License Exception BAG authorizes a U.S. citizen or a permanent resident alien leaving the U.S. to export or reexport shotguns with a barrel length 18 inches or over and shotgun shells provided no more than three shotguns are taken on any one trip; the shotguns and shotgun shells must be with the person's baggage (may not be mailed) and they must be for the person's exclusive legitimate use. See section 740.14(e) of the EAR for specific requirements in the use of BAG.

License Exception BAG allows a nonresident alien leaving the U.S. to export or reexport shotguns and shotgun shells he or she has brought into the United States under the provisions of the Department of Justice Regulations. See section 740.14(e) of the EAR for specific requirements in the use of BAG.

Yes, a license is required to export to Canada shotguns and related firearms purchased in the United States.

Yes, however any applicant, whether a U.S. citizen or not, must be in the United States at the time a license application is submitted to BIS.

Contact the following:

Please consult with the proper authorities when exporting such items from Canada and importing them into the United States to determine requirements. For example, prior to importing firearms into the United States, you should contact the U.S. Department of Justice's Bureau of Alcohol, Tobacco and Firearms regarding import permits at http://www.atf.gov/ . You should also contact Canada's Export and Import Permits Bureau regarding export permits at 613-996-2387 or go to http://www.international.gc.ca.

Royal Canadian Mounted Police,

Canadian Firearms Program, Ottawa, ON K1A 0R2

Like shipments to U.S. embassies overseas, shipments to non-U.S. Embassies outside the United States are exports or reexports to the host country. For example, an export from the United States to the French Embassy in Germany is an export to Germany. License requirements are those that are applicable to the host country. There may also be relevant license exception availability (see below).

For purposes of the EAR, a commercial shipment to a U.S. Embassy located outside the United States is an export or reexport to the country in which the U.S. Embassy is located (the host country). For example, a shipment from the United States to the U.S. Embassy in Germany is an export to Germany. BIS may require a license under the EAR for such an export, based on the classification of the items involved and the license requirements applicable to the particular host country.

Most transactions involving the export or reexport of items subject to the EAR to host countries that are subject to multilateral or unilateral economic sanctions require a license, as described in the specific regulatory provisions relevant to each such destination, generally found in Parts 742 and/or 746 of the EAR. However, if a host country is subject to economic sanctions implemented by the Department of the Treasury’s Office of Foreign Assets Controls (OFAC), regulations maintained by OFAC may also restrict the transaction. Exporters are advised to contact OFAC for further clarification. OFAC may be contacted at 1-800-540-6322.

For purposes of the EAR, shipments to embassies abroad are considered exports or reexports to the host country, even in the case of an embassy of a country subject to multilateral or unilateral economic sanctions. However, regulations maintained by OFAC may also restrict a transaction of this nature. Exporters are advised to contact OFAC for further clarification. OFAC may be contacted at 1-800-540-6322.

Yes, exports to non-U.S. embassies outside the United States may be eligible for License Exception GOV as described in Section 740.11 of the EAR.

Yes. These shipments are exports because they are being shipped to destinations outside the United States. License requirements are those that are applicable to the destination. Certain license exceptions may also be available.

For purposes of the EAR, shipments to embassies abroad are considered exports or reexports to the host country. License requirements for exports or reexports to the home country of the embassy are not directly applicable. However, exporters are reminded to pay particular attention to the presence of “red flags” as described in Supplement No. 3 to part 732 of the EAR. Information about a proposed transaction may suggest that the embassy is not the true ultimate destination of the shipment. For purposes of the EAR, the export or reexport of items subject to the EAR that will be transshipped in a country or countries to a new country or are intended for reexport to the new country are deemed to be exports to the new country.

The term “deemed re-export” is often used to indicate the transfer of controlled U.S. technology to a third-country national overseas. As an example, a U.S. exporter transfers its controlled proprietary technology to a firm in country A. The firm in country A, in turn, employs an individual from country B who is not a permanent employee of the firm in country A and who will need the controlled proprietary technology to perform his or her assigned duties. Before transferring this controlled technology to the country B employee, the firm in country A is responsible for obtaining any required deemed re-export licenses as if it were transferring the technology to country B. Please see Section 734.2(b)(4) of the Export Administration Regulations (EAR).

When submitting a deemed export license application, BIS recommends for every foreign national contained on the license application, the applicant or third party submitter include the US state name abbreviation immediately following the city name in either the ultimate consignee and/or end-user address blocks of the BIS-748P. The state name abbreviation should denote the locale that the foreign national will be visiting and the country name should denote the foreign country domicile where the foreign national claims citizenship. BIS recommends this data entry method because placing the state code together with the city name results in the proper display of the foreign national address information on the final validated license.

Per Part 772 of the Export Administration Regulations (EAR), "technology" is information necessary for the "development," "production," "use" operation, installation, maintenance, repair, overhaul, or refurbishing (or other terms specified in ECCNs on the CCL that control “technology”) of an item. The General Technology Note (Supplement No. 2 to part 774 of the EAR) states that the "export of technology" is controlled according to the provisions of each Category." It further states that "technology required for the development, production, or use of a controlled product remains controlled even when applicable to a product controlled at a lower level." Please note that the terms "required," "development," "production," "use," and "technology" are all defined in Part 772 of the EAR. Controlled technology is that which is defined in the General Technology Note and in the Commerce Control List (Supplement No. 1 to part 774 of the EAR).

Assuming that a license is required because the technology does not qualify for treatment under EAR99 and no license exception is available, U.S. entities must apply for an export license under the deemed export regulations when both of the following conditions are met: (1) they intend to transfer controlled technologies to foreign nationals in the United States; and (2) transfer of the same technology to the foreign national's home country would require an export license.

Any foreign national is subject to the deemed export regulations except a foreign national who (1) is granted permanent residence, as demonstrated by the issuance of a permanent resident visa (i.e., Green Card); or (2) is granted U.S. citizenship; or (3) is granted status as a protected person under 8 U.S.C. 1324b(a)(3). This includes all persons in the U.S. as tourists, students, businesspeople, scholars, researchers, technical experts, sailors, airline personnel, salespeople, military personnel, diplomats, etc. As noted, one exception to this general statement is a protected person. Protected persons include political refugees and political asylum holders. Be aware that individuals seeking protected person status must satisfy all of the terms and conditions that are fully set forth in 8 U.S.C. 1324b(a)(3). It should be emphasized that although the deemed export regulations may be triggered, this does not necessarily mean that a license is required. For example, the technology may be EAR99 or license exception eligible.

As noted above, if the individual is a naturalized citizen or permanent resident of the United States, the deemed export regulations do not apply. In other words, he or she is not subject to the provisions of the deemed export regulation. For individuals who are citizens of more than one foreign country, or have citizenship in one foreign country and permanent residence in another, as a general policy, the last permanent resident status or citizenship obtained governs. Questions below provide examples of situations involving individuals who are citizens of more than one foreign country, or have citizenship in one foreign country and permanent residence in another. If, for some reason, the status of a foreign national is not certain, then you should ask the Bureau of Industry and Security (BIS), to determine where the stronger ties lie, based on the facts of the specific case. For instance, the status of a foreign national could be uncertain in situations where information may indicate involvement with prohibited entities or activities, for example, missile or nuclear-related end-uses or end-users as identified in Part 744 of the EAR. In response to a request for the status of a foreign national, BIS will look at the foreign national's family, professional, financial, and employment ties.

Release of controlled technology to that individual in the U.K. would be treated as if the shipment were being made to the U.K. and licensing requirements, if any, would be the same as for a British national in the U.K.

The Indian national's U.K. permanent residency status still drives the licensing requirements and releases of technology to him or her would be considered as transfers to the U.K.

As long as the Indian foreign national maintains his or her permanent residency status in the U.K., transfers of technology to that individual would be deemed as transfers to the U.K.

If the former Indian national becomes a British citizen, transfers of technology would be viewed as transfers to the U.K.

As a general principle, the last citizenship obtained governs. As is clear in response to the Question above, the individual's most recent citizenship is with the U.K. and releases of technology would be viewed as releases to the U.K.

The information we normally request derives from a curriculum vitae/resume or from company background checks. The information that BIS may request as part of the license application process is requested in order to determine whether BIS should authorize the release of such controlled sensitive technology. The hiring of foreign nationals is not prohibited or regulated by the Export Administration Regulations (EAR). The EAR does not regulate employment matters. The justification for the deemed export regulations is that there is no more effective way of disclosing sensitive technical information (e.g., design know-how) than to work side-by-side in a laboratory or on the production floor of a company. Our web page guidance is designed to assist you in pointing out the types of relevant information that BIS examines in connection with the license application review.

Generally, technologies subject to the Export Administration Regulations (EAR) are those which are in the United States or of U.S. origin, in whole or in part. Most are proprietary. Technologies which tend to require licensing for transfer to foreign nationals are also dual-use (i.e., have both civil and military applications) and are subject to one or more control regimes, such as National Security, Nuclear Proliferation, Missile Technology, or Chemical and Biological Warfare.

Foreign technology with U.S.-origin technology commingled to a degree above a de minimis level is considered to be subject to the EAR. Technologies which may require an export license are those which are subject to the EAR and which are listed in the Commerce Control List, see Parts 734, 738, and 774 of the EAR.

Some technologies are under the exclusive jurisdiction of another agency of the U.S. government and are not subject to the EAR. These include defense services which are under the jurisdiction of the State Department and technology related to the production of special nuclear materials which is under the jurisdiction of the Energy Department.

Still other technologies do not require any authorization because they are already published. These include patent applications; published technology and software (other than software and technology controlled as encryption items) that are already published or will be published; or technology which arises during or as a result of fundamental research. See Part 734 of the EAR for details.

The Export Administration Regulations (EAR) definitions distinguish between software and technology. Software is one of the groups within each of the categories of items listed on the Commerce Control List (CCL). Software which is delineated on the CCL is controlled.

"Fundamental research" means research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. It is distinguished from proprietary research and from industrial development, design, production, and product utilizations, the results of which ordinarily are restricted for proprietary and/or specific national security reasons. Normally, the results of "fundamental research" are published in scientific literature, thus making it publicly available. Research which is intended for publication, whether it is ever accepted by scientific journals or not, is considered to be "fundamental research." A large segment of academic research is considered "fundamental research." Because any information, technological or otherwise, that is published is not subject to the Export Administration Regulations (EAR) (except for encryption object code and source code) and thus does not require a license, "fundamental research" is not subject to the EAR and does not require a license. Please see §734.8 for a full discussion.

If he or she is properly documented for work in the United States, you may employ him or her. You must apply for an export license if you intend to release technology listed on the Commerce Control List which would require a license for export to India.

Yes, you are required to apply for a deemed export license. Under the sanctions imposed by the U.S. Government, any export which includes transfers of technology to foreign nationals requires a license to organizations on the Entity List. Because the Indian foreign national is still employed by the organization that is on the Entity List, a technology transfer to him or her is considered a technology transfer to the employer organization. Note that the sanctions apply to any technology subject to the Export Administration Regulations (EAR).

Based on the extensive public feedback on the May 2015 rule (80 FR 28853) that BIS proposed, the U.S. went back to Wassenaar in 2016 and 2017 to negotiate changes to the text in order to minimize the negative impacts the entries would have. The changes that were published are the result of those negotiations. https://www.bis.doc.gov/index.php/regulations/federal-register-notices/17-regulations/816-federal-register-notices-2015#FR28853

There are two changes that were made to the text. First, Notes were added to the entry for the “technology” for the “development” of “intrusion software”. The note clarifies that technology exchanged for vulnerability disclosure or cyber incident response purposes (as defined) are not controlled.

No. These are the changes that we have been able to get agreement on, at this time, with other Wassenaar Arrangement members and do not address all of the concerns raised. BIS considers these changes to be the first step in addressing the concerns.

No. The text that was published was the text that was agreed to by the Wassenaar Arrangement. In order for it to become law in the U.S. the U.S. government would need to publish a rule implementing these changes. Because no rule has been published yet, there are no new controls on these entries at this time.

We have not decided on a next step yet. There are a range of possible actions we could take, including returning to Wassenaar in 2018 to negotiate further changes to the text, publishing a rule to implement the text, or publishing a notice of inquiry or proposed rule for further comment.

§746.5 of the EAR, imposes licensing requirements on eight export control classification numbers (ECCN)) and fifty-three Schedule B numbers if a person knows (or is informed by BIS) that the item will be used directly or indirectly in exploration for, or production of, oil or gas in:

If the item is not listed in EAR §746.5 by ECCN or in  Supplement No. 2 to Part 746 –“Russian Industry Sector Sanctions List” - by Schedule B number, then the sanctions  do not impose any additional license requirements or exclusions on the use of EAR license exceptions. However, in making any license determination, the full scope of EAR license requirements needs to be taken into account before making a No License Required (NLR) determination, including license requirements in Part 744 of the EAR.

BIS will apply the licensing policy set forth in §746.5, "Russian Industry Sector Sanctions," to the review of all license applications for controlled items going to Russia. If the commodity, software, or technology on the license application requires a license to Russia, and if the item will be used in an activity described in §746.5(b), the license will be reviewed consistent with licensing policy in §746.5. The licensing policy in §746.5 will also be applied to license applications for items requiring a license for export, re-export or transfer to Russia that are other than those controlled under the eight ECCNs or listed in the fifty three Schedule B numbers and that are destined for any of the four prohibited end-use categories listed above.

Items with similar Schedule B numbers are not subject to license requirements in §746.5.

Russia includes the territory of Russia and any other territory or marine area, including the exclusive economic zone and continental shelf, over which the Government of Russia claims sovereignty, sovereign rights, or jurisdiction, provided that the Government of Russia exercises partial or total de facto control over the area or derives a benefit from economic activity in the area pursuant to international arrangements.

Russia includes the territory of Russia and any other territory or marine area, including the exclusive economic zone and continental shelf, over which the Government of Russia claims sovereignty, sovereign rights, or jurisdiction, provided that the Government of Russia exercises partial or total de　facto control over the area or derives a benefit from economic activity in the area pursuant to international arrangements.

Would an intra-company transfer of any of the items listed by ECCN in §746.5 or by Schedule B number in Supplement No. 2 to part 746 of the EAR be prohibited if the listed item was being moved within Russia as a transfer (in-country), for one of the restricted uses? Many oilfield services companies have inventory positioned at in-country hubs, and will use the items in inventory for providing services in Russia.

The controls set forth in §746.5 cover in-country transfers. If the transaction in Russia also involved a transfer (in-country) as defined in §772.1 of the EAR, then the EAR license requirements and restrictions on the use of license exceptions in §746.5(c) would also apply.  OFAC has also implemented sanctions specific to energy production activities, including those related to providing services for such activities.  Any questions regarding OFAC’s sanctions should be directed to OFAC.

When §746.5 refers to shale and uses the terms exploration or production in shale, do the restricted end uses apply only to situations, such as fracking, where the hydrocarbon is located in shale formations, or do they also apply to projects involving penetrating a layer of shale to reach a reservoir located below the shale formation? What about projects that involve unconventional methods of extracting oil from shale (e.g., from shale reservoirs or oil shale processing)? 

The license requirements of §746.5 of the EAR apply to the specified items when you know that the item will be used directly or indirectly in exploration for, or production of, oil or gas in Russian deepwater (greater than 500 feet) or Arctic offshore locations or shale formations in Russia, or are unable to determine whether the item will be used in such projects. Thus, the license requirement applies to exploration for, or production of, oil or gas from a shale formation. The license requirement does not apply to exploration or production through shale to locate or extract crude oil or gas in reservoirs.

The Schedule B numbers affected are in the EAR’s Supplement No. 2 to Part 746: “Russian Industry Sector Sanction List”, which can be found here. The source for the Schedule B numbers and descriptions in BIS’s list comes from the Department of Commerce, Bureau of the Census’s Schedule B List which can be found here. The Introduction Chapter of the Schedule B provides important information about classifying products and interpretations of the Schedule B (e.g., NESOI means Not Elsewhere Specified or Included). In addition, important information about products within a particular chapter may be found at the beginning of each chapter.

No, that is not correct. The scope of the ECCN is limited by the control parameters included in the ECCN. The scope of the license requirements for ECCN 0A998 is limited to the license requirements in §746.5 of the EAR, which specifies the license requirements and license review policy that apply to the items identified in that section, including new ECCN 0A998. Note however, that if you propose to export, reexport or transfer (in-country) seismic data, equipment or software to Russia but do not know what type of project the items will be used in, a license is required. Also note that in making a license determination under the EAR, the full scope of the EAR license requirements need to be considered, including those in Part 744 that in certain cases impose a license requirement for all items subject to the EAR when the items are for certain prohibited end uses or end users as defined in Part 744.

Yes, software for the design and analysis of hydraulic fracturing is the only software controlled in ECCN 0A998. Note that BIS is making an exception to its general policy of not including software in "A" product group ECCNs and is including this software in ECCN 0A998.

For purposes of §746.5, oil and gas exploration data is treated as a commodity, not software or technology. Therefore, the scenario described would not trigger the one-time reporting requirement, as specified in §734.4. In addition, the de minimis procedures for commodities would apply (see §734.4 and Supplement No. 2 to part 734 for information on the EAR’s de minimis provisions and the procedures for making de minimis calculations). However, regardless of whether the data being processed was subject to the EAR, providing such a service by a U.S. person for such end uses in Russia would in most cases likely be prohibited by OFAC.  As noted above, questions specific to the OFAC restrictions, should be directed to OFAC.

The U.S. Government is aware that there are different depths for what is considered deep water. The "greater than 500 feet" standard is a bright line standard that is used by the U.S. Department of the Interior, Bureau of Ocean Management for what constitutes deep water, and helped to inform BIS’s decision to use "greater than 500 feet" as part of the criteria in §746.5 of the EAR. For reference, the U.S. Department of the Interior’s, Bureau of Ocean Management outlines the criteria for what constitutes deep water here.

The high pressure pumps controlled under ECCN 0A998.b.3 are not limited to fracking operations, but include all those that will be used directly or indirectly in exploration for, or production of, oil or gas in Russian deepwater (greater than 500 feet) or Arctic offshore locations or shale formations in Russia or that will be used in an unknown end use. Keep in mind that any pump that is listed under a Schedule B number in Supplement No. 2 to part 746 and any pump classified under an ECCN that requires a license to Russia is also subject to §746.5.

The rule does not apply to or prohibit the transshipment through Russia items identified in §746.5 of the EAR if the items are intended for use in oil and gas activities in third countries. Parties to the transaction should be diligent to be aware of any red flags in the transaction that indicate the items may be intended for any prohibitions under §746.5 or intended for other prohibited purposes under the EAR.

The only license exception available to ship the items identified in §746.5 of the EAR is §740.11(b), a subparagraph of license exception “Government, international organizations, international inspections under the Chemical Weapons Convention, and the International Space Station” (GOV).

The applicability of de minimis is not end-user/use based. It is destination based. Therefore, the items that are subject to license requirements under §746.5 of the EAR should not be included as controlled content in calculating the de minimis percentage of an item proposed for re-export to Russia.

The following language will be included on every license issued by the Bureau of Industry and Security (BIS): "Unless limited by a condition set forth below, the export, reexport or transfer (in-country) authorized by this license is for the item(s), end-use(s), and parties described in the license application and any letters of explanation. The applicant is responsible for informing the other parties identified on the license, such as ultimate consignees and end-users, of the license's scope and of the specific conditions applicable to them. BIS has granted this license in reliance on representations the applicant made in the license application, letters of explanation, and other documents submitted."

The Bureau of Industry and Security (BIS), in coordination with our interagency partners, made the change as part of our ongoing efforts to rationalize and make more consistent the use of conditions on BIS licenses. The purpose of the change is to eliminate, to the greatest extent possible, the inclusion of requirements and prohibitions included in the Export Administration Regulations (EAR) as conditions on validated licenses. BIS is eliminating conditions specifying requirements and prohibitions included in the EAR from licenses because the EAR's conditions and requirements are applicable to all exports, reexports and transfers (in-country) of items subject to the EAR as a matter of law; inclusion of such conditions on licenses is redundant.

BIS began issuing license with the language on December 8, 2014.

As the new language will eliminate the need to include license conditions specifying requirements and prohibitions included in the EAR, BIS expects that licenses issued after December 8, 2014 will generally have a smaller number of conditions as compared to licenses issued before December 8, 2014.

The new language will allow BIS and its interagency partners to process license applications more efficiently, thereby facilitating business activities. License applicants should note that the new language clarifies that BIS's licenses authorize the transaction(s) described in the license application and any letters of explanation. Therefore, license applications submitted with specific and detailed information will be processed more efficiently than those sibmitting general or incomplete information.

Generally speaking, the use of imprecise language on a license application causes processing delays and/or the inclusion of additional conditions. Imprecise language (e.g., phrases such as "including but not limited to") creates the impression that the license applicant is unsure or undecided about the details of the proposed transaction, therefore creating a requirement for BIS and its interagency partners to impose restrictions (in the form of conditions) on the license in order to protect the United States' national security and foreign policy interests.

Not necessarily. Including precise information increases the chance that your license will be issued more quickly and with fewer conditions than it otherwise would be.

Selected examples are as follows:

No, not if the technology is subject to the EAR, requires a license for export to the planned destination, and is not eligible for shipment under a license exception. Licenses issued by BIS authorize the export, reexport or transfer (in-country) of only the items specifically listed on the license.

If the equipment is not eligible for shipment without a license (i.e., "no license required" or NLR) or under a license exception to end users not specified on your license, you may not ship to the additional end users without additional authorization from BIS.

No, it does not.

A license condition is a requirement on the parties to the transaction named on the license. Violation of a license condition is a violation of the EAR and may be subject to administrative or criminal penalties.

Please call BIS's Export Counseling Division at (202) 482-4811, BIS's Western Regional Office at (949) 660-0144 or BIS's Northern California branch office at (408) 998-8806. You may also send an e-mail to ECDOEXS@bis.doc.gov. Please include a telephone number for call-back purposes within your e-mail.

The following language will be included on every license issued by the Bureau of Industry and Security (BIS): "Unless limited by a condition set forth below, the export, reexport or transfer (in-country) authorized by this license is for the item(s), end-use(s), and parties described in the license application and any letters of explanation. The applicant is responsible for informing the other parties identified on the license, such as ultimate consignees and end-users, of the license's scope and of the specific conditions applicable to them. BIS has granted this license in reliance on representations the applicant made in the license application, letters of explanation, and other documents submitted."

The Bureau of Industry and Security (BIS), in coordination with our interagency partners, made the change as part of our ongoing efforts to rationalize and make more consistent the use of conditions on BIS licenses. The purpose of the change is to eliminate, to the greatest extent possible, the inclusion of requirements and prohibitions included in the Export Administration Regulations (EAR) as conditions on validated licenses. BIS is eliminating conditions specifying requirements and prohibitions included in the EAR from licenses because the EAR's conditions and requirements are applicable to all exports, reexports and transfers (in-country) of items subject to the EAR as a matter of law; inclusion of such conditions on licenses is redundant.

BIS began issuing license with the language on December 8, 2014.

As the new language will eliminate the need to include license conditions specifying requirements and prohibitions included in the EAR, BIS expects that licenses issued after December 8, 2014 will generally have a smaller number of conditions as compared to licenses issued before December 8, 2014.

The new language will allow BIS and its interagency partners to process license applications more efficiently, thereby facilitating business activities. License applicants should note that the new language clarifies that BIS's licenses authorize the transaction(s) described in the license application and any letters of explanation. Therefore, license applications submitted with specific and detailed information will be processed more efficiently than those sibmitting general or incomplete information.

Generally speaking, the use of imprecise language on a license application causes processing delays and/or the inclusion of additional conditions. Imprecise language (e.g., phrases such as "including but not limited to") creates the impression that the license applicant is unsure or undecided about the details of the proposed transaction, therefore creating a requirement for BIS and its interagency partners to impose restrictions (in the form of conditions) on the license in order to protect the United States' national security and foreign policy interests.

Not necessarily. Including precise information increases the chance that your license will be issued more quickly and with fewer conditions than it otherwise would be.

Selected examples are as follows:

No, not if the technology is subject to the EAR, requires a license for export to the planned destination, and is not eligible for shipment under a license exception. Licenses issued by BIS authorize the export, reexport or transfer (in-country) of only the items specifically listed on the license.

If the equipment is not eligible for shipment without a license (i.e., "no license required" or NLR) or under a license exception to end users not specified on your license, you may not ship to the additional end users without additional authorization from BIS.

No, it does not.

A license condition is a requirement on the parties to the transaction named on the license. Violation of a license condition is a violation of the EAR and may be subject to administrative or criminal penalties.

Please call BIS's Export Counseling Division at (202) 482-4811, BIS's Western Regional Office at (949) 660-0144 or BIS's Northern California branch office at (408) 998-8806. You may also send an e-mail to ECDOEXS@bis.doc.gov. Please include a telephone number for call-back purposes within your e-mail.

The information provided with your application should include technical specifications or brochures on the items you wish to export. Information that substantiates the legitimate activities of the end-user should be supplied as well. You should also include import or end-user certificates if the item is also subject to national security controls. For items to be used in a missile project or program, at a minimum, always specify the maximum capable range and payload of the delivery system or launch vehicle. Any information regarding the specific project or program should be provided; note if there is any U.S. government funding or oversight involved. You can also include open source information from Web sites, marketing brochures, etc. All of this information will assist licensing officers in their evaluation, determination, and licensing recommendations for the case. Including this information could prevent potential delays in the processing of the case and avoid a return of the application without action. The documentation requirements for export license applications are explained in detail in Part 748 of the EAR.

I am a manufacturer of inertial navigation systems (INS) that are controlled for Missile Technology (MT) reasons. We often get calls from airlines for replacement of broken bench stock spares or INS units in permanent service. Are there any license exceptions that I can use?

Yes, depending upon the situation, License Exceptions TMP, RPL, TSU, and AVS may be available for these types of items related to safety of flight. See Part 740 of the EAR for an explanation of when these license exceptions may apply.

Yes. Section 1512 of the Strom Thurmond National Defense Authorization Act (NDAA) requires a Presidential certification to Congress prior to the export to China of missile technology controlled items, except for certain items used in manned aircraft. Authority for this certification has been delegated to the Secretary of Commerce, however, they can still take several months, and you should allow for substantial processing time for these applications. The Secretary must certify that the export will not be detrimental to the U.S. space launch industry and will not measurably improve the missile or space launch capabilities of China.

Items not specifically controlled for MT reasons can also be controlled under section 744.3 of the EAR ("catch-all", or EPCI, controls). Items require a license if they will be used in the design, development, production, or use of:

In the MTCR, as well as the Nuclear Suppliers Group and the Australia Group, there is a "no undercut" policy. This means that if your license is denied because the United States determined it was detrimental to national security or foreign policy, the United States will notify the other members of the regime, who have agreed to consult with the United States before approving an export of the same or similar items to the same end-user. This does not apply to "catch all" denials of items not on the MTCR annex, but in practice many countries take into consideration denials by regime partners when reviewing other license applications.

The term "Enhanced Proliferation Control Initiative" is not defined or generally used in the Export Administration Regulations. Under its original meaning, it included both the list-based controls on missile related items (as well as chemical, biological, and nuclear items) and controls on normally uncontrolled items that need a license because of the end-use or end-user. The term "EPCI" has come to be used informally to refer to the latter "catch all" controls, and refers to the controls set out in section 744 of the EAR.

No, there are no EPCI (catch-all) controls on the manufacture of conventional arms. Conventional arms production is not an activity set out in Part 744 of the EAR. However, you need to determine if there are any activities that are described in Part 744 (i.e. missile/nuclear/chemical-biological weapons) at this facility.

Written materials that are publicly available, such as college textbooks, are not subject to the Export Administration Regulations. However, a "U.S. person," as that term is defined in the EAR, may not support certain missile activities in any of a number of ways, including the provision of goods, the performance of a contract, and employment. See Part 744.6. While the textbooks would not, in themselves require an export license, they could be part of the impermissible support that a U.S. person is providing to a missile project and amount to a violation of the EAR.

Any license application can be reviewed for all proliferation concerns (not only those stated in the reasons for control.) In this instance, the item was denied because the transaction would make a material contribution to the proliferation of missiles.

When reviewing licenses for items caught under section 744.3 of the EAR, the following factors will be taken into consideration:

Items other than some radar, accelerometers, gyros and corresponding test equipment, software, and technology may be exported as part of a manned aircraft, land vehicle, or marine vehicle or as replacement parts for such under license exceptions TMP, RPL, TSU, and AVS. Anti-friction bearing and bearing systems (2A001) or radial ball bearings (2A101) may be exported under TMP or RPL as one-for-one replacement for equipment previously exported.

The MTCR considers missile systems or unmanned aerial vehicles that have a range of 300 km and the ability to carry a payload of 500 kg as Category I, and there is a strong presumption of denial for the export of such items. Category II missile systems and unmanned aerial vehicles are those that have a range of 300 km, but do not have the payload capability of Category I. Export of Category II systems are evaluated on a case-by-case basis. Both Category I and Category II items are MTCR-controlled. Missile systems or unmanned aerial vehicles that do not meet the range and payload capabilities of Category I and Category II are not MTCR-controlled. While most Category I and II complete systems fall under the jurisdiction of the Department of State, these categorizations can impact the licensing decisions on dual-use (Commerce controlled) commodities when evaluating the intended end use of the items, the capabilities of the destination country, and the risk of diversion of items.

Contact DDTC at 202-663-2980 or go to www.pmddtc.state.gov.

The Department of Commerce's Bureau of Industry and Security (BIS) has jurisdiction over shotguns with a barrel length of 18 inches or more and related components. BIS also has jurisdiction over muzzle loading rifles and handguns, air guns, replica firearms, shotgun shells and components, and most optical sighting devices for firearms.

The first step in determining whether an export license is required 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., 0A984, 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) which is in Supplement No. 1 to Part 774 of the Export Administration Regulations (EAR). The CCL is divided into ten broad categories. Category 0 contains ECCNs for shotguns and related items.

ECCN 0A984 controls shotguns with barrels of 18 inches or longer and certain essential components: shotgun barrels 18 inches or longer but not longer than 24 inches, receivers, breech mechanisms, complete trigger mechanisms, and magazines or magazine extension tubes. Other parts of a shotgun not listed under 0A984 or in other ECCN entries are EAR99.

A rifle stock would be under the jurisdiction of the Department of State.

Mounts, bases, rings and rails are EAR99.

Muzzle loading (black powder) firearms with a caliber less than 20 mm that were manufactured later than 1937 and are not reproductions of firearms manufactured earlier than 1890 are controlled under ECCN 0A018.c.

Air guns including pellet guns, BB guns, air rifles and paintball guns are classified as EAR99.

Shotgun shells and components fall under ECCN 0A986. This includes primers and shot. 12 gauge shotgun blanks and 12 gauge shotgun slugs (loaded) are also under this classification. Gunpowder falls under ECCN 1C992.

Buckshot shotgun shells are classified as 0A984.

ECCN 0A987 controls specific sighting devices, their associated optical elements, and adjustment mechanisms. Please see the entry for a detailed description of what is controlled. Sighting devices that are not specified in this ECCN or elsewhere on the Commerce Control List, and that are not subject to the jurisdiction of the Department of State, are EAR99.

Those that contain night vision capabilities may be under State jurisdiction. You should first contact the State Department. Any optical sighting device mounted on a rifle is under State Department jurisdiction.

Non-functioning replica firearms, whether a rifle or shotgun, are under the jurisdiction of the Department of Commerce and are classified as EAR99. Functioning replica firearms are classified in the same manner as shotguns and rifles as noted above in terms of State/Commerce jurisdiction and ECCNs, as appropriate.

Discharge type arms such as stun guns, shock batons, immobilization guns, and projectiles are classified under ECCN 0A985.

Arms designed solely for signal, flare, or saluting use are classified as 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 most 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.

Once you have determined that your item is classified under a specific ECCN, you must use the information contained in the "Reason(s) for Control" section of that ECCN in combination with the "Commerce Country Chart" (see Supplement 1 to Part 738 of the EAR) to decide whether a license is required. If there is an "X" in the box for the Reason for Control and destination country, a license is required from BIS, unless a license exception is available. If there is no "X" in the box, a license is not required unless your proposed export is to an embargoed country, to an end-user of concern, or in support of a prohibited end-use, in which case you may be required to obtain a license.

License applications must be submitted through SNAP-R, the on-line license application system. In order to access the SNAP-R system, you must first obtain a Company Identification Number (CIN). Obtaining a CIN is the first step toward completing your license application and must be completed in order to access the actual SNAP-R application. Instructions to complete this process can be found at the following hyperlink: https://www.bis.doc.gov/index.php/licensing/simplified-network-application-process-redesign-snap-r

BIS requires an Import Certificate or equivalent official document for ECCNs 0A984, 0A986, or 0A987 for export to Canada, Mexico, and Central and South America per section 748.14 of the EAR. Applicants must request that their importer obtain the Import Certificate or an equivalent official document from the government of the importing country. Otherwise, a Statement by Ultimate Consignee and Purchaser (form BIS 711) is required per section 748.11 of the EAR.

License Exception BAG authorizes a U.S. citizen or a permanent resident alien leaving the U.S. to export or reexport shotguns with a barrel length 18 inches or over and shotgun shells provided that not more than three shotguns may be taken on any one trip; the shotguns and shotgun shells must be with the person's baggage (may not be mailed) and they must be for the person's exclusive use for legitimate use. See section 740.14(e) of the EAR for specific requirements in the use of BAG.

Hunting bows and knives are classified as EAR99.

This rule amended Section 742.10 (15 CFR 742.10) of the Export Administration Regulations (15 CFR Parts 730-774) to revise the general licensing policy of denial to one of case-by-case review for exports and reexports to Sudan of certain telecommunications equipment and associated computers, software, and technology, including items that are useful for the development of civil telecommunications network infrastructure. It also revised License Exception Consumer Communications Devices (CCD), Section 740.19 of the EAR (15 CFR 740.19), which previously applied only to Cuba, to authorize exports and reexports of such devices to Sudan, either for sale or donation. This rule also made conforming changes to License Exception Temporary Imports, Export, Reexports and Transfers (in-country) (TMP) (Section 740.9 of the EAR (15 CFR 740.9). Finally, it removed a license requirement for reexports to Sudan of certain telecommunications software.

BIS made these changes to reflect the U.S. Government's commitment to the advancement of the free flow of information to, from, and within Sudan.

No. Due to Sudan's designation as a "State Sponsor of Terrorism" by the Secretary of State, the Department of Commerce's Bureau of Industry and Security (BIS) maintains license requirements with a general policy of denial for exports and reexports of most items on the Commerce Control List to most end users in Sudan. Revised License Exception CCD permits exports and reexports of certain eligible commodities and software on the CCL to Sudan that previously required a license. Items designated as "EAR99" (subject to the EAR but not described on the Commerce Control List) continue to be eligible for export and reexport to Sudan without a license in the absence of end-use or end-user concerns set forth in Part 744 of the EAR. The changes made pursuant to the rule implement the U.S. Government's policy objective of facilitating communication and the free flow of information among the Sudanese people.

Because OFAC and BIS share jurisdiction over certain exports and reexports to Sudan, these changes have been made in coordination with OFAC, which simultaneously has issued parallel amendments to the Sudanese Sanctions Regulations, 31 CFR part 538. Please see OFAC FAQs for further information pertaining to the Department of Treasury changes. [Most items that qualify for export or reexport to Sudan under revised License Exception CCD also qualify for export and reexport to Sudan under OFAC's new general license, as set forth in 31 CFR 538.533, published contemporaneously with the new BIS rule. Therefore, in most cases, you do not need a specific license from OFAC for the export or reexport of items described in License Exception CCD.] Exporters should review both 31 CFR 538.533 and License Exception CCD to ensure compliance with applicable export license requirements.

Most items described on the Commerce Control List require authorization in the form of a license from BIS for export or reexport to Sudan under Section 742.10 of the EAR, the provision that establishes license requirements and related license review policies for exports and reexports to Sudan. License Exception CCD is an example of an authorization that allows persons to export or reexport certain enumerated consumer communications devices subject to the EAR to Sudan that would otherwise require a license from BIS. If a license exception is available for a contemplated export or reexport to Sudan, the licensing requirements specified in Section 742.10 do not apply. The availability of License Exception CCD, however, is restricted to exports and reexports under certain defined circumstances. Please review Section 740.2 of the EAR, which contains restrictions on the availability of all license exceptions, including License Exception CCD. You should also review the General Prohibitions set forth in Part 736 and the license requirements and policies set forth in Part 744 (end-use and end-user concerns). Persons who are unfamiliar with the structure of the EAR or the relationship of license exceptions to license requirements generally may wish to consult the BIS online training room

http://www.bis.doc.gov/index.php/compliance-a-training/export-administration-regulations-training/online-training-room?id=284.

For the purposes of License Exception Consumer Communications Devices (CCD), a "consumer" item is an item that is: (1) generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following: (a) over-the counter transactions; (b) mail order transactions; (c) electronic transactions; or (d) telephone call transactions; and (2) designed for installation by the user without further substantial support by the supplier. In Section 740.19 (b) of the EAR, the term "consumer" describes the types of computers ((b) (1)), disk drives and storage equipment ((b)(2)), information security equipment, software, and peripherals ((b)(12)), and software ((b)(17)) that may be exported under License Exception CCD. The definition of "consumer" applies regardless of whether the item being exported or reexported is sold or donated.

Instruction manuals or other information on how to assemble and use tools and equipment authorized for export or reexport under License Exception CCD likely fall into one of three categories. They may be eligible for License Exception Technology and Software Unrestricted (TSU) (Section 740.13(a) of the EAR) or constitute published information and software that is not subject to the EAR (Section 734.7 of the EAR), or they may not be subject to the EAR because they do not constitute "use" technology or other categories of technology (see Part 772 of the EAR). However, if such information is subject to the EAR, it may require a BIS license for export or reexport to Sudan.

Yes, if the software upgrades, fixes, or patches meet all the criteria described in License Exception CCD. Specifically, the items must be: 1) consumer communication devices as defined in License Exception CCD and 2) classified on the Commerce Control List under an ECCN that is expressly authorized for export or reexport under the license exception.

License Exception CCD Section (c) (1) (iii) does not authorize the export or reexport of communications devices to the Government of Sudan, including entities owned, operated or controlled by the Government of Sudan, apart from certain consumer software listed in paragraph (b)(12) or (b)(17) that is distributed free of charge. Consequently, the Government of Sudan is an ineligible recipient of items such as telecommunications infrastructure equipment, computers, technology, and software (apart from the carve-out described), under the license exception. A license is therefore required for the export or reexport of such items to Sudan government owned, operated, or controlled companies. All items that require a license for export or reexport to the Government of Sudan will be reviewed on a case-by-case basis.

As part of a January 16, 2015 rule that amended the EAR to reflect changes in the U.S. Government's Cuba policy, License Exception Consumer Communications Devices (CCD) was amended to authorize commercial sales, in addition to donations, of eligible items. Additionally, technical revisions were made in that rule to more precisely track the current technical specifications for some of the specified items. The Sudan rule provides that certain items, namely, Global Positioning System receivers and similar satellite receivers, are available under CCD for export and reexport to Sudan.

No. Your item must meet all the criteria of License Exception CCD to qualify for export or reexport under License Exception CCD. The item must be: 1) a consumer communications device as defined in License Exception CCD, and 2) classified on the Commerce Control List under an ECCN that is expressly authorized for export under the license exception.

No. Your item must meet all the criteria of License Exception CCD to qualify for export or reexport under License Exception CCD including meeting the definition of a "consumer" communications device that is set forth in the CCD license exception. If your item is listed on the CCL but you are unsure whether it is a consumer communications device, you may submit an application for license using BIS's SNAP-R system. If BIS determines that a license is required, BIS will process the application and apply the licensing policy outlined in Section 742.10 of the EAR. You may also seek an advisory opinion from BIS.

Yes. BIS may authorize your export or reexport under a license when the export or reexport does not qualify for License Exception CCD. BIS will consider, on a case-by-case basis, applications to export or reexport telecommunications equipment and associated computers, software and technology for civil end use. In particular, BIS recognizes the significance of telecommunications items that are useful for the development of civil telecommunications network infrastructure.The facilitation of the free flow of information in Sudan can only occur effectively if there is adequate telecommunications infrastructure to support the consumer communications devices authorized by License Exception CCD. Consequently, BIS will review applications to export and reexport telecommunications-related items, including items useful for the development of civil telecommunications network infrastructure, on a case-by-case basis. License applicants should describe the specific civil end use of the items and their function in the development of civil telecom network infrastructure (see note to Section 742.10(b) (3)) in their license applications or in letters of explanation attached to the applications.

Yes. Independent non-governmental organizations are eligible end-users of items exported to Sudan pursuant to License Exception Consumer Communications Devices (15 CFR § 740.19). Please note that organizations owned, operated, or controlled by the Sudanese Government are not eligible end-users.

Yes. The terms of License Exception CCD do not require that items be exported or reexported directly to the end user. Consequently, exports and reexports to Sudan to commercial entities for resale to eligible end users would qualify for License Exception CCD. Eligible end users include individuals and independent non-governmental organizations operating in Sudan. Apart from certain specified consumer software that is distributed free of charge, the Government of Sudan may not be the end-user. An independent non-governmental organization that is owned, operated, or controlled by the Government of Sudan is not eligible to receive items under License Exception CCD. Persons wishing to use License Exception CCD are responsible for determining that the criteria of the license exception will be met. Please be advised nothing in License Exception CCD excuses a U.S. person from the need to comply with the Sudanese Sanctions Regulations.

Exporters and reexporters of items subject to the Export Administration Regulations may export or reexport hardware and software to Sudanese academic and training organizations without a BIS license if the transaction meets all the requirements of License Exception CCD. If such items also meet the requirements of the OFAC general license pertaining to certain software, hardware, and services incident to personal communications (31 CFR Section 538.533), an OFAC specific license would not be required for their export or reexport. (For definitive guidance on OFAC requirements, please consult with that agency.) Please note that not all Sudanese academic and training organizations would be authorized to receive these items under the license exception. Apart from certain specified consumer software that is distributed free of charge, License Exception CCD only applies to items destined for organizations or entities that are not part of the Sudanese Government (including owned, operated, or controlled by the government). Also, not all of the hardware and software described in this question will meet the requirements of License Exception CCD. In those cases, persons must apply for a BIS license and OFAC license to engage in the transaction. Sudanese academic and training organizations should contact the manufacturers and providers of these items directly to seek the classification number of the item they wish to import to Sudan and to learn whether they may receive the items and, if so, under what circumstances.

Yes. You may use License Exception TMP (section 740.9 of the Export Administration Regulations (EAR)) to temporarily export (as well as reexport to Sudan, or transfer (in-country)) employer-owned consumer communications devices and related software described in License Exception Consumer Communications Devices (CCD) (section 740.19(b) of the EAR) as “Tools of Trade” under EAR section 740.9(a)(2). You must comply with all of the requirements and limitations set forth in section 740.9(a)(2), including with respect to permissible users and authorized purposes.  This revision to License Exception TMP took effect on September 2, 2015.

The Bureau of Industry and Security (BIS) publishes the names of certain foreign persons – including businesses, research institutions, government and private organizations, individuals, and other types of legal persons - that are subject to specific license requirements for the export, reexport and/or transfer (in-country) of specified items.  These persons comprise the Entity List, which is found at Supplement No. 4 to Part 744 of the Export Administration Regulations (EAR).  The persons on the Entity List are subject to individual licensing requirements and policies supplemental to those found elsewhere in the EAR.

You should check the Entity List because exports, reexports, and/or transfers (in-country) to those persons named on the Entity List are subject to licensing requirements and policies in addition to those elsewhere in the EAR.  Failure to adhere to EAR licensing requirements is a violation of the EAR and could result in criminal and/or civil penalties.  BIS recommends that exporters screen the parties to transactions against the Entity List as a standard part of pre-transaction due diligence activities.

The removal of an entity from the Entity List removes only the additional license requirements imposed by its listing on the Entity List, and does not modify the other license requirements that may be applicable under the EAR (i.e., as a result of an item’s classification on the CCL or the proposed country of destination for the export, reexport, or transfer (in-country)). Additionally, if you know or have been informed that the item proposed for export, reexport, or transfer (in-country) will be used in nuclear, missile, and/or chemical and biological weapons programs, you must seek a license pursuant to the requirements found in Part 744 of the EAR. You should also consult the other export screening lists maintained by BIS and other U.S. Government agencies to determine whether other license requirements or sanctions apply. In summary, you should conduct the same due diligence as you would for any other export, reexport, or transfer (in-country) of items subject to the EAR.

No, not all sections of Part 744 of the EAR (which defines the criteria for possible inclusion on the Entity List) require that a person’s alleged activity involve items subject to the EAR.  Section 744.11, for example, requires that the person’s activities be contrary to U.S. national security and/or foreign policy interests but does not require that the activities involve items subject to the EAR.

The list of qualified VEUs is in Supplement No. 7 to Part 748 of the Export Administration Regulations (EAR). The list of qualified VEUs can be accessed here. If you would like to subscribe to BIS’s email notification service that will alert you when BIS publishes rules in the Federal Register, including rules implementing changes to the VEU List, please click here.

Currently, any entity in an eligible country may apply for the VEU program.  Exporters and reexporters may also apply on behalf of entities in eligible destinations.  Applicants must clearly demonstrate the end-user’s ability to comply with the requirements of the VEU program.  Such requirements include using the items shipped under Authorization VEU for civil end-uses only and the provision of the end-user’s written consent for the U.S. Government to conduct periodic on-site reviews at VEU facilities. 

A “validated end-user” (VEU) is an entity that has been qualified as a participant in the VEU program.  For each VEU, the EAR lists “eligible destinations,” which are the specific facilities of each VEU that are authorized to receive specified eligible items under Authorization VEU.  A VEU may be listed with one or many eligible facilities, but note that VEUs may own or operate facilities that are not eligible destinations.  Facilities owned or operated by VEUs that are not specifically listed as eligible destinations in Supplement No. 7 to Part 748 of the EAR are not eligible to receive items under Authorization VEU.

Each application for VEU authorization must include an original statement on letterhead, signed and dated by a person who has legal authority to bind the applicant, certifying that the end-user will comply with all VEU requirements.  Furthermore, the letter must state that the end-user:

Requests for authorization will be accepted from exporters, reexporters, or end-users who submit to the following addresses:

There is no time limit on VEU status.  However, the U.S. Government may amend or revoke a VEU’s status at any time, as circumstances warrant.  The U.S. Government will revoke qualification as a VEU if sufficient information exists to demonstrate that an organization is no longer capable of, or is not complying with, the requirements of the VEU program.  Changes made to the VEU program and published in the Federal Register, such as eligible destination changes or other program-based amendments, might also impact the VEU status of a particular entity.

No. Authorization VEU can also be used for the reexport and transfer (in-country) of qualified items from a location outside of the United States to a VEU.

The guidance in §750.7(i) of the EAR (“Terminating license conditions”) applies to items authorized for shipment under Authorization VEU.  If an item authorized for shipment under Authorization VEU as an “eligible item” no longer requires a license for export, reexport, or transfer (in-country) to VEU eligible destinations as the result of a change to the Commerce Control List (Part 774 of the EAR), then the conditions and limitations of the VEU program and of the VEU’s specific VEU authorization no longer apply to the shipment or to the ongoing use by the VEU of the affected item as of the date of the final publication of the rule implementing the lessening or elimination of export control requirements.

The End-User Review Committee (ERC), composed of representatives of the Departments of State, Defense, Energy, and Commerce, and other agencies as appropriate, is responsible for determining whether to add to, to remove from, or otherwise amend the list of VEUs and associated eligible items. The Department of Commerce chairs the ERC.

Yes, applicants can ask the ERC to reconsider decisions with respect to the disposition of their own applications, and VEUs may ask the ERC to reconsider decisions with respect to amendments of their own VEU authorizations.  The ERC asks that any such request be made in writing and include information additional to that already provided to the ERC and specific to the basis for the request for reconsideration.

Yes. The U.S. Government consults on a regular basis with the governments of both China and India.  Prospective VEU applicants should be aware that the governments of VEU-eligible countries may have their own requirements specific to the VEU program and application thereof.