Controlled Commodities
How to find out if the
item is export controlled
Law and Regulations
Commerce
Department
State Department
Treasury
Department
Export Administration
Act
Arms Export Control
Act
Trading with the
Enemy Act, Int’l
Emergency Economic
Powers Act, & Others
Export Administration
Regulations (“EAR”)
15 C.F.R. Parts 700-799
International Traffic
in Arms Regulations
(“ITAR”)
22 C.F.R. Parts 120-130
Iraq Sanctions
Regulations,
Terrorism Sanctions
Regulations, & Others
31 C.F.R. Parts 500-599
Commerce Control List
15CFR Part 774
U.S. Munitions List
22 CFR Part 121
List of Specially
Designated Nationals
& Blocked Persons
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Commerce Control List (CCL), 15CFR Part 774
 Category 0 - Nuclear
Materials, Facilities and
Equipment and Misc.
 Category 5 Telecommunications and
Information Security
 Category 1 - Materials,
Chemicals,
Microorganisms and
Toxins
 Category 6 - Lasers and
Sensors
 Category 2 - Materials
Processing
 Category 3 - Electronics
 Category 4 - Computers
 Category 7 - Navigation
and Avionics
 Category 8 - Marine
 Category 9 - Propulsion
Systems, Space Vehicles
and Related Equipment
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Commerce Control List (CCL)
Within each category, items are arranged by group. Each category
contains the same five groups. Each Group is identified by the letters
A through E, as follows:





A-Equipment, Assemblies and Components
B-Test, Inspection and Production Equipment
C-Materials
D-Software
E-Technology (Specific information necessary for the ‘development’,
‘production’, or ‘use’ of a product, including ‘technical data’ or
‘technical assistance’. ‘Technical data’ may take forms such as
blueprints, plans, diagrams, models, formulae, tables, engineering
designs and specifications, manuals and instructions.)
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Examples of Items Covered by
Category 3 - Electronics
GROUP: Systems, Equipment, and Components
 General purpose integrated circuits: microprocessor
microcircuits, micro-computer microcircuits, and
microcontroller microcircuits, having any of the following:
 manufactured from a compound semiconductor and
operating at a clock frequency exceeding 40MHz; or
 storage integrated circuits manufactured from a compound
semiconductor; or
 digital-to-analogue converters with a resolution of 12 bit or
more, and a ‘settling time’ of less than 10 ns
 Microwave integrated circuits or modules having all of the
following: containing ‘monolithic integrated circuits’ having
one or more active circuit elements, and operating at
frequencies above 3GHz
 Voice print identification and analysis equipment and parts
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Examples of Items Covered by
Category 3 - Electronics
GROUP: Test, Inspection and Production Equipment
 Equipment for the manufacturing of semiconductor devices
or materials and specially designed components and
accessories therefor:
 ‘Stored program controlled’ equipment designed for epitaxial
growth capable of producing a layer thickness uniform to less
than +=2.5% across a distance of 75 nm or more
 Molecular beam epitaxial growth equipment using gas or
solid sources
 ‘Stored program controlled’ equipment design for ion
implantation, having any of the following
– A beam energy (accelerating voltage) exceeding 1MeV; or
– Being specially designed and optimized to operate at a beam
energy (accelerating voltage) of less than 2keV; or
– Direct write capability; or
– Being capable of high energy oxygen implant into a heated
semiconductor material ‘substrate’
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Examples of Items Covered by
Category 3 - Electronics
GROUP: Materials
 Hetero-epitaxial materials consisting of a ‘substrate’ having
stacked epitaxially grown multiple layers of any of the following:




Silicon
Germanium
Silicon Carbide, or
III/V compounds of gallium or indium
 Resist material and ‘substrates’ coated with controlled resists:
 Positive resists designed for semiconductor lithography specially
adjusted for use at wavelengths below 350 nm;
 All resists designed for use with electron or ion beams with a
sensitivity of 0.01 ucoulomb/mm2 or better;
 All resists designed for use with X-rays, with a sensitivity of
2.5mJ/mm2 or better;
 All resists optimized for surface imaging technologies, including
silylated resists.
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Examples of Items Covered by
Category 3 - Electronics
GROUP: Software
 Software specially designed for the ‘development’ or
‘production’ of equipment controlled by 3A001.b to 3A002.g or
3B (except 3B991 or 3B992)
 Software specially designed for the ‘use’ of ‘stored program
controlled’ equipment controlled by 3B (except 3B991 & 992)
 Computer-aided-design (CAD) software , having all of the
following
 Designed for the ‘development’ of semiconductor devices or
integrated circuits, and
 Designed to perform or use any of the folllowing
– Design rules or circuit verification rules;
– Simulation of the physically laid out circuits; or
– Lithographic processing simulators for design.
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Examples of Items Covered by
Category 3 - Electronics




GROUP: Technology
‘Technology’ for the ‘development’ or ‘production’ of equipment or
materials controlled by 3A (except 3A292, 3A980, 3A981, 3A991
or 3A992), 3B (except 3B991 or 3B992) or 3C
‘Technology’ for the ‘development’ or ‘production’ of
‘microprocessor microcircuits’, ‘microcomputer microcircuits’ and
microcontroller microcircuits having a ‘composite theoretical
performance’ (‘CTP’) of 530 million theoretical operations per
second (MTOPS) or more and an arithmetic logic unit with an
access width of 32 bits or more
‘Technology’ for the ‘use’ of equipment or ‘software’ controlled by
3A001.a.1 or .2, 3A101, or 3D101
‘Technology’ for the ‘development’ of ‘software’ controlled by
3D101
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Examples of Items Covered by Category 1
Materials, Chem, Microorganisms, & Toxins
Category
Systems, Equip,
& Components
Test, Inspection,
&Prod Equip
Materials
Software
Technology
Example
Chemical Agents, including tear gas containing 1%
or less of CS or CN, except containers net wt <20grm
Electrolytic cells for fluorine production with a
production capacity >250 g of fluorine per hour
Chemical Precursors for toxic chemical agents
(1C350) (Examples:Benzilic acid; sodium bifluoride)
Human pathogens, zoonoses, and “toxins” (1C351)
(Examples: Rickettsia rickettsii, Chlamydia psittaci)
Animal pathogens (1C352 (Example:goat pox virus)
Plant pathogens (1C354) (Example: Puccinia graminis)
“Software” for process control that is specifically
configured to control or initiate “production” of
chemicals controlled by 1C350
Technical data for the development of
production of any of the above items
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Commerce Control List: how to use
 Once you find the commodity on the CCL, note the ECCN number & check the
“reason for control” at the beginning of each entry, under License
Requirements:








CB: Chemical & Biological Weapons
NP: Nuclear Non-Proliferation
NS: National Security
MT: Missile Technology
RS: Regional Stablity
FC: Firearms Control
CC: Crime Control
AT: Anti-Terrorism
 Check the country list at EAR Part 738, Supplement 1
 Determine whether country to which item will be shipped has check (X) under
the applicable ‘reason for control’ column
 If no (X), ship item as “NLR” (No License Required). See EAR Parts 758 and
762 for export clearance procedures and recordkeeping requirements for NLRs.
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Commerce Control List: how to use
 If box is checked for the country under the applicable ‘reason for control’ column, then a
license may be required.
 Check “License Exceptions” heading that appears after the “License Requirements”
section for the ECCN. See EAR Part 740 for all license exceptions. Some commonly
used ones are:





LVS: Limited Value Shipment (Part 740.3)
CIV: Civil End-Users (Part 740.5)
TSR: Technology & Software under Restriction (Part 740.6)
CTP: Computers (Part 740.7)
TMP: Temporary Imports, Exports, & Reexports (Part 740.9) (See Tools of Trade for personal
use abroad, at 740.9(a)(2)(i) and ‘Beta Software’ at 740.9(c))
 TSU: Technology and Software Unrestricted (Part 740.13)(See publicly available encryption
source/object code at 740.13(e) and(f))
 BAG: Baggage (Part 740.14)
 ENC: Encryption Commodities and Software (Part 740.17)
 If no license exception applicable, apply for license using BIS-748P, MultiPurpose Appl.
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Commerce Control List: how to use
 Note: Many ECCNs have more than one “reason for control”. Each reason
must be checked on the country chart before concluding No License
Required (NLR)
 Note: Each license exception has specific criteria that must be met to qualify
for the license exception. Also, many license exceptions require special
record-keeping and some require notification to the government of use of
the license exception. See especially the notification requirements described
in EAR Part 742.15(b)(1) and (b)(2) for certain encryption items controlled
under ECCNs 5A992, 5D992, and 5E992.
 A good explanation of the structure of the CCL, how to read the ECCNs,
and how to determine if an export license is required is found in Part 738.
A good ‘diagram’ of the process is found in Part 732, Supplements 1 & 2
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Commerce Control List: how to use
 Note: In addition to checking the “Reason for Control”/Country Chart, as
well as the “License Exceptions”, there are General Prohibitions listed in
EAR Part 736. Whether the shipment will be subject to one of these
prohibitions depends upon: 1) the ECCN classification of the item; 2) the
destination; 3)the end-user; 4) the end-use; and 5) conduct. Prohibitions 410 are:







Denial Order issued under EAR Part 766
Export to prohibited end-uses or end-users under EAR Part 744
Export to embargoed destination described in EAR Part 746
Support of Proliferation Activities described in EAR Part 744
Intransit Shipments through specified countries listed in EAR Part 736(b)(8)(ii)
Violation of terms and conditions of an exception or license
Proceeding with knowledge that a violation has or is about to occur
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Commerce Control List: how to use
 If the commodity does not appear on the CCL, then the item is shipped
under category EAR99, NLR (unless Prohibitions 4 through 10 apply).
 If you have trouble locating the Section of the CCL that includes the
commodity you are looking for, try the alphabetical listing of all items on
the CCL found at EAR Part 774, Supplement 1, and then work backwards
to the ECCN
 Search for items by both the common name and scientific name. Consult
with the faculty member. If you conclude the item is not included in the
CCL, write a note to the file documenting the search conducted.
 If you aren’t sure, you can contact the BIS regional office in San Jose
(408) 998-7402, or request a Commodity Classification (See Part 748.3)
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U.S. Munitions List (USML)












I - Firearms
II - Artillery Projectors
III - Ammunition
IV - Launch Vehicles, etc...
V - Explosives, Propellants,
Incendiary Agents and Their
Constituents
VI - Vessels of War and Special
Naval Equipment
VII - Tanks and Military Vehicles
VIII - Aircraft and Associated
Equipment
IX - Military Training Equipment
X - Protective Personnel
Equipment
XI - Military Electronics
XII - Fire Control, Range Finder,
Optical and Guidance and
Control Equipment
 XIII - Auxiliary Military
Equipment
 XIV - Toxicological Agents and
Equipment and Radiological
Equipment
 XV - Spacecraft Systems and
Associated Equipment
 XVI - Nuclear Weapons Design
and Related Equipment
 XVII - Classified Articles,
Technical Data and Defense
Services Not Otherwise
Enumerated
 XVIII - Reserved
 XIX - Reserved
 XX - Submersible Vessels,
Oceanographic and Associated
Equipment
 XXI - Miscellaneous Articles
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U.S. Munitions List (USML)
 The list of items controlled under ITAR is more straightforward and is
only 40 pages long. There are no subdivisions within categories.
 Some of the items listed are broadly defined, such as those included in
Category XV, Spacecraft Systems and Associated Equipment:
 a) Spacecraft, including . . scientific satellites, research satellites, etc.
 b) Ground control stations for telemetry, tracking and control of spacecraft or
satellites
 c) All specifically designed or modified systems, components, parts,
accessories, attachments, and associated equipment for articles in this category
 Many of the other broad category items are qualified with the phrase
“specifically designed or modified for military application”
 There is no ‘country chart’ or categories of ‘license exception’; if the
article is on the list, you will need to secure a license for permanent or
temporary export or temporary import of the item.
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Take Home Messages
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Do’s and Don’ts
 Do NOT Ship Any Item Outside the U.S. without first
checking the ITAR and EAR Lists to determine if the item is
controlled (This includes Outgoing MTA’s, Software Licenses,
and any Agreement Deliverables)
 Secure License Approval or verify license exception PRIOR to
Shipment for all controlled items
 Make sure that technical data about export controlled
commodities qualifies as “public domain” (ITAR term) or
“publicly available” (EAR term), so that a license for
shipment of technical data out of the U.S. or the ‘deemed
export’ to a foreign national in the U.S. is not required.
 Qualify software as ‘publicly available’, or otherwise secure
licenses prior to shipment if the software is on CCL or USML
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Is the Item “Export Controlled?”
 EAR List at: http://www.access.gpo.gov/bis/ear/ear_data.html See Part
774, Categories 0 through 9; Also see the Alphabetical Listing
 ITAR List at: http://www.pmdtc.org/docs/ITAR/22cfr121_Part_121.pdf
 For EAR Items: 1)Check the “reason for control”; 2)Check country chart at
Part 738, Supplement 1; 3)Determine if license required in the column for
the country where item to be shipped; 4) Determine if any license
exceptions apply; 5) If license required, apply using BIS Form 748P
 For EAR Item, if no “check” in control column for country, then ship under
NLR (no license required); If item being shipped is not on Commodity
Control List, then ship EAR99 (exempt)
 For ITAR Item, if on list, contact UCOP; license will be required because
there is no EAR equivalent “country chart”
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Questions?
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