A key in determining whether an export license is needed from the Department
of Commerce is knowing whether the item you are intending to export has a
specific Export Control Classification Number (ECCN). The ECCN is an alpha-numeric
code, e.g., 3A001, that describes a particular item or type of item, and shows
the controls placed on that item. All ECCNs are listed in the Commerce Control
List (CCL) (Supplement No. 1 to Part 774 of the EAR) which is available on
the Government Printing Office Web site. The CCL is divided into ten broad
categories, and each category is further subdivided into five product groups.
The proper classification of your item is essential to determining any licensing
requirements under the Export Administration Regulations (EAR). You may classify
the item on your own, check with the manufacturer, or submit a classification
request and BIS will determine the ECCN for you.
When reviewing the CCL to determine if your item is specified by an ECCN,
you will first need to determine in which of the ten broad categories of the
Commerce Control List your item is included and then consider the applicable
See additional information on determining
(except biomedical recorders designed for use in medical facilities
for monitoring biological and neurophysical responses); fingerprint
analyzers, cameras and equipment, n.e.s.; automated fingerprint and
identification retrieval systems, n.e.s.; psychological stress analysis
equipment; electronic monitoring restraint devices; and specially designed
parts and accessories, n.e.s.
|Reason for Control: CC
CC applies to entire entry
CC Column 1
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
The list of items controlled is contained in the ECCN heading.
If Your Item is Not on the Commerce Control List - EAR99
EAR99 Items subject
to the EAR that are not elsewhere controlled by this CCL Category or
in any other category in the CCL are designated by the number EAR99.
If your item falls under U.S. Department of Commerce jurisdiction and is
not listed on the CCL, it is designated as EAR99. EAR99 items generally consist
of low-technology consumer goods and do not require a license in many situations.
However, if your proposed export of an EAR99 item is to an embargoed country,
to an end-user of concern or in support of a prohibited end-use, you may be
required to obtain a license.
Where are You Exporting?
Restrictions vary from country to country. The most restricted destinations
are the embargoed countries and those countries designated as supporting terrorist
activities, including Cuba, Iran, Libya, North Korea, Sudan, and Syria.
There are restrictions on some products, however, that are worldwide.
How to cross-reference the ECCN with the Commerce Country Chart
Once you have classified the item, the next step is to determine whether
you need an export license based on the “reasons for control”
of the item and the country of ultimate destination.
You begin this process by comparing the ECCN with the Commerce Country Chart
(Supplement No. 1 to Part 738). The ECCNs and the Commerce Country Chart,
taken together, define the items subject to export controls based solely on
the technical parameters of the item and the country of ultimate destination.
Below the main heading for each ECCN entry, you will find "Reason for
Control” (e.g., NS for National Security, AT for Anti-Terrorism, CC
for Crime Control, etc.). Below this, you will find the “Country Chart”
designator which shows the specific export control code(s) applied to your
item (e.g., NS Column 2, AT Column 1, CC Column 1, etc.). These specific control
codes for your ECCN need to be cross-referenced against the Commerce Country
If there is an “X” in the box based on the reason(s) for control
of your item and the country of destination, a license is required, unless
a License Exception is available. Part 742 of the EAR sets forth the license
requirements and licensing policy for most reasons for control.
Question: You have polygraph equipment classified
as 3A981 for export to Honduras. Would you be required to obtain an
export license from the Department of Commerce before selling and shipping
it to your purchaser?
Answer: Yes. 3A981 is controlled for Crime Control
(CC) reasons under CC Column 1 and the Country Chart shows that such
items require a license for Honduras.
If there is no “X” in the control code column(s) specified under
your ECCN and country of destination, you will not need an export license
unless you are exporting to an end-user or end-use of concern.
You have polygraph
equipment classified as 3A981 for export to Iceland. Would you be required
to obtain an export license from the Department of Commerce before selling
and shipping it to your purchaser?
Answer: No. As you can see from the Commerce Country
Chart (above) 3A981
is controlled for Crime Control (CC) reasons under CC Column 1 and the
Country Chart shows that such items do not require a license for Iceland
unless you are exporting to an end-user or end-use of concern.
Although a relatively small percentage of all U.S. exports and reexports
require a BIS license, virtually all exports and many reexports to embargoed
destinations and countries designated as supporting terrorist activities require
a license. These countries are Cuba, Iran, Libya, North Korea, Sudan,
and Syria. Part 746 of the EAR describes embargoed destinations and refers
to certain additional controls imposed by the Office of Foreign Assets Control
of the Treasury Department.
Who will receive your item?
Certain individuals and organizations are prohibited from receiving U.S.
exports and others may only receive goods if they have been licensed, even
items that do not normally require a license based on the ECCN and Commerce
Country Chart or based on an EAR99 designation. You must be aware of the following
Entity List - EAR Part 744, Supplement
4 - A list of organizations identified by BIS as engaging in activities related
to the proliferation of weapons of mass destruction. Depending on your item,
you may be required to obtain a license to export to an organization on the
Entity List even if one is not otherwise required.
Specially Designated Nationals and Blocked Persons List - EAR Part 764,
Supplement 3 - A list maintained by the Department of Treasury’s Office
of Foreign Assets Control comprising individuals and organizations deemed
to represent restricted countries or known to be involved in terrorism and
List is composed of firms for which BIS was unable to complete an end-use
check. Firms on the unverified list present a “red flag” that
exporters have a duty to inquire about before making an export to them.
Persons - You may not participate in an export or reexport transaction
subject to the EAR with a person whose export privileges have been denied
by the BIS. A list of those firms and individuals whose export privileges
have been denied is available on this Web site. Note that some denied persons
are located within the United States. If you believe a person whose export
privileges have been denied wants to buy your product in order to export it,
you must not make the sale and should report the situation to BIS’s
Office of Export Enforcement. If you have questions about Denied Persons,
you may contact BIS’s Office
of Enforcement Analysis at (202) 482-4255.
What will your item be used for?
Some end-uses are prohibited while others may require a license. For example,
you may not export to certain entities involved in the proliferation of weapons
of mass destruction (e.g., nuclear, biological, chemical) and the missiles
to deliver them, without specific authorization, no matter what your item
is. For more information on prohibited end- uses, please refer to Part 744
of the EAR.
Ways to Export
Authorization to export is determined by the transaction: what the item is,
where it is going, who will receive it, and what it will be used for. The
majority of U.S. commercial exports do not require a license.
NLR – (“No License Required”)
Where to Get Assistance
Most exports from the United States do not require a license, and are
therefore exported under the designation “NLR.” Except in those
relatively few transactions when a license requirement applies because the
destination is subject to embargo or because of a proliferation end-use
or end-user, no license is required when:
- The item to be shipped is not on the CCL (i.e. it’s EAR99); or
- The item is on the CCL but there is no “X” in the box on
the Country Chart under the appropriate reason for control column on the
row for the country of destination. (See the country chart example above.)
In each of these situations, you would enter “NLR” on your
If a license is required for your transaction, a license exception may
be available. License Exceptions, and the conditions on their use, are set
forth in Part 740 of the EAR If your export is eligible for a license exception,
you would use the designation of that license exception (e.g. LVS, GBS,
TMP) on your export documents.
If your item requires a license to be exported, you must apply to the BIS
for an export license. If your application is approved, you will have a
license number and expiration date to use on your export documents. A BIS-issued
license is usually valid for two years.
A good starting point for information on export licensing requirements and
the regulations is to attend one of our export control seminars. A
list of upcoming seminars is posted on this Web site.
For counseling assistance, you may call one of our export counselors at 202-482-4811
(Washington, DC) or 949-660-0144 (California) or email us in Washington
Summary of Steps to Take to Process Your Export
- Ensure that your export is under U.S. Department of Commerce jurisdiction.
- Classify your item by reviewing the Commerce Control List.
- If your item is classified by an Export Control Classification Number
(ECCN), identify the Reasons for Control on the Commerce Control List.
- Cross-reference the ECCN Controls against the Commerce Country Chart to
see if a license is required. If yes, determine if a License Exception is
available before applying for a license.
- Ensure that no proscribed end-users or end-uses are involved with your
export transaction. If proscribed end-users or end-uses are involved, determine
if you can proceed with the transaction or must apply for a license.
- Export your item using the correct ECCN and the appropriate symbol (e.g.,
NLR, license exception, or license number and expiration date) on your export
documentation (e.g., Shipper’s Export Declaration).
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