that additional
``technology'' ``required'' for telecommunications.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14 or .z, having all of the
following:
(a) Using ``technology'' at or above 0.130 [micro]m; and
(b) Incorporating multi-layer structures with three or fewer metal
layers.
3E002 ``Technology'' according to the General Technology Note other than
that controlled in 3E001 for the ``development'' or
``production'' of a ``microprocessor microcircuit'', ``micro-
computer microcircuit'' and microcontroller microcircuit core,
having an arithmetic logic unit with an access width of 32
bits or more and any of the following features or
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit
[[Page 523]]
with an access width of 32 bit or more, including those incorporating
``information security'' functionality, and associated ``software'' and
``technology'' for the ``production'' or ``development'' of such
microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. A 'vector processor unit' designed to perform more than two
calculations on 'floating-point' vectors (one-dimensional arrays of 32-
bit or larger numbers) simultaneously;
Technical Note: For the purposes of 3E002.a, a 'vector processor
unit' is a processor element with built-in instructions that perform
multiple calculations on 'floating-point' vectors (one-dimensional
arrays of 32-bit or larger numbers) simultaneously, having at least one
vector arithmetic logic unit and vector registers of at least 32
elements each.
b. Designed to perform more than four 64-bit or larger 'floating-
point' operation results per cycle; or
c. Designed to perform more than eight 16-bit 'fixed-point'
multiply-accumulate results per cycle (e.g., digital manipulation of
analog information that has been previously converted into digital form,
also known as digital ``signal processing'').
Note 1: 3E002 does not control ``technology'' for multimedia
extensions.
Note 2: 3E002 does not control ``technology'' for microprocessor
cores, having all of the following:
a. Using ``technology'' at or above 0.130 [micro]m; and
b. Incorporating multi-layer structures with five or fewer metal
layers.
Note 3: 3E002 includes ``technology'' for the ``development'' or
``production'' of digital signal processors and digital array
processors.
Technical Notes:
1. For the purposes of 3E002.a and 3E002.b, 'floating-point' is
defined by IEEE-754.
2. For the purposes of 3E002.c, 'fixed-point' refers to a fixed-
width real number with both an integer component and a fractional
component, and which does not include integer-only formats.
3E003 Other ``technology'' for the ``development'' or ``production'' of
the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except .f and .g
List of Items Controlled
Related Controls: See 3E001 for Silicon-On-Insulation (SOI) technology
for the ``development'' or ``production'' related to radiation hardening
of integrated circuits.
Related Definitions: N/A
Items:
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor electronic devices such as high
electron mobility transistors (HEMT), hetero-bipolar transistors (HBT),
quantum well and super lattice devices;
Note: 3E003.b does not control ``technology'' for high electron
mobility transistors (HEMT) operating at frequencies lower than 31.8 GHz
and hetero-junction bipolar transistors (HBT) operating at frequencies
lower than 31.8 GHz.
c. ``Superconductive'' electronic devices;
d. Substrates of diamond for electronic components;
e. Substrates of Silicon-On-Insulator (SOI) for integrated circuits
in which the insulator is Silicon Dioxide (SiO2);
f. Substrates of Silicon Carbide (SiC) for electronic components;
g. ``Vacuum electronic devices'' operating at frequencies of 31.8
GHz or higher;
h. Substrates of Gallium Oxide (Ga2O3) for
electronic components.
3E004 ``Technology'' ``required'' for the slicing, grinding and
polishing of 300 mm diameter silicon wafers to achieve a 'Site
Front least sQuares Range' ('SFQR') less than or equal to 20
nm at any site of 26 mm x 8 mm on the front surface of the
wafer and an edge exclusion less than or equal to 2 mm.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: For the purpose of 3E004, 'Site Front least sQuares
Range' ('SFQR') is the range of maximum deviation and minimum deviation
from front reference plane, calculated by least square method with all
front surface data including site boundary within a site.
Items:
The list of items controlled is contained in the ECCN heading.
[[Page 524]]
3E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 3A001.a.1
or .2, 3A101, or 3D101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E102 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 3D101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 3A001.e.2 or .e.3, 3A201 or
3A225 to 3A234.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to ``technology'' for equipment NP Column 1.
controlled by 3A001.e.2, or .e.3, 3A201
or 3A225 to 3A234 for NP reasons.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E202 ``Technology'' according to the General Technology Note for the
``development,'' ``production,'' or ``use'' of ``software''
controlled by 3D201 or 3D202.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E611 ``Technology'' ``required'' for military electronics, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 3E611.y. NS Column 1.
RS applies to entire entry except 3E611.y. RS Column 1.
RS applies to 3E611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 3E611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: 1. Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in 3E611.
2. Except for ``build-to-print technology,'' License Exception STA
is not eligible for ``technology'' enumerated in ECCN 3E611.b.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
in USML Category XI is controlled in USML Category XI(d).
Related Definitions: N/A
Items:
a. ``Technology'' (other than that controlled by 3E611.b or 3E611.y)
``required'' for the ``development,'' ``production,'' operation,
installation, maintenance, repair, overhaul, or refurbishing of
commodities or software controlled by ECCN 3A611, 3B611 or 3D611.
[[Page 525]]
b. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of the following if controlled by ECCN 3A611, including
3A611.x:
b.1. Helix traveling wave tubes (TWTs);
b.2. Transmit/receive or transmit modules.
c. through x. [Reserved]
y. ``Technology'' ``required'' for the ``production,''
``development,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities or software enumerated in ECCNs 3A611.y
or 3D611.y.
3E901 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of items controlled by ECCN
3A901, 3A904, 3B903, 3B904, 3C907, 3C908, or 3C909.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Special Reporting: Deemed exports and deemed reexports of ``technology''
specified in this ECCN are subject to reporting requirements in
accordance with Sec. 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3E905 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of integrated circuits or
devices, using ``Gate all-around Field-Effect Transistor''
(``GAAFET'') structures.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
Note: See General Order No. 6 in supplement no. 1 to part 736 for
additional authorization that may apply for exports, reexports, or
transfers (in-country) of this item.
List of Items Controlled
Related Controls: 1. ECCN 3E905 applies to process ``technology''
exclusively for the ``development'' or ``production'' of GAAFET
structures of integrated circuits at a semiconductor wafer production
facility. ECCN 3E905 does not, for example, control an integrated
circuit design such as the physical layout file in ``GDSII'' format or
EDA tools, or any other technology used to produce the physical layout
file for integrated circuit design. 2. ECCN 3E905 does not apply to
vertical GAAFET architectures, e.g., those used for 3D NAND.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note 1: 3E905 includes 'process recipes'.
Note 2: 3E905. does not apply for tool qualification or maintenance.
Technical Note: For the purposes of Note 1 to 3E905, a 'process
recipe' is a set of conditions and parameters for a particular process
step.
3E980 ``Technology'' ``specially designed'' for ``development,''
``production'' or ``use'' of commodities controlled by 3A980
and 3A981.
License Requirements
Reason for Control: CC, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
[[Page 526]]
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E991 ``Technology'' for the ``development,'' ``production'' or ``use''
of electronic devices, ``parts'' or ``components'' controlled
by 3A991, general purpose electronic equipment controlled by
3A992, or manufacturing and test equipment controlled by 3B991
or 3B992, or materials controlled by 3C992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E992 ``Technology'' for the ``production'' or ``development'' of
commodities specified in 3B001.a.4, c, d, f.1, f.5, k to n,
p.2, p.4, r; and 3B002.c.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to the entire entry............ To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to the entire entry............ To or within Macau or a
destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6)(i) of the EAR.
NS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.4(a)(5) and (b)(10) of
the EAR.
RS applies to ``software'' for equipment Worldwide control. See Sec.
controlled by 3B001.c.1.a or c.1.c. 742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, for ``technology'' for equipment controlled by 3B001.c.1.a,
and 3B001.c.1.c, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' specified in this ECCN to any of the destinations listed
in Country Group A:5 or A:6 (see supplement no. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E993 ``Technology'' for the ``development'' or ``production'' of
commodities specified in 3B993 as follows.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' specified in this ECCN to any of the destinations listed
in Country Group A:5 or A:6 (see supplement no. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: For additional controls that apply to this ECCN, see
also Sec. 744.11(a)(2)(v) and (a)(3) and Sec. 744.23(a)(4)(iii) of the
EAR.
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' or ``production'' of
commodities specified by 3B993.
b. ``Technology'' designed or modified to increase the number of
wafers processed per hour, averaged over any time interval, by greater
than 1%, of equipment specified in 3B001.f.1 or 3B993.f.1.
3E994 ``Technology'' for the ``development'' or ``production'' of
commodities specified in 3B994 and ``technology'' as follows
(see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
[[Page 527]]
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ See Sec. 742.6(a)(11) of
the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' specified in this ECCN to any of the destinations listed
in Country Group A:5 or A:6 (see supplement no. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: For additional controls that apply to this ECCN, see
also Sec. 744.11(a)(2)(v) and (a)(3) and Sec. 744.23(a)(4)(iii) of the
EAR.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Category 4--Computers
Note 1: Computers, related equipment and ``software'' performing
telecommunications or ``local area network'' functions must also be
evaluated against the performance characteristics of Category 5, Part 1
(Telecommunications).
Note 2: Control units that directly interconnect the buses or
channels of central processing units, 'main storage' or disk controllers
are not regarded as telecommunications equipment described in Category
5, Part 1 (Telecommunications).
Note 3: Commodities and ``software'' in ECCNs 4A005 and 4D004 that
are also controlled in ECCNs 5A002.a, 5A002.z.1, 5A002.z.6, 5A004.a,
5A004.b, 5A004.z, 5D002.c.1, 5D002.c.3, 5D002.z.6, 5D002.z.8, or
5D002.z.9, remain controlled in Category 5--Part 2 by those entries.
Category 5--Part 2 does not apply to elements of source code that
implement functionality controlled by these Category 4 ECCNs, or to any
item subject to the EAR where Encryption Item (EI) functionality is
absent, removed or otherwise non-existent.
Note 4: Items in ECCNs 4A005, 4D001.a (for 4A005 or 4D004), 4D004,
and ``technology'' specified in ECCN 4E001.a (for 4A005, 4D001.a (for
4A005 or 4D004) or 4D004) and 4E001.c that are also controlled for
Surreptitious Listening (SL) reasons under another ECCN, will continue
to be classified under the SL ECCN.
N.B.: For the control status of ``software'' ``specially designed''
for packet switching, see ECCN 5D001. (Telecommunications).
Technical Note: 'Main storage' is the primary storage for data or
instructions for rapid access by a central processing unit. It consists
of the internal storage of a ``digital computer'' and any hierarchical
extension thereto, such as cache storage or non-sequentially accessed
extended storage.
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
4A001 Electronic computers and related equipment, having any of the
following (see List of Items Controlled), and ``electronic
assemblies'' and ``specially designed'' ``components''
therefor.
License Requirements
Reason for Control: NS, MT, AT, NP
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
MT applies to items in 4A001.a when the MT Column 1.
parameters in 4A101 are met or exceeded.
AT applies to entire entry................ AT Column 1.
NP applies, unless a License Exception is N/A.
available. See Sec. 742.3(b) of the EAR
for information on applicable licensing
review policies.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000 for 4A001.a; N/A for MT.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
4A001.a.2 to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also 4A101 and 4A994. Equipment designed or
rated for transient ionizing radiation is ``subject to the ITAR'' (see
22 CFR parts 120 through 130). (2) The act of incorporating a radiation
hardened integrated circuit into a computer that is specified under ECCN
4A994 or designated as EAR99 does not, in and of itself, cause the
computer to meet the parameters of ECCN paragraph 4A001.a.2.
Related Definitions: For the purposes of integrated circuits in
4A001.a.2, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy (Si)/s =
5 x 10\8\ Rads (Si)/s.
Items:
a. ``Specially designed'' to have any of the following:
a.1. [Reserved]
[[Page 528]]
a.2. Radiation hardened to exceed any of the following
specifications:
a.2.a. A total dose of 5 x 10\3\ Gy (Si);
a.2.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s; or
a.2.c. Single Event Upset of 1 x 10-\8\ Error/bit/day;
Note: 4A001.a.2 does not apply to computers ``specially designed''
for ``civil aircraft'' applications.
b. [Reserved]
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows (see List of Items Controlled)
and ``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, RS, CC, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to 4A003.b, .c, and .z.1....... NS Column 1.
NS applies to 4A003.g, and z.2............ NS Column 2.
RS applies to 4A003.z..................... To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
CC applies to ``digital computers'' for CC Column 1.
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 AT Column 1.
for controls on ``digital computers''
with a APP 0.0128 but <=70 WT).
------------------------------------------------------------------------
Note: For all destinations, except those countries in Country Group
E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no license is
required (NLR) for computers with an ``Adjusted Peak Performance''
(``APP'') not exceeding 70 Weighted TeraFLOPS (WT) and for ``electronic
assemblies'' described in 4A003.c that are not capable of exceeding an
``Adjusted Peak Performance'' (``APP'') exceeding 70 Weighted TeraFLOPS
(WT) in aggregation, except certain transfers as set forth in Sec.
746.3 (Iraq).
Reporting Requirements
Special Post Shipment Verification reporting and recordkeeping
requirements for exports of computers to destinations in Computer Tier 3
may be found in Sec. 743.2 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 4A003.b, and .c.
GBS: Yes, for 4A003.g and ``specially designed'' ``parts'' and
``components'' therefor, exported separately or as part of a system.
APP: Yes, for computers controlled by 4A003.b, and ``electronic
assemblies'' controlled by 4A003.c, to the exclusion of other technical
parameters. See Sec. 740.7 of the EAR.
NAC/ACA: Yes, for 4A003.z.
Note 1 to List Based License Exceptions: Related equipment specified
under ECCN 4A003.g, z.2, or z.4 are eligible for License Exception GBS
if all the following conditions are met:
1. The related equipment is exported, reexported, or transferred (in-
country) as part of a computer system,
2. The computer system is either designated as NLR or eligible for
License Exception APP, and
3. The related equipment is eligible for License Exception APP.
Note 2: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 4A003.z.
List of Items Controlled
Related Controls: See also ECCNs 4A090, 4A994 and 4A980.
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
--'Vector processors' (as defined in Note 7 of the ``Technical Note on
``Adjusted Peak Performance'' (``APP'')'');
--Array processors;
--Digital signal processors;
--Logic processors;
--Equipment designed for ``image enhancement.''
Note 2: The control status of the ``digital computers'' and related
equipment described in 4A003 is determined by the control status of
other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential for
the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment ``specially designed'' for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or related
equipment for telecommunications equipment, see Category 5, Part 1
(Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. [Reserved]
b. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 70 Weighted TeraFLOPS (WT);
[[Page 529]]
c. ``Electronic assemblies'' ``specially designed'' or modified to
be capable of enhancing performance by aggregation of processors so that
the ``APP'' of the aggregation exceeds the limit in 4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b when
shipped as unintegrated ``electronic assemblies.''
Note 2: 4A003.c does not control ``electronic assemblies''
``specially designed'' for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. to f. [Reserved]
N.B.: For ``electronic assemblies,'' modules or equipment,
performing analog-to-digital conversions, see 3A002.h.
g. Equipment ``specially designed'' for aggregating the performance
of ``digital computers'' by providing external interconnections which
allow communications at unidirectonal data rates exceeding 2.0 Gbyte/s
per link.
Note: 4A003.g does not control internal interconnection equipment
(e.g., backplanes, buses) passive interconnection equipment, ``network
access controllers'' or ``communication channel controllers''.
h. through y. [Reserved]
z. Commodities specified in this ECCN 4A003 that also meet or exceed
the performance parameters in 4A090.
z.1. Commodities specified in 4A003.b or .c that also meet or exceed
the performance parameters in ECCN 4A090; or
z.2. Commodities specified in 4A003.g that also meet or exceed the
performance parameters in ECCN 4A090.
4A004 Computers as follows (see List of Items Controlled) and
``specially designed'' related equipment, ``electronic
assemblies'' and ``components'' therefor.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
RS applies to 4A004.z..................... To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000
GBS: N/A
NAC/ACA: Yes, for 4A004.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 4A004.z.
List of Items Controlled
Related Controls: See also ECCN 4A090.
Related Definitions: N/A
Items:
a. 'Systolic array computers';
b. 'Neural computers';
c. 'Optical computers'.
Technical Notes:
1. For the purposes of 4A004.a, 'systolic array computers' are
computers where the flow and modification of the data is dynamically
controllable at the logic gate level by the user.
2. For the purposes of 4A004.b, 'neural computers' are computational
devices designed or modified to mimic the behaviour of a neuron or a
collection of neurons, i.e., computational devices which are
distinguished by their hardware capability to modulate the weights and
numbers of the interconnections of a multiplicity of computational
components based on previous data.
3. For the purposes of 4A004.c, 'optical computers' are computers
designed or modified to use light to represent data and whose
computational logic elements are based on directly coupled optical
devices.
d. through y. [Reserved]
z. Commodities that are described in 4A004 and that also meet or
exceed the performance parameters in 4A090.
4A005 ``Systems,'' ``equipment,'' and ``components'' therefor,
``specially designed'' or modified for the generation, command
and control, or delivery of ``intrusion software'' (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to items controlled by 4A005.z. To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
APP: N/A
ACE: Yes, except to Country Group E:1 or E:2. See Sec. 740.22 of the
EAR for eligibility criteria.
[[Page 530]]
NAC/ACA: Yes, for 4A005.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 4A005.z.
Special Conditions for STA
STA: License Exception STA may not be used to ship items specified by
ECCN 4A005.
List of Items Controlled
Related Controls: (1) Defense articles described in USML Category XI(b),
and software directly related to a defense article, are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). (2) See also ECCN 4A090.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading,
except for the commodities controlled under 4A005.z.
a. through y. [Reserved]
z. Commodities that are specified in 4A005 that also meet or exceed
the performance parameters in 4A090.
4A090 Computers as follows (see List of Items Controlled) and related
equipment, ``electronic assemblies,'' and ``components''
therefor.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
NAC/ACA: Yes, for 4A090, if the item incorporates a 3A090.a IC that is
not designed or marketed for use in datacenters and has a 'total
processing performance' of 4800 or more, or if the ECCN 4A090 item
incorporates a 3A090.b IC, if the item is designed or marketed for use
in datacenters.
List of Items Controlled
Related Controls: (1) For associated ``software'' for commodities in
this ECCN, see 4D090, 5D002.z, and 5D992.z and for associated
``technology'' for commodities in this ECCN, see 4E001. (2) Also ECCNs
4A003.z, 4A004.z, 4A005.z, 5A002.z, 5A004.z, and 5A992.z.
Related Definitions: N/A
Items:
a. Computers, ``electronic assemblies,'' and ``components''
containing integrated circuits, any of which meets or exceeds the limits
in 3A090.a.
b. Computers, ``electronic assemblies,'' and ``components''
containing integrated circuits, any of which meets or exceeds the limits
in 3A090.b.
Technical Note: For purposes of 4A090.a and .b, computers include
``digital computers,'' ``hybrid computers,'' and analog computers.
4A101 Analog computers, ``digital computers'' or digital differential
analyzers, other than those controlled by 4A001 designed or
modified for use in ``missiles'', having any of the following
(see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: The act of incorporating a radiation hardened
integrated circuit into a computer that is specified under ECCN 4A994 or
designated as EAR99 does not, in and of itself, cause the computer to
meet the parameters of ECCN paragraph 4A101.b.
Related Definitions: N/A
Items:
a. Rated for continuous operation at temperatures from below 228 K
(-45 [deg]C) to above 328 K (+55 [deg]C); or
b. Designed as ruggedized or 'radiation hardened'.
Note: For the purposes of 4A101, 'radiation hardened' means that the
``part,'' ``component'' or equipment is designed or rated to withstand
radiation levels which meet or exceed a total irradiation dose of 5 x
10\5\ rads (Si).
4A102 ``Hybrid computers'' ``specially designed'' for modelling,
simulation or design integration of ``missiles'' or their
subsystems. (These items are ``subject to the ITAR.'' See 22
CFR parts 120 through 130.)
4A611 Computers, and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor, ``specially
designed'' for a military application that are not enumerated
in any USML category are controlled by ECCN 3A611.
[[Page 531]]
4A906 Quantum computers and related ``electronic assemblies,'' and
``components'' therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 4D906 for related ``software'' controls for
the ``development'' or ``production'' of this ECCN. See ECCN 4E906 for
related ``technology'' controls for the ``development'' or
``production'' of this ECCN.
Related Definitions: N/A
Items:
a. Quantum computers, as follows:
a.1. Quantum computers supporting 34 or more, but fewer than 100,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 10-4;
a.2. Quantum computers supporting 100 or more, but fewer than 200,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 10-3;
a.3. Quantum computers supporting 200 or more, but fewer than 350,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 2 x 10-3;
a.4. Quantum computers supporting 350 or more, but fewer than 500,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 3 x 10-3;
a.5. Quantum computers supporting 500 or more, but fewer than 700,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 4 x 10-3;
a.6. Quantum computers supporting 700 or more, but fewer than 1,100,
'fully controlled', 'connected' and 'working' 'physical qubits', and
having a 'C-NOT error' of less than or equal to 5 x 10-3;
a.7. Quantum computers supporting 1,100 or more, but fewer than
2,000, 'fully controlled', 'connected' and 'working' 'physical qubits',
and having a 'C-NOT error' of less than or equal to 6 x 10-3;
a.8. Quantum computers supporting 2,000 or more 'fully controlled',
'connected' and 'working' 'physical qubits';
b. Qubit devices and qubit circuits, containing or supporting arrays
of 'physical qubits', and ``specially designed'' for items specified by
4A906.a;
c. Quantum control components and quantum measurement devices,
``specially designed'' for items specified by 4A906.a;
Note 1: 4A906 applies to circuit model (or gate-based) and one-way
(or measurement-based) quantum computers. This entry does not apply to
adiabatic (or annealing) quantum computers.
Note 2: Items specified by 4A906 may not necessarily physically
contain any qubits. For example, quantum computers based on photonic
schemes do not permanently contain a physical item that can be
identified as a qubit. Instead, the photonic qubits are generated while
the computer is operating and then later discarded.
Note 3: Items specified by 4A906.b include semiconductor,
superconducting, and photonic qubit chips and chip arrays; surface ion
trap arrays; other qubit confinement technologies; and coherent
interconnects between such items.
Note 4: 4A906.c applies to items designed for calibrating,
initializing, manipulating or measuring the resident qubits of a quantum
computer.
Technical Notes: For the purposes of 4A906:
1. A 'physical qubit' is a two-level quantum system used to
represent the elementary unit of quantum logic by means of manipulations
and measurements that are not error corrected. 'Physical qubits' are
distinguished from logical qubits, in that logical qubits are error-
corrected qubits comprised of many 'physical qubits'.
2. 'Fully controlled' means the 'physical qubit' can be calibrated,
initialized, gated, and read out, as necessary.
3. 'Connected' means that two-qubit gate operations can be performed
between any arbitrary pair of the available 'working' 'physical qubits'.
This does not necessarily entail all-to-all connectivity.
4. 'Working' means that the 'physical qubit' performs universal
quantum computational work according to the system specifications for
qubit operational fidelity.
5. Supporting 34 or more 'fully controlled', 'connected', 'working'
'physical qubits' refers to the capability of a quantum computer to
confine, control, measure and process the quantum information embodied
in 34 or more 'physical qubits'.
[[Page 532]]
6. 'C-NOT error' is the average physical gate error for the nearest-
neighbor two-'physical qubit' Controlled-NOT (C-NOT) gates.
4A980 Computers for fingerprint equipment, n.e.s.
License Requirements
Reason for Control: CC, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: 4A980 does not control equipment limited to one finger and
designed for user authentication or access control.
4A994 Computers, ``electronic assemblies'' and related equipment, not
controlled by 4A001 or 4A003, and ``specially designed''
``parts'' and ``components'' therefor (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) For associated ``software'' for commodities in
this ECCN, see 4D994 and for associated ``technology'' for commodities
in this ECCN, see 4E992. (2) See also ECCNs 4A003.z, 4A004.z, 4A005.z,
5A002.z, 5A004.z, and 5A992.z.
Related Definitions: N/A
Items:
Note 1: The control status of the ``digital computers'' and related
equipment described in 4A994 is determined by the control status of
other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential for
the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment ``specially designed'' for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or related
equipment for telecommunications equipment, see Category 5, Part 1
(Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Electronic computers and related equipment, and ``electronic
assemblies'' and ``specially designed'' ``parts'' and ``components''
therefor, rated for operation at an ambient temperature above 343 K (70
[deg]C);
b. ``Digital computers'', including equipment of ``signal
processing'' or image enhancement'', having an ``Adjusted Peak
Performance'' (``APP'') equal to or greater than 0.0128 Weighted
TeraFLOPS (WT);
c. ``Electronic assemblies'' that are ``specially designed'' or
modified to enhance performance by aggregation of processors, as
follows:
c.1. Designed to be capable of aggregation in configurations of 16
or more processors;
c.2. [Reserved];
Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``APP'' not exceeding the limits in
4A994.b, when shipped as unintegrated ``electronic assemblies''. It does
not apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A994.k.
Note 2: 4A994.c does not control any ``electronic assembly''
``specially designed'' for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.
d. [Reserved];
e. [Reserved];
f. Equipment for ``signal processing'' or ``image enhancement''
having an ``Adjusted Peak Performance'' (``APP'') equal to or greater
than 0.0128 Weighted TeraFLOPS WT;
g. [Reserved];
h. [Reserved];
i. Equipment containing ``terminal interface equipment'' exceeding
the limits in 5A991;
j. Equipment ``specially designed'' to provide external
interconnection of ``digital computers'' or associated equipment that
allows communications at data rates exceeding 80 Mbyte/s.
Note: 4A994.j does not control internal interconnection equipment
(e.g., backplanes, buses) passive interconnection equipment, ``network
access controllers'' or ``communication channel controllers''.
k. ``Hybrid computers'' and ``electronic assemblies'' and
``specially designed'' ``parts''
[[Page 533]]
and ``components'' therefor containing analog-to-digital converters
having all of the following characteristics:
k.1. 32 channels or more; and
k.2. A resolution of 14 bit (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
l. Computers, ``electronic assemblies,'' and ``components,'' n.e.s.,
containing integrated circuits, any of which meets or exceeds the limit
of ECCN 3A991.p.
Technical Note: For the purposes of 4A994.l, computers include
``digital computers,'' ``hybrid computers,'' and analog computers.
B. ``Test'', ``Inspection'' and ``Production Equipment'' [Reserved]
C. ``Materials'' [Reserved]
D. ``Software''
Note: The control status of ``software'' for equipment described in
other Categories is dealt with in the appropriate Category.
4D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, CC, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to ``software'' for commodities To or within destinations
controlled by 4A003.z, 4A004.z, and specified in Country Groups
4A005.z. D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
CC applies to ``software'' for CC Column 1.
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for ``software'' for the ``development'' or
``production'' of the following:
(1) Commodities with an ``Adjusted Peak Performance'' (``APP'')
exceeding 29 WT; or
(2) Commodities controlled by 4A005 or ``software'' controlled by
4D004.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
ACE: Yes for 4D001.a (for the ``development'', ``production'' or ``use''
of equipment or ``software'' specified in ECCN 4A005 or 4D004), except
to Country Group E:1 or E:2. See Sec. 740.22 of the EAR for eligibility
criteria.
Note: See Sec. 740.2(a)(9)(ii) for license exception restrictions
for ``software'' for commodities controlled by 4A003.z, 4A004.z, and
4A005.z.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the ``development''
or ``production'' of equipment specified by ECCN 4A001.a.2 or for the
``development'' or ``production'' of ``digital computers'' having an
'Adjusted Peak Performance' ('APP') exceeding 29 Weighted TeraFLOPS (WT)
to any of the destinations listed in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR); and may not be used to ship or transmit
``software'' specified in 4D001.a ``specially designed'' for the
``development'' or ``production'' of equipment specified by ECCN 4A005
to any of the destinations listed in Country Group A:5 or A:6.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'', of equipment or ``software''
controlled by 4A001, 4A003, 4A004, 4A005 or 4D (except 4D090, 4D906,
4D980, 4D993 or 4D994).
b. ``Software'', other than that controlled by 4D001.a, ``specially
designed'' or modified for the ``development'' or ``production'' of
equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 24 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or modified
for enhancing performance by aggregation of processors so that the
``APP'' of the aggregation exceeds the limit in 4D001.b.1.
4D004 ``Software'' ``specially designed'' or modified for the
generation, command and control, or delivery of ``intrusion
software.''
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
APP: N/A
ACE: Yes, except to Country Group E:1 or E:2. See Sec. 740.22 of the
EAR for eligibility criteria.
[[Page 534]]
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' specified by ECCN 4D004.
List of Items Controlled
Related Controls: Software described in USML Category XI(b), and
software directly related to a defense article, is ``subject to the
ITAR''; see Sec. 120.10(a)(4).
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note: 4D004 does not apply to ``software'' specially designed and
limited to provide ``software'' updates or upgrades meeting all the
following:
a. The update or upgrade operates only with the authorization of the
owner or administrator of the system receiving it; and
b. After the update or upgrade, the ``software'' updated or upgraded
is not any of the following:
1. ``Software'' specified by 4D004; or
2. ``Intrusion software.''
4D090 ``Software'' ``specially designed'' or modified for the
``development'' or ``production,'' of computers and related
equipment, ``electronic assemblies,'' and ``components''
therefor specified in ECCN 4A090.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ China and Macau (See Sec.
742.6(a)(6))
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: For associated ``technology'' for software in this
ECCN, see 4E001.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
4D906 ``Software'' ``specially designed'' or modified for the
``development'' or ``production'' of commodities controlled by
4A906.b or 4A906.c.
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Special Reporting: Deemed exports and deemed reexports of ``software''
specified in this ECCN are subject to reporting requirements in
accordance with Sec. 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See ECCN 4E906 for related ``technology'' controls for
the ``development'' or ``production'' of this ECCN.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
4D980 ``Software'' ``specially designed'' for the ``development,''
``production'' or ``use'' of commodities controlled by 4A980.
License Requirements
Reason for Control: CC, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
4D993 ``Program'' proof and validation ``software,'' ``software''
allowing the automatic generation of ``source codes,'' and
operating system ``software'' that are ``specially designed''
for ``real-time processing'' equipment (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 535]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: ``Global interrupt latency time'' is the time taken
by the computer system to recognize an interrupt due to the event,
service the interrupt and perform a context switch to an alternate
memory-resident task waiting on the interrupt.
Items: a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired online from external sensors described in the
Commerce Control List; or
c. Operating system ``software'' ``specially designed'' for ``real-
time processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 microseconds.
4D994 ``Software'' other than that controlled in 4D001 ``specially
designed'' or modified for the ``development,''
``production,'' or ``use'' of commodities controlled by 4A101
or 4A994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (See Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
E. ``Technology''
4E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, CC, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except for NS Column 1.
``technology'' for 4A090 or ``software''
specified by 4D090.
MT applies to ``technology'' for items MT Column 1.
controlled by 4A001.a and 4A101 for MT
reasons.
RS applies to ``technology'' for To or within destinations
commodities controlled by 4A003.z, specified in Country Groups
4A004.z, 4A005.z, 4A090 or ``software'' D:1, D:4, and D:5 of
specified by 4D001 (for 4A003.z, 4A004.z, supplement no. 1 to part
and 4A005.z), 4D090. 740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
CC applies to ``software'' for CC Column 1.
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for the following:
(1) ``Technology'' for the ``development'' or ``production'' of
commodities with an ``Adjusted Peak Performance'' (``APP'') exceeding 70
WT or for the ``development'' or ``production'' of commodities
controlled by 4A005 or ``software'' controlled by 4D004; or
(2) ``Technology'' for the ``development'' of ``intrusion
software''.
APP: Yes, to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
ACE: Yes for 4E001.a (for the ``development'', ``production'' or ``use''
of equipment or ``software'' specified in ECCN 4A005 or 4D004); and for
4E001.c, except to Country Group E:1 or E:2. See Sec. 740.22 of the EAR
for eligibility criteria.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for technology for .z paragraphs under ECCNs 4A003, 4A004,
4A005 or 4A090, or ``software'' specified by 4D001 (for 4A003.z,
4A004.z, 4A005.z, and 4A090).
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following equipment or
``software'': a. Equipment specified by ECCN 4A001.a.2; b. ``Digital
computers'' having an 'Adjusted Peak Performance' ('APP') exceeding 70
Weighted TeraFLOPS (WT); or c. ``software'' specified in the License
Exception STA paragraph found in the License Exception section of ECCN
4D001 to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
[[Page 536]]
Items:
a. ``Technology'' according to the General Technology Note, for the
``development'', ``production'', or ``use'' of equipment or ``software''
controlled by 4A (except 4A906, 4A980 or 4A994 and ``use'' of equipment
controlled under 4A090) or 4D (except 4D906, 4D980, 4D993, 4D994 and
``use'' of software controlled under 4D090).
b. ``Technology'' according to the General Technology Note, other
than that controlled by 4E001.a, for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 24 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or modified
for enhancing performance by aggregation of processors so that the
``APP'' of the aggregation exceeds the limit in 4E001.b.1.
c. ``Technology'' for the ``development'' of ``intrusion software.''
Note 1: 4E001.a and .c do not apply to ``vulnerability disclosure''
or ``cyber incident response''.
Note 2: Note 1 does not diminish national authorities' rights to
ascertain compliance with 4E001.a and .c.
4E906 ``Technology'' according to the General Technology Note as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ Worldwide control. See Sec.
742.4(a)(5) and (b)(10) of
the EAR.
RS applies to the entire entry............ Worldwide control. See Sec.
742.6(a)(10) and (b)(11)
of the EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Special Reporting: Deemed exports and deemed reexports of
``technology'' specified in this ECCN are subject to reporting
requirements in accordance with Sec. 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
IEC: Yes, see Sec. 740.2(a)(22) and Sec. 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' or ``production'' of items
controlled by 4A906.b, 4A906.c, or 4D906;
b. ``Technology'' for ``use'' of ``software'' controlled by 4D906.
4E980 ``Technology'' for the ``development,'' ``production'' or ``use''
of commodities controlled by 4A980.
License Requirements
Reason for Control: CC, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
CC applies to entire entry................ CC Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
4E992 `` Technology'' other than that controlled in 4E001 for the
``development,'' ``production,'' or ``use'' of equipment
controlled by 4A994, or ``software'' controlled by 4D993 or
4D994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
4E993 `` Technology'' for the ``development'' or ``production'' of
equipment designed for ``multi-data-stream processing.''
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
[[Page 537]]
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Technical Note on ``Adjusted Peak Performance'' (``APP'')
``APP'' is an adjusted peak rate at which ``digital computers''
perform 64-bit or larger floating point additions and multiplications.
Abbreviations used in this Technical Note n number of processors in
the ``digital computer''
I processor number (i . . . . n)
ti processor cycle time (ti = 1/Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
``APP'' is expressed in Weighted TeraFLOPS (WT), in units of 10\12\
adjusted floating point operations per second.
Outline of ``APP'' calculation method 1. For each processor i,
determine the peak number of 64-bit or larger floating-point operations,
FPOi, performed per cycle for each processor in the ``digital
computer''.
Note In determining FPO, include only 64-bit or larger floating
point additions or multiplications. All floating point operations must
be expressed in operations per processor cycle; operations requiring
multiple cycles may be expressed in fractional results per cycle. For
processors not capable of performing calculations on floating-point
operands of 64-bits or more the effective calculating rate R is zero.
2. Calculate the floating point rate R for each processor
Ri = FPOi/ti.
3. Calculate ``APP'' as
``APP'' = W1 x R1 + W2 x
R2 + . . . + Wn x Rn.
4. For 'vector processors', Wi = 0.9. For non-'vector
processors', Wi = 0.3.
Note 1: For processors that perform compound operations in a cycle,
such as an addition and multiplication, each operation is counted.
Note 2: For a pipelined processor the effective calculating rate R
is the faster of the pipelined rate, once the pipeline is full, or the
non-pipelined rate.
Note 3: The calculating rate R of each contributing processor is to
be calculated at its maximum value theoretically possible before the
``APP'' of the combination is derived. Simultaneous operations are
assumed to exist when the computer manufacturer claims concurrent,
parallel, or simultaneous operation or execution in a manual or brochure
for the computer.
Note 4: Do not include processors that are limited to input/output
and peripheral functions (e.g., disk drive, communication and video
display) when calculating ``APP''.
Note 5: ``APP'' values are not to be calculated for processor
combinations(inter)connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 6: ``APP'' values must be calculated for processor combinations
containing processors ``specially designed'' to enhance performance by
aggregation, operating simultaneously and sharing memory.
Technical Notes 1. Aggregate all processors and accelerators
operating simultaneously and located on the same die.
2. Processor combinations share memory when any processor is capable
of accessing any memory location in the system through the hardware
transmission of cache lines or memory words, without the involvement of
any software mechanism, which may be achieved using ``electronic
assemblies'' specified in 4A003.c, z.1, or z.3.
Note 7: A 'vector processor' is defined as a processor with built-in
instructions that perform multiple calculations on floating-point
vectors (one-dimensional arrays of 64-bit or larger numbers)
simultaneously, having at least 2 vector functional units and at least 8
vector registers of at least 64 elements each.
Category 5--Telecommunications and ``Information Security''
Part 1--Telecommunications
Notes: 1. The control status of ``components'', test and
``production'' equipment, and ``software'' therefor which are
``specially designed'' for telecommunications equipment or systems is
determined in Category 5, Part 1.
N.B.: For ``lasers'' ``specially designed'' for telecommunications
equipment or systems, see ECCN 6A005.
2. ``Digital computers'', related equipment or ``software'', when
essential for the operation and support of telecommunications equipment
described in this Category, are regarded as ``specially designed''
``components'', provided they are the standard models customarily
supplied by the manufacturer. This includes operation, administration,
maintenance, engineering or billing computer systems.
3. Commodities in ECCN 5A001.j, and related ``software'' specified
in 5D001.c (for 5A001.j) that are also controlled in ECCNs 5A002.a,
5A002.z.1, 5A002.z.6, 5A004.a, 5A004.b, 5A004.z, 5D002.c.1, 5D002.c.3,
5D002.z.6, 5D002.z.8, or z 5D002.z.9, remain controlled in Category 5--
Part 2 by those entries. Category 5--Part 2 does not apply to elements
of source code that implement functionality controlled by these Category
5 Part 1 ECCNs, or to any item subject to the EAR where Encryption Item
(EI) functionality is absent, removed or otherwise non-existent.
4. Items in ECCN 5A001.j, 5B001.a (for 5A001.j), related
``software'' specified in 5D001.a (for 5A001.j) and 5D001.c (for 5A001.j
or 5B001.a (for 5A001.j)) and related ``technology'' specified in ECCN
5E001.a (for 5A001.j and 5D001.a (for 5A001.j)) that are also controlled
for Surreptitious Listening (SL) reasons under another
[[Page 538]]
ECCN, will continue to be classified under the SL ECCN.
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
5A001 Telecommunications systems, equipment, ``components'' and
``accessories,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No.1 to part 738)
------------------------------------------------------------------------
NS applies to 5A001.a, b.5, .e, .f.3 and NS Column 1.
.h.
NS applies to 5A001.b (except .b.5), .c, NS Column 2.
.d, .f (except f.3), .g, and .j.
SL applies to 5A001.f.1................... A license is required for
all destinations, as
specified in Sec. 742.13
of the EAR. Accordingly, a
column specific to this
control does not appear on
the Commerce Country Chart
(Supplement No. 1 to Part
738 of the EAR).
Note to SL paragraph: This
licensing requirement does
not supersede, nor does it
implement, construe or
limit the scope of any
criminal statute,
including, but not limited
to the Omnibus Safe Streets
Act of 1968, as amended.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; $5000 for 5A001.b.1, .b.2,
.b.3, .b.6, .d, f.2, f.4, and .g; $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
ACE: Yes for 5A001.j, except to Country Group E:1 or E:2. See Sec.
740.22 of the EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.j to any of the destinations listed in Country Group A:5 or A:6
(See Supplement No. 1 to part 740 of the EAR), or any commodity in
5A001.b.3, .b.5 or .h to any of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See USML Category XI for controls on direction-
finding ``equipment'' including types of ``equipment'' in ECCN 5A001.e
and any other military or intelligence electronic ``equipment'' that is
``subject to the ITAR.'' (2) See USML Category XI(a)(4)(iii) for
controls on electronic attack and jamming ``equipment'' defined in
5A001.f and .h that are subject to the ITAR. (3) The act of
incorporating a radiation hardened integrated circuit into
telecommunications equipment that is specified under ECCN 5A991 or
designated as EAR99 does not, in and of itself, cause the
telecommunications equipment to meet the specifications of ECCN
paragraph 5A001.a.2. (4) See also ECCNs 5A101, 5A980, and 5A991.
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a nuclear
explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. ``Specially designed'' to operate below 218 K (-55 [deg]C); or
a.4. ``Specially designed'' to operate above 397 K (124 [deg]C);
Note: 5A001.a.3 and 5A001.a.4 apply only to electronic equipment.
b. Telecommunication systems and equipment, and ``specially
designed'' ``components'' and ``accessories'' therefor, having any of
the following characteristics, functions or features:
b.1 Being underwater untethered communications systems having any of
the following:
b.1.a. An acoustic carrier frequency outside the range from 20 kHz
to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz; or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs), with an
output wavelength greater than 400 nm and less than 700 nm, in a ``local
area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band
and having all of the following:
b.2.a.. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power amplifier configuration having a
capability to support multiple signals simultaneously at an output power
of 1 kW or more in the frequency range of 1.5 MHz or more but less than
30 MHz, or 250 W or more in the frequency range of 30 MHz or more but
not exceeding 87.5 MHz, over an ``instantaneous bandwidth'' of one
octave or more and with an output harmonic and distortion content of
better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum'' techniques,
including
[[Page 539]]
``frequency hopping'' techniques, not controlled in 5A001.b.4 and having
any of the following:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times the
bandwidth of any one information channel and in excess of 50 kHz;
Note: 5A001.b.3.b does not control radio equipment ``specially
designed'' for use with any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
Note: 5A001.b.3 does not control equipment operating at an output
power of 1 W or less.
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of the
following:
b.5.a. More than 1,000 channels;
b.5.b. A 'channel switching time' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment ``specially
designed'' for use with civil cellular radio-communications systems.
Technical Note: For the purposes of 5A001.b.5.b, 'channel switching
time' means the time (i.e., delay) to change from one receiving
frequency to another, to arrive at or within 0.05%
of the final specified receiving frequency. Items having a specified
frequency range of less than 0.05% around their
center frequency are defined to be incapable of channel frequency
switching.
b.6. Employing functions of digital ``signal processing'' to provide
'voice coding' output at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate 'voice coding', 5A001.b.6 applies to the 'voice
coding' output of continuous speech.
2. For the purposes of 5A001.b.6, 'voice coding' is defined as the
technique to take samples of human voice and then convert these samples
of human voice into a digital signal taking into account specific
characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by the
manufacturer as being capable of withstanding a 'proof test' tensile
stress of 2 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
Technical Note: For the purposes of 5A001.c, 'proof test' is the on-
line or off-line production screen testing that dynamically applies a
prescribed tensile stress over a 0.5 to 3 m length of fiber at a running
rate of 2 to 5 m/s while passing between capstans approximately 150 mm
in diameter. The ambient temperature is a nominal 293 K (20 [deg]C) and
relative humidity 40%. Equivalent national standards may be used for
executing the proof test.
d. ``Electronically steerable phased array antennae'' as follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57 GHz,
and having an Effective Radiated Power (ERP) equal to or greater than
+20 dBm (22.15 dBm Effective Isotropic Radiated Power (EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz, and
having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz, and
having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note 1: 5A001.d does not control 'electronically steerable phased
array antennae' for landing systems with instruments meeting ICAO
standards covering Microwave Landing Systems (MLS).
Note 2: 5A001.d does not apply to antennae ``specially designed''
for any of the following:
a. Civil cellular or WLAN radio-communications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations for commercial civil
telecommunications.
Technical Note: For the purposes of 5A001.d, 'electronically
steerable phased array antenna' is an antenna which forms a beam by
means of phase coupling, (i.e., the beam direction is controlled by the
complex excitation coefficients of the radiating elements) and the
direction of that beam can be varied (both in transmission and
reception) in azimuth or in elevation, or both, by application of an
electrical signal.
e. Radio direction finding equipment operating at frequencies above
30 MHz and having all of the following, and ``specially designed''
``components'' therefor:
e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-cooperating
radio transmitters with a signal duration of less than 1 ms;
f. Mobile telecommunications interception or jamming equipment, and
monitoring equipment therefor, as follows, and ``specially designed''
``components'' therefor:
f.1. Interception equipment designed for the extraction of voice or
data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed for
the extraction of client device or subscriber identifiers (e.g., IMSI,
TIMSI or IMEI), signaling, or other metadata transmitted over the air
interface;
[[Page 540]]
f.3. Jamming equipment ``specially designed'' or modified to
intentionally and selectively interfere with, deny, inhibit, degrade or
seduce mobile telecommunication services and performing any of the
following:
f.3.a. Simulate the functions of Radio Access Network (RAN)
equipment;
f.3.b. Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or modified
to identify the operation of items specified in 5A001.f.1, 5A001.f.2 or
5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the following:
a. Equipment ``specially designed'' for the interception of analog
Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network
operators; or
c. Equipment designed for the ``development'' or ``production'' of
mobile telecommunications equipment or systems.
N.B. 1: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120-130). For items specified by 5A001.f.1
(including as previously specified by 5A001.i), see also 5A980 and the
U.S. Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment, ``specially
designed'' for detecting and tracking moving objects by measuring
reflections of ambient radio frequency emissions, supplied by non-radar
transmitters.
Technical Note: For the purposes of 5A001.g, non-radar transmitters
may include commercial radio, television or cellular telecommunications
base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission from
the target.
h. Counter Improvised Explosive Device (IED) equipment and related
equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified by
5A001.f, designed or modified for prematurely activating or preventing
the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio
communications in the same frequency channels on which co-located
equipment specified by 5A001.h.1 is transmitting.
N.B.: See also Category XI of the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120-130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
j. IP network communications surveillance systems or equipment, and
``specially designed'' components therefor, having all of the following:
j.1. Performing all of the following on a carrier class IP network
(e.g., national grade IP backbone):
j.1.a. Analysis at the application layer (e.g., Layer 7 of Open
Systems Interconnection (OSI) model (ISO/IEC 7498-1));
j.1.b. Extraction of selected metadata and application content
(e.g., voice, video, messages, attachments); and
j.1.c. Indexing of extracted data; and
j.2. Being ``specially designed'' to carry out all of the following:
j.2.a. Execution of searches on the basis of ``hard selectors''; and
j.2.b. Mapping of the relational network of an individual or of a
group of people.
Note: 5A001.j does not apply to ``systems'' or ``equipment'',
``specially designed'' for any of the following:
a. Marketing purpose;
b. Network Quality of Service (QoS); or
c. Quality of Experience (QoE).
N.B.: See also the International Traffic in Arms Regulations (ITAR)
(22 CFR parts 120-130). Defense articles described in USML Category
XI(b) are ``subject to the ITAR.''
5A101 Telemetering and telecontrol equipment, including ground
equipment, designed or modified for unmanned aerial vehicle
(including cruise missiles, target drones, and reconnaissance
drones) or rocket systems (including ballistic missiles, space
launch vehicles, and sounding rockets) capable of a maximum
``range'' equal to or greater than 300 km.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: 5A101 does not control:
1. Telecontrol equipment ``specially designed'' to be used for
remote control of recreational model planes, boats or vehicles and
having an electric field strength of not more than 200 microvolts per
meter at a distance of 500 meters;
2. Equipment designed or modified for manned aircraft or satellites;
[[Page 541]]
3. Ground based equipment designed or modified for terrestrial or
marine applications;
4. Equipment designed for commercial, civil, or safety of life
(e.g., data integrity or flight safety) Global Navigation Satellite
System services.
Note: ECCN 5A101 does not include items not designed or modified for
unmanned aerial vehicles (including cruise missiles, target drones, and
reconnaissance drones) or rocket systems (including ballistic missiles,
space launch vehicles and sounding rockets) capable of a maximum
``range'' equal to or greater than 300km (e.g., telemetry circuit cards
limited by design to reception only and designed for use in personal
computers).
5A611 Telecommunications equipment, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefor, ``specially designed'' for a military application
that are not enumerated in any USML category are controlled by
ECCN 3A611.
5A980 Devices primarily useful for the surreptitious interception of
wire, oral, or electronic communications, other than those
controlled under 5A001.f.1; and ``parts,'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: SL, AT
Control(s): SL and AT apply to entire entry. A license is required for
all destinations, as specified in Sec. 742.13 of the EAR. Accordingly,
a column specific to this control does not appear on the Commerce
Country Chart (Supplement No. 1 to Part 738 of the EAR).
Note: This licensing requirement does not supersede, nor does it
implement, construe or limit the scope of any criminal statute,
including, but not limited to the Omnibus Safe Streets Act of 1968, as
amended.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Unit: $ value.
Related Controls: (1) See ECCN 5A001.f.1 for systems or equipment,
``specially designed'' or modified to intercept and process the air
interface of 'mobile telecommunications', and ``specially designed''
components therefor. (2) See ECCN 5D980 for ``software'' for the
``development'', ``production'' or ``use'' of equipment controlled by
5A980. (3) See ECCN 5E980 for the ``technology'' for the
``development'', ``production'', and ``use'' of equipment controlled by
5A980.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5A991 Telecommunication equipment, not controlled by 5A001 (see List of
Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 5E101 and 5E991.
Related Definitions: (1) ``Asynchronous transfer mode'' (``ATM'') is a
transfer mode in which the information is organized into cells; it is
asynchronous in the sense that the recurrence of cells depends on the
required or instantaneous bit rate. (2) ``Bandwidth of one voice
channel'' is data communication equipment designed to operate in one
voice channel of 3,100 Hz, as defined in CCITT Recommendation G.151. (3)
``Communications channel controller'' is the physical interface that
controls the flow of synchronous or asynchronous digital information. It
is an assembly that can be integrated into computer or
telecommunications equipment to provide communications access. (4)
``Datagram'' is a self-contained, independent entity of data carrying
sufficient information to be routed from the source to the destination
data terminal equipment without reliance on earlier exchanges between
this source and destination data terminal equipment and the transporting
network. (5) ``Fast select'' is a facility applicable to virtual calls
that allows data terminal equipment to expand the possibility to
transmit data in call set-up and clearing ``packets'' beyond the basic
capabilities of a virtual call. (6) ``Gateway'' is the function,
realized by any combination of equipment and ``software'', to carry out
the conversion of conventions for representing, processing or
communicating information used on one system into the corresponding, but
different conventions used in another system. (7) ``Integrated Services
Digital Network'' (ISDN) is a unified end-to-end digital network, in
which data originating from all types of communication (e.g., voice,
text, data, still and moving pictures) are transmitted from one port
(terminal) in the exchange (switch) over one access line to and from the
subscriber. (8) ``Packet'' is a group of binary digits including data
and call control signals that is switched as a composite whole. The
data, call control signals, and possible error control information are
arranged in a specified format.
[[Page 542]]
Items: a. Any type of telecommunications equipment, not controlled by
5A001.a, ``specially designed'' to operate outside the temperature range
from 219 K (-54 [deg]C) to 397 K (124 [deg]C).
b. Telecommunication transmission equipment and systems, and
``specially designed'' ``parts,'' ``components'' and ``accessories''
therefor, having any of the following characteristics, functions or
features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via any
of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing of
analog signals, and designed to operate at a ``digital transfer rate''
at the highest multiplex level exceeding 45 Mbit/s or a ``total digital
transfer rate'' exceeding 90 Mbit/s;
Note: 5A991.b.1 does not control equipment ``specially designed'' to
be integrated and operated in any satellite system for civil use.
b.2. Modems using the ``bandwidth of one voice channel'' with a
``data signaling rate'' exceeding 9,600 bits per second;
b.3. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
b.4. Being equipment containing any of the following:
b.4.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
b.4.b. ``Communication channel controllers'' with a digital output
having a ``data signaling rate'' exceeding 64,000 bit/s per channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications interface,
except those described in, but not controlled by 5A991.b.4.
b.5. Employing a ``laser'' and having any of the following
characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth exceeding
45 MHz;
Note: 5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent optical
detection techniques (also called optical heterodyne or homodyne
techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing ``optical amplification'';
b.6. Radio equipment operating at input or output frequencies
exceeding:
b.6.a. 31 GHz for satellite-earth station applications; or
b.6.b. 26.5 GHz for other applications;
Note: 5A991.b.6. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level
4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the ``total digital transfer
rate'' is equal to or less than 8.5 Mbit/s;
b.7.c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/s/Hz; or
b.7.d. Operating in the 1.5 MHz to 87.5 MHz band and incorporating
adaptive techniques providing more than 15 dB suppression of an
interfering signal.
Notes: 1. 5A991.b.7 does not control equipment ``specially
designed'' to be integrated and operated in any satellite system for
civil use.
2. 5A991.b.7 does not control radio relay equipment for operation in
an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5 Mbit/
s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/s/Hz.
c. ``Stored program controlled'' switching equipment and related
signaling systems, having any of the following characteristics,
functions or features, and ``specially designed'' ``parts,''
``components'' and ``accessories'' therefor:
Note: Statistical multiplexers with digital input and digital output
which provide switching are treated as ``stored program controlled''
switches.
[[Page 543]]
c.1. ``Data (message) switching'' equipment or systems designed for
``packet-mode operation'' and ``parts,'' electronic assemblies and
``components'' therefor, n.e.s.
c.2. [Reserved]
c.3. Routing or switching of ``datagram'' packets;
c.4. [Reserved]
Note: The restrictions in 5A991.c.3 do not apply to networks
restricted to using only ``network access controllers'' or to ``network
access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5 does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
c.8. ``Common channel signaling'' operating in either non-associated
or quasi-associated mode of operation;
c.9. ``Dynamic adaptive routing'';
c.10. Being packet switches, circuit switches and routers with ports
or lines exceeding any of the following:
c.10.a. A ``data signaling rate'' of 64,000 bit/s per channel for a
``communications channel controller''; or
Note: 5A991.c.10.a does not control multiplex composite links
composed only of communication channels not individually controlled by
5A991.b.1.
c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media;
Note: 5A991.c.10 does not control packet switches or routers with
ports or lines not exceeding the limits in 5A991.c.10.
c.11. ``Optical switching'';
c.12. Employing ``Asynchronous Transfer Mode'' (``ATM'') techniques.
d. Optical fibers and optical fiber cables of more than 50 m in
length designed for single mode operation;
e. Centralized network control having all of the following
characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic not
requiring operator decisions, and thereby performing ``dynamic adaptive
routing'';
Note: 5A991.e does not preclude control of traffic as a function of
predictable statistical traffic conditions.
f. Phased array antennas, operating above 10.5 GHz, containing
active elements and distributed ``parts'' or ``components,'' and
designed to permit electronic control of beam shaping and pointing,
except for landing systems with instruments meeting International Civil
Aviation Organization (ICAO) standards (microwave landing systems
(MLS)).
g. Mobile communications equipment, n.e.s., and ``parts,''
electronic assemblies and ``components'' therefor; or
h. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and ``parts'' and
``components'' therefor, n.e.s.
B. ``Test'', ``Inspection'' and ``Production Equipment''
5B001 Telecommunication test, inspection and production equipment,
``components'' and ``accessories,'' as follows (See List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $5000, except N/A for 5B001.a (for 5A001.j)
GBS: Yes, except N/A for 5B001.a (for 5A001.j)
ACE: Yes for 5B001.a (for equipment and ``specially designed''
``components'' or ``accessories'' therefor, ``specially designed'' for
the ``development'' or ``production'' of equipment, functions or
features, controlled by 5A001.j), except to Country Group E:1 or E:2.
See Sec. 740.22 of the EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship 5B001.a equipment and
``specially designed'' components or ``accessories'' therefor,
``specially designed'' for the ``development'' or ``production'' of
equipment, functions or features specified by in ECCN 5A001.b.3, .b.5 or
.h to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR) and 5A001.j to any of the
destinations listed in Country Group A:5 or A:6.
List of Items Controlled
Related Controls: See also 5B991.
Related Definition: N/A
Items:
a. Equipment and ``specially designed'' ``components'' or
``accessories'' therefor, ``specially designed'' for the ``development''
[[Page 544]]
or ``production'' of equipment, functions or features, controlled by
5A001;
Note: 5B001.a does not apply to optical fiber characterization
equipment.
b. Equipment and ``specially designed'' ``components'' or
``accessories'' therefor, ``specially designed'' for the ``development''
of any of the following telecommunication transmission or switching
equipment:
b.1. [Reserved]
b.2. Equipment employing a ``laser'' and having any of the
following:
b.2.a. A transmission wavelength exceeding 1750 nm; or
b.2.b. [Reserved]
b.2.c. [Reserved]
b.2.d. Employing analog techniques and having a bandwidth exceeding
2.5 GHz; or
Note: 5B001.b.2.d. does not include equipment ``specially designed''
for the ``development'' of commercial TV systems.
b.3. [Reserved]
b.4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM)
techniques above level 1,024.
5B991 Telecommunications test equipment, n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
C. ``Materials''
5C991 Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A991.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
D. ``Software''
5D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
SL applies to the entire entry as A license is required for
applicable for equipment, functions, all destinations, as
features, or characteristics controlled specified in Sec. 742.13
by 5A001.f.1. of the EAR. Accordingly, a
column specific to this
control does not appear on
the Commerce Country Chart
(Supplement No. 1 to Part
738 of the EAR).
Note to SL paragraph: This
licensing requirement does
not supersede, nor does it
implement, construe or
limit the scope of any
criminal statute,
including, but not limited
to the Omnibus Safe Streets
Act of 1968, as amended.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions
(See Part 740 for a description of all license exceptions).
TSR: Yes, except for exports and reexports to destinations outside of
those countries listed in Country Group A:5 (See Supplement No. 1 to
part 740 of the EAR) of ``software'' controlled by 5D001.a and
``specially designed'' for items controlled by 5A001.b.5 and 5A001.h,
and N/A for ``software'' classified under ECCN 5D001.a (for 5A001.j) or
5D001.c (for 5A001.j or 5B001.a (for 5A001.j)).
ACE: Yes for 5D001.a (for 5A001.j) and 5D001.c (for 5A001.j or 5B001.a
(for 5A001.j)), except to Country Group E:1 or E:2. See Sec. 740.22 of
the EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit 5D001.a
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment, functions or features, specified by ECCN
5D001.a (for 5A001.j) and 5D001.c (for 5A001.j or 5B001.a (for 5A001.j))
to any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR); 5A001.b.3, .b.5 or .h; and for
5D001.b. for ``software'' ``specially designed'' or modified to support
``technology'' specified by the STA paragraph in the License Exception
section of ECCN 5E001 to any of the destinations listed in Country Group
A:6.
List of Items Controlled
[[Page 545]]
Related Controls: See also 5D980 and 5D991.
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment, functions or
features controlled by 5A001;
b. [Reserved]
c. Specific ``software'' ``specially designed'' or modified to
provide characteristics, functions or features of equipment, controlled
by 5A001 or 5B001;
d. ``Software'' ``specially designed'' or modified for the
``development'' of any of the following telecommunication transmission
or switching equipment:
d.1. [Reserved]
d.2. Equipment employing a ``laser'' and having any of the
following:
d.2.a. A transmission wavelength exceeding 1,750 nm; or
d.2.b. Employing analog techniques and having a bandwidth exceeding
2.5 GHz; or
Note: 5D001.d.2.b does not control ``software'' ``specially
designed'' or modified for the ``development'' of commercial TV systems.
d.3. [Reserved]
d.4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM)
techniques above level 1,024.
e. ``Software'', other than that specified by 5D001.a or 5D001.c,
``specially designed'' or modified for monitoring or analysis by law
enforcement, providing all of the following:
e.1. Execution of searches on the basis of ``hard selectors'' of
either the content of communication or metadata acquired from a
communications service provider using a 'handover interface'; and
Technical Notes:
1. For the purposes of 5D001.e, a 'handover interface' is a physical
and logical interface, designed for use by an authorised law enforcement
authority, across which targeted interception measures are requested
from a communications service provider and the results of interception
are delivered from a communications service provider to the requesting
authority. The 'handover interface' is implemented within systems or
equipment (e.g., mediation devices) that receive and validate the
interception request, and deliver to the requesting authority only the
results of interception that fulfil the validated request.
2. 'Handover interfaces' may be specified by international standards
(including but not limited to ETSI TS 101 331, ETSI TS 101 671, 3GPP TS
33.108) or national equivalents.
e.2. Mapping of the relational network or tracking the movement of
targeted individuals based on the results of searches on content of
communication or metadata or searches as described in 5D001.e.1.
Note: 5D001.e does not apply to ``software'' ``specially designed''
or modified for any of the following:
a. Billing purposes;
b. Network Quality of Service (QoS);
c. Quality of Experience (QoE);
d. Mediation devices; or
e. Mobile payment or banking use.
5D101 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled by 5A101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5D980 Other ``software'', other than that controlled by 5D001 (for the
equipment, functions, features, or characteristics controlled
by 5A001. f.1, or to support certain ``technology'' controlled
by 5E001.a), as follows (see List of Items Controlled).
License Requirements
Reason for Control: SL, AT
Controls: SL and AT apply to entire entry. A license is required for all
destinations, as specified in Sec. 742.13 of the EAR. Accordingly, a
column specific to this control does not appear on the Commerce Country
Chart (Supplement No. 1 to Part 738 of the EAR).
Note: This licensing requirement does not supersede, nor does it
implement, construe or limit the scope of any criminal statute,
including, but not limited to the Omnibus Safe Streets Act of 1968, as
amended.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See also 5D001.a and .c for software controls for
equipment, functions, features or characteristics controlled by
5A001.f.1 and also 5D001.b for controls on ``software'' ``specially
designed'' or modified to support ``technology'' controlled by 5E001.a
(for 5A001.f.1 equipment, functions or features, and for 5D001.a
``software'' for 5A001.f.1 equipment). See 5E980 for ``technology'' for
the ``development'', ``production'', and ``use'' of equipment controlled
by 5A980 or ``software'' controlled by 5D980.
Related Definitions: N/A
Items: a. ``Software'' primarily useful for the surreptitious
interception of wire, oral, and electronic communications.
[[Page 546]]
b. ``Software'' primarily useful for the ``development'',
``production'', or ``use'' of equipment controlled by 5A980.
5D991 ``Software'' ``specially designed'' or modified for the
``development,'' ``production'' or ``use'' of equipment
controlled by 5A991 and 5B991, and dynamic adaptive routing
software as described as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'', other than in machine-executable form,
``specially designed'' for ``dynamic adaptive routing''.
b. [Reserved]
E. ``Technology''
5E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
SL applies to ``technology'' for the A license is required for
``development'' or ``production'' of all destinations, as
equipment, functions or features specified in Sec. 742.13
controlled by 5A001.f.1, or for the of the EAR. Accordingly, a
``development'' or ``production'' of column specific to this
``software'' controlled by ECCN 5D001.a control does not appear on
(for 5A001.f.1). the Commerce Country Chart
(Supplement No. 1 to Part
738 of the EAR).
Note to SL paragraph: This
licensing requirement does
not supersede, implement,
construe or limit the scope
of any criminal statute,
including, but not limited
to, the Omnibus Safe
Streets Act of 1968, as
amended.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for Description of All
License Exceptions)
TSR: Yes, except for exports or reexports to destinations outside of
those countries listed in Country Group A:5 (See Supplement No. 1 to
part 740 of the EAR) of ``technology'' controlled by 5E001 for the
``development'' or ``production'' of the following:
(1) Items controlled by 5A001.b.5, .h or .j;
(2) ``Software'' controlled by 5D001.a that is ``specially designed''
for the ``development'' or ``production'' of equipment, functions or
features controlled by 5A001.b.5, 5A001.h, 5A001.j, or 5B001.a (for
5A001.j); or
(3) ``Software'' controlled by 5D001.c (for 5A001.j or 5B001.a (for
5A001.j)).
ACE: Yes, for 5E001.a (for 5A001.j, 5B001.a (for 5A001.j), 5D001.a (for
5A001.j), or 5D001.c (for 5A001.j or 5B001.a (for 5A001.j))) except to
Country Group E:1 or E:2. See Sec. 740.22 of the EAR for eligibility
criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment, functions or features
specified by 5A001.b.3, .b.5 or .h; or for ``software'' in 5D001.a or
.c, that is specified in the STA paragraph in the License Exception
section of ECCN 5D001 to any of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of the EAR); or ``technology''
specified in 5E001.a according to the General Technology Note for the
``development'' or ``production'' of equipment, functions or features
specified by 5A001.j, 5B001.a (for 5A001.j), 5D001.a (for 5A001.j),
5D001.c (for 5A001.j or 5B001.a) to any destinations listed in Country
Group A:5 or A:6.
List of Items Controlled
Related Controls: (1) See also 5E101, 5E980 and 5E991. (2)
``Technology'' for ``development'' or ``production'' of ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') amplifiers that meet the
control criteria given at 3A001.b.2 or .z (for commodities also
described in 3A001.b.2) is controlled in 3E001; 5E001.d refers only to
that additional ``technology'' ``required'' for telecommunications.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' (excluding operation) of
equipment, functions or features, controlled by 5A001 or ``software''
controlled by 5D001.a or 5D001.e.
b. Specific ``technology'', as follows:
b.1. ``Technology'' ``required'' for the ``development'' or
``production'' of telecommunications equipment ``specially designed'' to
be used on board satellites;
b.2. ``Technology'' for the ``development'' or ``use'' of ``laser''
communication techniques with the capability of automatically acquiring
and tracking signals and maintaining communications through
exoatmosphere or sub-surface (water) media;
[[Page 547]]
b.3. ``Technology'' for the ``development'' of digital cellular
radio base station receiving equipment whose reception capabilities that
allow multi-band, multi-channel, multi-mode, multi-coding algorithm or
multi-protocol operation can be modified by changes in ``software'';
b.4. ``Technology'' for the ``development'' of ``spread spectrum''
techniques, including ``frequency hopping'' techniques.
Note: 5E001.b.4 does not apply to ``technology'' for the
``development'' of any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
c. ``Technology'' according the General Technology Note for the
``development'' or ``production'' of any of the following:
c.1. [Reserved]
c.2. Equipment employing a ``laser'' and having any of the
following:
c.2.a. A transmission wavelength exceeding 1,750 nm;
c.2.b. [Reserved]
c.2.c. [Reserved]
c.2.d. Employing wavelength division multiplexing techniques of
optical carriers at less than 100 GHz spacing; or
c.2.e. Employing analog techniques and having a bandwidth exceeding
2.5 GHz;
Note: 5E001.c.2.e does not control ``technology'' for commercial TV
systems.
N.B.: For ``technology'' for the ``development'' or ``production''
of non-telecommunications equipment employing a ``laser'', see Product
Group E of Category 6, e.g., 6E00x
c.3. Equipment employing ``optical switching'' and having a
switching time less than 1 ms; or
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above level
1,024; or
c.4.b. Operating at input or output frequencies exceeding 31.8 GHz;
or
Note: 5E001.c.4.b does not control ``technology'' for equipment
designed or modified for operation in any frequency band which is
``allocated by the ITU'' for radio-communications services, but not for
radio-determination.
c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and incorporating
adaptive techniques providing more than 15 dB suppression of an
interfering signal; or
c.5. [Reserved]
c.6. Mobile equipment having all of the following:
c.6.a. Operating at an optical wavelength greater than or equal to
200nm and less than or equal to 400nm; and
c.6.b. Operating as a ``local area network'';
d. ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers ``specially designed'' for
telecommunications and that are any of the following:
Technical Note: For purposes of 5E001.d, the parameter peak
saturated power output may also be referred to on product data sheets as
output power, saturated power output, maximum power output, peak power
output, or peak envelope power output.
d.1. Rated for operation at frequencies exceeding 2.7 GHz up to and
including 6.8 GHz with a ``fractional bandwidth'' greater than 15%, and
having any of the following:
d.1.a. A peak saturated power output greater than 75 W (48.75 dBm)
at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
d.1.b. A peak saturated power output greater than 55 W (47.4 dBm) at
any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
d.1.c. A peak saturated power output greater than 40 W (46 dBm) at
any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
d.1.d. A peak saturated power output greater than 20 W (43 dBm) at
any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
d.2. Rated for operation at frequencies exceeding 6.8 GHz up to and
including 16 GHz with a ``fractional bandwidth'' greater than 10%, and
having any of the following:
d.2.a. A peak saturated power output greater than 10W (40 dBm) at
any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
d.2.b. A peak saturated power output greater than 5W (37 dBm) at any
frequency exceeding 8.5 GHz up to and including 16 GHz;
d.3. Rated for operation with a peak saturated power output greater
than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and
including 31.8 GHz, and with a ``fractional bandwidth'' of greater than
10%;
d.4. Rated for operation with a peak saturated power output greater
than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up to and
including 37 GHz;
d.5. Rated for operation with a peak saturated power output greater
than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including
43.5 GHz, and with a ``fractional bandwidth'' of greater than 10%;
d.6. Rated for operation with a peak saturated power output greater
than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and
including 75 GHz, and with a ``fractional bandwidth'' of greater than
10%;
d.7. Rated for operation with a peak saturated power output greater
than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and
including 90 GHz, and with a ``fractional bandwidth'' of greater than
5%; or
d.8. Rated for operation with a peak saturated power output greater
than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
e. ``Technology'' according to the General Technology Note for the
``development'' or
[[Page 548]]
``production'' of electronic devices and circuits, ``specially
designed'' for telecommunications and containing ``components''
manufactured from ``superconductive'' materials, ``specially designed''
for operation at temperatures below the ``critical temperature'' of at
least one of the ``superconductive'' constituents and having any of the
following:
e.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
e.2. Frequency selection at all frequencies using resonant circuits
with Q-values exceeding 10,000.
5E101 ``Technology'' according to the General Technology Note for the
``development,'' ``production'' or ``use'' of equipment or
software controlled by 5A101 or 5D101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5E980 ``Technology'', other than that controlled by 5E001.a (for
5A001.f.1, and for 5D001.a (for 5A001.f.1)), primarily useful
for the ``development'', ``production'', or ``use'' of
equipment, functions or features, of equipment controlled by
5A980 or ``software'' controlled by 5D980.
License Requirements
Reason for Control: SL, AT
Controls: SL and AT apply to entire entry. A license is required for all
destinations, as specified in Sec. 742.13 of the EAR. Accordingly, a
column specific to this control does not appear on the Commerce Country
Chart (Supplement No. 1 to Part 738 of the EAR).
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See also 5D001.a and .c (for 5A001.f.1 equipment),
5D001.b (supporting 5E001.a ``technology'' for 5A001.f.1 equipment, or
for 5D001.a ``software'' (for 5A001.f.1equipment)), and 5E001.a (for
5A001.f.1 equipment, or for 5D001.a ``software'' for 5A001.f.1
equipment).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5E991 ``Technology'' for the ``Development'', ``Production'' or ``Use''
of Equipment Controlled by 5A991 or 5B991, or ``Software''
Controlled by 5D991, and Other ``Technologies'' as Follows
(see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: (1) ``Synchronous digital hierarchy'' (SDH) is a
digital hierarchy providing a means to manage, multiplex, and access
various forms of digital traffic using a synchronous transmission format
on different types of media. The format is based on the Synchronous
Transport Module (STM) that is defined by CCITT Recommendation G.703,
G.707, G.708, G.709 and others yet to be published. The first level rate
of `SDH' is 155.52 Mbits/s. (2) `Synchronous optical network' (SONET) is
a network providing a means to manage, multiplex and access various
forms of digital traffic using a synchronous transmission format on
fiber optics. The format is the North America version of `SDH' and also
uses the Synchronous Transport Module (STM). However, it uses the
Synchronous Transport Signal (STS) as the basic transport module with a
first level rate of 51.81 Mbits/s. The SONET standards are being
integrated into those of `SDH'.
Items: a. Specific ``technologies'' as follows:
a.1. ``Technology'' for the processing and application of coatings
to optical fiber ``specially designed'' to make it suitable for
underwater use;
a.2. ``Technology'' for the ``development'' of equipment employing
`Synchronous Digital Hierarchy' (`SDH') or `Synchronous Optical Network'
(`SONET') techniques.
Part 2--``Information Security''
Note 1: [Reserved]
Note 2: Category 5--Part 2, ``information security'' products, when
accompanying their user for the user's personal use or as tools of
trade, are eligible for License Exceptions TMP or BAG, subject to the
terms and conditions of these license exceptions.
[[Page 549]]
Note 3: Cryptography Note: ECCNs 5A002, 5D002.a.1, .b, .c.1, z.1,
z.5, and z.6, do not control items as follows:
a. Items meeting all of the following:
1. Generally available to the public by being sold, without
restriction, from stock at retail selling points by means of any of the
following:
a. Over-the-counter transactions;
b. Mail order transactions;
c. Electronic transactions; or
d. Telephone call transactions;
2. The cryptographic functionality cannot be easily changed by the
user;
3. Designed for installation by the user without further substantial
support by the supplier; and
4. When necessary, details of the items are accessible and will be
provided, upon request, to the appropriate authority in the exporter's
country in order to ascertain compliance with conditions described in
paragraphs a.1 through a.3 of this Note;
b. Hardware components or 'executable software', of existing items
described in paragraph a. of this Note, that have been designed for
these existing items, and meeting all of the following:
1. ``Information security'' is not the primary function or set of
functions of the component or 'executable software';
2. The component or 'executable software' does not change any
cryptographic functionality of the existing items, or add new
cryptographic functionality to the existing items;
3. The feature set of the component or 'executable software' is
fixed and is not designed or modified to customer specification; and
4. When necessary, as determined by the appropriate authority in the
exporter's country, details of the component or 'executable software',
and details of relevant end-items are accessible and will be provided to
the authority upon request, in order to ascertain compliance with
conditions described above.
Technical Note: For the purpose of the Cryptography Note,
'executable software' means ``software'' in executable form, from an
existing hardware component excluded from 5A002, by the Cryptography
Note.
Note: 'Executable software' does not include complete binary images
of the ``software'' running on an end-item.
Note to the Cryptography Note: 1. To meet paragraph a. of Note 3,
all of the following must apply:
a. The item is of potential interest to a wide range of individuals
and businesses; and
b. The price and information about the main functionality of the
item are available before purchase without the need to consult the
vendor or supplier. A simple price inquiry is not considered to be a
consultation.
2. In determining eligibility of paragraph a. of Note 3, BIS may
take into account relevant factors such as quantity, price, required
technical skill, existing sales channels, typical customers, typical use
or any exclusionary practices of the supplier.
N.B. to Note 3 (Cryptography Note): You must submit a classification
request or self-classification report to BIS for certain mass market
encryption commodities and software eligible for the Cryptography Note
employing a key length greater than 64 bits for the symmetric algorithm
(or, for commodities and software not implementing any symmetric
algorithms, employing a key length greater than 768 bits for asymmetric
algorithms described by Technical note 2.b to 5A002.a or greater than
128 bits for elliptic curve algorithms, or any asymmetric algorithm
described by Technical Note 2.c to 5A002.a) in accordance with the
requirements of Sec. 740.17(b) of the EAR in order to be released from
the ``EI'' and ``NS'' controls of ECCN 5A002 or 5D002. For mass market
commodities and software that do not require a self-classification
report pursuant to Sec. 740.17(b) and (e)(3) of the EAR, such items are
also released from ``EI'' and ``NS'' controls and controlled under ECCN
5A992 or 5D992.
A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,''
``Parts,'' ``Components,'' and ``Systems''
I. Cryptographic ``Information Security''
5A002 ``Information security'' systems, equipment and ``components,'' as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, EI
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to items controlled by 5A002.z. To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components,''
N/A for systems and equipment.
GBS: N/A
ENC: Yes for certain EI controlled commodities, see Sec. 740.17 of the
EAR for eligibility.
[[Page 550]]
NAC/ACA: Yes, for 5A002.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 5A002.z.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls ``components'' providing the
means or functions necessary for ``information security.'' All such
``components'' are presumptively ``specially designed'' and controlled
by 5A002.a. (2) See USML Categories XI (including XI(b)) and XIII(b)
(including XIII(b)(2)) for controls on systems, equipment, and
components described in 5A002.d or .e that are ``subject to the ITAR''
(see 22 CFR parts 120 through 130). (3) For ``satellite navigation
system'' receiving equipment containing or employing decryption see
7A005, and for related decryption ``software'' and ``technology'' see
7D005 and 7E001. (4) Noting that items may be controlled elsewhere on
the CCL, examples of items not controlled by ECCN 5A002.a.4 include the
following: (a) An automobile where the only 'cryptography for data
confidentiality' having a 'described security algorithm' is performed by
a Category 5--Part 2 Note 3 eligible mobile telephone that is built into
the car. In this case, secure phone communications support a non-primary
function of the automobile but the mobile telephone (equipment), as a
standalone item, is not controlled by ECCN 5A002 because it is excluded
by the Cryptography Note (Note 3) (See ECCN 5A992.c). (b) An exercise
bike with an embedded Category 5--Part 2 Note 3 eligible web browser,
where the only controlled cryptography is performed by the web browser.
In this case, secure web browsing supports a non-primary function of the
exercise bike but the web browser (``software''), as a standalone item,
is not controlled by ECCN 5D002 because it is excluded by the
Cryptography Note (Note 3) (See ECCN 5D992.c). (5) After classification
or self-classification in accordance with Sec. 740.17(b) of the EAR,
mass market encryption commodities that meet eligibility requirements
are released from ``EI'' and ``NS'' controls. These commodities are
designated 5A992.c. (6) See also ECCNs 3A090 and 4A090.
Related Definitions: N/A
Items:
a. Designed or modified to use 'cryptography for data
confidentiality' having a 'described security algorithm', where that
cryptographic capability is usable, has been activated, or can be
activated by any means other than secure ``cryptographic activation'',
as follows:
a.1. Items having ``information security'' as a primary function;
a.2. Digital communication or networking systems, equipment or
components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or processing
as a primary function, and components therefor, not specified in
paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where the
'cryptography for data confidentiality' having a 'described security
algorithm' meets all of the following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or ``software''
that would, as a standalone item, be specified by ECCNs 5A002, 5A003,
5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control Paragraph (4) of this
ECCN 5A002 for examples of items not controlled by 5A002.a.4.
Technical Notes:1. For the purposes of 5A002.a, 'cryptography for
data confidentiality' means ``cryptography'' that employs digital
techniques and performs any cryptographic function other than any of the
following:
1.a. ``Authentication; ''
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-
protected ``software; ''
1.f. Encryption or decryption in support of entertainment, mass
commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, 'described security algorithm' means
any of the following:
2.a. A ``symmetric algorithm'' employing a key length in excess of
56 bits, not including parity bits;
2.b. An ``asymmetric algorithm'' where the security of the algorithm
is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g., RSA);
2.b.2. Computation of discrete logarithms in a multiplicative group
of a finite field of size greater than 512 bits (e.g., Diffie-Hellman
over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve); or
2.c. An ``asymmetric algorithm'' where the security of the algorithm
is based on any of the following:
2.c.1. Shortest vector or closest vector problems associated with
lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);
2.c.2. Finding isogenies between Supersingular elliptic curves
(e.g., Supersingular Isogeny Key Encapsulation); or
2.c.3. Decoding random codes (e.g., McEliece, Niederreiter).
Technical Note: An algorithm described by Technical Note 2.c. may be
referred to as being post-quantum, quantum-safe or quantum-resistant.
[[Page 551]]
Note 1: Details of items must be accessible and provided upon
request, in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
b. Whether the cryptographic capability for data confidentiality
specified by 5A002.a is usable without ``cryptographic activation.''
Note 2: 5A002.a does not control any of the following items, or
specially designed ``information security'' components therefor:
a. Smart cards and smart card 'readers/writers' as follows:
a.1. A smart card or an electronically readable personal document
(e.g., token coin, e-passport) that meets any of the following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to a.4;
a.1.a.1.b. Equipment or systems, not using 'cryptography for data
confidentiality' having a 'described security algorithm'; or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by entries b.
to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow protection of
'personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or
commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-accessible;
Technical Note to paragraph a.1.b.1 of Note 2: For the purposes of
5A002.a Note 2.-a.1.b.1, 'personal data' includes any data specific to a
particular person or entity, such as the amount of money stored and data
necessary for ``authentication.''
a.2. 'Readers/writers' specially designed or modified, and limited,
for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: 'For the purposes of
5A002.a Note 2.a.2, 'readers/writers' include equipment that
communicates with smart cards or electronically readable documents
through a network.
b. Cryptographic equipment specially designed and limited for
banking use or 'money transactions';
Technical Note to paragraph b. of Note 2: For the purposes of
5A002.a Note 2.b, 'money transactions' in 5A002 Note 2 paragraph b.
includes the collection and settlement of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for use
with commercial civil cellular radio communication systems) that are not
capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment (e.g.,
Radio Network Controller (RNC) or Base Station Controller (BSC));
d. Cordless telephone equipment not capable of end-to-end encryption
where the maximum effective range of unboosted cordless operation (i.e.,
a single, unrelayed hop between terminal and home base station) is less
than 400 meters according to the manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client wireless
devices for civil use, that implement only published or commercial
cryptographic standards (except for anti-piracy functions, which may be
non-published) and also meet the provisions of paragraphs a.2 to a.4 of
the Cryptography Note (Note 3 in Category 5--Part 2), that have been
customized for a specific civil industry application with features that
do not affect the cryptographic functionality of these original non-
customized devices;
f. Items, where the ``information security '' functionality is
limited to wireless ``personal area network '' functionality
implementing only published or commercial cryptographic standards;
g. Mobile telecommunications Radio Access Network (RAN) equipment
designed for civil use, which also meet the provisions of paragraphs a.2
to a.4 of the Cryptography Note (Note 3 in Category 5--Part 2), having
an RF output power limited to 0.1W (20 dBm) or less, and supporting 16
or fewer concurrent users;
h. Routers, switches, gateways or relays, where the ``information
security'' functionality is limited to the tasks of ``Operations,
Administration or Maintenance'' (``OAM'') implementing only published or
commercial cryptographic standards;
i. General purpose computing equipment or servers, where the
``information security '' functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards; and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in
Category 5--Part 2;
i.2.b. Integral to an operating system that is not specified by
5D002; or
i.2.c. Limited to ``OAM'' of the equipment; or
j. Items specially designed for a 'connected civil industry
application', meeting all of the following:
j.1. Being any of the following:
j.1.a. A network-capable endpoint device meeting any of the
following:
j.1.a.1. The ``information security '' functionality is limited to
securing 'non-arbitrary data' or the tasks of ``Operations,
Administration or Maintenance'' (``OAM ''); or
j.1.a.2. The device is limited to a specific 'connected civil
industry application'; or
j.1.b. Networking equipment meeting all of the following:
j.1.b.1. Being specially designed to communicate with the devices
specified by paragraph j.1.a. above; and
[[Page 552]]
j.1.b.2. The ``information security '' functionality is limited to
supporting the 'connected civil industry application' of devices
specified by paragraph j.1.a. above, or the tasks of ``OAM '' of this
networking equipment or of other items specified by paragraph j. of this
Note; and
j.2. Where the ``information security '' functionality implements
only published or commercial cryptographic standards, and the
cryptographic functionality cannot easily be changed by the user.
Technical Notes:
1. For the purposes of 5A002.a Note 2.j, 'connected civil industry
application' means a network-connected consumer or civil industry
application other than ``information security '', digital communication,
general purpose networking or computing.
2. For the purposes of 5A002.a Note 2.j.1.a.1, 'non-arbitrary data'
means sensor or metering data directly related to the stability,
performance or physical measurement of a system (e.g., temperature,
pressure, flow rate, mass, volume, voltage, physical location, etc.),
that cannot be changed by the user of the device.
b. Being a 'cryptographic activation token';
Technical Note: For the purposes of 5A002.b, a 'cryptographic
activation token' is an item designed or modified for any of the
following:
1. Converting, by means of ``cryptographic activation'', an item not
specified by Category 5-Part 2 into an item specified by 5A002.a or
5D002.c.1, and not released by the Cryptography Note (Note 3 in Category
5--Part 2); or
2. Enabling by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. Designed or modified to use or perform ``quantum cryptography'';
Technical Note: For the purposes of 5A002.c,''quantum cryptography''
is also known as Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to generate
channelizing codes, scrambling codes or network identification codes,
for systems using ultra-wideband modulation techniques and having any of
the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to generate
the spreading code for ``spread spectrum'' systems, not specified by
5A002.d, including the hopping code for ``frequency hopping'' systems.
f. through y. [Reserved]
z. Other commodities, as follows:
z.1. Commodities that are described in 5A002.a and that also meet or
exceed the performance parameters in 3A090 or 4A090;
z.2 Commodities that are described in 5A002.b and that also meet or
exceed the performance parameters in 3A090 or 4A090;
z.3 Commodities that are described in 5A002.c and that also meet or
exceed the performance parameters in 3A090 or 4A090;
z.4 Commodities that are described in 5A002.d and that also meet or
exceed the performance parameters in 3A090 or 4A090; or
z.5 Commodities that are described in 5A002.e and that also meet or
exceed the performance parameters in 3A090 or 4A090.
5A992 Equipment not controlled by 5A002 (see List of Items Controlled)
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to items controlled by 5A992.z. To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security '' functionality, and associated ``software '' and ``technology
'' for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
NAC/ACA: Yes, for 5A992.z; N/A for all other 5A992 commodities.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 5A992.z.
List of Items Controlled
Related Controls: See also ECCNs 3A090 and 4A090.
Related Definitions: N/A
Items:
a. [Reserved]
b. [Reserved]
c. Commodities classified as mass market encryption commodities in
accordance with Sec. 740.17(b) of the EAR.
d. through y. [Reserved]
z. Commodities that are described in 5A992.c and that also meet or
exceed the performance parameters in 3A090 or 4A090.
II. NON-CRYPTOGRAPHIC ``INFORMATION SECURITY''
5A003 ``Systems,'' ``equipment'' and ``components,'' for non-
cryptographic ``information security,'' as follows (see List
of Items Controlled).
[[Page 553]]
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components.''
N/A for systems and equipment.
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Communications cable systems designed or modified to use
mechanical, electrical or electronic means to detect surreptitious
intrusion;
Note: 5A003.a applies only to physical layer security. For the
purpose of 5A003.a, the physical layer includes Layer 1 of the Reference
Model of Open Systems Interconnection (OSI) (ISO/IEC 7498-1).
b. ``Specially designed'' or modified to reduce the compromising
emanations of information-bearing signals beyond what is necessary for
health, safety or electromagnetic interference standards.
III. DEFEATING, WEAKENING, OR BYPASSING ``INFORMATION SECURITY''
5A004 ``Systems,'' ``equipment'' and ``components'' for defeating,
weakening or bypassing ``information security,'' as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, EI
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to items controlled by 5A004.z. To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR.
------------------------------------------------------------------------
License Requirements
See Sec. 744.17 of the EAR for additional license requirements for
microprocessors having a processing speed of 5 GFLOPS or more and an
arithmetic logic unit with an access width of 32 bit or more, including
those incorporating ``information security'' functionality, and
associated ``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components''.
N/A for systems and equipment.
GBS: N/A
ENC: Yes for certain EI controlled commodities. See Sec. 740.17 of the
EAR for eligibility.
NAC/ACA: Yes, for 5A004.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 5A004.z.
List of Items Controlled
Related Controls: (1) ECCN 5A004.a controls ``components'' providing the
means or functions necessary for ``information security.'' All such
``components'' are presumptively ``specially designed'' and controlled
by 5A004.a. (2) See also ECCNs 3A090 and 4A090.
Related Definitions: N/A
Items:
a. Designed or modified to perform 'cryptanalytic functions.'
Note: 5A004.a includes systems or equipment, designed or modified to
perform 'cryptanalytic functions' by means of reverse engineering.
Technical Note: For the purposes of 5A004.a, 'cryptanalytic
functions' are functions designed to defeat cryptographic mechanisms in
order to derive confidential variables or sensitive data, including
clear text, passwords or cryptographic keys.
b. Items, not specified by ECCNs 4A005 or 5A004.a, designed to
perform all of the following:
b.1. 'Extract raw data' from a computing or communications device;
and
b.2. Circumvent ``authentication'' or authorisation controls of the
device, in order to perform the function described in 5A004.b.1.
Technical Note: For the purposes of 5A004.b.1, 'extract raw data'
from a computing or communications device means to retrieve binary data
from a storage medium, e.g., RAM, flash or hard disk, of the device
without interpretation by the device's operating system or filesystem.
Note 1: 5A004.b does not apply to systems or equipment specially
designed for the ``development'' or ``production'' of a computing or
communications device.
Note 2: 5A004.b does not include:
a. Debuggers, hypervisors;
b. Items limited to logical data extraction;
c. Data extraction items using chip-off or JTAG; or
d. Items specially designed and limited to jail-breaking or rooting.
c. through y. [Reserved]
z. Other commodities, as follows:
z.1. Commodities that are described in 5A004.a and that also meet or
exceed the performance parameters in 3A090 or 4A090; or
z.2. Commodities that are described in 5A004.b and that also meet or
exceed the performance parameters in 3A090 or 4A090.
[[Page 554]]
B. Test, Inspection and ``Production Equipment''
5B002 ``Information Security'' test, inspection and ``production''
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
ENC: Yes for certain EI controlled equipment, see Sec. 740.17 of the
EAR for eligibility.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Equipment ``specially designed'' for the ``development'' or
``production'' of equipment controlled by 5A002, 5A003, 5A004 or
5B002.b;
b. Measuring equipment ``specially designed'' to evaluate and
validate the ``information security'' functions of equipment controlled
by 5A002, 5A003 or 5A004, or of ``software'' controlled by 5D002.a, z.1
through z.4, or 5D002.c or z.6 through z.9.
C. ``Materials'' [Reserved]
D. ``Software''
5D002 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, EI
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to ``software'' controlled by To or within destinations
5D002.z. specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
EI applies to ``software'' in 5D002.a.1, Refer to Sec. 742.15 of
a.3, .b, c.1 and c.3, for commodities or the EAR.
``software'' controlled for EI reasons in Note: Encryption software is
ECCN 5A002, 5A004 or 5D002. controlled because of its
functional capacity, and
not because of any
informational value of such
software; such software is
not accorded the same
treatment under the EAR as
other ``software'; and for
export licensing purposes,
encryption software is
treated under the EAR in
the same manner as a
commodity included in ECCN
5A002.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
ENC: Yes for certain EI controlled software. See Sec. 740.17 of the EAR
for eligibility.
NAC/ACA: Yes, for 5D002.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 5D002.z.
List of Items Controlled
Related Controls: (1) After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
software that meets eligibility requirements is released from ``EI'' and
``NS'' controls. This software is designated as 5D992.c. (2) See also
ECCNs 3D001 as it applies to ``software'' for commodities controlled by
3A001.z and 3A090, and 4D001 as it applies to ``software'' for
commodities controlled by 4A003.z, 4A004.z, and 4A005.z.
Related Definitions: 5D002.a controls ``software'' designed or modified
to use ``cryptography'' employing digital or analog techniques to ensure
``information security.''
Items:
a. ``Software'' ``specially designed'' or modified for the
``development,'' ``production'' or ``use'' of any of the following:
a.1. Equipment specified by 5A002 or ``software'' specified by
5D002.c.1;
a.2. Equipment specified by 5A003 or ``software'' specified by
5D002.c.2; or
a.3. Equipment or ``software'', as follows:
a.3.a. Equipment specified by 5A004.a or ``software'' specified by
5D002.c.3.a;
a.3.b. Equipment specified by 5A004.b or ``software'' specified by
5D002.c.3.b;
[[Page 555]]
b. ``Software'' having the characteristics of a 'cryptographic
activation token' specified by 5A002.b;
c. ``Software'' having the characteristics of, or performing or
simulating the functions of, any of the following:
c.1. Equipment specified by 5A002.a, .c, .d or .e;
Note: 5D002.c.1 does not apply to ``software'' limited to the tasks
of ``OAM'' implementing only published or commercial cryptographic
standards.
c.2. Equipment specified by 5A003; or
c.3. Equipment, as follows:
c.3.a. Equipment specified by 5A004.a;
c.3.b. Equipment specified by 5A004.b.
Note: 5D002.c.3.b does not apply to ``intrusion software''.
d. [Reserved]
N.B.: See 5D002.b for items formerly specified in 5D002.d.
e. through y. [Reserved]
z. Other software, as follows:
z.1. Software that is described in 5D002.a.1, and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.2. Software that is described in 5D002.a.2, and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.3. Software that is described in 5D002.a.3a, and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.4. Software that is described in 5D002.a.3.b, and that also meet
or exceed the performance parameters in 3D001 for 3A090 or 4D001 for
4A090;
z.5. Software that is described in 5D002.b and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.6 Software that is described in 5D002.c.1 and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.7 Software that is described in 5D002.c.2 and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
z.8 Software that is described in 5D002.c.3.a and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090;
or
z.9 Software that is described in 5D002.c.3.b and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090.
5D992 ``Information Security'' ``software,'' not controlled by 5D002, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to ``software'' controlled by To or within destinations
5D992.z. specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
NAC/ACA: Yes, for 5D992.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 5D992.z.
List of Items Controlled
Related Controls: (1) This entry does not control ``software'' designed
or modified to protect against malicious computer damage, e.g., viruses,
where the use of ``cryptography'' is limited to authentication, digital
signature and/or the decryption of data or files. (2) See also ECCNs
3D001 as it applies to ``software'' for commodities controlled by
3A001.z and 3A090, and 4D001 as it applies to ``software'' for
commodities controlled by 4A003.z, 4A004.z, and 4A005.z.
Related Definitions: N/A
Items:
a. [Reserved]
b. [Reserved]
c. ``Software'' classified as mass market encryption software in
accordance with Sec. 740.17(b) of the EAR.
d. through y. [Reserved]
z. Other software that is described in 5D992 and that also meet or
exceed the performance parameters in 3D001 for 3A090 or 4D001 for 4A090.
E. ``Technology''
5E002 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, EI
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
[[Page 556]]
RS applies to ``technology'' for To or within destinations
commodities controlled by 5A002.z or specified in Country Groups
5A004.z or ``software'' specified by D:1, D:4, and D:5 of
5D002 (for 5A002.z or 5A004.z supplement no. 1 to part
commodities). 740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
EI applies to ``technology'' in 5E002.a Refer to Sec. 742.15 of
for commodities or ``software'' the EAR.
controlled for EI reasons in ECCNs 5A002,
5A004 or 5D002, and to ``technology'' in
5E002.b.
------------------------------------------------------------------------
License Requirements Notes: (1) See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
(2) When a person performs or provides technical assistance that
incorporates, or otherwise draws upon, ``technology'' that was either
obtained in the United States or is of U.S.-origin, then a release of
the ``technology'' takes place. Such technical assistance, when rendered
with the intent to aid in the ``development'' or ``production'' of
encryption commodities or software that would be controlled for ``EI''
reasons under ECCN 5A002, 5A004 or 5D002, may require authorization
under the EAR even if the underlying encryption algorithm to be
implemented is from the public domain or is not of U.S.-origin.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
ENC: Yes for certain EI controlled technology. See Sec. 740.17 of the
EAR for eligibility.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for technology for .z paragraphs under ECCNs 5A002, 5A004
or ``software'' specified by 5D002 (for 5A002.z or 5A004.z commodities).
List of Items Controlled
Related Controls: See also 5E992. This entry does not control
``technology'' ``required'' for the ``use'' of equipment excluded from
control under the Related Controls paragraph or the Technical Notes in
ECCN 5A002 or ``technology'' related to equipment excluded from control
under ECCN 5A002.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for the
``development,'' ``production'' or ``use'' of equipment controlled by
5A002, 5A003, 5A004 or 5B002, or of ``software'' controlled by 5D002.a,
z.1 through z.3, or 5D002.c, z.6 through z.8.
Note: 5E002.a does not apply to ``technology'' for items specified
by 5A004.b, z.3 or z.4, 5D002.a.3.b, z.4, or 5D002.c.3.b.
b. ``Technology'' having the characteristics of a 'cryptographic
activation token' specified by 5A002.b, z.2.
Note: 5E002 includes ``information security'' technical data
resulting from procedures carried out to evaluate or determine the
implementation of functions, features or techniques specified in
Category 5--Part 2.
5E992 ``Information Security'' ``technology'' according to the General
Technology Note, not controlled by 5E002, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
RS applies to ``technology'' for To or within destinations
commodities controlled by 5A992.z or specified in Country Groups
``software'' controlled by 5D992.z. D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a processing
speed of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and ``technology''
for the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for technology for .z paragraphs under ``technology'' for
commodities controlled by 5A992.z or ``software'' controlled by 5D992.z.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Technology'', n.e.s., for the ``use'' of mass market
commodities controlled by 5A992 or mass market ``software'' controlled
by 5D992.
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
[[Page 557]]
Category 6--Sensors and Lasers
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
6A001 Acoustic systems, equipment and ``components,'' as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location systems
having a transmitting frequency below 5 kHz or a sound pressure level
exceeding 210 dB (reference 1 [micro]Pa at 1 m) for equipment with an
operating frequency in the band from 2 kHz to 30 kHz inclusive;
6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6,
6A001.a.2.b; processing equipment controlled by 6A001.a.2.c, and
``specially designed'' for real-time application with towed acoustic
hydrophone arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems
controlled by 6A001.a.2.f and having processing equipment ``specially
designed'' for real-time application with bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
Special Conditions for STA
STA: License Exception STA may not be used to ship commodities in
6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of the
destinations listed in Country Group A:6 (See Supplement No.1 to part
740 of the EAR).
List of Items Controlled
Related Controls: See also 6A991.
Related Definitions: N/A
Items:
a. Marine acoustic systems, equipment and ``specially designed''
``components'' therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving) systems,
equipment and ``specially designed'' ``components'' therefor, as
follows:
Note: 6A001.a.1 does not control equipment as follows:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20[deg],
and limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers ``specially designed'' for relocating or returning to an
underwater position.
a.1.a. Acoustic seabed survey equipment as follows:
a.1.a.1. Surface vessel survey equipment designed for sea bed
topographic mapping and having all of the following:
a.1.a.1.a. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.1.b. Designed to measure seabed topography at seabed depths
exceeding 600 m;
a.1.a.1.c.'Sounding resolution' less than 2; and
a.1.a.1.d. 'Enhancement' of the depth ``accuracy'' through
compensation for all the following:
a.1.a.1.d.1. Motion of the acoustic sensor;
a.1.a.1.d.2. In-water propagation from sensor to the seabed and
back; and
a.1.a.1.d.3. Sound speed at the sensor;
Technical Notes: 1. For the purposes of 6A001.a.1.a.1.c, 'sounding
resolution' is the swath width (degrees) divided by the maximum number
of soundings per swath.
2. For the purposes of 6A001.a.1.a, 'enhancement' includes the
ability to compensate by external means.
a.1.a.2. Underwater survey equipment designed for seabed topographic
mapping and having any of the following:
Technical Note: For the purposes of 6A001.a.1.a.2, the acoustic
sensor pressure rating determines the depth rating.
a.1.a.2.a. Having all of the following:
a.1.a.2.a.1. Designed or modified to operate at depths exceeding 300
m; and
a.1.a.2.a.2. 'Sounding rate' greater than 3,800 m/s; or
Technical Note: For the purposes of 6A001.a.1.a.2.a.2, 'sounding
rate' is the product of the maximum speed (m/s) at which the sensor can
operate and the maximum number of soundings per swath assuming 100%
coverage. For systems that produce soundings in two directions (3D
sonars), the maximum of the 'sounding rate' in either direction should
be used.
a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a,
having all of the following:
a.1.a.2.b.1. Designed or modified to operate at depths exceeding 100
m;
a.1.a.2.b.2. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.2.b.3. Having any of the following:
a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
a.1.a.2.b.3.b. Designed to measure seabed topography at a range
exceeding 200 m from the acoustic sensor; and
a.1.a.2.b.4. 'Enhancement' of the depth ``accuracy'' through
compensation of all of the following:
a.1.a.2.b.4.a. Motion of the acoustic sensor;
a.1.a.2.b.4.b. In-water propagation from sensor to the seabed and
back; and
a.1.a.2.b.4.c. Sound speed at the sensor.
[[Page 558]]
a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS),
designed for seabed imaging and having all of the following, and
``specially designed'' transmitting and receiving acoustic arrays
therefor:
a.1.a.3.a. Designed or modified to operate at depths exceeding 500
m; and
a.1.a.3.b. An 'area coverage rate' of greater than 570 m\2\/s while
operating at the maximum range that it can operate with an 'along track
resolution' of less than 15 cm; and
a.1.a.3.c. An 'across track resolution' of less than 15 cm;
Technical Notes: For the purposes of 6A001.a.1.a.3:
1. 'Area coverage rate' (m2/s) is twice the product of the sonar
range (m) and the maximum speed (m/s) at which the sensor can operate at
that range.
2. 'Along track resolution' (cm), for SSS only, is the product of
azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 0.873.
3. 'Across track resolution' (cm) is 75 divided by the signal
bandwidth (kHz).
a.1.b Systems or transmitting and receiving arrays, designed for
object detection or location, having any of the following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1 [micro]Pa
at 1 m) for equipment with an operating frequency in the band from 10
kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[micro]Pa at 1 m) for equipment with an operating frequency in the band
between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and having an
operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation at
depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as the
transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed combination
and having any of the following:
Notes:
1. The control status of acoustic projectors, including transducers,
``specially designed'' for other equipment is determined by the control
status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct the
sound vertically only, or mechanical (e.g., air gun or vapor-shock gun)
or chemical (e.g., explosive) sources.
3. Piezoelectric elements specified in 6A001.a.1.c include those
made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3)O3-PbTiO3,
or PMN-PT) single crystals grown from solid solution or lead-indium-
niobate/lead-magnesium niobate/lead-titanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/
3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals grown from solid
solution.
a.1.c.1. Operating at frequencies below 10 kHz and having any of the
following:
a.1.c.1.a. Not designed for continuous operation at 100% duty cycle
and having a radiated 'free-field Source Level (SLRMS)' exceeding
(10log(f) + 169.77)dB (reference 1 [micro]Pa at 1 m) where f is the
frequency in Hertz of maximum Transmitting Voltage Response (TVR) below
10 kHz; or
a.1.c.1.b. Designed for continuous operation at 100% duty cycle and
having a continuously radiated 'free-field Source Level (SLRMS)' at 100%
duty cycle exceeding (10log(f) + 159.77)dB (reference 1 [micro]Pa at 1
m) where f is the frequency in Hertz of maximum Transmitting Voltage
Response (TVR) below 10 kHz; or
Technical Note: For the purposes of 6A001.a.1.c.1, the 'free-field
Source Level (SLRMS)' is defined along the maximum response axis and in
the far field of the acoustic projector. It can be obtained from the
Transmitting Voltage Response using the following equation: SLRMS = (TVR
+ 20log VRMS) dB (ref 1[micro]Pa at 1 m), where SLRMS is the source
level, TVR is the Transmitting Voltage Response and VRMS is the Driving
Voltage of the Projector.
a.1.c.2. [Reserved]
N.B. See 6A001.a.1.c.1 for items previously specified in
6A001.a.1.c.2.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems and equipment, designed to determine the
position of surface vessels or underwater vehicles and having all of the
following, and ``specially designed'' ``components'' therefor:
a.1.d.1. Detection range exceeding 1,000 m; and
a.1.d.2. Determined position error of less than 10 m rms (root mean
square) when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel or
underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.1.e. Active individual sonars, ``specially designed'' or modified
to detect, locate and automatically classify swimmers or divers, having
all of the following, and ``specially designed'' transmitting and
receiving acoustic arrays therefor:
a.1.e.1. Detection range exceeding 530 m;
a.1.e.2. Determined position error of less than 15 m rms (root mean
square) when measured at a range of 530 m; and
[[Page 559]]
a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
N.B.: For diver detection systems ``specially designed'' or modified
for military use, see the U.S. Munitions List in the International
Traffic in Arms Regulations (ITAR) (22 CFR part 121).
Note: For 6A001.a.1.e, where multiple detection ranges are specified
for various environments, the greatest detection range is used.
a.2. Passive systems, equipment and ``specially designed''
``components'' therefor, as follows:
Note: 6A001.a.2 also applies to receiving equipment, whether or not
related in normal application to separate active equipment, and
``specially designed'' components therefor.
a.2.a. Hydrophones having any of the following:
Note: The control status of hydrophones ``specially designed'' for
other equipment is determined by the control status of the other
equipment.
Technical Notes: For the purposes of 6A001.a.2.a:
1. Hydrophones consist of one or more sensing elements producing a
single acoustic output channel. Those that contain multiple elements can
be referred to as a hydrophone group.
2. Underwater acoustic transducers designed to operate as passive
receivers are hydrophones.
a.2.a.1. Incorporating continuous flexible sensing elements;
a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
a.2.a.3. Having any of the following sensing elements:
a.2.a.3.a. Optical fibers;
a.2.a.3.b. 'Piezoelectric polymer films' other than polyvinylidene-
fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and P(VDF-TFE){time} ;
a.2.a.3.c. 'Flexible piezoelectric composites';
a.2.a.3.d. Lead-magnesium- niobate/lead-titanate (i.e., Pb(Mg1/3Nb2/
3)O3-PbTiO3, or PMN-PT) piezoelectric single crystals grown from solid
solution; or
a.2.a.3.e. Lead-indium-niobate/lead-magnesium niobate/lead-titanate
(i.e., Pb(In1/2Nb1/2)O3-
Pb(Mg1/3Nb2/3)O3-PbTiO3, or
PIN-PMN-PT) piezoelectric single crystals grown from solid solution;
a.2.a.4. A 'hydrophone sensitivity' better than -180dB at any depth
with no acceleration compensation;
a.2.a.5. Designed to operate at depths exceeding 35 m with
acceleration compensation; or
a.2.a.6. Designed for operation at depths exceeding 1,000 m and
having a 'hydrophone sensitivity' better than -230 dB below 4 kHz;
Technical Notes: 1. For the purposes of 6A001.a.2.a.3.b,
'piezoelectric polymer film' sensing elements consist of polarized
polymer film that is stretched over and attached to a supporting frame
or spool (mandrel).
2. For the purposes of 6A001.a.2.a.3.c, 'flexible piezoelectric
composite' sensing elements consist of piezoelectric ceramic particles
or fibers combined with an electrically insulating, acoustically
transparent rubber, polymer or epoxy compound, where the compound is an
integral part of the sensing elements.
3. For the purposes of 6A001.a.2.a, 'hydrophone sensitivity' is
defined as twenty times the logarithm to the base 10 of the ratio of rms
output voltage to a 1 V rms reference, when the hydrophone sensor,
without a pre-amplifier, is placed in a plane wave acoustic field with
an rms pressure of 1 [micro]Pa. For example, a hydrophone of -160 dB
(reference 1 V per [micro]Pa) would yield an output voltage of 10-8 V in
such a field, while one of -180 dB sensitivity would yield only
10-9 V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays having any of the following:
Technical Note: For the purposes of 6A001.a.2.b, hydrophones arrays
consist of a number of hydrophones providing multiple acoustic output
channels.
a.2.b.1. Hydrophone group spacing of less than 12.5 m or 'able to be
modified' to have hydrophone group spacing of less than 12.5 m;
a.2.b.2. Designed or 'able to be modified' to operate at depths
exceeding 35m;
Technical Note: For the purposes of 6A001.a.2.b.2, 'able to be
modified' in 6A001.a.2.b means having provisions to allow a change of
the wiring or interconnections to alter hydrophone group spacing or
operating depth limits. These provisions are: spare wiring exceeding 10%
of the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control more
than one hydrophone group.
a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array hoses;
a.2.b.5. An assembled array of less than 40 mm in diameter;
a.2.b.6. [Reserved];
a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a; or
a.2.b.8. Accelerometer-based hydro-acoustic sensors specified by
6A001.a.2.g;
a.2.c. Processing equipment, ``specially designed'' for towed
acoustic hydrophone arrays, having ``user-accessible programmability''
and time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast Fourier
or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An ``accuracy'' of better than
0.5[deg]; and
[[Page 560]]
a.2.d.2. Designed to operate at depths exceeding 35 m or having an
adjustable or removable depth sensing device in order to operate at
depths exceeding 35 m;
N.B.: For inertial heading systems, see 7A003.c.
a.2.e. Bottom or bay-cable hydrophone arrays having any of the
following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
a.2.e.2. Incorporating multiplexed hydrophone group signal modules
having all of the following characteristics:
a.2.e.2.a. Designed to operate at depths exceeding 35 m or having an
adjustable or removal depth sensing device in order to operate at depths
exceeding 35 m; and
a.2.e.2.b. Capable of being operationally interchanged with towed
acoustic hydrophone array modules; or
a.2.e.3. Incorporating accelerometer-based hydro-acoustic sensors
specified by 6A001.a.2.g;
a.2.f. Processing equipment, ``specially designed'' for bottom or
bay cable systems, having ``user-accessible programmability'' and time
or frequency domain processing and correlation, including spectral
analysis, digital filtering and beamforming using Fast Fourier or other
transforms or processes;
a.2.g. Accelerometer-based hydro-acoustic sensors having all of the
following:
a.2.g.1. Composed of three accelerometers arranged along three
distinct axes;
a.2.g.2. Having an overall 'acceleration sensitivity' better than 48
dB (reference 1,000 mV rms per 1g);
a.2.g.3. Designed to operate at depths greater than 35 meters; and
a.2.g.4. Operating frequency below 20 kHz;
Note: 6A001.a.2.g does not apply to particle velocity sensors or
geophones.
Technical Notes: 1. For the purposes of 6A001.a.2.g, accelerometer-
based hydro-acoustic sensors are also known as vector sensors.
2. For the purposes of 6A001.a.2.g.2, 'acceleration sensitivity' is
defined as twenty times the logarithm to the base 10 of the ratio of rms
output voltage to a 1 V rms reference, when the hydro-acoustic sensor,
without a preamplifier, is placed in a plane wave acoustic field with an
rms acceleration of 1 g (i.e., 9.81 m/s2).
b. Correlation-velocity and Doppler-velocity sonar log equipment
designed to measure the horizontal speed of the equipment carrier
relative to the sea bed, as follows:
b.1. Correlation-velocity sonar log equipment having any of the
following characteristics:
b.1.a. Designed to operate at distances between the carrier and the
sea bed exceeding 500 m; or
b.1.b. Having speed ``accuracy'' better than 1% of speed;
b.2. Doppler-velocity sonar log equipment having speed ``accuracy''
better than 1% of speed;
Note 1: 6A001.b does not apply to depth sounders limited to any of
the following:
a. Measuring the depth of water;
b. Measuring the distance of submerged or buried objects; or
c. Fish finding.
Note 2: 6A001.b does not apply to equipment ``specially designed''
for installation on surface vessels.
c. [Reserved]
N.B.: For diver deterrent acoustic systems, see 8A002.r.
6A002 Optical sensors and equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to optical detectors in MT Column 1
6A002.a.1, or a.3 that are ``specially
designed'' or modified to protect
``missiles'' against nuclear effects
(e.g., Electromagnetic Pulse (EMP), X-
rays, combined blast and thermal
effects), and usable for ``missiles''.
RS applies to 6A002.a.1, a.2, a.3 (except RS Column 1
a.3.d.2.a and a.3.e for lead selenide
based focal plane arrays (FPAs)), .c, and
.f..
CC applies to police-model infrared CC Column 1
viewers in 6A002.c.
AT applies to entire entry................ AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and .c.. See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 6A002.f.
$3000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and .f.
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for infrared focal plane
arrays, image intensifier tubes, and related parts and components,
subject to the ITAR. (2) See USML Category XV(e) for space-qualified
focal plane arrays subject to the ITAR. (3) See also ECCNs 6A102, 6A202,
and 6A992. (4) See ECCN 0A919 for foreign-made military commodities that
incorporate commodities described in 6A002. (5) Section 744.9 imposes a
license requirement on commodities described in ECCN 6A002 if being
exported, reexported, or transferred (in-country) for use by a military
end-user
[[Page 561]]
or for incorporation into an item controlled by ECCN 0A919. (6) See USML
Categories XII(e) and XV(e)(3) for read-out integrated circuits
``subject to the ITAR.'' (7) See 6B002 for masks and reticles,
``specially designed'' for optical sensors specified by 6A002.a.1.b or
6A002.a.1.d.
Related Definitions: N/A
Items:
a. Optical detectors as follows:
a.1. ``Space-qualified'' solid-state detectors as follows:
Note: For the purposes of 6A002.a.1, solid-state detectors include
``focal plane arrays''.
a.1.a. ``Space-qualified'' solid-state detectors having all of the
following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm but
not exceeding 300 nm; and
a.1.a.2. A response of less than 0.1% relative to the peak response
at a wavelength exceeding 400 nm;
a.1.b. ``Space-qualified'' solid-state detectors having all of the
following:
a.1.b.1. A peak response in the wavelength range exceeding 900 nm
but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less;
a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not exceeding
30,000 nm;
a.1.d. ``Space-qualified'' ``focal plane arrays'' having more than
2,048 elements per array and having a peak response in the wavelength
range exceeding 300 nm but not exceeding 900 nm;
a.2. Image intensifier tubes and ``specially designed''
``components'' therefor, as follows:
Note: 6A002.a.2 does not control non-imaging photomultiplier tubes
having an electron sensing device in the vacuum space limited solely to
any of the following:
a. A single metal anode; or
b. Metal anodes with a center to center spacing greater than 500
[micro]m.
Technical Note: For the purposes of 6A002.a.2, 'charge
multiplication' is a form of electronic image amplification and is
defined as the generation of charge carriers as a result of an impact
ionization gain process. 'Charge multiplication' sensors may take the
form of an image intensifier tube, solid state detector or ``focal plane
array''.
a.2.a. Image intensifier tubes having all of the following:
a.2.a.1. A peak response in the wavelength range exceeding 400 nm
but not exceeding 1,050 nm;
a.2.a.2. Electron image amplification using any of the following:
a.2.a.2.a. A microchannel plate with a hole pitch (center-to-center
spacing) of 12 [micro]m or less; or
a.2.a.2.b. An electron sensing device with a non-binned pixel pitch
of 500 [micro]m or less, ``specially designed'' or modified to achieve
'charge multiplication' other than by a microchannel plate; and
a.2.a.3. Any of the following photocathodes:
a.2.a.3.a. Multialkali photocathodes (e.g., S-20 and S-5) having a
luminous sensitivity exceeding 350 [micro]A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other ``III-V compound'' semiconductor photocathodes
having a maximum ``radiant sensitivity'' exceeding 10 mA/W;
a.2.b. Image intensifier tubes having all of the following:
a.2.b.1. A peak response in the wavelength range exceeding 1,050 nm
but not exceeding 1,800 nm;
a.2.b.2. Electron image amplification using any of the following:
a.2.b.2.a. A microchannel plate with a hole pitch (center-to-center
spacing) of 12 [micro]m or less; or
a.2.b.2.b. An electron sensing device with a non-binned pixel pitch
of 500 [micro]m or less, ``specially designed'' or modified to achieve
'charge multiplication' other than by a microchannel plate; and
a.2.b.3. ``III/V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes, having a maximum
``radiant sensitivity'' exceeding 15 mA/W;
a.2.c. ``Specially designed'' ``components'' as follows:
a.2.c.1. Microchannel plates having a hole pitch (center-to-center
spacing) of 12 [micro]m or less;
a.2.c.2. An electron sensing device with a non-binned pixel pitch of
500 [micro]m or less, ``specially designed'' or modified to achieve
'charge multiplication' other than by a microchannel plate;
a.2.c.3. ``III-V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes;
Note: 6A002.a.2.c.3 does not control compound semiconductor
photocathodes designed to achieve a maximum ``radiant sensitivity'' of
any of the following:
a. 10 mA/W or less at the peak response in the wavelength range
exceeding 400 nm but not exceeding 1,050 nm; or
b. 15 mA/W or less at the peak response in the wavelength range
exceeding 1,050 nm but not exceeding 1,800 nm.
a.3. Non-``space-qualified'' ``focal plane arrays'' as follows:
N.B.: 'Microbolometer' non-``space-qualified'' ``focal plane
arrays'' are only specified by 6A002.a.3.f.
Technical Note: For the purposes of 6A002.a.3, linear or two-
dimensional multi-element detector arrays are referred to as ``focal
plane arrays'';
Note 1: 6A002.a.3 includes photoconductive arrays and photovoltaic
arrays.
Note 2: 6A002.a.3 does not control:
[[Page 562]]
a. Multi-element (not to exceed 16 elements) encapsulated
photoconductive cells using either lead sulphide or lead selenide;
b. Pyroelectric detectors using any of the following:
b.1. Triglycine sulphate and variants;
b.2. Lead-lanthanum-zirconium titanate and variants;
b.3. Lithium tantalate;
b.4. Polyvinylidene fluoride and variants; or
b.5. Strontium barium niobate and variants.
c. ``Focal plane arrays'' ``specially designed'' or modified to
achieve 'charge multiplication' and limited by design to have a maximum
``radiant sensitivity'' of 10 mA/W or less for wavelengths exceeding 760
nm, having all of the following:
c.1. Incorporating a response limiting mechanism designed not to be
removed or modified; and
c.2. Any of the following:
c.2.a. The response limiting mechanism is integral to or combined
with the detector element; or
c.2.b. The ``focal plane array'' is only operable with the response
limiting mechanism in place.
d. Thermopile arrays having less than 5,130 elements;
Technical Note: For the purposes of 6A002.a.3 Note 2.c.2.a, a
response limiting mechanism integral to the detector element is designed
not to be removed or modified without rendering the detector inoperable.
a.3.a. Non-``space-qualified'' ``focal plane arrays'' having all of
the following:
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
a.3.a.2. Any of the following:
a.3.a.2.a. A response ``time constant'' of less than 0.5 ns; or
a.3.a.2.b. ``Specially designed'' or modified to achieve 'charge
multiplication' and having a maximum ``radiant sensitivity'' exceeding
10 mA/W;
a.3.b. Non-``space-qualified'' ``focal plane arrays'' having all of
the following:
a.3.b.1. Individual elements with a peak response in the wavelength
range exceeding 1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. Any of the following:
a.3.b.2.a. A response ``time constant'' of 95 ns or less; or
a.3.b.2.b. ``Specially designed'' or modified to achieve 'charge
multiplication' and having a maximum ``radiant sensitivity'' exceeding
10 mA/W;
a.3.c. Non-``space-qualified'' non-linear (2-dimensional) ``focal
plane arrays'' having individual elements with a peak response in the
wavelength range exceeding 1,200 nm but not exceeding 30,000 nm;
N.B.: Silicon and other material based 'microbolometer' non-``space-
qualified'' ``focal plane arrays'' are only specified by 6A002.a.3.f.
a.3.d. Non-``space-qualified'' linear (1-dimensional) ``focal plane
arrays'' having all of the following:
a.3.d.1. Individual elements with a peak response in the wavelength
range exceeding 1,200 nm but not exceeding 3,000 nm; and
a.3.d.2. Any of the following:
a.3.d.2.a. A ratio of 'scan direction' dimension of the detector
element to the 'cross-scan direction' dimension of the detector element
of less than 3.8; or
a.3.d.2.b. Signal processing in the detector elements;
Note: 6A002.a.3.d does not control ``focal plane arrays'' (not to
exceed 32 elements) having detector elements limited solely to germanium
material.
Technical Note: For the purposes of 6A002.a.3.d, 'cross-scan
direction' is defined as the axis parallel to the linear array of
detector elements and the 'scan direction' is defined as the axis
perpendicular to the linear array of detector elements.
a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal plane
arrays'' having individual elements with a peak response in the
wavelength range exceeding 3,000 nm but not exceeding 30,000 nm;
a.3.f. Non-``space-qualified'' non-linear (2-dimensional) infrared
``focal plane arrays'' based on 'microbolometer' material having
individual elements with an unfiltered response in the wavelength range
equal to or exceeding 8,000 nm but not exceeding 14,000 nm;
Technical Note: For the purposes of 6A002.a.3.f, 'microbolometer' is
defined as a thermal imaging detector that, as a result of a temperature
change in the detector caused by the absorption of infrared radiation,
is used to generate any usable signal.
a.3.g. Non-``space-qualified'' ``focal plane arrays'' having all of
the following:
a.3.g.1. Individual detector elements with a peak response in the
wavelength range exceeding 400 nm but not exceeding 900 nm;
a.3.g.2. ``Specially designed'' or modified to achieve 'charge
multiplication' and having a maximum ``radiant sensitivity'' exceeding
10 mA/W for wavelengths exceeding 760 nm; and
a.3.g.3. Greater than 32 elements;
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'', designed for remote sensing applications and having any of
the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
[micro]rad (microradians); or
b.2. Specified for operation in the wavelength range exceeding 400
nm but not exceeding 30,000 nm and having all the following:
b.2.a. Providing output imaging data in digital format; and
b.2.b. Having any of the following characteristics:
b.2.b.1. ``Space-qualified''; or
[[Page 563]]
b.2.b.2. Designed for airborne operation, using other than silicon
detectors, and having an IFOV of less than 2.5 mrad (milliradians);
Note: 6A002.b.1 does not control ``monospectral imaging sensors''
with a peak response in the wavelength range exceeding 300 nm but not
exceeding 900 nm and only incorporating any of the following non-
``space-qualified'' detectors or non -``space-qualified'' ``focal plane
arrays'':
a. Charge Coupled Devices (CCD) not designed or modified to achieve
'charge multiplication'; or
b. Complementary Metal Oxide Semiconductor (CMOS) devices not
designed or modified to achieve 'charge multiplication'.
c. 'Direct view' imaging equipment incorporating any of the
following:
c.1. Image intensifier tubes having the characteristics listed in
6A002.a.2.a or 6A002.a.2.b;
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3; or
c.3. Solid state detectors specified by 6A002.a.1;
Technical Note: For the purposes of 6A002.c,'direct view' refers to
imaging equipment that presents a visual image to a human observer
without converting the image into an electronic signal for television
display, and that cannot record or store the image photographically,
electronically or by any other means.
Note: 6A002.c does not control equipment as follows, when
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis of
the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment ``specially designed'' for laboratory use.
d. Special support ``components'' for optical sensors, as follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-``space-qualified'' cryocoolers having a cooling source
temperature below 218 K (-55 [deg]C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF) or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers having bore
(outside) diameters of less than 8 mm;
d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
Note: 6A002.d.3 does not apply to encapsulated optical sensing
fibers ``specially designed'' for bore hole sensing applications.
e. [Reserved]
f. 'Read-Out Integrated Circuits' ('ROIC') ``specially designed''
for ``focal plane arrays'' specified by 6A002.a.3.
Note: 6A002.f does not apply to read-out integrated circuits
``specially designed'' for civil automotive applications.
Technical Note: For the purposes of 6A002.f, a 'Read-Out Integrated
Circuit' ('ROIC') is an integrated circuit designed to underlie or be
bonded to a ``focal plane array'' (``FPA'') and used to read-out (i.e.,
extract and register) signals produced by the detector elements. At a
minimum the 'ROIC' reads the charge from the detector elements by
extracting the charge and applying a multiplexing function in a manner
that retains the relative spatial position and orientation information
of the detector elements for processing inside or outside the 'ROIC'.
6A003 Cameras, systems or equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
Reason for Control: NS, NP, RS, AT, UN
------------------------------------------------------------------------
Country Chart(see Supp. No.1
Control(s) to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to cameras controlled by NP Column 1
6A003.a.3 or a.4 and to plug-ins in
6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
RS applies to 6A003.b.3, 6A003.b.4.a, RS Column 1
6A003.b.4.c and to items controlled in
6A003.b.4.b that have a frame rate
greater than 60 Hz or that incorporate a
focal plane array with more than 111,000
elements, or to items in 6A003.b.4.b when
being exported or reexported to be
embedded in a civil product. (But see
Sec. 742.6(a)(2)(iii) and (v) for
certain exemptions).
RS applies to items controlled in RS Column 2
6A003.b.4.b that have a frame rate of 60
Hz or less and that incorporate a focal
plane array with not more than 111,000
elements if not being exported or
reexported to be embedded in a civil
product.
AT applies to entire entry................ AT Column 1
UN applies to 6A003.b.3 and b.4........... See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
License Requirement Note: Commodities that are not subject to the
ITAR but are of the type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when they incorporate a camera
controlled in this ECCN.
Reporting Requirements
See Sec. 743.3 of the EAR for thermal camera reporting for exports that
are not authorized by an individually validated license of thermal
imaging cameras controlled by
[[Page 564]]
ECCN 6A003.b.4.b to destinations in Country Group A:1 (see Supplement
No. 1 to part 740 of the EAR), must be reported to BIS.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, except N/A for 6A003.a.3 through a.6, b.1, b.3 and b.4.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A003.b.3 or b.4 to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN 0A919
for foreign made military commodities that incorporate cameras described
in 6A003. (4) Section 744.9 imposes a license requirement on cameras
described in 6A003 if being exported, reexported, or transferred (in-
country) for use by certain military end-users or for incorporation into
a commodity controlled by ECCN 0A919. (5) See USML Category XII(c) and
(e) for cameras subject to the ITAR. (6) Also see ECCN 6A293.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ``specially designed'' ``components''
therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to 6A003.a.5,
with modular structures should be evaluated by their maximum capability,
using plug-ins available according to the camera manufacturer's
specifications.
a.1. [Reserved]
a.2. [Reserved]
a.3. Electronic streak cameras having temporal resolution better
than 50 ns;
a.4. Electronic framing cameras having a speed exceeding 1,000,000
frames/s;
a.5. Electronic cameras having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less than
1[micro]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125 full
frames per second;
a.6. Plug-ins having all of the following characteristics:
a.6.a. ``Specially designed'' for instrumentation cameras which have
modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics specified
by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the manufacturer's
specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television or video cameras
``specially designed'' for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a peak
response in the wavelength range exceeding 10 nm, but not exceeding
30,000 nm and having all of the following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state array
for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state array
for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated 'camera
tracking data';
Technical Notes: 1. For the purposes of 6A003.b.1, digital video
cameras should be evaluated by the maximum number of ``active pixels''
used for capturing moving images.
2. For the purposes of 6A003.b.1.b.3, 'camera tracking data' is the
information necessary to define camera line of sight orientation with
respect to the earth. This includes: (1) the horizontal angle the camera
line of sight makes with respect to the earth's magnetic field direction
and; (2) the vertical angle between the camera line of sight and the
earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of the
following:
b.2.a. A peak response in the wavelength range exceeding 10 nm, but
not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
Note: 6A003.b.2 does not apply to scanning cameras and scanning
camera systems, ``specially designed'' for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ``specially designed'' for civil, stationary,
close proximity scanning applications (e.g., reproduction of images or
print contained in documents, artwork, or photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image intensifier tubes having
the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ``focal plane arrays'' having any
of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f; or
b.4.c. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.g;
Note 1: Imaging cameras described in 6A003.b.4 include ``focal plane
arrays'' combined with sufficient ``signal processing'' electronics,
[[Page 565]]
beyond the read out integrated circuit, to enable as a minimum the
output of an analog or digital signal once power is supplied.
Note 2: 6A003.b.4.a does not control imaging cameras incorporating
linear ``focal plane arrays'' with 12 elements or fewer, not employing
time-delay-and-integration within the element and designed for any of
the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of heat
flows in buildings, equipment, or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis of
the properties of materials;
d. Equipment ``specially designed'' for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control imaging cameras having any of
the following:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
1. Having a minimum horizontal or vertical 'Instantaneous-Field-of-
View (IFOV)' of at least 2 mrad (milliradians);
2. Incorporating a fixed focal-length lens that is not designed to
be removed;
3. Not incorporating a 'direct view' display; and
Technical Note: For the purposes of 6A003.b.4 Note 3.b.3, 'direct
view' refers to an imaging camera operating in the infrared spectrum
that presents a visual image to a human observer using a near-to-eye
micro display incorporating any light-security mechanism. 4. Having any
of the following:
a. No facility to obtain a viewable image of the detected field-of-
view; or
b. The camera is designed for a single kind of application and
designed not to be user modified; or
Technical Note: For the purposes of 6A003.b.4 Note 3.b.1,
'Instantaneous-Field-of-View (IFOV)' is the lesser figure of the
'Horizontal IFOV' or the 'Vertical IFOV'.
'Horizontal IFOV' = horizontal Field-of-View (FOV)/number of
horizontal detector elements
'Vertical IFOV'= vertical Field-of-View (FOV)/number of vertical
detector elements.
c. The camera is ``specially designed'' for installation into a
civilian passenger land vehicle and having all of the following:
1. The placement and configuration of the camera within the vehicle
are solely to assist the driver in the safe operation of the vehicle;
2. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended and
the vehicle weighs less than 4,500 kg (gross vehicle weight); or
b. A ``specially designed'', authorized maintenance test facility;
and
3. Incorporates an active mechanism that forces the camera not to
function when it is removed from the vehicle for which it was intended.
Note: When necessary, details of the items will be provided, upon
request, to the Bureau of Industry and Security in order to ascertain
compliance with the conditions described in Note 3.b.4 and Note 3.c in
this Note to 6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to 'imaging cameras' having any
of the following characteristics:
a. Having all of the following:
1. Where the camera is ``specially designed'' for installation as an
integrated component into indoor and wall-plug-operated systems or
equipment, limited by design for a single kind of application, as
follows:
a. Industrial process monitoring, quality control, or analysis of
the properties of materials;
b. Laboratory equipment ``specially designed'' for scientific
research;
c. Medical equipment;
d. Financial fraud detection equipment; and
2. Is only operable when installed in any of the following:
a. The system(s) or equipment for which it was intended; or
b. A ``specially designed,'' authorized maintenance facility; and
3. Incorporates an active mechanism that forces the camera not to
function when it is removed from the system(s) or equipment for which it
was intended;
b. Where the camera is ``specially designed'' for installation into
a civilian passenger land vehicle or passenger and vehicle ferries and
having all of the following:
1. The placement and configuration of the camera within the vehicle
or ferry are solely to assist the driver or operator in the safe
operation of the vehicle or ferry;
2. Is only operable when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended and
the vehicle weighs less than 4,500 kg (gross vehicle weight);
b. The passenger and vehicle ferry for which it was intended and
having a length overall (LOA) 65 m or greater; or
c. A ``specially designed'', authorized maintenance test facility;
and
3. Incorporates an active mechanism that forces the camera not to
function when it is removed from the vehicle for which it was intended;
c. Limited by design to have a maximum ``radiant sensitivity'' of 10
mA/W or less for wavelengths exceeding 760 nm, having all of the
following:
1. Incorporating a response limiting mechanism designed not to be
removed or modified; and
2. Incorporates an active mechanism that forces the camera not to
function when the response limiting mechanism is removed; and
3. Not ``specially designed'' or modified for underwater use; or
d. Having all of the following:
[[Page 566]]
1. Not incorporating a 'direct view' or electronic image display;
2. Has no facility to output a viewable image of the detected field
of view;
3. The ``focal plane array'' is only operable when installed in the
camera for which it was intended; and
4. The ``focal plane array'' incorporates an active mechanism that
forces it to be permanently inoperable when removed from the camera for
which it was intended.
Note: When necessary, details of the item will be provided, upon
request, to the Bureau of Industry and Security in order to ascertain
compliance with the conditions described in Note 4 above.
b.5. Imaging cameras incorporating solid-state detectors specified
by 6A002.a.1.
6A004 Optical equipment and ``components,'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA may not be used to ship
any commodity in 6A004.c or .d to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) For optical mirrors or 'aspheric optical elements'
``specially designed'' for lithography ``equipment,'' see ECCN 3B001.
(2) See USML Category XII(e) for gimbals ``subject to the ITAR.'' (3)
See also 6A994.
Related Definitions: An 'aspheric optical element' is any element used
in an optical system whose imaging surface or surfaces are designed to
depart from the shape of an ideal sphere.
Items:
a. Optical mirrors (reflectors) as follows:
Technical Note: For the purposes of 6A004.a, Laser Induced Damage
Threshold (LIDT) is measured according to ISO 21254-1:2011.
a.1. 'Deformable mirrors' having an active optical aperture greater
than 10 mm and having any of the following, and ``specially designed''
components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency of 750 Hz or more; and
a.1.a.2. More than 200 actuators; or
a.1.b. A Laser Induced Damage Threshold (LIDT) being any of the
following:
a.1.b.1. Greater than 1 kW/cm\2\ using a ``CW laser''; or
a.1.b.2. Greater than 2 J/cm\2\ using 20 ns ``laser'' pulses at 20
Hz repetition rate;
Technical Notes: For the purposes of 6A004.a.1:
1. 'Deformable mirrors' are mirrors having any of the following:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or forces
to compensate for distortions in the optical waveform incident upon the
mirror; or
b. Multiple optical reflecting elements that can be individually and
dynamically repositioned by the application of torques or forces to
compensate for distortions in the optical waveform incident upon the
mirror.
2. 'Deformable mirrors' are also known as adaptive optic mirrors.
a.2. Lightweight monolithic mirrors having an average ``equivalent
density'' of less than 30 kg/m\2\ and a total mass exceeding 10 kg;
a.3. Lightweight ``composite'' or foam mirror structures having an
average ``equivalent density'' of less than 30 kg/m\2\ and a total mass
exceeding 2 kg;
Note: 6A004.a.2 and 6A004.a.3 do not apply to mirrors ``specially
designed'' to direct solar radiation for terrestrial heliostat
installations.
a.4. Mirrors ``specially designed'' for beam steering mirror stages
specified in 6A004.d.2.a with a flatness of [lambda]/10 or better
([lambda] is equal to 633 nm) and having any of the following:
a.4.a. Diameter or major axis length greater than or equal to 100
mm; or
a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length greater than 50 mm but less
than 100 mm; and
a.4.b.2. A Laser Induced Damage Threshold (LIDT) being any of the
following:
a.4.b.2.a. Greater than 10 kW/cm2 using a ``CW laser''; or
a.4.b.2.b. Greater than 20 J/cm2 using 20 ns ``laser'' pulses at 20
Hz repetition rate;
N.B. For optical mirrors ``specially designed'' for lithography
equipment, see 3B001.
b. Optical ``components'' made from zinc selenide (ZnSe) or zinc
sulfide (ZnS) with transmission in the wavelength range exceeding 3,000
nm but not exceeding 25,000 nm and having any of the following:
b.1. Exceeding 100 cm\3\ in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20 mm
in thickness (depth);
c. ``Space-qualified'' ``components'' for optical systems, as
follows:
c.1. ``Components'' lightweighted to less than 20% ``equivalent
density'' compared
[[Page 567]]
with a solid blank of the same aperture and thickness;
c.2. Raw substrates, processed substrates having surface coatings
(single-layer or multi-layer, metallic or dielectric, conducting,
semiconducting or insulating) or having protective films;
c.3. Segments or assemblies of mirrors designed to be assembled in
space into an optical system with a collecting aperture equivalent to or
larger than a single optic 1 m in diameter;
c.4. ``Components'' manufactured from ``composite'' materials having
a coefficient of linear thermal expansion, in any coordinate direction,
equal to or less than 5 x 10-6/K;
d. Optical control equipment as follows:
d.1. Equipment ``specially designed'' to maintain the surface figure
or orientation of the ``space-qualified'' ``components'' controlled by
6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and resonator alignment
equipment as follows:
d.2.a. Beam steering mirror stages designed to carry mirrors having
diameter or major axis length greater than 50 mm and having all of the
following, and ``specially designed'' electronic control equipment
therefor:
d.2.a.1. A maximum angular travel of 26 mrad
or more;
d.2.a.2. A mechanical resonant frequency of 500 Hz or more; and
d.2.a.3. An angular ``accuracy'' of 10 [micro]rad (microradians) or
less (better);
d.2.b. Resonator alignment equipment having bandwidths equal to or
more than 100 Hz and an ``accuracy'' of 10 [micro]rad or less (better);
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5[deg];
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 [micro]rad (microradians) or
less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or major
axis length and capable of angular accelerations exceeding 2 rad
(radians)/s\2\; or
d.3.d.2. Exceeding 1 m in diameter or major axis length and capable
of angular accelerations exceeding 0.5 rad (radians)/s\2\;
d.4. [Reserved]
e. 'Aspheric optical elements' having all of the following:
e.1. Largest dimension of the optical-aperture greater than 400 mm;
e.2. Surface roughness less than 1 nm (rms) for sampling lengths
equal to or greater than 1 mm; and
e.3. Coefficient of linear thermal expansion's absolute magnitude
less than 3 x 10-6/K at 25 [deg]C;
Technical Note: 1. For the purposes of 6A004.e, an 'aspheric optical
element' is any element used in an optical system whose imaging surface
or surfaces are designed to depart from the shape of an ideal sphere.
2. For the purposes of 6A004.e.2, manufacturers are not required to
measure the surface roughness unless the optical element was designed or
manufactured with the intent to meet, or exceed, the control parameter.
Note: 6A004.e does not control 'aspheric optical elements' having
any of the following:
a. Largest optical-aperture dimension less than 1 m and focal length
to aperture ratio equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal to or greater than 1 m
and focal length to aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism or diffractive optical
elements;
d. Fabricated from borosilicate glass having a coefficient of linear
thermal expansion greater than 2.5 x 10-6/K at 25 [deg]C; or
e. An x-ray optical element having inner mirror capabilities (e.g.,
tube-type mirrors).
f. Dynamic wavefront measuring equipment having all of the
following:
f.1. 'Frame rates' equal to or more than 1 kHz; and
f.2. A wavefront accuracy equal to or less (better) than [lambda]/20
at the designed wavelength.
Technical Note: For the purposes of 6A004.f, 'frame rate' is a
frequency at which all ``active pixels'' in the ``focal plane array''
are integrated for recording images projected by the wavefront sensor
optics.
6A005 ``Lasers'', ``components'' and optical equipment, as follows (see
List of Items Controlled), excluding items that are subject to
the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
NP applies to lasers controlled by NP Column 1
6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for NP items
$3000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output wavelength
exceeding 1,000 nm, but not exceeding 1,100 nm, and an average or CW
output power not exceeding 2 kW, and operate in a pulse-excited, non-
``Q-switched'' multiple-transverse mode, or in a continuously excited,
multiple-transverse mode; Dye
[[Page 568]]
and Liquid Lasers controlled by 6A005.c.1, c.2 and c.3, except for a
pulsed single longitudinal mode oscillator having an average output
power exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by 6A005.d.2
having a CW maximum rated single or multimode output power not exceeding
10 kW; CO2 or CO/CO2 ``lasers'' controlled by
6A005.d.3 having an output wavelength in the range from 9,000 to 11,000
nm and having a pulsed output not exceeding 2 J per pulse and a maximum
rated average single or multimode output power not exceeding 5 kW; and
CO2 ``lasers'' controlled by 6A005.d.3 that operate in CW
multiple-transverse mode, and having a CW output power not exceeding 15
kW.
List of Items Controlled
Related Controls (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4) See
ECCN 3B001 for excimer ``lasers'' ``specially designed'' for lithography
equipment. (5) ``Lasers'' ``especially designed'' or prepared for use in
isotope separation are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110). (6) See USML
Category XII(b) and (e) for laser systems or lasers subject to the ITAR.
(7) See USML Category XVIII for certain laser-based directed energy
weapon systems, equipment, and components subject to the ITAR.
Related Definitions: For the purposes of 6A005: (1) 'Wall-plug
efficiency' is defined as the ratio of ``laser'' output power (or
``average output power'') to total electrical input power required to
operate the ``laser'', including the power supply/conditioning and
thermal conditioning/heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6;
(2) 'Non-repetitive pulsed' refers to ``lasers'' that produce either a
single output pulse or that have a time interval between pulses
exceeding one minute, see Note 2 of 6A005 and 6A005.d.6.
Items:
Notes: Pulsed ``lasers'' include those that run in a continuous wave
(CW) mode with pulses superimposed.
2. Excimer, semiconductor, chemical, CO, CO2, and 'non-repetitive
pulsed' Nd:glass ``lasers'' are only specified by 6A005.d.
Technical Note: For the purposes of 6A005 Note 2, 'non-repetitive
pulsed' refers to ``lasers'' that produce either a single output pulse
or that have a time interval between pulses exceeding one minute.
3. 6A005 includes fiber ``lasers''.
4. The control status of ``lasers'' incorporating frequency
conversion (i.e., wavelength change) by means other than one ``laser''
pumping another ``laser'' is determined by applying the control
parameters for both the output of the source ``laser'' and the
frequency-converted optical output.
5. 6A005 does not control ``lasers'' as follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
6. For the purposes of 6A005.a and 6A005.b, 'single transverse mode'
refers to ``lasers'' with a beam profile having an M2-factor of less
than 1.3, while 'multiple transverse mode' refers to ``lasers'' with a
beam profile having an M2-factor of 1.3 or higher
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of the
following:
a.1. Output wavelength less than 150 nm and output power exceeding
1W;
a.2. Output wavelength of 150 nm or more but not exceeding 510 nm
and output power exceeding 30 W;
Note: 6A005.a.2 does not control Argon ``lasers'' having an output
power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm and
any of the following:
a.3.a. 'Single transverse mode' output and output power exceeding 50
W; or
a.3.b. 'Multiple transverse mode' output and output power exceeding
150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm and
output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm and
any of the following:
a.5.a. 'Single transverse mode' output and output power exceeding 50
W; or
a.5.b. 'Multiple transverse mode' output and output power exceeding
80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150 nm
and any of the following;
a.6.a. 'Single transverse mode' output and any of the following:
a.6.a.1. Output power exceeding 1,000 W; or
a.6.a.2. Having all of the following:
a.6.a.2.a. Output power exceeding 500 W; and
a.6.a.2.b. Spectral bandwidth less than 40 GHz; or
a.6.b. 'Multiple transverse mode' output and any of the following:
a.6.b.1. 'Wall-plug efficiency' exceeding 18% and output power
exceeding 1,000 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control 'multiple transverse mode',
industrial ``lasers'' with output power exceeding 2 kW and not exceeding
6 kW with a total mass greater than 1,200 kg. For the purpose of this
note, total mass includes all ``components'' required to operate the
``laser,'' e.g., ``laser,'' power supply, heat exchanger, but excludes
external optics for beam conditioning or delivery.
[[Page 569]]
Note 2: 6A005.a.6.b does not apply to 'multiple transverse mode',
industrial ``lasers'' having any of the following:
a. [Reserved];
b. Output power exceeding 1 kW but not exceeding 1.6 kW and having a
BPP exceeding 1.25 mm[middot]mrad;
c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and having
a BPP exceeding 1.7 mm[middot]mrad;
d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and having
a BPP exceeding 2.5 mm[middot]mrad;
e. Output power exceeding 3.3 kW but not exceeding 6 kW and having a
BPP exceeding 3.5 mm[middot]mrad;
f. [Reserved]
g. [Reserved]
h. Output power exceeding 6 kW but not exceeding 8 kW and having a
BPP exceeding 12 mm[middot]mrad; or
i. Output power exceeding 8 kW but not exceeding 10 kW and having a
BPP exceeding 24 mm[middot]mrad;
a.7. Output wavelength exceeding 1,150 nm but not exceeding 1,555 nm
and any of the following:
a.7.a. 'Single transverse mode' and output power exceeding 50 W; or
a.7.b. 'Multiple transverse mode' and output power exceeding 80 W;
a.8. Output wavelength exceeding 1,555 nm but not exceeding 1,850 nm
and output power exceeding 1 W;
a.9. Output wavelength exceeding 1,850 nm but not exceeding 2,100
nm, and any of the following:
a.9.a. 'Single transverse mode' and output power exceeding 1 W; or
a.9.b. 'Multiple transverse mode' output and output power exceeding
120 W; or
a.10. Output wavelength exceeding 2,100 nm and output power
exceeding 1 W;
b. Non-``tunable'' ``pulsed lasers'' having any of the following:
b.1. Output wavelength less than 150 nm and any of the following:
b.1.a. Output energy exceeding 50 mJ per pulse and ``peak power''
exceeding 1 W; or
b.1.b. ``Average output power'' exceeding 1 W;
b.2. Output wavelength of 150 nm or more but not exceeding 510 nm
and any of the following:
b.2.a. Output energy exceeding 1.5 J per pulse and ``peak power''
exceeding 30 W; or
b.2.b. ``Average output power'' exceeding 30 W;
Note: 6A005.b.2.b does not control Argon ``lasers'' having an
``average output power'' equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm, but not exceeding 540 nm
and any of the following:
b.3.a. 'Single transverse mode' output and any of the following:
b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak power''
exceeding 50 W; or
b.3.a.2. ``Average output power'' exceeding 80 W; or
b.3.b. 'Multiple transverse mode' output and any of the following:
b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak power''
exceeding 150 W; or
b.3.b.2. ``Average output power'' exceeding 150 W;
b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm and
any of the following:
b.4.a. ``Pulse duration'' less than 1 ps and any of the following:
b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.4.a.2. ``Average output power'' exceeding 20 W; or
b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of the
following:
b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak power''
exceeding 30 W; or
b.4.b.2. ``Average output power'' exceeding 30 W;
b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm and
any of the following:
b.5.a. ``Pulse duration'' less than 1ps and any of the following:
b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.5.a.2. 'Single transverse mode' output and ``average output
power'' exceeding 20 W;
b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not
exceeding 1 [micro]s and any of the following:
b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak power''
exceeding 50 W;
b.5.b.2. 'Single transverse mode' output and ``average output
power'' exceeding 20 W; or
b.5.b.3. 'Multiple transverse mode' output and ``average output
power'' exceeding 50 W; or
b.5.c. ``Pulse duration'' exceeding 1 [micro]s and any of the
following:
b.5.c.1. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 50 W;
b.5.c.2. 'Single transverse mode' output and ``average output
power'' exceeding 50 W; or
b.5.c.3. 'Multiple transverse mode' output and ``average output
power'' exceeding 80 W.
b.6. Output wavelength exceeding 975 nm but not exceeding 1,150 nm
and any of the following:
b.6.a. ``Pulse duration'' of less than 1 ps, and any of the
following:
b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
b.6.a.2. ``Average output power'' exceeding 30 W; or
b.6.a.3. Output energy exceeding 0.002 J per pulse;
b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less than 1
ns, and any of the following:
[[Page 570]]
b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
b.6.b.2. ``Average output power'' exceeding 50 W; or
b.6.b.3. Output energy exceeding 0.1 J per pulse;
b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [micro]s and any of the following:
b.6.c.1. 'Single transverse mode' output and any of the following:
b.6.c.1.a. ``Peak power'' exceeding 100 MW;
b.6.c.1.b. ``Average output power'' exceeding 20 W limited by design
to a maximum pulse repetition frequency less than or equal to 1 kHz;
b.6.c.1.c. 'Wall-plug efficiency' exceeding 12%, ``average output
power'' exceeding 100 W and capable of operating at a pulse repetition
frequency greater than 1 kHz;
b.6.c.1.d. ``Average output power'' exceeding 150 W and capable of
operating at a pulse repetition frequency greater than 1 kHz; or
b.6.c.1.e. Output energy exceeding 2 J per pulse; or
b.6.c.2. 'Multiple transverse mode' output and any of the following:
b.6.c.2.a. ``Peak power'' exceeding 400 MW;
b.6.c.2.b. 'Wall-plug efficiency' exceeding 18% and ``average output
power'' exceeding 500 W;
b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per pulse; or
b.6.d. ``Pulse duration'' exceeding 1 [micro]s and any of the
following:
b.6.d.1. 'Single transverse mode' output and any of the following:
b.6.d.1.a. ``Peak power'' exceeding 500 kW;
b.6.d.1.b. 'Wall-plug efficiency' exceeding 12% and ``average output
power'' exceeding 100 W; or
b.6.d.1.c. ``Average output power'' exceeding 150 W; or
b.6.d.2. 'Multiple transverse mode' output and any of the following:
b.6.d.2.a. ``Peak power'' exceeding 1 MW;
b.6.d.2.b. 'Wall-plug efficiency' exceeding 18% and ``average output
power'' exceeding 500 W; or
b.6.d.2.c. ``Average output power'' exceeding 2 kW;
b.7. Output wavelength exceeding 1,150 nm but not exceeding 1,555 nm
and any of the following:
b.7.a. ``Pulse duration'' not exceeding 1 [micro]s and any of the
following:
b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak power''
exceeding 50 W;
b.7.a.2. 'Single transverse mode' output and ``average output
power'' exceeding 20 W; or
b.7.a.3. 'Multiple transverse mode' output and ``average output
power'' exceeding 50 W; or
b.7.b. ``Pulse duration'' exceeding 1 [micro]s and any of the
following:
b.7.b.1. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 50 W;
b.7.b.2. 'Single transverse mode' output and ``average output
power'' exceeding 50 W; or
b.7.b.3. 'Multiple transverse mode' output and ``average output
power'' exceeding 80 W;
b.8. Output wavelength exceeding 1,555 nm but not exceeding 1,850
nm, and any of the following:
b.8.a. Output energy exceeding 100 mJ per pulse and ``peak power''
exceeding 1 W; or
b.8.b. ``Average output power'' exceeding 1 W;
b.9. Output wavelength exceeding 1,850 nm but not exceeding 2,100
nm, and any of the following:
b.9.a. 'Single transverse mode' and any of the following:
b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak power''
exceeding 1 W; or
b.9.a.2. ``Average output power'' exceeding 1 W;
b.9.b. 'Multiple transverse mode' and any of the following:
b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak power''
exceeding 10 kW; or
b.9.b.2. ``Average output power'' exceeding 120 W; or
b.10. Output wavelength exceeding 2,100 nm and any of the following:
b.10.a. Output energy exceeding 100 mJ per pulse and ``peak power''
exceeding 1 W; or
b.10.b. ``Average output power'' exceeding 1 W;
c. ``Tunable'' lasers having any of the following:
c.1. Output wavelength less than 600 nm and any of the following:
c.1.a. Output energy exceeding 50 mJ per pulse and ``peak power''
exceeding 1 W; or
c.1.b. Average or CW output power exceeding 1W;
Note: 6A005.c.1 does not apply to dye ``lasers'' or other liquid
``lasers,'' having a multimode output and a wavelength of 150 nm or more
but not exceeding 600 nm and all of the following:
1. Output energy less than 1.5 J per pulse or a ``peak power'' less
than 20 W; and
2. Average or CW output power less than 20 W.
c.2. Output wavelength of 600 nm or more but not exceeding 1,400 nm,
and any of the following:
c.2.a. Output energy exceeding 1 J per pulse and ``peak power''
exceeding 20 W; or
c.2.b. Average or CW output power exceeding 20 W; or
c.3. Output wavelength exceeding 1,400 nm and any of the following:
c.3.a. Output energy exceeding 50 mJ per pulse and ``peak power''
exceeding 1 W; or
c.3.b. Average or CW output power exceeding 1 W;
[[Page 571]]
d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or 6A005.c
as follows:
d.1. Semiconductor ``lasers'' as follows:
Notes:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical output
connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other equipment is determined by the control status of
the other equipment.
d.1.a. Individual single-transverse mode semiconductor ``lasers''
having any of the following:
d.1.a.1. Wavelength equal to or less than 1,570 nm and average or CW
output power, exceeding 2.0 W; or
d.1.a.2. Wavelength greater than 1,570 nm and average or CW output
power, exceeding 500 mW;
d.1.b. Individual 'multiple-transverse mode' semiconductor
``lasers'' having any of the following:
d.1.b.1. Wavelength of less than 1,400 nm and average or CW output
power, exceeding 25 W;
d.1.b.2. Wavelength equal to or greater than 1,400 nm and less than
1,900 nm and average or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than 1,900 nm and average or
CW output power, exceeding 1 W;
d.1.c. Individual semiconductor ``laser'' 'bars' having any of the
following:
d.1.c.1. Wavelength of less than 1,400 nm and average or CW output
power, exceeding 100 W;
d.1.c.2. Wavelength equal to or greater than 1,400 nm and less than
1,900 nm and average or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than 1,900 nm and average or
CW output power, exceeding 10 W;
d.1.d. Semiconductor ``laser'' 'stacked arrays' (two dimensional
arrays) having any of the following:
d.1.d.1. Wavelength less than 1,400 nm and having any of the
following:
d.1.d.1.a. Average or CW total output power less than 3 kW and
having average or CW output 'power density' greater than 500 W/cm\2\;
d.1.d.1.b. Average or CW total output power equal to or exceeding 3
kW but less than or equal to 5 kW, and having average or CW output
'power density' greater than 350W/cm\2\;
d.1.d.1.c. Average or CW total output power exceeding 5 kW;
d.1.d.1.d. Peak pulsed 'power density' exceeding 2,500 W/cm\2\; or
Note: 6A005.d.1.d.1.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.1.e. Spatially coherent average or CW total output power,
greater than 150 W;
d.1.d.2. Wavelength greater than or equal to 1,400 nm but less than
1,900 nm, and having any of the following:
d.1.d.2.a. Average or CW total output power less than 250 W and
average or CW output 'power density' greater than 150 W/cm2;
d.1.d.2.b. Average or CW total output power equal to or exceeding
250 W but less than or equal to 500 W, and having average or CW output
'power density' greater than 50W/cm\2\;
d.1.d.2.c. Average or CW total output power exceeding 500 W;
d.1.d.2.d. Peak pulsed 'power density' exceeding 500 W/cm\2\; or
Note: 6A005.d.1.d.2.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.2.e. Spatially coherent average or CW total output power,
exceeding 15 W;
d.1.d.3. Wavelength greater than or equal to 1,900 nm and having any
of the following:
d.1.d.3.a. Average or CW output 'power density' greater than 50 W/
cm\2\;
d.1.d.3.b. Average or CW output power greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW total output power,
exceeding 1.5 W; or
d.1.d.4. At least one ``laser'' 'bar' specified by 6A005.d.1.c;
Technical Note: For the purposes of 6A005.d.1.d, 'power density'
means the total ``laser'' output power divided by the emitter surface
area of the 'stacked array'.
d.1.e. Semiconductor ``laser'' 'stacked arrays', other than those
specified by 6A005.d.1.d, having all of the following:
d.1.e.1. ``Specially designed'' or modified to be combined with
other 'stacked arrays' to form a larger 'stacked array'; and
d.1.e.2. Integrated connections, common for both electronics and
cooling;
Note 1: 'Stacked arrays', formed by combining semiconductor
``laser'' 'stacked arrays' specified by 6A005.d.1.e, that are not
designed to be further combined or modified are specified by
6A005.d.1.d.
Note 2: 'Stacked arrays', formed by combining semiconductor
``laser'' 'stacked arrays' specified by 6A005.d.1.e, that are designed
to be further combined or modified are specified by 6A005.d.1.e.
Note 3: 6A005.d.1.e does not apply to modular assemblies of single
'bars' designed to be fabricated into end to end stacked linear arrays.
Technical Notes: For the purposes of 6A005.d.1.e:
1. Semiconductor ``lasers'' are commonly called ``laser'' diodes.
2. A 'bar' (also called a semiconductor ``laser'' 'bar', a ``laser''
diode 'bar' or diode 'bar') consists of multiple semiconductor
``lasers'' in a one-dimensional array.
3. A 'stacked array' consists of multiple 'bars' forming a two-
dimensional array of semiconductor ``lasers''.
d.2. Carbon monoxide (CO) ``lasers'' having any of the following:
[[Page 572]]
d.2.a. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 5 kW; or
d.2.b. Average or CW output power, exceeding 5 kW;
d.3. Carbon dioxide (CO2) ``lasers'' having any of the
following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [micro]s
and any of the following:
d.3.b.1. ``Average output power'' exceeding 10 kW; or
d.3.b.2. ``Peak power'' exceeding 100 kW; or
d.3.c. Pulsed output with a ``pulse duration'' equal to or less than
10 [micro]s and any of the following:
d.3.c.1. Pulse energy exceeding 5 J per pulse; or
d.3.c.2. ``Average output power'' exceeding 2.5 kW;
d.4. Excimer ``lasers'' having any of the following:
d.4.a. Output wavelength not exceeding 150 nm and any of the
following:
d.4.a.1. Output energy exceeding 50 mJ per pulse; or
d.4.a.2. ``Average output power'' exceeding 1 W;
d.4.b. Output wavelength exceeding 150 nm but not exceeding 190 nm
and any of the following:
d.4.b.1. Output energy exceeding 1.5 J per pulse; or
d.4.b.2. ``Average output power'' exceeding 120 W;
d.4.c. Output wavelength exceeding 190 nm but not exceeding 360 nm
and any of the following:
d.4.c.1. Output energy exceeding 10 J per pulse; or
d.4.c.2. ``Average output power'' exceeding 500 W; or
d.4.d. Output wavelength exceeding 360 nm and any of the following:
d.4.d.1. Output energy exceeding 1.5 J per pulse; or
d.4.d.2. ``Average output power'' exceeding 30 W;
Note: For excimer ``lasers'' ``specially designed'' for lithography
equipment, see 3B001.
d.5. ``Chemical lasers'' as follows:
d.5.a. Hydrogen Fluoride (HF) ``lasers';
d.5.b. Deuterium Fluoride (DF) ``lasers'';
d.5.c. 'Transfer lasers' as follows:
d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
Technical Note: For the purposes of 6A005.d.5.c, 'transfer lasers'
are ``lasers'' in which the lasing species are excited through the
transfer of energy by collision of a non-lasing atom or molecule with a
lasing atom or molecule species.
d.6. 'Non-repetitive pulsed' Neodymium (Nd) glass ``lasers'' having
any of the following:
d.6.a. A ``pulse duration'' not exceeding 1 [micro]s and output
energy exceeding 50 J per pulse; or
d.6.b. A ``pulse duration'' exceeding 1 [micro]s and output energy
exceeding 100 J per pulse;
e. ``Components'' as follows:
e.1. Mirrors cooled either by 'active cooling' or by heat pipe
cooling;
Technical Note: For the purposes of 6A005.e.1, 'active cooling' is a
cooling technique for optical ``components'' using flowing fluids within
the subsurface (nominally less than 1 mm below the optical surface) of
the optical component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical-''components,'' other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs), ``specially
designed'' for use with controlled ``lasers'';
Note to 6A005.e.2: Fiber combiners and MLDs are specified by
6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners having
all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding output
power transmitted through the single mode core if present) exceeding
1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
e.3.b. Single mode to multimode fused tapered fiber combiners having
all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained at a
rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output not
exceeding 1.5 mm mrad for a number of input fibers less than or equal to
5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm mrad
for a number of input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent beam combination of 5 or
more fiber ``lasers;'' and
e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater than
or equal to 10 kW/cm\2\;
f. Optical equipment as follows:
N.B.: For shared aperture optical elements, capable of operating in
``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. [Reserved]
N.B.: For items previously specified by 6A005.f.1, see 6A004.f.
f.2. ``Laser'' diagnostic equipment ``specially designed'' for
dynamic measurement
[[Page 573]]
of ``SHPL'' system angular beam steering errors and having an angular
``accuracy'' of 10 [micro]rad (microradians) or less (better);
f.3. Optical equipment and ``components'', ``specially designed''
for coherent beam combination in a phased-array ``SHPL'' system and
having any of the following:
f.3.a. An ``accuracy'' of 0.1 [micro]m or less, for wavelengths
greater than 1 [micro]m; or
f.3.b. An ``accuracy'' of [lgr]/10 or less (better) at the designed
wavelength, for wavelengths equal to or less than 1 [micro]m;
f.4. Projection telescopes ``specially designed'' for use with
``SHPL'' systems;
g. 'Laser acoustic detection equipment' having all of the following:
g.1. CW ``laser'' output power greater than or equal to 20 mW;
g.2. ``Laser'' frequency stability equal to or better (less) than 10
MHz;
g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but not
exceeding 2,000 nm;
g.4. Optical system resolution better (less) than 1 nm; and
g.5. Optical Signal to Noise ratio equal to or exceeding 10\3\.
Technical Note: For the purposes of 6A005.g, 'laser acoustic
detection equipment' is sometimes referred to as a ``Laser'' Microphone
or Particle Flow Detection Microphone.
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic magnetic
gradiometers'', underwater electric field sensors,
``compensation systems'', and ``specially designed''
``components'' therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, N/A for 6A006.a.1; ``Magnetometers'' and subsystems defined
in 6A006.a.2 using optically pumped or nuclear precession (proton/
Overhauser) having a 'sensitivity' lower (better) than 2 pT (rms) per
square root Hz; and 6A006.d, and 6A006.e.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in:
6A006.a.1; or 6A006.a.2; or 6A006.c.1 ``Magnetic gradiometers'' using
multiple ``magnetometers'' specified by 6A006.a.1 or 6.A006.a.2; or
6A006.d or .e (only for underwater receivers incorporating magnetometers
specified in 6A006.a.1 or 6A006.a.2) to any of the destinations listed
in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 6A996. This entry does not control
instruments ``specially designed'' for fishery applications or
biomagnetic measurements for medical diagnostics.
Related Definitions: N/A
Items:
a. ``Magnetometers'' and subsystems, as follows:
a.1. ``Magnetometers'' using ``superconductive'' (SQUID)
``technology'' and having any of the following:
a.1.a. SQUID systems designed for stationary operation, without
``specially designed'' subsystems designed to reduce in-motion noise,
and having a 'sensitivity' equal to or lower (better) than 50 fT (rms)
per square root Hz at a frequency of 1 Hz; or
a.1.b. SQUID systems having an in-motion-magnetometer 'sensitivity'
lower (better) than 20 pT (rms) per square root Hz at a frequency of 1
Hz and ``specially designed'' to reduce in-motion noise;
a.2. ``Magnetometers'' using optically pumped or nuclear precession
(proton/Overhauser) ``technology'' having a 'sensitivity' lower (better)
than 20 pT (rms) per square root Hz at a frequency of 1 Hz;
a.3. ``Magnetometers'' using fluxgate ``technology'' having a
'sensitivity' equal to or lower (better) than 10 pT (rms) per square
root Hz at a frequency of 1 Hz;
a.4. Induction coil ``magnetometers'' having a 'sensitivity' lower
(better) than any of the following:
a.4.a. 0.05 nT (rms)/square root Hz at frequencies of less than 1
Hz;
a.4.b. 1 x 10-3 nT (rms)/square root Hz at frequencies of
1 Hz or more but not exceeding 10 Hz; or
a.4.c. 1 x 10-4 nT (rms)/square root Hz at frequencies
exceeding 10 Hz;
a.5. Fiber optic ``magnetometers'' having a 'sensitivity' lower
(better) than 1 nT (rms) per square root Hz;
b. Underwater electric field sensors having a 'sensitivity' lower
(better) than 8 nanovolt per meter per square root Hz when measured at 1
Hz;
c. ``Magnetic gradiometers'' as follows:
c.1. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a;
c.2. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field 'sensitivity' lower (better) than 0.3 nT/m (rms)
per square root Hz;
c.3. ``Intrinsic magnetic gradiometers'', using ``technology'' other
than fiber-optic ``technology'', having a magnetic gradient
[[Page 574]]
field 'sensitivity' lower (better) than 0.015 nT/m (rms) per square root
Hz;
d. ``Compensation systems'' for magnetic and underwater electric
field sensors resulting in a performance equal to or better than the
control parameters of 6A006.a, 6A006.b, and 6A006.c; and
e. Underwater electromagnetic receivers incorporating magnetic field
sensors specified by 6A006.a or underwater electric field sensors
specified by 6A006.b.
Technical Note: For the purposes of 6A006, 'sensitivity' (noise
level) is the root mean square of the device-limited noise floor which
is the lowest signal that can be measured.
6A007 Gravity meters (gravimeters) and gravity gradiometers, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to 6A007.b and .c when the MT Column 1
accuracies in 6A007.b.1 and b.2 are met
or exceeded.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for MT
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(d) for certain gravity
meters (gravimeters) and gravity gradiometers subject to the ITAR. (2)
See also ECCNs 6A107, 6A997, and 7A611.
Related Definitions: N/A
Items:
a. Gravity meters designed or modified for ground use and having a
static ``accuracy'' of less (better) than 10 [micro]Gal;
Note: 6A007.a does not control ground gravity meters of the quartz
element (Worden) type.
b. Gravity meters designed for mobile platforms and having all of
the following:
b.1. A static ``accuracy'' of less (better) than 0.7 mGal; and
b.2. An in-service (operational) ``accuracy'' of less (better) than
0.7 mGal having a 'time-to-steady-state registration' of less than 2
minutes under any combination of attendant corrective compensations and
motional influences;
Technical Note: For the purposes of 6A007.b.2, 'time-to-steady-state
registration' (also referred to as the gravimeter's response time) is
the time over which the disturbing effects of platform induced
accelerations (high frequency noise) are reduced.
c. Gravity gradiometers.
6A008 Radar systems, equipment and assemblies, having any of the
following (see List of Items Controlled), and ``specially
designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to items that are designed for MT Column 1
airborne applications and that are usable
in systems controlled for MT reasons.
RS applies to 6A008.j.1................... RS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A008.d, 6A008.h or 6A008.k to any of the destinations listed in Country
Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also ECCNs 6A108 and 6A998. ECCN 6A998
controls, inter alia, the Light Detection and Ranging (LIDAR) equipment
excluded by the note to paragraph j of this ECCN (6A008). (2) See USML
Category XII(b) for certain LIDAR, Laser Detection and Ranging (LADAR),
or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:
Note: 6A008 does not control:
--Secondary surveillance radar (SSR);
--Civil Automotive Radar;
--Displays or monitors used for air traffic control (ATC);
--Meteorological (weather) radar;
--Precision Approach Radar (PAR) equipment conforming to ICAO standards
and employing electronically steerable linear (1-dimensional) arrays or
mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to 230 GHz and having any of
the following:
a.1. An average output power exceeding 100 mW; or
a.2. Locating ``accuracy'' of 1 m or less (better) in range and 0.2
degree or less (better) in azimuth;
b. A tunable bandwidth exceeding 6.25% of the
'center operating frequency';
Technical Note: For the purposes of 6A008.b, the 'center operating
frequency' equals one half
[[Page 575]]
of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating electronically scanned array antennae;
Technical Note: For the purposes of 6A008.e, electronically scanned
array antennae are also known as electronically steerable array
antennae.
f. Capable of heightfinding non-cooperative targets;
g. ``Specially designed'' for airborne (balloon or airframe mounted)
operation and having Doppler ``signal processing'' for the detection of
moving targets;
h. Employing processing of radar signals and using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum 'instrumented
range' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ``specially designed'' for en route air
traffic control, and having all of the following:
1. A maximum 'instrumented range' of 500 km or less;
2. Configured so that radar target data can be transmitted only one
way from the radar site to one or more civil ATC centers;
3. Contains no provisions for remote control of the radar scan rate
from the en route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
Technical Note: For the purposes of 6A008.i, 'instrumented range' is
the specified unambiguous display range of a radar.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment and having any of the following:
j.1. ``Space-qualified'';
j.2. Employing coherent heterodyne or homodyne detection techniques
and having an angular resolution of less (better) than 20 [micro]rad
(microradians); or
j.3. Designed for carrying out airborne bathymetric littoral surveys
to International Hydrographic Organization (IHO) Order 1a Standard (5th
Edition February 2008) for Hydrographic Surveys or better, and using one
or more ``lasers'' with a wavelength exceeding 400 nm but not exceeding
600 nm;
Note 1: LIDAR equipment ``specially designed'' for surveying is only
specified by 6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR equipment ``specially
designed'' for meteorological observation.
Note 3: Parameters in the IHO Order 1a Standard 5th Edition February
2008 are summarized as follows:
Horizontal Accuracy (95% Confidence Level)= 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95% confidence level) = [radic](a\2\ + (b*d)\2\) where:
a = 0.5 m = constant depth error, i.e., the sum of all constant depth
errors
b = 0.013 = factor of depth dependent error
b*d = depth dependent error, i.e., the sum of all depth dependent errors
d = depth
Feature Detection = Cubic features 2 m in depths up to
40 m; 10% of depth beyond 40 m.
k. Having ``signal processing'' sub-systems using ``pulse
compression'' and having any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A compressed pulse width of less than 200 ns; or
Note: 6A008.k.2 does not apply to two dimensional 'marine radar' or
'vessel traffic service' radar, having all of the following:
a. ``Pulse compression'' ratio not exceeding 150;
b. Compressed pulse width of greater than 30 ns;
c. Single and rotating mechanically scanned antenna;
d. Peak output power not exceeding 250 W; and
e. Not capable of ``frequency hopping''.
l. Having data processing sub-systems and having any of the
following:
l.1. 'Automatic target tracking' providing, at any antenna rotation,
the predicted target position beyond the time of the next antenna beam
passage; or
Note: 6A008.l.1 does not control conflict alert capability in ATC
systems, or 'marine radar'.
Technical Note: For the purposes of 6A008.l.1, 'automatic target
tracking' is a processing technique that automatically determines and
provides as output an extrapolated value of the most probable position
of the target in real time.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition and correlation, or fusion,
of target data within six seconds from two or more 'geographically
dispersed' radar sensors to improve the aggregate performance beyond
that of any single sensor specified by 6A008.f, or 6A008.i.
Technical Note: For the purposes of 6A008.l.4, sensors are
considered 'geographically dispersed' when each location is distant from
any other more than 1,500 m in any direction. Mobile sensors are always
considered 'geographically dispersed'.
N.B.: See also the U.S. Munitions List (22 CFR part 121).
[[Page 576]]
Note: 6A008.l does not apply to systems, equipment and assemblies
designed for 'vessel traffic services'.
Technical Notes: 1. For the purposes of 6A008, 'marine radar' is a
radar that is designed to navigate safely at sea, inland waterways or
near-shore environments.
2. For the purposes of 6A008, 'vessel traffic service' is a vessel
traffic monitoring and control service similar to air traffic control
for ``aircraft.''
6A102 Radiation hardened detectors, other than those controlled by
6A002, ``specially designed'' or modified for protecting
against nuclear effects (e.g., Electromagnetic Pulse (EMP), X-
rays, combined blast and thermal effects) and usable for
``missiles,'' designed or rated to withstand radiation levels
which meet or exceed a total irradiation dose of 5 x 10\5\
rads (silicon).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: In this entry, a detector is defined as a
mechanical, electrical, optical or chemical device that automatically
identifies and records, or registers a stimulus such as an environmental
change in pressure or temperature, an electrical or electromagnetic
signal or radiation from a radioactive material.
Items: The list of items controlled is contained in the ECCN heading.
6A103 Radomes designed to withstand a combined thermal shock greater
than 100 cal/sq cm accompanied by a peak over pressure of
greater than 50 kPa, usable in protecting ``missiles'' against
nuclear effects (e.g., Electromagnetic Pulse (EMP), X-rays,
combined blast and thermal effects), and usable for
``missiles''. (These items are ``subject to the ITAR.'' See 22
CFR parts 120 through 130.)
6A107 Gravity meters (gravimeters) or gravity gradiometers, other than
those controlled by 6A007, designed or modified for airborne
or marine use, as follows, (see List of Items Controlled) and
``specially designed'' ``parts'' and ``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See USML Category XII(d) for certain gravity meters
(gravimeters) or gravity gradiometers subject to the ITAR. See also ECCN
7A611.
Related Definitions: 'Time to steady-state registration' (also referred
to as the gravity meter's response time) is the time over which the
disturbing effects of platform-induced acceleration (high frequency
noise) are reduced.
Items:
a. Gravity meters having all of the following characteristics:
a.1. A static or operational accuracy equal to or less (better) than
0.7 milligal (mgal); and
a.2. A 'time to steady-state registration' of two minutes or less.
b. Gravity gradiometers
6A108 Radar systems and tracking systems, other than those controlled by
6A008, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control airborne civil weather
radar conforming to international standards for civil weather radars
provided that they do not incorporate any of the following: (a) Phased
array antennas; (b) Frequency agility; (c) Spread spectrum; or (d)
Signal processing ``specially designed'' for the tracking of vehicles.
(2) Items in 6A108.a that are ``specially designed'' or modified for
``missiles'' or for items on the U.S. Munitions List are ``subject to
the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: Laser radar systems are defined as those that
embody specialized
[[Page 577]]
transmission, scanning, receiving and signal processing techniques for
utilization of lasers for echo ranging, direction finding and
discrimination of targets by location, radial speed and body reflection
characteristics.
Items: a. Radar and laser radar systems designed or modified for use in
``missiles'';
Note: 6A108.a includes the following:
a. Terrain contour mapping equipment;
b. Imaging sensor equipment;
c. Scene mapping and correlation (both digital and analog)
equipment;
d. Doppler navigation radar equipment.
b. Precision tracking systems, usable for rockets, missiles, or
unmanned aerial vehicles capable of achieving a ``range'' equal to or
greater than 300 km, as follows:
b.1. Tracking systems which use a code translator installed on the
rocket or unmanned aerial vehicle in conjunction with either surface or
airborne references or navigation satellite systems to provide real-time
measurements of in-flight position and velocity;
b.2. Range instrumentation radars including associated optical/
infrared trackers with all of the following capabilities:
b.2.a. Angular resolution better than 1.5 milliradians;
b.2.b. Range of 30 km or greater with a range resolution better than
10 m rms;
b.2.c. Velocity resolution better than 3 m/s.
6A202 Photomultiplier tubes having both of the following characteristics
(see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items: a. Photocathode area of greater than 20 cm\2\; and
b. Anode pulse rise time of less than 1 ns.
6A203 High-speed cameras, imaging devices and ``components'' therefor,
other than those controlled by 6A003 (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A003.a.3 and a.4. (3)
The act of incorporating a radiation hardened integrated circuit into a
TV camera designated as EAR99 does not, in and of itself, cause the TV
camera to meet the parameters of ECCN paragraph 6A203.d.
Related Definitions: N/A
Items:
a. Streak cameras and ``specially designed'' components therefor, as
follows:
a.1. Streak cameras with writing speeds greater than 0.5 mm/
[micro]s;
a.2. Electronic streak cameras capable of 50 ns or less time
resolution;
a.3. Streak tubes for cameras described in 6A203.a.2;
a.4. Plug-ins, ``specially designed'' for use with streak cameras
having modular structures, that enable the performance characteristics
described in 6A203.a.1 or .a.2;
a.5. Synchronizing electronics units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.a.1.
b. Framing cameras and ``specially designed'' components therefor,
as follows:
b.1. Framing cameras with recording rates greater than 225,000
frames per second;
b.2. Framing cameras capable of 50 ns or less frame exposure time;
b.3. Framing tubes, and solid-state imaging devices, that have a
fast image gating (shutter) time of 50 ns or less and are ``specially
designed'' for cameras described in 6A203.b.1 or .b.2;
b.4. Plug-ins, ``specially designed'' for use with framing cameras
having modular structures, that enable the performance characteristics
described in 6A203.b.1 or .b.2;
b.5. Synchronizing electronic units, and rotor assemblies consisting
of turbines, mirrors and bearings, that are ``specially designed'' for
cameras described in 6A203.b.1 or .b.2.
c. Solid-state or electron tube cameras and ``specially designed''
components therefor, as follows:
c.1. Solid-state cameras, or electron tube cameras, with a fast
image gating (shutter) time of 50 ns or less;
c.2. Solid-state imaging devices, and image intensifiers tubes, that
have a fast image gating (shutter) time of 50 ns or less and are
[[Page 578]]
``specially designed'' for cameras described in 6A203.c.1;
c.3. Electro-optical shuttering devices (Kerr or Pockels cells) with
a fast image gating (shutter) time of 50 ns or less;
c.4. Plug-ins, ``specially designed'' for use with cameras having
modular structures, that enable the performance characteristics
described in 6A203.c.1.
Technical Note: High speed single frame cameras can be used alone to
produce a single image of a dynamic event, or several such cameras can
be combined in a sequentially-triggered system to produce multiple
images of an event.
d. Radiation-hardened TV cameras, or lenses therefor, ``specially
designed'' or rated as radiation hardened to withstand a total radiation
dose greater than 5 x 10 \4\ Gy (silicon) without operational
degradation.
Technical Note: The term Gy (silicon) refers to the energy in Joules
per kilogram absorbed by an unshielded silicon sample when exposed to
ionizing radiation.
6A205 ``Lasers,'' ``laser'' amplifiers and oscillators, other than those
controlled by 6A005 (see List of Items Controlled), excluding
items that are subject to the export licensing authority of
the Nuclear Regulatory Commission (see 10 CFR part 110).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCNs 6A005 and 6A995. (3) See
ECCN 6A005.a.2 for additional controls on argon ion lasers; See ECCN
6A005.b.6.c for additional controls on neodymium-doped lasers. (4)
``Lasers'' ``specially designed'' or prepared for use in isotope
separation are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).
Related Definitions: N/A
Items: a. Copper vapor lasers having both of the following
characteristics:
a.1. Operating at wavelengths between 500 nm and 600 nm; and
a.2. An average output power equal to or greater than 30 W;
b. Argon ion ``lasers'' having both of the following
characteristics:
b.1. Operating at wavelengths between 400 nm and 515 nm; and
b.2. An average output power greater than 40 W;
c. Neodymium-doped (other than glass) lasers with an output
wavelength between 1000 nm and 1100 nm having either of the following:
c.1. Pulse-excited and Q-switched with a pulse duration equal to or
greater than 1 ns, and having either of the following:
c.1.a. A single-transverse mode output with an average output power
greater than 40 W; or
c.1.b. A multiple-transverse mode output with an average output
power greater than 50 W; or
c.2. Incorporating frequency doubling to give an output wavelength
between 500 nm and 550 nm with an average output power of greater than
40 W.
d. Tunable pulsed single-mode dye laser oscillators having all of
the following characteristics:
d.1. Operating at wavelengths between 300 nm and 800 nm;
d.2. An average output greater than 1 W;
d.3. A repetition rate greater than 1 kHz; and
d.4. Pulse width less than 100 ns;
e. Tunable pulsed dye laser amplifiers and oscillators having all of
the following characteristics:
e.1. Operating at wavelengths between 300 nm and 800 nm;
e.2. An average output greater than 30 W;
e.3. A repetition rate greater than 1 kHz; and
e.4. Pulse width less than 100 ns;
Note to 6A205.e: 6A205.e does not control single mode oscillators.
f. Alexandrite lasers having all of the following characteristics:
f.1. Operating at wavelengths between 720 nm and 800 nm;
f.2. A bandwidth of 0.005 nm or less;
f.3. A repetition rate greater than 125 Hz; and
f.4. An average output power greater than 30 W;
g. Pulsed carbon dioxide ``lasers'' having all of the following
characteristics:
g.1. Operating at wavelengths between 9,000 nm and 11,000 nm;
g.2. A repetition rate greater than 250 Hz;
g.3. An average output power greater than 500 W; and
g.4. Pulse width of less than 200 ns;
Note to 6A205.g: 6A205.g does not control the higher power
(typically 1 kW to 5 kW) industrial CO2 lasers used in
applications such as cutting and welding, as these latter lasers are
either continuous wave or are pulsed with a pulse width greater than 200
ns.
h. Pulsed excimer lasers (XeF, XeCl, KrF) having all of the
following characteristics:
[[Page 579]]
h.1. Operating at wavelengths between 240 nm and 360 nm;
h.2. A repetition rate greater than 250 Hz; and
h.3. An average output power greater than 500 W;
i. Para-hydrogen Raman shifters designed to operate at 16 micrometer
output wavelength and at a repetition rate greater than 250 Hz.;
j. Pulsed carbon monoxide lasers having all of the following
characteristics:
j.1. Operating at wavelengths between 5,000 and 6,000 nm;
j.2. A repetition rate greater than 250 Hz;
j.3. An average output power greater than 200 W; and
j.4. Pulse width of less than 200 ns.
Note to ECCN 6A205.j: 6A205.j does not control the higher power
(typically 1 kW to 5 kW) industrial CO lasers used in applications such
as cutting and welding, because such lasers are either continuous wave
or are pulsed with a pulse width greater than 200 ns.
6A225 Velocity interferometers for measuring velocities exceeding 1 km/s
during time intervals of less than 10 microseconds.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
ECCN Controls: 6A225 includes velocity interferometers, such as VISARs
(Velocity Interferometer Systems for Any Reflector), DLIs (Doppler Laser
Interferometers) and PDV (Photonic Doppler Velocimeters) also known as
Het-V (Heterodyne Velocimeters).
Items: The list of items controlled is contained in the ECCN heading.
6A226 Pressure sensors, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry.
Related Definitions: N/A
Items: a. Shock pressure gauges capable of measuring pressures greater
than 10 GPa (100 kilobars), including gauges made with manganin,
ytterbium, and polyvinylidene bifluoride (PVBF, PVF2);
b. Quartz pressure transducers for pressures greater than 10 GPa
(100 kilobars).
6A293 Cameras not classified ECCNs 6A003 or 6A203 with all the following
characteristics: (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA (Sec. 740.20 of the EAR) may not be used for
ECCN 6A293.
List of Items Controlled
Related Controls: See ECCNs 6A003 and 6A203.
Related Definitions: N/A
Items:
a. Minimum exposure time of 1 microsecond or faster, and
b. a throughput of 13.43 Giga Pixels/s or greater when taken at
205,000 frames/s.
Technical Note: Throughput = Width (pixels) x Height (pixels) x
Frames per Second. The width and Height in pixels are those that are
achieved at 205,000 frames per second.
Note: This entry includes cameras which may be referred to as high-
speed digital imaging cameras, high-speed video cameras or slow-motion
cameras or any other camera that meets these parameters.
6A611 Acoustic systems and equipment, radar, and ``parts,''
``components,'' ``accessories,'' and ``attachments''
``specially designed'' therefor, ``specially designed'' for a
military application that are not enumerated in any USML
category or other
[[Page 580]]
ECCN are controlled by ECCN 3A611. Military fire control,
laser, imaging, and guidance equipment that are not enumerated
in any USML category or ECCN are controlled by ECCN 7A611.
6A991 Marine or terrestrial acoustic equipment, n.e.s., capable of
detecting or locating underwater objects or features or
positioning surface vessels or underwater vehicles; and
``specially designed'' ``parts'' and ``components,'' n.e.s.
License Requirements
Reason for Control: AT, foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 2.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6A992 Optical Sensors, not controlled by 6A002, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: AT, RS
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
RS applies to entire entry. A license is required for items controlled
by this entry for export or reexport to Iraq or transfer within Iraq for
regional stability reasons. The Commerce Country Chart is not designed
to determine RS license requirements for this entry. See Sec. Sec.
742.6 and 746.3 of the EAR for additional information.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Image intensifier tubes and ``specially designed''
``components'' therefor, as follows:
a.1. Image intensifier tubes having all the following:
a.1.a. A peak response in wavelength range exceeding 400 nm, but not
exceeding 1,050 nm;
a.1.b. A microchannel plate for electron image amplification with a
hole pitch (center-to-center spacing) of less than 25 micrometers; and
a.1.c. Having any of the following:
a.1.c.1. An S-20, S-25 or multialkali photocathode; or
a.1.c.2. A GaAs or GaInAs photocathode;
a.2. ``Specially designed'' microchannel plates having both of the
following characteristics:
a.2.a. 15,000 or more hollow tubes per plate; and
a.2.b. Hole pitch (center-to-center spacing) of less than 25
micrometers.
b. Direct view imaging equipment operating in the visible or
infrared spectrum, incorporating image intensifier tubes having the
characteristics listed in 6A992.a.1.
6A993 Cameras, not controlled by 6A003 or 6A203, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 0A919 for foreign made military
commodities that incorporate cameras described in 6A993.a that meet the
criteria specified in Note 3.a to 6A003.b.4.b (i.e., having a maximum
frame rate equal to or less than 9 Hz). (2) Section 744.9 imposes
license requirements on cameras described in 6A993.a as a result of
meeting the criteria specified in Note 3.a to 6A003.b.4.b (i.e., having
a maximum frame rate equal to or less than 9 Hz) if being exported,
reexported, or transferred (in-country) for use by a military end-user
or for incorporation into a commodity controlled by ECCN 0A919.
Related Definitions: N/A
Items: a. Cameras that meet the criteria of Note 3 to 6A003.b.4.
b. [Reserved]
6A994 Optics, not controlled by 6A004, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 581]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical filters:
a.1. For wavelengths longer than 250 nm, comprised of multi-layer
optical coatings and having either of the following:
a.1.a. Bandwidths equal to or less than 1 nm Full Width Half
Intensity (FWHI) and peak transmission of 90% or more; or
a.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak
transmission of 50% or more;
Note: 6A994 does not control optical filters with fixed air gaps or
Lyot-type filters.
a.2. For wavelengths longer than 250 nm, and having all of the
following:
a.2.a. Tunable over a spectral range of 500 nm or more;
a.2.b. Instantaneous optical bandpass of 1.25 nm or less;
a.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1 nm or
better within the tunable spectral range; and
a.2.d. A single peak transmission of 91% or more;
a.3. Optical opacity switches (filters) with a field of view of
30[deg] or wider and a response time equal to or less than 1 ns;
b. ``Fluoride fiber'' cable, or optical fibers therefor, having an
attenuation of less than 4 dB/km in the wavelength range exceeding 1,000
nm but not exceeding 3,000 nm.
6A995 ``Lasers'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Carbon dioxide (CO2) ``lasers'' having any of the
following:
a.1. A CW output power exceeding 10 kW;
a.2. A pulsed output with a ``pulse duration'' exceeding 10
microseconds; and
a.2.a. An average output power exceeding 10 kW; or
a.2.b. A pulsed ``peak power'' exceeding 100 kW; or
a.3. A pulsed output with a ``pulse duration'' equal to or less than
10 microseconds; and
a.3.a. A pulse energy exceeding 5 J per pulse and ``peak power''
exceeding 2.5 kW; or
a.3.b. An average output power exceeding 2.5 kW;
b. Semiconductor lasers, as follows:
b.1. Individual, single-transverse mode semiconductor ``lasers''
having:
b.1.a. An average output power exceeding 100 mW; or
b.1.b. A wavelength exceeding 1,050 nm;
b.2. Individual, multiple-transverse mode semiconductor ``lasers'',
or arrays of individual semiconductor ``lasers'', having a wavelength
exceeding 1,050 nm;
c. Ruby ``lasers'' having an output energy exceeding 20 J per pulse;
d. Non-``tunable'' ``pulsed lasers'' having an output wavelength
exceeding 975 nm but not exceeding 1,150 nm and having any of the
following:
d.1. A ``pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [micro]s, and having any of the following:
d.1.a. A single transverse mode output and having any of the
following:
d.1.a.1. A `wall-plug efficiency' exceeding 12% and an ``average
output power'' exceeding 10 W and capable of operating at a pulse
repetition frequency greater than 1kHz; or
d.1.a.2. An ``average output power'' exceeding 20 W; or
d.1.b. A multiple transverse mode output and having any of the
following:
d.1.b.1. A `wall-plug efficiency' exceeding 18% and an ``average
output power'' exceeding 30 W;
d.1.b.2. A ``peak power'' exceeding 200 MW; or
d.1.b.3. An ``average output power'' exceeding 50 W; or
d.2. A ``pulse duration'' exceeding 1 [micro]s and having any of the
following:
d.2.a. A single transverse mode output and having any of the
following:
d.2.a.1. A `wall-plug efficiency' exceeding 12% and an ``average
output power'' exceeding 10 W and capable of operating at a pulse
repetition frequency greater than 1 kHz; or
d.2.a.2. An ``average output power'' exceeding 20 W; or
d.2.b. A multiple transverse mode output and having any of the
following:
d.2.b.1. A `wall-plug efficiency' exceeding 18% and an ``average
output power'' exceeding 30 W; or
d.2.b.2. An ``average output power'' exceeding 500 W;
e. Non-``tunable'' continuous wave ``(CW) lasers'', having an output
wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of
the following:
e.1. A single transverse mode output and having any of the
following:
[[Page 582]]
e.1.a. A `wall-plug efficiency' exceeding 12% and an ``average
output power'' exceeding 10 W and capable of operating at a pulse
repetition frequency greater than 1 kHz; or
e.1.b. An ``average output power'' exceeding 50 W; or
e.2. A multiple transverse mode output and having any of the
following:
e.2.a. A `wall-plug efficiency' exceeding 18% and an ``average
output power'' exceeding 30 W; or
e.2.b. An ``average output power'' exceeding 500 W;
Note: 6A995.e.2.b does not control multiple transverse mode,
industrial ``lasers'' with output power less than or equal to 2kW with a
total mass greater than 1,200kg. For the purpose of this note, total
mass includes all ``components'' required to operate the ``laser,''
e.g., ``laser,'' power supply, heat exchanger, but excludes external
optics for beam conditioning and/or delivery.
f. Non-``tunable'' ``lasers'', having a wavelength exceeding 1,400
nm, but not exceeding 1555 nm and having any of the following:
f.1. An output energy exceeding 100 mJ per pulse and a pulsed ``peak
power'' exceeding 1 W; or
f.2. An average or CW output power exceeding 1 W.
g. Free electron ``lasers''.
6A996 ``Magnetometers'' not controlled by ECCN 6A006,
``Superconductive'' electromagnetic sensors, and ``specially
designed'' ``components'' therefor, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) no. 1 to part 738)
------------------------------------------------------------------------
RS applies to entire entry................ A license is required for
items controlled by this
entry for export or
reexport to Pakistan or
transfer within Pakistan
for regional stability
reasons. The Commerce
Country Chart is not
designed to determine RS
license requirements for
this entry. See Sec.
742.6(a)(12) of the EAR for
additional information.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Magnetometers'', n.e.s., having a 'sensitivity' lower (better)
than 1.0 nT (rms) per square root Hz.
Technical Note:
T3For the purposes of 6A996, 'sensitivity' (noise level) is the root
mean square of the device-limited noise floor which is the lowest signal
that can be measured.
b. ``Superconductive'' electromagnetic sensors, ``components''
manufactured from ``superconductive'' materials and having all the
following:
b.1. Designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive'' constituents
(including Josephson effect devices or ``superconductive'' quantum
interference devices (SQUIDS));
b.2. Designed for sensing electromagnetic field variations at
frequencies of 1 KHz or less; and
b.3. Having any of the following characteristics:
b.3.a. Incorporating thin-film SQUIDS with a minimum feature size of
less than 2 [micro]m and with associated input and output coupling
circuits;
b.3.b. Designed to operate with a magnetic field slew rate exceeding
1 x 10\6\ magnetic flux quanta per second;
b.3.c. Designed to function without magnetic shielding in the
earth's ambient magnetic field; or
b.3.d. Having a temperature coefficient less (smaller) than 0.1
magnetic flux quantum/K.
6A997 Gravity meters (gravimeters) for ground use, n.e.s., as follows
(see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Having a static accuracy of less (better) than 100 microgal;
or
b. Being of the quartz element (Worden) type.
6A998 Radar systems, equipment and major ``components,'' n.e.s., and
``specially designed'' ``components'' therefor, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to 6A998.b..................... RS Column 1
RS applies to 6A998.c..................... RS Column 2
[[Page 583]]
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A
Related Definitions: N/A
Items: a. Airborne radar equipment, n.e.s., and ``specially designed''
``components'' therefor.
b. ``Space-qualified'' ``laser'' radar or Light Detection and
Ranging (LIDAR) equipment ``specially designed'' for surveying or for
meteorological observation.
c. Millimeter wave enhanced vision radar imaging systems ``specially
designed'' for rotary wing aircraft and having all of the following:
c.1. Operates at a frequency of 94 GHz;
c.2. An average output power of less than 20 mW;
c.3. Radar beam width of 1 degree; and
c.4. Operating range equal to or greater than 1500 m.
6A999 Specific processing equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: RS AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to 6A999.c..................... RS Column 2.
AT applies to entire entry................ A license is required for
items controlled by this
entry to North Korea for
anti-terrorism reasons. The
Commerce Country Chart is
not designed to determine
AT licensing requirements
for this entry. See Sec.
742.19 of the EAR for
additional information.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) The act of incorporating a radiation hardened
integrated circuit into a TV camera designated as EAR99 does not, in and
of itself, cause the TV camera to meet the specifications of ECCN
paragraph 6A999.b. (2) See also 6A203.
Related Definitions: N/A
Items:
a. Seismic detection equipment not controlled in paragraph c.
b. Radiation hardened TV cameras, n.e.s.
c. Seismic intrusion detection systems that detect, classify and
determine the bearing on the source of a detected signal.
B. ``Test'', ``Inspection'' and ``Production Equipment''
6B002 Masks and Reticles, ``Specially Designed'' for Optical Sensors
Specified by 6A002.a.1.b or 6A002.a.1.d.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6B004 Optical equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $5000
GBS: Yes for 6B004.b
List of Items Controlled
Related Controls: This entry does not control microscopes.
Related Definitions: N/A
Items: a. Equipment for measuring absolute reflectance to an
``accuracy'' of equal to or better than 0.1% of the reflectance value;
b. Equipment other than optical surface scattering measurement
equipment, having an unobscured aperture of more than 10 cm, ``specially
designed'' for the non-contact optical measurement of a non-planar
optical surface figure (profile) to an ``accuracy'' of 2 nm or less
(better) against the required profile.
6B007 Equipment to produce, align and calibrate land-based gravity
meters with a static ``accuracy'' of less (better) than 0.1
mGal.
License Requirements
Reason for Control: NS, AT
[[Page 584]]
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6B008 Pulse radar cross-section measurement systems having transmit
pulse widths of 100 ns or less, and ``specially designed''
``components'' therefor.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
List of Items Controlled
Related Controls: See also 6B108
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6B108 Systems, other than those controlled by 6B008, ``specially
designed'' for radar cross section measurement usable for
rockets, missiles, or unmanned aerial vehicles capable of
achieving a ``range'' equal to or greater than 300 km and
their subsystems.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6B619 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities enumerated or otherwise described in USML Category
XVIII (see List of Items Controlled)
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
License Exceptions
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 6B619.
List of Items Controlled
Related Controls: ``Parts,'' ``components,'' ``accessories,''
``attachments,'' and associated systems or ``equipment'' ``specially
designed'' for defense articles enumerated or otherwise described in
paragraphs (a) or (b) of USML Category XVIII are subject to the ITAR
(see 22 CFR 121.1, Category XVIII(e)).
Related Definitions: N/A
Items: a. Tooling, templates, jigs, mandrels, molds, dies, fixtures,
alignment mechanisms, and test ``equipment'' not enumerated or otherwise
described in USML Category XVIII and not elsewhere specified on the USML
that are ``specially designed'' for the ``development,'' ``production,''
repair, overhaul, or refurbishing of commodities controlled by USML
Category XVIII.
b. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' for a commodity subject to control under
paragraph .a of this ECCN and not enumerated or otherwise described in
USML Category XVIII and not elsewhere specified on the USML.
[[Page 585]]
6B995 Equipment, including tools, dies, fixtures or gauges, and other
``specially designed'' ``parts,'' ``components'' and
``accessories'' therefor, ``specially designed'' or modified
for any of the following (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. For the manufacture or inspection of:
a.1. Free electron ``laser'' magnet wigglers;
a.2. Free electron ``laser'' photo injectors;
b. For the adjustment, to required tolerances, of the longitudinal
magnetic field of free electron ``lasers''.
C. ``Materials''
6C002 Optical sensor materials as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: N/A
List of Items Controlled
Related Controls: See also 6C992.
Related Definitions: N/A
Items:
a. Elemental tellurium (Te) of purity levels of 99.9995% or more;
b. Single crystals (including epitaxial wafers) of any of the
following:
b.1. Cadmium zinc telluride (CdZnTe), with zinc content less than 6%
by 'mole fraction';
b.2. Cadmium telluride (CdTe) of any purity level; or
b.3. Mercury cadmium telluride (HgCdTe) of any purity level.
Technical Note: For the purposes of 6C002.b.1, 'mole fraction' is
defined as the ratio of moles of ZnTe to the sum of the moles of CdTe
and ZnTe present in the crystal.
6C004 Optical materials as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: Yes for 6C004.a and .e
List of Items Controlled
Related Controls: See also 6C994
Related Definitions: N/A
Items: a. Zinc selenide (ZnSe) and zinc sulfide (ZnS) ``substrate
blanks'', produced by the chemical vapor deposition process and having
any of the following:
a.1. A volume greater than 100 cm\3\; or
a.2. A diameter greater than 80 mm and a thickness of 20 mm or more;
b. Electro-optic materials and non-linear materials, as follows:
b.1. Potassium titanyl arsenate (KTA) (CAS 59400-80-5);
b.2. Silver gallium selenide (AgGaSe2, also known as
AGSE) (CAS 12002-67-4);
b.3. Thallium arsenic selenide (Tl3AsSe3, also
known as TAS) (CAS 16142-89-5);
b.4. Zinc germanium phosphide (ZnGeP2, also known as ZGP,
zinc germanium biphosphide or zinc germanium diphosphide); or
b.5. Gallium selenide (GaSe) (CAS 12024-11-2);
c. Non-linear optical materials, other than those specified by
6C004.b, having any of the following:
c.1. Having all of the following:
c.1.a. Dynamic (also known as nonstationary) third order nonlinear
susceptibility ([chi](3), chi 3) of 10-6 m\2\/V\2\
or more; and
c.1.b. Response time of less than 1 ms; or
c.2. Second order nonlinear susceptibility ([chi](2), chi
2) of 3.3 x 10-11 m/V or more;
d. ``Substrate blanks'' of silicon carbide or beryllium beryllium
(Be/Be) deposited materials, exceeding 300 mm in diameter or major axis
length;
e. Glass, including fused silica, phosphate glass, fluorophosphate
glass, zirconium fluoride (ZrF4) (CAS 7783-64-4) and hafnium
fluoride (HfF4) (CAS 13709-52-9) and having all of the
following:
e.1. A hydroxyl ion (OH-) concentration of less than 5 ppm;
e.2. Integrated metallic purity levels of less than 1 ppm; and
e.3. High homogeneity (index of refraction variance) less than 5 x
10-6;
f. Synthetically produced diamond material with an absorption of
less than 10-5 cm-1 for wavelengths exceeding 200
nm but not exceeding 14,000 nm.
[[Page 586]]
6C005 ``Laser'' materials as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Synthetic crystalline ``laser'' host material in unfinished form
as follows:
a.1. Titanium doped sapphire;
a.2. [Reserved]
b. Rare-earth-metal doped double-clad fibers having any of the
following:
b.1. Nominal ``laser'' wavelength of 975 nm to 1,150 nm and having
all of the following:
b.1.a. Average core diameter equal to or greater than 25 [micro]m;
and
b.1.b. Core 'Numerical Aperture' ('NA') less than 0.065; or
Note to 6C005.b.1: 6C005.b.1 does not apply to double-clad fibers
having an inner glass cladding diameter exceeding 150 [micro]m and not
exceeding 300 [micro]m.
b.2. Nominal ``laser'' wavelength exceeding 1,530 nm and having all
of the following:
b.2.a. Average core diameter equal to or greater than 20 [micro]m;
and
b.2.b. Core 'NA' less than 0.1.
Technical Notes: 1. For the purposes of 6C005.b.1.b, the core
'Numerical Aperture' ('NA') is measured at the emission wavelengths of
the fiber.
2. 6C005.b includes fibers assembled with end caps.
6C992 Optical sensing fibers not controlled by 6A002.d.3 that are
modified structurally to have a ` beat length' of less than
500 mm (high birefringence) or optical sensor materials not
described in 6C002.b and having a zinc content of equal to or
more than 6% by ` mole fraction.'
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: (1) `Mole fraction' is defined as the ratio of
moles of ZnTe to the sum of the moles of CdTe and ZnTe present in the
crystal. (2) `Beat length' is the distance over which two orthogonally
polarized signals, initially in phase, must pass in order to achieve a 2
Pi radian(s) phase difference.
Items: The list of items controlled is contained in the ECCN heading.
6C994 Optical materials, as follows (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: (1) `Fluoride fibers' are fibers manufactured from
bulk fluoride compounds. (2) `Optical fiber preforms' are bars, ingots,
or rods of glass, plastic or other materials that have been specially
processed for use in fabricating optical fibers. The characteristics of
the preform determine the basic parameters of the resultant drawn
optical fibers.
Items: a. Low optical absorption materials, as follows:
a.1. Bulk fluoride compounds containing ingredients with a purity of
99.999% or better; or
Note: 6C994.a.1 controls fluorides of zirconium or aluminum and
variants.
a.2. Bulk fluoride glass made from compounds controlled by
6C004.e.1;
b. `Optical fiber preforms' made from bulk fluoride compounds
containing ingredients with a purity of 99.999% or better, ``specially
designed'' for the manufacture of `fluoride fibers' controlled by
6A994.b.
D. ``Software''
6D001 ``Software'' ``specially designed'' for the ``development'' or
``production'' of equipment controlled by 6A004, 6A005, 6A008,
or 6B008.
License Requirements
Reason for Control: NS, MT, RS, AT
[[Page 587]]
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``software'' for equipment NS Column 1.
controlled by 6A004, 6A005, 6A008 or
6B008.
MT applies to ``software'' for equipment MT Column 1.
controlled by 6A008 or 6B008 for MT
reasons.
RS applies to ``software'' for equipment RS Column 1.
controlled by 6A008.j.1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR:Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Software'' ``specially designed'' for the ``development'' or
``production'' of ``space qualified'' ``laser'' radar or Light Detection
and Ranging (LIDAR) equipment defined in 6A008.j.1; or
(3) Exports or reexports to destinations outside of those countries
listed in Country Group A:5 (See Supplement No. 1 to part 740 of the
EAR) of ``software'' ``specially designed'' for the ``development'' or
``production'' of equipment controlled by 6A004.c or d, 6A008.d, h, k or
6B008.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment specified by ECCNs 6A004.c, 6A004.d,
6A008.d, 6A008.h, 6A008.k, or 6B008 to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR)
List of Items Controlled
Related Controls: See also 6D991, and ECCN 6E001 (``development'') for
``technology'' for items controlled under this entry.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6D002 ``Software'' ``specially designed'' for the ``use'' of equipment
controlled by 6A002.b, 6A008, or 6B008.
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to ``software'' for equipment MT Column 1.
controlled by 6A008 or 6B008 for MT
reasons.
RS applies to ``software'' for equipment RS Column 1.
controlled by 6A008.j.1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes, except N/A for the following: (1) Items controlled for MT
reasons; (2) ``Software'' ``specially designed'' for the ``use'' of
``space qualified'' ``laser'' radar or Light Detection and Ranging
(LIDAR) equipment defined in 6A008.j.1; or (3) ``Software'' ``specially
designed'' for the ``use'' of commodities controlled by 6A002.b.
List of Items Controlled
Related Controls: (1) ``Software'' ``specially designed'' for the
``use'' of ``space-qualified'' LIDAR ``equipment'' ``specially
designed'' for surveying or for meteorological observation, released
from control under the note in 6A008.j, is controlled in 6D991. (2) See
also ECCNs 6D102, 6D991, and 6D992.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to paragraph c................. RS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for 6D003.c and exports or reexports to destinations
outside of those countries listed in Country Group A:5 (See Supplement
No. 1 to part 740 of the EAR) of ``software'' for items controlled by
6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit software
in 6D003.a to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ``Software'' as follows:
[[Page 588]]
a.1. ``Software'' ``specially designed'' for acoustic beam forming
for the ``real-time processing'' of acoustic data for passive reception
using towed hydrophone arrays;
a.2. ``Source code'' for the ``real-time processing'' of acoustic
data for passive reception using towed hydrophone arrays;
a.3. ``Software'' ``specially designed'' for acoustic beam forming
for the ``real-time processing'' of acoustic data for passive reception
using bottom or bay cable systems;
a.4. ``Source code'' for the ``real-time processing'' of acoustic
data for passive reception using bottom or bay cable systems;
a.5. ``Software'' or ``source code'', ``specially designed'' for all
of the following:
a.5.a. ``Real-time processing'' of acoustic data from sonar systems
controlled by 6A001.a.1.e; and
a.5.b. Automatically detecting, classifying and determining the
location of divers or swimmers;
N.B.: For diver detection ``software'' or ``source code'',
``specially designed'' or modified for military use, see the U.S.
Munitions List of the International Traffic in Arms Regulations (ITAR)
(22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ``Software'' designed or modified for cameras incorporating
``focal plane arrays'' specified by 6A002.a.3.f and designed or modified
to remove a frame rate restriction and allow the camera to exceed the
frame rate specified in 6A003.b.4 Note 3.a;
Optics
d. ``Software'' ``specially designed'' to maintain the alignment and
phasing of segmented mirror systems consisting of mirror segments having
a diameter or major axis length equal to or larger than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ``Software'' as follows:
f.1. ``Software'' ``specially designed'' for magnetic and electric
field ``compensation systems'' for magnetic sensors designed to operate
on mobile platforms;
f.2. ``Software'' ``specially designed'' for magnetic and electric
field anomaly detection on mobile platforms;
f.3. ``Software'' ``specially designed'' for ``real-time
processing'' of electromagnetic data using underwater electromagnetic
receivers specified by 6A006.e;
f.4. ``Source code'' for ``real-time processing'' of electromagnetic
data using underwater electromagnetic receivers specified by 6A006.e;
Gravimeters
g. ``Software'' ``specially designed'' to correct motional
influences of gravity meters or gravity gradiometers;
Radar
h. ``Software'' as follows:
h.1. Air Traffic Control (ATC) ``software'' designed to be hosted on
general purpose computers located at Air Traffic Control centers and
capable of accepting radar target data from more than four primary
radars;
h.2. ``Software'' for the design or ``production'' of radomes having
all of the following:
h.2.a. ``Specially designed'' to protect the ``electronically
scanned array antennae'' specified by 6A008.e; and
h.2.b. Resulting in an antenna pattern having an 'average side lobe
level' more than 40 dB below the peak of the main beam level.
Technical Note: For the purposes of 6D003.h.2.b 'average side lobe
level' is measured over the entire array excluding the angular extent of
the main beam and the first two side lobes on either side of the main
beam.
6D102 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled by 6A108.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
6D103 ``Software'' that processes post-flight, recorded data, enabling
determination of vehicle position throughout its flight path,
``specially designed'' or modified for ``missiles''.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
[[Page 589]]
Items: The list of items controlled is contained in the ECCN heading.
6D201 ``Software'' ``specially designed'' to enhance or release the
performance characteristics of high-speed cameras and imaging
devices, and components therefor, to meet or exceed the level
of the performance characteristics described in ECCN 6A203.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See ECCNs 6E001 (``development'') and 6E202
(``production'' and ``use'') for ``technology'' for items controlled
under this entry.
Related Definitions: N/A
Items: a. ``Software'' or encryption keys/codes ``specially designed''
to enhance or release the performance characteristics of equipment not
controlled by ECCN 6A203, or not controlled for NP reasons by ECCN
6A003, so that such equipment meets or exceeds the performance
characteristics of equipment described in ECCN 6A203.
b. ``Software'' or encryption keys/codes ``specially designed'' to
enhance or release the performance characteristics of equipment
controlled by ECCN 6A203 or equipment controlled by ECCN 6A003 that
meets or exceeds the performance characteristics described in ECCN
6A203.
6D619 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation or maintenance of commodities
controlled by 6B619.
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
License Exceptions
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 6D619.
List of Items Controlled
Related Controls: ``Software'' directly related to articles enumerated
or otherwise described in USML Category XVIII is subject to the ITAR
(See 22 CFR 121.1, Category XVIII(f)).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6D991 ``Software,'' n.e.s., ``specially designed'' for the
``development'', ``production'', or ``use'' of commodities
controlled by 6A002, 6A003, 6A991, 6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to ``software'' for commodities RS Column 1
controlled by 6A002, 6A003, or 6A998.b.
RS applies to ``software'' for commodities RS Column 2
controlled by 6A998.c.
AT applies to entire entry, except AT Column 1
``software'' for commodities controlled
by 6A991.
AT applies to ``software'' for commodities AT Column 2
controlled by 6A991.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCN 6D002 for ``software'' ``specially
designed'' for the ``use'' of commodities controlled under ECCN 6A002.b.
(2) See ECCN 6D003.c for ``software'' ``specially designed'' for cameras
incorporating ``focal plane arrays'' specified by 6A002.a.3.f and
``specially designed'' to remove a frame rate restriction and allow the
camera to exceed the frame rate specified in 6A003.b.4 Note 3.a.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6D992 ``Software'' ``specially designed'' for the ``development'' or
``production'' of equipment controlled by 6A992, 6A994, or
6A995.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
[[Page 590]]
Items: The list of items controlled is contained in the ECCN heading.
6D993 Other ``software,'' not controlled by 6D003, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to 6D993.c..................... RS Column 1
RS applies to 6D993.b..................... RS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Air Traffic Control (ATC) ``software'' application
``programs'' hosted on general purpose computers located at Air Traffic
Control centers, and capable of automatically handing over primary radar
target data (if not correlated with secondary surveillance radar (SSR)
data) from the host ATC center to another ATC center;
b. ``Software'' ``specially designed'' for seismic intrusion
detection systems in 6A999.c.
c. ``Source Code'' ``specially designed'' for seismic intrusion
detection systems in 6A999.c.
E. ``Technology''
6E001 ``Technology'' According to the General Technology Note for the
``Development'' of Equipment, Materials or ``Software''
Controlled by 6A (Except 6A991, 6A992, 6A994, 6A995, 6A996,
6A997, 6A998, or 6A999.c), 6B (Except 6B995), 6C (Except 6C992
or 6C994), or 6D (Except 6D991, 6D992, or 6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1
controlled by 6A001 to 6A008, 6B002 to
6B008, 6C002 to 6C005, or 6D001 to 6D003.
MT applies to ``technology'' for items MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, 6B108, 6D001, 6D002,
6D102 or 6D103 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225, 6A226, 6D001, or 6D201 for
NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) for UN
controlled by 6A002 or 6A003 for UN controls
reasons.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for the following: (1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002, 6A004.e or
6A008.j.1; (3) ``Technology'' for 6A003 cameras, unless for
``technology'' for the integration of 6A003 cameras into camera systems
``specially designed'' for civil automotive applications; (4)
``Technology'' for ``software'' ``specially designed'' for ``space
qualified'' ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment defined in 6A008.j.1 and controlled by 6D001 or 6D002; or (5)
Exports or reexports to destinations outside of those countries listed
in Country Group A:5 (See Supplement No. 1 to part 740 of the EAR) of
``technology'' for the ``development'' of the following: (a) Items
controlled by 6A001.a.1.b, 6A001.a.1.e, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.d,
6A001.a.2.e., 6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e,
6A008.d, 6A008.h, 6A008.k, 6B008, or 6D003.a; (b) Equipment controlled
by 6A001.a.2.c or 6A001.a.2.f when ``specially designed'' for real time
applications; or (c) ``Software'' controlled by 6D001 and ``specially
designed'' for the ``development'' or ``production'' of equipment
controlled by 6B008, or 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
[[Page 591]]
Related Controls: (1) Technical data directly related to satellites and
all other items described in USML Category XV are subject to the ITAR
under USML Category XV(f). (2) Technical data directly related to laser
systems, infrared imaging systems, and all other items described in USML
Category XII are subject to the ITAR under USML Category XII(f). (3)
Technical data directly related to read-out integrated circuits
described in USML Categories XII(e) or XV(e)(3) is subject to the ITAR
under USML Categories XII(f) or XV(f), respectively. (4) See also 6E101,
6E201, and 6E991.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6E002 ``Technology'' According to the General Technology Note for the
``Production'' of Equipment or Materials Controlled by 6A
(Except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, 6A998 or
6A999.c), 6B (Except 6B995) or 6C (except 6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for equipment NS Column 1
controlled by 6A001 to 6A008, 6B002 to
6B008, or 6C002 to 6C005.
MT applies to ``technology'' for equipment MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, or 6B108 for MT
reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225 or 6A226 for NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) for UN
controlled by 6A002 or 6A003 for UN controls
reasons.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002, 6A004.e, or
6A008.j.1;
(3) ``Technology'' for 6A003 cameras, unless for ``technology'' for
the integration of 6A003 cameras into camera systems ``specially
designed'' for civil automotive applications ; or
(4) Exports or reexports to destinations outside of those countries
listed in Country Group A:5 (See Supplement No. 1 to part 740 of the
EAR) of ``technology'' for the ``production'' of the following: (a)
Items controlled by 6A001.a.1.b, 6A001.a.1.e, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 6A008.d,
6A008.h, 6A008.k, or 6B008; and (b) Items controlled by 6A001.a.2.c or
6A001.a.2.f when ``specially designed'' for real time applications.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``production'' of equipment specified in the STA exclusion paragraphs
found in the License Exception sections of by ECCNs 6A001, 6A002, 6A003,
6A004, 6A006, 6A008, or 6B008 to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly related to satellites and
all other items described in USML Category XV are subject to the ITAR
under USML Category XV(f). (2) Technical data directly related to laser
systems, infrared imaging systems, and all other items described in USML
Category XII are subject to the ITAR under USML Category XII(f). (3)
Technical data directly related to read-out integrated circuits
described in USML Categories XII(e) or XV(e)(3) is subject to the ITAR
under USML Categories XII(f) or XV(f), respectively. (4) See also 6E992.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6E003 Other ``technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: See also 6E993.
[[Page 592]]
Related Definitions: N/A
Items:
Acoustics
a. [Reserved]
Optical Sensors
b. [Reserved]
Cameras
c. [Reserved]
Optics
d. ``Technology'' as follows:
d.1. ``Technology'' ``required'' for the coating and treatment of
optical surfaces to achieve an 'optical thickness' uniformity of 99.5%
or better for optical coatings 500 mm or more in diameter or major axis
length and with a total loss (absorption and scatter) of less than 5 x
10-3;
N.B.: See also 2E003.f.
Technical Note: For the purposes of 6E003.d.1, 'optical thickness'
is the mathematical product of the index of refraction and the physical
thickness of the coating.
d.2. ``Technology'' for the fabrication of optics using single point
diamond turning techniques to produce surface finish ``accuracies'' of
better than 10 nm rms on non-planar surfaces exceeding 0.5 m\2\;
Lasers
e. ``Technology'' ``required'' for the ``development,''
``production'' or ``use'' of ``specially designed'' diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
Magnetic and Electric Field Sensors
f. [Reserved]
Gravimeters
g. [Reserved]
Radar
h. [Reserved]
6E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 6A002,
6A007.b and .c, 6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or
6D103.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: (1) This entry only controls ``technology'' for
equipment controlled by 6A008 when it is designed for airborne
applications and is usable in ``missiles''. (2) This entry only controls
``technology'' for items in 6A002.a.1 and a.3 that are ``specially
designed'' or modified to protect ``missiles'' against nuclear effects
(e.g., Electromagnetic Pulse (EMP), X-rays, combined blast and thermal
effects), and usable for ``missiles.'' (3) This entry only controls
``technology'' for items in 6A007.b and .c when the accuracies in
6A007.b.1 and b.2 are met or exceeded.
Items: The list of items controlled is contained in the ECCN heading.
6E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 6A003.a.3, 6A003.a.4;
6A005.a.2, 6A005.b.2.b, 6A005.b.3, 6A005.b.4.b.2, 6A005.b.6.c,
6A005.c.1.b, 6A005.c.2.b, 6A005.d.2, 6A005.d.3.c, or
6A005.d.4.c (that meet or exceed the parameters of 6A205);
6A202, 6A203, 6A205, 6A225 or 6A226.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
ECCN Controls: This entry only controls ``technology'' for ``lasers'' in
6A005 that are controlled for NP reasons.
Items: The list of items controlled is contained in the ECCN heading.
6E202 ``Technology'' according to the General Technology Note for the
``production'' or ``use'' of ``software'' controlled by 6D201.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
[[Page 593]]
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6E619 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul or refurbishing of commodities controlled by 6B619 or
``software'' controlled by 6D619.
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
License Exceptions
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 6E619.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
or otherwise described in USML Category XVIII are subject to the ITAR
(See 22 CFR 121.1, Category XVIII(f)).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6E991 ``Technology'' for the ``development'', ``production'' or ``use''
of equipment controlled by 6A991, 6A996, 6A997, 6A998 or
6A999.c.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to ``technology'' for equipment RS Column 1
controlled by 6A998.b, 6A998.c and
6A999.c.
AT applies to entire entry, except AT Column 1
``technology'' for equipment controlled
by 6A991.
AT applies to ``technology'' for equipment AT Column 2
controlled by 6A991.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6E992 ``Technology'' for the ``development'' or ``production'' of
equipment, materials or ``software'' controlled by 6A992,
6A994, or 6A995, 6B995, 6C992, 6C994, or 6D993.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
6E993 Other ``technology'', not controlled by 6E003, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
RS applies to 6E993.e..................... RS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical fabrication technologies for serially producing
optical ``parts'' and ``components'' at a rate exceeding 10 m\2\ of
surface area per year on any single spindle and having all of the
following:
a.1. Area exceeding 1 m\2\; and
a.2. Surface figure exceeding [lambda]/10 (rms) at the designed
wavelength;
b. ``Technology'' for optical filters with a bandwidth equal to or
less than 10 nm, a field of view (FOV) exceeding 40[deg] and a
resolution exceeding 0.75 line pairs per milliradian;
c. ``Technology'' for the ``development'' or ``production'' of
cameras controlled by 6A993;
d. ``Technology'' ``required'' for the ``development'' or
``production'' of non-triaxial fluxgate ``magnetometers'' or non-
triaxial fluxgate ``magnetometer'' systems, having any of the following:
d.1. `Sensitivity' lower (better) than 0.05 nT (rms) per square root
Hz at frequencies of less than 1 Hz; or
d.2. `Sensitivity' lower (better) than 1 x 10-3 nT (rms)
per square root Hz at frequencies of 1 Hz or more.
e. ``Technology'' ``required'' for the ``development'' or
``production'' of infrared up-
[[Page 594]]
conversion devices having all of the following:
e.1. A response in the wavelength range exceeding 700 nm but not
exceeding 1500 nm; and
e.2. A combination of an infrared photodetector, light emitting
diode (OLED), and nanocrystal to convert infrared light into visible
light.
Technical Note: For the purposes of 6E993, `sensitivity' (or noise
level) is the root mean square of the device-limited noise floor which
is the lowest signal that can be measured.
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Category 7--Navigation and Avionics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
N.B. 1: For automatic pilots for underwater vehicles, see Category
8. For radar, see Category 6.
7A001 Accelerometers as follows (see List of Items Controlled) and
``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to commodities that meet or MT Column 1.
exceed the parameters of 7A101.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for accelerometers
subject to the ITAR. (2) See also ECCNs 7A101, 7A611, and 7A994. (3) For
angular or rotational accelerometers, see ECCN7A001.b. (4) MT controls
do not apply to accelerometers that are ``specially designed'' and
developed as Measurement While Drilling (MWD) sensors for use in
downhole well service applications.
Related Definitions: N/A
Items: a. Linear accelerometers having any of the following:
a.1. Specified to function at linear acceleration levels less than
or equal to 15 g and having any of the following:
a.1.a. A ``bias'' ``stability'' of less (better) than 130 micro g
with respect to a fixed calibration value over a period of one year; or
a.1.b. A ``scale factor'' ``stability'' of less (better) than 130
ppm with respect to a fixed calibration value over a period of one year;
a.2. Specified to function at linear acceleration levels exceeding
15 g but less than or equal to 100 g and having all of the following:
a.2.a. A ``bias'' ``repeatability'' of less (better) than 1,250
micro g over a period of one year; and
a.2.b. A ``scale factor'' ``repeatability'' of less (better) than
1,250 ppm over a period of one year; or
a.3. Designed for use in inertial navigation or guidance systems and
specified to function at linear acceleration levels exceeding 100 g;
Note: 7A001.a.1 and 7A001.a.2 do not apply to accelerometers limited
to measurement of only vibration or shock.
b. Angular or rotational accelerometers, specified to function at
linear acceleration levels exceeding 100 g.
7A002 Gyros or Angular Rate Sensors, Having any of the Following, and
``Specially Designed'' ``Components'' Therefor.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to commodities that meet or MT Column 1
exceed the parameters of 7A102.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
License Requirement Note: For the purpose of MT controls only, the
term 'stability' is defined as a measure of the ability of a specific
mechanism or performance coefficient to remain invariant when
continuously exposed to a fixed operating condition. (This definition
does not refer to dynamic or servo stability.) (IEEE STD 528-2001
paragraph 2.247)
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for gyros or angular rate
sensors subject to the ITAR. (2) See also ECCNs 7A102, 7A611, and 7A994.
(3) For angular or rotational accelerometers, see ECCN 7A001.b.
Related Definitions: N/A
Items:
a. Specified to function at linear acceleration levels less than or
equal to 100 g and having any of the following:
a.1. An angular rate range of less than 500 degrees per second and
having any of the following:
[[Page 595]]
a.1.a. A ``bias'' ``stability'' of less (better) than 0.5 degree per
hour, when measured in a 1 g environment over a period of one month, and
with respect to a fixed calibration value; or
a.1.b. An ``angle random walk'' of less (better) than or equal to
0.0035 degree per square root hour; or
Note: 7A002.a.1.b does not control ``spinning mass gyros''.
a.2. An angular rate range greater than or equal to 500 degrees per
second and having any of the following:
a.2.a. A ``bias'' ``stability'' of less (better) than 4 degrees per
hour, when measured in a 1 g environment over a period of three minutes,
and with respect to a fixed calibration value; or
a.2.b. An ``angle random walk'' of less (better) than or equal to
0.1 degree per square root hour; or
Note: 7A002.a.2.b does not apply to ``spinning mass gyros''.
b. Specified to function at linear acceleration levels exceeding 100
g.
7A003 'Inertial measurement equipment or systems', having any of the
following.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to commodities in 7A003.d that MT Column 1
meet or exceed the parameters of 7A103.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 7A103, 7A611, and 7A994. (2) See
USML Category XII(d) for guidance or navigation systems subject to the
ITAR.
Related Definitions: N/A
Items:
7A003 does not apply to 'inertial measurement equipment or systems'
which are certified for use on ``civil aircraft'' by civil aviation
authorities of one or more Wassenaar Arrangement Participating States,
see Supplement No. 1 to part 743 of the EAR.
Technical Notes: 1. For the purposes of 7A003, 'inertial measurement
equipment or systems' incorporate accelerometers or gyroscopes to
measure changes in velocity and orientation in order to determine or
maintain heading or position without requiring an external reference
once aligned. 'Inertial measurement equipment or systems' include:
Attitude and Heading Reference Systems (AHRSs);
Gyrocompasses;
Inertial Measurement Units (IMUs);
Inertial Navigation Systems (INSs);
Inertial Reference Systems (IRSs);
Inertial Reference Units (IRUs).
2. For the purposes of 7A003, 'positional aiding references'
independently provide position, and include:
a. ``Satellite navigation system'';
b.''Data-Based Referenced Navigation'' (``DBRN'').
a. Designed for ``aircraft'', land vehicles or vessels, providing
position without the use of 'positional aiding references', and having
any of the following ``accuracies'' subsequent to normal alignment:
a.1. 0.8 nautical miles per hour (nm/hr) ``Circular Error Probable''
(``CEP'') rate or less (better);
a.2. 0.5% distanced travelled ``CEP'' or less (better); or
a.3. Total drift of 1 nautical mile ``CEP'' or less (better) in a 24
hr period;
Technical Note: For the purposes of 7A003.a.1, 7A003.a.2 and
7A003.a.3, the performance parameters typically apply to 'inertia
measurement equipment or systems' designed for ``aircraft'', vehicles
and vessels, respectively. These parameters result from the utilization
of specialized non-'positional aiding references' (e.g., altimeter,
odometer, velocity log). As a consequence, the specified performance
values cannot be readily converted between these parameters. Equipment
designed for multiple platforms are evaluated against each applicable
entry 7A003.a.1, 7A003.a.2, or 7A003.a.3.
b. Designed for ``aircraft'', land vehicles or vessels, with an
embedded 'positional aiding reference' and providing position after loss
of all 'positional aiding references' for a period of up to 4 minutes,
having an ``accuracy'' of less (better) than 10 meters ``CEP'';
Technical Note: For the purposes of 7A003.b, this entry refers to
systems in which 'inertial measurement equipment or systems' and other
independent 'positional aiding references' are built into a single unit
(i.e., embedded) in order to achieve improved performance.
c. Designed for ``aircraft'', land vehicles or vessels, providing
heading or True North determination and having any of the following:
c.1. A maximum operating angular rate less (lower) than 500 deg/s
and a heading ``accuracy'' without the use of 'positional aiding
references' equal to or less (better) than 0.07 deg sec (Lat)
(equivalent to 6 arc minutes rms at 45 degrees latitude); or
c.2. A maximum operating angular rate equal to or greater (higher)
than 500 deg/s and a heading ``accuracy'' without the use of 'positional
aiding references' equal to or less (better) than 0.2 deg sec (Lat)
(equivalent to 17 arc minutes rms at 45 degrees latitude);
d. Providing acceleration measurements or angular rate measurements,
in more than
[[Page 596]]
one dimension, and having any of the following:
d.1. Performance specified by 7A001 or 7A002 along any axis, without
the use of any aiding references; or
d.2. Being ``space-qualified'' and providing angular rate
measurements having an ``angle random walk'' along any axis of less
(better) than or equal to 0.1 degree per square root hour.
Note: 7A003.d.2 does not apply to 'inertial measurement equipment or
systems' that contain ``spinning mass gyros'' as the only type of gyro.
7A004 'Star trackers' and ``components'' therefor, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XV for certain 'star trackers'
that are ``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
See also 7A104 and 7A994.
Related Definitions: N/A
Items:
a. 'Star trackers' with a specified azimuth ``accuracy'' of equal to
or less (better) than 20 seconds of arc throughout the specified
lifetime of the equipment;
b. ``Components'' ``specially designed'' for equipment specified in
7A004.a as follows:
b.1. Optical heads or baffles;
b.2. Data processing units.
Technical Note: For the purposes of 7A004.a, 'star trackers' are
also referred to as stellar attitude sensors or gyro-astro compasses.
7A005 ``Satellite navigation system'' receiving equipment having any of
the following and ``specially designed'' ``components''
therefor.
License Requirements
Reason for Control: NS, MT and AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to 7A005.b..................... NS Column 1
MT applies to commodities in 7A005.b that MT Column 1
meet or exceed the parameters of 7A105.
AT applies to 7A005.b..................... AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 7A105, 7A611 and 7A994.
Commercially available ``satellite navigation system'' receivers do not
typically employ decryption or adaptive antennae and are classified as
7A994. (2) See USML Category XII(d) for ``satellite navigation system''
receiving equipment subject to the ITAR and USML Category XI(c)(10) for
antennae that are subject to the ITAR. (3) Items that otherwise would be
covered by ECCN 7A005.a are ``subject to the ITAR'' (see 22 CFR parts
120 through 130).
Related Definitions: N/A
Items:
a. Employing a decryption algorithm ``specially designed'' or
modified for government use to access the ranging code for position and
time; or
b. Employing 'adaptive antenna systems'.
Note: 7A005.b does not apply to ``satellite navigation system''
receiving equipment that only uses ``components'' designed to filter,
switch, or combine signals from multiple omni-directional antennas that
do not implement adaptive antenna techniques.
Technical Note: For the purposes of 7A005.b, 'adaptive antenna
systems' dynamically generate one or more spatial nulls in an antenna
array pattern by signal processing in the time domain or frequency
domain.
7A006 Airborne altimeters operating at frequencies other than 4.2 to 4.4
GHz inclusive and having any of the following (see List of
Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to commodities in this entry MT Column 1
that meet or exceed the parameters of
7A106.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 7A106, 7A994 and Category 6 for controls on
radar.
Related Definitions: N/A
Items:
a. 'Power management'; or
[[Page 597]]
Technical Note: For the purposes of 7A006.a, 'power management' is
changing the transmitted power of the altimeter signal so that received
power at the ``aircraft'' altitude is always at the minimum necessary to
determine the altitude.
b. Using phase shift key modulation.
7A008 Underwater sonar navigation systems using Doppler velocity or
correlation velocity logs integrated with a heading source and
having a positioning ``accuracy'' of equal to or less (better)
than 3% of distance traveled ``Circular Error Probable''
(``CEP'') and ``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 7A008 does not control systems ``specially designed''
for installation on surface vessels or systems requiring acoustic
beacons or buoys to provide positioning data. See 6A001.a for acoustic
systems, and 6A001.b for correlation-velocity and Doppler-velocity sonar
log equipment. See 8A002 for other marine systems.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
7A101 Accelerometers, other than those controlled by 7A001 (see List of
Items Controlled), and ``specially designed'' ``parts'' and
``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for accelerometers
subject to the ITAR. (2) See also ECCNs 7A001 and 7A611. (3) This entry
does not control accelerometers that are ``specially designed'' and
developed as MWD (Measurement While Drilling) sensors for use in
downhole well service operations.
Related Definitions: N/A
Items: a. Linear accelerometers designed for use in inertial navigation
systems or in guidance systems of all types, usable in ``missiles''
having all of the following characteristics, and ``specially designed''
``parts'' and ``components'' therefor:
1. `Scale factor' ``repeatability'' less (better) than 1250 ppm; and
2. `Bias' ``repeatability'' less (better) than 1250 micro g.
Note: The measurement of `bias' and `scale factor' refers to one
sigma standard deviation with respect to a fixed calibration over a
period of one year.
b. Accelerometers of any type, designed for use in inertial
navigation systems or in guidance systems of all types, specified to
function at acceleration levels greater than 100 g.
Note to paragraph b: This paragraph (b) does not include
accelerometers that are designed to measure vibration or shock.
7A102 Gyros, other than those controlled by 7A002 (see List of Items
Controlled), and ``specially designed'' ``parts'' and
``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for gyros or angular rate
sensors subject to the ITAR. (2) See also ECCNs 7A002, 7A611, and 7A994.
Related Definitions: (1) Drift rate is defined as the time rate of
output deviation from the desired output. It consists of random and
systematic components and is expressed as an equivalent angular
displacement per unit time with respect to inertial space. (2) Stability
is defined as standard deviation (1 sigma) of the variation of a
particular parameter from its calibrated value measured under stable
temperature conditions. This can be expressed as a function of time.
Items: a. All types of gyros, usable in rockets, missiles, or unmanned
aerial vehicles capable of achieving a ``range'' equal to or greater
than 300 km, with a rated ``drift rate'' `stability' of less than 0.5
degrees (1 sigma or rms) per hour in a 1 g environment.
[[Page 598]]
b. Gyros of any type, designed for use in inertial navigation
systems or in guidance systems of all types, specified to function at
acceleration levels greater than 100 g.
Technical Note: In this entry, the term `stability' is defined as a
measure of the ability of a specific mechanism or performance
coefficient to remain invariant when continuously exposed to a fixed
operating condition. (This definition does not refer to dynamic or servo
stability.) (IEEE STD 528-2001 paragraph 2.247).
7A103 Instrumentation, navigation equipment and systems, other than
those controlled by 7A003, and ``specially designed''
``parts'' and ``components'' therefor, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 7A003 and 7A994. (2) Inertial navigation
systems and inertial equipment, and ``specially designed'' ``parts'' and
``components'' therefor specifically designed, modified or configured
for military use are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definitions: 'Inertial measurement equipment or systems'
specified in 7A103.a. incorporate accelerometers or gyros to measure
changes in velocity and orientation in order to determine or maintain
heading or position without requiring an external reference once
aligned.
Items: a. 'Inertial measurement equipment or systems' using
accelerometers or gyros controlled by 7A001, 7A002, 7A101 or 7A102, and
``specially designed'' ``parts'' and ``components'' therefor;
Note 1: 7A103.a does not control equipment containing accelerometers
``specially designed'' and developed as MWD (Measurement While Drilling)
sensors for use in down-hole well services operations.
Note 2: 7A103.a does not control inertial or other equipment using
accelerometers or gyros controlled by 7A001 or 7A002 that are only NS
controlled.
Note 3: 7A103.a. includes Attitude and Heading Reference Systems
(AHRSs), gyrocompasses, Inertial Measurement Units (IMUs), Inertial
Navigations Systems (INSs), Inertial Reference Systems (IRSs), and
Inertial Reference Units (IRUs).
b. Integrated flight instrument systems, which include
gyrostabilizers or automatic pilots, designed or modified for use in
rockets, missiles, or unmanned aerial vehicles capable of achieving a
``range'' equal to or greater than 300 km, and ``specially designed''
``parts'' and ``components'' therefor.
c. Integrated Navigation Systems, designed or modified for use in
rockets, missiles, or unmanned aerial vehicles capable of achieving a
``range'' equal to or greater than 300 km and capable of providing a
navigational accuracy of 200m Circular Error Probable (CEP) or less.
Technical Note: An ` integrated navigation system' typically
incorporates the following ``parts'' and ``components'':
1. An inertial measurement device (e.g., an attitude and heading
reference system, inertial reference unit, or inertial navigation
system);
2. One or more external sensors used to update the position and/or
velocity, either periodically or continuously throughout the flight
(e.g., satellite navigation receiver, radar altimeter, and/or Doppler
radar); and
3. Integration hardware and software.
7A104 Gyro-astro compasses and other devices, other than those
controlled by 7A004, which derive position or orientation by
means of automatically tracking celestial bodies or satellites
and ``specially designed'' ``parts'' and ``components''
therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Categories IV and XV for certain 'star
trackers' that are ``subject to the ITAR'' (see 22 CFR parts 120 through
130). (2) This entry controls ``specially designed'' ``parts'' and
``components'' for gyro-astro compasses and other devices controlled by
7A004.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
7A105 Receiving equipment for `navigation satellite systems', having any
of the following characteristics (see List of Items
Controlled), and ``specially designed'' ``parts'' and
``components'' therefor.
License Requirements
Reason for Control: MT, AT
[[Page 599]]
------------------------------------------------------------------------
Country chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 7A005, 7A611 and 7A994. (2) See USML
Category XII(d) for GNSS receiving equipment subject to the ITAR and
USML Category XI(c)(10) for antennae that are subject to the ITAR. (3)
Items that otherwise would be covered by ECCN 7A105.b.2 are ``subject to
the ITAR'' (see 22 CFR parts 120 through 130). (4) See USML Category
XII(d) for GPS receiving equipment in 7A105.a, b.1 and b.3 that are
subject to the ITAR.
Related Definitions: `Navigation satellite systems' include Global
Navigation Satellite Systems (GNSS; e.g. GPS, GLONASS, Galileo or
BeiDou) and Regional Navigation Satellite Systems (RNSS; e.g. NavIC,
QZSS).
Items: a. Designed or modified for use in ``missiles''; or
b. Designed or modified for airborne applications and having any of
the following:
b.1. Capable of providing navigation information at speeds in excess
of 600 m/s;
b.2. Employing decryption, designed or modified for military or
governmental services, to gain access to a 'navigation satellite system'
secure signal/data; or
b.3. Being ``specially designed'' to employ anti-jam features (e.g.,
null steering antenna or electronically steerable antenna) to function
in an environment of active or passive countermeasures.
Note: 7A105.b.2 and 7A105.b.3 do not control equipment designed for
commercial, civil or Safety of Life (e.g., data integrity, flight
safety) 'navigation satellite system' services.
7A106 Altimeters, other than those controlled by 7A006, of radar or
laser radar type, designed or modified for use in
``missiles''. (These items are ``subject to the ITAR.'' See 22
CFR parts 120 through 130.)
7A107 Three axis magnetic heading sensors having all of the following
characteristics (see List of Items Controlled), and
``specially designed'' ``parts'' and ``components'' therefor.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Internal tilt compensation in pitch (90
degrees) and roll (180 degrees) axes;
b. Azimuthal accuracy better (less) than 0.5 degrees rms at
latitudes of 80 degrees, referenced to local
magnetic field; and
c. Designed or modified to be integrated with flight control and
navigation systems.
Note: Flight control and navigation systems in 7A107 include
gyrostabilizers, automatic pilots and inertial navigation systems.
7A115 Passive sensors for determining bearing to specific
electromagnetic sources (direction finding equipment) or
terrain characteristics, designed or modified for use in
``missiles''. (These items are ``subject to the ITAR.'' See 22
CFR parts 120 through 130.)
7A116 Flight control systems and ``parts'' and ``components'', as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See 9A610.r. and 9A610.s. for items designed or
modified for military UAVs. (2) See USML Category IV for items
``specially designed'' for use in rockets or missiles that are ``subject
to the ITAR.''
Related Definitions: N/A
Items: a. Pneumatic, hydraulic, mechanical, electro-optical, or
electromechanical flight control systems (including fly-by-wire and fly-
by-light systems) designed or modified for UAVs capable of delivering at
least 500 kilograms of payload to a range of at least 300 km, other than
those controlled by either USML paragraph VIII(a) or ECCN 9A610.a;
b. Attitude control equipment designed or modified for UAVs capable
of delivering at least 500 kilograms of payload to a range of at least
300 km, other than those controlled
[[Page 600]]
by either USML paragraph VIII(a) or ECCN 9A610.a;
c. Flight control servo valves designed of modified for the systems
in 7A116.a. or 7A116.b, and designed or modified to operate in a
vibration environment greater than 10 g rms over the entire range
between 20Hz and 2 kHz.
Note: This entry includes the systems, equipment and valves designed
or modified to enable operation of manned aircraft as unmanned aerial
vehicles.
7A117 ``Guidance sets'' capable of achieving system accuracy of 3.33% or
less of the range (e.g., a ``CEP'' of 10 km or less at a
``range'' of 300 km). (These items are ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
7A611 Military fire control, laser, imaging, and guidance equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 7A611.y. NS Column 1.
MT applies to commodities in 7A611.a that MT Column 1.
meet or exceed the parameters in 7A103.b
or .c.
RS applies to entire entry except 7A611.y. RS Column 1.
RS applies to 7A611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 7A611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 7A611.
List of Items Controlled
Related Controls: (1) Military fire control, laser, imaging, and
guidance equipment that are enumerated in USML Category XII, and
technical data (including software) directly related thereto, are
subject to the ITAR. (2) See Related Controls in ECCNs 0A504, 2A984,
6A002, 6A003, 6A004, 6A005, 6A007, 6A008, 6A107, 7A001, 7A002, 7A003,
7A005, 7A101, 7A102, and 7A103. (3) See ECCN 3A611 and USML Category XI
for controls on countermeasure equipment. (4) See ECCN 0A919 for
foreign-made ``military commodities'' that incorporate more than a de
minimis amount of U.S. origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. Guidance or navigation systems, not elsewhere specified on the
USML, that are ``specially designed'' for a defense article on the USML
or for a 600 series item.
b. to w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments,''
including accelerometers, gyros, angular rate sensors, gravity meters
(gravimeters), and inertial measurement units (IMUs), that are
``specially designed'' for defense articles controlled by USML Category
XII or items controlled by 7A611, and that are NOT:
x.1. Enumerated or controlled in the USML or elsewhere within ECCN
7A611;
x.2. Described in ECCNs 6A007, 6A107, 7A001, 7A002, 7A003, 7A101,
7A102 or 7A103; or
x.3. Elsewhere specified in ECCN 7A611.y or 3A611.y.
y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity subject to
control in this ECCN or a defense article in Category XII and not
elsewhere specified on the USML or in the CCL, as follows, and
``parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' therefor:
y.1 [Reserved]
7A994 Other navigation direction finding equipment, airborne
communication equipment, all aircraft inertial navigation
systems not controlled under 7A003 or 7A103, and other avionic
equipment, including ``parts'' and ``components,'' n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country chart (see supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirement Notes:
Typically commercially available GPS do not employ decryption or
adaptive antenna and are classified as 7A994.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See 7A005 and 7A105.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
B. ``Test'', ``Inspection'' and ``Production Equipment''
7B001 Test, calibration or alignment equipment, ``specially designed''
for equipment controlled by 7A (except 7A994).
License Requirements
Reason for Control: NS, MT, AT
[[Page 601]]
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 7B101, 7B102 and 7B994. (2) This entry
does not control test, calibration or alignment equipment for
'Maintenance level I' or 'Maintenance Level II'.
Related Definition: For the purposes of 7B001: (1) 'Maintenance Level
I': The failure of an inertial navigation unit is detected on the
``aircraft'' by indications from the Control and Display Unit (CDU) or
by the status message from the corresponding sub-system. By following
the manufacturer's manual, the cause of the failure may be localized at
the level of the malfunctioning Line Replaceable Unit (LRU). The
operator then removes the LRU and replaces it with a spare. (2)
'Maintenance Level II': The defective LRU is sent to the maintenance
workshop (the manufacturer's or that of the operator responsible for
level II maintenance). At the maintenance workshop, the malfunctioning
LRU is tested by various appropriate means to verify and localize the
defective Shop Replaceable Assembly (SRA) module responsible for the
failure. This SRA is removed and replaced by an operative spare. The
defective SRA (or possibly the complete LRU) is then shipped to the
manufacturer. 'Maintenance Level II' does not include the disassembly or
repair of controlled accelerometers or gyro sensors.
Items:
The list of items controlled is contained in the ECCN heading.
7B002 Equipment ``specially designed'' to characterize mirrors for ring
``laser'' gyros, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 7B102 and 7B994
Related Definitions: N/A
Items: a. Scatterometers having a measurement ``accuracy'' of 10 ppm or
less (better);
b. Profilometers having a measurement ``accuracy'' of 0.5 nm (5
angstrom) or less (better).
7B003 Equipment ``specially designed'' for the ``production'' of
equipment controlled by 7A (except 7A994).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 7B103, (this entry is ``subject to the
ITAR'' (see 22 CFR parts 120 through 130)) and 7B994. (2) This entry
includes: Inertial Measurement Unit (IMU module) tester; IMU platform
tester; IMU stable element handling fixture; IMU platform balance
fixture; gyro tuning test station; gyro dynamic balance station; gyro
run-in/motor test station; gyro evacuation and fill station; centrifuge
fixtures for gyro bearings; accelerometer axis align stations;
accelerometer test station; and fiber optic gyro coil winding machines.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
7B101 ``Production equipment'', and other test, calibration, and
alignment equipment, other than that described in 2B119 to
2B122, 7B003, and 7B102, designed or modified to be used with
equipment controlled by 7A001 to 7A004 or 7A101 to 7A104.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 2B119 to 2B122, 7B003, 7B102, and 7B994.
[[Page 602]]
(2) This entry includes: inertial measurement unit (IMU module)
tester; IMU platform tester; IMU stable element handling fixture; IMU
platform balance fixture; gyro tuning test station; gyro dynamic balance
stations; gyro run-in/motor test stations; gyro evacuation and filling
stations; centrifuge fixtures for gyro bearings; accelerometer axis
align stations; and accelerometer test stations.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
7B102 Equipment, other than those controlled by 7B002, designed or
modified to characterize mirrors, for laser gyro equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Scatterometers having a threshold accuracy of 10 ppm or less
(better).
b. Reflectometers having a threshold accuracy of 50 ppm or less
(better).
c. Prolifometers having a threshold accuracy of 0.5nm (5 angstrom)
or less (better).
7B103 ``Specially designed'' ``production facilities'' for equipment
controlled by 7A117. (These items are ``subject to the ITAR.''
See 22 CFR parts 120 through 130.)
7B611 Test, inspection, and production commodities ``specially
designed'' for military fire control, laser, imaging, and
guidance equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT, UN
------------------------------------------------------------------------
Country chart (see supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to 7B611.a commodities MT Column 1.
``specially designed'' for 7A611.a
commodities controlled for MT reasons.
RS applies to entire entry................ RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 7B611.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Test, inspection, and production end items and equipment
``specially designed'' for the ``development,'' ``production,'' repair,
overhaul, or refurbishing of commodities controlled in ECCN 7A611
(except 7A611.y) or commodities in USML Category XII that are not
enumerated in USML Category XII or controlled by another ``600 series''
ECCN.
b. Environmental test facilities ``specially designed'' for the
certification, qualification, or testing of commodities controlled in
ECCN 7A611 (except 7A611.y) or guidance equipment in USML Category XII
that are not enumerated in USML Category XII or controlled by another
``600 series'' ECCN.
c. Field test equipment ``specially designed'' to evaluate or
calibrate the operation of systems described in USML Category XII(a),
(b), or (c).
d. to w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for a commodity listed in this entry and
that are not enumerated on the USML or controlled by another ``600
series'' ECCN.
7B994 Other equipment for the test, inspection, or ``production'' of
navigation and avionics equipment.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
C. ``Materials'' [Reserved]
D. ``Software''
7D001 ``Software'' ``specially designed'' or modified for the
``development'' or ``production'' of equipment controlled by
7A (except 7A994) or 7B (except 7B994).
License Requirements
[[Page 603]]
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``software'' for equipment NS Column 1.
controlled by 7A001 to 7A004, 7A006,
7A008, 7B001, 7B002 or 7B003.
MT applies to ``software'' for equipment MT Column 1.
controlled for MT reasons. MT does not
apply to ``software'' for equipment
controlled by 7A008.
RS applies to ``software'' for inertial RS Column 1
navigation systems and inertial
equipment, and ``components'' therefor,
for ``9A991.b aircraft''.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) See also 7D101 and 7D994. (2) The ``software''
related to 7A003.b, 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117,
or 7B103 is ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
(3) ``Software'' for inertial navigation systems and inertial equipment
and ``parts'' or ``components'' ``specially designed'' therefor that are
directly related to defense articles and not ``specially designed'' for
use on civil aircraft is ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7D002 ``Source code'' for the operation or maintenance of any inertial
navigation equipment, including inertial equipment not
controlled by 7A003 or 7A004, or Attitude and Heading
Reference Systems ('AHRS').
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1.) See also 7D102 and 7D994. (2.) This entry does
not control ``source code'' for the operation or maintenance of
gimballed 'AHRS'.
Related Definition: For the purposes of 7D002, 'AHRS' generally differ
from Inertial Navigation Systems (INS) in that an 'AHRS' provides
attitude and heading information and normally does not provide the
acceleration, velocity and position information associated with an INS.
Items:
The list of items controlled is contained in the ECCN heading.
7D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to ``software'' for equipment MT Column 1.
controlled for MT reasons. MT does not
apply to ``software'' for equipment
controlled by 7A008.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit software
in 7D003.a or .b to any of the destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 7D103 and 7D994.
Related Definitions: 'Data-Based Referenced Navigation' ('DBRN') systems
are systems which use various sources of previously measured geo-mapping
data integrated to provide accurate navigation information under dynamic
conditions. Data sources include bathymetric maps, stellar maps, gravity
maps, magnetic maps or 3-D digital terrain maps.
Items:
a. ``Software'' ``specially designed'' or modified to improve the
operational performance or reduce the navigational error of systems to
the levels controlled by 7A003, 7A004 or 7A008;
b. ``Source code'' for hybrid integrated systems which improves the
operational performance or reduces the navigational error of systems to
the level controlled by 7A003 or 7A008 by continuously combining heading
data with any of the following:
[[Page 604]]
b.1. Doppler radar or sonar velocity data;
b.2. ``Satellite navigation system'' reference data; or
b.3. Data from 'Data-Based Referenced Navigation' ('DBRN'') systems;
c. [Reserved]
d. [Reserved]
N.B. For flight control ``source code,'' see 7D004.
e. Computer-Aided-Design (CAD) ``software'' ``specially designed''
for the ``development'' of ``active flight control systems'', helicopter
multi-axis fly-by-wire or fly-by-light controllers or helicopter
``circulation-controlled anti-torque or circulation-controlled direction
control systems'', whose ``technology'' is controlled by 7E004.b.1,
7E004.b.3 to b.5, 7E004.b.7 to b.8, 7E004.c.1 or 7E004.c.2.
7D004 ``Source code'' incorporating ``development'' ``technology''
specified by 7E004.a.2, a.3, a.5, a.6 or 7E004.b, for any of
the following: (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (See Supp.
Control(s) No.1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' in 7D004.a to .d and .g to any of the destinations listed
in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See 7D103 and 7D994
Related Definitions: N/A
Items: a. Digital flight management systems for ``total control of
flight'';
b. Integrated propulsion and flight control systems;
c. ``Fly-by-wire systems'' or ``fly-by-light systems``;
d. Fault-tolerant or self-reconfiguring ``active flight control
systems'';
e. [Reserved];
f. Air data systems based on surface static data; or
g. Three dimensional displays.
Note: 7D004 does not apply to ``source code'' associated with common
computer elements and utilities (e.g., input signal acquisition, output
signal transmission, computer ``program'' and data loading, built-in
test, task scheduling mechanisms) not providing a specific flight
control system function.
7D005 ``Software'' ``Specially Designed'' To Decrypt ``Satellite
Navigation System'' Ranging Signals Designed for Government
Use.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
7D101 ``Software'' ``specially designed'' or modified for the ``use'' of
equipment controlled for missile technology (MT) reasons by
7A001 to 7A006, 7A101 to 7A107, 7A115, 7A116, 7A117, 7B001,
7B002, 7B003, 7B101, 7B102, or 7B103.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1) The ``software'' related to 7A003.b, 7A005,
7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117, or 7B103 is ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). (2) ``Software'' for inertial
navigation systems and inertial equipment and ``parts'' and
``components'' ``specially designed'' therefor that are directly related
to a defense article is ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7D102 Integration ``software'', as follows (See List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
[[Page 605]]
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: The ``software'' related to 7A003.b or 7A103.b is
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: a. Integration ``software'' for the equipment controlled by
7A103.b.
b. Integration ``software'' ``specially designed'' for the equipment
controlled by 7A003 or 7A103.a.
7D103 ``Software'' ``specially designed'' for modelling or simulation of
the ``guidance sets'' controlled by 7A117 or for their design
integration with ``missiles''. (This entry is ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
7D611 ``Software'' ``specially designed'' for commodities controlled by
7A611 or equipment controlled by 7B611, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 7D611.y. NS Column 1.
MT applies to 7D611.a ``software'' MT Column 1.
``specially designed'' for 7A611.a
commodities controlled for MT reasons.
RS applies to entire entry except 7D611.y. RS Column 1.
RS applies to 7D611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 7D611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any software in 7D611.
List of Items Controlled
Related Controls: ``Software'' directly related to articles enumerated
in USML Category XII is subject of USML paragraph XII(f).
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCNs 7A611 (except 7A611.y) or 7B611.
b. to .x [Reserved]
y. Specific ``software'' ``specially designed'' for the
``development,'' ``production,'' operation, or maintenance of
commodities described in 7A611.y.
7D994 ``Software'', n.e.s., for the ``development'', ``production'', or
``use'' of navigation, airborne communication and other
avionics.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. ``Technology''
7E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software,'' specified by 7A.
(except 7A994), 7B. (except 7B994), 7D001, 7D002, 7D003 or
7D005.
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Country chart (See Supp.
Control(s) No.1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1
controlled by 7A001 to 7A004, 7A006,
7A008, 7B001 to 7B003, 7D001 to 7D005.
MT applies to technology for equipment MT Column 1
controlled for MT reasons. MT does not
apply to ``technology'' for equipment
controlled by 7A008. MT does apply to
``technology'' for equipment specified in
7A001, 7A002 or 7A003.d that meets or
exceeds parameters of 7A101, 7A102 or
7A103.
RS applies to ``technology'' for inertial RS Column 1
navigation systems or inertial equipment,
and ``components'' therefor, for 9A991.b
aircraft.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports under
License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed
[[Page 606]]
in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also 7E101 and 7E994. (2) The ``technology''
related to 7A003.b, 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117,
7B103, software in 7D101 specified in the Related Controls paragraph of
ECCN 7D101, 7D102.a, or 7D103 is ``subject to the ITAR'' (see 22 CFR
parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note: 7E001 includes key management ``technology'' exclusively for
equipment specified in 7A005.a.
7E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 7A (except 7A994) or
7B (except 7B994).
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to ``technology'' for equipment NS Column 1.
controlled by 7A001 to 7A004, 7A006,
7A008 or 7B001 to 7B003.
MT applies to technology for equipment MT Column 1.
controlled for MT reasons. MT does not
apply to ``technology'' for equipment
controlled by 7A008. MT does apply to
``technology'' for equipment specified in
7A001, 7A002 or 7A003.d that meets or
exceeds parameters of 7A101, 7A102 or
7A103.
RS applies to ``technology'' for inertial RS Column 1
navigation systems or inertial equipment,
and ``components'' therefor, for 9A991.b
aircraft.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations.
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed in Country
Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also 7E102 and 7E994. (2) The ``technology''
related to 7A003.b, 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117,
or 7B103 is ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7E003 ``Technology'' according to the General Technology Note for the
repair, refurbishing or overhaul of equipment controlled by
7A001 to 7A004.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (See Supp.
Control(s) No.1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: See also 7E994. This entry does not control
``technology'' for maintenance directly associated with calibration,
removal or replacement of damaged or unserviceable LRUs and SRAs of a
``civil aircraft'' as described in 'Maintenance Level I' or 'Maintenance
Level II'.
Related Definition: Refer to the Related Definitions for 7B001 for
'Maintenance Level I' or 'Maintenance Level II'.
Items: The list of items controlled is contained in the ECCN heading.
7E004 Other ``technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to ``technology'' for equipment MT Column 1
or systems controlled for MT reasons.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2) In
addition to the Related Controls in 7E001, 7E002, and 7E101 that include
MT controls, also see the MT controls in 7E104 for design ``technology''
for the integration of the flight control, guidance, and propulsion data
into a flight management system, designed or modified
[[Page 607]]
for rockets or missiles capable of achieving a ``range'' equal to or
greater than 300 km, for optimization of rocket system trajectory; and
also see 9E101 for design ``technology'' for integration of air vehicle
fuselage, propulsion system and lifting control surfaces, designed or
modified for unmanned aerial vehicles capable of achieving a ``range''
equal to or greater than 300 km, to optimize aerodynamic performance
throughout the flight regime of an unmanned aerial vehicle.
Related Definitions: N/A.
Items:
a. ``Technology'' for the ``development'' or ``production'' of any
of the following:
a.1. [Reserved]
a.2. Air data systems based on surface static data only, i.e., which
dispense with conventional air data probes;
a.3. Three dimensional displays for ``aircraft'';
a.4. [Reserved]
a.5. Electric actuators (i.e., electromechanical, electrohydrostatic
and integrated actuator package) ``specially designed'' for 'primary
flight control';
Technical Note: For the purposes of 7E004.a.5, 'primary flight
control' is ``aircraft'' stability or maneuvering control using force/
moment generators, i.e., aerodynamic control surfaces or propulsive
thrust vectoring.
a.6. 'Flight control optical sensor array' ``specially designed''
for implementing ``active flight control systems''; or
Technical Note: For the purposes of 7E004.a.6, a 'flight control
optical sensor array' is a network of distributed optical sensors, using
``laser'' beams, to provide real-time flight control data for on-board
processing.
a.7. ``DBRN'' systems designed to navigate underwater, using sonar
or gravity databases, that provide a positioning ``accuracy'' equal to
or less (better) than 0.4 nautical miles;
b. ``Development'' ``technology'', as follows, for ``active flight
control systems'' (including ``fly-by-wire systems'' or ``fly-by-light
systems''):
b.1. Photonic-based ``technology'' for sensing ``aircraft'' or
flight control component state, transferring flight control data, or
commanding actuator movement, ``required'' for ``fly-by-light systems''
``active flight control systems'';
b.2. [Reserved]
b.3. Real-time algorithms to analyze component sensor information to
predict and preemptively mitigate impending degradation and failures of
components within an ``active flight control system'';
Note: 7E004.b.3 does not include algorithms for purpose of off-line
maintenance.
b.4. Real-time algorithms to identify component failures and
reconfigure force and moment controls to mitigate ``active flight
control system'' degradations and failures;
Note: 7E004.b.4 does not include algorithms for the elimination of
fault effects through comparison of redundant data sources, or off-line
pre-planned responses to anticipated failures.
b.5. Integration of digital flight control, navigation and
propulsion control data, into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not apply to:
1. ``Technology'' for integration of digital flight control,
navigation and propulsion control data, into a digital flight management
system for 'flight path optimization';
2. ``Technology'' for ``aircraft'' flight instrument systems
integrated solely for VOR, DME, ILS or MLS navigation or approaches.
Technical Note: 'Flight path optimization' is a procedure that
minimizes deviations from a four-dimensional (space and time) desired
trajectory based on maximizing performance or effectiveness for mission
tasks.
b.6. [Reserved]
b.7. ``Technology'' ``required'' for deriving the functional
requirements for ``fly-by-wire systems'' having all of the following:
b.7.a. 'Inner-loop' airframe stability controls requiring loop
closure rates of 40 Hz or greater; and
Technical Note: For the purposes of 7E004.b.7.a, 'inner-loop' refers
to functions of ``active flight control systems'' that automate airframe
stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically unstable airframe, measured at
any point in the design flight envelope, that would lose recoverable
control if not corrected within 0.5 seconds;
b.7.b.2. Couples controls in two or more axes while compensating for
'abnormal changes in aircraft state';
Technical Note: For the purposes of 7E004.b.7.b.2, 'abnormal changes
in aircraft state' include in-flight structural damage, loss of engine
thrust, disabled control surface, or destabilizing shifts in cargo load.
b.7.b.3. Performs the functions specified in 7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to autopilots.
b.7.b.4. Enables ''aircraft'' to have stable controlled flight,
other than during take-off or landing, at greater than 18 degrees angle
of attack, 15 degrees side slip, 15 degrees/second pitch or yaw rate, or
90 degrees/second roll rate;
b.8. ``Technology'' ``required'' for deriving the functional
requirements of ``fly-by-wire systems'' to achieve all of the following:
b.8.a. No loss of control of the ''aircraft'' in the event of a
consecutive sequence of any two individual faults within the ``fly-by-
wire system''; and
b.8.b. Probability of loss of control of the ''aircraft'' being less
(better) than 1 x 10-9 failures per flight hour;
[[Page 608]]
Note: 7E004.b does not apply to ``technology'' associated with
common computer elements and utilities (e.g., input signal acquisition,
output signal transmission, computer ``program'' and data loading,
built-in test, task scheduling mechanisms) not providing a specific
flight control system function.
c. ``Technology'' for the ``development'' of helicopter systems, as
follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers, which
combine the functions of at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ``Circulation-controlled anti-torque or circulation-controlled
direction control systems'';
c.3. Rotor blades incorporating 'variable geometry airfoils', for
use in systems using individual blade control.
Technical Note: For the purposes of 7E004.c.3, 'variable geometry
airfoils' use trailing edge flaps or tabs, or leading edge slats or
pivoted nose droop, the position of which can be controlled in flight.
7E101 ``Technology,'' according to the General Technology Note for the
``use'' of equipment controlled by 7A001 to 7A006, 7A101 to
7A107, 7A115 to 7A117, 7B001, 7B002, 7B003, 7B101, 7B102,
7B103, or 7D101 to 7D103 for MT reasons.
License Requirements
Reason for Control: MT, RS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
RS applies to ``technology'' required for RS Column 1
the use of inertial navigation systems,
or inertial equipment, or ``specially
designed'' ``parts'' and ``components''
therefor, ``specially designed'' for
9A991.b aircraft.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: The ``technology'' related to 7A003.b, 7A005, 7A103.b,
7A105, 7A106, 7A115, 7A116, 7A117, 7B103, software specified in the
Related Controls paragraph of ECCN 7D101, 7D102.a, or 7D103 is ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7E102 ``Technology'' for protection of avionics and electrical
subsystems against electromagnetic pulse (EMP) and
electromagnetic interference (EMI) hazards, from external
sources, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: a. Design ``technology'' for shielding systems;
b. Design ``technology'' for the configuration of hardened
electrical circuits and subsystems;
c. Design ``technology'' for the determination of hardening criteria
of .a and .b of this entry.
7E104 Design ``Technology'' for the integration of the flight control,
guidance, and propulsion data into a flight management system,
designed or modified for rockets or missiles capable of
achieving a ``range'' equal to or greater than 300 km, for
optimization of rocket system trajectory. (This entry is
``subject to the ITAR.'' See 22 CFR parts 120 through 130.)
7E611 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul or refurbishing of commodities controlled by 7A611,
commodities controlled by 7B611, or software controlled by
7D611, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry except 7E611.y. NS Column 1.
MT applies to ``technology'' in 7E611.a if MT Column 1.
``required'' for items controlled for MT
reasons in 7A611.a, 7B611.a, or 7D611.a.
RS applies to entire entry except 7E611.y. RS Column 1.
RS applies to 7E611.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry except 7E611.y. See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
[[Page 609]]
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any technology in 7E611.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
in USML Category XII are subject to the control of USML Category XII(f).
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities or ``software'' controlled by ECCN 7A611
(except 7A611.y), 7B611, or 7D611 (except 7D611.y).
b. through .x [Reserved]
y. Specific ``technology'' ``required'' for the ``production,''
``development,'' operation, installation, maintenance, repair, or
overhaul of commodities or software controlled by ECCNs 7A611.y or
7D611.y.
7E994 ``Technology'', n.e.s., for the ``development'', ``production'',
or ``use'' of navigation, airborne communication, and other
avionics equipment.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Category 8--Marine
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
8A001 Submersible vehicles and surface vessels, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 8A001.b and .c.1
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
8A001.b, 8A001.c or 8A001.d to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: For the control status of equipment for submersible
vehicles, see: Category 6 for sensors; Categories 7 and 8 for navigation
equipment; Category 8A for underwater equipment.
Related Definitions: N/A
Items:
a. Manned, tethered submersible vehicles designed to operate at
depths exceeding 1,000 m;
b. Manned, untethered submersible vehicles having any of the
following:
b.1. Designed to 'operate autonomously' and having a lifting
capacity of all the following:
b.1.a. 10% or more of their weight in air; and
b.1.b. 15 kN or more;
b.2. Designed to operate at depths exceeding 1,000 m; or
b.3. Having all of the following:
b.3.a. Designed to continuously 'operate autonomously' for 10 hours
or more; and
b.3.b. 'Range' of 25 nautical miles or more;
Technical Notes: 1. For the purposes of 8A001.b, 'operate
autonomously' means fully submerged, without snorkel, all systems
working and cruising at minimum speed at which the submersible can
safely control its depth dynamically by using its depth planes only,
with no need for a support vessel or support base on the surface, sea-
bed or shore, and containing a propulsion system for submerged or
surface use.
2. For the purposes of 8A001.b, 'range' means half the maximum
distance a submersible vehicle can 'operate autonomously'.
c. Unmanned submersible vehicles as follows:
c.1. Unmanned submersible vehicles having any of the following:
c.1.a. Designed for deciding a course relative to any geographical
reference without real-time human assistance;
c.1.b. Acoustic data or command link; or
c.1.c. Wireless optical data or command link exceeding 1,000 m;
c.2. Unmanned, submersible vehicles, not specified in 8A001.c.1,
having all of the following:
c.2.a. Designed to operate with a tether;
c.2.b. Designed to operate at depths exceeding 1,000 m; and
[[Page 610]]
c.2.c. Having any of the following:
c.2.c.1. Designed for self-propelled maneuver using propulsion
motors or thrusters specified by 8A002.a.2; or
c.2.c.2. Fiber optic data link;
d. [Reserved]
e. Ocean salvage systems with a lifting capacity exceeding 5 MN for
salvaging objects from depths exceeding 250 m and having any of the
following:
e.1. Dynamic positioning systems capable of position keeping within
20 m of a given point provided by the navigation system; or
e.2. Seafloor navigation and navigation integration systems, for
depths exceeding 1,000 m and with positioning ``accuracies'' to within
10 m of a predetermined point.
8A002 Marine systems, equipment, ``parts'' and ``components,'' as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses (e.g., underwater oil, gas
or mining operations) controlled by 8A002.i.2 and having 5 degrees of
freedom of movement; and 8A002.r.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
8A002.b, h, j, o.3, or p to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also 8A992 and for underwater communications
systems, see Category 5, Part I--Telecommunications. (2) See also 8A992
for self-contained underwater breathing apparatus that is not controlled
by 8A002 or released for control by the 8A002.q Note. (3) For electronic
imaging systems ``specially designed'' or modified for underwater use
incorporating image intensifier tubes specified by 6A002.a.2.a or
6A002.a.2.b, see 6A003.b.3. (4) For electronic imaging systems
``specially designed'' or modified for underwater use incorporating
``focal plane arrays'' specified by 6A002.a.3.g, see 6A003.b.4.c. (5)
Section 744.9 imposes a license requirement on commodities described in
8A002.d if being exported, reexported, or transferred (in-country) for
use by a military end-user or for incorporation into an item controlled
by ECCN 0A919.
Related Definitions: N/A
Items:
a. Systems, equipment, ``parts'' and ``components,'' ``specially
designed'' or modified for submersible vehicles and designed to operate
at depths exceeding 1,000 m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical fiber
and having synthetic strength members;
a.4. ``Parts'' and ``components'' manufactured from material
specified by ECCN 8C001;
Technical Note: For the purposes of 8A002.a.4, this entry should not
be defeated by the export of 'syntactic foam' controlled by 8C001 when
an intermediate stage of manufacture has been performed and it is not
yet in its final component form.
b. Systems ``specially designed'' or modified for the automated
control of the motion of submersible vehicles controlled by 8A001, using
navigation data, having closed loop servo-controls and having any of the
following:
b.1. Enabling a vehicle to move within 10 m of a predetermined point
in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic pressure hull penetrators;
d. Underwater vision systems having all of the following:
d.1. ``Specially designed'' or modified for remote operation with an
underwater vehicle; and
d.2. Employing any of the following techniques to minimize the
effects of back scatter:
d.2.a. Range-gated illuminators; or
d.2.b. Range-gated ``laser'' systems;
e. [Reserved]
f. [Reserved]
g. Light systems ``specially designed'' or modified for underwater
use, as follows:
g.1. Stroboscopic light systems capable of a light output energy of
more than 300 J per flash and a flash rate of more than 5 flashes per
second;
g.2. Argon arc light systems ``specially designed'' for use below
1,000 m;
h. ``Robots'' ``specially designed'' for underwater use, controlled
by using a dedicated computer and having any of the following:
[[Page 611]]
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the ``robot''
and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque of
250 Nm or more and using titanium based alloys or ``composite''
``fibrous or filamentary materials'' in their structural members;
i. Remotely controlled articulated manipulators ``specially
designed'' or modified for use with submersible vehicles and having any
of the following:
i.1. Systems which control the manipulator using information from
sensors which measure any of the following:
i.1.a. Torque or force applied to an external object; or
i.1.b. Tactile sense between the manipulator and an external object;
or
i.2. Controlled by proportional master-slave techniques and having 5
degrees of 'freedom of movement' or more;
Technical Note: For the purposes of 8A002.i.2, only functions having
proportionally related motion control using positional feedback are
counted when determining the number of degrees of 'freedom of movement'.
j. Air independent power systems ``specially designed'' for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power systems
having any of the following:
j.1.a. Chemical scrubber or absorber systems, ``specially designed''
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.1.b. Systems ``specially designed'' to use a monoatomic gas;
j.1.c. Devices or enclosures, ``specially designed'' for underwater
noise reduction in frequencies below 10 kHz, or special mounting devices
for shock mitigation; or
j.1.d. Systems having all of the following:
j.1.d.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.1.d.2. ``Specially designed'' to store the products of the
reaction; and
j.1.d.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems having all of the
following:
j.2.a. Chemical scrubber or absorber systems, ``specially designed''
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.2.b. Systems ``specially designed'' to use a monoatomic gas;
j.2.c. Devices or enclosures, ``specially designed'' for underwater
noise reduction in frequencies below 10 kHz, or special mounting devices
for shock mitigation; and
j.2.d. ``Specially designed'' exhaust systems that do not exhaust
continuously the products of combustion;
j.3. ``Fuel cell'' air independent power systems with an output
exceeding 2 kW and having any of the following:
j.3.a. Devices or enclosures, ``specially designed'' for underwater
noise reduction in frequencies below 10 kHz, or special mounting devices
for shock mitigation; or
j.3.b. Systems having all of the following:
j.3.b.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.3.b.2. ``Specially designed'' to store the products of the
reaction; and
j.3.b.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent power systems having all
of the following:
j.4.a. Devices or enclosures, ``specially designed'' for underwater
noise reduction in frequencies below 10 kHz, or special mounting devices
for shock mitigation; and
j.4.b. ``Specially designed'' exhaust systems which discharge the
products of combustion against a pressure of 100 kPa or more;
k. [Reserved]
l. [Reserved]
m. [Reserved]
n. [Reserved]
o. Propellers, power transmission systems, power generation systems
and noise reduction systems, as follows:
o.1. [Reserved]
o.2. Water-screw propeller, power generation systems or transmission
systems, designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies, rated at
more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion motors with a
power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion motors with a power output
exceeding 0.1 MW;
o.2.d. Power transmission shaft systems incorporating ``composite''
material ``parts'' or ``components'' and capable of transmitting more
than 2 MW;
o.2.e. Ventilated or base-ventilated propeller systems, rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of 1,000
tonnes displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies below
500 Hz and consist of compound acoustic mounts for the acoustic
isolation of diesel engines, diesel generator sets, gas turbines, gas
turbine generator sets, propulsion motors or propulsion reduction gears,
``specially designed'' for sound or vibration isolation and having an
intermediate mass exceeding 30% of the equipment to be mounted;
[[Page 612]]
o.3.b. 'Active noise reduction or cancellation systems' or magnetic
bearings, ``specially designed'' for power transmission systems;
Technical Note: For the purposes of 8A002.o.3.b, 'active noise
reduction or cancellation systems' incorporate electronic control
systems capable of actively reducing equipment vibration by the
generation of anti-noise or anti-vibration signals directly to the
source.
o.4. Permanent magnet electric propulsion motors ``specially
designed'' for submersible vehicles, having a power output exceeding 0.1
MW.
Note: 8A002.o.4. includes rim-driven propulsion systems.
p. Pumpjet propulsion systems having all of the following:
p.1. Power output exceeding 2.5 MW; and
p.2. Using divergent nozzle and flow conditioning vane techniques to
improve propulsive efficiency or reduce propulsion-generated underwater-
radiated noise;
q. Underwater swimming and diving equipment as follows;
q.1. Closed circuit rebreathers;
q.2. Semi-closed circuit rebreathers;
Note: 8A002.q does not control individual rebreathers for personal
use when accompanying their users.
N.B. For equipment and devices ``specially designed'' for military
use see ECCN 8A620.f.
r. Diver deterrent acoustic systems ``specially designed'' or
modified to disrupt divers and having a sound pressure level equal to or
exceeding 190 dB (reference 1 [micro]Pa at 1 m) at frequencies of 200 Hz
and below.
Note 1: 8A002.r does not apply to diver deterrent systems based on
under-water-explosive devices, air guns or combustible sources.
Note 2: 8A002.r includes diver deterrent acoustic systems that use
spark gap sources, also known as plasma sound sources.
8A018 Items on the Wassenaar Arrangement Munitions List.
No items currently are in this ECCN. See ECCN 8A609 for engines and
propulsion systems and ``specially designed'' ``components'' therefor
that, immediately prior to January 6, 2014, were classified under ECCN
8A018.b.3. See ECCN 8A620 for closed and semi-closed circuit
(rebreathing) apparatus, engines and propulsion systems for submersible
vessels (diesel engines of 1,500 hp and over with rotary speed of 700
rpm or over ``specially designed'' for submarines), submarine and
torpedo nets, and ``specially designed'' ``components'' therefor that,
immediately prior to January 6, 2014, were classified under ECCN
8A018.a, .b.1, or .b.4, respectively. See ECCNs 8A001, 8A002 and 8A992
for controls on non-military submersible vehicles, oceanographic and
associated equipment. See USML Category XX (22 CFR part 121) for
electric motors ``specially designed'' for submarines that, immediately
prior to January 6, 2014, were classified under ECCN 8A018.b.2.
8A609 Surface vessels of war and related commodities (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8A609.y NS Column 1.
RS applies to entire entry, except 8A609.y RS Column 1.
RS applies to 8A609.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8A609.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec. 740.20(c)(1)
of the EAR) may not be used for any item in 8A609.a, unless determined
by BIS to be eligible for License Exception STA in accordance with Sec.
740.20(g) (License Exception STA eligibility requests for 9x515 and
``600 series'' items). (2) Paragraph (c)(2) of License Exception STA
(Sec. 740.20(c)(2) of the EAR) may not be used for any item in 8A609.
List of Items Controlled
Related Controls: (1) Surface vessels of war and special naval
equipment, and technical data (including software), and services
directly related thereto, described in 22 CFR part 121, Category VI,
Surface Vessels of War and Special Naval Equipment, are subject to the
jurisdiction of the International Traffic in Arms Regulations. (2) See
ECCN 0A919 for foreign-made ``military commodities'' that incorporate
more than a de minimis amount of U.S.- origin ``600 series'' controlled
content. (3) For controls on diesel engines and electric motors that are
``subject to the EAR'' for surface vessels of war ``subject to the EAR''
or ``subject to the ITAR,'' see ECCN 8A992.g. For diesel engines and
electric motors for surface vessels of war ``subject to the ITAR,'' see
22 CFR part 121, Category VI(c) for parts, components, accessories, and
attachments, ``specially designed'' for developmental vessels funded by
the Department of Defense via contract or other funding authorization.
(4) For controls on military gas turbine engines and related items for
vessels of war, see ECCN 9A619. (4) For controls on military gas turbine
engines and related items for vessels of war, see ECCN 9A619.
Related Definitions: N/A
[[Page 613]]
Items:
a. Surface vessels of war ``specially designed'' for a military use
and not enumerated or otherwise described in the USML.
Note 1: 8A609.a includes: (i) Underway replenishment ships; (ii)
surface vessel and submarine tender and repair ships, except vessels
that are ``specially designed'' to support naval nuclear propulsion
plants; (iii) non-submersible submarine rescue ships; (iv) other
auxiliaries (e.g., AGDS, AGF, AGM, AGOR, AGOS, AH, AP, ARL, AVB, AVM,
and AVT); (v) amphibious warfare craft, except those that are armed; and
(vi) unarmored and unarmed coastal, patrol, roadstead, and Coast Guard
and other patrol craft with mounts or hard points for firearms of .50
caliber or less.
Note 2: For purposes of paragraph .a, surface vessels of war
includes vessels ``specially designed'' for military use that are not
identified in paragraph (a) of ITAR Sec. 121.15, including any
demilitarized vessels, regardless of origin or designation, manufactured
prior to 1950 and that have not been modified since 1949. For purposes
of this note, the term modified does not include incorporation of safety
features required by law, cosmetic changes (e.g., different paint), or
the addition of ``parts'' or ``components'' available prior to 1950.
b. Non-magnetic diesel engines with a power output of 50 hp or more
and either of the following:
b.1. Non-magnetic content exceeding 25% of total weight; or
b.2. Non-magnetic parts other than crankcase, block, head, pistons,
covers, end plates, valve facings, gaskets, and fuel, lubrication and
other supply lines.
c. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and ``attachments''
that are ``specially designed'' for a commodity enumerated or otherwise
described in ECCN 8A609 (except for 8A609.y) or a defense article
enumerated or otherwise described in USML Category VI and not specified
elsewhere on the USML, in 8A609.y or 3A611.y.
Note 1: Forgings, castings, and other unfinished products, such as
extrusions and machined bodies, that have reached a stage in
manufacturing where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as commodities
controlled by ECCN 8A609.x are controlled by ECCN 8A609.x.
Note 2: ``Parts,'' ``components,'' ``accessories'' and
``attachments'' specified in USML subcategory VI(f) are subject to the
controls of that paragraph. ``Parts,'' ``components,'' ``accessories,''
and ``attachments'' specified in ECCN 8A609.y are subject to the
controls of that paragraph.
y. Specific ``parts,'' ``components,'' ``accessories'' and
``attachments'' ``specially designed'' for a commodity subject to
control in this ECCN or for a defense article in USML Category VI and
not elsewhere specified in the USML, as follows, and ``parts,''
``components,'' ``accessories,'' and ``attachments'' ``specially
designed'' therefor:
y.1. Public address (PA) systems;
y.2. Filters and filter assemblies, hoses, lines, fittings,
couplings, and brackets for pneumatic, hydraulic, oil and fuel systems;
y.3. Galleys;
y.4. Lavatories;
y.5. Magnetic compass, magnetic azimuth detector;
y.6. Medical facilities;
y.7. Potable water tanks, filters, valves, hoses, lines, fittings,
couplings, and brackets;
y.8. Panel knobs, indicators, switches, buttons, and dials whether
unfiltered or filtered for use with night vision imaging systems;
y.9. Emergency lighting;
y.10. Gauges and indicators;
y.11. Audio selector panels.
8A620 Submersible vessels, oceanographic and associated commodities (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8A620. NS Column 1.
b and .y.
RS applies to entire entry, except 8A620.y RS Column 1.
RS applies to 8A620.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8A620.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec. 740.20(c)(1)
of the EAR) may not be used for any item in 8A620.a or .b, unless
determined by BIS to be eligible for License Exception STA in accordance
with Sec. 740.20(g) (License Exception STA eligibility requests for
``600 series'' end items). (2) Paragraph (c)(2) of License Exception STA
(Sec. 740.20(c)(2) of the EAR) may not be used for any item in 8A620.
List of Items Controlled
Related Controls: (1) Submersible vessels, oceanographic and associated
equipment, and technical data (including software), and services
directly related thereto, described in 22 CFR part 121, Category XX,
Submersible Vessels, Oceanographic and Associated Equipment, are subject
to the jurisdiction of the International Traffic in
[[Page 614]]
Arms Regulations (ITAR). ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for defense articles in USML
Category XX are controlled under USML sub-category XX(c). (2) See ECCN
0A919 for foreign made ``military commodities'' that incorporate more
than a de minimis amount of U.S.-origin ``600 series'' controlled
content. (3) For controls on nonmilitary submersible vehicles,
oceanographic and associated equipment, see ECCNs 8A001, 8A002, and
8A992. (4) See ECCN 8A609 for controls on nonmagnetic diesel engines
with a power output of 50 hp or more and either: (i) Nonmagnetic content
exceeding 25% of total weight; or (ii) non-magnetic parts other than
crankcase, block, head, pistons, covers, end plates, valve facings,
gaskets, and fuel, lubrication and other supply lines.
Related Definitions: N/A
Items:
a. Submersible and semi-submersible vessels ``specially designed''
for a military use and not enumerated or otherwise described in the
USML.
Note: 8A620.a includes submarine rescue vehicles and Deep
Submergence Vehicles (DSV).
b. Submersible and semi-submersible vessels ``specially designed''
for cargo transport and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor.
c. Harbor entrance detection devices (magnetic, pressure, and
acoustic) and controls therefor, not elsewhere specified on the USML or
the CCL.
d. Diesel engines of 1,500 hp and over with rotary speed of 700 rpm
or over ``specially designed'' for submarines.
Note: Propulsion systems not specified in ECCN 8A620.d that are
``specially designed'' for an article controlled by USML Category XX are
controlled by USML XX(b) or (c).
e. Submarine nets and torpedo nets.
f. Diving and underwater swimming apparatus specially designed or
modified for military use, as follows:
f.1. Self-contained diving rebreathers, closed or semi-closed
circuit;
f.2. Underwater swimming apparatus specially designed for use with
the diving apparatus specified in subparagraph f.1;
N.B.:
See also 8A002.q.
g. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and ``attachments''
that are ``specially designed'' for a commodity enumerated or otherwise
described in ECCN 8A620 (except for 8A620.b or 8A620.y) and not
elsewhere specified on the USML, in 8A620.y or 3A611.y.
Note 1: Forgings, castings, and other unfinished products, such as
extrusions and machined bodies, that have reached a stage in
manufacturing where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as commodities
controlled by ECCN 8A620.x are controlled by ECCN 8A620.x.
Note 2: ``Parts,'' ``components,'' ``accessories'' and
``attachments'' specified in ECCN 8A620.y are subject to the controls of
that paragraph.
y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity subject to
control in this ECCN, as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefor:
y.1. Public address (PA) systems;
y.2. Filters and filter assemblies, hoses, lines, fittings,
couplings, and brackets for pneumatic, hydraulic, oil and fuel systems;
y.3. Galleys;
y.4. Lavatories;
y.5. Magnetic compass, magnetic azimuth detector;
y.6. Medical facilities;
y.7. Potable water tanks, filters, valves, hoses, lines, fittings,
couplings, and brackets;
y.8. Panel knobs, indicators, switches, buttons, and dials whether
unfiltered or filtered for use with night vision imaging systems;
y.9. Emergency lighting;
y.10. Gauges and indicators;
y.11. Audio selector panels.
8A992 Vessels, marine systems or equipment, not controlled by 8A001 or
8A002, and ``specially designed'' ``parts'' and ``components''
therefor, and marine boilers and ``parts,'' ``components,''
``accessories,'' and ``attachments'' therefor (see List of
Items Controlled).
License Requirements
Reason for Control: AT, Foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1.
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 1. See also 8A002. 2. Marine gas turbine engines are
not controlled in paragraph .g of this entry. See ECCN 9A619 for
possible controls on marine gas turbine engines specially designed for a
military use. See ECCN 9A002 for possible controls on marine gas turbine
engines not specially designed for a military use. Marine gas turbine
engines subject to the EAR that are not controlled in ECCNs 9A002 or
9A619 are designated EAR99.
Related Definitions: N/A
[[Page 615]]
Items:
a. Underwater vision systems, as follows:
a.1. Television systems (comprising camera, lights, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 500 lines and ``specially designed'' or
modified for remote operation with a submersible vehicle; or
a.2. Underwater television cameras having a limiting resolution when
measured in air of more than 700 lines;
Technical Note: Limiting resolution in television is a measure of
horizontal resolution usually expressed in terms of the maximum number
of lines per picture height discriminated on a test chart, using IEEE
Standard 208/1960 or any equivalent standard.
b. Photographic still cameras ``specially designed'' or modified for
underwater use, having a film format of 35 mm or larger, and having
autofocusing or remote focusing ``specially designed'' for underwater
use;
c. Stroboscopic light systems, ``specially designed'' or modified
for underwater use, capable of a light output energy of more than 300 J
per flash;
d. Other underwater camera equipment, n.e.s.;
e. Other submersible systems, n.e.s.;
f. Vessels, n.e.s., including inflatable boats, and ``specially
designed'' ``parts'' and ``components'' therefor, n.e.s.;
g. Marine engines (both inboard and outboard) and submarine engines,
n.e.s.; and ``specially designed'' ``parts'' and ``components''
therefor, n.e.s.;
h. Other self-contained underwater breathing apparatus (scuba gear)
and related equipment, n.e.s.;
i. Life jackets, inflation cartridges, compasses, wetsuits, masks,
fins, weight belts, and dive computers;
j. Underwater lights and propulsion equipment;
k. Air compressors and filtration systems ``specially designed'' for
filling air cylinders.
l. Marine boilers designed to have any of the following
characteristics:
l.1. Heat release rate (at maximum rating) equal to or in excess of
190,000 BTU per hour per cubic foot of furnace volume; or
l.2. Ratio of steam generated in pounds per hour (at maximum rating)
to the dry weight of the boiler in pounds equal to or in excess of 0.83.
m. Major ``components,'' ``accessories,'' and ``attachments'' for
marine boilers described in 8A992.l.
B. ``Test'', ``Inspection'' and ``Production Equipment''
8B001 Water Tunnels Designed to Have a Background Noise of Less Than 100
dB (Reference 1 [micro]Pa, 1 Hz) Within the Frequency Range
Exceeding 0 Hz But Not Exceeding to 500 Hz and Designed for
Measuring Acoustic Fields Generated by a Hydro-Flow Around
Propulsion System Models.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of All
license exceptions)
LVS: $3,000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
8B609 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul or refurbishing of
commodities enumerated or otherwise described in ECCN 8A609 or
USML Category VI (except for Cat VI(f)(7)), as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 8B609.
List of Items Controlled
Related Controls: See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection, and production ``equipment'' ``specially
designed'' for the ``development,'' ``production,'' repair, overhaul, or
refurbishing of commodities enumerated or otherwise described in ECCN
8A609 (except for 8A609.y) or in USML Category VI (except for USML Cat
VI(f)(7)), and
[[Page 616]]
``parts,'' ``components,'' ``accessories,'' and ``attachments''
``specially designed'' therefor.
b. [Reserved]
8B620 Test, inspection, and production ``equipment'' and related
commodities ``specially designed'' for the ``development,''
``production,'' repair, overhaul, or refurbishing of
commodities enumerated or otherwise described in ECCN 8A620
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8B620.b NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 8B620.
List of Items Controlled
Related Controls: See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of U.S.-
origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Test, inspection and production ``equipment'' ``specially
designed'' for the ``development,'' ``production,'' repair, overhaul or
refurbishing of commodities enumerated or otherwise described in ECCN
8A620 (except for 8A620.b and .y) and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed'' therefor.
b. Test, inspection, and production ``equipment'' ``specially
designed'' for the ``development,'' ``production,'' repair, overhaul, or
refurbishing of commodities enumerated or otherwise described in ECCN
8A620.b and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor.
C. ``Materials''
8C001 'Syntactic foam' designed for underwater use and having all of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 8A002.a.4.
Related Definition: For the purposes of 8C001, 'Syntactic foam' consists
of hollow spheres of plastic or glass embedded in a resin ``matrix.''
Items:
a. Designed for marine depths exceeding 1,000 m; and
b. A density less than 561 kg/m\3\.
8C609 Materials ``specially designed'' for the ``development'' or
``production'' of commodities controlled by 8A609 not
elsewhere specified in the USML (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any item in 8C609.
List of Items Controlled
Related Controls: (1) See USML Categories VI and XIII(f) for controls on
materials ``specially designed'' for vessels of war enumerated or
otherwise described in USML Category VI. (2) See ECCN 0A919 for foreign
made ``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content.
Related Definitions: N/A
Items: a. Materials, not enumerated on the USML, that are ``specially
designed'' for commodities enumerated in ECCN 8A609 (except for
8A609.y).
b. [Reserved]
D. ``Software''
8D001 ``Software'' ``Specially Designed'' or Modified for the
``Development,'' ``Production'' or ``use'' of Equipment or Materials,
Controlled by 8A (Except 8A992), 8B or 8C.
License Requirements
Reason for Control: NS, AT
[[Page 617]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for exports or reexports to destinations outside of
those countries listed in Country Group A:5 (See Supplement No. 1 to
part 740 of the EAR) of ``software'' ``specially designed'' for the
``development'' or ``production'' of equipment controlled by 8A001.b,
8A001.c.1, or 8A002.o.3.b.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment in 8A001.b, 8A001.c, 8A002.b, 8A002.h,
8A002.j, 8A002.o.3 or 8A002.p to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
8D002 Specific ``software'' ``specially designed'' or modified for the
``development'', ``production'', repair, overhaul or
refurbishing (re-machining) of propellers ``specially
designed'' for underwater noise reduction.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated End-
User authorizations
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: Yes
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
software in this entry to any of the destinations listed in Country
Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 8D992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
8D609 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation or maintenance of commodities
controlled by 8A609, 8B609, or 8C609 (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8D609.y NS Column 1.
RS applies to entire entry, except 8D609.y RS Column 1.
RS applies to 8D609.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8D609.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 8D609.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated in USML Category VI is controlled under USML Category VI(g).
(2) See ECCN 0A919 for foreign made ``military commodities'' that
incorporate more than a de minimis amount of U.S.-origin ``600 series''
controlled content.
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 8A609, ECCN 8B609, or ECCN 8C609 (except for commodities controlled
by ECCN 8A609.y).
b. through .x [Reserved]
y. Specific ``software'' ``specially designed'' for the
``development,'' ``production,'' operation, or maintenance of
commodities in ECCN 8A609.y.
8D620 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities
controlled by 8A620 or 8B620 (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8D620.b NS Column 1.
and .y.
[[Page 618]]
RS applies to entire entry, except 8D620.y RS Column 1.
RS applies to 8D620.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8D620.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``software'' in 8D620.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated or otherwise described in USML Category XX is controlled
under USML Category XX(d). (2) See ECCN 0A919 for foreign made
``military commodities'' that incorporate more than a de minimis amount
of U.S.-origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 8A620 or ECCN 8B620 (except for commodities controlled by ECCN
8A620.b or .y or ECCN 8B620.b).
b. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, or maintenance of commodities controlled by
ECCN 8A620.b or ECCN 8B620.b.
c. through .x [Reserved]
y. Specific ``software'' ``specially designed'' for the
``development,'' ``production,'' operation, or maintenance of
commodities in ECCN 8A620.y.
8D992 ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of equipment
controlled by 8A992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
8D999 ``Software'' ``specially designed'' for the operation of unmanned
submersible vehicles used in the oil and gas industry.
License Requirements
Reason for Control: Foreign policy
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
Russian industry sector sanctions apply to See Sec. 746.8 for
entire entry. specific license
requirements and license
review policy.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. ``Technology''
8E001 ``Technology'' According to the General Technology Note for the
``Development'' or ``Production'' of Equipment or Materials,
Controlled by 8A (Except 8A992), 8B or 8C.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for exports or reexport to destinations outside of
those countries listed in Country Group A:5 (Supplement No. 1 to part
740 of the EAR) of ``technology'' for items controlled by 8A001.b,
8A001.c.1 or 8A002.o.3.b.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by 8A001.b,
8A001.c, 8A002.b, 8A002.h, 8A002.j, 8A002.o.3 or 8A002.p to any of the
destinations listed in Country Group A:6 (See Supplement No.1 to part
740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
[[Page 619]]
The list of items controlled is contained in the ECCN heading.
8E002 Other ``technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
License Exceptions Note: License Exception TSU is not applicable for
the repair ``technology'' controlled by 8E002.a or .b, see Supplement
No. 2 to part 774.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
technology in 8E002.a to any of the destinations listed in Country Group
A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 8E992.
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'', ``production'', repair,
overhaul or refurbishing (re-machining) of propellers ``specially
designed'' for underwater noise reduction;
b. ``Technology'' for the overhaul or refurbishing of equipment
controlled by 8A001, 8A002.b, 8A002.j, 8A002.o or 8A002.p.
c. ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following:
c.1. Surface-effect vehicles (fully skirted variety) having all of
the following:
c.1.a. Maximum design speed, fully loaded, exceeding 30 knots in a
significant wave height of 1.25 m or more;
c.1.b. Cushion pressure exceeding 3,830 Pa; and
c.1.c. Light-ship-to-full-load displacement ratio of less than 0.70;
c.2. Surface-effect vehicles (rigid sidewalls) with a maximum design
speed, fully loaded, exceeding 40 knots in a significant wave height of
3.25 m or more;
c.3. Hydrofoil vessels with active systems for automatically
controlling foil systems, with a maximum design speed, fully loaded, of
40 knots or more in a significant wave height of 3.25 m or more; or
c.4. 'Small waterplane area vessels' having any of the following:
c.4.a. Full load displacement exceeding 500 tonnes with a maximum
design speed, fully loaded, exceeding 35 knots in a significant wave
height of 3.25 m or more; or
c.4.b. Full load displacement exceeding 1,500 tonnes with a maximum
design speed, fully loaded, exceeding 25 knots in a significant wave
height of 4 m or more.
Technical Note: For the purposes of 8E002.c.4, a 'small waterplane
area vessel' is defined by the following formula: waterplane area at an
operational design draft less than 2x (displaced volume at the
operational design draft)2/3.
8E609 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of commodities controlled by 8A609,
8B609, or 8C609, or ``software'' controlled by 8D609 (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8E609.y NS Column 1.
RS applies to entire entry, except 8E609.y RS Column 1.
RS applies to 8E609.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8E609.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in 8E609.
List of Items Controlled
Related Controls: Technical data directly related to articles
enumerated or otherwise described in USML Category VI are controlled
under USML Category VI(g).
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities controlled by ECCN 8A609, 8B609, or 8C609
(except for commodities controlled by ECCN 8A609.y), or ``software''
controlled by ECCN 8D609.
b. through .x [Reserved]
y. Specific ``technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities or software in ECCN 8A609.y or 8D609.y.
8E620 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul,
[[Page 620]]
or refurbishing of commodities controlled by 8A620 or 8B620,
or ``software'' controlled by 8D620 (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
------------------------------------------------------------------------
Country chart see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except 8E620.b NS Column 1.
and .y.
RS applies to entire entry, except 8E620.y RS Column 1.
RS applies to 8E620.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 8E620.y See Sec. 746.1(b) for UN
controls.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of
the EAR) may not be used for any ``technology'' in 8E620.
List of Items Controlled
Related Controls: Technical data directly related to articles enumerated
or otherwise described in USML Category XX are controlled under USML
Category XX(d).
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities controlled by ECCN 8A620 or 8B620 or
``software'' controlled by ECCN 8D620 (except for commodities controlled
by ECCN 8A620.b or .y or ECCN 8B620.b or ``software'' controlled by
8D620.b or .y).
b. ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul,
or refurbishing of commodities controlled by ECCN 8A620.b or 8B620.b or
``software'' controlled by ECCN 8D620.b.
c. through .x [Reserved]
y. Specific ``technology'' ``required'' for the ``development,''
``production,'' operation, installation, maintenance, repair, overhaul
or refurbishing of commodities or software in ECCN 8A620.y or 8D620.y.
8E992 ``Technology'' for the ``development'', ``production'' or ``use''
of equipment controlled by 8A992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
EAR99 Items subject to the EAR that are not elsewhere specified in this
CCL Category or in any other category in the CCL are
designated by the number EAR99.
Category 9--Aerospace and Propulsion
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
N.B.: For propulsion systems designed or rated against neutron or
transient ionizing radiation, see the U.S. Munitions List, 22 CFR part
121.
9A001 Aero gas turbine engines having any of the following (see List of
Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1
MT applies to only to those engines that MT Column 1
meet the characteristics listed in 9A101.
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 9A101 and 9A991.
Related Definitions: N/A
Items:
a. Incorporating any of the ``technologies'' controlled by 9E003.a,
9E003.h, or 9E003.i;
Note 1: 9A001 does not control aero gas turbine engines which meet
all of the following:
a. Certified by the civil aviation authority in a country listed in
Supplement No. 1 to Part 743; and
b. Intended to power non-military manned ``aircraft'' for which any
of the following has been issued by a Wassenaar Arrangement
Participating State listed in Supplement No. 1 to Part 743 for the
``aircraft'' with this specific engine type:
b.1. A civil type certificate; or
b.2. An equivalent document recognized by the International Civil
Aviation Organization (ICAO).
Note 2: 9A001 does not apply to aero gas turbine engines designed
for Auxiliary Power Units
[[Page 621]]
(APUs) approved by the civil aviation authority in a Wassenaar
Arrangement Participating State (see Supplement No. 1 to part 743 of the
EAR).
b. [Reserved]
9A002 'Marine gas turbine engines' designed to use liquid fuel and
having all of the following (see List of Items Controlled),
and ``specially designed'' assemblies and ``components''
therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
List of Items Controlled:
Related Controls: N/A
Related Definition: N/A
Items: a. Maximum continuous power when operating in ``steady state
mode'' at standard reference conditions specified by ISO 3977-2:1997 (or
national equivalent) of 24,245 kW or more; and
b. 'Corrected specific fuel consumption' not exceeding 0.219 kg/kWh
at 35% of the maximum continuous power when using liquid fuel.
Note: The term 'marine gas turbine engines' includes those
industrial, or aero-derivative, gas turbine engines adapted for a ship's
electric power generation or propulsion.
Technical Note: For the purposes of 9A002, 'corrected specific fuel
consumption' is the specific fuel consumption of the engine corrected to
a marine distillate liquid fuel having a net specific energy (i.e., net
heating value) of 42 MJ/kg (ISO 3977-2:1997).
9A003 ``Specially designed'' assemblies or ``components'', incorporating
any of the ``technologies'' controlled by 9E003.a, 9E003.h,
9E003.i, or 9E003.k, for any of the following aero gas turbine
engines (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Country chart (see supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definition: N/A
Items:
a. Controlled by 9A001; or
b. Whose design or production origins are either not from a
Wassenaar Participating State (see Supplement No. 1 to part 743 of the
EAR) or unknown to the manufacturer.
9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft buses,''
``spacecraft payloads,'' ``spacecraft'' on-board systems or
equipment, terrestrial equipment, and air-launch platforms,
and ``sub-orbital craft,'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to 9A004 .g, .r, .u, and .w.... NS Column 1.
NS applies to 9A004.s, .v, and .x......... NS Column 2.
RS applies to 9A004.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to 9A004.g, .s, .u, .v, .w, .x, AT Column 1.
and .y.
------------------------------------------------------------------------
License Requirement Note: ECCN 9A004.a through .f apply to certain
space launch vehicles, spacecraft, spacecraft buses, spacecraft
payloads, on-board systems or equipment, and terrestrial equipment. They
are described in ECCN 9A004.a through .f in order to harmonize 9A004
with the Wassenaar Arrangement Dual-Use List, even though the controls
for these items are found under ECCN 9A515 and direct exporters,
reexporters, and transferors to see USML Category IV for 9A004.a. See
UMSL Category IV for 9A004.a. See ECCN 9A515 for 9A004.b through .f, and
.h. See this ECCN 9A004 for .g, .h, .r, and .u through .y.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See ECCNs
9E001 (``development'') and 9E002 (``production'') for technology for
items controlled by this entry. (3) See USML Categories IV for the space
launch vehicles and XV for other spacecraft that are ``subject to the
ITAR.''
Related Definition: N/A
Items:
a. Space launch vehicles.
b. ``Spacecraft.''
c. ``Spacecraft buses.''
[[Page 622]]
d. ``Spacecraft payloads'' incorporating items specified by
3A001.b.1.a.4 or z (if also described in 3A001.b.1.a.4), 3A002.g,
5A001.a.1, .b.3, 5A002.c, z.3 or z.8, .e, z.5, 6A002.a.1, a.2, .b, .d,
6A003.b, 6A004.c, .e, 6A008.d, .e, .k, .l or 9A010.c.
e. On-board systems or equipment, ``specially designed'' for
``spacecraft'' and having any of the following functions:
e.1. 'Command and telemetry data handling;'
Note 1 to 9A004.e.1: For the purpose of 9A004.e.1, 'command and
telemetry data handling' includes bus data management, storage, and
processing.
e.2. 'Payload data handling;' or
Note 2 to 9A004.e.2: For the purpose of 9A004.e.2, 'payload data
handling' includes payload data management, storage, and processing.
e.3. 'Attitude and orbit control;'
Note 3 to 9A004.e.3: For the purpose of 9A004.e.3, 'attitude and
orbit control' includes sensing and actuation to determine and control
the position and orientation of a ``spacecraft.''
f. Terrestrial equipment specially designed for ``spacecraft,'' as
follows:
f.1. Telemetry and telecommand equipment ``specially designed'' for
any of the following data processing functions:
f.1.a. Telemetry data processing of frame synchronization and error
corrections, for monitoring of operational status (also known as health
and safe status) of the ``spacecraft bus;'' or
f.1.b. Command data processing for formatting command data being
sent to the ``spacecraft'' to control the ``spacecraft bus;''
f.2. Simulators ``specially designed'' for 'verification of
operational procedures' of ``spacecraft''.
Technical Note: For the purposes of 9A004.f.2, 'verification of
operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. ``Aircraft'' ``specially designed'' or modified to be air-launch
platforms for space launch vehicles or ``sub-orbital craft.''
h. ``Sub-orbital craft.''
i. through q. [Reserved]
r. In-space habitats, other than the International Space Station
(ISS).
Note 4 to 9A004.r: In-space habitats are considered the commercial
equivalent of a space station because it is used for persons conducting
experiments or space tourism activities.
s. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for in-space habitats in 9A004.r and
that are NOT:
s.1. Described on the USML;
s.2. Described in ECCN 7A004 or 7A104;
s.3. Described in an ECCN containing ``space-qualified'' as a
control criterion (refer to 9A515.x.4); or
s.4 Described in 9A001, 9A002, 9A003, 9A515, or 9A991.
t. [Reserved]
u. The James Webb Space Telescope (JWST) being operated under the
supervision of the U.S. National Aeronautics and Space Administration
(NASA).
v. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for the James Webb Space Telescope and
that are NOT:
v.1. Described on the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCN 7A004 or 7A104; or
v.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (refer to 9A515.x.4).
w. The International Space Station being operated under the
supervision of the U.S. National Aeronautics and Space Administration.
x. ``Parts,'' ``components,'' ``accessories,'' and ``attachments''
that are ``specially designed'' for the International Space Station.
y. Items that would otherwise be within the scope of ECCN 9A004.s or
.x but that have been identified in an interagency-cleared commodity
classification (CCATS) pursuant to Sec. 748.3(e) as warranting control
in 9A004.y.
y.1. Discrete electronic components not specified in 9A515.e;
y.2. Thermistors for spacecraft applications;
y.3. RF microwave bandpass ceramic filters (e.g., Dielectric
Resonator Bandpass Filters);
y.4. Hall effect sensors for spacecraft applications;
y.5. Subminiature (SMA and SMP) plugs and connectors, TNC plugs and
cable and connector assemblies with SMA plugs and connectors for
spacecraft applications;
y.6. Flight cable assemblies for spacecraft applications;
y.7. Public address (PA) systems;
y.8. Audio selector panels;
y.9. Spacecraft crew, passenger, or participant lavatories and body
waste management systems;
y.10. Spacecraft crew, passenger, or participant hygiene facilities
and systems;
y.11. Spacecraft crew, passenger, or participant crew rest equipment
or sleeping quarters;
y.12. Spacecraft crew, passenger, or participant galleys or food
preparation or serving systems;
y.13. Spacecraft crew, passenger, or participant entertainment
systems;
y.14. Spacecraft crew, passenger, or participant exercise systems;
y.15. Spacecraft crew, passenger, or participant laundry systems;
y.16. Spacecraft crew, passenger, or participant safety systems not
including launch
[[Page 623]]
abort systems/launch escape systems, ejector seats, spacesuits, flight
suits, helmets, or parts and components therefor;
y.17. Spacecraft crew, passenger, or participant storage units,
facilities, or systems (for items related to human safety, welfare, and
health);
y.18. Spacecraft crew, passenger, or participant medical facilities
or health-related systems for monitoring, evaluating, or assessing, or
for providing treatments;
y.19. Spacecraft crew, passenger, or participant information systems
(e.g., personal laptops and phones);
y.20. Name plates, identification plates, and identification
systems;
y.21. Internal, external, and emergency lighting systems;
y.22. Humidity and CO2 removal systems;
y.23. Potable water storage systems;
y.24. Water regeneration systems;
y.25. Air filters, filter networks, or air quality systems;
y.26. Space heaters, temperature sensors, or thermostats for human
habitation;
y.27. Environmental control systems for human habitation;
y.28. Spacecraft environmental control systems (e.g., air
conditioner, air distribution, air filtration and sanitation,
CO2 removal, cabin pressure control, dehumidifier, fire
suppression system, nitrogen oxygen recharge system, heater systems,
thermostats);
y.29. Plant growth systems;
y.30. Fire extinguishers;
y.31. Flame, smoke, or CO2 detectors;
y.32. Fire suppression systems;
y.33. Spacecraft crew, passenger, or participant seats and parts and
components;
y.34. Spaceflight crew, passenger, or participant ejection seat
mounted survival aids;
y.35. Spaceflight crew, passenger, or participant life rafts;
y.36. Spacecraft crew, passenger, or participant locator beacons;
y.37. Spacecraft crew, passenger, or participant mirrors;
y.38. Spacecraft crew, passenger, or participant windows;
y.39. Spacecraft locator beacons;
y.40. Viewing windows on non-crewed spacecraft;
y.41. Hydraulic, pneumatic, oil, fuel, gas, propellant, fluid, and
thermal control fluid reservoirs, filters, filter assemblies, tubing,
lines, hoses, check valves, and quick disconnects, and associated
fittings, couplings, clamps, brackets, adapters, valves, gaskets, and
shims;
y.42. Gauges and indicators;
y.43. Filtered and unfiltered panel knobs, indicators, annunciator
panels, switches, buttons and dials;
y.44. Energy dissipating pads for cargo or crew;
y.45. Bracket adapters for bus and payload structures;
y.46. Latches and hinges;
y.47. Boom assemblies;
y.48. Multiplexor and Demultiplexors (MUX & DEMUX);
y.49. Switches, switch bank assemblies, beam select switches,
transfer switch assemblies, switch matrices, thermal switches;
y.50. Magnetic torque bars;
y.51. Filters, filter networks;
y.52. Network switches;
y.53. Antenna feed horns;
y.54. Diplexers, modulators, demodulators;
y.55. Backshells, pins, and contacts;
y.56. Measurement devices;
y.57. Non Propulsive landing systems (e.g., skids, inflatable);
y.58. Electrical connectors;
y.59. Electric fans;
y.60. Microphones;
y.61. Speakers;
y.62. Circuit breakers; and
y.63. Printed circuit boards.
Note 5 to 9A004: An item operating on any celestial body other than
Earth is treated as if it is on Earth for classification purposes on the
CCL.
9A005 Liquid rocket propulsion systems containing any of the systems or
``components,'' controlled by 9A006. (These items are
``subject to the ITAR.'' See 22 CFR parts 120 through 130.)
9A006 Systems, ``components,'' ``specially designed'' for liquid rocket
propulsion systems. (These items are ``subject to the ITAR.''
See 22 CFR parts 120 through 130.)
9A007 Solid rocket propulsion systems. (These items are ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
9A008 ``Components'' ``specially designed'' for solid rocket propulsion
systems. (These items are ``subject to the ITAR.'' See 22 CFR
parts 120 through 130.)
9A009 Hybrid rocket propulsion systems. (These items are ``subject to
the ITAR.'' See 22 CFR parts 120 through 130.)
9A010 ``Specially Designed'' ``Parts,'' ``Components,'' Systems and
Structures, for Launch Vehicles, Launch Vehicle Propulsion
Systems or ``Spacecraft''. (See Related Controls Paragraph.)
List of Items Controlled
Related Controls: (1) See USML Category IV of the International Traffic
in Arms Regulations (ITAR) (22 CFR parts 120 through 130) and ECCN 9A604
for paragraphs 9A010.a, .b and .d. (2) See USML Category XV of the ITAR
and ECCN 9A515 for paragraph 9A010.c. (3) See Supplement No. 4 to part
774, Order of Review for guidance on
[[Page 624]]
the process for determining classification of items.
Related Definitions: N/A
Items:
a. ``Parts'', ``components'' and structures, each exceeding 10 kg
and ``specially designed'' for launch vehicles manufactured using any of
the following:
a.1. ``Composite'' materials consisting of ``fibrous or filamentary
materials'' specified by 1C010.e and resins specified by 1C008 or
1C009.b;
a.2. Metal ``matrix'' ``composites'' reinforced by any of the
following:
a.2.a. Materials specified by 1C007;
a.2.b. ``Fibrous or filamentary materials'' specified by 1C010; or
a.2.c. Aluminides specified by 1C002.a; or
a.3. Ceramic ``matrix'' ``composite'' materials specified by 1C007;
Note: The weight cut-off is not relevant for nose cones.
b. ``Parts'', ``components'' and structures, ``specially designed''
for launch vehicle propulsion systems specified by 9A005 to 9A009,
manufactured using any of the following:
b.1. ``Fibrous or filamentary materials'' specified by 1C010.e and
resins specified by 1C008 or 1C009.b;
b.2. Metal ``Matrix ``composites'' reinforced by any of the
following:
b.2.a. Materials specified by 1C007;
b.2.b. ``Fibrous or filamentary materials'' specified by 1C010; or
b.2.c. Aluminides specified by 1C002.a; or
b.3. Ceramic ``matrix'' ``composite'' materials specified by 1C007;
c. Structural components and isolation systems, specially designed
to control actively the dynamic response or distortion of ``spacecraft''
structures;
d. Pulsed liquid rocket engines with thrust-to-weight ratios equal
to or more than 1 kN/kg and a 'response time' of less than 30 ms.
Technical Note: For the purposes of 9A010.d, 'response time' means
the time required to achieve 90% of total rated thrust from start-up.
9A011 Ramjet, scramjet or 'combined cycle engines', and ``specially
designed'' ``parts'' and ``components'' therefor. (These items
are ``subject to the ITAR.'' See 22 CFR parts 120 through
130.)
Technical Note: For the purposes of 9A011, 'combined cycle engines'
combine two or more of the following types of engines:
--Gas turbine engine (turbojet, turboprop and turbofan);
--Ramjet or scramjet;
--Rocket motor or engine (liquid/gel/solid-propellant and hybrid).
9A012 Non-military ``Unmanned Aerial Vehicles,'' (``UAVs''), unmanned
``airships'', related equipment and ``components'', as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Country chart (See supp. no.
Control(s) 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry................ NS Column 1.
MT applies to non-military Unmanned Aerial MT Column 1.
Vehicles (UAVs) and Remotely Piloted
Vehicles (RPVs) that are capable of a
maximum range of at least 300 kilometers
(km), regardless of payload, and UAVs
that meet the requirements of 9A120.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See the U.S. Munitions List Category VIII (22 CFR
part 121). (2) Also see ECCN 9A610 and Sec. 744.3 of the EAR. (3) For
``UAVs'' that are ``sub-orbital craft,'' see ECCNs 9A004.h and 9A515.a.
Related Definitions: N/A
Items:
a. ``UAVs'' or unmanned ``airships'', designed to have controlled
flight out of the direct 'natural vision' of the 'operator' and having
any of the following:
a.1. Having all of the following:
a.1.a. A maximum 'endurance' greater than or equal to 30 minutes but
less than 1 hour; and
a.1.b. Designed to take-off and have stable controlled flight in
wind gusts equal to or exceeding 46.3 km/h (25 knots); or
a.2. A maximum 'endurance' of 1 hour or greater;
Technical Notes: 1. For the purposes of 9A012.a, 'operator' is a
person who initiates or commands the ``UAV'' or unmanned ``airship''
flight.
2. For the purposes of 9A012.a, 'endurance' is to be calculated for
ISA conditions (ISO 2533:1975) at sea level in zero wind.
3. For the purposes of 9A012.a, 'natural vision' means unaided human
sight, with or without corrective lenses.
b. Related equipment and ``components'', as follows:
b.1 [Reserved]
b.2. [Reserved]
b.3. Equipment or ``components'' ``specially designed'' to convert a
manned ``aircraft'' or a manned ``airship'' to a ``UAV'' or unmanned
``airship'', controlled by 9A012.a;
b.4. Air breathing reciprocating or rotary internal combustion type
engines, ``specially designed'' or modified to propel ``UAVs'' or
[[Page 625]]
unmanned ``airships'', at altitudes above 15,240 meters (50,000 feet).
9A018 Equipment on the Wassenaar Arrangement Munitions List.
(a) See ECCN 9A610 for the aircraft, refuelers, ground equipment,
parachutes, harnesses, and instrument flight trainers, as well as
``parts'', ``accessories,'' and ``attachments'' for the forgoing that,
immediately prior to October 15, 2013, were classified under 9A018.a.1,
.a.3, .c, .d, .e, or .f.
(b) See ECCN 9A619 for military trainer aircraft turbo prop engines
and ``parts'' and ``components'' therefor that, immediately prior to
October 15, 2013, were classified under ECCN 9A018.a.2 or .a.3.
(c) See ECCN 0A606.b for certain armored ground transport vehicles
that prior to January 6, 2014 were classified under ECCN 9A018.b.
9A101 Turbojet and turbofan engines, other than those controlled by
9A001, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: 9A101.b controls only engines for non-military
unmanned aerial vehicles [UAVs] or remotely piloted vehicles [RPVs], and
does not control other engines designed or modified for use in
``missiles'', which are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definitions: N/A
Items:
a. Engines having all of the following characteristics:
a.1. 'Maximum thrust value' greater than 400 N (achieved un-
installed) excluding civil certified engines with a maximum thrust value
greater than 8,890 N (achieved un-installed);
a.2. Specific fuel consumption of 0.15 kg N-1
h-1 or less;
a.3. 'Dry weight' less than 750 kg; and
a.4. 'First-stage rotor diameter' less than 1 m; or
Technical Notes: 1. 'Maximum thrust value' in 9A101.a.1 is the
manufacturer's demonstrated maximum thrust for the engine type un-
installed at sea level static conditions using the ICAO standard
atmosphere. The civil type certified thrust value will be equal to or
less than the manufacturer's demonstrated maximum thrust for the engine
type.
2. Specific fuel consumption is determined at maximum continuous
thrust for engine type un-installed at sea level static conditions using
the ICAO standard atmosphere.
3. 'Dry weight' is the weight of the engine without fluids (fuel,
hydraulic fluid, oil, etc.) and does not include the nacelle (housing).
4. 'First-stage rotor diameter' is the diameter of the first
rotating stage of the engine, whether a fan or compressor, measured at
the leading edge of the blade tips.
b. Engines designed or modified for use in ``missiles'' or UAVs with
a range equal to or greater than 300 km, regardless of thrust, specific
fuel consumption, 'dry weight' or 'first-stage rotor diameter'.
9A102 'Turboprop engine systems' ``specially designed'' for items
controlled in 9A012 for MT reasons, and ``specially designed''
``parts'' and ``components'' therefor, having a maximum power
greater than 10 kW (achieved uninstalled at sea level static
conditions using the ICAO standard atmosphere), excluding
civil certified engines.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738).
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 9A001 and 9A101.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Technical Note to 9A102: For the purposes of 9A102 a 'turboprop
engine system' incorporates all of the following:
a. Turboshaft engine; and
b. Power transmission system to transfer the power to a propeller.
9A103 Liquid propellant tanks ``specially designed'' for the propellants
controlled in ECCNs 1C011, 1C111 or other liquid propellants
used in ``missiles.'' (These items are ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
9A104 Sounding rockets, capable of a range of at least 300 km. (These
items are ``subject to the ITAR.'' See 22 CFR parts 120
through 130.)
[[Page 626]]
9A105 Liquid propellant rocket engines. (These items are ``subject to
the ITAR.'' See 22 CFR parts 120 through 130.)
9A106 Systems, ``parts'' or ``components,'' other than those controlled
by 9A006, usable in ``missiles,'' and ``specially designed''
for liquid rocket propulsion systems, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: Items described in 9A106.a, .b, and .c are ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items: a. Ablative liners for thrust or combustion chambers;
b. Rocket nozzles;
c. Thrust vector control sub-systems;
Technical Note: Examples of methods of achieving thrust vector
control controlled by 9A106.c includes:
1. Flexible nozzle;
2. Fluid or secondary gas injection;
3. Movable engine or nozzle;
4. Deflection of exhaust gas steam (jet vanes or probes); or
5. Thrust tabs.
d. Liquid, slurry and gel propellant (including oxidizers) control
systems, and ``specially designed'' ``parts'' and ``components''
therefor, designed or modified to operate in vibration environments
greater than 10 g rms between 20 Hz and 2000 Hz.
Note: The only servo valves, pumps and gas turbines controlled by
9A106.d, are the following:
a. Servo valves designed for flow rates equal to or greater than 24
liters per minute, at an absolute pressure equal to or greater than 7
MPa, that have an actuator response time of less than 100 ms;
b. Pumps, for liquid propellants, with shaft speeds equal to or
greater than 8,000 rpm at the maximum operating mode or with discharge
pressures equal to or greater than 7 Mpa; or
c. Gas turbines, for liquid propellant turbopumps, with shaft speeds
equal to or greater than 8,000 rpm at the maximum operating mode.
e. Flight control servo valves designed or modified for use in
``missiles'' and designed or modified to operate in a vibration
environment greater than 10g rms over the entire range between 20Hz and
2 kHz.
9A107 Solid propellant rocket motors, usable in rockets with a range
capability of 300 km or greater, other than those controlled
by 9A007, having total impulse capacity equal to or greater
than 8.41 x 10\5\ Ns, but less than 1.1 x 10\6\ Ns. (These
items are ``subject to the ITAR.'' See 22 CFR parts 120
through 130.)
9A108 Solid rocket propulsion ``parts'' and ``components,'' other than
those controlled by 9A008, usable in rockets with a range
capability of 300 km or greater. (These items are ``subject to
the ITAR.'' See 22 CFR parts 120 through 130.)
9A109 Hybrid rocket motors, usable in rockets with a range capability of
300 km or greater, other than those controlled by 9A009, and
``specially designed'' ``parts'' and ``components'' therefor.
(These items are ``subject to the ITAR.'' See 22 CFR parts 120
through 130.)
9A110 Composite structures, laminates and manufactures thereof
``specially designed'' for 9A012 items that are controlled for
MT reasons.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 1A002.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9A111 Pulse jet engines, usable in rockets, missiles, or unmanned aerial
vehicles capable of achieving a ``range'' equal to or greater
than 300 km, and ``specially designed'' ``parts'' and
``components'' therefor. (These items are ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
9A115 Apparatus, devices and vehicles, designed or modified for the
transport, handling, control, activation and launching of
rockets, missiles, and unmanned aerial vehicles capable of
achieving a ``range'' equal to or greater than 300 km.
License Requirements
Reason for Control: MT, AT
[[Page 627]]
------------------------------------------------------------------------
Country chart (see Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See the U.S. Munitions List (22 CFR part 121). Also
see ECCN 9A610.u.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
9A116 Reentry vehicles, usable in ``missiles,'' and equipment designed
or modified therefor. (These items are ``subject to the
ITAR.'' See 22 CFR parts 120 through 130.)
9A117 Staging mechanisms, separation mechanisms, and interstages
therefor, usable in ``missiles''. (These items are ``subject
to the ITAR.'' See 22 CFR parts 120 through 130.)
9A118 Devices to regulate combustion usable in engines which are usable
in rockets, missiles, and unmanned aerial vehicles capable of
achieving a ``range'' equal to or greater than 300 km,
controlled by 9A011 or 9A111. (These items are ``subject to
the ITAR.'' See 22 CFR parts 120 through 130.)
9A119 Individual rocket stages, usable in rockets with a range
capability greater than 300 km or greater, other than those
controlled by 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109.
(These items are ``subject to the ITAR.'' See 22 CFR parts 120
through 130.)
9A120 Complete unmanned aerial vehicles, not specified in 9A012, having
all of the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Country Chart (See Supp. No.
Control(s) 1 to part 738)
------------------------------------------------------------------------
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
List Based License Exceptions (See Part 740 for a description of all
license exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See ECCN 9A012 or the U.S. Munitions List Category
VIII (22 CFR part 121). Also see ECCN 2B352.i for controls on certain
spraying or fogging systems, and ``parts'' and ``components'' therefor,
``specially designed'' or modified for fitting to aircraft, ``lighter
than air vehicles,'' or ``UAVs.''
Related Definitions: N/A
Items: a. Having any of the following:
a.1. An autonomous flight control and navigation capability; or
a.2. Capability of controlled-flight out of the direct vision range
involving a human operator; and
b. Having any of the following:
b.1. Incorporating an aerosol dispensing system/mechanism with a
capacity greater than 20 liters; or
b.2. Designed or modified to incorporate an aerosol dispensing
system/mechanism with a capacity of greater than 20 liters.
Note: 9A120 does not control model aircraft, ``specially designed''
for recreational or competition purposes.
Technical Notes: 1. An aerosol consists of particulate or liquids
other than fuel components, by--products or additives, as part of the
``payload'' to be dispersed in the atmosphere. Examples of aerosols
include pesticides for crop dusting and dry chemicals for cloud seeding.
2. An aerosol dispensing system/mechanism contains all above devices
(mechanical, electrical, hydraulic, etc.), which are necessary for
storage and dispersion of an aerosol into the atmosphere. This includes
the possibility of aerosol injection into the combustion exhaust vapor
and into the propeller slip stream.
9A515 ``Spacecraft'' and related commodities, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT
------------------------------------------------------------------------
Country chart (see Supp.
Control(s) No. 1 to part 738)
------------------------------------------------------------------------
NS applies to entire entry, except .e, .x, NS Column 1.
and .y.
RS applies to entire entry, except .e, .x, RS Column 1.
and .y.
MT applies to microcircuits in 9A515.d and MT Column 1.
9A515.e.2 when ``usable in'' ``missiles''
for protecting ``missiles'' against
nuclear effects (e.g., Electromagnetic
Pulse (EMP), X-rays, combined blast and
thermal effects). MT also applies to
9A515.h when the total impulse capacity
is equal to or greater than 8.41 x 10\5\
newton seconds.
[[Page 628]]
NS applies to 9A515.x..................... NS Column 2.
RS applies to 9A515.e and .x.............. RS Column 2.
RS applies to 9A515.y..................... China, Russia or Venezuela
(see Sec. 742.6(a)(7)).
AT applies to entire entry................ AT Column 1.
------------------------------------------------------------------------
License Requirement Notes:
(1) The Commerce Country Chart is not used for determining license
requirements for commodities classified in ECCN 9A515.a.1, .a.2, .a.3,
.a.4, and .g. See Sec. 742.6(a)(9), which specifies that such
commodities are subject to a worldwide license requirement, except to
Australia, Canada, and the United Kingdom.
(2) ECCN 9A004.a through .f apply to certain space launch vehicles,
spacecraft, spacecraft buses, spacecraft payloads, on-board systems or
equipment, and terrestrial equipment. They are listed in ECCN 9A004.a
through .f in order to harmonize 9A004 with the Wassenaar Arrangement
Dual-Use List, even though the controls for these items are found under
ECCN 9A515 and to direct exporters, reexporters, and transferors to see
USML Category IV for 9A004.a. See UMSL Category IV for 9A004.a. See ECCN
9A515 for 9A004.b through .f, and .h. See this ECCN 9A004 for .g, .h,
.r, .s, and .u through .y.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec. 740.20(c)(1)
of the EAR) may not be used for ``spacecraft'' in ECCNs 9A515.a.1, a.2,
a.3, or a.4, ``sub-orbital craft,'' or items in 9A515.g, unless
determined by BIS to be eligible for License Exception STA in accordance
with Sec. 740.20(g) (License Exception STA eligibility requests for
certain 9x515 and ``600 series'' items). (2) License Exception STA may
not be used if the ``spacecraft'' controlled in ECCN 9A515.a.1, a.2,
a.3, or a.4 contains a separable or removable propulsion system
described in USML Category IV(d)(2) or USML Category XV(e)(12) and
designated MT. (3) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for any item in 9A515.
List of Items Controlled
Related Controls: Spacecraft, launch vehicles and related articles that
are described on the USML, and technical data (including ``software'')
directly related thereto, and all services (including training) directly
related to the integration of any satellite or spacecraft to a launch
vehicle, including both planning and onsite support, or furnishing any
assistance (including training) in the launch failure analysis or
investigation for items in ECCN 9A515.a, are ``subject to the ITAR.''
All other ``spacecraft,'' as enumerated below and defined in Sec.
772.1, are subject to the controls of this ECCN. See also ECCNs 3A001,
3A002, 3A991, 3A992, 6A002, 6A004, 6A008, and 6A998 for specific
``space-qualified'' items, 7A004 and 7A104 for star trackers, and 9A004
for the International Space Station (ISS), the James Webb Space
Telescope (JWST), and ``specially designed'' ``parts'' and
``components'' therefor. See USML Category XI(c) for controls on certain
``Monolithic Microwave Integrated Circuit'' (``MMIC'') amplifiers. See
ECCN 9A610.g for pressure suits used for high altitude aircraft.
Related Definitions: 'Microcircuit' means a device in which a number of
passive or active elements are considered as indivisibly associated on
or within a continuous structure to perform the function of a circuit.
Items:
``Spacecraft'' and other items described in ECCN 9A515 remain
subject to the EAR even if exported, reexported, or transferred (in-
country) with defense articles ``subject to the ITAR'' integrated into
and included therein as integral parts of the item. In all other cases,
such defense articles are subject to the ITAR. For example, a 9A515.a
``spacecraft'' remains ``subject to the EAR'' even when it is exported,
reexported, or transferred (in-country) with a ``hosted payload''
described in USML Category XV(e)(17) incorporated therein. In all other
cases, a ``hosted payload'' performing a function described in USML
Category XV(a) always remains a USML item. The removal of the defense
article subject to the ITAR from the spacecraft is a retransfer under
the ITAR and would require an ITAR authorization, regardless of the CCL
authorization the spacecraft is exported under. Additionally, transfer
of technical data regarding the defense article subject to the ITAR
integrated into the spacecraft would require an ITAR authorization.
a. ``Spacecraft,'' including satellites, and space vehicles and
``sub-orbital craft,'' whether designated developmental, experimental,
research or scientific, not described in USML Category XV or described
in ECCN 9A004.r, .u, or .w, that:
a.1. Have electro-optical remote sensing capabilities and having a
clear aperture greater than 0.35 meters, but less than or equal to 0.50
meters;
a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR, MWIR,
or LWIR);
a.3. Have radar remote sensing capabilities (e.g., AESA, SAR, or
ISAR) having a center frequency equal to or greater than 1.0 GHz, but
less than 10.0 GHz and having a bandwidth equal to or greater than 100
MHz, but less than 300 MHz;
a.4. Provide space-based logistics, assembly, or servicing of
another ``spacecraft''; or
[[Page 629]]
a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.
Note 1 to 9A515: ECCN 9A515.a includes commercial communications
satellites, remote sensing satellites, ``sub-orbital craft,'' and
planetary and interplanetary probes, not identified in ECCN 9A004 or
USML Category XV(a).
b. Equipment for telemetry, tracking, and control, as follows:
b.1. Ground control systems and training simulators ``specially
designed'' for telemetry, tracking, and control of the ``spacecraft''
controlled in paragraphs 9A004.u or 9A515.a;
b.2. Terrestrial equipment ``specially designed'' for
``spacecraft,'' as follows:
b.2.a. Telemetry and telecommand equipment ``specially designed''
for any of the following data processing functions:
b.2.a.1. Telemetry data processing of frame synchronization and
error corrections, for monitoring of operational status (also known as
health and safe status) of the ``spacecraft bus;'' or
b.2.a.2. Command data processing for formatting command data being
sent to the ``spacecraft'' to control the ``spacecraft bus;''
b.2.b. [Reserved]
b.3. Simulators ``specially designed'' for `verification of
operational procedures' of ``spacecraft.''
Technical Note: For the purposes of 9A515.b.3, 'verification of
operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
c. [Reserved]
d. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components rated,
certified, or otherwise specified or described as meeting or exceeding
all the following characteristics and that are ``specially designed''
for defense articles, ``600 series'' items, or items controlled by ECCNs
9A004.v or 9A515:
d.1. A total dose of 5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si));
d.2. A dose rate upset threshold of 5 x 10\8\ Rads (Si)/sec (5 x
10\6\ Gy (Si)/sec);
d.3. A neutron dose of 1 x 10\14\ n/cm\2\ (1 MeV equivalent);
d.4. An uncorrected single event upset sensitivity of 1 x
10-\10\ errors/bit/day or less, for the CR[Egrave]ME-MC
geosynchronous orbit, Solar Minimum Environment for heavy ion flux; and
d.5. An uncorrected single event upset sensitivity of 1 x
10-\10\ errors/part or less for a fluence of 1 x 10\7\
protons/cm\2\ for proton energy greater than 50 MeV.
e. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components that are
rated, certified, or otherwise specified or described as meeting or
exceeding the characteristics in either paragraph e.1 or e.2, AND
``specially designed'' for defense articles described in USML Category
XV or items controlled by ECCNs 9A004.u or 9A515:
e.1. A total dose =1 x 10\5\ Rads (Si) (1 x 10\3\ Gy(Si))
and <5 x 10\5\ Rads (Si) (5 x 10\3\ Gy(Si)); and a single event effect
(SEE) (i.e., single event latchup (SEL), single event burnout (SEB), or
single event gate rupture (SEGR)) immunity to a linear energy transfer
(LET) =80 MeV-cm\2\/mg; or
e.2. A total dose