INTRODUCTION TO

U.S. Export Controls for the

Commercial Space Industry

2nd Edition – November 2017

Department of 

Commerce

Federal Aviation

Administration
This publication was prepared by the U.S. Department of 

Commerce’s Office of Space Commerce and the Federal 

Aviation Administration’s Office of Commercial Space 

Transportation. For additional information, questions, or 

comments, please visit our websites:

www.space.commerce.gov

ast.faa.gov

IMAGE CREDITS

Cover: Spaceflight Industries, Inc.

Page 2: Blue Origin

Page 12: NASA/Orbital ATK

Page 32: Mobilus In Mobili

Page 50: Planet

Page 58: SSL

Page 62: Spire
PURPOSE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

SECTION 1: BACKGROUND. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.1 Export Control 101. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.1.1 Definitions: Exports, Deemed Exports, and Re-exports. . . . . . . . . . . . . . . . . . 4

1.1.2 The Reasons for Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.1.3 Regulations and Responsible Departments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

1.1.4 Multilateral Commitments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1.2 What’s Changed Under Export Control Reform. . . . . . . . . . . . . . . . . . . . . . . . . . 8

1.2.1 Satellite Export Control Reform. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

1.2.2 Major Process Changes under Export Control Reform. . . . . . . . . . . . . . . . . . . 9

SECTION 2: UNDERSTANDING THE CONTROL LISTS 

AND HOW THEY WORK. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.1.1 Positive Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.1.2 The Order of Review: First ITAR, Then EAR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.1.3 Catch-All Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.1.4 Catch and Release. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.1.5 Specially Designed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.1.6 Space-Qualified. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

2.1.7 Carve-Outs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

2.2 The United States Munitions List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

2.2.1 USML Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

2.2.2 USML Categories IV and XV. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

2.2.3 Special Controls on the USML. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

2.2.4 Integration Rule and Hosted Payloads. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

2.2.5 Launch-Related Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

2.3 The Commerce Control List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

2.3.1 CCL Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

2.3.2 CCL Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

2.3.3 ECCN 600 Series. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.3.4 ECCN 500 Series (9x515). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.3.5 ECCN 9A004. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

2.3.6 Use of the New Paragraphs .x and .y in the CCL. . . . . . . . . . . . . . . . . . . . . . . . 29

2.3.7 Hosted Payloads Subject to EAR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

2.4 EAR99. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Table of Contents
SECTION 3: HOW TO APPLY FOR A LICENSE OR USE A 

LICENSE EXCEPTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

3.1 Perform Self-Assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

3.1.1 Follow the Order of Review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

3.1.2 Use the BIS Order of Review Decision Tree. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

3.1.3 De Minimis Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

3.1.4 Special Considerations for Launch Vehicles. . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

3.2 How to Export EAR99 Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

3.3 How to File EAR STA or Other License Exceptions. . . . . . . . . . . . . . . . . . . . . . . . 39

3.4 How to Apply for an EAR License When Required. . . . . . . . . . . . . . . . . . . . . . . 41

3.5 How to Apply for an ITAR License or Agreement When Required. . . . . . . . . . 42

3.5.1 Register with State DDTC if needed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

3.5.2 For Defense Articles: Access DTrade System to Submit 

 License Application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

3.5.3 Timeline for ITAR License Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

3.5.4 For Defense Services: Obtain Approval for Technical Assistance 

 Agreements or Other Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

3.5.5 Application Process for Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

3.5.6 Timeline for Approval of Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

3.6 How to Apply for a Dual License (ITAR and EAR). . . . . . . . . . . . . . . . . . . . . . . . 47

SECTION 4: ENSURING COMPLIANCE AFTER 

EXPORT AUTHORIZATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

4.1 Compliance for EAR99 Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

4.2 Compliance for Items Exported under License 

Exceptions (e.g., STA). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

4.3 Compliance for EAR Licensed Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

4.4 Elements of an Effective EAR Export Management and 

Compliance Program (EMCP). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

4.5 Compliance for ITAR Licensed Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

SECTION 5: HELPFUL HINTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

5.1 What to Do if You Need Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

5.2 Understand the Language and Agencies Involved. . . . . . . . . . . . . . . . . . . . . 60

5.3 Plan Sufficient Resources and Time for the Process. . . . . . . . . . . . . . . . . . . . 60

5.4 Avoid Delays in the Application Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

5.5 Train Your Staff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

APPENDICES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

Appendix A: Useful Contact Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Appendix B: Case Study – Hosted Payload Funded by DOD. . . . . . . . . . . . . . . . 66

Appendix C: Acronyms and Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
1

This guidebook provides basic information to help commercial space 

organizations, especially emerging entrepreneurial firms, considering business in the international market. It is intended to serve as 

a starting point in the preparation for the export control process. This is an 

update to the 2008 edition and reflects changes due to the Export Control 

Reform initiative.

Because most space technologies are subject to export controls, it is your 

responsibility to be aware of the steps necessary to ensure that your operations are lawful. While this guidebook gives an overview of the general responsibilities and procedures, it cannot replace a full understanding of export 

regulations or discussions with regulatory bodies and legal counsel prior to 

any technology or information export. Please consult with the Department of 

State and Department of Commerce to ensure that your organization has the 

most recent information. 

In particular, please note that export control regulations are subject to ongoing revision. Be sure to compare any regulatory text quoted in this publication 

with the latest official online version.

Purpose

The U.S. Department of State 

is the final authority on 

International Traffic and 

Arms Regulations (ITAR).

The U.S. Department of 

Commerce is the final authority on Export Administration 

Regulations (EAR).

www.pmddtc.state.gov www.bis.doc.gov
1

SECTION
S E C T I O N O N E | 3

BACKGROUND
4 | B A C K G R O U N D

1.1 Export Control 101

1.1.1 DEFINITIONS: EXPORTS, DEEMED EXPORTS, AND RE-EXPORTS

An export is defined as: (1) an actual shipment or transmission out of the 

United States; (2) releasing or otherwise transferring technical data to a foreign person in the United States (a “deemed export”); (3) transferring registration, control, or ownership of any aircraft, vessel, or satellite by a U.S. person 

to a foreign person; (4) releasing or otherwise transferring a defense article 

to an embassy in the United States; or (5) performing a defense service on 

behalf of, or for the benefit of, a foreign person, whether in the United States 

or abroad.1

 A launch vehicle or payload shall not, by reason of the launching 

of such vehicle, be considered an export2,3

.

A re-export is the shipment or transmission of exported items from one foreign country to another, the deemed export of technical data within a foreign 

country, or the transfer of registration, control, or ownership of an exported 

aircraft, vessel, or satellite between foreign persons.4,5

1.1.2 THE REASONS FOR CONTROLS

The U.S. export control system is designed to prevent the spread of sensitive 

technologies to foreign actors that could threaten U.S. interests, while at the 

same time allowing U.S. companies to engage in legitimate commercial activity. Controlled technologies include defense articles (e.g., missiles), defense 

services (e.g., integration of a spacecraft onto a launcher), and dual use items 

(e.g., commercial spacecraft and components). 

A U.S. company must seek and receive authorization from the U.S. government prior to exporting controlled technologies. Depending on the sensitivity of the item or service, the authorization may be in the form of a license, 

agreement, or license exception.

The deemed export rule requires companies to also seek and receive authorization from the U.S. government before releasing controlled technology 

1 22 CFR § 120.17 and 15 CFR § 734.13 2 22 CFR § 120.17 3 15 CFR § 734.18 4 22 CFR § 120.19 5 15 CFR § 734.14
S E C T I O N O N E | 5

or technical data to foreign persons within the United States. The deemed 

export rule exempts a person with permanent residence status, U.S. citizenship, and/or granted status as “protected individual”.6

Since exported technologies may be re-exported or diverted from commercial buyers to hostile actors, most U.S. export controls are based on an item 

or service’s inherent technical capabilities, not on its intended end use. For 

example, all launch vehicles are subject to restrictive export controls even if 

designed to serve purely commercial markets. 

1.1.3 REGULATIONS AND RESPONSIBLE DEPARTMENTS

The U.S. export control process involves two sets of regulations and two lead 

departments. 

The International Traffic in Arms Regulations (ITAR) process has been 

developed under the jurisdiction of the Department of State and is administered by the Directorate of Defense Trade Controls (DDTC). The ITAR process controls items, information, or activities that could be used for threatening foreign military purposes, whether actual products (defense articles) or 

assistance (defense services). These products and services are detailed in the 

ITAR under the United States Munitions List (USML) and can be found at 

www.pmddtc.state.gov/regulations_laws/itar.html.

The Export Administration Regulations (EAR) process controls items and 

technologies considered to be “dual use”, meaning applicable to commercial 

or military use. These items are detailed in the EAR under the Commerce Control List (CCL). The Commerce Department’s Bureau of Industry and Security (BIS) administers the EAR process.

Complete information about the CCL can be found at:

www.bis.doc.gov/regulations/export-administration-regulations-ear.

6 8 U.S.C. § 1324b(a)(3)

The vast majority of commercial spacecraft and components fall under 

the jurisdiction of the EAR.
UNITED STATES

MUNITIONS LIST (USML)

COMMERCE CONTROL

LIST (CCL)

U.S. CONGRESS

AUTHORIZES...

TO ADMINISTER...

WHICH COVERS ITEMS ON THE...

ARMS EXPORT

CONTROL ACT

EXPORT

ADMINISTRATION ACT

DEPARTMENT

OF STATE

DEPARTMENT OF 

COMMERCE

INTERNATIONAL TRAFFIC

IN ARMS REGULATIONS (ITAR)

EXPORT ADMINISTRATION

REGULATIONS (EAR)

6 | B A C K G R O U N D

Figure 1: Authorization Hierarchy for U.S. Export Controls
S E C T I O N O N E | 7

1.1.4 MULTILATERAL COMMITMENTS

The United States aligns its export control regulations with several major 

multilateral control regimes to which it is committed. Of particular interest 

to commercial space companies are the Missile Technology Control Regime 

(MTCR), which controls items needed for missile development, production, 

and operation, and the Wassenaar Arrangement (WA), charged with promoting transparency and greater responsibility in transfers of conventional arms 

and dual use goods and technologies to prevent destabilizing accumulations. 

Additional information on MTCR and WA, including a list of member states, 

can be found at www.mtcr.info and www.wassenaar.org, respectively. 
8 | B A C K G R O U N D

What’s Changed Under Export 

Control Reform

1.2.1 SATELLITE EXPORT CONTROL REFORM

The National Defense Authorization Act for Fiscal Year 2013 authorized the 

removal of satellites and related items from the USML. As a result, the Department of State revised the ITAR and USML Category XV (Spacecraft and Related 

Articles) in rules that became effective in November 2014.7,8

 The Commerce 

Department made parallel revisions to the EAR and CCL.9,10 The Category 

XV revision was one element of a broader Export Control Reform initiative 

begun in 2009 to place “higher walls” around a smaller set of “crown jewels” 

and unleash U.S. exports of products and services outside the walls. The government now focuses its oversight on the most critical national security priorities while enabling U.S. businesses to improve their competitiveness in key 

defense and technology sectors. 

The Category XV update represented a sea change for the space industry, 

ending a 15-year period during which nearly all U.S. satellites and components were controlled as defense articles under ITAR. Prior to satellite export 

control reform, Category XV was a short list of very broad controls with little 

or no performance criteria to distinguish capabilities. This meant that anything from a complete space system to every nut, bolt, and screw used on 

that system was ITAR controlled. Today, both the USML and the CCL provide 

greater clarity on what is controlled, removing many items from stricter ITAR 

controls and making it easier for you to understand and comply with export 

regulations. 

The USML now functions as a “positive control list” describing the few items 

and services remaining under ITAR, with the rest falling to EAR. Satellite export 

control reform reversed the ITAR “see through rule”11 (see Section 2.2.4) and 

rationalized most controls based on technical criteria. With so many space7 79 FR 27180 (May 13, 2014) 8 79 FR 66608 (November 10, 2014) 9 79 FR 27417 (May 13, 2014) 10 79 FR 67055 (May 13, 2014) 11 Prior to 2014, if a satellite contained any part or component controlled under the ITAR, the 

entire satellite was subject to the ITAR. Today, satellites subject to the EAR generally remain under 

the EAR even if they contain ITAR-controlled components.

1.2
S E C T I O N O N E | 9

related items and services removed from ITAR control, U.S. exporters now face 

a lighter burden in terms of licensing and compliance. 

1.2.2 MAJOR PROCESS CHANGES UNDER EXPORT CONTROL REFORM

The revised export control regulations now allow companies to export and 

re-export items and components to designated foreign allies without any 

licensing for the vast majority of their export activities. Most items on the CCL 

are eligible for several license exceptions, including a Strategic Trade Authorization (STA), that allows the unlicensed export, re-export, and in-country transfer of products to 36 U.S. allies. Eight other countries are eligible to 

receive certain items under STA, provided all terms of the license exceptions 

have been met. Complete information about STA exceptions can be found in 

15 CFR § 740.20.

With USML Category XV now serving as a positive control list, the former practice of requesting a Commodity Jurisdiction (CJ) determination (of whether a 

space-related item is covered by ITAR or EAR) is now largely unnecessary. The 

Departments of State and Commerce continue to conduct regular reviews of 

USML Category XV in consultation with industry to identify additional items 

that should be moved to EAR jurisdiction. 

Satellite export control reform has created a less restrictive environment for 

foreign nationals working on U.S. space projects.12 Previously, foreign nation12 22 CFR § 120.16

Items and services transferred from the USML to the CCL include 

(but are not limited to):

• Communication satellites that do not contain classified 

components;

• Remote sensing satellites with certain performance parameters;

• Any spacecraft parts, components, accessories, attachments, equipment, or systems that are not specifically identified in the USML; and

• Most radiation-hardened microelectronic circuits.
10 | B A C K G R O U N D

als required an ITAR license or agreement to work on any element of a satellite that contained ITAR controlled parts. Today, an organization can maintain 

appropriate controls on ITAR-controlled parts while allowing foreign nationals to work on the rest of the spacecraft, if it is controlled by the EAR. If the 

entire satellite is subject to the EAR, foreign national cooperation is even easier, especially if the foreign national is from an STA eligible country. 

As of the date of this publication, the 36 allied countries eligible for 

License Exception STA are: Argentina, Australia, Austria, Belgium, 

Bulgaria, Canada, Croatia, Czech Republic, Denmark, Estonia, Finland, 

France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Latvia, 

Lithuania, Luxembourg, Netherlands, New Zealand, Norway, Poland, 

Portugal, Romania, Slovakia, Slovenia, South Korea, Spain, Sweden, 

Switzerland, Turkey, the United Kingdom. Licensing Exception STA also 

contains limited exceptions for the following countries: Albania, Hong 

Kong, India, Israel, Malta, Singapore, South Africa, and Taiwan.
S E C T I O N O N E | 11
2

SECTION
S E C T I O N T W O | 13

UNDERSTANDING THE

CONTROL LISTS AND

HOW THEY WORK
14 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

Overview

The purpose of this section is to familiarize you with the regulatory framework 

established by the satellite export control reform, including the revised U.S. 

Munitions List, the revised Commerce Control List, and the “Order of Review” 

that describes how to use the lists. You will need a proper understanding of 

the overarching framework and the two control lists before proceeding to 

Section 3 (How to Apply for a License or Use a License Exception).

2.1.1 POSITIVE CONTROLS

Under satellite export control reform, the USML and CCL function with “positive” controls. This means the lists contain paragraphs of “control text” providing specific descriptions of the items and services they control. An item 

or service that matches the control text of a given paragraph is considered 

“captured” by that paragraph and by the list in which the paragraph appears. 

Conversely, an item that does not meet all of the specified criteria in a paragraph of control text is not captured by that paragraph. Positive control text 

generally does not state what it doesn’t capture. The USML does include notes 

clarifying what isn’t captured by certain paragraphs, but the notes are not 

considered control text.

As an example, USML Category XV(a)(2) describes spacecraft that “autonomously detect and track moving ground, airborne, missile, or space objects 

other than celestial bodies, in real-time using imaging, infrared, radar, or laser 

systems.” A commercial satellite that tracks ships via their Automated Information System (AIS) transmissions, but does not use imaging, infrared, radar, or 

laser systems, would not be captured by this paragraph.

2.1.2 THE ORDER OF REVIEW: FIRST ITAR, THEN EAR

The relationship between the USML and the CCL is established by the “Order 

of Review,” a step-by-step process used to determine which export regulations apply to an item or service. The Order of Review starts with the most 

sensitive technologies, which are subject to the strictest export controls, and 

proceeds through progressively lower levels of sensitivity and control. 

 The USML includes this guidance on the Order of Review: “In order to classify 

an item on the USML, begin with a review of the general characteristics of 

2.1
POSITIVE CONTROL LIST

 E.g.: Missiles, antisatellite spacecraft

POSITIVE CONTROL LIST

 E.g.: Commercial comsat

POSITIVE CONTROL LIST

 E.g.: ISS cargo module

CATCH-ALL CONTROL

 E.g.: Power cords, adapters

CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

CATCH-ALL & POSITIVE CONTROLS

E.g.: Specially designed parts for 

spacecraft, light cable assemblies

S E C T I O N T W O | 15

Figure 2: Export Controls on Space Related Items
16 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

the item. This should guide you to the appropriate category, whereupon you 

should attempt to match the particular characteristics and functions of the 

article to a specific entry within that category.... articles not controlled on the 

USML may be subject to another U.S. government regulatory agency.”13 For 

space systems, USML Category XV provides further guidance on the Order 

of Review; Paragraphs XV(a), XV(b), and XV(e) end with notes stating that 

any spacecraft, ground control system, or spacecraft part not described by 

the USML automatically falls to EAR control. The EAR includes an appendix 

providing step-by-step instructions for following the Order of Review within 

the CCL.14

Figure 2 shows the overall concept behind the Order of Review. At the top is 

the USML, which lists the most critical space technologies. Below that is the 

CCL, which captures other space technologies. At the bottom is a loosely controlled category known as “EAR99” that applies to the least sensitive exports. 

The pyramid shape is meant to convey that the USML lists only a few space 

related items and services, while the CCL controls the majority of them, and 

many others are simply EAR99. 

Following the Order of Review means starting at the top of the pyramid and 

working your way down until an item or service is captured. If an item or 

service is not fully described in one tier of control, then you proceed to the 

next tier until it is captured. Once you know which tier it falls under, then you 

know which controls apply to the export – e.g., ITAR licensing, EAR licensing, 

or license exceptions.

The overview above describes the Order of Review at the broadest level. 

Within each control list, there are finer levels of detail to the Order of Review. 

For each category (e.g., USML Category XV), a review must start at the first 

paragraph of control text and proceed stepwise through each enumerated 

entry until reaching the end of the paragraph. You must do this for each paragraph until reaching the end of the entire category. Individual paragraphs or 

entries may employ logical constructs affecting the Order of Review, including catch-all controls, catch and release constructs, and carve-outs.

13 22 CFR § 121.1(b) 14 15 CFR § 774, Supp. No. 4
S E C T I O N T W O | 17

2.1.3 CATCH-ALL CONTROLS

A catch-all control is one that does not capture specific items by name or 

functional capability but by other means. An example would be USML Category XV(a)(13), which captures all classified spacecraft regardless of function. 

Another example is ECCN 9A515.x, which controls unspecified parts, components, accessories, or attachments that are “specially designed” for a spacecraft but are not listed on the USML or ECCN 9A515. (See section 2.1.5 of this 

guidebook.)

2.1.4 CATCH AND RELEASE

Some enumerated paragraphs on the USML and CCL use a “catch and release” 

construct that initially captures a range of items but then applies a second 

criterion, which if met releases less sensitive items from the paragraph. Sometimes the release criteria appear in notes, so it is important to check all notes 

associated with the control text. See Appendix B for an example of how the 

catch and release construct applies to hosted payloads funded by the Department of Defense.

Once an item or service is released from a given paragraph, you must still evaluate it against the following paragraphs before you can be sure it is released 

from the entire category. In the case of the USML, you must evaluate the item 

or service against all relevant categories before you can be sure it is released 

from ITAR control. 

2.1.5 SPECIALLY DESIGNED

The “specially designed” criteria appear throughout the USML and CCL to narrow the scope of some control paragraphs. The term is defined using the catch 

and release framework. An item may be caught by the specially designed 

criteria if (and only if) it:

(1) as a result of development, has properties peculiarly responsible for 

achieving or exceeding the performance levels, characteristics, or functions in the relevant ECCN or USML paragraph; or

(2) is a part, component, accessory, attachment, or software for use in or 

with a controlled commodity or defense article. 

However, the item drops out of the specially designed definition if it meets 

any of the release criteria identifying it as a general commodity. For example, 
18 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

fasteners and wires are not “specially designed,” even when built for USML 

satellites. Refer to 22 CFR § 120.41 and 15 CFR § 772.1 for the complete release 

criteria applicable to the USML and CCL. 

The Departments of State and Commerce offer online tools to help you 

determine whether items are specially designed. These are available at: 

www.pmddtc.state.gov/licensing/dt_SpeciallyDesigned.htm (ITAR) and 

www.bis.doc.gov/index.php/specially-designed-tool (EAR).

2.1.6 SPACE-QUALIFIED

Like “specially designed,” the term “space-qualified” appears throughout the 

USML and CCL to narrow the scope of some control paragraphs. An item is 

space-qualified if it is designed, manufactured, or qualified through successful testing for operation at altitudes greater than 100 km above the surface 

of the Earth. 15, 16 An item only needs to meet one of the three criteria to be 

considered space-qualified. “Designed” and “manufactured” are synonymous 

with “specially designed,” so the catch and release construct described in Section 2.1.5 applies if using those criteria.17,18

A determination that a specific item is space-qualified by virtue of testing 

alone does not mean that other items in the same production run or model 

series are space-qualified if not individually tested. For example, the act of 

space-qualifying an individual chip designed for ground use does not make 

the chip’s entire product line “space-qualified” and subject to tighter export 

controls.19,20

2.1.7 CARVE-OUTS

USML Category XV contains several notes making explicit exceptions or 

“carve-outs” to the ITAR controls for space-related articles and technology, 

including but not limited to:

• International Space Station (ISS) - Technology exports specifically 

designed for use on the ISS are subject to the EAR jurisdiction and do 

15 22 CFR § 121.1, Note 3 to USML Category XV(e) 16 15 CFR § 772.1 17 22 CFR § 121.1, Note 4 to USML Category XV(e) 18 15 CFR § 772.1, Note 2 to “Space-qualified” definition 19 22 CFR § 121.1, Note 4 to USML Category XV(e) 20 15 CFR § 772.1, Note 1 to “Space-qualified” definition
S E C T I O N T W O | 19

not require a license under certain conditions.21

• James Webb Space Telescope (JWST) – Control of the JWST has been 

transferred to the jurisdiction of the EAR (ECCN 9A004), including primary and secondary payloads as well as the parts, components, accessories, or attachments that are specially designed for use in or with the 

telescope.22

• Telemetry Data – Telemetry data as defined in the ITAR is subject to the 

EAR and designated EAR99.23 Additionally, processing of such data does 

not cause such data to be subject to the ITAR or EAR regulations. 

• Spaceflight Passenger or Participant Experience – Activities and technology/technical data required for spaceflight passenger or participant 

experience (space tourism, research, education, etc.) are also not subject 

to the ITAR or EAR.24

21 15 CFR § 774, Supp. No. 1, ECCN 9A004, (w)-(y) 22 15 CFR § 774, Supp. No. 1, ECCN 9A004, (u)-(v) and (y) 23 22 CFR § 121.1, Note 3 to USML Category XV(f) and 15 CFR § 774, Supp. No. 1, Note 2 to 

Category 9E 24 15 CFR § 774, Supp. No. 1, Note 2 to ECCN 9E515(e)
CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

20 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

 The United States Munitions List

2.2.1 USML OVERVIEW

The United States Munitions List (USML) is a list of articles, services, and related 

technical data designated as defense articles and defense services pursuant 

to the Arms Export Control Act.25 Your organization should obtain a working 

knowledge of export restrictions under the USML as they apply to items or 

services you may potentially send overseas. 

All items and services described on the USML require export authorization by 

the State Department. Items require licenses and services require approved 

agreements such as a Technical Assistance Agreement (TAA).

25 22 CFR § 121.1

Figure 3: The USML Category IV and XV

2.2
S E C T I O N T W O | 21

2.2.2. USML CATEGORIES IV AND XV

The USML is divided into 21 categories of defense articles and services. Those 

most relevant to the space industry are Category IV and Category XV. Relevant paragraphs from each category are summarized below.

Category IV — Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, 

Torpedoes, Bombs, and Mines

(a) Rockets, space launch vehicles (SLVs), missiles, bombs, torpedoes, depth charges, 

mines, and grenades

(b) Launchers for rockets, SLVs, and missiles

(c) Apparatus and devices specially designed for the handling, control, activation, 

monitoring, detection, protection, discharge, or detonation of the articles enumerated 

in paragraphs (a) and (b)

(d) Rocket, SLV, and missile power plants

(h) Systems, subsystems, parts, components, accessories, attachments, or associated 

equipment

(i) Technical data and defense services directly related to the defense articles 

described in paragraphs (a) through (h) and classified technical data directly related to 

items controlled in ECCNs 0A604, 0B604, 0D604, 9A604, 9B604, or 9D604 and defense 

services using the classified technical data

Category XV — Spacecraft and Related Articles

(a) Spacecraft, including satellites and space vehicles, that meet certain criteria

(b) Ground control systems or training simulators, specially designed for telemetry, 

tracking, and control (TT&C) of spacecraft in paragraph (a)

(e) Spacecraft parts, components, accessories, attachments, equipment, or systems, as 

described

(f) Technical data and defense services directly related to the defense articles 

described in paragraphs (a) through (e) and classified technical data directly related 

to items controlled in ECCNs 9A515, 9B515, or 9D515 and defense services using the 

classified technical data
22 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

2.2.3 SPECIAL CONTROLS ON THE USML

Note that paragraphs may be marked with a leading asterisk (*), or a trailing 

“(MT)”. These markings will aid you in understanding that the specified items 

fall under special controls in addition to those established by the applicable 

ITAR/EAR control text.

Be sure to read the Category and its corresponding paragraphs as well as all 

of the technologies encompassed by the paragraph, including the SME and 

MTCR designators and the explanatory notes embedded in the paragraphs, 

to help with analyzing the classification of the technology you wish to export.

2.2.4 INTEGRATION RULE AND HOSTED PAYLOADS

Export Control Reform brought a paradigm shift for EAR controlled satellites 

containing ITAR controlled components. The inclusion of such components 

in a satellite no longer “flips” its jurisdiction from EAR to ITAR, as it did under 

the old “see-through rule.” Under the new “integration rule,” an ITAR controlled 

component moves to EAR control upon its (irreversible) integration into an 

EAR spacecraft.

This is documented in Note 1 to USML Category XV(a), which states, “Spacecraft described in ECCNs 9A004 and 9A515 remain subject to the EAR even 

if defense articles described on the USML are incorporated therein, except 

Cue What does this tell me?

* The paragraph lists Significant Military Equipment (SME) - 

special export controls are imposed

(MT) The paragraph lists items that fall under the Missile Technology Control Regime (MTCR) Annex - special export controls 

are set in this agreement

(MT if...) or 

(MT for...)

Items described in the paragraph that also meet the criteria 

in the parentheses are subject to MTCR controls. Items that 

only meet the criteria outside the parentheses are subject to 

ITAR/EAR controls and not MTCR controls.

Note Notes at end of paragraph give added explanation on 

intended coverage and term definitions
BEFORE REFORM

SEE-THROUGH RULE

The presence of an 

ITAR-controlled part 

or component rendered 

an entire spacecraft 

subject to ITAR controls

AFTER REFORM

INTEGRATION RULE

Spacecraft generally 

remain subject to EAR 

controls even if they 

contain ITAR-controlled 

parts or components

ITAR HOSTED PAYLOADS 

FLIP EAR SATELLITES

A satellite integrating 

a hosted payload that 

included ITAR-controlled 

items or characteristics was 

subject to ITAR controls

HOSTED PAYLOADS DON’T 

FLIP EAR SATELLITES

An EAR-controlled satellite 

generally remains subject 

to the EAR, even if its 

hosted payload has 

characteristics described in 

Category XV (a) of the USML

S E C T I O N T W O | 23

when such incorporation results in a spacecraft described in this paragraph.” 

Furthermore, adding an ITAR-controlled hosted payload to an EAR-controlled 

satellite also does not “flip” the satellite to ITAR. This is documented in Note 

2 to USML Category XV(e), which states, “An ECCN 9A004 or ECCN 9A515.a 

spacecraft remains a spacecraft subject to the EAR even when incorporating 

a hosted payload performing a function described in paragraph (a) of this 

category.” 

Be sure to familiarize yourself with the definitions of primary, secondary, and 

hosted payloads in Chapter XV Note 1 to paragraph (e)(17) of the USML. See 

Appendix B for an example of how the Order of Review applies to a DoDfunded hosted payload.
24 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

2.2.5 LAUNCH-RELATED SERVICES

With regard to satellite launch-related changes to the USML, Categories IV 

and XV more precisely describe the defense services that still warrant control 

under the ITAR:

• Providing assistance (including training) in the integration of a satellite to a launch vehicle, including both planning and on-site support, 

regardless of (i) the jurisdiction (EAR or ITAR), ownership, or origin of the 

satellite or (ii) whether technical data is used; and,

• Providing assistance (including training) in the launch failure analysis of 

a launch vehicle, regardless of (i) the jurisdiction (EAR or ITAR), ownership, or origin of the launch vehicle or (ii) whether technical data is used. 
CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

S E C T I O N T W O | 25

The Commerce Control List

2.3.1 CCL OVERVIEW

The Commerce Control List (CCL) is a list of commercial or dual use items (i.e., 

commodities, software, and technology) subject to the EAR licensing authority of the Bureau of Industry and Security (BIS), part of the Department of 

Commerce.26

The CCL divides items into ten broad Categories, with spacecraft and related 

items falling under Category 9 (Aerospace and Propulsion).

Each CCL category is subdivided into five Product Groups: (A) Equipment, 

Assemblies, and Components; (B) Test, Inspection and Production Equipment; 

(C) Materials; (D) Software; and (E) Technology.

26 15 CFR § 774

2.3

Figure 4: Commerce Control List
26 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

An item that falls into a specific category and product group is given an 

Export Control Classification Number (ECCN). An ECCN categorizes items 

based on the nature of the product, i.e. type of commodity, software, or technology and its respective technical parameters. 

2.3.2 CCL CONTROLS

Each ECCN begins with a table citing which licensing requirements and 

licensing policies (control policies) apply to which of the following paragraphs, along with the applicable recipient countries.27 The control policies 

are shown using two-letter codes such as NS (national security), MT (missile 

technology), and RS (regional stability). 15 CFR § 742 explains each of the CCL 

control policies.

For example, ECCN 9A515 indicates that MT controls apply to microcircuits 

in paragraphs 9A515.d and 9A515.e(2) when usable in missiles for protecting missiles against nuclear effects. Among other things, this means that such 

microcircuits are ineligible for unlicensed export under License Exception 

STA.28

27 15 CFR § 738 28 15 CFR § 740.20(b)(2)(iii)

Reason for Controls

AT - Anti-Terrorism NS - National Security

CB - Chemical & Biological Weapons NP - Nuclear Nonproliferation

CC - Crime Control RS - Regional Stability

CW - Chemical Weapons Convention SS - Short Supply

EI - Encryption Items UN - United Nations Embargo

FC - Firearms Convention SI - Significant Items

MT - Missile Technology SL - Surreptitious Listening
CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

S E C T I O N T W O | 27

2.3.3 ECCN 600 SERIES

As part of the ECR, BIS has added a “600 Series” to the CCL to control less 

sensitive military items, which no longer warrant control on the USML. The 

600 series items are subject to more 

flexible licensing provisions than 

under the ITAR, but will be subject to 

somewhat stricter export and re-export licensing controls than most 

other items controlled under the EAR. 

Licenses from BIS will still be required 

to export and re-export most 600 

series items worldwide (minus Canada), unless an EAR license exception 

is available. (See Section 3.3 of this 

guidebook.)

2.3.4 ECCN 500 SERIES (9X515)

Under the ECR initiative, dual use satellite technologies removed from USML 

Category XV were added to the CCL under ECCNs 9A515, 9B515, 9D515, and 

9E515, which are collectively referred to as “9x515”.

ECCN Items Described

9A515 Spacecraft, ground control systems and training simulators, 

microelectronic circuits and discrete electronic components, 

pressure suits, remote sensing satellite components, and 

specially designed parts, components, accessories, and 

attachments

9B515 Related test, inspection, and production equipment

9D515 Related software

9E515 Related technology
9A515

CCL

Category

0-9

Product

Group

A-E

Last two

Characters

Reference

USML Cat XV

“5” is used to distinguish from 

600 Series and dual-use items

not previously in USML Cat XV

CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

28 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

2.3.5 ECCN 9A004

In addition to 9x515, the CCL includes ECCN 9A004, which is applicable to the 

International Space Station (ISS) and all specially designed parts and components, as well as the James Webb 

Space Telescope (JWST) and most 

specially designed parts and components. Inclusion of these two largescale, international projects in the 

CCL facilitates collaboration across 

international borders without jeopardizing national security.

Paragraphs a. through f. of ECCN 

9A004 apply to certain space launch 

vehicles, spacecraft, spacecraft buses, 

spacecraft payloads, on-board systems or equipment, and terrestrial equipment. They are listed here in order to harmonize ECCN 9A004 with the Wassenaar Dual-Use List, even though the controls for these items are found under 

ECCN 9A515. 

Figure 5: Decoding ECCN Notations
CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

S E C T I O N T W O | 29

2.3.6 USE OF THE NEW PARAGRAPHS .X AND .Y IN THE CCL

The revised EAR regulations introduced two new constructs known as paragraphs .x and .y to certain ECCNs. The .x paragraph is a catch-all control that 

captures specially designed items 

that were not previously enumerated 

in a given ECCN. For example, ECCN 

9A515 lists various spacecraft and 

related commodities in paragraphs 

.a through .e, then 9A515.x captures 

all other specially designed parts, 

components, accessories, and attachments for spacecraft and related 

commodities that are not specifically 

listed.

The paragraph .y construct is an enumerated list that follows the .x catch-all 

control. A .y control covers items that would otherwise be within scope of 

a .x control but have been identified in an interagency-cleared commodity 

classification as warranting a higher level of control than EAR 99. For example, 

9A515.y includes flight cable assemblies for spacecraft applications.

2.3.7 HOSTED PAYLOADS SUBJECT TO EAR

Spacecraft enumerated in categories 9A004 or 9A515.a remain subject to 

the EAR even when incorporating a hosted payload performing a function 

described in USML Category XV(a). All spacecraft incorporating primary or 

secondary payloads that perform a function described in Category XV(a) are 

controlled in Category XV(a).29

29 22 CFR § 121.1, Note 2 to USML Category XV(e)(17)
CCL

600 Series

500 Series ECCNs

CCL

ECCN 9A004, Others

CCL

.x, .y Controls

EAR 99

USML

Cat IV & XV

30 | U N D E R S TA N D I N G T H E C O N T R O L L I S T S A N D H O W T H E Y W O R K

EAR99

Items subject to the EAR but not identified on the CCL are identified by the 

designator “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 end-user of 

concern, or in support of a prohibited end-use, you may be required to obtain 

a license.

2.4

Figure 6: EAR 99
S E C T I O N T W O | 31
3

SECTION
S E C T I O N T H R E E | 33

HOW TO APPLY FOR

A LICENSE OR USE A

LICENSE EXCEPTION
34 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

3.1 Perform Self-Assessment

Determination of the relevant export control jurisdiction for exported products, data, and services is a key component of any export compliance program. Be fully aware of your company’s products, services, technology, and 

the extent of your engagement in business practices that involve foreign 

nationals or foreign operations (i.e. facility tours, design, development, delivery, insurance) prior to export. You should know or be able to ascertain:

• What technology or information you are exporting,

• Where you are exporting it,

• Who will receive it,

• Why it is needed, and

• How it will be used.

3.1.1 FOLLOW THE ORDER OF REVIEW

To determine which controls apply to your company’s item, you must assess it 

according to steps outlined in the Order of Review. The following outline is an 

overview of the steps you should take to make your determination:

1. Review the USML category by category and paragraph by paragraph, in the order they appear on the ITAR. You can use the Order of 

Review online decision tool provided by the Department of State at: 

www.pmddtc.state.gov/licensing/dt_OrderofReview.htm

2. If you find that your item or service matches any of the descriptions 

listed on the USML, then it is subject to ITAR controls. (Proceed to Section 3.5 of this guidebook.)

3. If your item has not been described and enumerated on the USML, it is 

a dual use item subject to the EAR and you will need to determine the 

licensing requirements for your item or technology.

4. Next, review the Export Control Classification Numbers (ECCNs) of the 

CCL to determine whether any of them apply to your item or technology. You should begin by reviewing the 600 series items on the CCL. 

5. If your item or technology is not controlled by the 600 series, review 

the 500 series items. For space companies, the most relevant 500 series 

ECCNs are 9A515, 9B515, 9D515, 9E515. Items specific to the Interna-
S E C T I O N T H R E E | 35

tional Space Station or James Webb Space Telescope are classified as 

9A004. 

6. If your item does not fall in any of the above categories, it could be 

found elsewhere so be sure to check other ECCNs. If after review of the 

other ECCNs, you find your item is not listed, it is designated EAR99 and 

does not require a license. (Proceed to Section 3.2 of this guidebook.)

7. If your item is classified by an ECCN, you will need to determine if you 

are eligible for a Strategic Trade Authorization (STA) license exception. 

An STA authorizes the unlicensed export, re-export, and in-country 

transfer of specified items on the CCL to 36 NATO countries and certain 

other allies, provided all requirements for the use of the license have 

been met. Note that 9x515 items that are controlled for missile technology (MT) reasons may not be exported, re-exported, or transferred 

(in-country) under License Exception STA. (Proceed to Section 3.3 of 

this document.)

8. If your item or technology does not qualify for an STA, you may be 

eligible for other 500 series license exceptions. If you determine that 

your export is eligible for a license exception, you may use the coded 

designation of that license exception on your export documents. For 

example, use the code “LVS” for shipments of limited value or “RPL” for 

replacement parts and equipment, among others. (Proceed to Section 

3.3 of this document.)

9. If your item is not eligible for an STA or other License Exception, then 

you must apply for an export license. (Proceed to Section 3.4 of this 

document.)

10. Finally, you may wish to consider applying for a dual license (both ITAR 

and EAR) depending on the nature of your export. (Proceed to Section 

3.6 of this document.)
36 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

3.1.2 USE THE BIS ORDER OF REVIEW DECISION TREE

In addition to the guidance found in 15 CFR § 774, Supp. No. 4, you can 

also use the corresponding web-based decision tool at: www.bis.doc.gov/

export-control-classification-interactive-tool. 

3.1.3 DE MINIMIS RULE

Integrating U.S. components into a foreign made spacecraft does not cause 

that spacecraft to fall under U.S. export controls if certain conditions are met. 

Under the de minimis rule, the foreign-made spacecraft is not subject to U.S. 

jurisdiction under the EAR as long as: (1) the value of the controlled U.S. content comprises 25% or less of the total value of the item and is not destined 

for a country subject to U.S. arms embargo; or (2) the value of the controlled 

U.S. content comprises 10% or less of the total value of the item and is destined for a country subject to a U.S. embargo.30

Guidelines regarding the de minimis rules can be found at: www.bis.doc.gov/

forms-documents/pdfs/1382-de-minimis-guidance/file

BIS also provides a tool to assist you in determining whether a non-U.S.-made 

item located outside the United States is subject to the EAR and can be found 

at: www.bis.doc.gov/de-minimis-direct-product-rules-decision-tool

3.1.4 SPECIAL CONSIDERATIONS FOR LAUNCH VEHICLES

By U.S. statute, the launch of a launch vehicle, reentry vehicle, or payload 

is not considered an export, if the launch occurs from the United States (or 

U.S. territory). Therefore, a launch vehicle does not require an export license 

from the Department of State or Department of Commerce when built and 

launched in the United States.31 However, the operation of the commercial 

launch vehicle generally requires a launch license or permit from the Federal 

Aviation Administration (FAA). FAA licensing requirements are in place to protect public health and safety, property, U.S. national security and foreign policy interests, and international obligations of the U.S.32

The launch of a U.S. launch vehicle outside the United States requires ITAR 

authorization in compliance with MTCR controls. The applicable MTCR con30 As of the date of this publication, Cuba, Iran, North Korea, Sudan and Syria are comprehensively embargoed countries (15 CFR § 740, Supp. No. 1, Country Group E). 31 51 U.S.C. § 50919(f) 32 Information on FAA launch licensing can be found at ast.faa.gov.
S E C T I O N T H R E E | 37

trols establish a presumption of denial for exports of U.S. launch vehicles, 

even to other launching states.

A U.S. company wishing to apply for a launch vehicle export license must 

work with the State Department and the government of the recipient nation 

to establish a Technology Safeguards Agreement (TSA) covering the export. 

Contact information for the State Department is in Appendix A.
38 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

3.2 How to Export EAR99 Items

If your item falls under the U.S. Department of Commerce jurisdiction and 

is not listed on the CCL, it is designated with the ECCN code EAR99. These 

items generally consist of low-technology consumer goods and usually do 

not require a license, unless you find that you are exporting to an embargoed 

country, to an entity or end-user of concern, or in support of a prohibited 

end-use.

Most exports from the United States that are not under the jurisdiction of 

the ITAR do not require a license. This is because items either are not on the 

CCL (EAR99), or the ECCN controls do not apply to the country of destination. 

In these circumstances, you can export under the designation of “No License 

Required “and enter “NLR” in your export documents. 
S E C T I O N T H R E E | 39

3.3 How to File EAR STA or Other 

License Exceptions 

An export license exception is an authorization that allows you to export or 

re-export, under stated conditions, items subject to the EAR that would otherwise require a license. Each exception has a three-letter symbol that is used 

for export clearance purposes. There are many license exception designations 

and several of them have applicability to “500 series” items, such as Limited 

Value Shipments (LVS), government and International Organizations (GOV), 

Aircraft, Vessels, and Spacecraft (AVS), in addition to the aforementioned STA 

and others.33 If you meet specified terms and conditions, you can declare one 

of the license exception designations, which will serve as a general authorization to export. 

The following steps will help you determine if you are eligible for a License 

Exception and how to proceed with export clearance:

1. Use the BIS on-line tool to determine if you are eligible for License 

Exception STA. The tool can be found at: www.bis.doc.gov/statool.

2. If you are eligible for a License Exception, apply for an Automated 

Commercial Environment (ACE) account.34 ACE is the primary system 

through which the U.S. government tracks, controls and processes all 

imported and exported goods. An Automated Export System (AES) 

filing is required for most exports from the United States to a foreign 

country if valued at U.S. $2,500 or more.

3. To complete the application, you will need your Employer Identification 

Number (EIN), which is also known as a Federal Tax Identification Number.

4. Next, access the AES through ACE to file your Electronic Export Information (EEI).35 The first requirement for participation in AES is a Letter 

of Intent (LOI). The LOI is a written statement of a company’s commitment to develop, maintain, and adhere to Customs and Border Patrol 

33 15 CFR § 740 34 Application form: ace.cbp.dhs.gov/acexpub/acexpub_Apps/ExporterAccountApplication/

expForm.php 35 15 CFR § 758.1
40 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

and Census performance requirements and operations standards as a 

participant in AES. If you register to file exports to AES using the free 

internet application, AESDirect, your on-line registration satisfies the 

requirement for the LOI.36

5. In addition to the LOI and other information, you will need the following to complete your entry:

a. EIN 

b. Correct License Code that corresponds to the appropriate 

License Exception symbol (e.g., LVS, GOV) 

c. Correct Export Control Classification Number (ECCN) (e.g., 9A515) 

for all exports of items under a license exception. 

d. Item description (must be stated in Commerce Control List (CCL) 

terms)

e. Destination Control Statement (DCS)

f. Power of attorney or other written authorization (if someone is 

acting as an authorized agent on your behalf)

A complete guide to filling out your EEI can be found at: www.census.gov/

foreign-trade/aes/aesdirect/AESDirect-User-Guide.pdf.

6. From the ACE portal it is possible to run reports of the EEI that have 

been submitted by your company or submitted by someone else on 

your company’s behalf.  

Remember, when using a license exception symbol, you are making a legal 

representation to the U.S. government that you have followed the appropriate guidelines and that the export meets all of the specified terms and conditions of the license exception you are using to authorize the export. License 

exceptions are still subject to routine reviews by BIS to ensure compliance 

with the EAR. 

36 www.cbp.gov/trade/aes/letter-intent/register
S E C T I O N T H R E E | 41

3.4 How to Apply for an EAR License 

When Required

If your product does not qualify for NLR, License Exception, or STA, then you 

must apply for an export license.

To apply for a license, use the Simplified Network Application Process 

(SNAP-R), the online license application system that the BIS provides to the 

public. As an exporter or re-exporter, you have the ability to submit export 

and re-export applications and commodity classification requests via the 

internet in a secure environment. You also will receive same day acknowledgment of your submission and can obtain online validations (e.g. electronic 

facsimile of export license) from BIS.

You must have a Company Identification Number (CIN) and an active user 

account to access SNAP-R. The first step to obtaining your CIN is to enter your 

information and agree to the Terms & Conditions for using the SNAP-R system 

as stated on the registration form at snapr.bis.doc.gov/snapr. The system will 

then verify the email address you entered; once verified, further instructions 

to set up your user account will be delivered.

Once your license application is received, the BIS will coordinate with the 

appropriate government agencies for review. You should budget approximately 45 days for this process. 

For additional information, visit the BIS website at: www.bis.doc.gov/

licensing/simplified-network-application-process-redesign-snap-r.
42 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

3.5 How to Apply for an ITAR License 

or Agreement When Required

3.5.1 REGISTER WITH STATE DDTC IF NEEDED

If you have concluded that the item or service you wish to export is subject 

to the ITAR, the next step is to register with the Directorate of Defense Trade 

Controls (DDTC), if you have not done so already. The period of validity for 

new and renewal registrations is twelve months from the date of issuance. 

Registration does not confer any export privileges but is a prerequisite to 

export licensing approval. 

The registration process: 

• Informs the U.S. government about the U.S. defense industry (legal status, export eligibility, foreign ownership/affiliations, legally responsible 

personnel, areas of activity); 

• Serves as a channel to provide industry with information about export 

regulations and government concerns; and 

• Helps validate the bona fides of U.S. firms engaged in defense trade, 

especially during the review of export license applications. 

Registration submissions must be submitted electronically. The average 

review time for a registration request is 45 days. It is recommended that you 

send your complete registration package electronically up to a maximum of 

60 days in advance of the renewal expiration. 

There is a 3-tier schedule of ITAR Registration fees: 

1. New $2,250 (or lapsed for over 90 days)

2. Renewal $2,750 if there were less than 11 license applications the 

previous year

3. Renewal $2,750 + ($250 for each license application over 10)

There is a maximum fee of 3% of the total value of the exports items and a 

minimum of $2,750.

Further information regarding registration with the DDTC can be found at: 

www.pmddtc.state.gov/registration.
S E C T I O N T H R E E | 43

3.5.2 FOR DEFENSE ARTICLES: ACCESS DTRADE SYSTEM TO SUBMIT 

LICENSE APPLICATION

The DDTC has set up an electronic licensing system called DTrade, which a 

registered U.S. exporter must use for most of its licensing needs. Through 

DTrade, the DDTC receives and authorizes requests regarding all unclassified 

export and temporary import defense articles.

Once you have registered with DDTC, they will provide you access to the 

DTrade system. Defense articles can be licensed for use through one of the 

following application forms:

• Form DSP-5: Application/License for Permanent Export of Unclassified 

Defense Articles and Related Unclassified Technical Data 

• Form DSP-61: Application/License for Temporary Import of Unclassified 

Defense Articles 

• Form DSP-73: Application/License for Temporary Export of Unclassified 

Defense Articles

Applicable forms and additional information can be found at: www.pmddtc.

state.gov/DTRADE

3.5.3 TIMELINE FOR ITAR LICENSE PROCESSING

The Department of State is directed to complete the review and adjudication 

of license requests within 60 days of receipt, except in cases where national 

security exceptions apply.

Under special circumstances, the Department of State is required to provide 

notification to Congress prior to approving a license application, based on 

regulatory threshold value of a sales contract and the SME designation of the 

items being sold. For cases requiring Congressional notification, budget for 

an additional 30-90 calendar days. Information regarding Congressional notification can be found at 22 CFR § 123.15.

If an applicant has received an adverse decision, a request may be submitted 

in writing to the DDTC for reconsideration. The request must be submitted 

within 30 days of the decision. As part of this request, the applicant is given an 

opportunity to present additional information for consideration by the DDTC. 
44 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

3.5.4 FOR DEFENSE SERVICES: OBTAIN APPROVAL FOR TECHNICAL 

ASSISTANCE AGREEMENTS OR OTHER AGREEMENTS

Whereas defense articles require a DDTC-issued license for export or temporary import, defense services require a DDTC-approved “Agreement”. Defense 

services involve furnishing assistance to foreign persons in such things as 

the design, development, engineering, manufacture, production, assembly, 

maintenance, modification, operation, and the destruction of defense articles. They also include giving technical data or military training of foreign 

units or forces.37

The agreements that authorize these services are:

• Technical Assistance Agreement (TAA)38 – The most common type of 

agreement in the space industry, the TAA is basically a contract for the 

performance of a defense service or the disclosure of technical data, as 

opposed to an agreement granting a license or right to manufacture 

defense articles. For example, the assembly of defense articles would 

require a TAA, unless production rights or manufacturing know-how are 

conveyed. If they are conveyed, then this activity would actually need 

to be covered by a Manufacturing License Agreement, described below. 

• Manufacturing License Agreement (MLA)39 – An agreement whereby 

a U.S. person grants a foreign person an authorization to manufacture 

defense articles abroad which involves:

a. The export of defense articles or the performance of a defense 

service, or

b. The use by the foreign person of technical data or defense articles 

previously exported by the U.S. person.

• Warehouse and Distribution Agreement (WDA)40 – An agreement 

(e.g., a contract) to establish a warehouse or distribution point abroad 

for defense articles exported from the United States for subsequent distribution to entities in an approved sales territory.

37 22 CFR § 120.9 and 22 CFR § 120.10 38 22 CFR § 120.22 39 22 CFR § 120.21 40 22 CFR § 120.23
S E C T I O N T H R E E | 45

3.5.5 APPLICATION PROCESS FOR AGREEMENTS

The following is an outline of the process for obtaining approval for an agreement to export your organization’s defense service:

1. If you have not already done so, register your organization with the 

DDTC.

2. Review the Agreements Guidelines set forth by DDTC.41

3. Prepare the agreement application. The documents listed below must 

be included:

a. Transmittal Letter

b. Proposed Agreement (with necessary appendices, exhibits, and 

annexes)

c. Empowered Official Letter

d. Supporting Documentation

4. Submit the completed application via the DPS-5 vehicle through 

DTrade

41 www.pmddtc.state.gov/licensing/documents/AgreementGuidelinesRev44b.pdf 

Activities Frequently Requiring Agreements

• Launch Related Services

• Supporting Direct Commercial Sales to Foreign Parties

• Providing Overseas Maintenance or Training Support

• Technical Studies, Evaluations, Demonstrations or Consultations with 

Foreign Parties

• Release of Manufacturing Data or Rights

• Efforts to Import Technology from Abroad

• Supporting a Foreign Military Sales Case (Beyond scope of LOA: 

Letter of Offer and Acceptance)

• Supporting U.S. Government-Sponsored Foreign Contracts
46 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

5. Monitor the application process via My Application Ready Yet (MARY), a 

web-based status retrieval system, which contains the status of DTrade 

submissions.

3.5.6 TIMELINE FOR APPROVAL OF AGREEMENTS

As with a license, an applicant whose agreement has been denied may submit to the DDTC a request for consideration within 30 days of being notified 

of the adverse decision42. As part of the request, the applicant is given the 

opportunity to present additional information.

42 22 CFR § 126.7
S E C T I O N T H R E E | 47

3.6 How to Apply for a Dual License 

(ITAR and EAR)

The export control regulations incorporate modifications so that only a single license is required when exporting a commodity, software or technology 

subject to both USML and CCL controls. Under the updated regulations, the 

revised USML Categories IV and XV have a new paragraph (x), in order to allow 

for ITAR licensing of commodities, software, and technical data otherwise 

subject to the EAR. In both USML Categories, paragraph (x) and its explanatory note read as follows:

(x) Commodities, software, and technology subject to the EAR (see 

§ 120.42 of this subchapter) used in or with defense articles.

Note to paragraph (x): Use of this paragraph is limited to license applications for defense articles where the purchase documentation also includes 

commodities, software, or technology subject to the EAR (see § 123.21(b) 

of this subchapter).

As noted, this regulatory solution only applies to CCL commodities, software, 

and technical data used with or integrated into defense articles on the USML 

and are included in the exported technology.

The value of a paragraph (x) export is not used to calculate the Congressional 

notification threshold described above. However, applicants are still required 

to list the accurate value of the paragraph (x) article on the license application 

that authorizes its export.

When submitting an application with paragraph (x) items, be sure to include 

purchase records that list both USML and CCL controlled commodities, noting that the CCL items are used “in or with” the USML articles being exported. 

The application must list the CCL commodities, software, and technical data 

separately by ECCN, including the value of those items as integrated into 

the export.

Licenses authorizing the export of paragraph (x) items will include the following paragraph:

The U.S. exporter must provide to the end-user and consignees in the purchase 

documentation or other support documentation submitted with the Depart-
48 | H O W T O A P P LY F O R A L I C E N S E O R U S E A L I C E N S E E X C E P T I O N

ment of State license or other approval request the appropriate EAR classification information for each item exported pursuant to a U.S. Munitions List “(x)” 

paragraph. This includes the appropriate ECCN or EAR99 designation.
S E C T I O N T H R E E | 49
4

SECTION
S E C T I O N F O U R | 51

ENSURING COMPLIANCE

AFTER EXPORT

AUTHORIZATION
52 | E N S U R I N G C O M P L I A N C E A F T E R E X P O R T A U T H O R I Z AT I O N

4.1

As an exporter or re-exporter, it is your responsibility to be aware of, and comply with, all existing and future regulations of any and all U.S. government 

agencies controlling U.S. exports. The Directorate of Defense Trade Controls 

(DDTC) and the Bureau of Industry and Security (BIS) strongly advise that registered exporters and manufacturers have in place comprehensive monitoring programs, to ensure compliance with U.S. export law and regulations.

Compliance for EAR99 Items

EAR99 items will generally ship under the designation “NLR”, which stands for 

“No License Required”. However, if your proposed export of an EAR99 item is 

to an embargoed country, to an end-user of concern, or in support of a prohibited end-use, you may be required to obtain an export license. Part 744 

of the Export Administration Regulations spells out the specific regulations 

related to end-user and end-use controls. There are many prohibited end-users. The consolidated U.S. government screening list, including proscribed 

parties from the Department of State and the Department of Commerce, can 

be found at www.export.gov/article?id=Consolidated-Screening-List.
S E C T I O N F O U R | 53

Compliance for Items Exported under 

License Exceptions (e.g., STA)

Once you determine you can use a license exception there may still be approvals or documentation you must produce. Below are examples of the types of 

compliance actions you made need to take.

• GOV Exception (Governments, International Organizations, International  Inspections Under the Chemical Weapons Convention, and the 

International Space Station) requires an Electronic Export Information 

(EEI) filing of the ECCN, and requires a Destination Control Statement to 

be put into the commercial export documents. 

• LVS Exception (Shipments of Limited Value) exception will require you to 

be able to prove that the limited value of the yearly shipments has not 

been exceeded. 

• TMP Exception (Temporary Imports, Exports, Re-exports, Transfers) 

exception requires the item be securely controlled and items have been 

returned or destroyed. 

• STA (Strategic Trade Authorization) allows you to transfer the item to 

another consignee, but you and each consecutive consignee must sign 

an agreement stating all the required conditions to allow the transfer. 

STA also requires an application (via SNAP-R) to be made to determine if 

the items are eligible. 

It is important to read section 740 of the EAR carefully for the documentation, 

agreements, and records keeping that is required for any license exception. 

4.2
54 | E N S U R I N G C O M P L I A N C E A F T E R E X P O R T A U T H O R I Z AT I O N

4.3 Compliance for EAR Licensed Items

BIS recommends all organizations exporting goods and services under the 

Export Administration Regulations (EAR) have in place an Export Management and Compliance Program (EMCP). An EMCP will help prevent U.S.-origin 

dual use goods and technologies from being used against us. 

An EMCP is a comprehensive, written set of export procedures, policies, and 

guidelines that provide an organization’s management with a framework to 

ensure and evaluate whether or not the company/employees/products are in 

full compliance with EAR regulations. A well-written and fully implemented 

EMCP benefits an exporter by minimizing risk of noncompliance and can be 

a strong mitigating factor when determining penalties in cases of export violation.

While the EAR allows flexibility in the manner in which U.S. companies meet 

these compliance requirements, the BIS strongly recommends incorporating 

the nine key elements (listed below) and the screening of all parties to transactions, as part of their overall due diligence.
S E C T I O N F O U R | 55

Elements of an Effective EAR Export 

Management and Compliance Program 

(EMCP)

1. Management Commitment: Senior management establishing written 

export compliance standards for the organization, committing sufficient resources for the export compliance program, and ensuring 

appropriate senior organizational official(s) are designated with the 

overall responsibility for the export compliance program to ensure 

adherence to export control laws and regulations

2. Continuous Risk Assessment of the Export Program

3. Formal Written Export Management and Compliance Program: Effective implementation and adherence to written policies and operational 

procedures

4. Ongoing Compliance Training and Awareness

5. Pre/Post Export Compliance Security and Screening: Screening of 

employees, contractors, customers, products, and transactions and 

implementation of compliance safeguards throughout the export life 

cycle including product development, jurisdiction, classification, sales, 

license decisions, supply chain, servicing channels, and post-shipment 

activity

6. Adherence to Recordkeeping Regulatory Requirements

7. Internal and External Compliance Monitoring and Periodic Audits

8. Maintaining a Program for Handling Compliance Problems, including 

Reporting Export Violations

9. Completing Appropriate Corrective Actions in Response to Export 

Violations

An effective EMCP will be tailored to address your organization’s unique 

operations and will incorporate such factors as business locations, the size of 

your organization, the types of products, and the end-users/end-use of your 

products. The document should reflect the scale and scope of your export 

program and be flexible enough to adapt to the changes in your organization 

4.4
56 | E N S U R I N G C O M P L I A N C E A F T E R E X P O R T A U T H O R I Z AT I O N

and the regulatory environment. The BIS provides several resources to help 

your organization develop an EMCP, which can be found at: www.bis.doc.

gov/compliance-a-training/export-management-a-compliance/compliance.
S E C T I O N F O U R | 57

 Compliance for ITAR Licensed Items

If your organization exports defense articles and defense-related services, 

you must employ a dedicated compliance officer to serve as an Empowered 

Official.43 An Empowered Official is authorized by an organization to sign and 

process license applications on behalf of that organization and, if necessary, 

refuse to sign any license application without the threat of retribution.

In addition to the Empowered Official, DDTC recommends putting in place a 

comprehensive compliance program. The level of sophistication of your internal compliance controls will depend on the nature and scale of your business. 

Your program should include the organization’s commitment to compliance 

with laws and regulations, procedures for dealing with licensing and compliance matters, identification and duties of empowered and responsible persons, 

and procedures for record keeping and internal auditing. To assist you, DDTC has 

outlined some elements that should be included in your compliance program: 

www.pmddtc.state.gov/compliance/documents/compliance_programs.pdf

43 22 CFR § 120.25

4.5
5

SECTION
S E C T I O N F I V E | 59

HELPFUL HINTS
60 | H E L P F U L H I N T S

5.1 WHAT TO DO IF YOU NEED HELP

There is no substitute for direct communication with the organization that 

will handle your export control issues. There is a DDTC Response Team in 

place to answer questions regarding the ITAR and your technology issues 

before and during the licensing process. Additionally, you will be assigned a 

licensing officer for your case during the ITAR process. If you are following the 

EAR process, the Department of Commerce has specialized export counselors 

available to answer questions. Any of these official government resources can 

be contacted if you need help. (See Appendix A: Useful Contact Information.)

5.2 UNDERSTAND THE LANGUAGE AND AGENCIES INVOLVED

To succeed through the export control process, it is useful to understand the 

language and the government agencies with which you will be dealing. The 

appendices to this report provide acronym and terminology definitions, as 

well as important points of contact at various U.S. government agency offices.

5.3 PLAN SUFFICIENT RESOURCES AND TIME FOR THE PROCESS

The time required from start to finish for the export control licensing process 

is case-specific. Therefore, it is helpful to build in a sufficient time period to 

ensure the process does not hinder your operations.

5.4 AVOID DELAYS IN THE APPLICATION PROCESS

The timeline and process confusion are major concerns with export controls. 

There are simple actions that can help mitigate these concerns:

• Use the electronic applications that are available online. 

• Fill out forms fully and correctly.

• Know who you need to contact throughout the process. (See Appendix A.)

• Know your company’s processes and potential interactions with foreign 

nationals.

• Check for updates on policies and forms on the websites of the Departments of State or Commerce, depending on your situation.
S E C T I O N F I V E | 61

5.5 TRAIN YOUR STAFF

The Department of State and Department of Commerce websites have links 

to their own training sessions. For instance, the DDTC conducts one-day, 

in-house seminars covering export licensing basics. The BIS provides webinars on the subject via their online training room.44

You can contract with outside organizations to evaluate and provide consultation on your company’s specific import and export compliance issues. 

These companies can reduce the need for hiring full-time internal experts. 

Certain law and consulting firms specialize in export control or trade compliance issues, as well as in space industry regulatory issues. 

Other specialized organizations can train personnel at a cost. These groups 

usually hold scheduled ITAR process-training sessions at various locations 

throughout the country.

44 The online training room is accessible at: www.bis.doc.gov/compliance-a-training/

export-administration-regulations-training/online-training-room

A P P E N D I C E S | 63

APPENDICES
64 | A P P E N D I X A

Appendix A Useful Contact Information

This appendix provides the contact information for organizations that can 

assist a company engaged in or planning to begin the U.S. export control 

licensing process.

DEPARTMENT OF STATE, DDTC

• Directorate of Defense Trade Controls (DDTC) General 

Contact Information

Telephone: 202-663-2980

DDTC Contacts Website: 

pmddtc.state.gov/about/contact_information.html

• Directorate of Defense Trade Controls (DDTC) Response Team:

The Response Team is set up to address a full range of defense trade 

inquiries and direct you to a secondary contact, if necessary. 

Telephone: 202-663-1282

Email: DDTCResponseTeam@state.gov

• Electronic Application Support: 

For assistance, please contact the Help Desk. 

Telephone: 202-663-2838

Email: dtradehelpdesk@state.gov

DEPARTMENT OF COMMERCE, BIS

• Bureau of Industry and Security (BIS) General Contact Information:

www.bis.doc.gov/about-bis/contact-bis

• To speak with an Export Counselor:

• Outreach & Educational Services Division (Washington, DC):

202-482-4811

• Western Regional Office (Newport Beach, CA): 949-660-0144 

• Northern California Branch (San Jose, CA) 408-998-8806 

You may also e-mail your inquiry to the Export Counseling Division of the 

Office of Exporter Services at: ECDOEXS@bis.doc.gov
A P P E N D I C E S | 65

System for Tracking Export License Applications (STELA): 

snapr.bis.doc.gov/stela
66 | A P P E N D I X B

Appendix B Case Study – Hosted Payload 

 Funded by DOD

As part of the ECR Initiative, most commercial, scientific, and civil satellites 

and their components were transferred from jurisdiction under the International Traffic and Arms Regulations (ITAR) to the less restrictive Export Control 

Regulations (EAR). An ECCN 9A004 or 9A515 spacecraft is now subject to the 

less restrictive EAR even when incorporating a hosted payload that performs 

a function described in Category XV, paragraph (a) of the ITAR. 

However, payloads funded by the Department of Defense (DoD) present a 

unique case. If a secondary or hosted payload and any specially designed 

parts or components related to it are developed with DoD funding and are 

incorporated into a spacecraft, the entire spacecraft is subject to the ITAR 

unless the payload is 

(a) determined to be subject to the EAR via a Commodity Jurisdiction (CJ) 

determination, or

(b) is exempt in the relevant DoD contract or other agreement as being 

developed for both military and civil or commercial applications.45

45 22 CFR § 121.1, Notes 1 and 2 to USML Category XV(e)(18)
Does the host spacecraft fall under ECCN

9A004 or ECCN 9A515.a?

The payload is

subject to ITAR

Do you have a secondary or hosted 

payload that provides a Category XV

paragraph (a) function?

The payload is

subject to EAR

The payload is

subject to EAR

Is the secondary or hosted 

payload developed with

Department of Defense funding?

The payload is

subject to EAR

Do you have a CJ determination or contract

as being developed for both military

and either civil or commercial applications?

The payload is

subject to ITAR

NO

NO

NO

NO

YES

YES

YES

YES

Figure B-1: 

Hosted Payload Funded by Department of Defense Decision Tree

A P P E N D I C E S | 67
68 | A P P E N D I X C

 Acronyms and Glossary

ACE – Automated Commercial Environment – The primary system through 

which the trade community reports imports and exports and the government 

determines admissibility. 

AECA – Arms Export Control Act – The statute that authorizes the export 

and temporary import control activities of the Department of State. 

AES – Automated Export System – The central point through which export 

shipment data required by multiple agencies is filed electronically to the U.S. 

Customs and Border Protection Agency.

BIS – Bureau of Industry and Security – An agency of the Department 

of Commerce that is responsible for administering and enforcing export 

controls on dual use items. 

CCL – Commerce Control List – A list of items (commodities, software, and 

technology) subject to the Department of Commerce, Bureau of Industry and 

Security (BIS) export controls. 

CFR – Code of Federal Regulations – The official codification of the general and permanent rules published in the Federal Register by the executive 

departments and agencies of the federal government.

CJ – Commodity Jurisdiction – A determination as to whether an item or 

service is subject to the export licensing authority of the Department of 

Commerce or the Department of State, Directorate of Defense Trade Controls 

(DDTC).

Deemed Export – Release or transfer of “technology” or source code to a 

foreign person in the United States. 

DDTC – Directorate of Defense Trade Controls – The office in the Department of State that administers licenses for defense services and defense 

(munitions) articles. 

DTAG – Defense Trade Advisory Group – An advisory committee that 

provides the Bureau of Political-Military Affairs with a formal channel for regular consultation and coordination with U.S. private sector defense exporters 

and defense trade specialists on issues involving U.S. laws, policies, and regulations for munitions exports. 

Appendix C
A P P E N D I C E S | 69

DTSA – Defense Technology Security Administration – An agency of the 

Department of Defense responsible for the development and implementation of policies on international transfers of defense-related munitions technology. The DTSA is also involved in the review of certain dual use export 

license applications.

Dual Use – Items that have both commercial and military or proliferation 

applications.

EAA – Export Administration Act – The statute that authorizes the export 

control and anti-boycott compliance activities of the Department of Commerce.

EAR – Export Administration Regulations – Regulations set forth in sections 730-774 of Title 15 of the Code of Federal Regulations and issued by the 

Department of Commerce to implement the Export Administration Act and 

other statutory requirements.

ECCN – Export Control Classification Number – A five character alphanumeric designation used on the Commerce Control List (CCL) to identify a 

dual-use item for export control purposes.

ECR – Export Control Reform – A fundamental reform of the U.S. export 

control system designed to enhance U.S. national security and the competitiveness of key U.S. manufacturing and technology sectors by focusing on 

current threats, as well as adapting to the changing economic and technological landscape.

EEI – Electronic Export Information – Electronic export data as filed in 

the Automated Export System (AES) for U.S. exports that contain a single 

commodity’s value exceeding US $2,500.00.

The information collected by the Census Bureau is used for statistical 

purposes while the Bureau of Industry and Security and other export enforcement agencies uses it for export control and enforcement purposes.

EMCD – Export Management and Compliance Program – An optional program developed by the Bureau of Industry and Security to assist companies 

in complying with the export control provisions of the Export Administration 

Regulations.

Export – (1) An actual shipment or transmission out of the United States, 

including the sending or taking of an item out of the United States, in any 

manner; (2) releasing or otherwise transferring “technology” or source code 
70 | A P P E N D I X C

to a foreign person in the United States (a “deemed export”) (3) transferring 

by a person in the United States of registration, control, or ownership of: (i) 

a spacecraft subject to the EAR that is not eligible for export under License 

Exception STA to a person in or a national of any other country (ii) any other 

spacecraft subject to export controls to a person in or a national of a Country 

Group D:5 country. 

Hosted payload – A complement of equipment or sensors that uses the available or excess capacity (mass, volume, power, etc.) of a spacecraft to accommodate an additional, independent mission which does not dictate control or 

operation of the spacecraft.

ITAR – International Traffic in Arms Regulations – Regulations set forth in 

Sections 120-130 of Title 22 of the Code of Federal Regulations and issued by 

the Department of State to implement the Arms Export Control Act and other 

statutory requirements. 

MTCR – Missile Technology Control Regime – A multilateral control regime 

consisting of the United States and other nations that have agreed to guidelines for restricting the export of dual use items that may contribute to the 

development of missiles. 

MTEC – Missile Technology Export Committee – An interagency group, 

chaired by a representative of the Department of State, that reviews export 

license applications involving items controlled for missile technology reasons.

Primary payload – That complement of equipment designed from the outset 

to accomplish the prime mission function of the spacecraft payload mission set. 

Re-export – (1) An actual shipment or the transmission of items subject to 

export regulations from one foreign country to another foreign country; (2) 

release or transfer of technical data or source code to a foreign person of a 

country other than the foreign country where the release or transfer takes 

place (a deemed re-export); (3) transfer of registration, control, or ownership of (i) any a spacecraft subject to export regulations that is not eligible 

for re-export under License Exception STA to a person in or a national of any 

other country; or (ii) any other spacecraft subject to the EAR to a person in or 

a national of Country Group D:5 country.

Secondary payload – That complement of equipment designed from the 

outset to be fully integrated into the spacecraft payload mission set. The secondary payload may operate separately from the primary payload. 
A P P E N D I C E S | 71

SME – Significant Military Equipment – Articles for which special export 

controls are warranted because of their capacity for substantial military utility 

or capability.

SNAP-R – Simplified Network Application Process Redesign – An electronic 

method of submitting EAR export license applications.

Space Qualified – An item designed, manufactured, or qualified through 

successful testing, for operation at altitudes greater than 100 kilometers (km) 

above the surface of the Earth.

Specially Designed – An “item” that: (1) as a result of “development” has 

properties peculiarly responsible for achieving or exceeding the performance 

levels, characteristics, or functions in the relevant ECCN or U.S. Munitions List 

(USML) paragraph; or (2) Is a “part,” “component,” “accessory,” “attachment,” or 

“software” for use in or with a commodity or defense article ‘enumerated’ or 

otherwise described on the CCL or the USML.

ST – Strategic Trade Authorization – A license exception that authorizes, 

with conditions, the export, re-export, and transfer (in-country) of specified 

items to destinations that pose relatively low risk of unauthorized uses. 

TAA – Technical Assistance Agreement – An agreement (e.g., contract) for 

the performance of a defense service(s) or the disclosure of technical data, as 

opposed to an agreement granting a right or license to manufacture defense 

articles. Assembly of defense articles is included under this section, provided 

production rights or manufacturing know-how are not conveyed. 

TCP – Technology Control Plan – A formal plan required in cases when foreign 

nationals are employed at or assigned to security-cleared facilities or facilities 

that handle export-controlled items or information.

TTCP – Technology Transfer Control Plan – A detailed course of action that 

the exporter provides to the Department of State when applying for an ITAR 

license that explains how the exporter will maintain appropriate controls 

during the process of exporting items or services on the United States Munitions List. 

USML – United States Munitions List – The list of defense articles, technology, and services under the export and temporary import jurisdiction of the 

Department of State. The USML is found in Part 121 of the ITAR.
OFFICE OF SPACE COMMERCE

U.S. Department of Commerce

Herbert C. Hoover Building, Room 2518

1401 Constitution Avenue, N.W.

Washington, D.C. 20230

www.space.commerce.gov

OFFICE OF COMMERCIAL SPACE TRANSPORTATION

Federal Aviation Administration

800 Independence Avenue, S.W., Room 331

Washington, D.C. 20591

ast.faa.gov