U.S. DEPARTMENT OF COMMERCE

BUREAU OF INDUSTRY AND SECURITY

OFFICE OF EXPORTER SERVICES

Introduction To Commerce Department

Export Controls

1

Overview

The Department of Commerce’s Bureau of Industry and Security (BIS) is responsible 

for implementing and enforcing the Export Administration Regulations (EAR), 

which regulate the export and reexport of most commercial items. We often refer 

to the items that BIS regulates as “dual-use” – items that have both commercial and 

military or proliferation applications – but purely commercial items without an 

obvious military use are also subject to the EAR.

The EAR do not control all goods, services, and technologies. Other U.S. 

government agencies regulate more specialized exports. For example, the U.S. 

Department of State has authority over defense articles and defense services. A list 

of other agencies involved in export controls can be found at www.bis.doc.gov or 

in Supplement No. 3 to Part 730 of the EAR which is available on the Government 

Printing Office website at www.gpo.gov/bis.

This publication is designed to give people who are new to exporting, and, in 

particular, new to export controls, a general understanding of our regulations and 

how to use them. However, nothing provided here can substitute for consulting 

the EAR. The EAR include answers to frequently asked questions, detailed step-bystep instructions for determining if a transaction is subject to the regulations, how 

to request a commodity classification or advisory opinion, and how to apply for a 

license. In using the EAR, you may want to first look at Part 732 for the steps you 

follow to determine your obligations.

The EAR contain provisions relating to matters not discussed 

in this short overview. Two examples of important concepts 

not discussed here are controls on the activities of U.S. persons in support 

of proliferation programs (see EAR §744.6) and the antiboycott provisions 

contained in EAR §760.
2

What Is an Export?

Any item that is sent from the United States to a foreign destination is an export. 

“Items” include commodities, software or technology, such as clothing, building 

materials, circuit boards, automotive parts, blue prints, design plans, retail software 

packages and technical information.

How an item is transported outside of the United States does not matter in 

determining export license requirements. For example, an item can be sent by 

regular mail or hand-carried on an airplane. A set of schematics can be sent via 

facsimile to a foreign destination, software can be uploaded to or downloaded from 

an Internet site, or technology can be transmitted via e-mail or during a telephone 

conversation. Regardless of the method used for the transfer, the transaction is 

considered an export. An item is also considered an export even if it is leaving the 

United States temporarily, if it is leaving the United States but is not for sale (e.g., a 

gift), or if it is going to a wholly-owned U.S. subsidiary in a foreign country. Even 

a foreign-origin item exported from the United States, transmitted or transshipped 

through the United States, or being returned from the United States to its foreign 

country of origin is considered an export. Finally, release of technology or source 

code subject to the EAR to a foreign national in the United States is “deemed” to be 

an export to the home country of the foreign national under the EAR.

How to Determine If You Need

a Commerce Export License

A relatively small percentage of total U.S. exports and reexports require a 

license from BIS. License requirements are dependent upon an item’s technical 

characteristics, the destination, the end-user, and the end-use. You, as the exporter, 

must determine whether your export requires a license. When making that 

determination consider:

1. What are you exporting?

2. Where are you exporting?

3. Who will receive your item?

4. What will your item be used for?
3

What are You Exporting?

The Export Control Classification Number and the 

Commerce Control List

A key in determining whether an export license is needed from the Department of 

Commerce is knowing whether the item you intend to export has a specific Export 

Control Classification Number (ECCN). The ECCN is an alpha-numeric code, e.g., 

3A001, that describes the item and indicates licensing requirements. All ECCNs 

are listed in the Commerce Control List (CCL) (Supplement No. 1 to Part 774 of 

the EAR) which is available on the Government Printing Office website www.gpo.

doc/bis. The CCL is divided into ten broad categories, and each category is further 

subdivided into five product groups.

Commerce Control List Categories

0 = Nuclear materials, facilities, and equipment (and miscellaneous items)

1 = Materials, Chemicals, Microorganisms and Toxins

2 = Materials Processing

3 = Electronics

4 = Computers

5 = Telecommunications and Information Security

6 = Sensors and Lasers

7 = Navigation and Avionics

8 = Marine

9 = Aerospace and Propulsion

Five Product Groups

A. Systems, Equipment and Components

B. Test, Inspection and 

Production Equipment

C. Material

D. Software

E. Technology
4

Classifying Your Item 

The proper classification of your item is essential to determining any licensing 

requirements under the Export Administration Regulations (EAR). You may classify 

the item on your own, check with the manufacturer, or submit a classification 

request to have BIS determine the ECCN for you.

When reviewing the CCL to determine if your item is specified by an ECCN, you 

will first need to determine in which of the ten broad categories of the Commerce 

Control List your item is included and then consider the applicable product group.

Example

Assume that you have polygraph equipment that is used to help law enforcement 

agencies. What would be your ECCN? Start by looking in the Commerce 

Control List under the category of electronics (Category 3) and product group 

which covers equipment (Product Group A). Then read through the list to find 

whether your item is included in the list. In this example the item is 3A981 as 

shown below.

3A981 Polygraphs (except biomedical recorders designed for use in medical 

facilities for monitoring biological and neurophysical responses); fingerprint 

analyzers, cameras and equipment, n.e.s.; automated fingerprint and 

identification retrieval systems, n.e.s.; psychological stress analysis equipment; 

electronic monitoring restraint devices; and specially designed parts and 

accessories, n.e.s.

License Requirements

Reason for Control: CC

Control(s) Country Chart

CC applies to entire entry CC Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

The list of items controlled is contained in the ECCN heading.
5

If Your Item is Not on the Commerce Control List – EAR99

If your item falls under U.S. Department of Commerce jurisdiction and is not 

listed on the CCL, it is designated as EAR99. EAR99 items generally consist of 

low-technology consumer goods and do not require a license in many situations. 

However, if you plan to export an EAR99 item to an embargoed country, to an enduser of concern or in support of a prohibited end-use, you may be required to obtain 

a license.

EAR99 Items subject to the EAR that are not elsewhere controlled by this 

CCL Category or in any other category in the CCL are designated by the 

number EAR99.

Where are You Exporting?

Exports to embargoed countries and those designated as supporting terrorist activities 

such as Cuba, Iran, North Korea, Northen Sudan, and Syria are more restricted. 

However, restrictions vary from country to country.

How to cross-reference the ECCN with the Commerce Country Chart

Once you have classified the item, the next step is to determine whether you need 

an export license based on the “reasons for control” and the country of ultimate 

destination. You begin this process by comparing the ECCN with the Commerce 

Country Chart (Supplement No. 1 to Part 738).

Below the main heading for each ECCN entry, you will find “Reason for Control” 

(e.g., NS for National Security, AT for Anti-Terrorism, CC for Crime Control, etc.). 

Below this, you will find the “Country Chart” designator which shows the specific 

export control code(s) for your item (e.g., NS Column 2, AT Column 1, CC Column 

1, etc.). These control codes for your ECCN must be cross-referenced against the 

Commerce Country Chart.
6

If there is an “X” in the box based on the reason(s) for control of your item and the 

country of destination, a license is required, unless a License Exception is available. 

Part 742 of the EAR sets forth the license requirements and licensing policy for most 

reasons for control.

Example

Question: You have polygraph equipment classified as 3A981 

for export to Honduras. Would you be required to obtain 

an export license from the Department of Commerce before 

selling and shipping it to your purchaser?

Answer: Yes. 3A981 is controlled for Crime Control (CC) 

reasons under CC Column 1 and the Country Chart shows 

that such items require a license for Honduras.

If there is no “X” in the control code column(s) specified under your ECCN and 

country of destination, you will not need an export license unless you are exporting 

to an end-user or end-use of concern.

Example

Question: You have polygraph equipment classified as 

3A981 for export to Iceland. Would you be required to 

obtain an export license from the Department of Commerce 

before selling and shipping it to your purchaser?

Answer: No. 3A981 is controlled for Crime Control (CC) 

reasons under CC Column 1 and the Country Chart shows 

that such items do not require a license for Iceland unless 

you are exporting to an end-user or end-use of concern.

Although a relatively small percentage of all U.S. exports and reexports require a 

BIS license, virtually all exports and many reexports to embargoed destinations and 

countries designated as supporting terrorist activities require a license. Part 746 of 

the EAR describes embargoed destinations and refers to certain additional controls 

imposed by the Office of Foreign Assets Control of the Treasury Department.
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Who will receive your item?

Certain individuals and organizations are prohibited from receiving U.S. exports 

and others may only receive goods if they have been licensed, even items that do not 

normally require a license based on the ECCN and Commerce Country Chart or 

based on an EAR99 designation. You must be aware of the following lists:

Entity List – EAR Part 744, Supplement 4 – A list of parties whose presence in 

a transaction can trigger a license requirement under the Export Administration 

Regulations. The list specifies the license requirements that apply to each listed party. 

These license requirements are in addition to any license requirements imposed on 

the transaction by other provisions of the Export Administration Regulations.

Treasury Department Specially Designated Nationals and Blocked Persons List –

A list maintained by the Department of Treasury’s Office of Foreign Assets Control 

which administers and enforces economic and trade sanctions against targeted 

foreign countries, terrorism sponsoring organizations, and international narcotics 

traffickers. 

The Unverified List is composed of firms for which BIS was unable to complete an 

end-use check. Firms on the unverified list present a “red flag” that exporters have a 

duty to inquire about before making an export to them.

Denied Persons – A list of those firms and individuals whose export privileges 

have been denied is available on this website. You may not participate in an export 

or reexport transaction subject to the EAR with a person whose export privileges 

have been denied by the BIS. Note that some denied persons are located within 

the United States. If you believe a person whose export privileges have been denied 

wants to buy your product, you must not make the sale and report the situation to 

BIS’s Office of Export Enforcement. If you have questions about Denied Persons, 

you may contact BIS’s Office of Enforcement Analysis at (202) 482-4255.

What will your item be used for?

Some end-uses are prohibited, while others may require a license. For example, you 

may not export to certain parties involved in the proliferation of weapons of mass 

destruction (e.g., nuclear, biological, chemical) and the missiles to deliver them, 

without specific authorization, no matter what your item is. For more information 

on prohibited end-uses, please refer to Part 744 of the EAR.
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WAYS TO EXPORT

Authorization to export is determined by the transaction: what the item is, where 

it is going, who will receive it, and what it will be used for. The majority of U.S. 

commercial exports do not require a license.

NLR – (“No License Required”)

Most exports from the United States do not require a license, and may be 

exported under the designation “NLR.” Except in those relatively few 

transactions, when a license is required because the destination is under 

embargo or because of a proliferation end-use or end-user, no license is 

required when:

1. The item to be shipped is not on the CCL (i.e., it’s EAR99); or

2. The item is on the CCL but there is no “X” in the box on the 

Country Chart under the appropriate reason for control column 

on the row for the country of destination. (See the country chart 

example above.)

In each of these situations, you would enter “NLR” on your export documents.

License Exception

If a license is required for your transaction, a license exception may be 

available. License Exceptions, and the conditions on their use, are set forth 

in Part 740 of the EAR. If your export is eligible for a license exception, you 

would use the designation of that license exception (e.g., LVS, GBS, TMP) on 

your export documents.

License

If your item requires a license to be exported, you must apply to BIS for 

an export license. If your application is approved, you will receive a license 

number and expiration date to use on your export documents. A BIS-issued 

license is usually valid for 24 months. 
9

WHERE TO GET ASSISTANCE

A good starting point for information on export licensing requirements and the 

regulations is to attend one of our export control seminars. A list of upcoming 

seminars is posted on the BIS website at www.bis.doc.gov.

For counseling assistance, you may call one of our export counselors at 202-482-4811 

(Washington, DC), 949-660-0144 (Western Regional Office), or 408-998-8806 

(Northen California). You may also register to receive email notifications of 

upcoming seminars. 

SUMMARY OF STEPS TO TAKE

 TO PROCESS YOUR EXPORT

•	 Ensure that your export is under U.S. Department of Commerce jurisdiction.

•	 Classify your item by reviewing the Commerce Control List.

•	 If your item is classified by an Export Control Classification Number (ECCN),

identify the Reasons for Control on the Commerce Control List.

•	 Cross-reference the ECCN Controls against the Commerce Country Chart to

see if a license is required. If yes, determine if a License Exception is available 

before applying for a license.

•	 Ensure that no prohibited end-users or end-uses are involved with your export

transaction. If prohibited end-users or end-uses are involved, determine if you 

can proceed with the transaction or must apply for a license.

•	 Export your item using EAR99 or the correct ECCN and the appropriate

symbol (e.g., NLR, license exception, or license number and expiration date) 

on your export documentation (e.g., Automated Export System (AES) record).
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APPLYING FOR AN EXPORT LICENSE

If an export license is required, you may submit an export license application via 

the on-line Simplified Network Application Process Redesign (SNAP-R). Visit the 

SNAP-R section of the BIS website for more information on signing up to be a 

SNAP-R user.

In the SNAP-R system, exporters may prepare a commodity classification request 

or application for export or reexport. Requirements for submitting a license 

application are detailed in Part 748 of the EAR. Exporters must be certain to follow 

the instructions on the applicaion carefully. In most cases, technical brochures and 

support documentation must also be included.

There are limited circumstances in which an exporter may submit an original paper 

form BIS-748P.

EXPORT LICENSE APPLICATION PROCESSING

Our agency conducts a complete analysis of the license application along with all 

documentation submitted in support of the application. We review the item, its 

destination, its end-use, and consider the reliability of each party to the transaction. 

In addition to our review, applications are often sent for interagency review by the 

Departments of State, Energy, and/or Defense. For information consult Parts 742 

and 750 of the EAR.

You may check for the status of your pending export / re-export license applications, 

classification requests, and AGR notifications by visiting our System for Tracking 

Export License Applications (STELA) at https://snapr.bis.doc.gov/stela using your 

assigned application control number (ACN).
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EXPORTER’s RESPONSIBILITY

Exporters should review BIS’s “Know Your Customer Guidance and Red Flags” 

guidance which can be found in Supplement No. 3 to Part 732 of the EAR. These 

help you identify and avoid situations that might violate the EAR.

If you are issued an export license, or you rely on a license exception described in 

Part 740 of the EAR, you are responsible for the proper use of that license or license 

exception and for the performance of all of its terms and conditions.

If you export an item without either a license or a license exception, you are 

responsible for determining that the transaction is either outside the scope of the 

EAR or that the export is properly designated as “No License Required” (NLR).

Both the Foreign Trade Regulations of the Census Bureau (15 CFR Part 30) and the 

Export Administration Regulations require that exporters use the Automated Export 

System (AES) to file the Electronic Export Information (EEI) to be submitted to the 

U.S. Government for many export shipments. There are exceptions to this rule, but 

if you are required to submit an AES record, you must prepare it in accordance with 

the rules of the Foreign Trade Regulations (FTR). For more information about the 

FTR, AES, or the EEI, visit the Census Bureau website at www.census.gov. Also see 

Part 758 of the EAR for BIS export clearance requirements.

Remember, records on exports must be retained for five years from date of export, 

reexport or certain later activities. For additional information on record keeping see 

Part 762 of the EAR.

In addition, especially for transactions involving the Middle East, you may receive 

a request to comply with the boycott of Israel. If you comply with one of these 

requests, or do not report them to BIS, you will likely violate U.S. law. Contact the 

Office of Antiboycott Compliance at (202) 482-2381 for guidance.
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Office of Exporter Services (OExS)

Outreach and Educational Services Division

Room 1099D

14th St. & Pennsylvania Ave., NW

Washington, DC 20230

Office: (202) 482-4811

Fax: (202) 482-2927

OExS Western Regional Office

3300 Irvine Avenue

Suite 345

Newport Beach, CA 92660

Office: (949) 660-0144

Fax: (949) 660-9347

160 W. Santa Clara Street

Suite 725

San Jose, CA 95113

Office: (408) 998-8806

Fax: (408) 998-8677

Revised August 2010