Proposed Rule2023-26681
Proposed Enhancements and Simplification of License Exception Strategic Trade Authorization (STA)
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Published
December 8, 2023
Issuing agencies
Commerce DepartmentIndustry and Security Bureau
Abstract
In this rulemaking, the Bureau of Industry and Security (BIS) proposes revising License Exception Strategic Trade Authorization (STA) under the Export Administration Regulations (EAR). The purpose of these changes is to encourage additional use of License Exception STA for ally and partner countries. BIS proposes specific revisions to License Exception STA and includes questions for public comment to help BIS better understand impediments in using License Exception STA. This proposed rule is part of a broader effort announced today that will revise several categories of export licensing requirements and the availability of export license exceptions for key allied and partner countries, as well as for members of certain multilateral export control regimes.
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[Federal Register Volume 88, Number 235 (Friday, December 8, 2023)]
[Proposed Rules]
[Pages 85734-85758]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-26681]
[[Page 85733]]
Vol. 88
Friday,
No. 235
December 8, 2023
Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740 and 774
Proposed Enhancements and Simplification of License Exception Strategic
Trade Authorization (STA); Proposed Rule
Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 /
Proposed Rules
[[Page 85734]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740 and 774
[Docket No. 231117-0272]
RIN 0694-AJ32
Proposed Enhancements and Simplification of License Exception
Strategic Trade Authorization (STA)
AGENCY: Bureau of Industry and Security, Department of Commerce.
ACTION: Proposed rule.
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SUMMARY: In this rulemaking, the Bureau of Industry and Security (BIS)
proposes revising License Exception Strategic Trade Authorization (STA)
under the Export Administration Regulations (EAR). The purpose of these
changes is to encourage additional use of License Exception STA for
ally and partner countries. BIS proposes specific revisions to License
Exception STA and includes questions for public comment to help BIS
better understand impediments in using License Exception STA. This
proposed rule is part of a broader effort announced today that will
revise several categories of export licensing requirements and the
availability of export license exceptions for key allied and partner
countries, as well as for members of certain multilateral export
control regimes.
DATES: Comments must be received by BIS no later than February 6, 2024.
ADDRESSES: Comments on this rule may be submitted to the Federal
rulemaking portal (<a href="http://www.regulations.gov">www.regulations.gov</a>). The <a href="http://regulations.gov">regulations.gov</a> ID for
this rule is: BIS-2023-0019. Please refer to RIN 0694-AJ32 in all
comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential version of the submission. For
comments submitted electronically containing business confidential
information, the file name of the business confidential version should
begin with the characters ``BC.'' Any page containing business
confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Commenters submitting business confidential information are encouraged
to scan a hard copy of the non-confidential version to create an image
of the file, rather than submitting a digital copy with redactions
applied, to avoid inadvertent redaction errors which could enable the
public to read business confidential information.
FOR FURTHER INFORMATION CONTACT: For questions on this proposed rule,
contact Timothy Mooney, Regulatory Policy Division, Office of Exporter
Services, Bureau of Industry and Security, U.S. Department of Commerce
at 202-482-2440 or by email: <a href="/cdn-cgi/l/email-protection#431113077103212a306d272c206d242c35"><span class="__cf_email__" data-cfemail="f4a6a4b0c6b4969d87da909b97da939b82">[email protected]</span></a>, please include ``RIN:
0694-AJ32'' in the subject line.
SUPPLEMENTARY INFORMATION:
I. Background
In this proposed rule, the Bureau of Industry and Security (BIS)
describes potential revisions to License Exception Strategic Trade
Authorization (STA) under the Export Administration Regulations (EAR).
The purpose of these changes is to encourage additional use of License
Exception STA for ally and partner countries. This rule proposes
changes that would: (1) clarify that License Exception STA is not a
list-based license exception; (2) add text to make it more explicit
that License Exception STA is eligible for deemed export and deemed
reexports; (3) exclude deemed exports and deemed reexports from the
requirement to have been listed on an approved license or other
approval for ``600 series'' technology; (4) adopt a simpler and
consistent approach to identify ECCNs eligible for License Exception
STA; and (5) remove the limitation on the use of License Exception APR
for reexports between and among certain partner and ally countries to
reflect their close coordination with the United States on export
controls.
This proposed rule also includes seven questions for public comment
to help BIS better understand why License STA is being underutilized by
exporters, reexporters, and transferors. BIS also requests comments on
whether STA eligibility should be expanded or restricted for specific
items, including for specific ECCNs and welcomes comments on additional
measures that could further facilitate trade under License Exception
STA with partner and ally countries.
This rule includes proposed changes to License Exception STA
eligibility for ECCNs 1E001 and 2E003.f, which were previously proposed
in the proposed rule ``Clarifications of Availability and Expansion of
Restrictions on Availability of License Exception Strategic Trade
Authorization Under the Export Administration Regulations'' (October
2021 rule) (see 86 FR 58615 (October 22, 2021)). Because this rule is
addressing License Exception STA more broadly, such as how items
excluded from License Exception STA will be identified and the passage
of time since 2021, BIS is re-proposing these restrictions on the STA
eligibility for ECCNs 1E001 and 2E003.f. This action will allow for
public comment on these proposed changes to License Exception STA
eligibility to help to better inform the current Administration's
review of License Exception STA eligibility for these two ECCNs. See
Section VII.B of this rule for additional background on these proposed
changes. BIS encourages parties that may have commented on the October
22 rule to review these proposed changes to ECCN 1E001 and 2E003.f,
along with any other interested parties.
Liberalizing Controls for Allies and Partners
Historically, the United States has relied on deep connections with
its allies and partners to protect its vital national security and
foreign policy interests. In particular, the United States acts in
close cooperation with its allies and partners to bring together the
international community to address military aggression, threats to
sovereignty, and human rights abuses around the world. This is
especially true in the context of export controls, in which
multilateral and plurilateral controls are typically the most effective
path toward accomplishing our national security and foreign policy
objectives.
In remarks made on February 4, 2021, regarding America's place in
the world, President Biden noted that America's alliances are some of
our greatest assets and that leading with diplomacy means standing
shoulder to shoulder with and working closely with our allies and key
partners, thereby protecting the world against nefarious actors. At
that time, President Biden highlighted the fact that the United States
would be ``more effective in dealing with Russia when we work in
coalition and coordination with other like-minded partners.'' (https://
www.whitehouse.gov/briefing-room/speeches-remarks/2021/02/04/remarks-
by-president-biden-on-
[[Page 85735]]
americas-place-in-the-world/). Consistent with this direction, a year
later following Russia's unjustifiable further invasion of Ukraine and
Belarus' complicity in that invasion, the United States led formation
of and continued alignment within the Global Export Controls Coalition
(GECC), now comprising the United States and 38 other global economies.
BIS's export controls on Russia and Belarus have been more effective
because they have been imposed and maintained in coordination with U.S.
allies and partners. At the same time, in addition to the GECC, BIS has
forged deeper ally and partner country relationships through a series
of bilateral and multilateral export controls dialogues, including
under the auspices of the U.S.-European Union Trade and Technology
Council (TTC) and the U.S.-Japan Commercial and Industrial Partnership
(JUCIP).
The proposed changes with this rule and two other ally and partner
rules published today are part of a broad effort to liberalize controls
for allies and partner countries under the EAR (15 CFR parts 730-774).
Together, these rules will ease several categories of export licensing
requirements and increase the availability of export license exceptions
for key allied and partner countries, as well as members of certain
multilateral export control regimes.
License Exception STA History
License Exception STA was added to the EAR on June 16, 2011 (76 FR
35287) as one of the first actions taken under the Export Control
Reform (ECR) Initiative. This license exception was intended to
facilitate trade and military interoperability with our closest allies
and partners by streamlining the controls under the EAR applicable for
certain items destined for export control partner and ally countries.
Through two authorizing paragraphs (Sec. 740.20(c)(1) and (2)),
License Exception STA authorizes exports, reexports, and transfers (in-
country), including deemed exports and deemed reexports for certain
items. Paragraph (c)(1) authorization is applicable to six reasons for
control (national security (NS); chemical or biological weapons (CB);
nuclear nonproliferation (NP); regional stability (RS); crime control
(CC), and/or significant items (SI)) for countries identified in
Country Group A:5. Paragraph (c)(2) authorization is available to
overcome national security (NS) controls for certain ECCNs. As with all
EAR license exceptions, certain terms and conditions must be met to use
License Exception STA. In addition, entities that use License Exception
STA must confirm that none of the general restrictions on the use of
license exceptions under Sec. 740.2 applies.
Since 2011, BIS has updated License Exception STA to clarify
certain requirements. For example, a November 11, 2017, final rule (82
FR 50511) added various notes to License Exception STA to clarify the
intent of certain provisions, e.g., the `completing the chain' concept
for ``600 series'' items, clarifying foreign governments are not
required to provide a prior consignee statement, and clarifying how
License Exception STA relates to transfers (in-country). These changes
helped with public understanding and encouraged some additional usage
of License Exception STA for ally and partner country transactions.
BIS has determined that amending License Exception STA to make the
requirements simpler where possible, while still protecting U.S.
national security and foreign policy interests, would make License
Exception STA more beneficial for key allied and partner countries.
Moreover, it is appropriate to reevaluate the effectiveness of License
Exception STA and determine how it may be improved to better achieve
its original objectives, as well as to better reflect the current
export control environment (e.g., taking into account the significant
amount of coordination between destinations identified in Country Group
A:5 in supplement no. 1 to part 740 (Country Groups) and in supplement
no. 3 to part 746 (Countries Excluded from Certain License Requirements
of Sec. Sec. 746.6, 746.7, and 746.8)).
BIS is publishing this rule as a proposed rule to receive comments
on the proposed changes and to solicit public comments on general
questions about License Exception STA. BIS particularly seeks input on
whether any aspect of License Exception STA discourages use of the
exception. License Exception STA was intended to be used in almost all
cases when available, and BIS believed at the time License Exception
STA was added to the EAR that it would be used in almost all cases when
available. The use of License Exception STA has grown since 2011, but
it remains persistently underutilized. In fiscal year (FY) 2022, 10% of
all license applications reviewed by BIS were for transactions eligible
for license exception STA. With respect to ``600 series'' munitions
items, in FY 2022, 26% of license applications BIS processed were for
transactions that were eligible for license exception STA.
Advantages of License Exception STA Over a BIS License
BIS has set out various evaluation criteria below to compare
License Exception STA and BIS licenses. BIS has emphasized these points
since 2011 in explaining to exporters, reexporters, and transferors the
significant advantages to using License Exception STA compared to using
a BIS license, with the one exception that License Exception STA does
not allow for subsequent use of License Exception Additional Permissive
Reexports (APR) under Sec. 740.16(a) or (b). BIS also welcomes
comments in response to this proposed rule for commenters to include
any additional evaluation criteria that may be relevant when
determining whether to use License Exception STA or a BIS license, in
particular if those additional evaluation criteria may be why some
exporters, reexporters, or transferors prefer using BIS licenses over
License Exception STA when it is available.
------------------------------------------------------------------------
License exception
Evaluation criteria STA BIS license
------------------------------------------------------------------------
Quantity authorized......... No limitation on Limited to the
quantity. quantity specified
on the license.
Dollar value authorized..... No limitation on the Dollar value is
dollar value. limited to the
dollar value
specified on the
license and may
only exceed that
amount when it is
within the shipping
tolerance
provisions under
Sec. 750.11,
which generally
allow for the total
dollar value stated
on that license to
be exceeded by up
to 10% of the
dollar value.
[[Page 85736]]
Time needed to obtain the License Exception Applying for a BIS
authorization. STA is a written license takes time.
authorization in In certain cases,
the EAR, so an applicant may be
provided you meet able to request
the terms and expedited review
conditions, License (BIS licenses do
Exception STA could not generally
be used the same require a purchase
day you determine order), but in most
an authorization is cases the review
needed. process will take
on average around
40 calendar days
from the time the
license application
is submitted until
a final disposition
is received from
BIS, with
processing times
for some
applications being
shorter and some
taking much longer.
U.S. Government end-use Consistent with Sec. Consistent with Sec.
checks. 734.11, the U.S. 734.11, the U.S.
Government may Government may
request to conduct request to conduct
an end-use check an end-use check
for items received for items received
under License under a BIS
Exception STA, license. These are
regardless of done prior to a
whether or not the consignee receiving
certification the items as a pre-
requirement in Sec. license check or
after the items are
740.20(d)(2)(viii) received as a post-
applies to the shipment
specific STA verification.
transaction \1\.
Subsequent transfers (in- An item received An item received
country). under License under a BIS license
Exception STA may may only be
be transferred (in- transferred (in-
country) without country) as
requiring an EAR authorized under
authorization, the BIS license.
provided there are Any transfer (in-
no part 744 end-use country), such as
or end-user license to an end user not
requirements. This identified on the
concept also license, would
applies to ``600 require a new
series'' items, but license or a
the `completing the separate EAR
chain concept' as authorization. This
specified in Note 1 is a significant
to paragraphs disadvantage to
(b)(2) and (b)(3) using a BIS license
(which this rule compared to using
would redesignate License Exception
as Note 1 to STA.\2\
paragraph (b)(3))
of License
Exception STA would
need to be
completed for a
``600 series'' item
received under
License Exception
STA.
Restrictions on subsequent Commodities shipped Unless limited by a
reexports. pursuant to License condition on the
Exception STA may license regarding
not subsequently be the use of License
reexported pursuant Exception APR, a
to paragraphs (a) BIS license does
or (b) of License not have
Exception APR under limitations on the
Sec. 740.16(a) or use of License
(b) \3\. Exception APR under
Sec. 740.16(a) or
(b).
------------------------------------------------------------------------
II. Clarification That License Exception STA Is Not A List-Based
License Exception, Adding Additional Compliance Guidance on Steps To
Determine if ECCN Is Excluded
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\1\ Note that also consistent with Sec. 734.11, the U.S.
Government may request to conduct an end-use check for items
received under any other BIS license exception or No License
Required (NLR) designated shipments.
\2\ For example, an exporter is exporting a ``600 series'' item
to a defense contractor in the U.K. and knows there are three
additional defense contractors involved in the manufacturing process
prior to the finished item being provided to the U.S. military. This
could be authorized under a BIS license instead of using License
Exception STA, but if an additional U.K. defense contractor needs to
be added that was not contemplated at the time the license was
approved, a new license or other EAR license exception would be
needed. For ``600 series'' items received under License Exception
STA, as noted in the previous column, no authorization would be
required to transfer (in-country) to the new entity involved in the
manufacturing process, provided the `completing the chain' concept
is still followed for the ``600 series'' item. For other items
received under License Exception STA, there is no `completing the
chain' concept, so License Exception STA is even easier to use for
transfers (in-country).
\3\ This has historically been one advantage to using a BIS
license instead of License Exception STA. Today's proposed rule
proposes narrowing the scope of the License Exception STA
restriction on use of License Exception APR under Sec. 740.16(a) or
(b) for destinations identified in both Country Group A:5 and in
supplement no. 3 to part 746 to put License Exception STA on a more
equal playing field with BIS licenses in this respect.
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In the introductory text to License Exception STA in Sec. 740.20,
this rule proposes revising the first sentence and adding two new
sentences at the end. The first sentence would specify that License
Exception STA is not a list-based license exception. Rather, it is a
transaction-based license exception. A list-based license exception
requires reviewing the License Exceptions section in an ECCN and seeing
an affirmative statement that the list-based license exception is
available. License Exception STA does not appear under the License
Exceptions section of any ECCN because it is not a list-based license
exception; therefore, this additional step is not required for
determining whether License Exception STA is available. The sentence
this rule proposes to add will make this point clear for exporters,
reexporters, and transferors. BIS also welcomes comments on whether it
would be more beneficial to turn License Exception STA into a list-
based license exception.
Certain information from an ECCN is used to determine whether
License Exception STA may be used. For example, the reason(s) for
control of an ECCN is (are) needed for determining whether an item
classified under an ECCN may be authorized under License Exception STA.
In addition, 142 ECCNs contain a Special Conditions STA section, which
in most cases excludes the use of License Exception STA for an entire
ECCN or portions of an ECCN for destinations identified in Country
Group A:6. In 25 of those 142 Special Conditions for STA sections,
there are exclusions for entire ECCNs or portions of an ECCN for
destinations in Country Groups A:5 and A:6--meaning License Exception
STA is not available in any case to authorize those items. As described
under section V.A, this proposed rule proposes various changes to the
Special Conditions for STA section in the ECCNs to adopt a simpler and
consistent approach for excluding ECCNs or certain items under ECCNs
from License Exception STA, along with proposing conforming changes to
Sec. 740.20(b)(2).
III. Clarifying License Exception STA Is Eligible for Deemed Exports
and Deemed Reexports and Excluding Requirement for Recipient To Have
Been Approved on a Prior U.S. Government Authorization
A. Clarifying STA Is Available for Deemed Exports and Deemed Reexports
Under the introductory text to Sec. 740.20, this rule proposes
revising the first sentence and adding a new second sentence to make it
clear at the beginning of License Exception STA that the license
exception may be used to authorize deemed exports and deemed reexports.
BIS still receives questions from exporters, reexporters, and
transferors on whether License Exception STA may be used to authorize
deemed exports and deemed reexports, so this step would improve public
understanding. The current
[[Page 85737]]
introductory text prior to these proposed changes uses the phrase
``including releases within a single country of software source code
and technology to foreign nationals,'' which has the same meaning as
deemed exports and deemed reexports, but to simplify the text, this
rule proposes removing that text and adding in its place the terms
deemed exports and deemed reexports. The second new sentence this rule
would add to the introductory text specifies that for the paragraph (d)
requirements, only paragraph (d)(4) is applicable for deemed exports
and deemed reexports. Paragraph (d)(4) already specifies this
relationship with paragraphs (d)(1) through (3), but this is still a
common question that BIS receives on the use of License Exception STA.
B. Addition of a General Statement to Part 740 About the Use of EAR
License Exceptions for Deemed Exports and Deemed Reexports
In Sec. 740.1 Introduction, this rule proposes adding one sentence
to the end of paragraph (a) (Scope) to clarify that any license
exception authorizing exports and reexports of technology also
authorizes deemed exports and deemed reexports, provided the terms and
conditions for a release of technology under that license exception are
met. This rule proposes this sentence to ensure that the scope of
license exceptions also extends to deemed exports and deemed reexports
provided the criteria are met. Certain EAR license exceptions are
available for deemed exports and deemed reexports, such as License
Exception Technology and software under restriction (TSR) under Sec.
740.6, but do not include a specific reference to deemed exports and
deemed reexports. BIS welcomes comments in response to the rule whether
it would be better to include this proposed sentence in Sec. 740.1 or
to revise each of the applicable license exception sections in part 740
to add in a reference to deemed exports and deemed reexports.
C. Excluding Deemed Exports and Deemed Reexports From Note to Paragraph
(c)(1)
In Sec. 740.20, this rule proposes adding one sentence to the end
of the Note to paragraph (c)(1), to specify the note is not applicable
to deemed exports or deemed reexports authorized under License
Exception STA under Sec. 740.20(c)(1). BIS originally added the Note
to paragraph (c)(1) to weed out potential front companies that may have
tried to receive ``600 series'' items under License Exception STA under
Sec. 740.20(c)(1). The note to paragraph (c)(1) specified that License
Exception STA under Sec. 740.20(c)(1) may be used to authorize the
export, reexport, or transfer (in-country) of ``600 series'' items only
if the purchaser, intermediate consignee, ultimate consignee, and end
user have previously been approved on a license or other approval and
the note identifies the types of licenses or other approvals that are
acceptable. For most exporters, reexporters, or transferors, this Note
to paragraph (c)(1) has been easy to comply with and even when an
exporter, reexporter, or transferor was not able to meet the terms of
the note, that was easily addressed by applying for a license for that
transaction. Then once the license was granted, the exporter,
reexporter, or transferor would meet the terms of the Note to paragraph
(c)(1) and could use License Exception STA going forward, provided the
export, reexport, or transfer (in-country) met the other applicable
terms and conditions for License Exception STA.
In the deemed export and deemed reexport context for the ``600
series,'' the application of the Note 1 to paragraph (c)(1) has brought
about certain unexpected results. First, because the person releasing
the ``600 series'' technology to the foreign national would be in a
position to vet the person in most cases as part of the employment with
the entity making the release, which may include requiring entry into a
nondisclosure agreement, the concern with a foreign national being an
unknown entity is significantly less compared to an entity on the other
side of the world that will be receiving a ``600 series'' item. Second,
although the entity making a deemed export or deemed reexport could
also apply for a license if needed initially to address the Note to
paragraph (c)(1), in most cases once going through the process of
obtaining a deemed export license from BIS, the entity making the
deemed export or deemed reexport would likely simply rely on the BIS
deemed export or deemed reexport license going forward instead of using
License Exception STA. This would limit the usefulness of License
Exception STA for authorizing ``600 series'' deemed exports and deemed
reexports of technology and would not be warranted as a restriction in
order to protect U.S. national security and foreign policy interests.
At least in part as a result of this restriction, in FY 2022, BIS
approved over 60 deemed export or deemed reexport license applications
for ``600 series'' that would otherwise have been eligible for license
STA because the recipients were nationals of A:5 countries. For these
reasons, this rule proposes adding a sentence to the end of the Note to
paragraph (c)(1) to exclude deemed exports and deemed reexports from
the scope of this note.
BIS has provided past regulatory guidance on this question, which
does mitigate some concern about this Note 1 to paragraph (c)(1)
discouraging the use of License Exception STA. To make all members of
the public aware of this past guidance that BIS has provided to other
deemed exporters and deemed reexporters, BIS includes that guidance
here on the application of Note 1 to paragraph (c)(1). If the foreign
person is a bona fide `permanent and regular employee' of an entity
that has previously been approved as a purchaser, intermediate
consignee, ultimate consignee, or end user on a license or other
approval, i.e., Directorate of Defense Trade Controls (DDTC)
Manufacturing License Agreement (MLA), Technical Assistance Agreement
(TAA), Warehouse Distribution Agreement (WDA), or General
Correspondence approval (GC) issued by BIS or DDTC at the U.S.
Department of State, this would meet the requirement of the Note to
paragraph (c)(1). For example, if a foreign national that is a bona
fide ``permanent and regular employee'' of a European software company
was meeting with a company in the U.S. and ``600 series'' technology or
software source code was to be released, it would be sufficient for
purposes of the Note to paragraph (c)(1), that the European software
company met the scope of the Note to paragraph (c)(1) and this would
extend to their bona fide ``permanent and regular employee.'' In
addition, if the foreign national had previously been listed
individually on a license or other approval, as noted above that would
be the second route for meeting the scope of the Note to paragraph
(c)(1) for that foreign national. Note that a foreign person being a
bona fide ``permanent and regular employee'' of a U.S. entity that
previously had been listed as an entity on a license or approval, such
as an approved exporter, is not sufficient to meet the scope of the
Note to paragraph (c)(1), because the concern in that scenario is with
the bona fides of the foreign national and not the U.S. entity. BIS
does note that this guidance will no longer be necessary if the
proposed change becomes final and effective. BIS encourages as a good
compliance practice for entities using License Exception STA for deemed
exports and deemed reexports to have measures in place to vet the
foreign
[[Page 85738]]
national, such as employment screening and the use of non-disclosure
agreements. In addition, any deemed export or deemed reexport
authorized under License Exception STA will need to comply with the
requirements of paragraph (d)(4) (Requirements for releases of software
source code or technology within a single country).
V. Simplification of Limitations on Use of License Exception STA Under
Paragraph (b)(2) and Special Conditions for STA Section in ECCNs
A. Adopting a Simpler and Consistent ECCN Exclusion Approach for
License Exception STA and Clarifying Relationship Between Sec.
740.20(b)(2) and Special Conditions for STA Section in ECCNs
This proposed rule seeks to simplify License Exception STA by
adopting a simpler and consistent approach for excluding ECCNs from
License Exception STA. These proposed changes are discussed in this
Section V.A, which also provides background on the current requirements
and how these requirements have evolved since 2011. This rule proposes
changes to enable exporters, reexporters, and transferors to more
easily, quickly, and consistently determine whether an item is eligible
for License Exception STA.
Prior to reviewing the exclusions under Sec. 740.20(b)(2) of
License Exception STA, the exporter, reexporter, or transferor should
review the Special Conditions for STA section in the applicable ECCN,
which may exclude that ECCN or certain items under that ECCN from the
use of License Exception STA. Substantively, in order to determine if
an ECCN or certain items under that ECCN is excluded from the use of
License Exception STA, an exporter, reexporter, or transferor will need
to confirm that the item is not excluded under the Special Conditions
for STA section of the ECCN and that the ECCN is not otherwise excluded
from the use of License Exception STA under Sec. 740.20(b)(2).
ECCNs as a whole or certain items under an ECCN may be excluded
from License Exception STA under the Special Conditions for STA section
of an Export Control Classification Number (ECCN) or under the
exclusions under Sec. 740.20(b)(2). When License Exception STA was
originally added to the EAR, the construct was that the Special
Conditions for STA section would generally be used to exclude certain
items from License Exception STA for Country Group A:6, and the ECCNs
exclusions under Sec. 740.20(b)(2) would be used to exclude items
completely from License Exception STA for Country Groups A:5 and A:6.
However, over time as eligibility for certain ECCNs has been adjusted
for License Exception STA, BIS deviated from the general construct for
excluding ECCNs or certain items under ECCNs, and this has created
unneeded complexity. This rule proposes changes to adopt a simpler and
consistent approach for how ECCNs or certain items under ECCNs would be
excluded from License Exception STA for Country Group A:6 or for
Country Groups A:5 and A:6.
For example, in some of the Special Conditions for STA sections in
ECCNs, BIS started excluding those ECCNs or certain items under those
ECCNs completely from License Exception STA for Country Groups A:5 and
A:6 instead of relying on Sec. 740.20(b)(2), which deviates from the
original construct. In other cases, BIS used both Special Conditions
for STA sections and Sec. 740.20(b)(2) to exclude ECCNs or certain
items under those ECCNs completely from License Exception STA for
Country Groups A:5 and A:6. Each of those variants creates unneeded
complexity for exporters, reexporters, and transferors trying to
understand what ECCNs or portions of ECCNs are excluded under License
Exception STA, in particular if they are looking for a consistent
construct for how items are being excluded under License Exception STA.
If either the Special Conditions for STA section or Sec.
740.20(b)(2) excludes an item from the use of License Exception STA,
then that item is excluded. However, from a compliance perspective,
using two different methods, and in certain cases using both methods of
exclusion, creates unnecessary complexity. This rule would adopt a
consistent, single construct for how ECCNs or portions of ECCNs are
excluded from License Exception STA, which should make it easier for
exporters, reexporters, and transferors to apply this aspect of License
Exception STA.
This rule would make the following changes to Sec. 740.20(b)(2) to
improve this aspect of License Exception STA. In Sec. 740.20(b)(2)
(Limitations on the Use of License Exception STA), this rule would
revise the paragraph heading to read as ``Items excluded from the use
License Exception STA for Country Groups A:5 and A:6.'' This rule
proposes deleting all of paragraph (b)(2) ECCN exclusions and moving
those exclusions into the Special Conditions for STA section of the 29
respective ECCNs, except for existing paragraph (b)(2)(i), and existing
paragraph (b)(2)(iii), which would be redesignated as paragraph
(b)(2)(ii). This rule also proposes the removal of the redundant
paragraph (b)(2)(iv) that specified License Exception STA was not
available for items subject to the exclusive export control
jurisdiction of another U.S. Government agency. Paragraph (b)(2)(iv) is
not needed because Sec. 734.3(b)(1) of the EAR already specifies that
items subject to the exclusive export control jurisdiction of another
U.S. Government agency are not subject to the EAR. Paragraph (b)(2)
would be limited to paragraph (b)(2)(i) specifying that License
Exception STA may not be used to overcome parts 744 or 746 license
requirements and paragraph (b)(2)(ii) specifying the reasons for
control that License Exception STA may not overcome. The remaining
paragraphs are under paragraph (b)(2) would be removed and added under
the respective 29 ECCNs.
The revisions to the 29 ECCNs would consist of revising 10 of the
ECCNs (0A501, 1E001, 3E001, 6D003, 6E001, 6E002, 9D001, 9D002, 9D004,
and 9E003), which already include an exclusion for certain portions of
those ECCNs to exclude certain items under those ECCNs from License
Exception STA for purposes of Country Group A:6, to identify the
additional items under those ECCNs that are excluded from License
Exception STA for both Country Groups A:5 and A:6. This rule also
proposes revising 19 ECCNs (0A502, 0A503, 0A981, 0A982, 0A983, 0E504,
0E982, 1C353, 1C354, 1E351, 2E003, 6A002, 6D002, 6D991, 7D004, 9A001,
9B001, 9E001, 9E002), that do not include a Special Conditions for STA
section to add an exclusion for those items for License Exception STA
for purposes of Country Group A:5 and A:6. For 1E001, 2E003, 6D002,
7D004, 9B001, 9E001, and 9E002, this rule also proposes additional
restrictions for STA eligibility.
As a conforming change to these proposed revisions to paragraph
(b)(2), this rule would redesignate Note 1 to paragraphs (b)(2) and (3)
as Note 1 to paragraph (b)(3).
BIS welcomes comments on whether the changes above will make it
easier for exporters, reexporters, and transferors to use License
Exception STA. In order to turn License Exception STA into a list-based
license exception, BIS would remove all of the Special Conditions for
STA sections in the respective ECCNs and Sec. 740.20(b)(2) and then
add STA paragraphs under the License Exceptions section to each of
those respective ECCNs. The new STA paragraphs would positively
identify the ECCN or ``items'' level paragraphs under those respective
ECCNs that are eligible for License Exception STA,
[[Page 85739]]
including any applicable exclusions. This would, in certain cases, lead
to fairly long STA paragraphs, particularly when accounting for the
differences in STA eligibility between Country Groups A:5 and A:6,
which may make those provisions harder for exporters, reexporters, and
transferors to understand.
Another alternative that BIS welcomes comments on would be to
remove all of the Special Conditions or STA sections in 142 ECCNs and
Sec. 740.20(b)(2) and then add two new supplements to Sec. 740.20
with one supplement identifying items eligible for License Exception
STA for Country Group A:5 and a second supplement identifying the
smaller set of only items controlled for National Security (NS) reasons
that would be eligible for License Exception STA for Country Group A:6.
Although there could be added complexity in taking either of these
approaches, both cases would reduce the overall number of steps needed
to determine if an item was eligible for License Exception STA.
Lastly, on this aspect of the proposed rule, BIS also welcomes
comments on any other alternative approaches that the agency may not
have already described above that could be a better approach for
identifying which items are eligible for or excluded from License
Exception STA.
B. Addition of Note to Paragraph (b)(2) To Provide Additional Clarity
Between the Relationship Between Sec. 740.20(b)(2) and Special
Conditions for STA Section in ECCNs
In Sec. 740.20, this rule proposes adding a new Note to paragraph
(b)(2). This note would provide greater context on the relationship
between Sec. 740.20(b)(2) and Special Conditions for STA section in
ECCNs. The note would describe the number of Special Conditions for STA
sections and the types of items excluded under those ECCNs and clarify
how these two exclusion methods work together in defining what ECCNs or
other items under those ECCN are excluded from the use of License
Exception STA, either for Country Group A:5 and A:6 or for only Country
Group A:6.
VI. Removal of Limitation on Use of License Exception APR Under
Paragraphs (a) and (b) for Reexports Between and Among Certain
Countries To Reflect Their Close Coordination With the United States on
Export Controls
In Sec. 740.20(e) (Limitation on subsequent exports, reexports or
in country transfers), this rule proposes removing the limitation on
the use of License Exception APR (Sec. 740.16(a) or (b) of the EAR)
for commodities that have been exported, reexported, or transferred in-
country pursuant to License Exception STA for reexports between and
among destinations identified in both Country Group A:5 in supplement
no. 1 to part 740 and supplement no. 3 to part 746 of the EAR (i.e., a
destination listed in Country Group A:5 but not in supplement no. 3 to
part 746 would not eligible for using APR). These destinations have
cooperated closely with the United States on export controls, including
ensuring appropriate reexport controls were in place on Russia and
Belarus after Russia's further invasion of Ukraine. Accordingly, given
their effective dual-use export control systems and use of those
systems to advance shared national security and foreign policy
interests, BIS has determined it would be warranted to give these
destinations more permissive treatment to receive items under License
Exception APR paragraphs (a) and (b), which prior to this rule, would
have required a different EAR authorization, such as using License
Exception STA to authorize the reexport to these destinations or a BIS
license.
BIS is aware that the limitation on the use of License Exception
APR under paragraphs (a) and (b) has for certain reexporters encouraged
them to continue to prefer receiving items under BIS licenses instead
of agreeing to receive items under License Exception STA. The change
this rule would make to paragraph (e) to narrow the scope of the
License Exception APR restriction for these destinations would be
consistent with U.S. national security and foreign policy interests and
is anticipated by BIS to encourage consignees, as well as reexporters
and transferors in these destinations for reexports between and among
these destinations, to be more receptive to receiving items under
License Exception STA, in particular if they have facilities that are
located in more than one destination located in both Country Group A:5
and supplement no. 3 to part 746.
This rulemaking also proposes revisions to paragraph (e) for
clarity by revising the heading to remove the terms ``exports'' and
``in country transfer.'' The scope of paragraph (e) is a limitation on
subsequent reexports, so this rule proposes making this clarification
in the heading and in the first sentence of paragraph (e) to remove the
second references to subsequently ``exported'' and ``transferred in
country.'' Subsequently ``exported'' under License Exception APR is not
needed because License Exception APR only authorizes reexports and
transfers (in-country), so inclusion of ``exported'' is not needed and
may create confusion for exporters, reexporters, and transferors. The
inclusion of subsequently ``transferred in country'' is also not needed
in the context of this paragraph. A commodity received under License
Exception STA may be transferred (in-country) without requiring an EAR
authorization, provided there is no part 744 end-use or end user
controls applicable. See Note 1 to paragraph (a) of License Exception
STA. If the commodity or other item received under License Exception
STA is a ``600 series'' item, then the `completing the chain' concept
is applicable (as specified under Note 1 to paragraphs (b)(2) and (3)
to License Exception STA, which this rule would redesignate as Note 1
to paragraph (b)(3)), but no additional EAR authorization is required
for subsequent transfers (in-country), provided the chain is eventually
completed and there are no applicable part 744 end-use or end user
controls. Lastly, for clarity, this rule would revise the last sentence
of paragraph (e) to remove the term ``export'' and add in its place the
term ``reexport.''
VII. BIS Seeks Public Comments on Scope of ECCNs Eligible for STA
To assist BIS in assessing whether the scope of ECCNs currently
eligible for STA meets the objective of STA and U.S. national security
requirements, BIS seeks public comment on the following issues:
A. What additional items that are currently not eligible for
License Exception STA do you believe should have STA eligibility added
for Country Group A:5 or for both Country Groups A:5 and A:6?
Commenters should identify specific ECCNs and the rationale for adding
STA eligibility for Country Group A:5 or both Country Groups A:5 and
A:6.
B. What additional items that are currently eligible for License
Exception STA do you believe should have STA eligibility removed for
Country Group A:5, for Country Group A:6, or for both Country Groups
A:5 and A:6? In this rule, the USG is including proposed revisions to
the License Exception STA eligibility for items under seven ECCNs in
particular.
C. This rulemaking proposes specific regulatory revisions to
further limit STA eligibility for the following ECCNs:
1. 1E001: The current STA special condition states that License
Exception STA may not be used to ship or transmit
[[Page 85740]]
``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. The proposed revisions to the
regulatory text for 1E001 would restrict STA eligibility for 1E001
``technology'' for the ``development'' or ``production'' of items
specified in ECCNs 1A002; 1C001; 1C007.c or .d; 1C008.a.1; 1C009.b;
1C010.b, .c or .d; 1C351.a, .b, .c, .d.11, .d.12, .d.14, .d.15, or .e;
1C353; or 1C354, to any of the destinations listed in Country Group A:5
or A:6. In addition, the proposed revisions to the regulatory text for
1E001 would restrict STA eligibility for ``technology'' according to
the General Technology Note for the ``development'' or ``production''
of equipment and materials specified by ECCN 1C012 to any of the
destinations listed in Country Group A:6.
2. 2E003: The current 2E003 does not include a Special Conditions
for STA section. The proposed revisions to the regulatory text for
2E003 would add a Special Conditions for STA section to restrict STA
eligibility for ``technology'' according to the General Technology Note
for 2E003.f when used for the application of inorganic overlay coatings
on gas turbine engine combustors, or turbine blades, vanes or ``tip
shrouds,'' to any of the destinations listed in Country Group A:5 or
A:6.
Note for proposed changes to 1E001 and 2E003: As referenced
under the Section I, BIS requested public comment regarding STA
eligibility of ECCN 1E001 and 2E003.f in the October 2021 rule. BIS
received 6 public comments, and the comments were generally not
supportive of new restrictions on STA eligibility for these two
ECCNs; however, given the passage of two years and the current
rule's request for comments on STA eligibility for other ECCNs, BIS
wants to provide the public another opportunity to submit additional
comments on 1E001 and 2E003.f, including those six entities that
submitting comments previously, as well as any other interested
entities.
3. 6D002: The current STA special condition in Sec. 740.20(b)(2)
states that License Exception STA may not be used for ``software'' in
ECCN 6D002 ``specially designed'' for the ``use'' of commodities
controlled under 6A002.b, to any of the destinations listed in Country
Group A:5 or A:6. The proposed revisions to the regulatory text for
6D002 would restrict STA eligibility for software ``specially
designed'' for the ''use'' of equipment controlled by 6A008 and 6B008
to both Country Group A:5 and A:6.
4. 7D004: The current STA Special condition states that ``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
Groups A:6.'' The proposed revisions to the regulatory text in 7D004
would extend the STA eligibility restriction to Country Group A:5.
5. 9B001: The current STA Special condition states that ``License
Exception STA may not be used to ship commodities in 9B001 to any of
the destinations listed in Country Group A:6.'' The proposed revisions
to the regulatory text in 9B001 would extend the STA eligibility
restriction to Country Group A:5.
6. 9E001: The current STA Special condition states that ``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.''
The proposed revisions to the regulatory text in 9E001 would extend the
STA eligibility restriction so that STA would not be able to used to
ship or transmit any technology in 9E001 for the ``development'' of
equipment under 9B001 to destinations in Country Group A:5 or A:6.
7. 9E002: The current STA Special condition states that ``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. The
proposed revisions to the regulatory text in 9E002 would extend the STA
eligibility restriction so that STA would not be able to used to ship
or transmit any technology in 9E002 for the ``production'' of equipment
under 9B001 to destinations in Country Group A:5 or A:6.
Note: BIS requested public comment regarding STA eligibility of
ECCN 9E003.k in the interim final rule which implemented decisions
from the 2022 Wassenaar Arrangement (WA 2022 rule) (see 88 FR 71932
(October 18, 2023)); comment period for the WA22 rule closes on
December 5, 2023. The restrictions BIS proposes for the regulatory
text of the STA Special Conditions for ECCNs 6D002, 7D004, 9B001,
9E001, and 9E002 (and 9E003 in the WA 2022 rule) are included solely
to provide clarity to the public of the potential scope of such
restrictions to facilitate BIS's receipt of informed comments from
the regulated public. Such text does not indicate BIS's regulatory
intent to adopt such restrictions in final form.
Comments are welcome from the public on the STA eligibility
restrictions proposed in this rule on ECCNs 1E001, 2E003, 6D002, 7D004,
9B001, 9E001, 9E002, as well as any other ECCN. As part of these
comments, BIS welcomes information on the impact such changes would
have to existing programs and transactions.
VIII. BIS Seeks Public Comments on the Following Additional Questions
In addition to the questions described above that BIS seeks public
comments, BIS in this proposed rule also seeks comments on the
following questions:
A. What factors contribute to the apparent reluctance of certain
exporters, reexporters, and transferors to use License Exception STA or
certain consignees to receive items under License Exception STA?
B. What changes should be made to the EAR to encourage greater
usage of License Exception STA?
C. What changes or clarifications could be made to the information
required on the prior consignee statement required under Sec.
740.20(d)(2) for the ``600 series,'' 9x515 ECCNs, and other ECCNs'
prior consignee statements to facilitate increased usage of License
Exception STA?
D. What additional changes could be made to License Exception STA
to further facilitate exports, reexports, and transfers (in-country)
between and among destinations identified in both Country Group A:5 in
supplement no. 1 to part 740 and supplement no. 3 to part 746?
E. What are the anticipated effects of requiring use of License
Exception STA under the EAR when eligible, like other EAR license
exceptions?
F. Should License Exception STA be a list-based license exception?
G. What type of additional BIS outreach materials or outreach
activities could encourage greater usage of License Exception STA?
Rulemaking Requirements
1. BIS has examined the impact of this rule as required by
Executive Orders 12866, 13563, and 14094, which direct agencies to
assess all costs and benefits of available regulatory alternatives and,
if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public, health, and safety effects, distributive impacts, and equity).
This rule is considered a ``significant regulatory action'' under
section 3(f) of Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number.
[[Page 85741]]
This rule involves the following OMB-approved collections of
information subject to the PRA:
<bullet> 0694-0088, ``Multi-Purpose Application,'' which carries a
burden hour estimate of 29.4 minutes for a manual or electronic
submission;
<bullet> 0694-0096 ``Five Year Records Retention Period,'' which
carries a burden hour estimate of less than 1 minute;
<bullet> 0694-0122, ``Licensing Responsibilities and Enforcement;''
and
<bullet> 0607-0152 ``Automated Export System (AES) Program,'' which
carries a burden hour estimate of 3 minutes per electronic submission.
BIS expects the burden hours associated with these collections to
decease by 221 hours for an estimated cost decrease of $7,735, which is
within the estimated burdens and costs of these collections. Additional
information regarding these collections of information--including all
background materials--can be found at <a href="https://www.reginfo.gov/public/do/PRAMain">https://www.reginfo.gov/public/do/PRAMain</a> by using the search function to enter either the title of
the collection or the OMB Control Number.
3. This rule does not contain policies with federalism implications
as that term is defined in Executive Order 13132.
4. Pursuant to section 1762 of ECRA (50 U.S.C. 4821), this action
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553)
requirements for notice of proposed rulemaking, opportunity for public
participation, and delay in effective date. While section 1762 of ECRA
provides sufficient authority for such an exemption, this action is
also independently exempt from these APA requirements because it
involves a military or foreign affairs function of the United States (5
U.S.C. 553(a)(1)). However, in order to better inform these regulatory
changes, BIS is publishing this rule as a proposed rulemaking in order
to solicit public comments before being published in final form.
5. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule by 5 U.S.C.
553, or by any other law, the analytical requirements of the Regulatory
Flexibility Act, 5 U.S.C. 601, et seq., are not applicable.
Accordingly, no regulatory flexibility analysis is required, and none
has been prepared.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
For the reasons stated in the preamble, parts 740 and 774 of the
Export Administration Regulations (15 CFR parts 730 through 774) are
proposed to be amended as follows:
PART 740--LICENSE EXCEPTIONS
0
1. The authority citation for part 740 continues to read as follows:
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. 7201 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.
0
2. Section 740.1 is amended by adding a sentence at the end of
paragraph (a) to read as follows:
Sec. 740.1 Introduction.
* * * * *
(a) * * * Any license exception authorizing exports and reexports
of technology also authorizes deemed exports and deemed reexports,
provided the terms and conditions for a release of technology under
that license exception are met.
* * * * *
0
3. Section 740.20 is revised to read as follows:
Sec. 740.20 License Exception Strategic Trade Authorization (STA).
(a) Introduction. This section authorizes exports, reexports, and
transfers (in-country), including deemed exports and deemed reexports,
in lieu of a license that would otherwise be required pursuant to part
742 of the EAR. For purposes of the paragraph (d) requirements, only
paragraph (d)(4) is applicable for deemed exports and deemed reexports.
License Exception STA is not a list-based license exception.
Note 1 to paragraph (a): License Exception STA authorizes
transfers (in-country) but is only needed to authorize a transfer
(in-country) when an EAR authorization is required. If a transfer
(in-country) is not being made under STA, the requirements specified
in this section do not apply (see Note 1 to paragraph (b)(3) of this
section for requirements specific to staying within the scope of the
original License Exception STA authorization and the concept of
`completing the chain' for purposes of ``600 series'' items
originally authorized under License Exception STA).
(b) Requirements and Limitations--(1) Requirements for Using
License Exception STA.
(i) All of the reasons for control that impose a part 742 license
requirement on the export, reexport, or in country transfer must be
addressed in at least one authorizing paragraph of this section.
(ii) The party using License Exception STA must comply with all of
the requirements in paragraph (d) of this section.
(2) Items excluded from the use License Exception STA for Country
Groups A:5 and A:6. Items identified under paragraphs (b)(2)(i) and
(ii) are excluded from License Exception STA for Country Groups A:5 and
A:6.
(i) License Exception STA may not be used in lieu of any license
requirement imposed by ``Part 744--Control Policy: End User and End Use
Based'' or by ``Part 746--Embargoes and Other Special Controls'' of the
EAR.
(ii) License Exception STA may not be used for any item that is
controlled for reason of encryption items (EI), short supply (SS),
surreptitious listening (SL), missile technology (MT) or chemical
weapons (CW);
Note 2 to paragraph (b)(2): In addition to the STA exclusions
identified under paragraph (b)(2), 157 ECCNs on the CCL include
Special Conditions for STA, which are used to exclude entire ECCNs
or parts of ECCNs from the use of License Exception STA for
destinations in Country Group A:6 or Country Group A:5 and A:6. If
an item is excluded under the Special Conditions section of an ECCN
or paragraph (b)(2) of this section, the item may not be exported,
reexported, or transferred (in-country) under License Exception STA
for that Country Group(s).
(3) Limitations on the Use of STA that are Specific to ``600
series'' Items. (i) License Exception STA may not be used for any ``600
series'' items identified in the relevant ECCN as not being eligible
for STA.
(ii) License Exception STA may be used to export, reexport, and
transfer (in-country) ``600 series'' items to persons, whether non-
governmental or governmental, if they are in and, for natural persons,
nationals of a country listed in Country Group A:5 (See supplement no.
1 to part 740 of the EAR) or the United States and if:
(A) The ultimate end user for such items is the armed forces,
police, paramilitary, law enforcement, customs, correctional, fire, or
a search and rescue agency of a government of one of the countries
listed in Country Group A:5, or the United States Government;
(B) For the ``development,'' ``production,'' operation,
installation, maintenance, repair, overhaul, or refurbishing of an item
in one of the countries listed in Country Group A:5 or the United
States that will be for one, or more, of the following purposes:
(1) Ultimately to be used by any such government agencies in one of
the
[[Page 85742]]
countries listed in Country Group A:5 or the United States Government;
or
(2) Sent to a person in the United States and not for subsequent
export under Sec. 740.9(b)(1) (License Exception TMP for items moving
in transit through the United States); or
(C) The United States Government has otherwise authorized the
ultimate end use, the license or other authorization is in effect, and
the consignee verifies in writing that such authorization exists and
has provided the license or other approval identifier to the exporter,
reexporter, or transferor (as applicable).
(iii) License Exception STA may not be used to export, reexport, or
transfer (in-country) end items described in ECCN 0A606.a, ECCN
8A609.a, ECCN 8A620.a or .b, or ECCN 9A610.a until after BIS has
approved their export under STA under the procedures set out in Sec.
740.20(g).
(iv) License Exception STA may not be used to export, reexport, or
transfer (in-country) ``600 series'' items if they are ``600 Series
Major Defense Equipment'' and the value of such items in the contract
requiring their export exceeds $25,000,000.
Note 3 to paragraph (b)(3): Any export, reexport, or transfer
(in-country) originally authorized under License Exception STA must
stay within the scope of the original authorization. For example,
for ``600 series'' items authorized under License Exception STA,
such items must be provided to an eligible ultimate end user, such
as a Country Group A:5 military, to stay in compliance with the
original authorization. This requirement for the ``600 series'' is
referred to as `completing the chain,' meaning regardless of how
many times the ``600 series'' item is transferred (in-country) or
whether the ``600 series'' item is incorporated into higher level
assemblies or other items, the ``600 series'' item must ultimately
be provided to an eligible ultimate end user, or be otherwise
authorized under the EAR. This applies regardless of whether the
``600 series'' item has been incorporated into a foreign-made item
that may no longer be ``subject to the EAR.'' Because the other
items eligible for authorization under License Exception STA (9x515
and other non-600 series ECCNs) do not include the ``600 series''
requirements specific to ultimate end user, this `completing the
chain' concept does not apply to 9x515 and other non-600 series
ECCNs authorized under License Exception STA. However, the original
export, reexport, or transfer (in-country) made under License
Exception STA for 9x515 and other non-600 series ECCNs still must
comply with the original authorization--meaning the terms and
conditions of License Exception STA.
(c) Authorizing paragraphs--(1) Multiple reasons for control.
Exports, reexports, and transfers (in-country) in which the only
applicable reason(s) for control is (are) national security (NS);
chemical or biological weapons (CB); nuclear nonproliferation (NP);
regional stability (RS); crime control (CC), and/or significant items
(SI) are authorized for destinations in or nationals of Country Group
A:5 (See supplement no.1 to part 740 of the EAR).
Note 4 to paragraph (c)(1). License Exception STA under Sec.
740.20(c)(1) may be used to authorize the export, reexport, or
transfer (in-country) of ``600 series'' items only if the purchaser,
intermediate consignee, ultimate consignee, and end user have
previously been approved on a license or other approval, i.e.,
Directorate of Defense Trade Controls (DDTC) Manufacturing License
Agreement (MLA), Technical Assistance Agreement (TAA), Warehouse
Distribution Agreement (WDA), or General Correspondence approval
(GC) issued by BIS or DDTC at the U.S. Department of State. Note to
paragraph (c)(1) is not applicable to deemed exports or deemed
reexports authorized under License Exception STA. BIS encourages as
a good compliance practice for entities using License Exception STA
to authorize deemed exports and deemed reexports to have measures in
place to vet the foreign national, such as employment screening and
the use of non-disclosure agreements. In addition, any deemed export
or deemed reexport authorized under License Exception STA will need
to comply with the requirements of paragraph (d)(4) of this section.
(2) Controls of lesser sensitivity. Exports, reexports, and
transfers (in-country) in which the only applicable reason for control
is national security (NS) and the item being exported, reexported, or
transferred (in-country) is not designated in the STA paragraph in the
License Exception section of the ECCN that lists the item are
authorized for destinations in or nationals of Country Group A:6 (See
supplement no. 1 to this part).
(d) Conditions--(1) Requirement to furnish Export Control
Classification Number. (i) The exporter must furnish to the consignee
the ECCN of each item to be exported pursuant to this section. Once
furnished to a particular consignee, the ECCN that applies to any item
need not be refurnished to that consignee at the time the same exporter
makes an additional export of the same item, if the information remains
accurate at the time of the additional export.
(ii) A reexporter or transferor must furnish to subsequent
consignees the ECCN, provided by the exporter or a prior reexporter or
transferor, of each item to be reexported or transferred (in-country)
pursuant to this section. Once furnished to a particular consignee, the
ECCN that applies to any item need not be refurnished to that consignee
at the time the same reexporter or transferor makes an additional
reexport or transfer (in-country) of the same item, if the information
remains accurate at the time of the additional reexport or transfer
(in-country).
(iii) For purposes of determining reexport or transfer eligibility
under this section, the consignee may rely on the ECCN provided to it
by the party required to furnish the ECCN under paragraph (d)(1)(i) or
(ii) of this section unless the consignee knows that the ECCN is
incorrect or has changed. The word ``knows'' has the same meaning as
the term ``knowledge'' in Sec. 772.1 of the EAR.
(2) Prior Consignee Statement. The requirements in this paragraph
(d)(2) apply to each party using License Exception STA to export,
reexport, or transfer (in-country), including reexporters and
transferors of items previously received under License Exception STA.
The exporter, reexporter, or transferor must obtain the following
statement in writing from its consignee(s) prior to exporting,
reexporting, or transferring (in-country) the item and must retain the
statement in accordance with part 762 of the EAR. One statement may be
used for multiple exports, reexports, or transfers (in-country) of the
same items between the same parties so long as the party names, the
description(s) of the item(s) and the ECCNs are correct. The exporter,
reexporter, or transferor must maintain a log or other record (such as
documents created in the ordinary course of business) that identifies
each shipment made pursuant to this section and the specific consignee
statement that is associated with each shipment. For purposes of this
paragraph (d)(2), a log or other record is not required for intangible
(i.e., electronic or in an otherwise intangible form) exports,
reexports, or transfers (in-country) made under License Exception STA,
but an exporter, reexporter, or transferor is required, prior to making
any export, reexport, or transfer (in-country), to ensure that a prior
consignee statement has been obtained pursuant to the requirements of
this paragraph (d)(2). (See Note 1 to paragraph (d)(3) of this section
for additional guidance on intangible exports, reexports, and transfers
(in-country), including best practices). Paragraphs (d)(2)(i) through
(vi) of this section are required for all transactions. In addition,
paragraph (d)(2)(vii) is required for all transactions in ``600
series'' items and paragraph (viii) of this section is required for
transactions in ``600 series'' items if the consignee is not the
government of a country listed in Country Group A:5 (See supplement no.
1 to part 740 of the EAR). Paragraph (d)(2)(viii) is also
[[Page 85743]]
required for transactions including 9x515 items.
[INSERT NAME(S) OF CONSIGNEE(S)]:
(i) Is aware that [INSERT GENERAL DESCRIPTION AND APPLICABLE
ECCN(S) OF ITEMS TO BE SHIPPED (e.g., aircraft parts and components
classified under ECCN 9A610)] will be shipped pursuant to License
Exception Strategic Trade Authorization (STA) in Sec. 740.20 of the
United States Export Administration Regulations (15 CFR 740.20);
(ii) Has been informed of the ECCN(s) noted above by [INSERT NAME
OF EXPORTER, REEXPORTER OR TRANSFEROR];
(iii) Understands that items shipped pursuant to License Exception
STA may not subsequently be reexported pursuant to paragraphs (a) or
(b) of License Exception APR (15 CFR 740.16(a) or (b));
(iv) Agrees to obtain a prior consignee statement when using
License Exception STA for any reexport or transfer (in-country) of
items previously received under License Exception STA;
(v) Agrees not to export, reexport, or transfer these items to any
destination, use or user prohibited by the United States' Export
Administration Regulations;
(vi) Agrees to provide copies of this document and all other
export, reexport, or transfer records (i.e., the documents described in
15 CFR part 762) relevant to the items referenced in this statement to
the U.S. Government as set forth in 15 CFR 762.7;
(vii) Understands that License Exception STA may be used to export,
reexport, and transfer (in-country) ``600 series'' items to persons,
whether non-governmental or governmental, only if they are in and, for
natural persons, nationals of a country listed in Country Group A:5
(See supplement no. 1 to part 740 of the EAR) or the United States and
if:
(A) The ultimate end user for such items is the armed forces,
police, paramilitary, law enforcement, customs, correctional, fire, or
a search and rescue agency of a government of one of the countries
listed in Country Group A:5 or the United States Government;
(B) For the ``development,'' ``production,'' operation,
installation, maintenance, repair, overhaul, or refurbishing of an item
in one of the countries listed in Country Group A:5 or the United
States that will be for one, or more, of the following purposes:
(1) Ultimately to be used by any such government agencies in one of
the countries listed in Country Group A:5 or the United States
Government; or
(2) Sent to a person in the United States and not for subsequent
export under Sec. 740.9(b)(1) (License Exception TMP for items moving
in transit through the United States); or
(C) The United States Government has otherwise authorized the
ultimate end use, the license or other authorization is in effect, and
the consignee verifies in writing that such authorization exists and
has provided the license or other approval identifier to the exporter,
reexporter or transferor (as applicable).
(viii) Agrees to permit a U.S. Government end-use check with
respect to the items.
[INSERT NAME(S) AND TITLE(S) OF PERSON(S) SIGNING THS DOCUMENT, AND
DATE(S) DOCUMENT IS SIGNED].
Note 5 to paragraph (d)(2): When multiple consignees who form a
network engaged in a production process (or other type of
collaborative activity, such as joint development) will be receiving
items under License Exception STA, a single prior consignee
statement for multiple consignees may be used for any item eligible
for export, reexport, or transfer (in-country) under License
Exception STA, provided all of the applicable requirements of
License Exception STA are met, including those specified in
paragraph (d)(2).
Note 6 to paragraph (d)(2): Country Group A:5 and A:6 government
consignees are not required to sign or provide a prior consignee
statement.
(3) Notification to consignee of STA shipment. With each shipment
under License Exception STA, the exporter (or reexporter or transferor
as applicable), must notify the consignee in writing that the shipment
is made pursuant to License Exception STA. The notice must either
specify which items are subject to License Exception STA or state that
the entire shipment is made pursuant to License Exception STA. The
notice must clearly identify the shipment to which it applies. The
written notice may be conveyed by paper documents or by electronic
methods such as facsimile or email.
Note 7 to paragraph (d)(3): While the exporter, reexporter, and
transferor must furnish the applicable ECCN and obtain a consignee
statement prior to export, reexport or transfer (in-country) made
under License Exception STA in accordance with the requirements of
paragraphs (d)(1) and (d)(2) of this section, intangible (i.e.,
electronic or in an otherwise intangible form) exports, reexports,
and transfers (in-country) made under License Exception STA are not
subject to the notification requirements of paragraph (d)(3) of this
section. However, any export, reexport, or transfer (in-country)
made under STA must stay within the scope of the original
authorization.
(4) Requirements for releases of software source code or technology
within a single country. Instead of the requirement of paragraphs
(d)(1) through (d)(3) of this section, the party releasing software
source code or technology to a national of a country listed in Country
Group A:5 or A:6 (See supplement no. 1 to this part) must notify the
recipient of the software source code or technology of the restrictions
upon further release of the software source code or technology. The
notification must either expressly inform the recipient that the EAR
impose limits on further disclosure or must be in the form of an
agreement in which the recipient agrees to limits on further
disclosure. Any such agreement must impose limits that are equivalent
to or more restrictive than all limits on further disclosure that are
imposed by the EAR. The notification must be in writing and a copy of
it must be retained by the party making the release and the recipient
of the release. The notification may be in a separate document or
included in a document such as a contract or a nondisclosure agreement.
If the document has an expiration date, it must provide that the
restrictions on disclosure do not expire.
(e) Limitation on subsequent reexports. If a commodity has been
exported, reexported or transferred in-country pursuant to this
section, it may not be subsequently reexported pursuant to paragraphs
(a) or (b) of License Exception APR (Sec. 740.16(a) or (b) of the
EAR), except for reexports between and among destinations identified in
both Country Group A:5 in supplement no. 1 to this part and supplement
no. 3 to part 746 of the EAR. Paragraphs (a) and (b) of License
Exception APR do not authorize reexports of software or technology.
(f) Applicability of Wassenaar Arrangement reporting requirements.
See Sec. 743.1 of the EAR for special reporting requirements that
apply to some exports made pursuant to this section.
(g) License Exception STA eligibility requests for 9x515 and ``600
series'' items--(1) Applicability. Any person may request License
Exception STA eligibility for end items described in ECCN 0A606.a, ECCN
8A609.a, ECCNs 8A620.a or .b, ``spacecraft'' in ECCNs 9A515.a.1, .a.2,
.a.3, or .a.4, ``sub-orbital craft,'' or items in 9A515.g, 9A610.a, or
technology ECCNs 9E515.b, .d, .e, or .f.
(2) Required information and manner of requests. Requests for
License Exception STA eligibility must be made via the BIS Simplified
Network Application Process-Redesign (SNAP-R) system unless BIS
authorizes
[[Page 85744]]
submission via the paper BIS-748-P Multipurpose Application form. For
situations in which BIS 748-P submissions may be authorized, see Sec.
748.1(d)(1). For required information specific to License Exception STA
eligibility requests, see supplement no. 1 to part 748, Blocks 5 and 6
and supplement no. 2 to part 748, paragraph (w). In SNAP-R the work
type for these applications is ``Export.''
(3) Timeline for USG review. The Departments of Commerce, Defense
and State will review License Exception STA eligibility requests in
accordance with the timelines set forth in Executive Order 12981 and
Sec. 750.4. If the License Exception STA request is approved, the
process outlined in paragraph (g)(5)(i) of this section is followed.
(4) Review criteria. The Departments of Commerce, Defense and State
will determine whether the ``end item'' is eligible for this license
exception based on an assessment of whether it provides a critical
military or intelligence advantage to the United States or is otherwise
available in countries that are not regime partners or close allies. If
the ``end item'' does not provide a critical military or intelligence
advantage to the United States or is otherwise available in countries
that are not regime partners or close allies, the Departments will
determine that License Exception STA is available unless an overarching
foreign policy rationale for restricting STA availability can be
articulated. Consensus among the Departments is required in order for
an ``end item'' to be eligible for License Exception STA. Such
determinations are made by the departments' representatives to the
Advisory Committee on Export Policy (ACEP), or their designees.
(5) Disposition of License Exception STA eligibility requests --(i)
Approvals. If the request for STA eligibility is approved, the
applicant will receive notification from BIS authorizing the use of the
additional License Exception STA for the specific end items requested.
This will be in the form of a notice generated by SNAP-R to the
applicant. Applicants who receive an approval notification may share it
with companies affiliated with them, such as a branch or distributor,
and may also take steps to make it public (e.g., on their website) if
the applicants so wish. In addition, BIS will add a description of the
approved end item in the relevant ECCN and in an online table posted on
the BIS website, which removes the restriction on the use of License
Exception STA for the end item identified in the approved request. BIS
will publish, as needed, a final rule adding this license exception
eligibility to the EAR for that ECCN entry or end item.
(ii) Denials. If the STA eligibility request is not approved, the
applicant will receive written notification from BIS. This will be in
the form of a notice generated by SNAP-R to the applicant. Applicants
may re-submit STA eligibility requests at any time.
PART 774--THE COMMERCE CONTROL LIST
0
4. The authority citation for part 774 continues to read as follows:
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.
0
5. Supplement No. 1 to part 774 is amended by revising ECCNs 0A501,
0A502, 0A503, 0A981, 0A982, 0A983, 0E504, 0E982, 1C353, 1C354, 1E001,
1E351, 2E003, 3E001, 6A002, 6D002, 6D003, 6D991, 6E001, 6E002, 7D004,
9B001, 9D001, 9D002, 9D004, 9E001, 9E002, and 9E003, to read as
follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
0A501 Firearms (except 0A502 shotguns) and related commodities as
follows (see List of Items controlled).
License Requirements
Reason for Control: NS, RS, FC, UN, AT
Country chart (see supp.
Control(s) No. 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
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: License Exception STA may not be used for ECCN 0A501.a, .b, .c,
.d, or .e, to any of the destinations listed in Country Group A:5 or
A:6 (See supplement no.1 to part 740 of the EAR). License Exception
STA may not be used for 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) Firearms that are fully automatic, and
magazines with a capacity of greater than 50 rounds, are ``subject
to the ITAR.'' (2) See ECCN 0A502 for shotguns and their ``parts''
and ``components'' that are subject to the EAR. Also see ECCN 0A502
for shot-pistols. (3) See ECCN 0A504 and USML Category XII for
controls on optical sighting devices.
Related Definitions: N/A
Items:
a. Non-automatic and 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).
Technical Note to 0A501.a: Firearms described in 0A501.a
includes 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 USML Category I (unless listed in USML Category
I(g) or (h)): 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.
Note 2 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 3 to 0A501.e: Frames (receivers) under 0A501.e refers to
any ``part'' or ``component'' of the firearm that has or is
[[Page 85745]]
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 27 CFR parts 447, 478, and 479,) as a firearm.
f. through w. [Reserved]
x. ``Parts'' and ``components'' that are ``specially designed''
for a commodity classified under paragraphs .a through .c of this
entry or the USML and not elsewhere specified on the USML or CCL.
y. Specific ``parts,'' ``components,'' ``accessories'' and
``attachments'' ``specially designed'' for a commodity subject to
control in this ECCN 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: The controls on ``parts'' and
``components'' in ECCN 0A501 include those ``parts'' and
``components'' that 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 4 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.
Note 5 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 ``subject to the ITAR'' nor
controlled as shotguns under ECCN 0A502 are EAR99 commodities.
Note 6 to 0A501: Scope mounts or accessory rails, iron sights,
sling swivels, and butt plates or recoil pads are designated as
EAR99. These commodities have been determined to no longer warrant
being ``specially designed'' for purposes of ECCN 0A501.
Note 7 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 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 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.
License Requirements
Reason for Control: RS, CC, FC, 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 shotguns with a barrel CC Column 1
length less than 24 in. (60.96 cm) and
shotgun ``components'' controlled by this
entry regardless of end user.
CC applies to shotguns with a barrel CC Column 2
length greater than or equal to 24 in.
(60.96 cm), regardless of end user.
CC applies to shotguns with a barrel CC Column 3
length greater than or equal to 24 in.
(60.96 cm) if for sale or resale to
police or law enforcement.
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
Special Conditions for STA
License Exception STA may not be used to ship any Shotguns with
barrel length less than 18 inches controlled in 0A502, 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: Shotguns that are fully automatic are ``subject to
the ITAR.''
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: Shot pistols or shotguns that have had the
shoulder stock removed and a pistol grip attached are controlled by
ECCN 0A502. 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
Special Conditions for STA
License Exception STA may not be used to ship any items in 0A503, 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: 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.
[[Page 85746]]
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
* * * * *
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
Special Conditions for STA
License Exception STA may not be used to ship any items in 0A981, 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. 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
Special Conditions for STA
License Exception STA may not be used to ship any items in 0A982, 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: 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
Special Conditions for STA
License Exception STA may not be used to ship any items in 0A983, 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.
Note to ECCN 0A983. In this ECCN, ``torture'' has the meaning
set forth in Section 2340(1) of Title 18, United States Code.
* * * * *
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, UN, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to entire entry................ RS Column 1
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
Special Conditions for STA
License Exception STA may not be used to ship or transmit any
``technology'' in 0E504, 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.
* * * * *
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
Special Conditions for STA
License Exception STA may not be used to ship or transmit any
``technology'' in 0E982, 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.
* * * * *
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. No.
Control(s) 1 to part 738)
CB applies to entire entry................ CB Column 1
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,
[[Page 85747]]
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
Special Conditions for STA
License Exception STA may not be used to ship any items in ECCN
1C353, 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) 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 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 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 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. No.
Control(s) 1 to part 738)
CB applies to entire entry................ CB Column 1
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
Special Conditions for STA
License Exception STA may not be used to ship any items in ECCN
1C354, 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) 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
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.
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,
[[Page 85748]]
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.
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, 1C353, or 1C354.
CB applies to ``technology'' for materials CB Column 2
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
License Exception STA may not be used to ship or transmit ECCN 1E001
``technology'' for the ``development'' or ``production'' of items
specified in ECCNs 1A002; 1C001; 1C007.c or .d; 1C008.a.1; 1C009.b;
1C010.b, .c or .d; 1C351.a, .b, .c, .d.11, .d.12, .d.14, .d.15, or
.e; 1C353; or 1C354, to any of the destinations listed in Country
Group A:5 or 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 equipment and materials
specified by ECCN 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.
* * * * *
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. No.
Control(s) 1 to part 738)
CB applies to ``technology'' for items CB Column 1
controlled by 1C351, 1C353, or 1C354.
CB applies to ``technology'' for the CB Column 2
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
License Exception STA may not be used to ship or transmit
``technology,'' as specified in ECCN 1E351, 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.
* * * * *
2E003 Other ``technology'', 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 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
Special Conditions for STA
License Exception STA may not be used to ship or transmit any
``technology'' according to the General Technology Note for 2E003.f
when used for the application of inorganic overlay coatings on gas
turbine engine combustors, or turbine blades, vanes or ``tip
shrouds,'' 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 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
[[Page 85749]]
rocket nozzles and reentry vehicle nose tips.
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.
N.B. This table should be read to control the technology of a
particular 'Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
'Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) 'coating process' control the ``technology'' for a particular
application of 'silicides' to 'Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of 'silicides' to 'Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing 'Cemented tungsten
carbide (16), Silicon carbide (18)'.
* * * * *
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of commodities controlled by
3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991
or 3B992) or 3C (except 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, 3B002, 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 China and Macau (See Sec.
commodities controlled by 3A090 or 3B090 742.6(a)(6))
or ``software'' specified by 3D001 (for
3A090 or 3B090 commodities).
RS applies to ``technology'' for Worldwide (See Sec.
commodities controlled in 3A090, when 742.6(a)(6))
exported from China or Macau.
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; and (d)
discrete microwave transistors in 3A001.b.3.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology,'' as specified in ECCN 3E001 for the ``production'' or
``development'' of commodities controlled by 3A001.b.2 or b.3, to
any of the destinations listed in Country Group A:5 or 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
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).
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 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, having all of the
following:
(a) Using ``technology'' at or above 0.130 [mu]; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to 'Process Design Kits' ('PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001.
Technical Note: 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').
* * * * *
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. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
[[Page 85750]]
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.
$3,000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and
.f.
GBS: N/A
Special Conditions for STA
License Exception STA may not be used to ship any items in ECCN
6A002, 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 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 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 purpose 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: '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-25)
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: 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:
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
[[Page 85751]]
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: 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
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: '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: 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'.
* * * * *
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.
[[Page 85752]]
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.
Special Conditions for STA
License Exception STA may not be used to ship or transmit any
software under 6D002, 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) ``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. No.
Control(s) 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 any
software in ECCN 6D003.c, to any of the destinations listed in
Country Group A:5 or A:6 (See supplement no.1 to part 740 of the
EAR). 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:
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: `Average side lobe level' in 6D003.h.2.b 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.
* * * * *
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
Special Conditions for STA
License Exception STA may not be used to ship or transmit any
``software'' in ECCN 6D991 ``specially designed'' for the
``development,'' ``production,'' or ``use'' of commodities
controlled under 6A002 or 6A003, 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 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
[[Page 85753]]
Items: The list of items controlled is contained in the ECCN
heading.
* * * * *
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 ECCN 6E001 for the ``development'' of commodities
controlled under ECCNs 6A002 or 6A003, to any of the destinations
listed in Country Group A:5 or A:6 (See supplement no.1 to part 740
of the EAR). 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) 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
[[Page 85754]]
``specially designed'' for real time applications.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
``technology'' in ECCN 6E002 for the ``production'' of commodities
controlled under ECCNs 6A002 or 6A003, to any of the destinations
listed in Country Group A:5 or 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 ``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.
* * * * *
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. 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'' in 7D004.a to .d and .g to any of the destinations
listed in Country Groups A:5 and 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.
* * * * *
9B001 Manufacturing equipment, tooling or fixtures, as follows
(See List of Items Controlled).
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to equipment for engines MT column 1
controlled under 9A001 for MT reasons and
for engines controlled under 9A101.
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 MT
GBS: Yes, except N/A for MT
Special Conditions for STA
STA: License Exception STA may not be used to ship commodities in
9B001 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 ``specially designed'' production equipment of
systems, sub-systems, ``parts'' and ``components'' controlled by
9A005 to 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to
9A119 usable in ``missiles'' see 9B115. See also 9B991.
Related Definitions: N/A
Items:
a. Directional solidification or single crystal casting
equipment designed for ``superalloys'';
b. Casting tooling, ``specially designed'' for manufacturing gas
turbine engine blades, vanes or ``tip shrouds'', manufactured from
refractory metals or ceramics, as follows:
b.1. Cores;
b.2. Shells (moulds);
b.3. Combined core and shell (mould) units;
c. Directional-solidification or single-crystal additive-
manufacturing equipment designed for ``superalloys''.
* * * * *
9D001 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``development'' of equipment or
``technology'' controlled by ECCN 9A001 to 9A004, 9A012, 9A101
(except for items in 9A101.b that are ``subject to the ITAR'', see
22 CFR part 121), 9A106.d. or .e, 9A110, or 9A120, 9B (except for
ECCNs 9B604, 9B610, 9B619, 9B990, and 9B991), or ECCN 9E003.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010, and technology controlled
by 9E003.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT 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: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
software controlled by ECCN 9D001 that is (1)(a) ``software'' that
is ``specially designed'' or modified for the ``development'' or
``production'' of components of engines controlled by ECCN 9A001 if
such components incorporate any of the ``technologies'' controlled
by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power
turbines), ; or (b) equipment controlled by 9B001, or (2)
``specially designed'' or modified for the ``development'' of
``technology'' controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3,
9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than
technology for fan or power turbines).to any of the destinations
listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740
of the EAR). License Exception STA may not be used to ship or
transmit ``software'' ``specially designed'' or modified for the
``development'' of equipment or
[[Page 85755]]
``technology'', specified by ECCNs 9B001.b. or 9E003.a.1, 9E003.a.2
to a.5, 9E003.a.8, or 9E003.hto 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: ``Software'' that is ``required'' for the
``development'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
9D002 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``production'' of equipment
controlled by ECCN 9A001 to 9A004, 9A012, 9A101 (except for items in
9A101.b that are ``subject to the ITAR'', see 22 CFR part 121),
9A106.d or .e, 9A110, or 9A120, 9B (except for ECCNs 9B604, 9B610,
9B619, 9B990, and 9B991).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT 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: N/A
Special Conditions for STA
STA: License Exception STA may not be used for 9D002 software that
is ``specially designed'' or modified for the ``production'' of
components of engines controlled by ECCN 9A001 if such components
incorporate any of the ``technologies'' controlled by 9E003.a.1,
9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h or
9E003.i (other than technology for fan or power turbines); or
equipment controlled by 9B001.
License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``production'' of equipment specified by 9B001.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: ``Software'' that is ``required'' for the
``production'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
* * * * *
9D004 Other ``software'' 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 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 any
software controlled by ECCN 9D004.f or .g, to any of the
destinations listed in Country Group A:5 or A:6 (See supplement no.1
to part 740 of the EAR). License Exception STA may not be used to
ship or transmit software in 9D004.a and 9D004.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: See also 9D104.
Related Definitions: N/A
Items:
a. 2D or 3D viscous ``software'', validated with wind tunnel or
flight test data required for detailed engine flow modelling;
b. ``Software'' for testing aero gas turbine engines,
assemblies, ``parts'' or ``components'', having all of the
following:
b.1. ``Specially designed'' for testing any of the following:
b.1.a. Aero gas turbine engines, assemblies or components,
incorporating ``technology'' specified by 9E003.a, 9E003.h or
9E003.i; or
b.1.b. Multi-stage compressors providing either bypass or core
flow, specially designed for aero gas turbine engines incorporating
``technology'' specified by 9E003.a or 9E003.h; and
b.2. ``Specially designed'' for all of the following:
b.2.a. Acquisition and processing of data, in real time; and
b.2.b. Feedback control of the test article or test conditions
(e.g., temperature, pressure, flow rate) while the test is in
progress;
Note: 9D004.b does not specify software for operation of the
test facility or operator safety (e.g., overspeed shutdown, fire
detection and suppression), or production, repair or maintenance
acceptance-testing limited to determining if the item has been
properly assembled or repaired.
c. ``Software'' ``specially designed'' to control directional
solidification or single crystal material growth in equipment
specified by 9B001.a or 9B001.c;
d. [Reserved]
e. ``Software'' ``specially designed'' or modified for the
operation of items specified by 9A012;
f. ``Software'' ``specially designed'' to design the internal
cooling passages of aero gas turbine engine blades, vanes and ``tip
shrouds'';
g. ``Software'' having all of the following:
g.1. ``Specially designed'' to predict aero thermal,
aeromechanical and combustion conditions in aero gas turbine
engines; and
g.2. Theoretical modeling predictions of the aero thermal,
aeromechanical and combustion conditions, which have been validated
with actual turbine engine (experimental or production) performance
data.
* * * * *
9E001 ``Technology'' according to the General Technology Note
for the ``development'' of equipment or ``software'', controlled by
9A004, 9A012, 9B (except for ECCNs 9B604, 9B610, 9B619, 9B990 and
9B991), or ECCN 9D001 to 9D004, 9D101, or 9D104.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 9A004, 9A012, 9B001 to
9B010, 9D001 to 9D004 for NS reasons.
MT applies to ``technology'' for items MT Column 1
controlled by 9A012, 9B001, 9B002, 9B003,
9B004, 9B005, 9B007, 9B104, 9B105, 9B106,
9B115, 9B116, 9B117, 9D001, 9D002, 9D003,
or 9D004 for MT 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: N/A
[[Page 85756]]
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any''
technology'' in this entry for the ``development'' of equipment
under 9B001, to any of the destinations listed in Country Group A:5
or A:6 (See supplement no. 1 to part 740 of the EAR).
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 9E101 and 1E002.f (for controls on
``technology'' for the repair of controlled structures, laminates or
materials). (2) ``Technology'' required for the ``development'' of
equipment described in ECCNs 9A005 to 9A011 or ``software''
described in ECCNs 9D103 and 9D105 is ``subject to the ITAR.''
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
9E002 ``Technology'' according to the General Technology Note
for the ``production'' of ``equipment'' controlled by ECCN 9A004 or
9B (except for ECCNs 9B117, 9B604, 9B610, 9B619, 9B990, and 9B991).
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 ``technology'' for equipment MT Column 1
controlled by 9B001, 9B002, 9B003, 9B004,
9B005, 9B007, 9B104, 9B105, 9B106, 9B115
or 9B116 for MT 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: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
``technology'' in this entry for the ``production'' of equipment
under 9B001, to any of the destinations listed in Country Group A:5
or A:6 (See supplement no.1 to part 740 of the EAR).
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 9E102. (2) See also 1E002.f for
``technology'' for the repair of controlled structures, laminates or
materials. (3) ``Technology'' that is required for the
``production'' of equipment described in ECCNs 9A005 to 9A011 is
``subject to the ITAR.''
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .l. for additional information
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'' controlled by ECCN 9E003.a.1 to a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power
turbines), to any of the destinations listed in Country Group A:5 or
A:6 (See supplement no.1 to part 740 of the EAR).
License Exception STA may not be used to ship or transmit any
technology in 9E003.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) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application to a
commercial program in requesting an export license from the
Department of Commerce in respect to a specific export, or in the
case of use for broad categories of ``aircraft,'' engines, ``parts''
or ``components,'' a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts,''
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
Directionally Solidified (DS) or Single Crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture
life testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883 K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883 K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
a.2.e. Utilizing `pressure gain combustion';
Technical Note: For the purposes of 9E003.a.2.e, in `pressure
gain combustion' the bulk average stagnation pressure at the
combustor outlet is greater than the bulk average stagnation
pressure at the combustor inlet due primarily to the combustion
process, when the engine is running in a ``steady state mode'' of
operation.
Note: The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. For the purposes of 9E003.a.2.a, `thermally decoupled liners'
are liners that feature at least a support structure designed to
carry mechanical loads and a combustion facing structure designed to
protect the support structure from the heat of combustion. The
combustion facing structure and support structure have independent
thermal displacement (mechanical displacement due to thermal load)
with respect to one another, i.e., they are thermally decoupled.
2. For the purposes of 9E003.a.2.d, `combustor exit temperature'
is the bulk average gas path total (stagnation) temperature between
the combustor exit plane and the leading edge of the turbine inlet
guide vane (i.e., measured at engine station T40 as defined in SAE
ARP 755A) when the engine is running in a ``steady state mode'' of
operation at the certificated maximum continuous operating
temperature.
N.B.: See 9E003.c for ``technology'' ``required'' for manufacturing
cooling holes.
a.3. ``Parts'' or ``components,'' that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials
designed to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of
the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by
1C010; or
[[Page 85757]]
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007;
or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts', that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note: For the purposes of 9E003.a.3.c, a `splitter
duct' performs the initial separation of the air-mass flow between
the bypass and core sections of the engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed
to operate at a ``gas path temperature'' of 1,373 K (1,100 [deg]C)
or more;
a.5. Cooled turbine blades, vanes or ``tip shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note: For the purposes of 9E003.a.5, ``gas path
temperature'' is the bulk average gas path total (stagnation)
temperature at the leading-edge plane of the turbine component when
the engine is running in a ``steady state mode'' of operation at the
certificated or specified maximum continuous operating temperature.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. [Reserved]
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by
1C002.b; or
Technical Note: For the purposes of 9E003.a.8, ``damage
tolerant'' ``parts'' and ``components'' are designed using
methodology and substantiation to predict and limit crack growth.
a.9. [Reserved]
N.B.: For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry, see 9E003.i.
a.11. `Fan blades' having all of the following:
a.11.a. 20% or more of the total volume being one or more closed
cavities containing vacuum or gas only; and
a.11.b. One or more closed cavities having a volume of 5 cm\3\
or larger;
Technical Note: For the purposes of 9E003.a.11, a `fan blade' is
the aerofoil portion of the rotating stage or stages, which provide
both compressor and bypass flow in a gas turbine engine.
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or prop-fans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes,
in gas turbine engine ``parts'' or ``components'' incorporating any
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2, or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum ``cross-sectional area'' less than 0.45 mm\2\;
c.1.b. ``Hole shape ratio'' greater than 4.52; and
c.1.c. ``Incidence angle'' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum ``cross-sectional area'' less than 0.12 mm\2\;
c.2.b. ``Hole shape ratio'' greater than 5.65; and
c.2.c. ``Incidence angle'' more than 25[deg];
Note: 9E003.c does not apply to ``technology'' for manufacturing
constant radius cylindrical holes that are straight through and
enter and exit on the external surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the ``cross-sectional area'' is
the area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, ``hole shape ratio'' is the
nominal length of the axis of the hole divided by the square root of
its minimum `cross-sectional area'.
3. For the purposes of 9E003.c, ``incidence angle'' is the acute
angle measured between the plane tangential to the airfoil surface
and the hole axis at the point where the hole axis enters the
airfoil surface.
4. For the purposes of 9E003.c, methods for manufacturing holes
include ``laser'' beam machining, water jet machining, Electro-
Chemical Machining (ECM) or Electrical Discharge Machining (EDM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note: For the purposes of 9E003.e.1, ``box volume'' is
the product of three perpendicular dimensions measured in the
following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a. Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the ``development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note: For the purposes of 9E003.g, ``high output
diesel engines'' are diesel engines with a specified brake mean
effective pressure of 1.8 MPa or more at a speed of 2,300 r.p.m.,
provided the rated speed is 2,300 r.p.m. or more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew
rate);
h.2. ``Development'' or ``production'' ``technology'' for
control and diagnostic ``parts'' or ``components'' unique to the
``FADEC system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technology related to engine-
``aircraft'' integration required by civil aviation authorities of
one or more Wassenaar Arrangement Participating States (See
Supplement No. 1 to part 743 of the EAR) to be published for general
airline use e.g., installation manuals, operating instructions,
instructions for continued airworthiness) or interface
[[Page 85758]]
functions e.g., input/output processing, airframe thrust or shaft
power demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain
engine stability;
i.2. ``Development'' or ``production'' ``technology'' for
``parts'' or ``components'' unique to the adjustable flow path
system and that maintain engine stability;
i.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the adjustable flow
path system and that maintain engine stability;
Note: 9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.: For ``technology'' ``required'' for the ``development'' of
wing-folding systems designed for fixed-wing ``aircraft'' specified
in USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'', not specified in 9E003.a, 9E003.h, or
9E003.i, ``required'' for the ``development'' of any of the
following components or systems, ``specially designed'' for aero gas
turbine engines to enable ``aircraft'' to cruise at Mach 1 or
greater for more than 30 minutes:
k.1. Propulsion inlet systems;
k.2. Propulsion exhaust systems;
k.3. `Reheat systems';
k.4. `Active thermal management systems' to condition fluids
used to lubricate or cool `engine rotor supports';
k.5. Oil-free `engine rotor supports'; or
k.6. Systems to remove heat from `compression system' core gas
path flow.
Technical Notes: For the purposes of 9E003.k:
1. Propulsion inlet systems include core flow pre-coolers.
2. `Reheat systems' provide additional thrust by combusting fuel
in exhaust and/or bypass flow downstream of the last turbomachinery
stage. `Reheat systems' are also referred to as afterburners.
3. `Active thermal management systems' employ methods other than
passive oil-to-air cooling or oil-to-fuel cooling, such as vapor
cycle systems.
4. `Compression system' is any stage or combination of stages
between the engine inlet face and the combustor that increases gas
path pressure through mechanical work.
5. An `engine rotor support' is the bearing supporting the main
engine shaft that drives the compression system or turbine rotors.
N.B. 1. See 9E003.h for engine control technology.
N.B. 2. See 9E003.i for adjustable flow path systems technology.
l. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions
List.
* * * * *
Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2023-26681 Filed 12-7-23; 8:45 am]
BILLING CODE 3510-33-P
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</html>Indexed from Federal Register on December 8, 2023.
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