85734 Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 740 and 774 

[Docket No. 231117–0272] 

RIN 0694–AJ32 

Proposed Enhancements and 

Simplification of License Exception 

Strategic Trade Authorization (STA) 

AGENCY: Bureau of Industry and 

Security, Department of Commerce. 

ACTION: Proposed rule. 

SUMMARY: In this rulemaking, the 

Bureau of Industry and Security (BIS) 

proposes revising License Exception 

Strategic Trade Authorization (STA) 

under the Export Administration 

Regulations (EAR). The purpose of these 

changes is to encourage additional use 

of License Exception STA for ally and 

partner countries. BIS proposes specific 

revisions to License Exception STA and 

includes questions for public comment 

to help BIS better understand 

impediments in using License 

Exception STA. This proposed rule is 

part of a broader effort announced today 

that will revise several categories of 

export licensing requirements and the 

availability of export license exceptions 

for key allied and partner countries, as 

well as for members of certain 

multilateral export control regimes. 

DATES: Comments must be received by 

BIS no later than February 6, 2024. 

ADDRESSES: Comments on this rule may 

be submitted to the Federal rulemaking 

portal (www.regulations.gov). The 

regulations.gov ID for this rule is: BIS– 

2023–0019. Please refer to RIN 0694– 

AJ32 in all comments. 

All filers using the portal should use 

the name of the person or entity 

submitting the comments as the name of 

their files, in accordance with the 

instructions below. Anyone submitting 

business confidential information 

should clearly identify the business 

confidential portion at the time of 

submission, file a statement justifying 

nondisclosure and referring to the 

specific legal authority claimed, and 

provide a non-confidential version of 

the submission. For comments 

submitted electronically containing 

business confidential information, the 

file name of the business confidential 

version should begin with the characters 

‘‘BC.’’ Any page containing business 

confidential information must be clearly 

marked ‘‘BUSINESS CONFIDENTIAL’’ 

on the top of that page. The 

corresponding non-confidential version 

of those comments must be clearly 

marked ‘‘PUBLIC.’’ The file name of the 

non-confidential version should begin 

with the character ‘‘P.’’ Any 

submissions with file names that do not 

begin with either a ‘‘BC’’ or a ‘‘P’’ will 

be assumed to be public and will be 

made publicly available through https:// 

www.regulations.gov. Commenters 

submitting business confidential 

information are encouraged to scan a 

hard copy of the non-confidential 

version to create an image of the file, 

rather than submitting a digital copy 

with redactions applied, to avoid 

inadvertent redaction errors which 

could enable the public to read business 

confidential information. 

FOR FURTHER INFORMATION CONTACT: For 

questions on this proposed rule, contact 

Timothy Mooney, Regulatory Policy 

Division, Office of Exporter Services, 

Bureau of Industry and Security, U.S. 

Department of Commerce at 202–482– 

2440 or by email: RPD2@bis.doc.gov, 

please include ‘‘RIN: 0694–AJ32’’ in the 

subject line. 

SUPPLEMENTARY INFORMATION: 

I. Background

In this proposed rule, the Bureau of

Industry and Security (BIS) describes 

potential revisions to License Exception 

Strategic Trade Authorization (STA) 

under the Export Administration 

Regulations (EAR). The purpose of these 

changes is to encourage additional use 

of License Exception STA for ally and 

partner countries. This rule proposes 

changes that would: (1) clarify that 

License Exception STA is not a listbased license exception; (2) add text to 

make it more explicit that License 

Exception STA is eligible for deemed 

export and deemed reexports; (3) 

exclude deemed exports and deemed 

reexports from the requirement to have 

been listed on an approved license or 

other approval for ‘‘600 series’’ 

technology; (4) adopt a simpler and 

consistent approach to identify ECCNs 

eligible for License Exception STA; and 

(5) remove the limitation on the use of

License Exception APR for reexports

between and among certain partner and

ally countries to reflect their close

coordination with the United States on

export controls.

This proposed rule also includes 

seven questions for public comment to 

help BIS better understand why License 

STA is being underutilized by exporters, 

reexporters, and transferors. BIS also 

requests comments on whether STA 

eligibility should be expanded or 

restricted for specific items, including 

for specific ECCNs and welcomes 

comments on additional measures that 

could further facilitate trade under 

License Exception STA with partner 

and ally countries. 

This rule includes proposed changes 

to License Exception STA eligibility for 

ECCNs 1E001 and 2E003.f, which were 

previously proposed in the proposed 

rule ‘‘Clarifications of Availability and 

Expansion of Restrictions on 

Availability of License Exception 

Strategic Trade Authorization Under the 

Export Administration Regulations’’ 

(October 2021 rule) (see 86 FR 58615 

(October 22, 2021)). Because this rule is 

addressing License Exception STA more 

broadly, such as how items excluded 

from License Exception STA will be 

identified and the passage of time since 

2021, BIS is re-proposing these 

restrictions on the STA eligibility for 

ECCNs 1E001 and 2E003.f. This action 

will allow for public comment on these 

proposed changes to License Exception 

STA eligibility to help to better inform 

the current Administration’s review of 

License Exception STA eligibility for 

these two ECCNs. See Section VII.B of 

this rule for additional background on 

these proposed changes. BIS encourages 

parties that may have commented on the 

October 22 rule to review these 

proposed changes to ECCN 1E001 and 

2E003.f, along with any other interested 

parties. 

Liberalizing Controls for Allies and 

Partners 

Historically, the United States has 

relied on deep connections with its 

allies and partners to protect its vital 

national security and foreign policy 

interests. In particular, the United States 

acts in close cooperation with its allies 

and partners to bring together the 

international community to address 

military aggression, threats to 

sovereignty, and human rights abuses 

around the world. This is especially true 

in the context of export controls, in 

which multilateral and plurilateral 

controls are typically the most effective 

path toward accomplishing our national 

security and foreign policy objectives. 

In remarks made on February 4, 2021, 

regarding America’s place in the world, 

President Biden noted that America’s 

alliances are some of our greatest assets 

and that leading with diplomacy means 

standing shoulder to shoulder with and 

working closely with our allies and key 

partners, thereby protecting the world 

against nefarious actors. At that time, 

President Biden highlighted the fact that 

the United States would be ‘‘more 

effective in dealing with Russia when 

we work in coalition and coordination 

with other like-minded partners.’’ 

(https://www.whitehouse.gov/briefingroom/speeches-remarks/2021/02/04/ 

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americas-place-in-the-world/). 

Consistent with this direction, a year 

later following Russia’s unjustifiable 

further invasion of Ukraine and Belarus’ 

complicity in that invasion, the United 

States led formation of and continued 

alignment within the Global Export 

Controls Coalition (GECC), now 

comprising the United States and 38 

other global economies. BIS’s export 

controls on Russia and Belarus have 

been more effective because they have 

been imposed and maintained in 

coordination with U.S. allies and 

partners. At the same time, in addition 

to the GECC, BIS has forged deeper ally 

and partner country relationships 

through a series of bilateral and 

multilateral export controls dialogues, 

including under the auspices of the 

U.S.-European Union Trade and 

Technology Council (TTC) and the U.S.- 

Japan Commercial and Industrial 

Partnership (JUCIP). 

The proposed changes with this rule 

and two other ally and partner rules 

published today are part of a broad 

effort to liberalize controls for allies and 

partner countries under the EAR (15 

CFR parts 730–774). Together, these 

rules will ease several categories of 

export licensing requirements and 

increase the availability of export 

license exceptions for key allied and 

partner countries, as well as members of 

certain multilateral export control 

regimes. 

License Exception STA History 

License Exception STA was added to 

the EAR on June 16, 2011 (76 FR 35287) 

as one of the first actions taken under 

the Export Control Reform (ECR) 

Initiative. This license exception was 

intended to facilitate trade and military 

interoperability with our closest allies 

and partners by streamlining the 

controls under the EAR applicable for 

certain items destined for export control 

partner and ally countries. Through two 

authorizing paragraphs (§ 740.20(c)(1) 

and (2)), License Exception STA 

authorizes exports, reexports, and 

transfers (in-country), including deemed 

exports and deemed reexports for 

certain items. Paragraph (c)(1) 

authorization is applicable to six 

reasons for control (national security 

(NS); chemical or biological weapons 

(CB); nuclear nonproliferation (NP); 

regional stability (RS); crime control 

(CC), and/or significant items (SI)) for 

countries identified in Country Group 

A:5. Paragraph (c)(2) authorization is 

available to overcome national security 

(NS) controls for certain ECCNs. As with 

all EAR license exceptions, certain 

terms and conditions must be met to use 

License Exception STA. In addition, 

entities that use License Exception STA 

must confirm that none of the general 

restrictions on the use of license 

exceptions under § 740.2 applies. 

Since 2011, BIS has updated License 

Exception STA to clarify certain 

requirements. For example, a November 

11, 2017, final rule (82 FR 50511) added 

various notes to License Exception STA 

to clarify the intent of certain 

provisions, e.g., the ‘completing the 

chain’ concept for ‘‘600 series’’ items, 

clarifying foreign governments are not 

required to provide a prior consignee 

statement, and clarifying how License 

Exception STA relates to transfers (incountry). These changes helped with 

public understanding and encouraged 

some additional usage of License 

Exception STA for ally and partner 

country transactions. 

BIS has determined that amending 

License Exception STA to make the 

requirements simpler where possible, 

while still protecting U.S. national 

security and foreign policy interests, 

would make License Exception STA 

more beneficial for key allied and 

partner countries. Moreover, it is 

appropriate to reevaluate the 

effectiveness of License Exception STA 

and determine how it may be improved 

to better achieve its original objectives, 

as well as to better reflect the current 

export control environment (e.g., taking 

into account the significant amount of 

coordination between destinations 

identified in Country Group A:5 in 

supplement no. 1 to part 740 (Country 

Groups) and in supplement no. 3 to part 

746 (Countries Excluded from Certain 

License Requirements of §§ 746.6, 746.7, 

and 746.8)). 

BIS is publishing this rule as a 

proposed rule to receive comments on 

the proposed changes and to solicit 

public comments on general questions 

about License Exception STA. BIS 

particularly seeks input on whether any 

aspect of License Exception STA 

discourages use of the exception. 

License Exception STA was intended to 

be used in almost all cases when 

available, and BIS believed at the time 

License Exception STA was added to 

the EAR that it would be used in almost 

all cases when available. The use of 

License Exception STA has grown since 

2011, but it remains persistently 

underutilized. In fiscal year (FY) 2022, 

10% of all license applications reviewed 

by BIS were for transactions eligible for 

license exception STA. With respect to 

‘‘600 series’’ munitions items, in FY 

2022, 26% of license applications BIS 

processed were for transactions that 

were eligible for license exception STA. 

Advantages of License Exception STA 

Over a BIS License 

BIS has set out various evaluation 

criteria below to compare License 

Exception STA and BIS licenses. BIS 

has emphasized these points since 2011 

in explaining to exporters, reexporters, 

and transferors the significant 

advantages to using License Exception 

STA compared to using a BIS license, 

with the one exception that License 

Exception STA does not allow for 

subsequent use of License Exception 

Additional Permissive Reexports (APR) 

under § 740.16(a) or (b). BIS also 

welcomes comments in response to this 

proposed rule for commenters to 

include any additional evaluation 

criteria that may be relevant when 

determining whether to use License 

Exception STA or a BIS license, in 

particular if those additional evaluation 

criteria may be why some exporters, 

reexporters, or transferors prefer using 

BIS licenses over License Exception 

STA when it is available. 

Evaluation criteria License exception STA BIS license 

Quantity authorized .............. No limitation on quantity ................................................. Limited to the quantity specified on the license. 

Dollar value authorized ........ No limitation on the dollar value ..................................... Dollar value is limited to the dollar value specified on 

the license and may only exceed that amount when it 

is within the shipping tolerance provisions under 

§ 750.11, which generally allow for the total dollar 

value stated on that license to be exceeded by up to 

10% of the dollar value. 


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85736 Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 

1Note that also consistent with § 734.11, the U.S. 

Government may request to conduct an end-use 

check for items received under any other BIS 

license exception or No License Required (NLR) 

designated shipments. 

2For example, an exporter is exporting a ‘‘600 

series’’ item to a defense contractor in the U.K. and 

knows there are three additional defense 

contractors involved in the manufacturing process 

prior to the finished item being provided to the U.S. 

military. This could be authorized under a BIS 

license instead of using License Exception STA, but 

if an additional U.K. defense contractor needs to be 

added that was not contemplated at the time the 

license was approved, a new license or other EAR 

license exception would be needed. For ‘‘600 

series’’ items received under License Exception 

STA, as noted in the previous column, no 

authorization would be required to transfer (incountry) to the new entity involved in the 

manufacturing process, provided the ‘completing 

the chain’ concept is still followed for the ‘‘600 

series’’ item. For other items received under License 

Exception STA, there is no ‘completing the chain’ 

concept, so License Exception STA is even easier 

to use for transfers (in-country). 

3This has historically been one advantage to 

using a BIS license instead of License Exception 

STA. Today’s proposed rule proposes narrowing the 

scope of the License Exception STA restriction on 

use of License Exception APR under § 740.16(a) or 

(b) for destinations identified in both Country 

Group A:5 and in supplement no. 3 to part 746 to 

put License Exception STA on a more equal playing 

field with BIS licenses in this respect. 

Evaluation criteria License exception STA BIS license 

Time needed to obtain the 

authorization.

License Exception STA is a written authorization in the 

EAR, so provided you meet the terms and conditions, 

License Exception STA could be used the same day 

you determine an authorization is needed.

Applying for a BIS license takes time. In certain cases, 

an applicant may be able to request expedited review 

(BIS licenses do not generally require a purchase 

order), but in most cases the review process will take 

on average around 40 calendar days from the time 

the license application is submitted until a final disposition is received from BIS, with processing times 

for some applications being shorter and some taking 

much longer. 

U.S. Government end-use 

checks.

Consistent with § 734.11, the U.S. Government may request to conduct an end-use check for items received under License Exception STA, regardless of 

whether or not the certification requirement in 

§ 740.20(d)(2)(viii) applies to the specific STA transaction 1.

Consistent with § 734.11, the U.S. Government may request to conduct an end-use check for items received under a BIS license. These are done prior to 

a consignee receiving the items as a pre-license 

check or after the items are received as a post-shipment verification. 

Subsequent transfers (incountry).An item received under License Exception STA may be 

transferred (in-country) without requiring an EAR authorization, provided there are no part 744 end-use 

or end-user license requirements. This concept also 

applies to ‘‘600 series’’ items, but the ‘completing the 

chain concept’ as specified in Note 1 to paragraphs 

(b)(2) and (b)(3) (which this rule would redesignate 

as Note 1 to paragraph (b)(3)) of License Exception 

STA would need to be completed for a ‘‘600 series’’ 

item received under License Exception STA.

An item received under a BIS license may only be 

transferred (in-country) as authorized under the BIS 

license. Any transfer (in-country), such as to an end 

user not identified on the license, would require a 

new license or a separate EAR authorization. This is 

a significant disadvantage to using a BIS license 

compared to using License Exception STA.2

Restrictions on subsequent 

reexports.

Commodities shipped pursuant to License Exception 

STA may not subsequently be reexported pursuant to 

paragraphs (a) or (b) of License Exception APR 

under § 740.16(a) or (b) 3.

Unless limited by a condition on the license regarding 

the use of License Exception APR, a BIS license 

does not have limitations on the use of License Exception APR under § 740.16(a) or (b). 

II. Clarification That License Exception 

STA Is Not A List-Based License 

Exception, Adding Additional 

Compliance Guidance on Steps To 

Determine if ECCN Is Excluded 

In the introductory text to License 

Exception STA in § 740.20, this rule 

proposes revising the first sentence and 

adding two new sentences at the end. 

The first sentence would specify that 

License Exception STA is not a listbased license exception. Rather, it is a 

transaction-based license exception. A 

list-based license exception requires 

reviewing the License Exceptions 

section in an ECCN and seeing an 

affirmative statement that the list-based 

license exception is available. License 

Exception STA does not appear under 

the License Exceptions section of any 

ECCN because it is not a list-based 

license exception; therefore, this 

additional step is not required for 

determining whether License Exception 

STA is available. The sentence this rule 

proposes to add will make this point 

clear for exporters, reexporters, and 

transferors. BIS also welcomes 

comments on whether it would be more 

beneficial to turn License Exception 

STA into a list-based license exception. 

Certain information from an ECCN is 

used to determine whether License 

Exception STA may be used. For 

example, the reason(s) for control of an 

ECCN is (are) needed for determining 

whether an item classified under an 

ECCN may be authorized under License 

Exception STA. In addition, 142 ECCNs 

contain a Special Conditions STA 

section, which in most cases excludes 

the use of License Exception STA for an 

entire ECCN or portions of an ECCN for 

destinations identified in Country 

Group A:6. In 25 of those 142 Special 

Conditions for STA sections, there are 

exclusions for entire ECCNs or portions 

of an ECCN for destinations in Country 

Groups A:5 and A:6—meaning License 

Exception STA is not available in any 

case to authorize those items. As 

described under section V.A, this 

proposed rule proposes various changes 

to the Special Conditions for STA 

section in the ECCNs to adopt a simpler 

and consistent approach for excluding 

ECCNs or certain items under ECCNs 

from License Exception STA, along with 

proposing conforming changes to 

§ 740.20(b)(2). 

III. Clarifying License Exception STA Is 

Eligible for Deemed Exports and 

Deemed Reexports and Excluding 

Requirement for Recipient To Have 

Been Approved on a Prior U.S. 

Government Authorization 

A. Clarifying STA Is Available for 

Deemed Exports and Deemed Reexports 

Under the introductory text to 

§ 740.20, this rule proposes revising the 

first sentence and adding a new second 

sentence to make it clear at the 

beginning of License Exception STA 

that the license exception may be used 

to authorize deemed exports and 

deemed reexports. BIS still receives 

questions from exporters, reexporters, 

and transferors on whether License 

Exception STA may be used to 

authorize deemed exports and deemed 

reexports, so this step would improve 

public understanding. The current 


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introductory text prior to these 

proposed changes uses the phrase 

‘‘including releases within a single 

country of software source code and 

technology to foreign nationals,’’ which 

has the same meaning as deemed 

exports and deemed reexports, but to 

simplify the text, this rule proposes 

removing that text and adding in its 

place the terms deemed exports and 

deemed reexports. The second new 

sentence this rule would add to the 

introductory text specifies that for the 

paragraph (d) requirements, only 

paragraph (d)(4) is applicable for 

deemed exports and deemed reexports. 

Paragraph (d)(4) already specifies this 

relationship with paragraphs (d)(1) 

through (3), but this is still a common 

question that BIS receives on the use of 

License Exception STA. 

B. Addition of a General Statement to 

Part 740 About the Use of EAR License 

Exceptions for Deemed Exports and 

Deemed Reexports 

In § 740.1 Introduction, this rule 

proposes adding one sentence to the end 

of paragraph (a) (Scope) to clarify that 

any license exception authorizing 

exports and reexports of technology also 

authorizes deemed exports and deemed 

reexports, provided the terms and 

conditions for a release of technology 

under that license exception are met. 

This rule proposes this sentence to 

ensure that the scope of license 

exceptions also extends to deemed 

exports and deemed reexports provided 

the criteria are met. Certain EAR license 

exceptions are available for deemed 

exports and deemed reexports, such as 

License Exception Technology and 

software under restriction (TSR) under 

§ 740.6, but do not include a specific 

reference to deemed exports and 

deemed reexports. BIS welcomes 

comments in response to the rule 

whether it would be better to include 

this proposed sentence in § 740.1 or to 

revise each of the applicable license 

exception sections in part 740 to add in 

a reference to deemed exports and 

deemed reexports. 

C. Excluding Deemed Exports and 

Deemed Reexports From Note to 

Paragraph (c)(1) 

In § 740.20, this rule proposes adding 

one sentence to the end of the Note to 

paragraph (c)(1), to specify the note is 

not applicable to deemed exports or 

deemed reexports authorized under 

License Exception STA under 

§ 740.20(c)(1). BIS originally added the 

Note to paragraph (c)(1) to weed out 

potential front companies that may have 

tried to receive ‘‘600 series’’ items under 

License Exception STA under 

§ 740.20(c)(1). The note to paragraph 

(c)(1) specified that License Exception 

STA under § 740.20(c)(1) may be used to 

authorize the export, reexport, or 

transfer (in-country) of ‘‘600 series’’ 

items only if the purchaser, 

intermediate consignee, ultimate 

consignee, and end user have previously 

been approved on a license or other 

approval and the note identifies the 

types of licenses or other approvals that 

are acceptable. For most exporters, 

reexporters, or transferors, this Note to 

paragraph (c)(1) has been easy to 

comply with and even when an 

exporter, reexporter, or transferor was 

not able to meet the terms of the note, 

that was easily addressed by applying 

for a license for that transaction. Then 

once the license was granted, the 

exporter, reexporter, or transferor would 

meet the terms of the Note to paragraph 

(c)(1) and could use License Exception 

STA going forward, provided the export, 

reexport, or transfer (in-country) met the 

other applicable terms and conditions 

for License Exception STA. 

In the deemed export and deemed 

reexport context for the ‘‘600 series,’’ 

the application of the Note 1 to 

paragraph (c)(1) has brought about 

certain unexpected results. First, 

because the person releasing the ‘‘600 

series’’ technology to the foreign 

national would be in a position to vet 

the person in most cases as part of the 

employment with the entity making the 

release, which may include requiring 

entry into a nondisclosure agreement, 

the concern with a foreign national 

being an unknown entity is significantly 

less compared to an entity on the other 

side of the world that will be receiving 

a ‘‘600 series’’ item. Second, although 

the entity making a deemed export or 

deemed reexport could also apply for a 

license if needed initially to address the 

Note to paragraph (c)(1), in most cases 

once going through the process of 

obtaining a deemed export license from 

BIS, the entity making the deemed 

export or deemed reexport would likely 

simply rely on the BIS deemed export 

or deemed reexport license going 

forward instead of using License 

Exception STA. This would limit the 

usefulness of License Exception STA for 

authorizing ‘‘600 series’’ deemed 

exports and deemed reexports of 

technology and would not be warranted 

as a restriction in order to protect U.S. 

national security and foreign policy 

interests. At least in part as a result of 

this restriction, in FY 2022, BIS 

approved over 60 deemed export or 

deemed reexport license applications 

for ‘‘600 series’’ that would otherwise 

have been eligible for license STA 

because the recipients were nationals of 

A:5 countries. For these reasons, this 

rule proposes adding a sentence to the 

end of the Note to paragraph (c)(1) to 

exclude deemed exports and deemed 

reexports from the scope of this note. 

BIS has provided past regulatory 

guidance on this question, which does 

mitigate some concern about this Note 

1 to paragraph (c)(1) discouraging the 

use of License Exception STA. To make 

all members of the public aware of this 

past guidance that BIS has provided to 

other deemed exporters and deemed 

reexporters, BIS includes that guidance 

here on the application of Note 1 to 

paragraph (c)(1). If the foreign person is 

a bona fide ‘permanent and regular 

employee’ of an entity that has 

previously been approved as a 

purchaser, intermediate consignee, 

ultimate consignee, or end user on a 

license or other approval, i.e., 

Directorate of Defense Trade Controls 

(DDTC) Manufacturing License 

Agreement (MLA), Technical Assistance 

Agreement (TAA), Warehouse 

Distribution Agreement (WDA), or 

General Correspondence approval (GC) 

issued by BIS or DDTC at the U.S. 

Department of State, this would meet 

the requirement of the Note to 

paragraph (c)(1). For example, if a 

foreign national that is a bona fide 

‘‘permanent and regular employee’’ of a 

European software company was 

meeting with a company in the U.S. and 

‘‘600 series’’ technology or software 

source code was to be released, it would 

be sufficient for purposes of the Note to 

paragraph (c)(1), that the European 

software company met the scope of the 

Note to paragraph (c)(1) and this would 

extend to their bona fide ‘‘permanent 

and regular employee.’’ In addition, if 

the foreign national had previously been 

listed individually on a license or other 

approval, as noted above that would be 

the second route for meeting the scope 

of the Note to paragraph (c)(1) for that 

foreign national. Note that a foreign 

person being a bona fide ‘‘permanent 

and regular employee’’ of a U.S. entity 

that previously had been listed as an 

entity on a license or approval, such as 

an approved exporter, is not sufficient 

to meet the scope of the Note to 

paragraph (c)(1), because the concern in 

that scenario is with the bona fides of 

the foreign national and not the U.S. 

entity. BIS does note that this guidance 

will no longer be necessary if the 

proposed change becomes final and 

effective. BIS encourages as a good 

compliance practice for entities using 

License Exception STA for deemed 

exports and deemed reexports to have 

measures in place to vet the foreign 


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national, such as employment screening 

and the use of non-disclosure 

agreements. In addition, any deemed 

export or deemed reexport authorized 

under License Exception STA will need 

to comply with the requirements of 

paragraph (d)(4) (Requirements for 

releases of software source code or 

technology within a single country). 

V. Simplification of Limitations on Use 

of License Exception STA Under 

Paragraph (b)(2) and Special 

Conditions for STA Section in ECCNs 

A. Adopting a Simpler and Consistent 

ECCN Exclusion Approach for License 

Exception STA and Clarifying 

Relationship Between § 740.20(b)(2) and 

Special Conditions for STA Section in 

ECCNs 

This proposed rule seeks to simplify 

License Exception STA by adopting a 

simpler and consistent approach for 

excluding ECCNs from License 

Exception STA. These proposed 

changes are discussed in this Section 

V.A, which also provides background 

on the current requirements and how 

these requirements have evolved since 

2011. This rule proposes changes to 

enable exporters, reexporters, and 

transferors to more easily, quickly, and 

consistently determine whether an item 

is eligible for License Exception STA. 

Prior to reviewing the exclusions 

under § 740.20(b)(2) of License 

Exception STA, the exporter, reexporter, 

or transferor should review the Special 

Conditions for STA section in the 

applicable ECCN, which may exclude 

that ECCN or certain items under that 

ECCN from the use of License Exception 

STA. Substantively, in order to 

determine if an ECCN or certain items 

under that ECCN is excluded from the 

use of License Exception STA, an 

exporter, reexporter, or transferor will 

need to confirm that the item is not 

excluded under the Special Conditions 

for STA section of the ECCN and that 

the ECCN is not otherwise excluded 

from the use of License Exception STA 

under § 740.20(b)(2). 

ECCNs as a whole or certain items 

under an ECCN may be excluded from 

License Exception STA under the 

Special Conditions for STA section of 

an Export Control Classification Number 

(ECCN) or under the exclusions under 

§ 740.20(b)(2). When License Exception 

STA was originally added to the EAR, 

the construct was that the Special 

Conditions for STA section would 

generally be used to exclude certain 

items from License Exception STA for 

Country Group A:6, and the ECCNs 

exclusions under § 740.20(b)(2) would 

be used to exclude items completely 

from License Exception STA for 

Country Groups A:5 and A:6. However, 

over time as eligibility for certain 

ECCNs has been adjusted for License 

Exception STA, BIS deviated from the 

general construct for excluding ECCNs 

or certain items under ECCNs, and this 

has created unneeded complexity. This 

rule proposes changes to adopt a 

simpler and consistent approach for 

how ECCNs or certain items under 

ECCNs would be excluded from License 

Exception STA for Country Group A:6 

or for Country Groups A:5 and A:6. 

For example, in some of the Special 

Conditions for STA sections in ECCNs, 

BIS started excluding those ECCNs or 

certain items under those ECCNs 

completely from License Exception STA 

for Country Groups A:5 and A:6 instead 

of relying on § 740.20(b)(2), which 

deviates from the original construct. In 

other cases, BIS used both Special 

Conditions for STA sections and 

§ 740.20(b)(2) to exclude ECCNs or 

certain items under those ECCNs 

completely from License Exception STA 

for Country Groups A:5 and A:6. Each 

of those variants creates unneeded 

complexity for exporters, reexporters, 

and transferors trying to understand 

what ECCNs or portions of ECCNs are 

excluded under License Exception STA, 

in particular if they are looking for a 

consistent construct for how items are 

being excluded under License Exception 

STA. 

If either the Special Conditions for 

STA section or § 740.20(b)(2) excludes 

an item from the use of License 

Exception STA, then that item is 

excluded. However, from a compliance 

perspective, using two different 

methods, and in certain cases using both 

methods of exclusion, creates 

unnecessary complexity. This rule 

would adopt a consistent, single 

construct for how ECCNs or portions of 

ECCNs are excluded from License 

Exception STA, which should make it 

easier for exporters, reexporters, and 

transferors to apply this aspect of 

License Exception STA. 

This rule would make the following 

changes to § 740.20(b)(2) to improve this 

aspect of License Exception STA. In 

§ 740.20(b)(2) (Limitations on the Use of 

License Exception STA), this rule would 

revise the paragraph heading to read as 

‘‘Items excluded from the use License 

Exception STA for Country Groups A:5 

and A:6.’’ This rule proposes deleting 

all of paragraph (b)(2) ECCN exclusions 

and moving those exclusions into the 

Special Conditions for STA section of 

the 29 respective ECCNs, except for 

existing paragraph (b)(2)(i), and existing 

paragraph (b)(2)(iii), which would be 

redesignated as paragraph (b)(2)(ii). This 

rule also proposes the removal of the 

redundant paragraph (b)(2)(iv) that 

specified License Exception STA was 

not available for items subject to the 

exclusive export control jurisdiction of 

another U.S. Government agency. 

Paragraph (b)(2)(iv) is not needed 

because § 734.3(b)(1) of the EAR already 

specifies that items subject to the 

exclusive export control jurisdiction of 

another U.S. Government agency are not 

subject to the EAR. Paragraph (b)(2) 

would be limited to paragraph (b)(2)(i) 

specifying that License Exception STA 

may not be used to overcome parts 744 

or 746 license requirements and 

paragraph (b)(2)(ii) specifying the 

reasons for control that License 

Exception STA may not overcome. The 

remaining paragraphs are under 

paragraph (b)(2) would be removed and 

added under the respective 29 ECCNs. 

The revisions to the 29 ECCNs would 

consist of revising 10 of the ECCNs 

(0A501, 1E001, 3E001, 6D003, 6E001, 

6E002, 9D001, 9D002, 9D004, and 

9E003), which already include an 

exclusion for certain portions of those 

ECCNs to exclude certain items under 

those ECCNs from License Exception 

STA for purposes of Country Group A:6, 

to identify the additional items under 

those ECCNs that are excluded from 

License Exception STA for both Country 

Groups A:5 and A:6. This rule also 

proposes revising 19 ECCNs (0A502, 

0A503, 0A981, 0A982, 0A983, 0E504, 

0E982, 1C353, 1C354, 1E351, 2E003, 

6A002, 6D002, 6D991, 7D004, 9A001, 

9B001, 9E001, 9E002), that do not 

include a Special Conditions for STA 

section to add an exclusion for those 

items for License Exception STA for 

purposes of Country Group A:5 and A:6. 

For 1E001, 2E003, 6D002, 7D004, 

9B001, 9E001, and 9E002, this rule also 

proposes additional restrictions for STA 

eligibility. 

As a conforming change to these 

proposed revisions to paragraph (b)(2), 

this rule would redesignate Note 1 to 

paragraphs (b)(2) and (3) as Note 1 to 

paragraph (b)(3). 

BIS welcomes comments on whether 

the changes above will make it easier for 

exporters, reexporters, and transferors to 

use License Exception STA. In order to 

turn License Exception STA into a listbased license exception, BIS would 

remove all of the Special Conditions for 

STA sections in the respective ECCNs 

and § 740.20(b)(2) and then add STA 

paragraphs under the License 

Exceptions section to each of those 

respective ECCNs. The new STA 

paragraphs would positively identify 

the ECCN or ‘‘items’’ level paragraphs 

under those respective ECCNs that are 

eligible for License Exception STA, 


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including any applicable exclusions. 

This would, in certain cases, lead to 

fairly long STA paragraphs, particularly 

when accounting for the differences in 

STA eligibility between Country Groups 

A:5 and A:6, which may make those 

provisions harder for exporters, 

reexporters, and transferors to 

understand. 

Another alternative that BIS 

welcomes comments on would be to 

remove all of the Special Conditions or 

STA sections in 142 ECCNs and 

§ 740.20(b)(2) and then add two new 

supplements to § 740.20 with one 

supplement identifying items eligible 

for License Exception STA for Country 

Group A:5 and a second supplement 

identifying the smaller set of only items 

controlled for National Security (NS) 

reasons that would be eligible for 

License Exception STA for Country 

Group A:6. Although there could be 

added complexity in taking either of 

these approaches, both cases would 

reduce the overall number of steps 

needed to determine if an item was 

eligible for License Exception STA. 

Lastly, on this aspect of the proposed 

rule, BIS also welcomes comments on 

any other alternative approaches that 

the agency may not have already 

described above that could be a better 

approach for identifying which items 

are eligible for or excluded from License 

Exception STA. 

B. Addition of Note to Paragraph (b)(2) 

To Provide Additional Clarity Between 

the Relationship Between § 740.20(b)(2) 

and Special Conditions for STA Section 

in ECCNs 

In § 740.20, this rule proposes adding 

a new Note to paragraph (b)(2). This 

note would provide greater context on 

the relationship between § 740.20(b)(2) 

and Special Conditions for STA section 

in ECCNs. The note would describe the 

number of Special Conditions for STA 

sections and the types of items excluded 

under those ECCNs and clarify how 

these two exclusion methods work 

together in defining what ECCNs or 

other items under those ECCN are 

excluded from the use of License 

Exception STA, either for Country 

Group A:5 and A:6 or for only Country 

Group A:6. 

VI. Removal of Limitation on Use of 

License Exception APR Under 

Paragraphs (a) and (b) for Reexports 

Between and Among Certain Countries 

To Reflect Their Close Coordination 

With the United States on Export 

Controls 

In § 740.20(e) (Limitation on 

subsequent exports, reexports or in 

country transfers), this rule proposes 

removing the limitation on the use of 

License Exception APR (§ 740.16(a) or 

(b) of the EAR) for commodities that 

have been exported, reexported, or 

transferred in-country pursuant to 

License Exception STA for reexports 

between and among destinations 

identified in both Country Group A:5 in 

supplement no. 1 to part 740 and 

supplement no. 3 to part 746 of the EAR 

(i.e., a destination listed in Country 

Group A:5 but not in supplement no. 3 

to part 746 would not eligible for using 

APR). These destinations have 

cooperated closely with the United 

States on export controls, including 

ensuring appropriate reexport controls 

were in place on Russia and Belarus 

after Russia’s further invasion of 

Ukraine. Accordingly, given their 

effective dual-use export control 

systems and use of those systems to 

advance shared national security and 

foreign policy interests, BIS has 

determined it would be warranted to 

give these destinations more permissive 

treatment to receive items under License 

Exception APR paragraphs (a) and (b), 

which prior to this rule, would have 

required a different EAR authorization, 

such as using License Exception STA to 

authorize the reexport to these 

destinations or a BIS license. 

BIS is aware that the limitation on the 

use of License Exception APR under 

paragraphs (a) and (b) has for certain 

reexporters encouraged them to 

continue to prefer receiving items under 

BIS licenses instead of agreeing to 

receive items under License Exception 

STA. The change this rule would make 

to paragraph (e) to narrow the scope of 

the License Exception APR restriction 

for these destinations would be 

consistent with U.S. national security 

and foreign policy interests and is 

anticipated by BIS to encourage 

consignees, as well as reexporters and 

transferors in these destinations for 

reexports between and among these 

destinations, to be more receptive to 

receiving items under License Exception 

STA, in particular if they have facilities 

that are located in more than one 

destination located in both Country 

Group A:5 and supplement no. 3 to part 

746. 

This rulemaking also proposes 

revisions to paragraph (e) for clarity by 

revising the heading to remove the 

terms ‘‘exports’’ and ‘‘in country 

transfer.’’ The scope of paragraph (e) is 

a limitation on subsequent reexports, so 

this rule proposes making this 

clarification in the heading and in the 

first sentence of paragraph (e) to remove 

the second references to subsequently 

‘‘exported’’ and ‘‘transferred in 

country.’’ Subsequently ‘‘exported’’ 

under License Exception APR is not 

needed because License Exception APR 

only authorizes reexports and transfers 

(in-country), so inclusion of ‘‘exported’’ 

is not needed and may create confusion 

for exporters, reexporters, and 

transferors. The inclusion of 

subsequently ‘‘transferred in country’’ is 

also not needed in the context of this 

paragraph. A commodity received under 

License Exception STA may be 

transferred (in-country) without 

requiring an EAR authorization, 

provided there is no part 744 end-use or 

end user controls applicable. See Note 

1 to paragraph (a) of License Exception 

STA. If the commodity or other item 

received under License Exception STA 

is a ‘‘600 series’’ item, then the 

‘completing the chain’ concept is 

applicable (as specified under Note 1 to 

paragraphs (b)(2) and (3) to License 

Exception STA, which this rule would 

redesignate as Note 1 to paragraph 

(b)(3)), but no additional EAR 

authorization is required for subsequent 

transfers (in-country), provided the 

chain is eventually completed and there 

are no applicable part 744 end-use or 

end user controls. Lastly, for clarity, this 

rule would revise the last sentence of 

paragraph (e) to remove the term 

‘‘export’’ and add in its place the term 

‘‘reexport.’’ 

VII. BIS Seeks Public Comments on 

Scope of ECCNs Eligible for STA 

To assist BIS in assessing whether the 

scope of ECCNs currently eligible for 

STA meets the objective of STA and 

U.S. national security requirements, BIS 

seeks public comment on the following 

issues: 

A. What additional items that are 

currently not eligible for License 

Exception STA do you believe should 

have STA eligibility added for Country 

Group A:5 or for both Country Groups 

A:5 and A:6? Commenters should 

identify specific ECCNs and the 

rationale for adding STA eligibility for 

Country Group A:5 or both Country 

Groups A:5 and A:6. 

B. What additional items that are 

currently eligible for License Exception 

STA do you believe should have STA 

eligibility removed for Country Group 

A:5, for Country Group A:6, or for both 

Country Groups A:5 and A:6? In this 

rule, the USG is including proposed 

revisions to the License Exception STA 

eligibility for items under seven ECCNs 

in particular. 

C. This rulemaking proposes specific 

regulatory revisions to further limit STA 

eligibility for the following ECCNs: 

1. 1E001: The current STA special 

condition states that License Exception 

STA may not be used to ship or transmit 


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85740 Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 

‘‘technology’’ according to the General 

Technology Note for the ‘‘development’’ 

or ‘‘production’’ of equipment and 

materials specified by ECCNs 1A002, 

1C001, 1C007.c, 1C010.c or d or 1C012 

to any of the destinations listed in 

Country Group A:6. The proposed 

revisions to the regulatory text for 1E001 

would restrict STA eligibility for 1E001 

‘‘technology’’ for the ‘‘development’’ or 

‘‘production’’ of items specified in 

ECCNs 1A002; 1C001; 1C007.c or .d; 

1C008.a.1; 1C009.b; 1C010.b, .c or .d; 

1C351.a, .b, .c, .d.11, .d.12, .d.14, .d.15, 

or .e; 1C353; or 1C354, to any of the 

destinations listed in Country Group 

A:5 or A:6. In addition, the proposed 

revisions to the regulatory text for 1E001 

would restrict STA eligibility for 

‘‘technology’’ according to the General 

Technology Note for the ‘‘development’’ 

or ‘‘production’’ of equipment and 

materials specified by ECCN 1C012 to 

any of the destinations listed in Country 

Group A:6. 

2. 2E003: The current 2E003 does not 

include a Special Conditions for STA 

section. The proposed revisions to the 

regulatory text for 2E003 would add a 

Special Conditions for STA section to 

restrict STA eligibility for ‘‘technology’’ 

according to the General Technology 

Note for 2E003.f when used for the 

application of inorganic overlay 

coatings on gas turbine engine 

combustors, or turbine blades, vanes or 

‘‘tip shrouds,’’ to any of the destinations 

listed in Country Group A:5 or A:6. 

Note for proposed changes to 1E001 and 

2E003: As referenced under the Section I, BIS 

requested public comment regarding STA 

eligibility of ECCN 1E001 and 2E003.f in the 

October 2021 rule. BIS received 6 public 

comments, and the comments were generally 

not supportive of new restrictions on STA 

eligibility for these two ECCNs; however, 

given the passage of two years and the 

current rule’s request for comments on STA 

eligibility for other ECCNs, BIS wants to 

provide the public another opportunity to 

submit additional comments on 1E001 and 

2E003.f, including those six entities that 

submitting comments previously, as well as 

any other interested entities. 

3. 6D002: The current STA special 

condition in § 740.20(b)(2) states that 

License Exception STA may not be used 

for ‘‘software’’ in ECCN 6D002 

‘‘specially designed’’ for the ‘‘use’’ of 

commodities controlled under 6A002.b, 

to any of the destinations listed in 

Country Group A:5 or A:6. The 

proposed revisions to the regulatory text 

for 6D002 would restrict STA eligibility 

for software ‘‘specially designed’’ for the 

’’use’’ of equipment controlled by 

6A008 and 6B008 to both Country 

Group A:5 and A:6. 

4. 7D004: The current STA Special 

condition states that ‘‘License Exception 

STA may not be used to ship or transmit 

‘‘software’’ in 7D004.a to .d and .g to 

any of the destinations listed in Country 

Groups A:6.’’ The proposed revisions to 

the regulatory text in 7D004 would 

extend the STA eligibility restriction to 

Country Group A:5. 

5. 9B001: The current STA Special 

condition states that ‘‘License Exception 

STA may not be used to ship 

commodities in 9B001 to any of the 

destinations listed in Country Group 

A:6.’’ The proposed revisions to the 

regulatory text in 9B001 would extend 

the STA eligibility restriction to Country 

Group A:5. 

6. 9E001: The current STA Special 

condition states that ‘‘License Exception 

STA may not be used to ship or transmit 

any technology in this entry to any of 

the destinations listed in Country Group 

A:6.’’ The proposed revisions to the 

regulatory text in 9E001 would extend 

the STA eligibility restriction so that 

STA would not be able to used to ship 

or transmit any technology in 9E001 for 

the ‘‘development’’ of equipment under 

9B001 to destinations in Country Group 

A:5 or A:6. 

7. 9E002: The current STA Special 

condition states that ‘‘License Exception 

STA may not be used to ship or transmit 

any technology in this entry to any of 

the destinations listed in Country Group 

A:6. The proposed revisions to the 

regulatory text in 9E002 would extend 

the STA eligibility restriction so that 

STA would not be able to used to ship 

or transmit any technology in 9E002 for 

the ‘‘production’’ of equipment under 

9B001 to destinations in Country Group 

A:5 or A:6. 

Note: BIS requested public comment 

regarding STA eligibility of ECCN 9E003.k in 

the interim final rule which implemented 

decisions from the 2022 Wassenaar 

Arrangement (WA 2022 rule) (see 88 FR 

71932 (October 18, 2023)); comment period 

for the WA22 rule closes on December 5, 

2023. The restrictions BIS proposes for the 

regulatory text of the STA Special Conditions 

for ECCNs 6D002, 7D004, 9B001, 9E001, and 

9E002 (and 9E003 in the WA 2022 rule) are 

included solely to provide clarity to the 

public of the potential scope of such 

restrictions to facilitate BIS’s receipt of 

informed comments from the regulated 

public. Such text does not indicate BIS’s 

regulatory intent to adopt such restrictions in 

final form. 

Comments are welcome from the 

public on the STA eligibility restrictions 

proposed in this rule on ECCNs 1E001, 

2E003, 6D002, 7D004, 9B001, 9E001, 

9E002, as well as any other ECCN. As 

part of these comments, BIS welcomes 

information on the impact such changes 

would have to existing programs and 

transactions. 

VIII. BIS Seeks Public Comments on the 

Following Additional Questions 

In addition to the questions described 

above that BIS seeks public comments, 

BIS in this proposed rule also seeks 

comments on the following questions: 

A. What factors contribute to the 

apparent reluctance of certain exporters, 

reexporters, and transferors to use 

License Exception STA or certain 

consignees to receive items under 

License Exception STA? 

B. What changes should be made to 

the EAR to encourage greater usage of 

License Exception STA? 

C. What changes or clarifications 

could be made to the information 

required on the prior consignee 

statement required under § 740.20(d)(2) 

for the ‘‘600 series,’’ 9x515 ECCNs, and 

other ECCNs’ prior consignee statements 

to facilitate increased usage of License 

Exception STA? 

D. What additional changes could be 

made to License Exception STA to 

further facilitate exports, reexports, and 

transfers (in-country) between and 

among destinations identified in both 

Country Group A:5 in supplement no. 1 

to part 740 and supplement no. 3 to part 

746? 

E. What are the anticipated effects of 

requiring use of License Exception STA 

under the EAR when eligible, like other 

EAR license exceptions? 

F. Should License Exception STA be 

a list-based license exception? 

G. What type of additional BIS 

outreach materials or outreach activities 

could encourage greater usage of 

License Exception STA? 

Rulemaking Requirements 

1. BIS has examined the impact of this 

rule as required by Executive Orders 

12866, 13563, and 14094, which direct 

agencies to assess all costs and benefits 

of available regulatory alternatives and, 

if regulation is necessary, to select 

regulatory approaches that maximize 

net benefits (including potential 

economic, environmental, public, 

health, and safety effects, distributive 

impacts, and equity). This rule is 

considered a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order 12866. 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501 

et seq.) (PRA), unless that collection of 

information displays a currently valid 

Office of Management and Budget 

(OMB) Control Number. 


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This rule involves the following 

OMB-approved collections of 

information subject to the PRA: 

• 0694–0088, ‘‘Multi-Purpose 

Application,’’ which carries a burden 

hour estimate of 29.4 minutes for a 

manual or electronic submission; 

• 0694–0096 ‘‘Five Year Records 

Retention Period,’’ which carries a 

burden hour estimate of less than 1 

minute; 

• 0694–0122, ‘‘Licensing 

Responsibilities and Enforcement;’’ and 

• 0607–0152 ‘‘Automated Export 

System (AES) Program,’’ which carries a 

burden hour estimate of 3 minutes per 

electronic submission. 

BIS expects the burden hours 

associated with these collections to 

decease by 221 hours for an estimated 

cost decrease of $7,735, which is within 

the estimated burdens and costs of these 

collections. Additional information 

regarding these collections of 

information—including all background 

materials—can be found at https://

www.reginfo.gov/public/do/PRAMain by 

using the search function to enter either 

the title of the collection or the OMB 

Control Number. 

3. This rule does not contain policies 

with federalism implications as that 

term is defined in Executive Order 

13132. 

4. Pursuant to section 1762 of ECRA 

(50 U.S.C. 4821), this action is exempt 

from the Administrative Procedure Act 

(APA) (5 U.S.C. 553) requirements for 

notice of proposed rulemaking, 

opportunity for public participation, 

and delay in effective date. While 

section 1762 of ECRA provides 

sufficient authority for such an 

exemption, this action is also 

independently exempt from these APA 

requirements because it involves a 

military or foreign affairs function of the 

United States (5 U.S.C. 553(a)(1)). 

However, in order to better inform these 

regulatory changes, BIS is publishing 

this rule as a proposed rulemaking in 

order to solicit public comments before 

being published in final form. 

5. Because a notice of proposed 

rulemaking and an opportunity for 

public comment are not required to be 

given for this rule by 5 U.S.C. 553, or 

by any other law, the analytical 

requirements of the Regulatory 

Flexibility Act, 5 U.S.C. 601, et seq., are 

not applicable. Accordingly, no 

regulatory flexibility analysis is 

required, and none has been prepared. 

List of Subjects 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements. 

For the reasons stated in the 

preamble, parts 740 and 774 of the 

Export Administration Regulations (15 

CFR parts 730 through 774) are 

proposed to be amended as follows: 

PART 740—LICENSE EXCEPTIONS 

■ 1. The authority citation for part 740 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 

1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 

3 CFR, 2001 Comp., p. 783. 

■ 2. Section 740.1 is amended by adding 

a sentence at the end of paragraph (a) to 

read as follows: 

§ 740.1 Introduction. 

* * * * * 

(a) * * * Any license exception 

authorizing exports and reexports of 

technology also authorizes deemed 

exports and deemed reexports, provided 

the terms and conditions for a release of 

technology under that license exception 

are met. 

* * * * * 

■ 3. Section 740.20 is revised to read as 

follows: 

§ 740.20 License Exception Strategic 

Trade Authorization (STA). 

(a) Introduction. This section 

authorizes exports, reexports, and 

transfers (in-country), including deemed 

exports and deemed reexports, in lieu of 

a license that would otherwise be 

required pursuant to part 742 of the 

EAR. For purposes of the paragraph (d) 

requirements, only paragraph (d)(4) is 

applicable for deemed exports and 

deemed reexports. License Exception 

STA is not a list-based license 

exception. 

Note 1 to paragraph (a): License Exception 

STA authorizes transfers (in-country) but is 

only needed to authorize a transfer (incountry) when an EAR authorization is 

required. If a transfer (in-country) is not 

being made under STA, the requirements 

specified in this section do not apply (see 

Note 1 to paragraph (b)(3) of this section for 

requirements specific to staying within the 

scope of the original License Exception STA 

authorization and the concept of ‘completing 

the chain’ for purposes of ‘‘600 series’’ items 

originally authorized under License 

Exception STA). 

(b) Requirements and Limitations—(1) 

Requirements for Using License 

Exception STA. 

(i) All of the reasons for control that 

impose a part 742 license requirement 

on the export, reexport, or in country 

transfer must be addressed in at least 

one authorizing paragraph of this 

section. 

(ii) The party using License Exception 

STA must comply with all of the 

requirements in paragraph (d) of this 

section. 

(2) Items excluded from the use 

License Exception STA for Country 

Groups A:5 and A:6. Items identified 

under paragraphs (b)(2)(i) and (ii) are 

excluded from License Exception STA 

for Country Groups A:5 and A:6. 

(i) License Exception STA may not be 

used in lieu of any license requirement 

imposed by ‘‘Part 744—Control Policy: 

End User and End Use Based’’ or by 

‘‘Part 746—Embargoes and Other 

Special Controls’’ of the EAR. 

(ii) License Exception STA may not be 

used for any item that is controlled for 

reason of encryption items (EI), short 

supply (SS), surreptitious listening (SL), 

missile technology (MT) or chemical 

weapons (CW); 

Note 2 to paragraph (b)(2): In addition to 

the STA exclusions identified under 

paragraph (b)(2), 157 ECCNs on the CCL 

include Special Conditions for STA, which 

are used to exclude entire ECCNs or parts of 

ECCNs from the use of License Exception 

STA for destinations in Country Group A:6 

or Country Group A:5 and A:6. If an item is 

excluded under the Special Conditions 

section of an ECCN or paragraph (b)(2) of this 

section, the item may not be exported, 

reexported, or transferred (in-country) under 

License Exception STA for that Country 

Group(s). 

(3) Limitations on the Use of STA that 

are Specific to ‘‘600 series’’ Items. (i) 

License Exception STA may not be used 

for any ‘‘600 series’’ items identified in 

the relevant ECCN as not being eligible 

for STA. 

(ii) License Exception STA may be 

used to export, reexport, and transfer 

(in-country) ‘‘600 series’’ items to 

persons, whether non-governmental or 

governmental, if they are in and, for 

natural persons, nationals of a country 

listed in Country Group A:5 (See 

supplement no. 1 to part 740 of the 

EAR) or the United States and if: 

(A) The ultimate end user for such 

items is the armed forces, police, 

paramilitary, law enforcement, customs, 

correctional, fire, or a search and rescue 

agency of a government of one of the 

countries listed in Country Group A:5, 

or the United States Government; 

(B) For the ‘‘development,’’ 

‘‘production,’’ operation, installation, 

maintenance, repair, overhaul, or 

refurbishing of an item in one of the 

countries listed in Country Group A:5 or 

the United States that will be for one, or 

more, of the following purposes: 

(1) Ultimately to be used by any such 

government agencies in one of the 


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countries listed in Country Group A:5 or 

the United States Government; or 

(2) Sent to a person in the United 

States and not for subsequent export 

under § 740.9(b)(1) (License Exception 

TMP for items moving in transit through 

the United States); or 

(C) The United States Government has 

otherwise authorized the ultimate end 

use, the license or other authorization is 

in effect, and the consignee verifies in 

writing that such authorization exists 

and has provided the license or other 

approval identifier to the exporter, 

reexporter, or transferor (as applicable). 

(iii) License Exception STA may not 

be used to export, reexport, or transfer 

(in-country) end items described in 

ECCN 0A606.a, ECCN 8A609.a, ECCN 

8A620.a or .b, or ECCN 9A610.a until 

after BIS has approved their export 

under STA under the procedures set out 

in § 740.20(g). 

(iv) License Exception STA may not 

be used to export, reexport, or transfer 

(in-country) ‘‘600 series’’ items if they 

are ‘‘600 Series Major Defense 

Equipment’’ and the value of such items 

in the contract requiring their export 

exceeds $25,000,000. 

Note 3 to paragraph (b)(3): Any export, 

reexport, or transfer (in-country) originally 

authorized under License Exception STA 

must stay within the scope of the original 

authorization. For example, for ‘‘600 series’’ 

items authorized under License Exception 

STA, such items must be provided to an 

eligible ultimate end user, such as a Country 

Group A:5 military, to stay in compliance 

with the original authorization. This 

requirement for the ‘‘600 series’’ is referred 

to as ‘completing the chain,’ meaning 

regardless of how many times the ‘‘600 

series’’ item is transferred (in-country) or 

whether the ‘‘600 series’’ item is incorporated 

into higher level assemblies or other items, 

the ‘‘600 series’’ item must ultimately be 

provided to an eligible ultimate end user, or 

be otherwise authorized under the EAR. This 

applies regardless of whether the ‘‘600 

series’’ item has been incorporated into a 

foreign-made item that may no longer be 

‘‘subject to the EAR.’’ Because the other items 

eligible for authorization under License 

Exception STA (9x515 and other non-600 

series ECCNs) do not include the ‘‘600 

series’’ requirements specific to ultimate end 

user, this ‘completing the chain’ concept 

does not apply to 9x515 and other non-600 

series ECCNs authorized under License 

Exception STA. However, the original export, 

reexport, or transfer (in-country) made under 

License Exception STA for 9x515 and other 

non-600 series ECCNs still must comply with 

the original authorization—meaning the 

terms and conditions of License Exception 

STA. 

(c) Authorizing paragraphs—(1) 

Multiple reasons for control. Exports, 

reexports, and transfers (in-country) in 

which the only applicable reason(s) for 

control is (are) national security (NS); 

chemical or biological weapons (CB); 

nuclear nonproliferation (NP); regional 

stability (RS); crime control (CC), and/ 

or significant items (SI) are authorized 

for destinations in or nationals of 

Country Group A:5 (See supplement 

no.1 to part 740 of the EAR). 

Note 4 to paragraph (c)(1). License 

Exception STA under § 740.20(c)(1) may be 

used to authorize the export, reexport, or 

transfer (in-country) of ‘‘600 series’’ items 

only if the purchaser, intermediate 

consignee, ultimate consignee, and end user 

have previously been approved on a license 

or other approval, i.e., Directorate of Defense 

Trade Controls (DDTC) Manufacturing 

License Agreement (MLA), Technical 

Assistance Agreement (TAA), Warehouse 

Distribution Agreement (WDA), or General 

Correspondence approval (GC) issued by BIS 

or DDTC at the U.S. Department of State. 

Note to paragraph (c)(1) is not applicable to 

deemed exports or deemed reexports 

authorized under License Exception STA. 

BIS encourages as a good compliance 

practice for entities using License Exception 

STA to authorize deemed exports and 

deemed reexports to have measures in place 

to vet the foreign national, such as 

employment screening and the use of nondisclosure agreements. In addition, any 

deemed export or deemed reexport 

authorized under License Exception STA 

will need to comply with the requirements of 

paragraph (d)(4) of this section. 

(2) Controls of lesser sensitivity. 

Exports, reexports, and transfers (incountry) in which the only applicable 

reason for control is national security 

(NS) and the item being exported, 

reexported, or transferred (in-country) is 

not designated in the STA paragraph in 

the License Exception section of the 

ECCN that lists the item are authorized 

for destinations in or nationals of 

Country Group A:6 (See supplement no. 

1 to this part). 

(d) Conditions—(1) Requirement to 

furnish Export Control Classification 

Number. (i) The exporter must furnish 

to the consignee the ECCN of each item 

to be exported pursuant to this section. 

Once furnished to a particular 

consignee, the ECCN that applies to any 

item need not be refurnished to that 

consignee at the time the same exporter 

makes an additional export of the same 

item, if the information remains 

accurate at the time of the additional 

export. 

(ii) A reexporter or transferor must 

furnish to subsequent consignees the 

ECCN, provided by the exporter or a 

prior reexporter or transferor, of each 

item to be reexported or transferred (incountry) pursuant to this section. Once 

furnished to a particular consignee, the 

ECCN that applies to any item need not 

be refurnished to that consignee at the 

time the same reexporter or transferor 

makes an additional reexport or transfer 

(in-country) of the same item, if the 

information remains accurate at the time 

of the additional reexport or transfer (incountry). 

(iii) For purposes of determining 

reexport or transfer eligibility under this 

section, the consignee may rely on the 

ECCN provided to it by the party 

required to furnish the ECCN under 

paragraph (d)(1)(i) or (ii) of this section 

unless the consignee knows that the 

ECCN is incorrect or has changed. The 

word ‘‘knows’’ has the same meaning as 

the term ‘‘knowledge’’ in § 772.1 of the 

EAR. 

(2) Prior Consignee Statement. The 

requirements in this paragraph (d)(2) 

apply to each party using License 

Exception STA to export, reexport, or 

transfer (in-country), including 

reexporters and transferors of items 

previously received under License 

Exception STA. The exporter, 

reexporter, or transferor must obtain the 

following statement in writing from its 

consignee(s) prior to exporting, 

reexporting, or transferring (in-country) 

the item and must retain the statement 

in accordance with part 762 of the EAR. 

One statement may be used for multiple 

exports, reexports, or transfers (incountry) of the same items between the 

same parties so long as the party names, 

the description(s) of the item(s) and the 

ECCNs are correct. The exporter, 

reexporter, or transferor must maintain 

a log or other record (such as documents 

created in the ordinary course of 

business) that identifies each shipment 

made pursuant to this section and the 

specific consignee statement that is 

associated with each shipment. For 

purposes of this paragraph (d)(2), a log 

or other record is not required for 

intangible (i.e., electronic or in an 

otherwise intangible form) exports, 

reexports, or transfers (in-country) made 

under License Exception STA, but an 

exporter, reexporter, or transferor is 

required, prior to making any export, 

reexport, or transfer (in-country), to 

ensure that a prior consignee statement 

has been obtained pursuant to the 

requirements of this paragraph (d)(2). 

(See Note 1 to paragraph (d)(3) of this 

section for additional guidance on 

intangible exports, reexports, and 

transfers (in-country), including best 

practices). Paragraphs (d)(2)(i) through 

(vi) of this section are required for all 

transactions. In addition, paragraph 

(d)(2)(vii) is required for all transactions 

in ‘‘600 series’’ items and paragraph 

(viii) of this section is required for 

transactions in ‘‘600 series’’ items if the 

consignee is not the government of a 

country listed in Country Group A:5 

(See supplement no. 1 to part 740 of the 

EAR). Paragraph (d)(2)(viii) is also 


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required for transactions including 

9x515 items. 

[INSERT NAME(S) OF CONSIGNEE(S)]: 

(i) Is aware that [INSERT GENERAL 

DESCRIPTION AND APPLICABLE 

ECCN(S) OF ITEMS TO BE SHIPPED 

(e.g., aircraft parts and components 

classified under ECCN 9A610)] will be 

shipped pursuant to License Exception 

Strategic Trade Authorization (STA) in 

§ 740.20 of the United States Export 

Administration Regulations (15 CFR 

740.20); 

(ii) Has been informed of the ECCN(s) 

noted above by [INSERT NAME OF 

EXPORTER, REEXPORTER OR 

TRANSFEROR]; 

(iii) Understands that items shipped 

pursuant to License Exception STA may 

not subsequently be reexported 

pursuant to paragraphs (a) or (b) of 

License Exception APR (15 CFR 

740.16(a) or (b)); 

(iv) Agrees to obtain a prior consignee 

statement when using License 

Exception STA for any reexport or 

transfer (in-country) of items previously 

received under License Exception STA; 

(v) Agrees not to export, reexport, or 

transfer these items to any destination, 

use or user prohibited by the United 

States’ Export Administration 

Regulations; 

(vi) Agrees to provide copies of this 

document and all other export, reexport, 

or transfer records (i.e., the documents 

described in 15 CFR part 762) relevant 

to the items referenced in this statement 

to the U.S. Government as set forth in 

15 CFR 762.7; 

(vii) Understands that License 

Exception STA may be used to export, 

reexport, and transfer (in-country) ‘‘600 

series’’ items to persons, whether nongovernmental or governmental, only if 

they are in and, for natural persons, 

nationals of a country listed in Country 

Group A:5 (See supplement no. 1 to part 

740 of the EAR) or the United States and 

if: 

(A) The ultimate end user for such 

items is the armed forces, police, 

paramilitary, law enforcement, customs, 

correctional, fire, or a search and rescue 

agency of a government of one of the 

countries listed in Country Group A:5 or 

the United States Government; 

(B) For the ‘‘development,’’ 

‘‘production,’’ operation, installation, 

maintenance, repair, overhaul, or 

refurbishing of an item in one of the 

countries listed in Country Group A:5 or 

the United States that will be for one, or 

more, of the following purposes: 

(1) Ultimately to be used by any such 

government agencies in one of the 

countries listed in Country Group A:5 or 

the United States Government; or 

(2) Sent to a person in the United 

States and not for subsequent export 

under § 740.9(b)(1) (License Exception 

TMP for items moving in transit through 

the United States); or 

(C) The United States Government has 

otherwise authorized the ultimate end 

use, the license or other authorization is 

in effect, and the consignee verifies in 

writing that such authorization exists 

and has provided the license or other 

approval identifier to the exporter, 

reexporter or transferor (as applicable). 

(viii) Agrees to permit a U.S. 

Government end-use check with respect 

to the items. 

[INSERT NAME(S) AND TITLE(S) OF 

PERSON(S) SIGNING THS 

DOCUMENT, AND DATE(S) 

DOCUMENT IS SIGNED]. 

Note 5 to paragraph (d)(2): When multiple 

consignees who form a network engaged in 

a production process (or other type of 

collaborative activity, such as joint 

development) will be receiving items under 

License Exception STA, a single prior 

consignee statement for multiple consignees 

may be used for any item eligible for export, 

reexport, or transfer (in-country) under 

License Exception STA, provided all of the 

applicable requirements of License Exception 

STA are met, including those specified in 

paragraph (d)(2). 

Note 6 to paragraph (d)(2): Country Group 

A:5 and A:6 government consignees are not 

required to sign or provide a prior consignee 

statement. 

(3) Notification to consignee of STA 

shipment. With each shipment under 

License Exception STA, the exporter (or 

reexporter or transferor as applicable), 

must notify the consignee in writing 

that the shipment is made pursuant to 

License Exception STA. The notice 

must either specify which items are 

subject to License Exception STA or 

state that the entire shipment is made 

pursuant to License Exception STA. The 

notice must clearly identify the 

shipment to which it applies. The 

written notice may be conveyed by 

paper documents or by electronic 

methods such as facsimile or email. 

Note 7 to paragraph (d)(3): While the 

exporter, reexporter, and transferor must 

furnish the applicable ECCN and obtain a 

consignee statement prior to export, reexport 

or transfer (in-country) made under License 

Exception STA in accordance with the 

requirements of paragraphs (d)(1) and (d)(2) 

of this section, intangible (i.e., electronic or 

in an otherwise intangible form) exports, 

reexports, and transfers (in-country) made 

under License Exception STA are not subject 

to the notification requirements of paragraph 

(d)(3) of this section. However, any export, 

reexport, or transfer (in-country) made under 

STA must stay within the scope of the 

original authorization. 

(4) Requirements for releases of 

software source code or technology 

within a single country. Instead of the 

requirement of paragraphs (d)(1) 

through (d)(3) of this section, the party 

releasing software source code or 

technology to a national of a country 

listed in Country Group A:5 or A:6 (See 

supplement no. 1 to this part) must 

notify the recipient of the software 

source code or technology of the 

restrictions upon further release of the 

software source code or technology. The 

notification must either expressly 

inform the recipient that the EAR 

impose limits on further disclosure or 

must be in the form of an agreement in 

which the recipient agrees to limits on 

further disclosure. Any such agreement 

must impose limits that are equivalent 

to or more restrictive than all limits on 

further disclosure that are imposed by 

the EAR. The notification must be in 

writing and a copy of it must be retained 

by the party making the release and the 

recipient of the release. The notification 

may be in a separate document or 

included in a document such as a 

contract or a nondisclosure agreement. 

If the document has an expiration date, 

it must provide that the restrictions on 

disclosure do not expire. 

(e) Limitation on subsequent 

reexports. If a commodity has been 

exported, reexported or transferred incountry pursuant to this section, it may 

not be subsequently reexported 

pursuant to paragraphs (a) or (b) of 

License Exception APR (§ 740.16(a) or 

(b) of the EAR), except for reexports 

between and among destinations 

identified in both Country Group A:5 in 

supplement no. 1 to this part and 

supplement no. 3 to part 746 of the 

EAR. Paragraphs (a) and (b) of License 

Exception APR do not authorize 

reexports of software or technology. 

(f) Applicability of Wassenaar 

Arrangement reporting requirements. 

See § 743.1 of the EAR for special 

reporting requirements that apply to 

some exports made pursuant to this 

section. 

(g) License Exception STA eligibility 

requests for 9x515 and ‘‘600 series’’ 

items—(1) Applicability. Any person 

may request License Exception STA 

eligibility for end items described in 

ECCN 0A606.a, ECCN 8A609.a, ECCNs 

8A620.a or .b, ‘‘spacecraft’’ in ECCNs 

9A515.a.1, .a.2, .a.3, or .a.4, ‘‘sub-orbital 

craft,’’ or items in 9A515.g, 9A610.a, or 

technology ECCNs 9E515.b, .d, .e, or .f. 

(2) Required information and manner 

of requests. Requests for License 

Exception STA eligibility must be made 

via the BIS Simplified Network 

Application Process–Redesign (SNAP– 

R) system unless BIS authorizes 


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submission via the paper BIS–748–P 

Multipurpose Application form. For 

situations in which BIS 748–P 

submissions may be authorized, see 

§ 748.1(d)(1). For required information 

specific to License Exception STA 

eligibility requests, see supplement no. 

1 to part 748, Blocks 5 and 6 and 

supplement no. 2 to part 748, paragraph 

(w). In SNAP–R the work type for these 

applications is ‘‘Export.’’ 

(3) Timeline for USG review. The 

Departments of Commerce, Defense and 

State will review License Exception 

STA eligibility requests in accordance 

with the timelines set forth in Executive 

Order 12981 and § 750.4. If the License 

Exception STA request is approved, the 

process outlined in paragraph (g)(5)(i) of 

this section is followed. 

(4) Review criteria. The Departments 

of Commerce, Defense and State will 

determine whether the ‘‘end item’’ is 

eligible for this license exception based 

on an assessment of whether it provides 

a critical military or intelligence 

advantage to the United States or is 

otherwise available in countries that are 

not regime partners or close allies. If the 

‘‘end item’’ does not provide a critical 

military or intelligence advantage to the 

United States or is otherwise available 

in countries that are not regime partners 

or close allies, the Departments will 

determine that License Exception STA 

is available unless an overarching 

foreign policy rationale for restricting 

STA availability can be articulated. 

Consensus among the Departments is 

required in order for an ‘‘end item’’ to 

be eligible for License Exception STA. 

Such determinations are made by the 

departments’ representatives to the 

Advisory Committee on Export Policy 

(ACEP), or their designees. 

(5) Disposition of License Exception 

STA eligibility requests —(i) Approvals. 

If the request for STA eligibility is 

approved, the applicant will receive 

notification from BIS authorizing the 

use of the additional License Exception 

STA for the specific end items 

requested. This will be in the form of a 

notice generated by SNAP–R to the 

applicant. Applicants who receive an 

approval notification may share it with 

companies affiliated with them, such as 

a branch or distributor, and may also 

take steps to make it public (e.g., on 

their website) if the applicants so wish. 

In addition, BIS will add a description 

of the approved end item in the relevant 

ECCN and in an online table posted on 

the BIS website, which removes the 

restriction on the use of License 

Exception STA for the end item 

identified in the approved request. BIS 

will publish, as needed, a final rule 

adding this license exception eligibility 

to the EAR for that ECCN entry or end 

item. 

(ii) Denials. If the STA eligibility 

request is not approved, the applicant 

will receive written notification from 

BIS. This will be in the form of a notice 

generated by SNAP–R to the applicant. 

Applicants may re-submit STA 

eligibility requests at any time. 

PART 774—THE COMMERCE 

CONTROL LIST 

■ 4. The authority citation for part 774 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. 

8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22 

U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 

2139a; 15 U.S.C. 1824; 50 U.S.C. 4305; 22 

U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783. 

■ 5. Supplement No. 1 to part 774 is 

amended by revising ECCNs 0A501, 

0A502, 0A503, 0A981, 0A982, 0A983, 

0E504, 0E982, 1C353, 1C354, 1E001, 

1E351, 2E003, 3E001, 6A002, 6D002, 

6D003, 6D991, 6E001, 6E002, 7D004, 

9B001, 9D001, 9D002, 9D004, 9E001, 

9E002, and 9E003, to read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

0A501 Firearms (except 0A502 shotguns) 

and related commodities as follows (see 

List of Items controlled). 

License Requirements 

Reason for Control: NS, RS, FC, UN, AT 

Control(s) 

Country chart 

(see supp. No. 1 

to part 738) 

NS applies to entire 

entry except 

0A501.y.

NS Column 1 

RS applies to entire 

entry except 

0A501.y.

RS Column 1 

FC applies to entire 

entry except 

0A501.y.

FC Column 1 

UN applies to entire 

entry.

See § 746.1 of the 

EAR for UN controls 

AT applies to entire 

entry.

AT Column 1 

License Requirement Note: In addition to 

using the Commerce Country Chart to 

determine license requirements, a license is 

required for exports and reexports of ECCN 

0A501.y.7 firearms to the People’s Republic 

of China. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500 for 0A501.c, .d, and .x. 

$500 for 0A501.c, .d, .e, and .x if the ultimate 

destination is Canada. 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used for ECCN 0A501.a, .b, .c, .d, or .e, to 

any of the destinations listed in Country 

Group A:5 or A:6 (See supplement no.1 to 

part 740 of the EAR). License Exception 

STA may not be used for any item in this 

entry to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) Firearms that are fully 

automatic, and magazines with a capacity 

of greater than 50 rounds, are ‘‘subject to 

the ITAR.’’ (2) See ECCN 0A502 for 

shotguns and their ‘‘parts’’ and 

‘‘components’’ that are subject to the EAR. 

Also see ECCN 0A502 for shot-pistols. (3) 

See ECCN 0A504 and USML Category XII 

for controls on optical sighting devices. 

Related Definitions: N/A 

Items: 

a. Non-automatic and semi-automatic 

firearms equal to .50 caliber (12.7 mm) or 

less. 

Note 1 to paragraph 0A501.a: 

‘Combination pistols’ are controlled under 

ECCN 0A501.a. A ‘combination pistol’ (a.k.a., 

a combination gun) has at least one rifled 

barrel and at least one smoothbore barrel 

(generally a shotgun style barrel). 

Technical Note to 0A501.a: Firearms 

described in 0A501.a includes those 

chambered for the .50 BMG cartridge. 

b. Non-automatic and non-semi-automatic 

rifles, carbines, revolvers or pistols with a 

caliber greater than .50 inches (12.7 mm) but 

less than or equal to .72 inches (18.0 mm). 

c. The following types of ‘‘parts’’ and 

‘‘components’’ if ‘‘specially designed’’ for a 

commodity controlled by paragraph .a or .b 

of this entry, or USML Category I (unless 

listed in USML Category I(g) or (h)): Barrels, 

cylinders, barrel extensions, mounting blocks 

(trunnions), bolts, bolt carriers, operating 

rods, gas pistons, trigger housings, triggers, 

hammers/striker, sears, disconnectors, pistol 

grips that contain fire control ‘‘parts’’ or 

‘‘components’’ (e.g., triggers, hammers/ 

striker, sears, disconnectors) and buttstocks 

that contain fire control ‘‘parts’’ or 

‘‘components.’’ 

Technical Note to 0A501.c: Barrel blanks 

that have reached a stage in manufacturing 

in which they are either chambered or rifled 

are controlled by 0A501.c. 

d. Detachable magazines with a capacity of 

17 to 50 rounds ‘‘specially designed’’ for a 

commodity controlled by paragraph .a or .b 

of this entry. 

Note 2 to paragraph 0A501.d: Magazines 

with a capacity of 16 rounds or less are 

controlled under 0A501.x; for magazines 

with a capacity greater than 50 rounds, see 

USML Category I. 

e. Receivers (frames) and ‘‘complete breech 

mechanisms,’’ including castings, forgings, 

stampings, or machined items thereof, 

‘‘specially designed’’ for a commodity 

controlled by paragraph .a or .b of this entry. 

Note 3 to 0A501.e: Frames (receivers) 

under 0A501.e refers to any ‘‘part’’ or 

‘‘component’’ of the firearm that has or is 


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customarily marked with a serial number 

when required by law. This paragraph 

0A501.e is synonymous with a ‘‘part’’ or 

‘‘component’’ that is regulated by the Bureau 

of Alcohol, Tobacco, Firearms and 

Explosives (see 27 CFR parts 447, 478, and 

479,) as a firearm. 

f. through w. [Reserved] 

x. ‘‘Parts’’ and ‘‘components’’ that are 

‘‘specially designed’’ for a commodity 

classified under paragraphs .a through .c of 

this entry or the USML and not elsewhere 

specified on the USML or CCL. 

y. Specific ‘‘parts,’’ ‘‘components,’’ 

‘‘accessories’’ and ‘‘attachments’’ ‘‘specially 

designed’’ for a commodity subject to control 

in this ECCN or common to a defense article 

in USML Category I and not elsewhere 

specified in the USML or CCL as follows, and 

‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ and 

‘‘attachments’’ ‘‘specially designed’’ therefor. 

y.1. Stocks (including adjustable, 

collapsible, blades and braces), grips, 

handguards, or forends, that do not contain 

any fire control ‘‘parts’’ or ‘‘components’’ 

(e.g., triggers, hammers/striker, sears, 

disconnectors); 

y.2 to y.5. [Reserved] 

y.6. Bayonets; and 

y.7. Firearms manufactured from 1890 to 

1898 and reproductions thereof. 

Technical Note 1 to 0A501: The controls 

on ‘‘parts’’ and ‘‘components’’ in ECCN 

0A501 include those ‘‘parts’’ and 

‘‘components’’ that are common to firearms 

described in ECCN 0A501 and to those 

firearms ‘‘subject to the ITAR.’’ 

Technical Note 2 to 0A501: A receiver with 

any other controlled ‘‘part’’ or ‘‘component’’ 

(e.g., a barrel (0A501.c), or trigger guard 

(0A501.x), or stock (0A501.y.1)) is still 

controlled under 0A501.e. 

Note 4 to 0A501: Antique firearms (i.e., 

those manufactured before 1890) and 

reproductions thereof, muzzle loading and 

black powder firearms except those designs 

based on centerfire weapons of a post 1937 

design, BB guns, pellet rifles, paint ball, and 

all other air rifles are EAR99 commodities. 

Note 5 to 0A501: Muzzle loading and black 

powder firearms with a caliber less than 20 

mm that were manufactured post 1937 that 

are used for hunting or sporting purposes 

that were not ‘‘specially designed’’ for 

military use and are not ‘‘subject to the 

ITAR’’ nor controlled as shotguns under 

ECCN 0A502 are EAR99 commodities. 

Note 6 to 0A501: Scope mounts or 

accessory rails, iron sights, sling swivels, and 

butt plates or recoil pads are designated as 

EAR99. These commodities have been 

determined to no longer warrant being 

‘‘specially designed’’ for purposes of ECCN 

0A501. 

Note 7 to 0A501: A kit, including a 

replacement or repair kit, of firearms ‘‘parts’’ 

or ‘‘components’’ customarily sold and 

exported together takes on the classification 

of the most restrictive ‘‘part’’ or ‘‘component’’ 

that is included in the kit. For example, a kit 

containing 0A501.y and .x ‘‘parts,’’ is 

controlled as a 0A501.x kit because the .x 

‘‘part’’ is the most restrictive ‘‘part’’ included 

in the kit. A complete firearm disassembled 

in a kit form is controlled as a firearm under 

0A501.a, .b, or .y.7. 

0A502 Shotguns; shotguns ‘‘parts’’ and 

‘‘components,’’ consisting of complete 

trigger mechanisms; magazines and 

magazine extension tubes; ‘‘complete 

breech mechanisms;’’ except equipment 

used to slaughter domestic animals or 

used exclusively to treat or tranquilize 

animals, and except arms designed 

solely for signal, flare, or saluting use. 

License Requirements 

Reason for Control: RS, CC, FC, UN, AT, NS 

Control(s) 

Country chart 

(see supp. No. 1 

to part 738) 

NS applies to shotguns with a barrel 

length less than 18 

inches (45.72 cm).

NS Column 1 

RS applies to shotguns with a barrel 

length less than 18 

inches (45.72 cm).

RS Column 1 

FC applies to entire 

entry.

FC Column 1 

CC applies to shotguns with a barrel 

length less than 24 

in. (60.96 cm) and 

shotgun ‘‘components’’ controlled 

by this entry regardless of end 

user.

CC Column 1 

CC applies to shotguns with a barrel 

length greater than 

or equal to 24 in. 

(60.96 cm), regardless of end user.

CC Column 2 

CC applies to shotguns with a barrel 

length greater than 

or equal to 24 in. 

(60.96 cm) if for 

sale or resale to 

police or law enforcement.

CC Column 3 

UN applies to entire 

entry.

See § 746.1(b) of the 

EAR for UN controls 

AT applies to shotguns with a barrel 

length less than 18 

inches (45.72 cm).

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500 for 0A502 shotgun ‘‘parts’’ and 

‘‘components,’’ consisting of complete 

trigger mechanisms; magazines and 

magazine extension tubes. $500 for 0A502 

shotgun ‘‘parts’’ and ‘‘components,’’ 

consisting of complete trigger mechanisms; 

magazines and magazine extension tubes, 

‘‘complete breech mechanisms’’ if the 

ultimate destination is Canada. 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any Shotguns with barrel length less 

than 18 inches controlled in 0A502, to any 

of the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: Shotguns that are fully 

automatic are ‘‘subject to the ITAR.’’ 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note 1 to 0A502: Shotguns made in or 

before 1898 are considered antique shotguns 

and designated as EAR99. 

Technical Note: Shot pistols or shotguns 

that have had the shoulder stock removed 

and a pistol grip attached are controlled by 

ECCN 0A502. Slug guns are also controlled 

under ECCN 0A502. 

0A503 Discharge type arms; non-lethal or 

less-lethal grenades and projectiles, and 

‘‘specially designed’’ ‘‘parts’’ and 

‘‘components’’ of those projectiles; and 

devices to administer electric shock, for 

example, stun guns, shock batons, shock 

shields, electric cattle prods, 

immobilization guns and projectiles; 

except equipment used to slaughter 

domestic animals or used exclusively to 

treat or tranquilize animals, and except 

arms designed solely for signal, flare, or 

saluting use; and ‘‘specially designed’’ 

‘‘parts’’ and ‘‘components,’’ n.e.s. 

License Requirements 

Reason for Control: CC, UN 

Control(s) 

Country chart 

(see supp. No. 1 

to part 738) 

CC applies to entire 

entry.

A license is required 

for ALL destinations, except Canada, regardless of 

end use. Accordingly, a column 

specific to this control does not appear on the Commerce Country 

Chart. (See part 

742 of the EAR for 

additional information) 

UN applies to entire 

entry.

See § 746.1(b) of the 

EAR for UN controls 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in 0A503, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: Law enforcement restraint 

devices that administer an electric shock 

are controlled under ECCN 0A982. 

Electronic devices that monitor and report 

a person’s location to enforce restrictions 

on movement for law enforcement or penal 

reasons are controlled under ECCN 3A981. 


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Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

0A981 Equipment designed for the 

execution of human beings as follows 

(see List of Items Controlled). 

License Requirements 

Reason for Control: CC 

Control(s): CC applies to entire entry. A 

license is required for ALL destinations 

regardless of end-use. Accordingly, a 

column specific to this control does not 

appear on the Commerce Country Chart. 

(See § 742.7 of the EAR for additional 

information.) 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in 0A981, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. Gallows and guillotines. 

b. Electric chairs for the purpose of 

executing human beings. 

c. Air tight vaults designed for the 

execution of human beings by the 

administration of a lethal gas or substance. 

d. Automatic drug injection systems 

designed for the execution of human beings 

by administration of a lethal substance. 

0A982 Law enforcement restraint devices, 

including leg irons, shackles, and 

handcuffs; straight jackets; stun cuffs; 

shock belts; shock sleeves; multipoint 

restraint devices such as restraint 

chairs; and ‘‘specially designed’’ 

‘‘parts,’’ ‘‘components’’ and 

‘‘accessories,’’ n.e.s. 

License Requirements 

Reason for Control: CC 

Control(s): CC applies to entire entry. A 

license is required for ALL destinations, 

except Canada, regardless of end-use. 

Accordingly, a column specific to this 

control does not appear on the Commerce 

Country Chart. (See part 742 of the EAR for 

additional information.) 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in 0A982, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: Thumbcuffs and fingercuffs 

are classified under ECCN 0A983, 

‘‘specially designed’’ implements of 

torture. Restraint devices that 

electronically monitor or report the 

location of confined persons for law 

enforcement or penal reasons are 

controlled under ECCN 3A981. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note to ECCN 0A982. This ECCN applies 

to restraint devices used in law enforcement 

activities. It does not apply to medical 

devices that are equipped to restrain patient 

movement during medical procedures. It 

does not apply to devices that confine 

memory impaired patients to appropriate 

medical facilities. It does not apply to safety 

equipment such as safety belts or child 

automobile safety seats. 

0A983 ‘‘Specially designed’’ implements of 

torture, including thumbscrews, 

thumbcuffs, fingercuffs, spiked batons, 

and ‘‘specially designed’’ ‘‘parts,’’ 

‘‘components’’ and ‘‘accessories,’’ n.e.s. 

License Requirements 

Reason for Control: CC 

Control(s): CC applies to entire entry. A 

license is required for ALL destinations, 

regardless of end-use. Accordingly, a 

column specific to this control does not 

appear on the Commerce Country Chart. 

(See part 742 of the EAR for additional 

information.) 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in 0A983, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note to ECCN 0A983. In this ECCN, 

‘‘torture’’ has the meaning set forth in 

Section 2340(1) of Title 18, United States 

Code. 

* * * * * 

0E504 ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of 

commodities controlled by 0A504 that 

incorporate a focal plane array or image 

intensifier tube. 

License Requirements 

Reason for Control: RS, UN, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

RS Column 1 

UN applies to entire 

entry.

See § 746.1(b) of the 

EAR for UN controls 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit any ‘‘technology’’ in 

0E504, to any of the destinations listed in 

Country Group A:5 or A:6 (See supplement 

no.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

0E982 ‘‘Technology’’ exclusively for the 

‘‘development’’ or ‘‘production’’ of 

equipment controlled by 0A982 or 

0A503. 

License Requirements 

Reason for Control: CC 

Control(s): CC applies to ‘‘technology’’ for 

items controlled by 0A982 or 0A503. A 

license is required for ALL destinations, 

except Canada, regardless of end use. 

Accordingly, a column specific to this 

control does not appear on the Commerce 

Country Chart. (See part 742 of the EAR for 

additional information.) 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit any ‘‘technology’’ in 

0E982, to any of the destinations listed in 

Country Group A:5 or A:6 (See supplement 

no.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

1C353 Genetic elements and genetically 

modified organisms, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: CB, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

CB applies to entire 

entry.

CB Column 1 

AT applies to entire 

entry.

AT Column 1 

License Requirements Notes: 

1. Vaccines that contain genetic elements 

or genetically modified organisms identified 

in this ECCN are controlled by ECCN 1C991. 

2. Unless specified elsewhere in this ECCN 

1C353 (e.g., in License Requirement Note 1), 

this ECCN controls genetic elements or 

genetically modified organisms for all 

biological agents and ‘‘toxins,’’ regardless of 

quantity or attenuation, that are identified in 

the List of Items Controlled for this ECCN, 


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including genetic elements or genetically 

modified organisms for attenuated strains of 

select biological agents or ‘‘toxins’’ that are 

excluded from the lists of select biological 

agents or ‘‘toxins’’ by the Animal and Plant 

Health Inspection Service (APHIS), U.S. 

Department of Agriculture, or the Centers for 

Disease Control and Prevention (CDC), U.S. 

Department of Health and Human Services, 

in accordance with the APHIS regulations in 

7 CFR part 331 and 9 CFR part 121 and the 

CDC regulations in 42 CFR part 73. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in ECCN 1C353, to any of 

the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) The Animal and Plant 

Health Inspection Service (APHIS), U.S. 

Department of Agriculture, and the Centers 

for Disease Control and Prevention (CDC), 

U.S. Department of Health and Human 

Services, maintain controls on the 

possession, use, and transfer within the 

United States of certain items controlled by 

this ECCN, including (but not limited to) 

certain genetic elements, recombinant 

nucleic acids, and recombinant organisms 

associated with the agents or toxins in 

ECCN 1C351 or 1C354 (for APHIS, see 7 

CFR 331.3(c), 9 CFR 121.3(c), and 9 CFR 

121.4(c); for CDC, see 42 CFR 73.3(c) and 

42 CFR 73.4(c)). (2) See 22 CFR part 121, 

Category XIV(b), for modified biological 

agents and biologically derived substances 

that are subject to the export licensing 

jurisdiction of the U.S. Department of 

State, Directorate of Defense Trade 

Controls. 

Related Definition: N/A 

Items: 

a. Any genetically modified organism that 

contains, or any genetic element that codes 

for, any of the following: 

a.1. Any gene, genes, translated product or 

translated products specific to any virus 

controlled by 1C351.a or .b or 1C354.c; 

a.2. Any gene or genes specific to any 

bacterium controlled by 1C351.c or 1C354.a, 

or any fungus controlled by 1C351.e or 

1C354.b, and which; 

a.2.a. In itself or through its transcribed or 

translated products represents a significant 

hazard to human, animal or plant health; or 

a.2.b. Could endow or enhance 

pathogenicity; or 

a.3. Any toxins, or their subunits, 

controlled by 1C351.d. 

b. [Reserved]. 

Technical Notes: 

1. Genetically modified organisms include 

organisms in which the nucleic acid 

sequences have been created or altered by 

deliberate molecular manipulation. 

2. ‘‘Genetic elements’’ include, inter alia, 

chromosomes, genomes, plasmids, 

transposons, vectors, and inactivated 

organisms containing recoverable nucleic 

acid fragments, whether genetically modified 

or unmodified, or chemically synthesized in 

whole or in part. For the purposes of this 

ECCN 1C353, nucleic acids from an 

inactivated organism, virus, or sample are 

considered to be ’recoverable’ if the 

inactivation and preparation of the material 

is intended or known to facilitate isolation, 

purification, amplification, detection, or 

identification of nucleic acids. 

3. This ECCN does not control nucleic acid 

sequences of shiga toxin producing 

Escherichia coli of serogroups O26, O45, 

O103, O104, O111, O121, O145, O157, and 

other shiga toxin producing serogroups, other 

than those genetic elements coding for shiga 

toxin, or for its subunits. 

4. ‘Endow or enhance pathogenicity’ is 

defined as when the insertion or integration 

of the nucleic acid sequence or sequences is/ 

are likely to enable or increase a recipient 

organism’s ability to be used to deliberately 

cause disease or death. This might include 

alterations to, inter alia: virulence, 

transmissibility, stability, route of infection, 

host range, reproducibility, ability to evade or 

suppress host immunity, resistance to 

medical countermeasures, or detectability. 

* * * * * 

1C354 Plant pathogens, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: CB, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

CB applies to entire 

entry.

CB Column 1 

AT applies to entire 

entry.

AT Column 1 

License Requirements Notes: 

1. All vaccines are excluded from the scope 

of this ECCN. See ECCN 1C991 for vaccines. 

2. Unless specified elsewhere in this ECCN 

1C354 (e.g., in License Requirement Note 1), 

this ECCN controls all biological agents, 

regardless of quantity or attenuation, that are 

identified in the List of Items Controlled for 

this ECCN, including small quantities or 

attenuated strains of select biological agents 

that are excluded from the list of PPQ select 

agents and ‘‘toxins’’ by the Animal and Plant 

Health Inspection Service (APHIS), U.S. 

Department of Agriculture, in accordance 

with their regulations in 7 CFR part 331. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in ECCN 1C354, to any of 

the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) The Animal and Plant 

Health Inspection Service (APHIS), U.S. 

Department of Agriculture, maintains 

controls on the possession, use, and 

transfer within the United States of certain 

items controlled by this ECCN (see 7 CFR 

331.3(c), 9 CFR 121.3(c), and 9 CFR 

121.4(c)). (2) See 22 CFR part 121, Category 

XIV(b), for modified biological agents and 

biologically derived substances that are 

subject to the export licensing jurisdiction 

of the U.S. Department of State, Directorate 

of Defense Trade Controls. 

Related Definitions: N/A 

Items: 

a. Bacteria, as follows: 

a.1. Xanthomonas albilineans; 

a.2. Xanthomonas citri pv. citri 

(Xanthomonas axonopodis pv. citri, 

Xanthomonas campestris pv. citri); 

a.3. Xanthomonas oryzae [this species of 

proteobacteria is identified on the APHIS 

‘‘select agents’’ list (see Related Controls 

paragraph for this ECCN), but only the 

pathovar Xanthomonas oryzae pv. oryzae 

(syn. Pseudomonas campestris pv. oryzae) is 

identified on the Australia Group (AG) ‘‘List 

of Plant Pathogens for Export Control’’]; 

a.4. Clavibacter michiganensis subsp. 

sepedonicus (Clavibacter sepedonicus, 

Clavibacter michiganense subsp. 

sepedonicus, Corynebacterium 

michiganensis subsp. sepedonicum, 

Corynebacterium sepedonicum); 

a.5. Ralstonia solanacearum, race 3, biovar 

2; 

a.6. Raythayibactor toxicus [this bacterium 

is identified on the APHIS ‘‘select agents’’ list 

(see the Related Controls paragraph for this 

ECCN), but is not identified on the Australia 

Group (AG) ‘‘List of Plant Pathogens for 

Export Control’’]. 

b. Fungi, as follows: 

b.1. Bipolaris oryzae (Cochliobolus 

miyabeanus, Helminthosporium oryzae); 

b.2. Colletotrichum kahawae 

(Colletotrichum coffeanum var. virulans); 

b.3. Pseudocercospora ulei (Microcyclus 

ulei, Dothidella ulei); 

b.4. Puccinnia graminis ssp. graminis var. 

graminis/Puccinia graminis ssp. graminis 

var. stakmanii (Puccinia graminis [syn. 

Puccinia graminis f. sp. tritici]); 

b.5. Puccinia striiformis (syn. Puccinia 

glumarum); 

b.6. Magnaporthe oryzae (Pyricularia 

oryzae); 

b.7. Peronosclerospora philippinensis 

(Peronosclerospora sacchari); 

b.8. Sclerophthora rayssiae var. zeae; 

b.9. Synchytrium endobioticum; 

b.10. Tilletia indica; 

b.11. Thecaphora solani; 

b.12. Phoma glycinicola (formerly 

Pyrenochaeta glycines) [this fungus is 

identified on the APHIS ‘‘select agents’’ list 

(see the Related Controls paragraph for this 

ECCN), but is not identified on the Australia 

Group (AG) ‘‘List of Plant Pathogens for 

Export Control’’]. 

c. Viruses, as follows: 

c.1. Andean potato latent virus (Potato 

Andean latent tymovirus); 

c.2. Potato spindle tuber viroid. 

1E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of items 

controlled by 1A002, 1A003, 1A004, 

1A005, 1A006.b, 1A007, 1A008, 1A101, 


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1A231, 1B (except 1B608, 1B613 or 

1B999), or 1C (except 1C355, 1C608, 

1C980 to 1C984, 1C988, 1C990, 1C991, 

1C995 to 1C999). 

License Requirements 

Reason for Control: NS, MT, NP, CB, RS, AT 

Control(s) 

Country chart 

(see supp. No. 1 

to part 738) 

NS applies to ‘‘technology’’ for items 

controlled by 

1A002, 1A003, 

1A005, 1A006.b, 

1A007, 1B001 to 

1B003, 1B018, 

1C001 to 1C011, 

or 1C018.

NS Column 1 

NS applies to ‘‘technology’’ for items 

controlled by 

1A004.

NS Column 2 

MT applies to ‘‘technology’’ for items 

controlled by 

1A101, 1B001, 

1B101, 1B102, 

1B115 to 1B119, 

1C001, 1C007, 

1C011, 1C101, 

1C102, 1C107, 

1C111, 1C116, 

1C117, or 1C118 

for MT reasons.

MT Column 1 

NP applies to ‘‘technology’’ for items 

controlled by 

1A002, 1A007, 

1A231, 1B001, 

1B101, 1B201, 

1B225, 1B226, 

1B228 to 1B234, 

1C002, 1C010, 

1C111, 1C116, 

1C202, 1C210, 

1C216, 1C225 to 

1C237, or 1C239 

to 1C241 for NP 

reasons.

NP Column 1 

CB applies to ‘‘technology’’ for items 

controlled by 

1C351, 1C353, or 

1C354.

CB Column 1 

CB applies to ‘‘technology’’ for materials controlled by 

1C350 and for 

chemical detection 

systems and dedicated detectors 

therefor, in 

1A004.c, that also 

have the technical 

characteristics described in 2B351.a.

CB Column 2 

RS applies to technology for equipment controlled in 

1A004.d.

RS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; or 

(2) Exports and reexports to destinations 

outside of those countries listed in 

Country Group A:5 (See Supplement No. 

1 to part 740 of the EAR) of ‘‘technology’’ 

for the ‘‘development’’ or production’’ of 

the following: 

(a) Items controlled by 1C001; or 

(b) Items controlled by 1A002.a which are 

composite structures or laminates having 

an organic ‘‘matrix’’ and being made 

from materials listed under 1C010.c or 

1C010.d. 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit ECCN 1E001 ‘‘technology’’ 

for the ‘‘development’’ or ‘‘production’’ of 

items specified in ECCNs 1A002; 1C001; 

1C007.c or .d; 1C008.a.1; 1C009.b; 1C010.b, 

.c or .d; 1C351.a, .b, .c, .d.11, .d.12, .d.14, 

.d.15, or .e; 1C353; or 1C354, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

according to the General Technology Note 

for the ‘‘development’’ or ‘‘production’’ of 

equipment and materials specified by 

ECCN 1C012 to any of the destinations 

listed in Country Group A:6 (See 

Supplement No.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls (1) Also see ECCNs 1E101, 

1E201, and 1E202. (2) See ECCN 1E608 for 

‘‘technology’’ for items classified under 

ECCN 1B608 or 1C608 that, immediately 

prior to July 1, 2014, were classified under 

ECCN 1B018.a or 1C018.b through .m (note 

that ECCN 1E001 controls ‘‘development’’ 

and ‘‘production’’ ‘‘technology’’ for 

chlorine trifluoride controlled by ECCN 

1C111.a.3.f—see ECCN 1E101 for controls 

on ‘‘use’’ ‘‘technology’’ for chlorine 

trifluoride). (3) See ECCN 1E002.g for 

control libraries (parametric technical 

databases) ‘‘specially designed’’ or 

modified to enable equipment to perform 

the functions of equipment controlled 

under ECCN 1A004.c (Nuclear, biological 

and chemical (NBC) detection systems) or 

ECCN 1A004.d (Equipment for detecting or 

identifying explosives residues). (4) 

‘‘Technology’’ for lithium isotope 

separation (see related ECCN 1B233) and 

‘‘technology’’ for items described in ECCN 

1C012 are subject to the export licensing 

authority of the Department of Energy (see 

10 CFR part 810). (5) ‘‘Technology’’ for 

items described in ECCN 1A102 is ‘‘subject 

to the ITAR’’ (see 22 CFR parts 120 through 

130). 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

1E351 ‘‘Technology’’ according to the 

General Technology Note for the 

disposal of chemicals or microbiological 

materials controlled by 1C350, 1C351, 

1C353, or 1C354. 

License Requirements 

Reason for Control: CB, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

CB applies to ‘‘technology’’ for items 

controlled by 

1C351, 1C353, or 

1C354.

CB Column 1 

CB applies to ‘‘technology’’ for the disposal of items controlled by 1C350.CB Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

License Exception STA may not be used to 

ship or transmit ‘‘technology,’’ as specified 

in ECCN 1E351, to any of the destinations 

listed in Country Group A:5 or A:6 (See 

supplement no.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

2E003 Other ‘‘technology’’, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except 2E003.b, .e and .f 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit any ‘‘technology’’ 

according to the General Technology Note 

for 2E003.f when used for the application 

of inorganic overlay coatings on gas turbine 

engine combustors, or turbine blades, 

vanes or ‘‘tip shrouds,’’ to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: See 2E001, 2E002, and 

2E101 for ‘‘development’’ and ‘‘use’’ 

technology for equipment that are designed 

or modified for densification of carboncarbon composites, structural composite 


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rocket nozzles and reentry vehicle nose 

tips. 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. ‘‘Technology’’ for metal-working 

manufacturing processes, as follows: 

b.1. ‘‘Technology’’ for the design of tools, 

dies or fixtures ‘‘specially designed’’ for any 

of the following processes: 

b.1.a. ‘‘Superplastic forming’’; 

b.1.b. ‘‘Diffusion bonding’’; or 

b.1.c. ’Direct-acting hydraulic pressing’; 

b.2. [Reserved] 

N.B.: For ‘‘technology’’ for metal-working 

manufacturing processes for gas turbine 

engines and components, see 9E003 and 

USML Category XIX 

Technical Note: For the purposes of 

2E003.b.1.c, ’direct-acting hydraulic pressing’ 

is a deformation process which uses a fluidfilled flexible bladder in direct contact with 

the workpiece. 

c. ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of hydraulic stretch-forming 

machines and dies therefor, for the 

manufacture of airframe structures; 

d. [Reserved] 

e. ‘‘Technology’’ for the ‘‘development’’ of 

integration ‘‘software’’ for incorporation of 

expert systems for advanced decision support 

of shop floor operations into ‘‘numerical 

control’’ units; 

f. ‘‘Technology’’ for the application of 

inorganic overlay coatings or inorganic 

surface modification coatings (specified in 

column 3 of the following table) to nonelectronic substrates (specified in column 2 

of the following table), by processes specified 

in column 1 of the following table and 

defined in the Technical Note. 

N.B. This table should be read to control 

the technology of a particular ’Coating 

Process’ only when the resultant coating in 

column 3 is in a paragraph directly across 

from the relevant ’Substrate’ under column 2. 

For example, Chemical Vapor Deposition 

(CVD) ’coating process’ control the 

‘‘technology’’ for a particular application of 

’silicides’ to ’Carbon-carbon, Ceramic and 

Metal ‘‘matrix’’ ‘‘composites’’ substrates, but 

are not controlled for the application of 

’silicides’ to ’Cemented tungsten carbide (16), 

Silicon carbide (18)’ substrates. In the second 

case, the resultant coating is not listed in the 

paragraph under column 3 directly across 

from the paragraph under column 2 listing 

’Cemented tungsten carbide (16), Silicon 

carbide (18)’. 

* * * * * 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

commodities controlled by 3A (except 

3A980, 3A981, 3A991, 3A992, or 

3A999), 3B (except 3B991 or 3B992) or 

3C (except 3C992). 

License Requirements 

Reason for Control: NS, MT, NP, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to ‘‘technology’’ for commodities controlled 

by 3A001, 3A002, 

3A003, 3B001, 

3B002, or 3C001 to 

3C006.

NS Column 1 

MT applies to ‘‘technology’’ for commodities controlled 

by 3A001 or 3A101 

for MT reasons.

MT Column 1 

NP applies to ‘‘technology’’ for commodities controlled 

by 3A001, 3A201, 

or 3A225 to 3A234 

for NP reasons.

NP Column 1 

RS applies to ‘‘technology’’ for commodities controlled 

by 3A090 or 3B090 

or ‘‘software’’ specified by 3D001 (for 

3A090 or 3B090 

commodities).

China and Macau 

(See § 742.6(a)(6)) 

RS applies to ‘‘technology’’ for commodities controlled 

in 3A090, when exported from China 

or Macau.

Worldwide (See 

§ 742.6(a)(6)) 

AT applies to entire 

entry.

AT Column 1 

License Requirements Note: See § 744.17 

of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

‘‘technology’’ for the ‘‘production’’ or 

‘‘development’’ of such microprocessors. 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, Special Comprehensive 

Licenses, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except N/A for MT, and 

‘‘technology’’ for the ‘‘development’’ or 

‘‘production’’ of: (a) vacuum electronic 

device amplifiers described in 3A001.b.8, 

having operating frequencies exceeding 19 

GHz; (b) solar cells, coverglassinterconnect-cells or covered-interconnectcells (CIC) ‘‘assemblies’’, solar arrays and/ 

or solar panels described in 3A001.e.4; (c) 

‘‘Monolithic Microwave Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers in 3A001.b.2; and (d) 

discrete microwave transistors in 

3A001.b.3. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology,’’ as 

specified in ECCN 3E001 for the 

‘‘production’’ or ‘‘development’’ of 

commodities controlled by 3A001.b.2 or 

b.3, to any of the destinations listed in 

Country Group A:5 or A:6 (See supplement 

no.1 to part 740 of the EAR). License 

Exception STA may not be used to ship or 

transmit ‘‘technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

equipment specified by ECCNs 3A002.g.1 

or 3B001.a.2 to any of the destinations 

listed in Country Group A:6 (See 

Supplement No. 1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) ‘‘Technology’’ according 

to the General Technology Note for the 

‘‘development’’ or ‘‘production’’ of certain 

‘‘space-qualified’’ atomic frequency 

standards described in Category XV(e)(9), 

MMICs described in Category XV(e)(14), 

and oscillators described in Category 

XV(e)(15) of the USML are ‘‘subject to the 

ITAR’’ (see 22 CFR parts 120 through 130). 

See also 3E101, 3E201 and 9E515. (2) 

‘‘Technology’’ for ‘‘development’’ or 

‘‘production’’ of ‘‘Microwave Monolithic 

Integrated Circuits’’ (‘‘MMIC’’) amplifiers 

in 3A001.b.2 is controlled in this ECCN 

3E001; 5E001.d refers only to that 

additional ‘‘technology’’ ‘‘required’’ for 

telecommunications. 

Related Definition: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note 1: 3E001 does not control 

‘‘technology’’ for equipment or 

‘‘components’’ controlled by 3A003. 

Note 2: 3E001 does not control 

‘‘technology’’ for integrated circuits 

controlled by 3A001.a.3 to a.14, having all of 

the following: 

(a) Using ‘‘technology’’ at or above 0.130 m; 

and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

Note 3: 3E001 does not apply to ’Process 

Design Kits’ (’PDKs’) unless they include 

libraries implementing functions or 

technologies for items specified by 3A001. 

Technical Note: A ’Process Design Kit’ 

(’PDK’) is a software tool provided by a 

semiconductor manufacturer to ensure that 

the required design practices and rules are 

taken into account in order to successfully 

produce a specific integrated circuit design 

in a specific semiconductor process, in 

accordance with technological and 

manufacturing constraints (each 

semiconductor manufacturing process has its 

particular ’PDK’). 

* * * * * 

6A002 Optical Sensors and Equipment, 

and ‘‘Components’’ Therefor, as Follows 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, CC, RS, AT, UN 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 


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85750 Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

MT applies to optical 

detectors in 

6A002.a.1, or a.3 

that are ‘‘specially 

designed’’ or modified to protect 

‘‘missiles’’ against 

nuclear effects 

(e.g., Electromagnetic Pulse 

(EMP), X-rays, 

combined blast and 

thermal effects), 

and usable for 

‘‘missiles’’.

MT Column 1 

RS applies to 

6A002.a.1, a.2, a.3 

(except a.3.d.2.a 

and a.3.e for lead 

selenide based 

focal plane arrays 

(FPAs)), .c, and .f.

RS Column 1 

CC applies to policemodel infrared 

viewers in 6A002.c.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to 

6A002.a.1, a.2, a.3 

and .c.

See § 746.1(b) for UN 

controls 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500 for 6A002.f. 

$3,000; except N/A for MT and for 

6A002.a.1, a.2, a.3, .c, and .f. 

GBS: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship any items in ECCN 6A002, to any of 

the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See USML Category 

XII(e) for infrared focal plane arrays, image 

intensifier tubes, and related parts and 

components, subject to the ITAR. (2) See 

USML Category XV(e) for space-qualified 

focal plane arrays subject to the ITAR. (3) 

See also ECCNs 6A102, 6A202, and 6A992. 

(4) See ECCN 0A919 for foreign-made 

military commodities that incorporate 

commodities described in 6A002. (5) 

Section 744.9 imposes a license 

requirement on commodities described in 

ECCN 6A002 if being exported, reexported, 

or transferred (in-country) for use by a 

military end-user or for incorporation into 

an item controlled by ECCN 0A919. (6) See 

USML Categories XII(e) and XV(e)(3) for 

read-out integrated circuits ‘‘subject to the 

ITAR.’’ (7) See 6B002 for masks and 

reticles, ‘‘specially designed’’ for optical 

sensors specified by 6A002.a.1.b or 

6A002.a.1.d. 

Related Definitions: N/A 

Items: 

a. Optical detectors as follows: 

a.1. ‘‘Space-qualified’’ solid-state detectors 

as follows: 

Note: For the purpose of 6A002.a.1, solidstate detectors include ‘‘focal plane arrays’’. 

a.1.a. ‘‘Space-qualified’’ solid-state 

detectors having all of the following: 

a.1.a.1. A peak response in the wavelength 

range exceeding 10 nm but not exceeding 300 

nm; and 

a.1.a.2. A response of less than 0.1% 

relative to the peak response at a wavelength 

exceeding 400 nm; 

a.1.b. ‘‘Space-qualified’’ solid-state 

detectors having all of the following: 

a.1.b.1. A peak response in the wavelength 

range exceeding 900 nm but not exceeding 

1,200 nm; and 

a.1.b.2. A response ‘‘time constant’’ of 95 

ns or less; 

a.1.c. ‘‘Space-qualified’’ solid-state 

detectors having a peak response in the 

wavelength range exceeding 1,200 nm but 

not exceeding 30,000 nm; 

a.1.d. ‘‘Space-qualified’’ ‘‘focal plane 

arrays’’ having more than 2,048 elements per 

array and having a peak response in the 

wavelength range exceeding 300 nm but not 

exceeding 900 nm; 

a.2. Image intensifier tubes and ‘‘specially 

designed’’ ‘‘components’’ therefor, as follows: 

Note: 6A002.a.2 does not control nonimaging photomultiplier tubes having an 

electron sensing device in the vacuum space 

limited solely to any of the following: 

a. A single metal anode; or 

b. Metal anodes with a center to center 

spacing greater than 500 mm. 

Technical Note: ’Charge multiplication’ is 

a form of electronic image amplification and 

is defined as the generation of charge carriers 

as a result of an impact ionization gain 

process. ’Charge multiplication’ sensors may 

take the form of an image intensifier tube, 

solid state detector or ‘‘focal plane array’’. 

a.2.a. Image intensifier tubes having all of 

the following: 

a.2.a.1. A peak response in the wavelength 

range exceeding 400 nm but not exceeding 

1,050 nm; 

a.2.a.2. Electron image amplification using 

any of the following: 

a.2.a.2.a. A microchannel plate with a hole 

pitch (center-to-center spacing) of 12 mm or 

less; or 

a.2.a.2.b. An electron sensing device with 

a non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; and 

a.2.a.3. Any of the following 

photocathodes: 

a.2.a.3.a. Multialkali photocathodes (e.g., 

S–20 and S–25) having a luminous 

sensitivity exceeding 350 mA/lm; 

a.2.a.3.b. GaAs or GaInAs photocathodes; 

or 

a.2.a.3.c. Other ‘‘III–V compound’’ 

semiconductor photocathodes having a 

maximum ‘‘radiant sensitivity’’ exceeding 10 

mA/W; 

a.2.b. Image intensifier tubes having all of 

the following: 

a.2.b.1. A peak response in the wavelength 

range exceeding 1,050 nm but not exceeding 

1,800 nm; 

a.2.b.2. Electron image amplification using 

any of the following: 

a.2.b.2.a. A microchannel plate with a hole 

pitch (center-to-center spacing) of 12 mm or 

less; or 

a.2.b.2.b. An electron sensing device with 

a non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; and 

a.2.b.3. ‘‘III/V compound’’ semiconductor 

(e.g., GaAs or GaInAs) photocathodes and 

transferred electron photocathodes, having a 

maximum ‘‘radiant sensitivity’’ exceeding 15 

mA/W; 

a.2.c. ‘‘Specially designed’’ ‘‘components’’ 

as follows: 

a.2.c.1. Microchannel plates having a hole 

pitch (center-to-center spacing) of 12 mm or 

less; 

a.2.c.2. An electron sensing device with a 

non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; 

a.2.c.3. ‘‘III–V compound’’ semiconductor 

(e.g., GaAs or GaInAs) photocathodes and 

transferred electron photocathodes; 

Note: 6A002.a.2.c.3 does not control 

compound semiconductor photocathodes 

designed to achieve a maximum ‘‘radiant 

sensitivity’’ of any of the following: 

a. 10 mA/W or less at the peak response 

in the wavelength range exceeding 400 nm 

but not exceeding 1,050 nm; or 

b. 15 mA/W or less at the peak response 

in the wavelength range exceeding 1,050 nm 

but not exceeding 1,800 nm. 

a.3. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ as follows: 

N.B.: ‘Microbolometer’ non-‘‘spacequalified’’ ‘‘focal plane arrays’’ are only 

specified by 6A002.a.3.f. 

Technical Note: Linear or two-dimensional 

multi-element detector arrays are referred to 

as ‘‘focal plane arrays’’; 

Note 1: 6A002.a.3 includes 

photoconductive arrays and photovoltaic 

arrays. 

Note 2: 6A002.a.3 does not control: 

a. Multi-element (not to exceed 16 

elements) encapsulated photoconductive 

cells using either lead sulphide or lead 

selenide; 

b. Pyroelectric detectors using any of the 

following: 

b.1. Triglycine sulphate and variants; 

b.2. Lead-lanthanum-zirconium titanate 

and variants; 

b.3. Lithium tantalate; 

b.4. Polyvinylidene fluoride and variants; 

or 

b.5. Strontium barium niobate and 

variants. 

c. ‘‘Focal plane arrays’’ ‘‘specially 

designed’’ or modified to achieve ‘charge 

multiplication’ and limited by design to have 

a maximum ‘‘radiant sensitivity’’ of 10 mA/ 

W or less for wavelengths exceeding 760 nm, 

having all of the following: 

c.1. Incorporating a response limiting 

mechanism designed not to be removed or 

modified; and 


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Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 85751 

c.2. Any of the following: 

c.2.a. The response limiting mechanism is 

integral to or combined with the detector 

element; or 

c.2.b. The ‘‘focal plane array’’ is only 

operable with the response limiting 

mechanism in place. 

d. Thermopile arrays having less than 

5,130 elements; 

Technical Note: A response limiting 

mechanism integral to the detector element is 

designed not to be removed or modified 

without rendering the detector inoperable. 

a.3.a. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.a.1. Individual elements with a peak 

response within the wavelength range 

exceeding 900 nm but not exceeding 1,050 

nm; and 

a.3.a.2. Any of the following: 

a.3.a.2.a. A response ‘‘time constant’’ of 

less than 0.5 ns; or 

a.3.a.2.b. ‘‘Specially designed’’ or modified 

to achieve ’charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W; 

a.3.b. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.b.1. Individual elements with a peak 

response in the wavelength range exceeding 

1,050 nm but not exceeding 1,200 nm; and 

a.3.b.2. Any of the following: 

a.3.b.2.a. A response ‘‘time constant’’ of 95 

ns or less; or 

a.3.b.2.b. ‘‘Specially designed’’ or modified 

to achieve ’charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W; 

a.3.c. Non-‘‘space-qualified’’ non-linear (2- 

dimensional) ‘‘focal plane arrays’’ having 

individual elements with a peak response in 

the wavelength range exceeding 1,200 nm but 

not exceeding 30,000 nm; 

N.B.: Silicon and other material based 

’microbolometer’ non-‘‘space-qualified’’ 

‘‘focal plane arrays’’ are only specified by 

6A002.a.3.f. 

a.3.d. Non-‘‘space-qualified’’ linear (1- 

dimensional) ‘‘focal plane arrays’’ having all 

of the following: 

a.3.d.1. Individual elements with a peak 

response in the wavelength range exceeding 

1,200 nm but not exceeding 3,000 nm; and 

a.3.d.2. Any of the following: 

a.3.d.2.a. A ratio of ’scan direction’ 

dimension of the detector element to the 

‘cross-scan direction’ dimension of the 

detector element of less than 3.8; or 

a.3.d.2.b. Signal processing in the detector 

elements; 

Note: 6A002.a.3.d does not control ‘‘focal 

plane arrays’’ (not to exceed 32 elements) 

having detector elements limited solely to 

germanium material. 

Technical Note: For the purposes of 

6A002.a.3.d, ’cross-scan direction’ is defined 

as the axis parallel to the linear array of 

detector elements and the ’scan direction’ is 

defined as the axis perpendicular to the 

linear array of detector elements. 

a.3.e. Non-‘‘space-qualified’’ linear (1- 

dimensional) ‘‘focal plane arrays’’ having 

individual elements with a peak response in 

the wavelength range exceeding 3,000 nm but 

not exceeding 30,000 nm; 

a.3.f. Non-‘‘space-qualified’’ non-linear (2- 

dimensional) infrared ‘‘focal plane arrays’’ 

based on ’microbolometer’ material having 

individual elements with an unfiltered 

response in the wavelength range equal to or 

exceeding 8,000 nm but not exceeding 14,000 

nm; 

Technical Note: For the purposes of 

6A002.a.3.f, ’microbolometer’ is defined as a 

thermal imaging detector that, as a result of 

a temperature change in the detector caused 

by the absorption of infrared radiation, is 

used to generate any usable signal. 

a.3.g. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.g.1. Individual detector elements with a 

peak response in the wavelength range 

exceeding 400 nm but not exceeding 900 nm; 

a.3.g.2. ‘‘Specially designed’’ or modified 

to achieve ’charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W for wavelengths exceeding 760 nm; 

and 

a.3.g.3. Greater than 32 elements; 

b. ‘‘Monospectral imaging sensors’’ and 

‘‘multispectral imaging sensors’’, designed 

for remote sensing applications and having 

any of the following: 

b.1. An Instantaneous-Field-Of-View 

(IFOV) of less than 200 mrad (microradians); 

or 

b.2. Specified for operation in the 

wavelength range exceeding 400 nm but not 

exceeding 30,000 nm and having all the 

following: 

b.2.a. Providing output imaging data in 

digital format; and 

b.2.b. Having any of the following 

characteristics: 

b.2.b.1. ‘‘Space-qualified’’; or 

b.2.b.2. Designed for airborne operation, 

using other than silicon detectors, and having 

an IFOV of less than 2.5 mrad (milliradians); 

Note: 6A002.b.1 does not control 

‘‘monospectral imaging sensors’’ with a peak 

response in the wavelength range exceeding 

300 nm but not exceeding 900 nm and only 

incorporating any of the following non- 

‘‘space-qualified’’ detectors or non-‘‘spacequalified’’ ‘‘focal plane arrays’’: 

a. Charge Coupled Devices (CCD) not 

designed or modified to achieve ’charge 

multiplication’; or 

b. Complementary Metal Oxide 

Semiconductor (CMOS) devices not designed 

or modified to achieve ’charge 

multiplication’. 

c. ’Direct view’ imaging equipment 

incorporating any of the following: 

c.1. Image intensifier tubes having the 

characteristics listed in 6A002.a.2.a or 

6A002.a.2.b; 

c.2. ‘‘Focal plane arrays’’ having the 

characteristics listed in 6A002.a.3; or 

c.3. Solid state detectors specified by 

6A002.a.1; 

Technical Note: ’Direct view’ refers to 

imaging equipment that presents a visual 

image to a human observer without 

converting the image into an electronic signal 

for television display, and that cannot record 

or store the image photographically, 

electronically or by any other means. 

Note: 6A002.c does not control equipment 

as follows, when incorporating other than 

GaAs or GaInAs photocathodes: 

a. Industrial or civilian intrusion alarm, 

traffic or industrial movement control or 

counting systems; 

b. Medical equipment; 

c. Industrial equipment used for 

inspection, sorting or analysis of the 

properties of materials; 

d. Flame detectors for industrial furnaces; 

e. Equipment ‘‘specially designed’’ for 

laboratory use. 

d. Special support ‘‘components’’ for 

optical sensors, as follows: 

d.1. ‘‘Space-qualified’’ cryocoolers; 

d.2. Non-‘‘space-qualified’’ cryocoolers 

having a cooling source temperature below 

218 K (¥55 °C), as follows: 

d.2.a. Closed cycle type with a specified 

Mean-Time-To-Failure (MTTF) or MeanTime-Between-Failures (MTBF), exceeding 

2,500 hours; 

d.2.b. Joule-Thomson (JT) self-regulating 

minicoolers having bore (outside) diameters 

of less than 8 mm; 

d.3. Optical sensing fibers specially 

fabricated either compositionally or 

structurally, or modified by coating, to be 

acoustically, thermally, inertially, 

electromagnetically or nuclear radiation 

sensitive. 

Note: 6A002.d.3 does not apply to 

encapsulated optical sensing fibers 

‘‘specially designed’’ for bore hole sensing 

applications. 

e. [Reserved] 

f. ’Read-Out Integrated Circuits’ (’ROIC’) 

‘‘specially designed’’ for ‘‘focal plane arrays’’ 

specified by 6A002.a.3. 

Note: 6A002.f does not apply to read-out 

integrated circuits ‘‘specially designed’’ for 

civil automotive applications. 

Technical Note: A ’Read-Out Integrated 

Circuit’ (’ROIC’) is an integrated circuit 

designed to underlie or be bonded to a ‘‘focal 

plane array’’ (‘‘FPA’’) and used to read-out 

(i.e., extract and register) signals produced by 

the detector elements. At a minimum the 

’ROIC’ reads the charge from the detector 

elements by extracting the charge and 

applying a multiplexing function in a 

manner that retains the relative spatial 

position and orientation information of the 

detector elements for processing inside or 

outside the ’ROIC’. 

* * * * * 

6D002 ‘‘Software’’ ‘‘specially designed’’ for 

the ‘‘use’’ of equipment controlled by 

6A002.b, 6A008, or 6B008. 

License Requirements 

Reason for Control: NS, MT, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

MT applies to ‘‘software’’ for equipment controlled by 

6A008 or 6B008 for 

MT reasons.

MT Column 1. 

RS applies to ‘‘software’’ for equipment controlled by 

6A008.j.1.

RS Column 1. 

AT applies to entire 

entry.

AT Column 1. 


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List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except N/A for the following: (1) 

Items controlled for MT reasons; (2) 

‘‘Software’’ ‘‘specially designed’’ for the 

‘‘use’’ of ‘‘space qualified’’ ‘‘laser’’ radar or 

Light Detection and Ranging (LIDAR) 

equipment defined in 6A008.j.1; or (3) 

‘‘Software’’ ‘‘specially designed’’ for the 

‘‘use’’ of commodities controlled by 

6A002.b. 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit any software under 6D002, 

to any of the destinations listed in Country 

Group A:5 or A:6 (See supplement no.1 to 

part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) ‘‘Software’’ ‘‘specially 

designed’’ for the ‘‘use’’ of ‘‘spacequalified’’ LIDAR ‘‘equipment’’ ‘‘specially 

designed’’ for surveying or for 

meteorological observation, released from 

control under the note in 6A008.j, is 

controlled in 6D991. (2) See also ECCNs 

6D102, 6D991, and 6D992. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

6D003 Other ‘‘software’’ as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to paragraph c.RS Column 1. 

AT applies to entire 

entry.

AT Column 1. 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for 6D003.c and exports or 

reexports to destinations outside of those 

countries listed in Country Group A:5 (See 

Supplement No. 1 to part 740 of the EAR) 

of ‘‘software’’ for items controlled by 

6D003.a. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any software in 

ECCN 6D003.c, to any of the destinations 

listed in Country Group A:5 or A:6 (See 

supplement no.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit software in 6D003.a to any 

of the destinations listed in Country Group 

A:6 (See Supplement No. 1 to part 740 of 

the EAR). 

List of Items Controlled 

Related Controls: See also ECCNs 6D103, 

6D991, and 6D993. 

Related Definitions: N/A 

Items: 

Acoustics 

a. ‘‘Software’’ as follows: 

a.1. ‘‘Software’’ ‘‘specially designed’’ for 

acoustic beam forming for the ‘‘real-time 

processing’’ of acoustic data for passive 

reception using towed hydrophone arrays; 

a.2. ‘‘Source code’’ for the ‘‘real-time 

processing’’ of acoustic data for passive 

reception using towed hydrophone arrays; 

a.3. ‘‘Software’’ ‘‘specially designed’’ for 

acoustic beam forming for the ‘‘real-time 

processing’’ of acoustic data for passive 

reception using bottom or bay cable systems; 

a.4. ‘‘Source code’’ for the ‘‘real-time 

processing’’ of acoustic data for passive 

reception using bottom or bay cable systems; 

a.5. ‘‘Software’’ or ‘‘source code’’, 

‘‘specially designed’’ for all of the following: 

a.5.a. ‘‘Real-time processing’’ of acoustic 

data from sonar systems controlled by 

6A001.a.1.e; and 

a.5.b. Automatically detecting, classifying 

and determining the location of divers or 

swimmers; 

N.B.: For diver detection ‘‘software’’ or 

‘‘source code’’, ‘‘specially designed’’ or 

modified for military use, see the U.S. 

Munitions List of the International Traffic in 

Arms Regulations (ITAR) (22 CFR part 121). 

b. Optical sensors. None. 

Cameras 

c. ‘‘Software’’ designed or modified for 

cameras incorporating ‘‘focal plane arrays’’ 

specified by 6A002.a.3.f and designed or 

modified to remove a frame rate restriction 

and allow the camera to exceed the frame 

rate specified in 6A003.b.4 Note 3.a; 

Optics 

d. ‘‘Software’’ specially designed to 

maintain the alignment and phasing of 

segmented mirror systems consisting of 

mirror segments having a diameter or major 

axis length equal to or larger than 1 m; 

e. Lasers. None. 

Magnetic and Electric Field Sensors 

f. ‘‘Software’’ as follows: 

f.1. ‘‘Software’’ ‘‘specially designed’’ for 

magnetic and electric field ‘‘compensation 

systems’’ for magnetic sensors designed to 

operate on mobile platforms; 

f.2. ‘‘Software’’ ‘‘specially designed’’ for 

magnetic and electric field anomaly detection 

on mobile platforms; 

f.3. ‘‘Software’’ ‘‘specially designed’’ for 

‘‘real-time processing’’ of electromagnetic 

data using underwater electromagnetic 

receivers specified by 6A006.e; 

f.4. ‘‘Source code’’ for ‘‘real-time 

processing’’ of electromagnetic data using 

underwater electromagnetic receivers 

specified by 6A006.e; 

Gravimeters 

g. ‘‘Software’’ ‘‘specially designed’’ to 

correct motional influences of gravity meters 

or gravity gradiometers; 

Radar 

h. ‘‘Software’’ as follows: 

h.1. Air Traffic Control (ATC) ‘‘software’’ 

designed to be hosted on general purpose 

computers located at Air Traffic Control 

centers and capable of accepting radar target 

data from more than four primary radars; 

h.2. ‘‘Software’’ for the design or 

‘‘production’’ of radomes having all of the 

following: 

h.2.a. ‘‘Specially designed’’ to protect the 

‘‘electronically scanned array antennae’’ 

specified by 6A008.e; and 

h.2.b. Resulting in an antenna pattern 

having an ’average side lobe level’ more than 

40 dB below the peak of the main beam level. 

Technical Note: ‘Average side lobe level’ in 

6D003.h.2.b is measured over the entire array 

excluding the angular extent of the main 

beam and the first two side lobes on either 

side of the main beam. 

* * * * * 

6D991 ‘‘Software,’’ n.e.s., ‘‘specially 

designed’’ for the ‘‘development’’, 

‘‘production’’, or ‘‘use’’ of commodities 

controlled by 6A002, 6A003, 6A991, 

6A996, 6A997, or 6A998. 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to ‘‘software’’ for commodities controlled by 

6A002, 6A003, or 

6A998.b.

RS Column 1. 

RS applies to ‘‘software’’ for commodities controlled by 

6A998.c.

RS Column 2. 

AT applies to entire 

entry, except ‘‘software’’ for commodities controlled by 

6A991.

AT Column 1. 

AT applies to ‘‘software’’ for commodities controlled by 

6A991.

AT Column 2. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

License Exception STA may not be used to 

ship or transmit any ‘‘software’’ in ECCN 

6D991 ‘‘specially designed’’ for the 

‘‘development,’’ ‘‘production,’’ or ‘‘use’’ of 

commodities controlled under 6A002 or 

6A003, to any of the destinations listed in 

Country Group A:5 or A:6 (See supplement 

no.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See ECCN 6D002 for 

‘‘software’’ ‘‘specially designed’’ for the 

‘‘use’’ of commodities controlled under 

ECCN 6A002.b. (2) See ECCN 6D003.c for 

‘‘software’’ ‘‘specially designed’’ for 

cameras incorporating ‘‘focal plane arrays’’ 

specified by 6A002.a.3.f and ‘‘specially 

designed’’ to remove a frame rate 

restriction and allow the camera to exceed 

the frame rate specified in 6A003.b.4 Note 

3.a. 

Related Definitions: N/A 


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Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

6E001 ‘‘Technology’’ According to the 

General Technology Note for the 

‘‘Development’’ of Equipment, Materials 

or ‘‘Software’’ Controlled by 6A (Except 

6A991, 6A992, 6A994, 6A995, 6A996, 

6A997, 6A998, or 6A999.c), 6B (Except 

6B995), 6C (Except 6C992 or 6C994), or 

6D (Except 6D991, 6D992, or 6D993). 

License Requirements 

Reason for Control: NS, MT, NP, RS, CC, AT, 

UN 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘technology’’ for items 

controlled by 

6A001 to 6A008, 

6B002 to 6B008, 

6C002 to 6C005, 

or 6D001 to 6D003.

NS Column 1. 

MT applies to ‘‘technology’’ for items 

controlled by 

6A002, 6A007, 

6A008, 6A102, 

6A107, 6A108, 

6B008, 6B108, 

6D001, 6D002, 

6D102 or 6D103 

for MT reasons.

MT Column 1. 

NP applies to ‘‘technology’’ for items 

controlled by 

6A003, 6A005, 

6A202, 6A203, 

6A205, 6A225, 

6A226, 6D001, or 

6D201 for NP reasons.

NP Column 1. 

RS applies to ‘‘technology’’ for items 

controlled by 

6A002.a.1, .a.2, 

.a.3, .c, or .f, 

6A003.b.3 or .b.4, 

or 6A008.j.1.

RS Column 1. 

CC applies to ‘‘technology’’ for equipment controlled by 

6A002 for CC reasons.

CC Column 1. 

AT applies to entire 

entry.

AT Column 1. 

UN applies to ‘‘technology’’ for equipment controlled by 

6A002 or 6A003 for 

UN reasons.

See § 746.1(b) for UN 

controls 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for the following: (1) Items 

controlled for MT reasons; (2) 

‘‘Technology’’ for commodities controlled 

by 6A002, 6A004.e or 6A008.j.1; (3) 

‘‘Technology’’ for 6A003 cameras, unless 

for ‘‘technology’’ for the integration of 

6A003 cameras into camera systems 

‘‘specially designed’’ for civil automotive 

applications; (4) ‘‘Technology’’ for 

‘‘software’’ ‘‘specially designed’’ for ‘‘space 

qualified’’ ‘‘laser’’ radar or Light Detection 

and Ranging (LIDAR) equipment defined in 

6A008.j.1 and controlled by 6D001 or 

6D002; or (5) Exports or reexports to 

destinations outside of those countries 

listed in Country Group A:5 (See 

Supplement No. 1 to part 740 of the EAR) 

of ‘‘technology’’ for the ‘‘development’’ of 

the following: (a) Items controlled by 

6A001.a.1.b, 6A001.a.1.e, 6A001.a.2.a.1, 

6A001.a.2.a.2, 6A001.a.2.a.3, 

6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 

6A001.a.2.d, 6A001.a.2.e., 6A004.c, 

6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 

6A006.e, 6A008.d, 6A008.h, 6A008.k, 

6B008, or 6D003.a; (b) Equipment 

controlled by 6A001.a.2.c or 6A001.a.2.f 

when ‘‘specially designed’’ for real time 

applications; or (c) ‘‘Software’’ controlled 

by 6D001 and ‘‘specially designed’’ for the 

‘‘development’’ or ‘‘production’’ of 

equipment controlled by 6B008, or 

6D003.a. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any ‘‘technology’’ 

in ECCN 6E001 for the ‘‘development’’ of 

commodities controlled under ECCNs 

6A002 or 6A003, to any of the destinations 

listed in Country Group A:5 or A:6 (See 

supplement no.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit any technology in this 

entry to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) Technical data directly 

related to satellites and all other items 

described in USML Category XV are 

subject to the ITAR under USML Category 

XV(f). (2) Technical data directly related to 

laser systems, infrared imaging systems, 

and all other items described in USML 

Category XII are subject to the ITAR under 

USML Category XII(f). (3) Technical data 

directly related to read-out integrated 

circuits described in USML Categories 

XII(e) or XV(e)(3) is subject to the ITAR 

under USML Categories XII(f) or XV(f), 

respectively. (4) See also 6E101, 6E201, 

and 6E991. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

6E002 ‘‘Technology’’ According to the 

General Technology Note for the 

‘‘Production’’ of Equipment or Materials 

Controlled by 6A (Except 6A991, 6A992, 

6A994, 6A995, 6A996, 6A997, 6A998 or 

6A999.c), 6B (Except 6B995) or 6C 

(except 6C992 or 6C994). 

License Requirements 

Reason for Control: NS, MT, NP, RS, CC, AT, 

UN 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘technology’’ for equipment controlled by 

6A001 to 6A008, 

6B002 to 6B008, or 

6C002 to 6C005.

NS Column 1 

MT applies to ‘‘technology’’ for equipment controlled by 

6A002, 6A007, 

6A008, 6A102, 

6A107, 6A108, 

6B008, or 6B108 

for MT reasons.

MT Column 1 

NP applies to ‘‘technology’’ for items 

controlled by 

6A003, 6A005, 

6A202, 6A203, 

6A205, 6A225 or 

6A226 for NP reasons.

NP Column 1 

RS applies to ‘‘technology’’ for items 

controlled by 

6A002.a.1, .a.2, 

.a.3, .c, or .f, 

6A003.b.3 or .b.4, 

or 6A008.j.1.

RS Column 1 

CC applies to ‘‘technology’’ for equipment controlled by 

6A002 for CC reasons.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to ‘‘technology’’ for equipment controlled by 

6A002 or 6A003 for 

UN reasons.

See § 746.1(b) for UN 

controls 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Technology’’ for commodities 

controlled by 6A002, 6A004.e, or 6A008.j.1; 

(3) ‘‘Technology’’ for 6A003 cameras, 

unless for ‘‘technology’’ for the integration of 

6A003 cameras into camera systems 

‘‘specially designed’’ for civil automotive 

applications ; or 

(4) Exports or reexports to destinations 

outside of those countries listed in Country 

Group A:5 (See Supplement No. 1 to part 740 

of the EAR) of ‘‘technology’’ for the 

‘‘production’’ of the following: (a) Items 

controlled by 6A001.a.1.b, 6A001.a.1.e, 

6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3, 

6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 

6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 

6A006.d, 6A006.e, 6A008.d, 6A008.h, 

6A008.k, or 6B008; and (b) Items controlled 

by 6A001.a.2.c or 6A001.a.2.f when 


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‘‘specially designed’’ for real time 

applications. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any ‘‘technology’’ 

in ECCN 6E002 for the ‘‘production’’ of 

commodities controlled under ECCNs 

6A002 or 6A003, to any of the destinations 

listed in Country Group A:5 or A:6 (See 

supplement no.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit ‘‘technology’’ according to 

the General Technology Note for the 

‘‘production’’ of equipment specified in the 

STA exclusion paragraphs found in the 

License Exception sections of by ECCNs 

6A001, 6A002, 6A003, 6A004, 6A006, 

6A008, or 6B008 to any of the destinations 

listed in Country Group A:6 (See 

Supplement No.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) Technical data directly 

related to satellites and all other items 

described in USML Category XV are 

subject to the ITAR under USML Category 

XV(f). (2) Technical data directly related to 

laser systems, infrared imaging systems, 

and all other items described in USML 

Category XII are subject to the ITAR under 

USML Category XII(f). (3) Technical data 

directly related to read-out integrated 

circuits described in USML Categories 

XII(e) or XV(e)(3) is subject to the ITAR 

under USML Categories XII(f) or XV(f), 

respectively. (4) See also 6E992. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

7D004 ‘‘Source code’’ incorporating 

‘‘development’’ ‘‘technology’’ specified 

by 7E004.a.2, a.3, a.5, a.6 or 7E004.b, for 

any of the following: (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘software’’ in 

7D004.a to .d and .g to any of the 

destinations listed in Country Groups A:5 

and A:6 (See Supplement No.1 to part 740 

of the EAR). 

List of Items Controlled 

Related Controls: See 7D103 and 7D994 

Related Definitions: N/A 

Items: 

a. Digital flight management systems for 

‘‘total control of flight’’; 

b. Integrated propulsion and flight control 

systems; 

c. ‘‘Fly-by-wire systems’’ or ‘‘fly-by-light 

systems’’; 

d. Fault-tolerant or self-reconfiguring 

‘‘active flight control systems’’; 

e. [Reserved]; 

f. Air data systems based on surface static 

data; or 

g. Three dimensional displays. 

Note: 7D004 does not apply to ‘‘source 

code’’ associated with common computer 

elements and utilities (e.g., input signal 

acquisition, output signal transmission, 

computer ‘‘program’’ and data loading, builtin test, task scheduling mechanisms) not 

providing a specific flight control system 

function. 

* * * * * 

9B001 Manufacturing equipment, tooling 

or fixtures, as follows (See List of Items 

Controlled). 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to equipment for engines 

controlled under 

9A001 for MT reasons and for engines controlled 

under 9A101.

MT column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000, except N/A for MT 

GBS: Yes, except N/A for MT 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship commodities in 9B001 to any 

of the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: For ‘‘specially designed’’ 

production equipment of systems, subsystems, ‘‘parts’’ and ‘‘components’’ 

controlled by 9A005 to 9A009, 9A011, 

9A101, 9A105 to 9A109, 9A111, and 

9A116 to 9A119 usable in ‘‘missiles’’ see 

9B115. See also 9B991. 

Related Definitions: N/A 

Items: 

a. Directional solidification or single 

crystal casting equipment designed for 

‘‘superalloys’’; 

b. Casting tooling, ‘‘specially designed’’ for 

manufacturing gas turbine engine blades, 

vanes or ‘‘tip shrouds’’, manufactured from 

refractory metals or ceramics, as follows: 

b.1. Cores; 

b.2. Shells (moulds); 

b.3. Combined core and shell (mould) 

units; 

c. Directional-solidification or singlecrystal additive-manufacturing equipment 

designed for ‘‘superalloys’’. 

* * * * * 

9D001 ‘‘Software’’, not specified in 

9D003 or 9D004, ‘‘specially designed’’ or 

modified for the ‘‘development’’ of 

equipment or ‘‘technology’’ controlled by 

ECCN 9A001 to 9A004, 9A012, 9A101 

(except for items in 9A101.b that are ‘‘subject 

to the ITAR’’, see 22 CFR part 121), 9A106.d. 

or .e, 9A110, or 9A120, 9B (except for ECCNs 

9B604, 9B610, 9B619, 9B990, and 9B991), or 

ECCN 9E003. 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘software’’ for equipment controlled by 

9A001 to 9A004, 

9A012, 9B001 to 

9B010, and technology controlled 

by 9E003.

NS Column 1 

MT applies to ‘‘software’’ for equipment controlled by 

9B116 for MT reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any software 

controlled by ECCN 9D001 that is (1)(a) 

‘‘software’’ that is ‘‘specially designed’’ or 

modified for the ‘‘development’’ or 

‘‘production’’ of components of engines 

controlled by ECCN 9A001 if such 

components incorporate any of the 

‘‘technologies’’ controlled by 9E003.a.1, 

9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 

9E003.c, 9E003.h, or 9E003.i (other than 

technology for fan or power turbines), ; or 

(b) equipment controlled by 9B001, or (2) 

‘‘specially designed’’ or modified for the 

‘‘development’’ of ‘‘technology’’ controlled 

by 9E003.a.1, 9E003.a.2, 9E003.a.3, 

9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 

9E003.i (other than technology for fan or 

power turbines).to any of the destinations 

listed in Country Group A:5 or A:6 (See 

Supplement No.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit ‘‘software’’ ‘‘specially 

designed’’ or modified for the 

‘‘development’’ of equipment or 


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‘‘technology’’, specified by ECCNs 9B001.b. 

or 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 

9E003.hto any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: ‘‘Software’’ that is 

‘‘required’’ for the ‘‘development’’ of items 

specified in ECCNs 9A005 to 9A011, 

9A101.b (except for items that are subject 

to the EAR), 9A103 to 9A105, 9A106.a, .b, 

and .c, 9A107 to 9A109, 9A110 (for items 

that are ‘‘specially designed’’ for use in 

missile systems and subsystems), and 

9A111 to 9A119 is ‘‘subject to the ITAR’’. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

9D002 ‘‘Software’’, not specified in 

9D003 or 9D004, ‘‘specially designed’’ or 

modified for the ‘‘production’’ of equipment 

controlled by ECCN 9A001 to 9A004, 9A012, 

9A101 (except for items in 9A101.b that are 

‘‘subject to the ITAR’’, see 22 CFR part 121), 

9A106.d or .e, 9A110, or 9A120, 9B (except 

for ECCNs 9B604, 9B610, 9B619, 9B990, and 

9B991). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘software’’ for equipment controlled by 

9A001 to 9A004, 

9A012, 9B001 to 

9B010.

NS Column 1 

MT applies to ‘‘software’’ for equipment controlled by 

9B116 for MT reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used for 9D002 software that is ‘‘specially 

designed’’ or modified for the 

‘‘production’’ of components of engines 

controlled by ECCN 9A001 if such 

components incorporate any of the 

‘‘technologies’’ controlled by 9E003.a.1, 

9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 

9E003.c, 9E003.h or 9E003.i (other than 

technology for fan or power turbines); or 

equipment controlled by 9B001. 

License Exception STA may not be used to 

ship or transmit ‘‘software’’ ‘‘specially 

designed’’ or modified for the 

‘‘production’’ of equipment specified by 

9B001.b to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: ‘‘Software’’ that is 

‘‘required’’ for the ‘‘production’’ of items 

specified in ECCNs 9A005 to 9A011, 

9A101.b (except for items that are subject 

to the EAR), 9A103 to 9A105, 9A106.a, .b, 

and .c, 9A107 to 9A109, 9A110 (for items 

that are ‘‘specially designed’’ for use in 

missile systems and subsystems), and 

9A111 to 9A119 is ‘‘subject to the ITAR’’. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

9D004 Other ‘‘software’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any software 

controlled by ECCN 9D004.f or .g, to any 

of the destinations listed in Country Group 

A:5 or A:6 (See supplement no.1 to part 

740 of the EAR). License Exception STA 

may not be used to ship or transmit 

software in 9D004.a and 9D004.c to any of 

the destinations listed in Country Group 

A:6 (See supplement no. 1 to part 740 of 

the EAR) 

List of Items Controlled 

Related Controls: See also 9D104. 

Related Definitions: N/A 

Items: 

a. 2D or 3D viscous ‘‘software’’, validated 

with wind tunnel or flight test data required 

for detailed engine flow modelling; 

b. ‘‘Software’’ for testing aero gas turbine 

engines, assemblies, ‘‘parts’’ or 

‘‘components’’, having all of the following: 

b.1. ‘‘Specially designed’’ for testing any of 

the following: 

b.1.a. Aero gas turbine engines, assemblies 

or components, incorporating ‘‘technology’’ 

specified by 9E003.a, 9E003.h or 9E003.i; or 

b.1.b. Multi-stage compressors providing 

either bypass or core flow, specially designed 

for aero gas turbine engines incorporating 

‘‘technology’’ specified by 9E003.a or 

9E003.h; and 

b.2. ‘‘Specially designed’’ for all of the 

following: 

b.2.a. Acquisition and processing of data, 

in real time; and 

b.2.b. Feedback control of the test article or 

test conditions (e.g., temperature, pressure, 

flow rate) while the test is in progress; 

Note: 9D004.b does not specify software for 

operation of the test facility or operator safety 

(e.g., overspeed shutdown, fire detection and 

suppression), or production, repair or 

maintenance acceptance-testing limited to 

determining if the item has been properly 

assembled or repaired. 

c. ‘‘Software’’ ‘‘specially designed’’ to 

control directional solidification or single 

crystal material growth in equipment 

specified by 9B001.a or 9B001.c; 

d. [Reserved] 

e. ‘‘Software’’ ‘‘specially designed’’ or 

modified for the operation of items specified 

by 9A012; 

f. ‘‘Software’’ ‘‘specially designed’’ to 

design the internal cooling passages of aero 

gas turbine engine blades, vanes and ‘‘tip 

shrouds’’; 

g. ‘‘Software’’ having all of the following: 

g.1. ‘‘Specially designed’’ to predict aero 

thermal, aeromechanical and combustion 

conditions in aero gas turbine engines; and 

g.2. Theoretical modeling predictions of 

the aero thermal, aeromechanical and 

combustion conditions, which have been 

validated with actual turbine engine 

(experimental or production) performance 

data. 

* * * * * 

9E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment or ‘‘software’’, 

controlled by 9A004, 9A012, 9B (except for 

ECCNs 9B604, 9B610, 9B619, 9B990 and 

9B991), or ECCN 9D001 to 9D004, 9D101, or 

9D104. 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘technology’’ for items 

controlled by 

9A004, 9A012, 

9B001 to 9B010, 

9D001 to 9D004 

for NS reasons.

NS Column 1 

MT applies to ‘‘technology’’ for items 

controlled by 

9A012, 9B001, 

9B002, 9B003, 

9B004, 9B005, 

9B007, 9B104, 

9B105, 9B106, 

9B115, 9B116, 

9B117, 9D001, 

9D002, 9D003, or 

9D004 for MT reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 


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Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any’’ technology’’ 

in this entry for the ‘‘development’’ of 

equipment under 9B001, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no. 1 to part 740 of 

the EAR). 

License Exception STA may not be used to 

ship or transmit any technology in this 

entry to any of the destinations listed in 

Country Group A:6 (See Supplement No. 1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See also 9E101 and 

1E002.f (for controls on ‘‘technology’’ for 

the repair of controlled structures, 

laminates or materials). (2) ‘‘Technology’’ 

required for the ‘‘development’’ of 

equipment described in ECCNs 9A005 to 

9A011 or ‘‘software’’ described in ECCNs 

9D103 and 9D105 is ‘‘subject to the ITAR.’’ 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

9E002 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘production’’ of ‘‘equipment’’ controlled by 

ECCN 9A004 or 9B (except for ECCNs 9B117, 

9B604, 9B610, 9B619, 9B990, and 9B991). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘technology’’ for equipment controlled by 

9B001, 9B002, 

9B003, 9B004, 

9B005, 9B007, 

9B104, 9B105, 

9B106, 9B115 or 

9B116 for MT reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any ‘‘technology’’ 

in this entry for the ‘‘production’’ of 

equipment under 9B001, to any of the 

destinations listed in Country Group A:5 or 

A:6 (See supplement no.1 to part 740 of the 

EAR). 

License Exception STA may not be used to 

ship or transmit any technology in this 

entry to any of the destinations listed in 

Country Group A:6 (See supplement no. 1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See also 9E102. (2) See 

also 1E002.f for ‘‘technology’’ for the repair 

of controlled structures, laminates or 

materials. (3) ‘‘Technology’’ that is 

required for the ‘‘production’’ of 

equipment described in ECCNs 9A005 to 

9A011 is ‘‘subject to the ITAR.’’ 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

9E003 Other ‘‘technology’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, SI, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

SI applies to 

9E003.a.1 through 

a.8, .h, .i, and .l.

See § 742.14 of the 

EAR for additional 

information 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any ‘‘technology’’ 

controlled by ECCN 9E003.a.1 to a.5, 

9E003.c, 9E003.h, or 9E003.i (other than 

technology for fan or power turbines), to 

any of the destinations listed in Country 

Group A:5 or A:6 (See supplement no.1 to 

part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit any technology in 9E003.k 

to any of the destinations listed in Country 

Group A:6 (See Supplement No.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) Hot section 

‘‘technology’’ specifically designed, 

modified, or equipped for military uses or 

purposes, or developed principally with 

U.S. Department of Defense funding, is 

‘‘subject to the ITAR’’ (see 22 CFR parts 

120 through 130). (2) ‘‘Technology’’ is 

subject to the EAR when actually applied 

to a commercial ‘‘aircraft’’ engine program. 

Exporters may seek to establish 

commercial application either on a caseby-case basis through submission of 

documentation demonstrating application 

to a commercial program in requesting an 

export license from the Department of 

Commerce in respect to a specific export, 

or in the case of use for broad categories 

of ‘‘aircraft,’’ engines, ‘‘parts’’ or 

‘‘components,’’ a commodity jurisdiction 

determination from the Department of 

State. 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of any of the 

following gas turbine engine ‘‘parts,’’ 

‘‘components’’ or systems: 

a.1. Gas turbine blades, vanes or ‘‘tip 

shrouds’’, made from Directionally Solidified 

(DS) or Single Crystal (SC) alloys and having 

(in the 001 Miller Index Direction) a stressrupture life exceeding 400 hours at 1,273 K 

(1,000 °C) at a stress of 200 MPa, based on the 

average property values; 

Technical Note: For the purposes of 

9E003.a.1, stress-rupture life testing is 

typically conducted on a test specimen. 

a.2. Combustors having any of the 

following: 

a.2.a. ‘Thermally decoupled liners’ 

designed to operate at ‘combustor exit 

temperature’ exceeding 1,883 K (1,610 °C); 

a.2.b. Non-metallic liners; 

a.2.c. Non-metallic shells; or 

a.2.d. Liners designed to operate at 

‘combustor exit temperature’ exceeding 1,883 

K (1,610 °C) and having holes that meet the 

parameters specified by 9E003.c; 

a.2.e. Utilizing ‘pressure gain combustion’; 

Technical Note: For the purposes of 

9E003.a.2.e, in ‘pressure gain combustion’ 

the bulk average stagnation pressure at the 

combustor outlet is greater than the bulk 

average stagnation pressure at the combustor 

inlet due primarily to the combustion 

process, when the engine is running in a 

‘‘steady state mode’’ of operation. 

Note: The ‘‘required’’ ‘‘technology’’ for 

holes in 9E003.a.2 is limited to the derivation 

of the geometry and location of the holes. 

Technical Notes: 

1. For the purposes of 9E003.a.2.a, 

‘thermally decoupled liners’ are liners that 

feature at least a support structure designed 

to carry mechanical loads and a combustion 

facing structure designed to protect the 

support structure from the heat of 

combustion. The combustion facing structure 

and support structure have independent 

thermal displacement (mechanical 

displacement due to thermal load) with 

respect to one another, i.e., they are 

thermally decoupled. 

2. For the purposes of 9E003.a.2.d, 

‘combustor exit temperature’ is the bulk 

average gas path total (stagnation) 

temperature between the combustor exit 

plane and the leading edge of the turbine 

inlet guide vane (i.e., measured at engine 

station T40 as defined in SAE ARP 755A) 

when the engine is running in a ‘‘steady state 

mode’’ of operation at the certificated 

maximum continuous operating temperature. 

N.B.: See 9E003.c for ‘‘technology’’ 

‘‘required’’ for manufacturing cooling 

holes. 

a.3. ‘‘Parts’’ or ‘‘components,’’ that are any 

of the following: 

a.3.a. Manufactured from organic 

‘‘composite’’ materials designed to operate 

above 588 K (315 °C); 

a.3.b. Manufactured from any of the 

following: 

a.3.b.1. Metal ‘‘matrix’’ ‘‘composites’’ 

reinforced by any of the following: 

a.3.b.1.a. Materials controlled by 1C007; 

a.3.b.1.b. ‘‘Fibrous or filamentary 

materials’’ specified by 1C010; or 


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a.3.b.1.c. Aluminides specified by 1C002.a; 

or 

a.3.b.2. Ceramic ‘‘matrix’’ ‘‘composites’’ 

specified by 1C007; or 

a.3.c. Stators, vanes, blades, tip seals 

(shrouds), rotating blings, rotating blisks or 

‘splitter ducts’, that are all of the following: 

a.3.c.1. Not specified in 9E003.a.3.a; 

a.3.c.2. Designed for compressors or fans; 

and 

a.3.c.3. Manufactured from material 

controlled by 1C010.e with resins controlled 

by 1C008; 

Technical Note: For the purposes of 

9E003.a.3.c, a ‘splitter duct’ performs the 

initial separation of the air-mass flow 

between the bypass and core sections of the 

engine. 

a.4. Uncooled turbine blades, vanes or ‘‘tip 

shrouds’’ designed to operate at a ‘‘gas path 

temperature’’ of 1,373 K (1,100 °C) or more; 

a.5. Cooled turbine blades, vanes or ‘‘tip 

shrouds’’, other than those described in 

9E003.a.1, designed to operate at a ‘gas path 

temperature’ of 1,693 K (1,420 °C) or more; 

Technical Note: For the purposes of 

9E003.a.5, ‘‘gas path temperature’’ is the bulk 

average gas path total (stagnation) 

temperature at the leading-edge plane of the 

turbine component when the engine is 

running in a ‘‘steady state mode’’ of 

operation at the certificated or specified 

maximum continuous operating temperature. 

a.6. Airfoil-to-disk blade combinations 

using solid state joining; 

a.7. [Reserved] 

a.8. ‘Damage tolerant’ gas turbine engine 

rotor ‘‘parts’’ or ‘‘components’’ using powder 

metallurgy materials controlled by 1C002.b; 

or 

Technical Note: For the purposes of 

9E003.a.8, ‘‘damage tolerant’’ ‘‘parts’’ and 

‘‘components’’ are designed using 

methodology and substantiation to predict 

and limit crack growth. 

a.9. [Reserved] 

N.B.: For ‘‘FADEC systems’’, see 9E003.h. 

a.10. [Reserved] 

N.B.: For adjustable flow path geometry, 

see 9E003.i. 

a.11. ‘Fan blades’ having all of the 

following: 

a.11.a. 20% or more of the total volume 

being one or more closed cavities containing 

vacuum or gas only; and 

a.11.b. One or more closed cavities having 

a volume of 5 cm3 or larger; 

Technical Note: For the purposes of 

9E003.a.11, a ‘fan blade’ is the aerofoil 

portion of the rotating stage or stages, which 

provide both compressor and bypass flow in 

a gas turbine engine. 

b. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of any of the 

following: 

b.1. Wind tunnel aero-models equipped 

with non-intrusive sensors capable of 

transmitting data from the sensors to the data 

acquisition system; or 

b.2. ‘‘Composite’’ propeller blades or propfans, capable of absorbing more than 2,000 

kW at flight speeds exceeding Mach 0.55; 

c. ‘‘Technology’’ ‘‘required’’ for 

manufacturing cooling holes, in gas turbine 

engine ‘‘parts’’ or ‘‘components’’ 

incorporating any of the ‘‘technologies’’ 

specified by 9E003.a.1, 9E003.a.2, or 

9E003.a.5, and having any of the following: 

c.1. Having all of the following: 

c.1.a. Minimum ‘‘cross-sectional area’’ less 

than 0.45 mm2; 

c.1.b. ‘‘Hole shape ratio’’ greater than 4.52; 

and 

c.1.c. ‘‘Incidence angle’’ equal to or less 

than 25°; or 

c.2. Having all of the following: 

c.2.a. Minimum ‘‘cross-sectional area’’ less 

than 0.12 mm2; 

c.2.b. ‘‘Hole shape ratio’’ greater than 5.65; 

and 

c.2.c. ‘‘Incidence angle’’ more than 25°; 

Note: 9E003.c does not apply to 

‘‘technology’’ for manufacturing constant 

radius cylindrical holes that are straight 

through and enter and exit on the external 

surfaces of the component. 

Technical Notes: 

1. For the purposes of 9E003.c, the ‘‘crosssectional area’’ is the area of the hole in the 

plane perpendicular to the hole axis. 

2. For the purposes of 9E003.c, ‘‘hole shape 

ratio’’ is the nominal length of the axis of the 

hole divided by the square root of its 

minimum ‘cross-sectional area’. 

3. For the purposes of 9E003.c, ‘‘incidence 

angle’’ is the acute angle measured between 

the plane tangential to the airfoil surface and 

the hole axis at the point where the hole axis 

enters the airfoil surface. 

4. For the purposes of 9E003.c, methods for 

manufacturing holes include ‘‘laser’’ beam 

machining, water jet machining, ElectroChemical Machining (ECM) or Electrical 

Discharge Machining (EDM). 

d. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of helicopter 

power transfer systems or tilt rotor or tilt 

wing ‘‘aircraft’’ power transfer systems; 

e. ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of reciprocating diesel engine 

ground vehicle propulsion systems having all 

of the following: 

e.1. ‘Box volume’ of 1.2 m3 or less; 

e.2. An overall power output of more than 

750 kW based on 80/1269/EEC, ISO 2534 or 

national equivalents; and 

e.3. Power density of more than 700 kW/ 

m3 of ‘box volume’; 

Technical Note: For the purposes of 

9E003.e.1, ‘‘box volume’’ is the product of 

three perpendicular dimensions measured in 

the following way: 

Length: The length of the crankshaft from 

front flange to flywheel face; 

Width: The widest of any of the following: 

a. The outside dimension from valve cover 

to valve cover; 

b. The dimensions of the outside edges of 

the cylinder heads; or 

c. The diameter of the flywheel housing; 

Height: The largest of any of the following: 

a. The dimension of the crankshaft centerline to the top plane of the valve cover (or 

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 

f. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of ‘‘specially designed’’ ‘‘parts’’ 

or ‘‘components’’ for high output diesel 

engines, as follows: 

f.1. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of engine systems having all of 

the following ‘‘parts’’ and ‘‘components’’ 

employing ceramics materials controlled by 

1C007: 

f.1.a. Cylinder liners; 

f.1.b. Pistons; 

f.1.c. Cylinder heads; and 

f.1.d. One or more other ‘‘part’’ or 

‘‘component’’ (including exhaust ports, 

turbochargers, valve guides, valve assemblies 

or insulated fuel injectors); 

f.2. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of turbocharger systems with 

single-stage compressors and having all of 

the following: 

f.2.a. Operating at pressure ratios of 4:1 or 

higher; 

f.2.b. Mass flow in the range from 30 to 130 

kg per minute; and 

f.2.c. Variable flow area capability within 

the compressor or turbine sections; 

f.3. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of fuel injection systems with 

a ‘‘specially designed’’ multifuel (e.g., diesel 

or jet fuel) capability covering a viscosity 

range from diesel fuel (2.5 cSt at 310.8 K 

(37.8 °C)) down to gasoline fuel (0.5 cSt at 

310.8 K (37.8 °C)) and having all of the 

following: 

f.3.a. Injection amount in excess of 230 

mm3 per injection per cylinder; and 

f.3.b. Electronic control features ‘‘specially 

designed’’ for switching governor 

characteristics automatically depending on 

fuel property to provide the same torque 

characteristics by using the appropriate 

sensors; 

g. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of ‘high 

output diesel engines’ for solid, gas phase or 

liquid film (or combinations thereof) cylinder 

wall lubrication and permitting operation to 

temperatures exceeding 723 K (450 °C), 

measured on the cylinder wall at the top 

limit of travel of the top ring of the piston; 

Technical Note: For the purposes of 

9E003.g, ‘‘high output diesel engines’’ are 

diesel engines with a specified brake mean 

effective pressure of 1.8 MPa or more at a 

speed of 2,300 r.p.m., provided the rated 

speed is 2,300 r.p.m. or more. 

h. ‘‘Technology’’ for gas turbine engine 

‘‘FADEC systems’’ as follows: 

h.1. ‘‘Development’’ ‘‘technology’’ for 

deriving the functional requirements for the 

‘‘parts’’ or ‘‘components’’ necessary for the 

‘‘FADEC system’’ to regulate engine thrust or 

shaft power (e.g., feedback sensor time 

constants and accuracies, fuel valve slew 

rate); 

h.2. ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ for control and diagnostic 

‘‘parts’’ or ‘‘components’’ unique to the 

‘‘FADEC system’’ and used to regulate engine 

thrust or shaft power; 

h.3. ‘‘Development’’ ‘‘technology’’ for the 

control law algorithms, including ‘‘source 

code’’, unique to the ‘‘FADEC system’’ and 

used to regulate engine thrust or shaft power; 

Note: 9E003.h does not apply to technology 

related to engine-‘‘aircraft’’ integration 

required by civil aviation authorities of one 

or more Wassenaar Arrangement 

Participating States (See Supplement No. 1 to 

part 743 of the EAR) to be published for 

general airline use e.g., installation manuals, 

operating instructions, instructions for 

continued airworthiness) or interface 


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85758 Federal Register / Vol. 88, No. 235 / Friday, December 8, 2023 / Proposed Rules 

functions e.g., input/output processing, 

airframe thrust or shaft power demand). 

i. ‘‘Technology’’ for adjustable flow path 

systems designed to maintain engine stability 

for gas generator turbines, fan or power 

turbines, or propelling nozzles, as follows: 

i.1. ‘‘Development’’ ‘‘technology’’ for 

deriving the functional requirements for the 

‘‘parts’’ or ‘‘components’’ that maintain 

engine stability; 

i.2. ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ for ‘‘parts’’ or ‘‘components’’ 

unique to the adjustable flow path system 

and that maintain engine stability; 

i.3. ‘‘Development’’ ‘‘technology’’ for the 

control law algorithms, including ‘‘source 

code’’, unique to the adjustable flow path 

system and that maintain engine stability; 

Note: 9E003.i does not apply to 

‘‘technology’’ for any of the following: 

a. Inlet guide vanes; 

b. Variable pitch fans or prop-fans; 

c. Variable compressor vanes; 

d. Compressor bleed valves; or 

e. Adjustable flow path geometry for 

reverse thrust. 

j. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ powered 

by gas turbine engines. 

N.B.: For ‘‘technology’’ ‘‘required’’ for the 

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ specified 

in USML Category VIII (a), see USML 

Category VIII (i). 

k. ‘‘Technology’’, not specified in 9E003.a, 

9E003.h, or 9E003.i, ‘‘required’’ for the 

‘‘development’’ of any of the following 

components or systems, ‘‘specially designed’’ 

for aero gas turbine engines to enable 

‘‘aircraft’’ to cruise at Mach 1 or greater for 

more than 30 minutes: 

k.1. Propulsion inlet systems; 

k.2. Propulsion exhaust systems; 

k.3. ‘Reheat systems’; 

k.4. ‘Active thermal management systems’ 

to condition fluids used to lubricate or cool 

‘engine rotor supports’; 

k.5. Oil-free ‘engine rotor supports’; or 

k.6. Systems to remove heat from 

‘compression system’ core gas path flow. 

Technical Notes: For the purposes of 

9E003.k: 

1. Propulsion inlet systems include core 

flow pre-coolers. 

2. ‘Reheat systems’ provide additional 

thrust by combusting fuel in exhaust and/or 

bypass flow downstream of the last 

turbomachinery stage. ‘Reheat systems’ are 

also referred to as afterburners. 

3. ‘Active thermal management systems’ 

employ methods other than passive oil-to-air 

cooling or oil-to-fuel cooling, such as vapor 

cycle systems. 

4. ‘Compression system’ is any stage or 

combination of stages between the engine 

inlet face and the combustor that increases 

gas path pressure through mechanical work. 

5. An ‘engine rotor support’ is the bearing 

supporting the main engine shaft that drives 

the compression system or turbine rotors. 

N.B. 1. See 9E003.h for engine control 

technology. 

N.B. 2. See 9E003.i for adjustable flow path 

systems technology. 

l. ‘‘Technology’’ not otherwise controlled 

in 9E003.a.1 through a.8, a.10, and .h and 

used in the ‘‘development’’, ‘‘production’’, or 

overhaul of hot section ‘‘parts’’ or 

‘‘components’’ of civil derivatives of military 

engines controlled on the U.S. Munitions 

List. 

* * * * * 

Thea D. Rozman Kendler, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2023–26681 Filed 12–7–23; 8:45 am] 

BILLING CODE 3510–33–P 


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