License Exceptions Part 740 - Page 1: 740.1 Introduction

License Exceptions Part 740 – page 1
Table of Contents § 740.17 ENCRYPTION COMMODITIES,

SOFTWARE AND TECHNOLOGY
§ 740.1 INTRODUCTION ...............................1 (ENC) .............................................49
§ 740.2 RESTRICTIONS ON ALL LICENSE § 740.18 AGRICULTURAL COMMODITIES
EXCEPTIONS .................................2 (AGR) ............................................58
§ 740.3 SHIPMENTS OF LIMITED VALUE § 740.19 CONSUMER COMMUNICATIONS
(LVS) ...............................................6 DEVICES (CCD) ...........................60
§ 740.4 SHIPMENTS TO COUNTRY GROUP § 740.20 LICENSE EXCEPTION
B COUNTRIES (GBS) ....................8 STRATEGIC TRADE
§ 740.5 [RESERVED] ......................................8 AUTHORIZATION (STA) ...........61
§ 740.6 TECHNOLOGY AND SOFTWARE § 740.21 SUPPORT FOR THE CUBAN
UNDER RESTRICTION (TSR) ......8 PEOPLE (SCP) ..............................68
§ 740.7 COMPUTERS (APP) ..........................9 SUPPLEMENT NO. 1 TO PART 740 –
COUNTRY GROUPS .....................1
§ 740.8 [RESERVED] ....................................11
SUPPLEMENT NO. 2 TO PART 740 - ITEMS
§ 740.9 TEMPORARY IMPORTS,
THAT MAY BE DONATED TO
EXPORTS, REEXPORTS, AND
MEET BASIC HUMAN NEEDS
TRANSFERS (IN-COUNTRY)
UNDER THE HUMANITARIAN
(TMP).............................................11
LICENSE EXCEPTION ..................1
§ 740.10 SERVICING AND REPLACEMENT
SUPPLEMENT NO. 3 TO PART 740 -
OF PARTS AND EQUIPMENT
LICENSE EXCEPTION ENC
(RPL)..............................................19
FAVORABLE TREATMENT
§ 740.11 GOVERNMENTS, COUNTRIES ...................................1
INTERNATIONAL
SUPPLEMENT NO. 4 TO PART 740 –
ORGANIZATIONS,
ANNNEX A FIREARM MODELS.1
INTERNATIONAL INSPECTIONS
UNDER THE CHEMICAL
WEAPONS CONVENTION, AND § 740.1 INTRODUCTION
THE INTERNATIONAL SPACE
STATION (GOV) ..........................24 In this part, references to the EAR are references
to 15 CFR chapter VII, subchapter C.
§ 740.12 GIFT PARCELS AND
HUMANITARIAN DONATIONS (a) Scope
(GFT) .............................................32
A “License Exception” is an authorization
§ 740.13 TECHNOLOGY AND SOFTWARE
contained in this part that allows you to export or
UNRESTRICTED (TSU) ..............35 reexport under stated conditions, items subject to
§ 740.14 BAGGAGE (BAG) .........................38 the Export Administration Regulations (EAR)
that would otherwise require a license under
§ 740.15 AIRCRAFT, VESSELS AND General Prohibition One, Two, Three, or Eight as
SPACECRAFT (AVS)...................42 indicated under one or more of the Export Control
§ 740.16 ADDITIONAL PERMISSIVE Classification Numbers (ECCNs) in the
REEXPORTS (APR) .....................48 Commerce Control List (CCL) in Supplement
No. 1 to part 774 of the EAR and items subject to
Export Administration Regulations Bureau of Industry and Security June 29, 2020
the EAR that would require a license based on the (e) Destination Control Statement
embargo policies described in part 746 of the
EAR. If your export or reexport is subject to You may be required to enter an appropriate
General Prohibition Six for embargoed Destination Control Statement on commercial
destinations, refer to part 746 of the EAR to documents in accordance with Destination
determine the availability of any License Control Statement requirements of § 758.6 of the
Exceptions. Special commodity controls apply EAR.
to short supply items. License Exceptions for
items listed on the CCL as controlled for Short (f) Recordkeeping
Supply reasons are found in part 754 of the EAR.
If your export or reexport is to subject to General Records of transactions involving exports under
Prohibition Five, consult part 744 of the EAR. If any of the License Exceptions must be
your export or reexport is subject to General maintained in accordance with the recordkeeping
Prohibitions Four, Seven, Nine, or Ten, then no requirements of part 762 of the EAR.
License Exceptions apply. Any license exception
authorizing reexports also authorizes in-country
transfers, provided the terms and conditions for § 740.2 RESTRICTIONS ON ALL
reexports under that license exception are met. LICENSE EXCEPTIONS
(b) Certification (a) You may not use any License Exception
if any one or more of the following apply:
By using any of the License Exceptions you are
certifying that the terms, provisions, and (1) Your authorization to use a License
conditions for the use of the License Exception Exception has been suspended or revoked, or
described in the EAR have been met. Please your intended export does not qualify for a
refer to part 758 of the EAR for clearance of License Exception.
shipments and documenting the use of License
Exceptions. (2) The export or reexport is subject to one of
the ten General Prohibitions, is not eligible for a
(c) License Exception symbols License Exception, and has not been authorized
by BIS.
Each License Exception bears a three letter
symbol that will be used for export clearance (3) The item is primarily useful for surreptitious
purposes (see paragraph (d) of this section). interception of wire, oral, or electronic
communications, or related software, controlled
(d) Electronic Export Information (EEI) filing. under ECCNs 5A001.f.1, 5A980, 5D001 (for
5A001.f.1 or for 5E001.a (for 5A001.f.1, or for
You must enter on any required EEI filing the 5D001.a (for 5A001.f.1))), or 5D980, unless the
correct License Code that corresponds to the item is consigned to and for the official use of an
appropriate license exception symbol (e.g., LVS, agency of the U.S. Government (see §
GBS, CIV) and the correct Export Control 740.11(b)(2)(ii) of this part, Governments
Classification Number (ECCN) (e.g., 4A003, (GOV)). No license exceptions apply for 5E001.a
5A002) for all exports of items under a license (for 5A001.f.1, or for 5D001.a (for 5A001.f.1)) or
exception. Items temporarily in the United States for 5E980.
meeting the provisions of License Exception
TMP, under § 740.9(b)(3), are excepted from this (4) The item being exported or reexported is
requirement. See § 758.1 of the EAR and 15 CFR subject to the license requirements described in
Part 30 of the FTR for EEI requirements. §742.7 of the EAR and the export or reexport is
not:
(7) With the exception of License Exception

(i) Being made to Australia, India, Japan, GOV (§ 740.11(b)(2)), license exceptions are not
New Zealand, or a NATO (North Atlantic Treaty available for the following 6E001 or 6E002
Organization) member state (see NATO technology:
membership listing in §772.1 of the EAR);
(i) Technology required for the “development”
(ii) Authorized by §740.11(b)(2)(ii) (official or “production” of photon detector,
use by personnel and agencies of the U.S. microbolometer detector, pyroelectric, or
government); multispectral detector, infrared focal plane arrays
(IRFPAs), described in ECCN 6A002, having a
(iii) Authorized by §740.14(e) of the EAR peak response within the wavelength range
(certain shotguns and shotgun shells for personal exceeding 900 nm but not exceeding 30,000 nm,
use); or excluding lead sulfide or lead selenide IRFPAs
having a peak response within the wavelength
(iv) Authorized by § 740.20 of the EAR range exceeding 1,000 nm but not exceeding
(License Exception STA). 5,000 nm and not exceeding 16 detector
elements; or
(5)(i) The item is controlled for missile
technology (MT) reasons, except that the items (ii) Technology required for the
described in ECCNs 6A008, 7A001, 7A002, “development” or “production” of third
7A004, 7A101, 7A102, 7A103, 7A104, 7A105, generation or greater (e.g., Electron Bombarded
7B001, 7D001, 7D002, 7D003, 7D101, 7D102, Active Pixel Sensor (EBAPS)) image intensifier
7E003, 7E101 or 9A515, may be exported as part tubes described in ECCN 6A002.
of a spacecraft, manned aircraft, land vehicle or
marine vehicle or in quantities appropriate for (8) The item is controlled under ECCNs 2A983,
replacement parts for such applications under § 2A984, 2D983, 2D984, 2E983 or 2E984 and the
740.9(a)(4) (License Exception TMP for kits License Exception is other than:
consisting of replacement parts), § 740.10
(License Exception RPL), § 740.13 (License (i) RPL, under the provisions of §740.10,
Exception TSU), or § 740.15(b) (License including § 740.10(a)(3)(v), which prohibits
Exception AVS for equipment and spare parts for exports and reexports of replacement parts to
permanent use on a vessel, aircraft or spacecraft). countries in Country Group E:1 (see Supplement
1 to part 740));
(ii) MT controlled commodities described in
ECCN 2A001 or 2A101 may be exported or (ii) GOV, restricted to eligibility under the
reexported under § 740.9(a)(4) (License provisions of §740.11(b)(2)(ii); or
Exception TMP) or §740.10 (License Exception
RPL) as one-for-one replacement for equipment (iii) TSU, under the provisions of § 740.13(a)
previously legally exported or reexported. and (c).
(6) The export or reexport is to a sanctioned (9) [RESERVED]

destination (Cuba, Iran, North Korea, Syria, and
Crimea region of Ukraine) or a license is required (10) The commodity being exported or
based on a limited sanction (Russia) unless a reexported is subject to the license requirements
license exception or portion thereof is specifically of §742.11 of the EAR.
listed in the license exceptions paragraph
pertaining to a particular sanctioned country in (11) The item is a “military commodity” subject
part 746 of the EAR. to ECCN 0A919, except that such military
commodities may be reexported in accordance
with § 740.11(b)(2)(ii) (official use by personnel (vii) License Exception STA under §
and agencies of the U.S. Government). 740.20(c)(1) of the EAR, provided all of the
applicable terms and conditions, including those
(12) The item is described in a 9x515 or “600 specific to the “600 series” are met.
series” ECCN and is destined to, shipped from, or
was manufactured in a destination listed in (14) Items classified under ECCNs 0A521,
Country Group D:5 (see Supplement No.1 to part 0B521, 0C521, 0D521 and 0E521 may only be
740 of the EAR), except that: authorized by License Exception GOV (§
740.11(b)(2)(ii)) or an item-specific license
(i) “9x515 or 600 series” items destined to, or exception identified in Supplement No. 5 to part
in, Country Group D:5 are eligible for License 774 for a particular ECCN 0Y521 item.
Exception GOV (§ 740.11(b)(2) of the EAR);
and NOTE TO PARAGRAPH (a)(14): Item-
specific license exception availability is specific
(ii) 1A613.c or .d items destined to, or in, to each ECCN 0Y521 entry in Supplement No. 5
Country Group D:5 are eligible for License to part 774 and may not be used for any other
Exception TMP (§ 740.9(a)(11) of the EAR) or ECCN 0Y521 entries in the Supplement. The
License Exception BAG (§ 740.14(h)(2) of the U.S. Government makes a determination at the
EAR). time items are classified under ECCNs 0A521,
0B521, 0C521, 0D521 and 0E521 regarding
(13) “600 series” items that are controlled for whether any license exceptions will be available,
missile technology (MT) reasons may not be in addition to License Exception GOV (§
exported, reexported, or transferred (in-country) 740.11(b)(2)(ii)).
under License Exception STA (§ 740.20 of the
EAR). Items controlled under ECCNs 9D610.b, (15) If they are sold under a contract that
9D619.b, 9E610.b, or 9E619.b or .c are not includes $14,000,000 or more of “600 Series
eligible for license exceptions except for License Major Defense Equipment” (as defined in
Exception GOV (§ 740.11(b)(2) of the EAR). § 772.1), exports of “600 series” items to a
Only the following license exceptions may be country not listed in Country Group A:5 (see
used to export “600 series” items to destinations Supplement No. 1 to Part 740 of the EAR), are
other than those identified in Country Group D:5 not eligible for any license exception except to
(see Supplement No.1 to part 740 of the EAR): U.S. Government end users under License
Exception GOV (§ 740.11(b) of the EAR).
(i) License Exception LVS (§ 740.3 of the
EAR); (16) If they are sold under a contract that
includes $25,000,000 or more of “600 Series
(ii) License Exception TMP (§ 740.9 of the Major Defense Equipment” (as defined in
EAR); § 772.1), exports of “600 series” items to a
country listed in Country Group A:5 (see
(iii) License Exception RPL (§ 740.10 of the Supplement No. 1 to Part 740 of the EAR), are
EAR); not eligible for any license exception except to
U.S. Government end users under License
(iv) License Exception TSU (§ 740.13(a), (b), Exception GOV (§ 740.11(b) of the EAR).
(f) and (g) of the EAR);
(17) A party to the transaction, as described in §
(v) License Exception GOV (§ 740.11(b) or 748.5 of the EAR, is listed on the Unverified List
(c) of the EAR); in Supplement No. 6 to Part 744, see § 744.15 of
the EAR.
(vi) License Exception BAG (§ 740.14); and
(18) 9x515 items that are controlled for missile (ii) A copy of a written statement issued by
technology (MT) reasons may not be exported, the Government of the Hong Kong Special
reexported, or transferred (in-country) under Administrative Region that no Hong Kong export
License Exception STA (§ 740.20 of the EAR). license is required for the item(s) to be rexported.
The statement may have been issued directly to
(19) The exporter or reexporter to Hong Kong of the Hong Kong reexporter or it may be a written
any item subject to the EAR and controlled on the statement available to the general public. The
CCL for NS, MT, NP Column 1, or CB reasons statement may be used for more than one reexport
has not received one of the following with respect from Hong Kong so long as it remains an accurate
to the item: statement of Hong Kong law.
(i) A copy of an import license issued to the (21) The reexport or transfer (in-country) of
Hong Kong importer by the Government of the firearms classified under ECCNs 0A501 or
Hong Kong Special Administrative Region, 0A502 if a part or component that is not “subject
pursuant to the Hong Kong Import and Export to the ITAR,” but would otherwise meet the
(Strategic Commodities) Regulations, that covers criteria in USML Category I(h)(2) (i.e., parts and
all items to be exported or reexported pursuant to components specially designed for conversion of
that license exception for which a Hong Kong a semiautomatic firearm to a fully automatic
import license is required and that is valid on the firearm) is incorporated into the firearm or is to
date of the export or reexport that is subject to the be reexported or transferred (in-country) with the
EAR; or firearm with “knowledge” the part or component
will be subsequently incorporated into the
(ii) A copy of a written statement issued by the firearm. (See USML Category I(h)(2)). In
Government of the Hong Kong Special such instances, no license exceptions are
Administrative Region that no import license is available except for License Exception GOV (§
required to import into Hong Kong the item(s) to 740.11(b)(2)(ii)).
be exported or reexported. The statement may
have been issued directly to the Hong Kong (22) The export, reexport, or transfer (in-country)
importer or it may be a written statement of any item classified under a 0x5zz ECCN when
available to the general public. The statement a party to the transaction is designated on the
may be used for more than one export or reexport Department of the Treasury, Office of Foreign
to Hong Kong so long as it remains an accurate Assets Control (OFAC), Specially Designated
statement of Hong Kong law. Nationals and Blocked Persons (SDN) list under
the designation [SDNT], pursuant to the
(20) The reexporter from Hong Kong of any item Narcotics Trafficking Sanctions Regulations, 31
subject to the EAR controlled on the CCL for NS, CFR part 536, or under the designation
MT, NP column 1, or CB reasons has not received [SDNTK], pursuant to the Foreign Narcotics
one of the following with respect to the item: Kingpin Sanctions Regulations, 31 CFR part 598.
(i) An export license issued by the Note to paragraph (a): Items subject to the
Government of the Hong Kong Special exclusive export control jurisdiction of another
Administrative Region, pursuant to the Hong agency of the U.S. Government may not be
Kong Import and Export (Strategic authorized by a license exception or any other
Commodities) Regulations, that covers all items authorization under the EAR. If your item is
to be reexported pursuant to that license subject to the exclusive jurisdiction of another
exception for which a Hong Kong export license agency of the U.S. Government, you must
is required and that is valid on the date of the determine your export licensing requirements
reexport that is subject to the EAR; or pursuant to the other agency’s regulations. See
§ 734.3(b) and Supplement No. 3 to part 730 of
the EAR for other U.S. Government departments

and agencies with export control responsibilities. (1) Order. The term “order” as used in this §-
740.3 means a communication from a person in a
(b) All License Exceptions are subject to foreign country, or that person's representative,
revision, suspension, or revocation, in whole or in expressing an intent to import commodities from
part, without notice. It may be necessary for BIS the exporter. Although all of the details of the
to stop a shipment or an export transaction at any order need not be finally determined at the time
stage of its progress, e.g., in order to prevent an of export, terms relating to the kinds and
unauthorized export or reexport. If a shipment is quantities of the commodities to be exported, as
already en route, it may be further necessary to well as the selling prices of these commodities,
order the return or unloading of the shipment at must be finalized before the goods can be
any port of call. exported under License Exception LVS.
(c) BIS may by informing the exporter, suspend (2) Net value: for LVS shipments. The actual
or revoke any License Exception in order to selling price of the commodities that are included
comply with U.S. Wassenaar obligations. In in the same order and are controlled under the
addition, BIS may inform an exporter, that before same entry on the CCL, less shipping charges, or
using any License Exception, a notice be the current market price of the commodities to the
submitted with BIS concerning the proposed same type of purchaser in the United States,
export. whichever is the larger. In determining the
actual selling price or the current market price of
(d) See §746.3 for restrictions on certain the commodity, the value of containers in which
transfers within Iraq of items exported or the commodity is being exported may be
reexported to Iraq pursuant to a License excluded. The value for LVS purposes is that of
Exception. the controlled commodity that is being exported,
and may not be reduced by subtracting the value
of any content that would not, if shipped
separately, be subject to licensing. Where the
§ 740.3 SHIPMENTS OF LIMITED total value of the containers and their contents
VALUE (LVS) must be shown on Shipper's Export Declarations
under one Schedule B Number, the exporter, in
(a) Scope effecting a shipment under this License
Exception, must indicate the “net value” of the
License Exception LVS authorizes the export and contained commodity immediately below the
reexport in a single shipment of eligible description of the commodity.
commodities as identified by “LVS - $(value
limit)” on the CCL. (3) Single shipment. All commodities moving
at the same time from one exporter to one
(b) Eligible Destinations consignee or intermediate consignee on the same
exporting carrier even though these commodities
This License Exception is available for all will be forwarded to one or more ultimate
destinations in Country Group B (see Supplement consignees. Commodities being transported in
No. 1 to part 740), provided that the net value of this manner will be treated as a single shipment
the commodities included in the same order and even if the commodities represent more than one
controlled under the same ECCN entry on the order or are in separate containers.
CCL does not exceed the amount specified in the
LVS paragraph for that entry. (d) Additional eligibility requirements
and restrictions
(c) Definitions
(1) Eligible orders. To be eligible for this of the entire order may exceed the LVS dollar
License Exception, orders must meet the value for any single entry on the CCL.
following criteria: However, the net value of the commodities
controlled under each ECCN entry shall not
(i) Orders must not exceed the applicable exceed the LVS dollar value limit specified for
“LVS” dollar value limits. An order is eligible that entry.
for shipment under LVS when the “net value” of
the commodities controlled under the same entry Example to paragraph (3): An order
on the CCL does not exceed the amount specified includes commodities valued at $8,000. The
in the “LVS” paragraph for that entry. An LVS order consists of commodities controlled under
shipment may include more than one eligible two ECCN entries, each having an LVS value
order. limit of $5000. Commodities in the order
controlled under one ECCN are valued at $3,500
(ii) Orders may not be split to meet the while those controlled under the other ECCN are
applicable LVS dollar limits. An order that valued at $4,500. Since the net value of the
exceeds the applicable LVS dollar value limit commodities controlled under each entry falls
may not be misrepresented as two or more orders, within the LVS dollar value limits applicable to
or split among two or more shipments, to give the that entry, the order may be shipped under this
appearance of meeting the applicable LVS dollar License Exception.
value limit. However an order that meets all the
LVS eligibility requirements, including the (4) Prohibition against evasion of license
applicable LVS dollar value limit, may be split requirements. Any activity involving the use
among two or more shipments. of this License Exception to evade license
requirements is prohibited. Such devices include,
(iii) Orders must be legitimate. Exporters but are not limited to, the splitting or structuring
and consignees may not, either collectively or of orders to meet applicable LVS dollar value
individually, structure or adjust orders to meet the limits, as prohibited by paragraphs (d)(1)(ii) and
applicable LVS dollar value limits. (iii) of this section.
(2) Restriction on annual value of LVS orders. (5) Exports and reexports of encryption
The total value of exports per calendar year to the components or spare parts. For components
same ultimate or intermediate consignee of or spare parts controlled for “EI” reasons under
commodities classified under a single ECCN may ECCN 5A002, exports and reexports under this
not exceed 12 times the LVS value limit for that License Exception must be destined to support a
ECCN; however, there is no restriction on the commodity previously authorized for export or
number of shipments provided that value is not reexport.
exceeded. This annual value limit applies to (e) Reexports
shipments to the same ultimate consignee even
though the shipments are made through more Commodities may be reexported under this
than License Exception, provided that they could be
one intermediate consignee. There is no exported from the United States to the new
restriction on the number of orders that may be country of destination under LVS.
included in a shipment, except that the annual
value limit per ECCN must not be exceeded. (f) Reporting requirements
(3) Orders where two or more LVS dollar See §743.1 of the EAR for reporting requirements
value limits apply. An order may include for exports of certain commodities under License
commodities that are controlled under more than Exception LVS.
one entry on the CCL. In this case, the net value
(i) Reexport or release the technology to a

§ 740.4 SHIPMENTS TO COUNTRY national of a country in Country Groups D:1, E:1,
GROUP B COUNTRIES (GBS) or E:2; or
License Exception GBS authorizes exports and (ii) Export to Country Groups D:1, E:1, or
reexports to Country Group B (see Supplement E:2 the direct product of the technology, if such
No. 1 to part 740) of those commodities where the foreign produced direct product is subject to
Commerce Country Chart (Supplement No. 1 to national security controls as identified on the
part 738 of the EAR) indicates a license CCL (See General Prohibition Three,
requirement to the ultimate destination for §736.2(b)(3) of the EAR); or
national security reasons only and identified by
“GBS - Yes” on the CCL. See §743.1 of the (iii) If the direct product of the technology is
EAR for reporting requirements for exports of a complete plant or any major component of a
certain commodities under License Exception plant, export to Country Groups D:1, E:1, or E:2
GBS. of the direct product of the plant or major
component thereof, if such foreign produced
direct product is subject to national security
§ 740.5 [RESERVED] controls as identified on the CCL or is “subject to
the ITAR” (see 22 CFR parts 120 through 130).
§ 740.6 TECHNOLOGY AND

SOFTWARE UNDER RESTRICTION (2) Required assurance for export of
software. You may not export or reexport
(TSR)
software under this License Exception until you
have received from the importer a written
(a) Scope
assurance that, without a BIS license or License
Exception, the importer will neither:
License Exception TSR permits exports and
reexports of technology and software where the
(i) Reexport or release the software or the
Commerce Country Chart (Supplement No. 1 to
source code for the software to a national of a
part 738 of the EAR) indicates a license
country in Country Groups D:1, E:1, or E:2; nor
requirement to the ultimate destination for
national security reasons only and identified by
(ii) Export to Country Groups D:1, E:1, or
“TSR - Yes” in entries on the CCL, provided the
E:2 the direct product of the software, if such
software or technology is destined to Country
foreign produced direct product is subject to
Group B. (See Supplement No. 1 to part 740.)
national security controls as identified on the
A written assurance is required from the
CCL. (See General Prohibition Three,
consignee before exporting or reexporting under
§736.2(b)(3) of the EAR).
this License Exception.
(3) Form of written assurance. The required
(1) Required assurance for export of
assurance may be made in the form of a letter or
technology. You may not export or reexport
any other written communication from the
technology under this License Exception until
importer, including communications via
you have received from the importer a written
facsimile, or the assurance may be incorporated
assurance that, without a BIS license or License
into a licensing agreement that specifically
Exception, the importer will not:
includes the assurances. An assurance included
in a licensing agreement is acceptable only if the
agreement specifies that the assurance will be
honored even after the expiration date of the
licensing agreement. If such a written assurance in ECCN 4A003 to Computer Tier countries as
is not received, License Exception TSR is not provided by this section.
applicable and a license is required. The license
application must include a statement explaining (b) Restrictions
why assurances could not be obtained.
(1) Related equipment controlled under ECCN
(4) Other License Exceptions. The 4A003.g may not be exported or reexported under
requirements in this License Exception do not this License Exception when exported or
apply to the export of technology or software reexported separately from eligible computers
under other License Exceptions, or to the export authorized under this License Exception.
of technology or software included in an
application for the foreign filing of a patent, (2) Access and release restrictions.
provided the filing is in accordance with the
regulations of the U.S. Patent Office. (i) [RESERVED]
(b) Reporting requirements (ii) Technology and source code.

Technology and source code eligible for License
See §743.1 of the EAR for reporting requirements Exception APP may not be released to nationals
for exports of certain items under License of Cuba, Iran, North Korea, Sudan, or Syria.
Exception TSR. Note that reports are not
required for release of technology or source code (3) Computers and software eligible for License
subject to the EAR to foreign nationals in the U.S. Exception APP may not be reexported or
under the provisions of License Exception TSR. transferred (in country) without prior
authorization from BIS, i.e., a license, a
permissive reexport, another License Exception,
§ 740.7 COMPUTERS (APP) or “No License Required”. This restriction must
be conveyed to the consignee, via the Destination
(a) Scope Control Statement, see §758.6 of the EAR.
Additionally, the end-use and end-user
(1) Commodities. License Exception APP restrictions in paragraph (b)(5) of this section
authorizes exports, reexports and transfers (in- must be conveyed to any consignee in Computer
country) of computers, including “electronic Tier 3.
assemblies” and specially designed components
therefor controlled by ECCN 4A003 exported or (4) You may not use this License Exception to
reexported separately or as part of a system for export or reexport items that you know will be
consumption in Computer Tier countries as used to enhance the APP beyond the eligibility
provided by this section. When evaluating your limit allowed to your country of destination.
computer to determine License Exception APP
eligibility, use the APP parameter to the (5) License Exception APP does not authorize
exclusion of other technical parameters in ECCN exports, reexports and transfers (in-country) for
4A003. nuclear, chemical, biological, or missile end-
users and end-uses subject to license
(2) Technology and software. License requirements under §744.2, §744.3, §744.4, and
Exception APP authorizes exports of technology §744.5 of the EAR. Such exports, reexports and
and software controlled by ECCNs 4D001 and transfers (in-country) will continue to require a
4E001 specially designed or modified for the license and will be considered on a case-by-case
“development,” “production,” or “use” of basis. Reexports and transfers (in-country) to
computers, including “electronic assemblies” and these end-users and end-uses in eligible countries
specially designed components therefor classified are strictly prohibited without prior authorization.
Tuvalu, Uganda, United Kingdom, Uruguay,

(6) Foreign nationals in an expired visa status are Vatican City, Venezuela, Western Sahara,
not eligible to receive deemed exports of Zambia, and Zimbabwe.
technology or source code under this License
Exception. It is the responsibility of the exporter (2) Eligible commodities. All computers,
to ensure that, in the case of deemed exports, the including electronic assemblies and specially
foreign national maintains a valid U.S. visa, if designed components therefor are eligible for
required to hold a visa from the United States. export or reexport under License Exception APP
to Tier 1 destinations, subject to the restrictions
(c) Computer Tier 1 destinations in paragraph (b) of this section.
(1) Eligible destinations. The destinations that (3) Eligible technology and software.
are eligible to receive exports and reexports under
paragraph (c) of this section include: Albania, (i) Technology and software described in
Antigua and Barbuda, Argentina, Aruba, paragraph (a)(2) of this section for computers of
Australia, Austria, Bahamas (The), Bangladesh, unlimited APP are eligible for export, reexport,
Barbados, Belgium, Belize, Benin, Bhutan, transfer (in-country) under License Exception
Bolivia, Botswana, Brazil, Brunei, Bulgaria, APP to countries listed in Country Group A:5, see
Burkina Faso, Burma, Burundi, Cameroon, Cape Supplement No. 1 to this part; and
Verde, Central African Republic, Chad, Chile,
Colombia, Congo (Democratic Republic of the), (ii) “Development” and “production”
Congo (Republic of the), Costa Rica, Cote technology and source code described in
d'Ivoire, Croatia, Curaçao, Cyprus, Czech paragraph (a)(2) of this section for computers
Republic, Denmark, Dominica, Dominican with a APP less than or equal to 40 Weighted
Republic, Ecuador, El Salvador, Equatorial TeraFLOPS (WT) are eligible for deemed exports
Guinea, Eritrea, Estonia, Ethiopia, Fiji, Finland, under License Exception APP to foreign
France, Gabon, Gambia (The), Germany, Ghana, nationals of Tier 1 destinations, other than the
Greece, Grenada, Guatemala, Guinea, Guinea- destinations that are listed in paragraph (c)(3)(i)
Bissau, Guyana, Haiti, Honduras, Hong Kong, of this section, subject to the restrictions in
Hungary, Iceland, Indonesia, Ireland, Italy, paragraph (b) of this section.
Jamaica, Japan, Kenya, Kiribati, Korea (Republic
of), Latvia, Lesotho, Liberia, Lithuania, (iii) “Use” technology and source code
Luxembourg, Madagascar, Malawi, Malaysia, described in paragraph (a)(2) of this section for
Maldives, Mali, Malta, Marshall Islands, computers with a APP less than or equal to 200
Mauritius, Mexico, Micronesia (Federated States WT are eligible for deemed exports under
of), Monaco, Mozambique, Namibia, Nauru, License Exception APP to foreign nationals of
Nepal, Netherlands, New Zealand, Nicaragua, Tier 1 destinations, other than the destinations
Niger, Nigeria, Norway, Palau, Panama, Papua that are listed in paragraph (c)(3)(i) of this
New Guinea, Paraguay, Peru, Philippines, section, subject to the restrictions in paragraph (b)
Poland, Portugal, Romania, Rwanda, St. Kitts & of this section.
Nevis, St. Lucia, St. Vincent and the Grenadines,
Sao Tome & Principe, Samoa, San Marino, (d) Computer Tier 3 destinations
Senegal, Seychelles, Sierra Leone, Singapore,
Sint Maarten (the Dutch two-fifths of the island (1) Eligible destinations. Eligible destinations
of Saint Martin), Slovakia, Slovenia, Solomon under paragraph (d) of this section are:
Islands, Somalia, South Africa, Spain, Sri Lanka, Afghanistan, Algeria, Andorra, Angola,
Surinam, Swaziland, Sweden, Switzerland, Armenia, Azerbaijan, Bahrain, Belarus, Bosnia &
Taiwan, Tanzania, Togo, Tonga, Thailand, Herzegovina, Cambodia, China (People's
Timor-Leste, Trinidad and Tobago, Turkey, Republic of), Comoros, Djibouti, Egypt, Georgia,
India, Iraq, Israel, Jordan, Kazakhstan Kosovo, States; and exports and reexports of beta test
Kuwait, Kyrgyzstan, Laos, Lebanon, Libya, software.
Macau, Macedonia (The Former Yugoslav
Republic of), Mauritania, Moldova, Mongolia, (a) Temporary exports, reexports,
Montenegro, Morocco, Oman, Pakistan, Qatar, and transfers (in-country)
Russia, Saudi Arabia, Serbia, Tajikistan, Tunisia,
Turkmenistan, Ukraine, United Arab Emirates, License Exception TMP authorizes exports,
Uzbekistan, Vanuatu, Vietnam, and Yemen. reexports, and transfers (in-country) of items for
temporary use abroad (including use in or above
(2) Eligible commodities. None. international waters) subject to the conditions
specified in this paragraph (a). No item may be
(3) Eligible technology and source code. exported, reexported, or transferred (in-country)
under this paragraph (a) if an order to acquire the
(i) “Development” and “production” item, such as a purchase order, has been received
technology and source code described in before shipment; with prior knowledge that the
paragraph (a)(2) of this section for computers item will stay abroad beyond the terms of this
with an APP less than or equal to 16 Weighted License Exception; or when the item is for
TeraFLOPs (WT) are eligible for deemed exports subsequent lease or rental abroad. The
under License Exception APP to foreign references to various countries and country
nationals of Tier 3 destinations as described in groups in these TMP-specific provisions do not
paragraph (d)(1) of this section, subject to the limit or amend the prohibitions in § 740.2 of the
restrictions in paragraph (b) of this section. EAR on the use of license exceptions generally,
such as for exports of 9x515 or “600 series” items
(ii) “Use” technology and source code to destinations in Country Group D:5. This
described in paragraph (a)(2) of this section for paragraph (a) does not authorize any export of a
computers with an APP less than or equal to 32 commodity controlled under ECCNs 0A501.a or
WT are eligible for deemed exports under .b, or shotguns with a barrel length less than 18
License Exception APP to foreign nationals of inches controlled under ECCN 0A502 to, or any
Tier 3 destinations as described in paragraph export of such an item that was imported into the
(d)(1) of this section, subject to the restrictions in United States from, a country in Country Group
paragraph (b) of this section. D:5 (Supplement No. 1 to this part), or from
Russia, Georgia, Kazakhstan, Kyrgyzstan,
(e) Reporting requirements Moldova, Turkmenistan, Ukraine, or Uzbekistan.
The only provisions of this paragraph (a) that are
See §743.1 of the EAR for reporting requirements eligible for use to export such items are paragraph
of certain items under License Exception APP. (a)(5) of this section (“Exhibition and
demonstration”) and paragraph (a)(6) of this
section (“Inspection, test, calibration, and
§ 740.8 [RESERVED] repair”). In addition, this paragraph (a) may not
be used to export more than 75 firearms per
shipment. In accordance with the requirements
§ 740.9 TEMPORARY IMPORTS, in § 758.1(b)(9) and (g)(4) of the EAR, the
exporter or its agent must provide documentation
EXPORTS, REEXPORTS, AND
that includes the serial number, make, model, and
TRANSFERS (IN-COUNTRY) (TMP) caliber of each firearm being exported by filing
these data elements in an EEI filing in AES. In
This License Exception authorizes various
accordance with the exclusions in License
temporary exports and reexports; exports and
Exception TMP under paragraph (b)(5) of this
reexports of items temporarily in the United
section, the entry clearance requirements in §
758.1(b)(9) do not permit the temporary import networks for activities that involve the
of: firearms controlled in ECCN 0A501.a or .b transmission and use of the software authorized
that are shipped from or manufactured in a under this license exception;
Country Group D:5 country, or that are shipped
from or manufactured in Russia, Georgia, (ii) Use of password systems on electronic
Kazakhstan, Kyrgyzstan, Moldova, devices that store the software authorized under
Turkmenistan, Ukraine, or Uzbekistan (except this license exception; and
for any firearm model designation (if assigned)
controlled by 0A501 that is specified under (iii) Use of personal firewalls on electronic
Annex A in Supplement No. 4 to this part); or devices that store the software authorized under
shotguns with a barrel length less than 18 inches this license exception.
controlled in ECCN 0A502 that are shipped from
or manufactured in a Country Group D:5 country, (2) Sudan. Notwithstanding the exclusion of
or from Russia, Georgia, Kazakhstan, destinations in Country Group E:1 in paragraphs
Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or (a)(1) and (3) of this section, items listed in
Uzbekistan, because of the exclusions in License § 740.19(b) of the EAR may be exported or
Exception TMP under paragraph (b)(5) of this reexported as tools of trade to Sudan. All other
section. requirements and limitations of this paragraph (a)
apply to such exports and reexports.
(1) Tools of trade. Exports, reexports, or
transfers (in-country) of commodities and (3) “Technology,” regardless of media or format,
software as tools of trade for use by the exporter may be exported, reexported, or transferred (in-
or employees of the exporter may be made only country) by or to a U.S. person, or a foreign
to destinations other than Country Group E:1. person employee of a U.S. person traveling or on
The tools of trade must remain under the temporary assignment abroad, subject to the
“effective control” of the exporter or the following restrictions:
exporter's employee. Eligible items are usual
and reasonable kinds and quantities of tools of (i) Foreign persons may only export,
trade for use in a lawful enterprise or undertaking reexport, transfer (in country) or receive such
of the exporter. Tools of trade include, but are “technology” as they are authorized to receive
not limited to, commodities and software as is through a license, license exception other than
necessary to commission or service items, TMP or because no license is required.
provided that the commodity or software is
appropriate for this purpose and that all items to (ii) “Technology” exported, reexported, or
be commissioned or serviced are of foreign transferred under this authorization may only be
origin, or if subject to the EAR, have been possessed or used by a U.S. person or authorized
lawfully exported, reexported, or transferred. foreign person. Sufficient security precautions
Tools of trade may accompany the individual must be taken to prevent the unauthorized release
departing from the United States or may be of the “technology.” Such security precautions
shipped unaccompanied within one month before may include encryption of the “technology,” the
the individual’s departure from the United States, use of secure network connections, such as
or at any time after departure. Software used as Virtual Private Networks, the use of passwords or
a tool of trade must be protected against other access restrictions on the electronic device
unauthorized access. Examples of security or media on which the “technology” is stored, and
precautions to help prevent unauthorized access the use of firewalls and other network security
include the following: measures to prevent unauthorized access.
(i) Use of secure connections, such as Virtual (iii) The individual is an employee of the U.S.
Private Network connections, when accessing IT Government or is directly employed by a U.S.
person and not, e.g., by a foreign subsidiary. or demonstrated at any one site for longer than
120 days after installation and debugging, unless
(iv) “Technology” authorized under this authorized by BIS. However, before or after an
exception may not be used for foreign production exhibition or demonstration, pending movement
purposes or for technical assistance unless to another site, return to the United States or the
authorized through a license or license exception foreign reexporter, or BIS approval for other
other than TMP. disposition, the commodities and software may
be placed in a bonded warehouse or a storage
(4) Kits consisting of replacement parts or facility provided that the exporter retains
components. Kits consisting of replacement “effective control” over their disposition. The
parts or components may be exported, export documentation for this type of transaction
reexported, or transferred (in-country) to all must show the exporter as ultimate consignee, in
destinations except Country Group E:1 (see care of the person who will have control over the
Supplement No. 1 to part 740 of the EAR), commodities and software abroad.
provided that:
(6) Inspection, test, calibration, and repair.
(i) The parts and components would Commodities to be inspected, tested, calibrated,
qualify for shipment under paragraph (a)(4)(iii) or repaired abroad may be exported, reexported,
of this section if exported as one-for-one and transferred (in-country) under this paragraph
replacements; (a)(6) to all destinations except Country Group
E:1.
(ii) The kits remain under effective control
of the exporter or an employee of the exporter; (7) Containers. Containers for which another
and license exception is not available and that are
necessary for shipment of commodities may be
(iii) All parts and components in the kit are exported, reexported, and transferred (in-country)
returned, except that one-for-one replacements under this paragraph (a)(7). However, this
may be made in accordance with the paragraph does not authorize the export of the
requirements of License Exception RPL and the container's contents, which, if not exempt from
defective parts and components returned (see licensing, must be separately authorized for
Parts, Components, Accessories and Attachments export under either a license exception or a
in § 740.10(a) of this part). license.
(5) Exhibition and demonstration. This (8) Assembly in Mexico. Commodities may be
paragraph (a)(5) authorizes exports, reexports, exported to Mexico under Customs entries that
and transfers (in-country) of commodities and require return to the United States after
software for exhibition or demonstration in all processing, assembly, or incorporation into end
destinations except Country Group E:1 (see products by companies, factories, or facilities
Supplement No. 1 to this part) provided that the participating in Mexico's in-bond
exporter maintains ownership of the commodities industrialization program (IMMEX) under this
and software while they are abroad and provided paragraph (a)(8), provided that all resulting end-
that the exporter, an employee of the exporter, or products (or the commodities themselves) are
the exporter's designated sales representative returned to the United States as soon as
retains “effective control” over the commodities practicable but no later than four years after the
and software while they are abroad. The date of export or reexport.
commodities and software may not be used when
abroad for more than the minimum extent (9) News media.
required for effective demonstration. The
commodities and software may not be exhibited (i) Commodities necessary for
news-gathering purposes (and software necessary contract firm to be responsible for the equipment.
to use such commodities) may be temporarily
exported or reexported for accredited news media (10) Temporary exports to a U.S. person’s
personnel (i.e., persons with credentials from a foreign subsidiary, affiliate, or facility abroad.
news-gathering or reporting firm) to Cuba, North Components, parts, tools, accessories, or test
Korea, Sudan, or Syria (see Supplement No. 1 to equipment exported by a U.S. person to a
part 740) if the commodities: subsidiary, affiliate, or facility owned or
controlled by the U.S. person, if the components,
(A) Are retained under “effective parts, tools, accessories, or test equipment are to
control” of the exporting news-gathering firm in be used to manufacture, assemble, test, produce,
the country of destination; or modify items, provided that such components,
parts, tools, accessories or test equipment are not
(B) Remain in the physical possession of transferred (in-country) or reexported from such
the news media personnel in the country of subsidiary, affiliate, or facility, alone or
destination. The term physical possession for incorporated into another item, without prior
purposes of this paragraph (a)(9) means authorization by BIS.
maintaining effective measures to prevent
unauthorized access (e.g., securing equipment in (11) Personal protective “equipment”
locked facilities or hiring security guards to classified under ECCN 1A613.c or .d and
protect the equipment); and individual protection “equipment” classified
under ECCN 1A607.f.
(C) Are removed with the news media
personnel at the end of the trip. (i) Temporary exports, reexports, or in-
country transfers to countries not identified in
(ii) When exporting under this paragraph Country Group D:5. U.S. persons may
(a)(9) from the United States, the exporter must temporarily export or reexport one set of body
email a copy of the packing list or similar armor classified under ECCN 1A613.d (which
identification of the exported commodities, to may include one helmet classified under ECCN
bis.compliance@bis.doc.gov specifying the 1A613.c) or one set of chemical or biological
destination and estimated dates of departure and agent protective gear classified under ECCN
return. The Office of Export Enforcement 1A607.f (which may include one additional filter
(OEE) may check returns to assure that the canister classified under ECCN 1A607.x) to
provisions of this paragraph (a)(9) are being used countries not identified in Country Group D:5,
properly. provided that:
(iii) Commodities or software necessary for (A) The items are with the U.S. person’s
news-gathering purposes that accompany news baggage or effects, whether accompanied or
media personnel to all other destinations shall be unaccompanied (but not mailed); and
exported, reexported, or transferred (in-country)
under paragraph (a)(1), tools of trade, of this (B) The items are for that U.S. person’s
section if owned by the news gathering firm, or if exclusive use and not for transfer of ownership
they are personal property of the individual news unless reexported or transferred (in-country) to
media personnel. Note that paragraphs (a)(1), another U.S. person.
tools of trade and (a)(9), news media, of this
section do not preclude independent accredited (ii) Temporary exports, reexports, or
contract personnel, who are under control of transfers (in-country) to countries identified in
news-gathering firms while on assignment, from Country Group D:5.
using these provisions, provided that the news
gathering firm designates an employee of the
(A) Iraq. U.S. persons may temporarily individual who is a citizen of the United States,
export or reexport one set of body armor an individual who is a lawful permanent resident
classified under ECCN 1A613.d (which may as defined by 8 U.S.C. 1101(a)(2) or an individual
include one helmet classified under ECCN who is a protected individual as defined by 8
1A613.c) or one set of chemical or biological U.S.C. 1324b(a)(3). U.S. person also means any
agent protective gear classified under ECCN juridical person organized under the laws of the
1A607.f (which may include one additional filter United States, or any jurisdiction within the
canister classified under ECCN 1A607.x) to Iraq, United States (e.g., corporation, business
for personal use, provided that the requirements association, partnership, society, trust, or any
in paragraph (a)(11)(i) of this section are met. other entity, organization or group that is
In addition, the U.S. person must be affiliated authorized to do business in the United States).
with the U.S. Government and traveling on
official business or traveling in support of a U.S. (13) Destinations. Destination restrictions
Government contract, or the U.S. person must be apply to temporary exports, reexports, or
traveling to Iraq under a direct authorization by transfers (in-country) to and for use on any vessel,
the Government of Iraq and engaging in activities aircraft or territory under ownership, control,
for, on behalf of, or at the request of, the lease, or charter by any country specified in any
Government of Iraq. Documentation regarding authorizing paragraph of this section, or any
direct authorization from the Government of Iraq national thereof.
shall include an English translation.
(14) Return or disposal of items. With the
(B) Other countries in Country Group exception of items described in paragraphs (a)(8)
D:5. U.S. persons may temporarily export or and (11) of this section, all items exported,
reexport one set of body armor classified under reexported, or transferred (in-country) under this
ECCN 1A613.d (which may include one helmet section must, if not consumed or destroyed in the
classified under ECCN 1A613.c) or one set of normal course of authorized temporary use
chemical or biological agent protective gear abroad, be returned to the United States or other
classified under ECCN 1A607.f (which may country from which the items were so transferred
include one additional filter canister classified as soon as practicable but no later than one year
under ECCN 1A607.x) to countries in Country after the date of export, reexport, or transfer (in-
Group D:5 (except Iraq), for personal use, country). Items not returned shall be disposed of
provided that the requirements in paragraph or retained in one of the following ways:
(a)(11)(i) of this section are met, and the U.S.
person is affiliated with the U.S. Government (i) Permanent export, reexport, or transfer
traveling on official business or is traveling in (in-country). An exporter or reexporter who
support of a U.S. Government contract. wants to sell or otherwise dispose of the items
abroad, except as permitted by this or other
(iii) Items exported, reexported, or transferred applicable provision of the EAR, must apply for
(in-country) under paragraph (a)(11) of this a license in accordance with §§ 748.1, 748.4 and
section, if not consumed or destroyed in the 748.6 of the EAR. (Part 748 of the EAR
normal course of authorized temporary use contains more information about license
abroad, must be returned to the United States or applications.) The application must be supported
other country from which the items were so by any documents that would be required in
transferred as soon as practicable but no later than support of an application for export license for
four years after the date of export, reexport or shipment of the same items directly from the
transfer (in-country). United States to the proposed destination.
(12) U.S. persons. For purposes of this (ii) Use of a license. An outstanding license
§ 740.9, a U.S. person is defined as follows: an may also be used to dispose of items covered by
the provisions of this paragraph (a), provided that Group E:1 under this section.
the outstanding license authorizes direct
shipment of the same items to the same new (iii) The following may not be exported from
ultimate consignee or end-user. the United States under this paragraph (b)(1):
(iii) Authorization to retain item abroad (A) Commodities shipped to the United
beyond one year. An exporter, reexporter or States under an International Import Certificate,
transferor who wants to retain an item at the Form BIS-645P;
temporary location beyond one year must apply
for a license in accordance with §§ 748.1, 748.4 (B) Chemicals controlled under ECCN
and 748.6 of the EAR to BIS at least 90 days prior 1C350; or
to the expiration of the one-year period. The
application must include the name and address of (C) Horses for export by sea (refer to short
the exporter, the date the items were exported, a supply controls in part 754 of the EAR).
brief product description, and the justification for (iv) The authorization to export in paragraph
the extension. If BIS approves the extension, the (b)(1) shall apply to all shipments from Canada
applicant will receive authorization for an moving in transit through the United States to any
extension not to exceed four years from the date foreign destination, regardless of the nature of the
of initial export, reexport, or transfer. Any commodities or software or their origin,
request for retaining the items abroad for a period notwithstanding any other provision of this
exceeding four years must be made in accordance paragraph (b)(1).
with the requirements of paragraph (a)(14)(i) of
this section. (2) Items imported for marketing, or for
display at U.S. exhibitions or trade fairs.
(b) Exports of items temporarily Subject to the following conditions, the
in the United States. provisions of this paragraph (b)(2) authorize the
export of items that were imported into the United
(1) Items moving in transit through the States for marketing, or for display at an
United States. Subject to the following exhibition or trade fair and were either entered
conditions, the provisions of this paragraph (b)(1) under bond or permitted temporary free import
authorize export of items moving in transit under bond providing for their export and are
through the United States under a Transportation being exported in accordance with the terms of
and Exportation (T.&E.) customs entry or an that bond.
Immediate Exportation (I.E.) customs entry made
at a U.S. Customs and Border Protection Office. (i) Items may be exported to the country from
No provision of paragraph (b) of this section, which imported into the United States.
other than paragraph (b)(3), (4), or (5), may be However, items originally imported from Cuba
used to export firearms controlled by ECCN may not be exported unless the U.S. Government
0A501.a, .b, or shotguns with a barrel length less had licensed the import from that country.
than 18 inches controlled in ECCN 0A502.
(ii) Items may be exported to any destination
(i) Items controlled for national security (NS) other than the country from which imported
reasons, nuclear proliferation (NP) reasons, or except:
chemical and biological weapons (CB) reasons
may not be exported to Country Group D:1, D:2, (A) Items imported into the United States
or D:3 (see Supplement No. 1 to part 740), under an International Import Certificate;
respectively, under this paragraph (b)(1).
(B) Exports to Country Group E:1 (see
(ii) Items may not be exported to Country Supplement No. 1 to part 740); or
(ii) The firearms were not shipped from or

(C) Exports to Country Group D:1, D:2, or manufactured in Russia, Georgia, Kazakhstan,
D:3 (see Supplement No. 1 to part 740) of items Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or
controlled for national security (NS) reasons, Uzbekistan, except for any firearm model
nuclear nonproliferation (NP) reasons, or controlled by 0A501 that is specified under
chemical and biological weapons (CB) reasons, Annex A in Supplement No. 4 to this part; and
respectively.
(iii) The firearms are not ultimately destined
(3) Return of foreign-origin items. A to a U.S. arms embargoed country, i.e.,
foreign-origin item may be returned under this destination listed in Country Group D:5 in
license exception to the country from which it Supplement No. 1 to this part, or to Russia;
was imported if its characteristics and capabilities
have not been enhanced while in the United (iv) When the firearms entered the U.S. as a
States, except that no foreign-origin items may be temporary import, the temporary importer or its
returned to Cuba. agent:
(4) Return of shipments refused entry. (A) Provided the following statement to
Shipments of items refused entry by the U.S. U.S. Customs and Border Protection: “This
Customs and Border Protection, the Food and shipment will be exported in accordance with and
Drug Administration, or other U.S. Government under the authority of License Exception TMP
agency may be returned to the country of origin, (15 CFR 740.9(b)(5))”;
except to:
(B) Provided to U.S. Customs and Border
(i) A destination in Cuba; or Protection an invoice or other appropriate import-
related documentation (or electronic equivalents)
(ii) A destination from which the shipment that includes a complete list and description of the
has been refused entry because of the Foreign firearms being temporarily imported, including
Assets Control Regulations of the Treasury their model, make, caliber, serial numbers,
Department, unless such return is licensed or quantity, and U.S. dollar value; and
otherwise authorized by the Treasury
Department, Office of Foreign Assets Control (31 (C) Provided (if temporarily imported for
CFR parts 500-599). a trade show, exhibition, demonstration, or
testing) to U.S. Customs and Border Protection
(5) Exports of firearms and certain shotguns the relevant invitation or registration
temporarily in the United States. This documentation for the event and an
paragraph (b)(5) authorizes the export of no more accompanying letter that details the arrangements
than 75 end item firearms per shipment controlled to maintain effective control of the firearms while
by ECCN 0A501.a or .b, or shotguns with a barrel they are in the United States; and
length less than 18 inches controlled in ECCN
0A502 that are temporarily in the United States (v) In addition to the export clearance
for a period not exceeding one year, provided requirements of part 758 of the EAR, the exporter
that: or its agent must provide the import
documentation related to paragraph (b)(5)(iv)(B)
(i) The firearms were not shipped from or of this section to U.S. Customs and Border
manufactured in a U.S. arms embargoed country, Protection at the time of export.
i.e., destination listed in Country Group D:5 in
Supplement No. 1 to this part; NOTE 1 to paragraph (b)(5): In addition to
complying with all applicable EAR requirements
for the export of commodities described in
paragraph (b)(5) of this section, exporters and All other beta test software is eligible for export
temporary importers should contact U.S. or reexport to all destinations, except Cuba, Iran,
Customs and Border Protection (CBP) at the port and Sudan under the provisions of this
of temporary import or export, or at the CBP paragraph (c).
website, for the proper procedures for
temporarily importing or exporting firearms (3) Eligible software. All software that is
controlled in ECCN 0A501.a or .b or shotguns controlled by the Commerce Control List
with a barrel length less than 18 inches (Supplement No.1 to part 774 of the EAR), and
controlled in ECCN 0A502, including regarding under Commerce licensing jurisdiction, is
how to provide any data or documentation eligible for export and reexport, subject to the
required by BIS. restrictions of this paragraph (c). Encryption
software controlled for “EI” reasons under ECCN
NOTE 2 to paragraph (b): A commodity 5D002 is eligible for export and reexport under
withdrawn from a bonded warehouse in the this paragraph (c), provided that the exporter has
United States under a ‘withdrawal for export’ submitted the information described in paragraph
customs entry is considered as ‘moving in (c)(8) of this section by the time of export. Final
transit’. It is not considered as ‘moving in encryption products produced by the testing
transit’ if it is withdrawn from a bonded consignee are subject to any applicable
warehouse under any other type of customs entry provisions in §742.15(b) of the EAR (for mass
or if its transit has been broken for a processing market encryption commodities and software
operation, regardless of the type of customs with symmetric key length exceeding 64-bits) or
entry. §740.17 of the EAR (License Exception ENC),
including review and reporting requirements.
NOTE 3 to paragraph (b): Items shipped on
board a vessel or aircraft and passing through (4) Conditions for use. Exports or reexports
the United States from one foreign country to of beta test software programs under the
another may be exported without a license provisions of this paragraph (c) must meet all of
provided that (a) while passing in transit through the following conditions:
the United States, they have not been unladen
from the vessel or aircraft on which they entered, (i) The software producer intends to market the
and (b) they are not originally manifested to the software to the general public after completion of
United States. the beta testing, as described in the General
Software Note (see Supplement No. 2 to part 774
NOTE 4 to paragraph (b): A shipment of the EAR) or the Cryptography Note in
originating in Canada or Mexico that Category 5, Part 2 (“Information Security”), of
incidentally transits the United States en route to the Commerce Control List (see Supplement
a delivery point in the same country does not No.1 to part 774 of the EAR);
require a license.
(c) Exports of beta test software (ii) The software producer provides the
software to the testing consignee free-of-charge
(1) Scope. The provisions of this paragraph or at a price that does not exceed the cost of
(c) authorize exports and reexports to eligible reproduction and distribution; and
countries of beta test software intended for
distribution to the general public. (iii) The software is designed for installation
by the end-user without further substantial
(2) Eligible countries. Encryption software support from the supplier.
controlled under ECCN 5D002 is not eligible for
export or reexport to country in Country Group (5) Importer Statement. Prior to exporting or
E:1 under the provisions of this paragraph (c). reexporting any eligible software under this
paragraph (c), the exporter or reexporter must § 740.10 SERVICING AND

obtain the following statement from the testing REPLACEMENT OF PARTS AND
consignee, which may be included in a contract, EQUIPMENT (RPL)
non-disclosure agreement, or other document that
identifies the importer, the software to be License Exception RPL authorizes exports and
exported, the country of destination, and the reexports associated with one-for-one
testing consignee. replacement of parts, components, accessories,
and attachments. License Exception RPL also
“We certify that this beta test software will authorizes exports and reexports of certain items
only be used for beta testing purposes, and currently “subject to the EAR” to or for, or to
will not be rented, leased, sold, sublicensed, replace, a defense article described in an export
assigned, or otherwise transferred. Further, or reexport authorization issued under the
we certify that we will not transfer or export authority of the Arms Export Control Act. It
any product, process, or service that is the does not, however, authorize the export or
direct product of the beta test software.” reexport of defense articles subject to the ITAR,
i.e., described on the United States Munitions List
(6) Use limitations. Only testing consignees (22 CFR 121.1).
that provide the importer statement required by
paragraph (c)(5) of this section may execute any (a) Parts, Components, Accessories, and
beta test software that was exported or reexported Attachments.
to them under the provisions of this paragraph (c).
(1) Scope. The provisions of this paragraph (a)
(7) Return or disposal of software. All beta authorize the export and reexport of one-for-one
test software exported must be destroyed abroad replacement parts, components, accessories, and
or returned to the exporter within 30 days of the attachments for previously exported equipment
end of the beta test period as defined by the or other end items.
software producer or, if the software producer
does not define a test period, within 30 days of (2) One-for-one replacement of parts,
completion of the consignee's role in the test. components, accessories, or attachments.
Among other methods, this requirement may be
satisfied by a software module that will destroy (i) The terms replacement parts, components,
the software and all its copies at or before the end accessories, or attachments as used in this section
of the beta test period. mean parts, components, accessories, or
attachments needed for the immediate repair of
(8) Notification of beta test encryption equipment or other end items, including
software. replacement of defective or worn parts or
components. (These terms include
For beta test encryption software eligible under ‘subassemblies,’ but do not include test
this license exception you must, by the time of instruments or operating supplies. The term
export or reexport, submit the information ‘subassembly’ means a number of parts or
described in paragraphs (a) through (d) of components assembled to perform a specific
Supplement No. 6 to part 742 of the EAR by e- function or functions within a commodity. One
mail to BIS at crypt@bis.doc.gov and to the example would be printed circuit boards with
ENC Encryption Request Coordinator at components mounted thereon. This definition
enc@nsa.gov. does not include major subsystems such as those
composed of a number of ‘subassemblies.’) Items
that improve or change the basic design
characteristics, e.g., as to accuracy, capability,
performance or productivity, of the equipment or
other end item upon which they are installed, are items as those spares are used in the repair of the
not deemed to be replacement parts, components, equipment or other end item. This allows
accessories, or attachments. For kits consisting of maintenance of the stock of spares at a consistent
replacement parts or components, consult § level as the parts, components, accessories, or
740.9(a)(4) of this part. attachments are used.
(ii) Parts, components, accessories, and (iii) No parts, components, accessories, or

attachments may be exported only to replace, on attachments may be exported to any destination,
a one-for-one basis, parts, components, except the countries listed in Supplement No. 3 to
accessories, or attachments, respectively, part 744 of the EAR (Countries Not Subject to
contained in commodities that were: lawfully Certain Nuclear End Use Restrictions in §
exported from the United States; lawfully 744.2(a)), if the item is to be incorporated into or
reexported; or made in a foreign country used in nuclear weapons, nuclear explosive
incorporating authorized parts, components, devices, nuclear testing related to activities
accessories, or attachments “subject to the EAR” described in § 744.2(a) of the EAR, the chemical
(see § 734.2(a) of the EAR). (For exports or processing of irradiated special nuclear or source
reexports to the installed base in Libya, see § material, the production of heavy water, the
764.7 of the EAR.) The conditions of the original separation of isotopes of source and special
U.S. authorization must not have been violated. nuclear materials, or the fabrication of nuclear
Accordingly, the export of replacement parts, reactor fuel containing plutonium, as described in
components, accessories, and attachments may § 744.2(a) of the EAR.
be made only by the party who originally
exported or reexported the commodity to be (iv) No replacement parts, components,
repaired, or by a party that has confirmed the accessories, or attachments may be exported to
existence of appropriate authority for the original countries in Country Group E:1 (see Supplement
transaction. No. 1 to this part) (countries designated by the
Secretary of State as supporting acts of
(iii) The parts, components, accessories, or international terrorism) if the commodity to be
attachments to be replaced must either be repaired is an “aircraft” (as defined in § 772.1 of
destroyed abroad or returned promptly to the the EAR) or is controlled for national security (
person who supplied the replacements, or to a NS) reasons.
foreign firm that is under the effective control of
that person. (v) No replacement parts, components,
accessories, or attachments may be exported to
(3) Exclusions to License Exception RPL. countries in Country Group E:1 (see Supplement
No. 1 to this part) if the commodity to be repaired
(i) No replacement parts, components, is explosives detection equipment classified
accessories, or attachments may be exported to under ECCN 2A983 or related software classified
repair a commodity exported under a license or under ECCN 2D983.
other authorization if that license or other
authorization included a condition that any (vi) No replacement parts, components,
subsequent replacements may be exported only accessories, or attachments may be exported to
under a license. countries in Country Group E:1 (see Supplement
No. 1 to this part) if the commodity to be repaired
(ii) No parts, components, accessories, or is concealed object detection equipment
attachments may be exported to be held abroad as classified under ECCN 2A984 or related software
spares for future use. Replacements may be classified under ECCN 2D984.
exported to replace spares that were authorized to
accompany the export of equipment or other end (vii) The conditions described in this
paragraph (a)(3) relating to replacement of parts, License Exceptions in this part or the foreign-
components, accessories, or attachments do not origin product is not subject to the EAR pursuant
apply to reexports to a foreign country of parts, to § 734.4.
components accessories, or attachments as
replacements in foreign-origin products, if at the (b) Servicing and replacement.
time the replacements are furnished, the foreign-
origin product is eligible for export to such (1) The provisions of this paragraph (b)
country under any of the license exceptions in this authorize the export and reexport to any
part or the exceptions in § 734.4 of the EAR (De destination, except for 9x515 or “600 series”
minimis U.S. content). items to destinations identified in Country Group
D:5 (see Supplement No. 1 to this part) or
(viii) “Parts,” “components,” otherwise prohibited under the EAR, of
“accessories,” and “attachments” classified in commodities and software that were sent to the
9x515 or “600 series” ECCNs may not be United States or to a foreign party for servicing
exported or reexported to a destination listed in and replacement of commodities and software
Country Group D:5 (see Supplement No. 1 to this “subject to the EAR” (see § 734.2(a) of the EAR)
part). that are defective or that an end user or ultimate
consignee has found unacceptable. The export
(4) Reexports. of firearms controlled by ECCN 0A501.a or .b, or
shotguns with a barrel length less than 18 inches
(i) Parts, components, accessories, and controlled in ECCN 0A502 temporarily in the
attachments exported from the United States may United States for servicing and replacement may
be reexported to a new country of destination, be exported under paragraph (b)(2) or (3) of this
provided that the conditions established in section only if the additional requirements in
paragraphs (a)(2) and (3) of this section are met. paragraph (b)(4) of this section are also met.
A party reexporting one-for-one replacement
parts, components, accessories, or attachments (2) Commodities and software sent to a
“subject to the EAR” shall ensure that the United States or foreign party for servicing.
commodities being repaired were shipped to their
present location in accordance with U.S. law and (i) Definition. “Servicing” as used in this
continue to be lawfully used, and that either section means inspection, testing, calibration or
before or promptly after reexport of the repair, including overhaul and reconditioning.
replacement parts, components, accessories, or The servicing shall not have improved or changed
attachments, the replaced commodities and the basic characteristics (e.g., the accuracy,
software are either destroyed or returned to the capability, performance, or productivity) of the
United States, or to the foreign firm in Country commodity or software as originally authorized
Group B (see Supplement No. 1 to this part) that for export or reexport.
shipped the replacement parts.
(ii) Return of serviced commodities and
(ii) The conditions described in paragraph software. When the serviced commodity or
(a)(3) relating to replacement of “parts,” software is returned, it may include any
“components,” “accessories,” or “attachments” replacement or rebuilt parts, components,
(excluding 9x515 and “600 series” ECCNs) do accessories, or attachments necessary to its repair
not apply to reexports to a foreign country of and may be accompanied by any spare parts,
“parts,” “components,” “accessories,” or components, tools, accessories, attachments or
“attachments” as replacements in foreign-origin other items sent with it for servicing.
products, if at the time the replacements are
furnished, the foreign-origin product is eligible (iii) Commodities and software imported
for export to such country under any of the from Country Group D:1 except the People’s
Republic of China (PRC). Commodities and commodity or software be exported to be held in

software legally exported or reexported to a stock abroad as spare equipment for future use.
consignee in Country Group D:1 (except the
People's Republic of China (PRC)) (see (D) The replacement item may not
Supplement No. 1 to this part) that are sent to the improve the basic characteristic, e.g., as to
United States or a foreign party for servicing may accuracy, capability, performance, or
be returned to the country from which it was sent, productivity, of the equipment as originally
provided that both of the following conditions are authorized, e.g., under a license, license
met: exception or an exemption, for export or reexport.
(A) The exporter making the shipment is (E) No shipment may be made to
the same person or firm to whom the original countries in Country Group E:1 (see Supplement
license was issued; and No. 1 to this part), or to any other destination to
replace defective or otherwise unusable
(B) The end use and the end user of equipment owned or controlled by, or leased or
the serviced commodities or software and other chartered to, a national of any of those countries.
particulars of the transaction, as set forth in the
application and supporting documentation that (F) Commodities or “software” “subject
formed the basis for issuance of the license have to the EAR” and classified in 9x515 or “600
not changed. Series” ECCNs may not be exported or
reexported to a destination identified in Country
(iv) Terrorist supporting countries. No Group D:5 (see Supplement No. 1 to this part).
repaired commodity or software may be exported
or reexported to countries in Country Group E:1 (ii) Special conditions applicable to exports
(see Supplement No. 1 to this part). to Country Group B and Country Group D:1.
In addition to the general conditions in paragraph
(3) Replacements for defective or (b)(3)(i) of this section, the following conditions
unacceptable equipment “subject to the apply to exports or reexports of replacements for
EAR.” defective or unacceptable commodities or
software “subject to the EAR” (see § 734.2(a) of
(i) Subject to the following conditions, the EAR) to a destination in Country Group B or
commodities or software may be exported or Country Group D:1 (see Supplement No. 1 to this
reexported to replace defective or otherwise part):
unusable (e.g., erroneously supplied) items.
(A) By making such an export or reexport,
(A) The commodity or software is the exporter represents that all the requirements
“subject to the EAR” (see § 734.2(a) of the EAR). of this paragraph (b) have been met and
undertakes to destroy or return the replaced parts
(B) The commodity or software to be as provided in paragraph (b)(3)(ii)(C) of this
replaced must have been previously exported or section.
reexported in its present form under a license or
authorization granted by BIS or an authorization, (B) The defective or otherwise unusable
e.g., a license or exemption, issued under the equipment must be replaced free of charge,
authority of the Arms Export Control Act. except for transportation and labor charges. If
exporting to the countries listed in Country Group
(C) No commodity or software may D:1 (except the PRC), the exporter shall replace
be exported or reexported to replace equipment the commodity or software within the warranty
that is worn out from normal use, nor may any period or within 12 months of its shipment to the
ultimate consignee in the country of destination,
whichever is shorter. (B) Provided to U.S. Customs and Border

Protection an invoice or other appropriate import-
(C) The commodity or software to be related documentation (or electronic equivalents)
replaced must either be destroyed abroad or that includes a complete list and description of the
returned to the United States, or to a foreign firm firearms being temporarily imported, including
in Country Group B that is under the effective their model, make, caliber, serial numbers,
control of the exporter, or to the foreign firm that quantity, and U.S. dollar value; and
is providing the replacement part or equipment.
The destruction or return must be effected before, (C) Provided (if temporarily imported for
or promptly after, the replacement item is servicing or replacement) to U.S. Customs and
exported from the United States. Border Protection the name, address and contact
information (telephone number and/or email) of
(D) A party reexporting replacements for the organization or individual in the U.S. that will
defective or unacceptable U.S.-origin equipment be receiving the item for servicing or
must ensure that the commodities or software replacement; and
being replaced were shipped to their present
location in accordance with U.S. law and (iii) In addition to the export clearance
continue to be legally used. See § 764.7 of the requirements of part 758 of the EAR, the exporter
EAR for exports or reexports to the installed base or its agent must provide the import
in Libya. documentation related to paragraph (b)(4)(iii)(B)
of this section to U.S. Customs and Border
(4) This paragraph (b)(4) authorizes the export of Protection at the time of export.
firearms controlled by ECCN 0A501.a or .b, or
shotguns with a barrel length less than 18 inches Note 1 to paragraph (b)(4): In addition to
controlled in ECCN 0A502 that are temporarily complying with all applicable EAR requirements
in the United States for servicing or replacement for the export of commodities described in
for a period not exceeding one year or the time it paragraph (b)(4) of this section, exporters and
takes to service or replace the commodity, temporary importers should contact U.S.
whichever is shorter, provided that the Customs and Border Protection (CBP) at the port
requirements of paragraph (b)(2) or (3) of this of temporary import or export, or at the CBP
section are met and: website, for the proper procedures for
temporarily importing or exporting firearms
(i) The firearms were not shipped from or controlled in ECCN 0A501.a or .b or shotguns
manufactured in Russia, Georgia, Kazakhstan, with a barrel length less than 18 inches
Kyrgyzstan, Moldova, Turkmenistan, Ukraine, or controlled in ECCN 0A502, including regarding
Uzbekistan, except for any firearm model how to provide any data or documentation
controlled by 0A501 that is specified under required by BIS.
Annex A in Supplement No. 4 to this part;
(c) Special recordkeeping requirements:
(ii) When the firearms entered the U.S. as a ECCNs 2A983, 2A984, 2D983 and 2D984, and
temporary import, the temporary importer or its “600 Series” ECCNs.
agent:
(1) In addition to the other recordkeeping
(A) Provided the following statement to requirements set forth elsewhere in the EAR,
U.S. Customs and Border Protection: “This exporters are required to maintain records, as
shipment will be exported in accordance with and specified in this section, for any items exported or
under the authority of License Exception RPL (15 reexported pursuant to License Exception RPL to
CFR 740.10(b))”; repair, replace, or service previously lawfully
exported or reexported items classified under
ECCNs 2A983, 2A984, 2D983 and 2D984 or a only for transactions described in paragraphs
“600 Series” ECCN. The following information (b)(2)(i) and (ii) of this section. Any item listed
must be maintained for each such export or in a 0x5zz ECCN for export, reexport, or transfer
reexport transaction: (in-country) to an E:1 country is eligible only for
transactions described in paragraphs (b)(2)(i) and
(i) A description of the item replaced, (ii) solely for U.S. Government official use of this
repaired or serviced; section.
(ii) The type of repair or service; (a) International Safeguards.
(iii) Certification of the destruction or return (1) Scope. The International Atomic Energy
of item replaced; Agency (IAEA) is an international organization
that establishes and administers safeguards,
(iv) Location of the item replaced, repaired or including Additional Protocols, designed to
serviced; ensure that special nuclear materials and other
related nuclear facilities, equipment, and material
(v) The name and address of those who are not diverted from peaceful purposes to non-
received the items for replacement, repair, or peaceful purposes. European Atomic Energy
service; Community (Euratom) is an international
organization of European countries with
(vi) Quantity of items shipped; and headquarters in Luxembourg. Euratom
establishes and administers safeguards designed
(vii) Country of ultimate destination. to ensure that special nuclear materials and other
related nuclear facilities, equipment, and material
(2) Records maintained pursuant to this section are not diverted from peaceful purposes to non-
may be requested at any time by an appropriate peaceful purposes. This paragraph (a)
BIS official as set forth in § 762.7 of the EAR. authorizes exports and reexports of commodities
Records that must be included in the annual or or software to the IAEA and Euratom, and
semi-annual reports of exports and reexports of reexports by IAEA and Euratom for official
“600 Series” items under the authority of License international safeguard use, as follows:
Exception RPL are described in § 743.4 and §
762.2(b)(4), (b)(47) and (b)(48). (i) Commodities or software consigned to
the IAEA at its headquarters in Vienna, Austria
or its field offices in Toronto, Ontario, Canada or
§ 740.11 GOVERNMENTS, in Tokyo, Japan for official international
INTERNATIONAL ORGANIZATIONS, safeguards use.
INTERNATIONAL INSPECTIONS UNDER
THE CHEMICAL WEAPONS (ii) Commodities or software consigned to
CONVENTION, AND THE the Euratom Safeguards Directorate in
INTERNATIONAL SPACE STATION Luxembourg, Luxembourg for official
(GOV) international safeguards use.
This License Exception authorizes exports and (iii) Commodities or software consigned to
reexports for international nuclear safeguards; IAEA or Euratom may be reexported to any
U.S. government agencies or personnel; agencies country for IAEA or Euratom international
of cooperating governments; international safeguards use provided that IAEA or Euratom
inspections under the Chemical Weapons maintains control of or otherwise safeguards the
Convention; and the International Space Station. commodities or software and returns the
Commodities listed in ECCN 0A501 are eligible
commodities or software to the locations de- computationally access computers that have been
scribed in paragraphs (a)(1)(i) and (a)(1)(ii) of enhanced by “electronic assemblies,” which have
this section when they become obsolete, are no been exported or reexported under License
longer required, or are replaced. Exception GOV and have been used to enhance
such computers by aggregation of processors so
(iv) Commodity or software shipments may that the APP of the aggregation exceeds the APP
be made by persons under direct contract with parameter set forth in ECCN 4A003.b.
IAEA or Euratom, or by Department of Energy
National Laboratories as directed by the (v) “600 series” items may not be exported
Department of State or the Department of Energy. or reexported under this paragraph (a), except to
the countries listed in Country Group A:5 (see
(v) The monitoring functions of IAEA and Supplement No.1 to this part).
Euratom are not subject to the restrictions on
prohibited safeguarded nuclear activities de- (b) United States Government.
scribed in § 744.2(a)(3) of the EAR.
(1) Scope. The provisions of this paragraph
(vi) When commodities or software (b) authorize exports, reexports, and transfers (in-
originally consigned to IAEA or Euratom are no country) to personnel and agencies of the U.S.
longer in IAEA or Euratom official safeguards Government and certain exports by the
use, such commodities may be disposed of by Department of Defense. “Agency of the U.S.
destruction or by reexport or transfer in Government” includes all civilian and military
accordance with the EAR. departments, branches, missions,
government-owned corporations, and other
(2) Restrictions. agencies of the U.S. Government, but does not
include such national agencies as the American
(i) Items on the Sensitive List (see Red Cross or international organizations in which
Supplement No. 6 to part 774 of the EAR) may the United States participates such as the
not be exported, reexported, or transferred (in- Organization of American States. Therefore,
country) under this paragraph (a), except to the shipments may not be made to these
countries listed in Country Group A:5 (See non-governmental national or international
Supplement No.1 to part 740 of the EAR). agencies, except as provided in paragraph
(b)(2)(i) of this section for U.S. representatives to
(ii) Items on the Very Sensitive List (see these organizations.
Supplement No. 7 to part 774 of the EAR) may
not be exported, reexported, or transferred (in- (2) Eligibility.
country) under this paragraph (a).
(i) Items for personal use by personnel and
(iii) Encryption items controlled for EI agencies of the U.S. Government. This provision
reasons under ECCNs 5A002, 5A004, 5D002, or is available for items in quantities sufficient only
5E002 may not be exported, reexported, or for the personal use of members of the U.S.
transferred (in-country) under this paragraph (a). Armed Forces or civilian personnel of the U.S.
See §740.17 of the EAR (License Exception Government (including U.S. representatives to
ENC) for possible alternative license exception public international organizations), and their
authorization. immediate families and household employees.
Items for personal use include household effects,
(iv) Without prior authorization from the food, beverages, and other daily necessities.
Bureau of Industry and Security, nationals of
countries in Country Group E:1(see Supplement (ii) Exports, reexports, and transfers (in-
No. 1 to this part) may not physically or country) made by or consigned to a department
or agency of the U.S. Government. This (A) This paragraph authorizes exports,
paragraph authorizes exports, reexports, and reexports, and transfers (in-country) of items
transfers of items when made by or consigned to solely for use by a department or agency of the
a department or agency of the U.S. Government U.S. Government, when:
solely for its official use or for carrying out any
U.S. Government program with foreign (1) The items are destined to a U.S.
governments or international organizations that is person; and
authorized by law and subject to control by the
President by other means. This paragraph does (2) The item is exported, reexported, or
not authorize a department or agency of the U.S. transferred (in-country) pursuant to a contract
Government to make any export, reexport, or between the exporter and a department or agency
transfer that is otherwise prohibited by other of the U.S. Government;
administrative provisions or by statute.
Contractor support personnel of a department or (B) This paragraph authorizes exports,
agency of the U.S. Government are eligible for reexports, and transfers (in-country) of items to
this authorization when in the performance of implement or support any U.S. Government
their duties pursuant to the applicable contract or cooperative program, project, agreement, or
other official duties. ‘Contractor support arrangement with a foreign government or
personnel’ for the purpose of this provision international organization or agency that is
means those persons who provide administrative, authorized by law and subject to control by the
managerial, scientific or technical support under President by other means, when:
contract to a U.S. Government department or
agency (e.g., contractor employees of Federally (1) The agreement is in force and in
Funded Research Facilities or Systems effect, or the arrangement is in operation;
Engineering and Technical Assistance
contractors). The term ‘contractor support (2) The exporter, reexporter, or transferor
personnel’ for purposes of this paragraph obtains a written authorization from the Secretary
(b)(2)(ii) is limited to those individuals who are or agency head of the U.S. Government
providing such support within a U.S. Government department or agency responsible for the
owned or operated facility or under the direct program, agreement, or arrangement, or his or her
supervision of a U.S. government employee (i.e., designee, authorizing the exporter, reexporter, or
an individual directly employed by the U.S. transferor to use this license exception. The
Government). Private security contractors are written authorization must include the scope of
not ‘contractor support personnel’ for purposes of items to be shipped under this license exception;
this paragraph (b)(2)(ii) because although they the end users and consignees of the items; and any
may work within a U.S. Government owned or restrictions on the export, reexport, or transfer
operated facility, such contractors do not provide (in-country) (including any restrictions on the
administrative, managerial, scientific or technical foreign release of technology);
support under contract to the U.S. Government.
This authorization is not available when a (3) The exporter, reexporter, or transferor
department or agency of the U.S. Government has a contract with a department or agency of the
acts as a transmittal agent on behalf of a non-U.S. U.S. Government for the provision of the items in
Government person, either as a convenience or in furtherance of the agreement, or arrangement;
satisfaction of security requirements. and
(iii) Exports, reexports, and transfers (in- (4) The items being exported, reexported,
country) made for or on behalf of a department or transferred (in-country) are not controlled for
or agency of the U.S. Government. Chemical Weapons Convention (CW) or
proliferation of chemical and biological weapons
(CB) reasons;
(D) This paragraph authorizes the export,
(C) This paragraph authorizes the ‘temporary’ reexport, or transfer of commodities or software
export, reexport, or transfer (in-country) of an at the direction of the U.S. Department of
item in support of any foreign assistance or sales Defense for an end use in support of an
program authorized by law and subject to the Acquisition and Cross Servicing Agreement
control of the President by other means, when: (ACSA), when:
(1) The item is provided pursuant to a (1) The ACSA is between the U.S.
contract between the exporter, reexporter, or Government and a foreign government or an
transferor and a department or agency of the U.S. international organization and is in force and in
Government; and effect;
(2) The exporter, reexporter, or transferor (2) The exporter, reexporter, or transferor
obtains a written authorization from the Secretary has a contract with the department or agency of the
or agency head of the U.S. Government U.S. government in furtherance of the ACSA; and
department or agency responsible for the
program, or his or her designee, authorizing the (3) The exporter, reexporter, or transferor
exporter, reexporter, or transferor to use this obtains a written authorization from the Secretary
license exception. The written authorization or agency head of the U.S. Government
must include the scope of items to be shipped department or agency responsible for the ACSA,
under this license exception; the end users and or his or her designee, authorizing the exporter,
consignees of the items; and any restrictions on reexporter, or transferor to use this license
the export, reexport, or transfer (in-country) exception. The written authorization must
(including any restrictions on the foreign release include the scope of items to be shipped under this
of technology); license exception; the end-users and consignees of
the items; and any restrictions on the export,
Note 1 to paragraph (b)(2)(iii)(C): reexport, or transfer (in-country);
‘Temporary,’ for purposes of paragraph
(b)(2)(iii)(C) of this section, means that four (E) This paragraph authorizes the export,
years from the date of an item’s initial export, reexport, or transfer (in-country) of Government
reexport, or transfer (in-country), it must be Furnished Equipment (GFE) made by a U.S.
returned to the exporter, reexporter, or transferor Government contractor, when:
or its disposition otherwise authorized (e.g.,
pursuant to a license or another license (1) The GFE will not be provided to
exception) in accordance with the EAR. any foreign person;
Note 2 to paragraph (b)(2): Items (2) The export, reexport, or transfer

controlled for NS, MT, CB, NP, FC, or AT (in-country) is pursuant to a contract with a
reasons may not be exported, reexported, or department or agency of the U.S. Government;
transferred (in-country) to, or for the use of and
military, police, intelligence entities, or other
sensitive end users (e.g., contractors or other (3) Shipment documents must
governmental parties performing functions on include the following statement: “Property
behalf of military, police, or intelligence entities) of [insert U.S. Government department,
of a government in a Country Group E:1 or E:2 agency, or service]. Property may not enter
country. the trade of the country to which it is shipped.
Authorized under License Exception GOV.
U.S. Government point of contact: [insert
name and telephone number].” the items are delivered to representatives of such
a country or organization in the United States and
(F) Electronic Export Information. exported, reexported, or transferred on a military
Electronic Export Information (EEI) must be aircraft or naval vessel of that government or
filed in the Automated Export System (AES) organization or via the Defense Transportation
for any export made pursuant to paragraph Service.
(b)(iii) of this section. The EEI must identify
License Exception GOV as the authority for (vi) This paragraph authorizes transfer of
the export and indicate that the applicant has technology in furtherance of a contract between
received the relevant documentation from the the exporter and an agency of the U.S.
contracting U.S. Government department, Government, if the contract provides for such
agency, or service. The Internal Transaction technology and the technology is not
Number assigned by AES must be properly “development” or “production” technology for
annotated on shipping documents (bill of “600 series” items.
lading, airway bill, other transportation
documents, or commercial invoice). (c) Cooperating Governments and the North
Atlantic Treaty Organization.
(G) The exporter, reexporter, or
transferor must obtain an authorization, if (1) Scope. The provisions of this paragraph (c)
required, before any item previously exported, authorize exports, reexports, and transfers (in-
reexported, or transferred (in-country) under country) of the items listed in paragraph (c)(2) of
this paragraph is resold, transferred, this section to agencies of cooperating
reexported, transshipped, or disposed of to an governments or agencies of the North Atlantic
end user for any end use, or to any destination Treaty Organization (NATO). 'Agency of a
other than as authorized by this paragraph cooperating government' includes all civilian and
(e.g., property disposal of surplus items military departments, branches, missions, and
outside of the United States), unless: other governmental agencies of a cooperating
national government. ‘Cooperating governments’
(1) The transfer is pursuant to a grant, are the national governments of countries listed
sale, lease, loan, or cooperative project under in Country Group A:1 (see Supplement No. 1 to
the Arms Export Control Act or the Foreign this part) and the national governments of Hong
Assistance Act of 1961, as amended; or Kong, Singapore and Taiwan.
(2) The item has been destroyed or Note 3 to paragraph (c)(1): Civil
rendered useless beyond the possibility of intergovernmental organizations (such as the
restoration. European Space Agency (ESA)) where the
membership is limited to national governments
(iv) Items exported at the direction of the that are ‘cooperating governments’ are also
U.S. Department of Defense. This paragraph considered ‘cooperating governments’ for
authorizes items to be exported, reexported, or purposes of paragraph (c)(1) of this section. If
transferred (in-country) pursuant to an official the membership of the civil intergovernmental
written request or directive from the U.S. organization includes any national governments
Department of Defense. or other organizations that are not ‘cooperating
governments,’ such civil intergovernmental
(v) This paragraph authorizes items sold, organizations are not considered ‘cooperating
leased, or loaned by the U.S. Department of governments’ for purposes of paragraph (c)(1) of
Defense to a foreign country or international this section. For example, civil
organization pursuant to the Arms Export Control intergovernmental organizations such as the
Act or the Foreign Assistance Act of 1961 when European Aviation Safety Agency (EASA), the
United Nations, and the World Bank do not fall Supplement No. 7 to part 774 of the EAR);
within paragraph (c)(1) of this section because
their membership includes governments that are (iii) Encryption items controlled for EI
not ‘cooperating governments.’ reasons under ECCNs 5A002, 5A004, 5D002, or
5E002 (see §740.17 of the EAR for License
(2) Eligibility. Exception ENC);
(i) Items for official use within national (iv) Regional stability items controlled under
territory by agencies of cooperating ECCNs 6A002.a.1.c, 6E001 “technology”
governments. This license exception is available according to the General Technology Note for the
for all items consigned to and for the official use “development” of equipment in 6A002.a.1.c, and
of any ‘agency of a cooperating government’ 6E002 “technology” according to the General
within the territory of any cooperating Technology Note for the “production” of
government, except items excluded by paragraph equipment in 6A002.a.1.c.;
(c)(3) of this section.
(v) “600 series” items, except to or for the
(ii) Items for official use by agencies of use by governments of countries listed in Country
cooperating governments for military purposes Group A:5 (see Supplement No. 1 to this part) or
or NATO. With the exception of items excluded an agency of NATO;
by paragraph (c)(3) of this section, this license
exception is available for all items consigned to (vi) Items controlled for nuclear
and for the official use of: nonproliferation (NP) reasons; or
(A) A military end user of or for the (vii) Items listed as not eligible for License
military end use of cooperating governments, Exception STA in § 740.20(b)(2)(ii) of the EAR.
or
(d) International inspections under the
(B) An agency of NATO. Chemical Weapons Convention (CWC or
Convention).
(iii) Diplomatic and consular missions of a
cooperating government. This license (1) The Organization for the Prohibition of
exception is available for all items consigned to Chemical Weapons (OPCW) is an international
and for the official use of a diplomatic or consular organization that establishes and administers an
mission of a cooperating government located in inspection and verification regime under the
any country in Country Group B (see Supplement Convention designed to ensure that certain
No. 1 to this part), except items excluded by chemicals and related facilities are not diverted
paragraph (c)(3) of this section. from peaceful purposes to non-peaceful purposes.
This paragraph (d) authorizes exports and
(3) Exclusions. The following items may not reexports to the OPCW and exports and reexports
be exported, reexported, or transferred (in- by the OPCW for official international inspection
country) under this paragraph (c): and verification use under the terms of the
Convention as follows:
(i) Items on the Sensitive List (see
Supplement No. 6 to part 774 of the EAR), except (i) Commodities and software consigned to
to or for the use by governments of countries the OPCW at its headquarters in The Hague for
listed in Country Group A:5 (see Supplement official international OPCW use for the
No.1 to this part) or an agency of NATO; monitoring and inspection functions set forth in
the Convention, and technology relating to the
(ii) Items on the Very Sensitive List (see maintenance, repair, and operation of such
commodities and software. The OPCW must Supplement No. 1 to this part) may not physically
maintain “effective control” of such or computationally access computers that have
commodities, software and technology. been enhanced by “electronic assemblies,” which
have been exported or reexported under License
(ii) Controlled technology relating to the Exception GOV and have been used to enhance
training of the OPCW inspectorate. such computers by aggregation of processors so
that the APP of the aggregation exceeds the APP
(iii) Controlled technology relating to a parameter set forth in ECCN 4A003.b.
CWC inspection site, including technology
released as a result of: (e) International Space Station (ISS).
(A) Visual inspection of U.S.-origin (1) Scope. The ISS is a research facility in a
equipment or facilities by foreign nationals of the low-Earth orbit approximately 190 miles (350
inspection team; km) above the surface of the Earth. The ISS is a
joint project among the space agencies of the
(B) Oral communication of controlled United States, Russia, Japan, Canada, Europe and
technology to foreign nationals of the inspection Italy. This paragraph (e) authorizes exports and
team in the U.S. or abroad; and reexports required on short notice of certain
commodities subject to the EAR that are
(C) The application to situations abroad classified under ECCN 9A004 to launch sites for
of personal knowledge or technical experience supply missions to the ISS.
acquired in the U.S.
(2) Eligible commodities. Any commodity
(2) Exclusions. The following items may not subject to the EAR that is classified under ECCN
be exported or reexported under the provisions of 9A004 and that is required for use on the ISS on
this paragraph (d): short notice.
(i) Inspection samples collected in the U.S. NOTE 4 to paragraph (e)(2): This license
pursuant to the Convention; exception is not available for the export or
reexport of “parts,” “components,”
(ii) Commodities and software that are no “accessories,” and “attachments” to overseas
longer in OPCW official use. Such items must manufacturers for the purpose of incorporation
be transferred in accordance with the EAR. into other items destined for the ISS.
(iii) “600 series” items, except to the NOTE 5 to paragraph (e)(2): For purposes of
countries listed in Country Group A:5 (see this paragraph (e), ‘short notice’ means the
Supplement No.1 to this part). exporter is required to have a commodity
manifested and at the scheduled launch site for
(3) Confidentiality. The application of the hatch-closure (final stowage) no more than forty-
provisions of this paragraph (d) is subject to the five (45) days from the time the exporter or
condition that the confidentiality of business reexporter received complete documentation.
information is strictly protected in accordance ‘Complete documentation’ means the exporter or
with applicable provisions of the EAR and other reexporter received the technical description of
U.S. laws regarding the use and transfer of U.S. the commodity and purpose for use of the
goods and services. commodity on the ISS. ‘Hatch-closure (final
stowage)’ means the final date specified by a
(4) Restrictions. Without prior authorization launch provider by which items must be at a
from the Bureau of Industry and Security, specified location in a launch country in order to
nationals of countries in Country Group E:1 (see be included on a mission to the ISS. The
exporter or reexporter must receive the a 6-month extension and noting the reason for the
notification to supply the commodity for use on delay. If the requestor is not contacted by BIS
the ISS in writing. That notification must be kept within 30 days from the date of the postmark of
in accordance with paragraph (e)(8) of this the written notification and if the notification
section and the Recordkeeping requirements in meets the requirements of this subparagraph, the
part 762 of the EAR. request is deemed granted. The request must be
sent to BIS at the address listed in part 748 of the
(3) Eligible destinations. Eligible destinations EAR and should include the name and address of
are France, Japan, Kazakhstan, and Russia. To the exporter or reexporter, the name and address
be eligible, a destination needs to have a launch of the person who has control of the commodity,
for a supply mission to the ISS scheduled by a the date the commodities were exported or
country participating in the ISS. reexported, a brief product description, and the
justification for the extension. To retain a
(4) Requirement for commodities to be commodity abroad beyond the 6-month extension
launched on an eligible space launch vehicle period, the exporter, reexporter or person in
(SLV). Only commodities that will be delivered control of the commodity must request
to the ISS using United States, Russian, ESA authorization by submitting a license application
(French), or Japanese space launch vehicles in accordance with §§ 748.1, 748.4 and 748.6
(SLVs) are eligible under this authorization. of the EAR to BIS 90 days prior to the expiration
Commodities to be delivered to the ISS using of the 6-month extension period.
SLVs from any other countries are excluded from
this authorization. (iii) Items not delivered to the ISS because of
a failed launch. If the commodities exported or
(5) Authorizations. reexported under this paragraph (e) of this section
are not delivered to the ISS because a failed
(i) Authorization to retain commodity at or launch causes the destruction of the commodity
near launch site for up to six months. If there prior to its being delivered, exporters and
are unexpected delays in a launch schedule for reexporters must make note of the destruction of
reasons such as mechanical failures in a launch the commodities in accordance with the
vehicle or weather, commodities exported or recordkeeping requirements under paragraph
reexported under this paragraph (e) may be (e)(8)(ii) of this section and part 762 of the EAR.
retained at or near the launch site for a period of
six (6) months from the time of initial export or (6) Reexports to an alternate launch country.
reexport before the commodities must be If a mechanical or weather related issue causes a
destroyed, returned to the exporter or reexporter, change from the scheduled launch country to
or be the subject of an individually validated another foreign country after a commodity was
license request submitted to BIS to authorize exported or reexported, then that commodity may
further disposition of the commodities. be subsequently reexported to the new scheduled
launch country, provided all of the terms and
(ii) Authorization to retain commodity conditions of paragraph (e) of this section are
abroad at launch country beyond six months. If, met, along with any other applicable EAR
after the commodity is exported or reexported provisions. In such instances, the 6-month time
under this authorization, a delay occurs in the limitation described in paragraph (e)(5)(i) of this
launch schedule that would exceed the 6-month section would start over again at the time of the
deadline in paragraph (e)(5)(i) of this section, the subsequent reexport transaction. Note that if the
exporter or reexporter or the person in control of subsequent reexport may be made under the
the commodities in the launch country may designation No License Required (NLR) or
request a one-time 6-month extension by pursuant to an authorization under the EAR, a
submitting written notification to BIS requesting reexporter does not need to rely on the provisions
contained in this paragraph (e). (iii) The return or destruction of defective or

worn out parts or components is not required.
(7) Eligible recipients. Only persons involved However, if defective or worn out parts or
in the launch of commodities to the ISS may components originally exported or reexported
receive and have access to commodities exported pursuant to this paragraph (e) are returned from
or reexported pursuant to this paragraph (e), the ISS, then those parts and components may be
except that: either: returned to the original country of export
or reexport; destroyed; or reexported or
(i) No commodities may be exported, transferred (in-country) to a destination that has
reexported, or transferred (in-country) under been designated by NASA for conducting a
paragraph (e) to any national of an E:1 country review and analysis of the defective or worn part
(see Supplement No. 1 to this part), and or component. Documentation for this activity
must be kept for recordkeeping purposes. No
(ii) No person may receive commodities commodities that are subject to the EAR may be
authorized under paragraph (e) of this section returned, under the provisions of this paragraph,
who is subject to an end-user or end-use control to a country listed in Country Group E:1 (see
described in part 744 of the EAR, including the Supplement No. 1 to this part ) or to any person if
entity list in Supplement No. 4 to part 744. that person is subject to an end-user or end-use
control described in part 744 of the EAR. For
(8) Recordkeeping requirements. Exporters purposes of paragraph (e) of this section, a
and reexporters must maintain records regarding ‘defective or worn out’ part or component is a
exports or reexports made using this paragraph part or component that no longer performs its
(e) of this section as well as any other applicable intended function.
recordkeeping requirements under part 762 of the
EAR.
§ 740.12 GIFT PARCELS AND
(i) Exporters and reexporters must retain a HUMANITARIAN DONATIONS (GFT)
record of the initial written notification they
received requesting these commodities be (a) Gift Parcels
supplied on short notice for a supply mission to
the ISS, including the date the exporter or (1) Scope. The provisions of paragraph (a)
reexporter received complete documentation authorize exports and reexports of gift parcels by
(i.e., the day on which the 45-day clock begins). an individual (donor) addressed to an individual,
or a religious, charitable or educational
(ii) Exporters and reexporters must maintain organization (donee) located in any destination
records of the date of any exports or reexports for the use of the donee or the donee's immediate
made using this paragraph (e) and the date on family (and not for resale). The gift parcel must
which the commodities were launched into space be provided free of charge to the donee.
for delivery to the ISS. If the commodities are However, payment by the donee of any handling
not delivered to the ISS because of a failed launch charges or of any fees levied by the importing
whereby the item is destroyed prior to being country (e.g., import duties, taxes, etc.) is not
delivered to the ISS, this must be noted for considered to be a cost to the donee for purposes
recordkeeping purposes. of this definition of “gift parcel.”1
1
Many foreign countries permit the entry, duty-free, the addressee side of the package and on any required
of gift parcels that conform to regulations regarding customs declarations. Information regarding the for-
contents and marking. To secure this advantage, the eign postal regulations is available at local post
sender should show the words “U.S.A. Gift Parcel” on offices. Senders of gift parcels who wish information
) except for those items prohibited in paragraph

(2) Commodity, value and other limitations. (a)(2)(i)(A) of this section. Items in gift parcels
must be in quantities normally given as gifts
(i) Item limitations. between individuals.
(A) Prohibited items. Example to paragraph (a)(2)(i)(B) of this

section. A watch or piece of jewelry is normally
(1) For Cuba no items listed on the sent as a gift. However, multiple watches, either
Commerce Control List other than items listed in in one package or in subsequent shipments,
§ 740.19(b) of the EAR may be included in a gift would not qualify for such gift parcels because
parcel. the quantity would exceed that normally given
between individuals. Similarly, a sewing
(2) For all destinations, no items machine or bicycle within the value limit of this
controlled for chemical and biological weapons License Exception may be an appropriate gift.
(CB), missile technology (MT), national security However, subsequent shipments of the same item
(NS), nuclear proliferation (NP) or encryption to the same donee would not be a gift normally
items (EI) reasons on the Commerce Control List given between individuals.
(Supplement no. 1 to part 774 of the EAR) may
be included in a gift parcel. (ii) Import requirements. The commodities
must be acceptable in type and quantity by the
(3) Items prohibited for destinations in recipient country for import as gifts.
Country Group D:1 or E:2. For destinations in Commodities exceeding the import limits may
Country Group D:1 or E:2, military wearing not be included in gift parcels.
apparel may not be included in a gift parcel
regardless of whether all distinctive U.S. military (iii) Frequency.
insignia, buttons, and other markings are
removed. (A) Except for gift parcels of food to Cuba,
not more than one gift parcel may be sent from
(4) Gold bullion, gold taels, and gold the same donor to the same donee in any one
bars are prohibited as are items intended for calendar month.
resale or reexport.
(B) There is no frequency limit on gift
(B) Eligible items. For all destinations, parcels of food to Cuba.
eligible items are food (including vitamins);
medicines, medical supplies and devices (C) Parties seeking authorization to exceed
(including hospital supplies and equipment and the frequency limit due to compelling
equipment for the handicapped); receive-only humanitarian concerns (e.g., for certain gifts of
radio equipment for reception of medicine) should submit a license application in
commercial/civil AM/FM and short wave accordance with §§ 748.1, 748.4 and 748.6 of the
publicly available frequency bands, and batteries EAR to BIS with complete justification.
for such equipment; clothing; personal hygiene
items; seeds; veterinary medicines and supplies; (iv) Value. The combined total domestic
fishing equipment and supplies; soap-making retail value of all commodities and software in a
equipment; as well as all other items of a type single gift parcel may not exceed $800. This
normally sent as gifts between individuals limit does not apply to food sent in a gift parcel
(including items listed in § 740.19(b) of the EAR to Cuba.
regarding import duties of a foreign country should Embassy of the country concerned.
contact the nearest Commercial Office, Consulate or
(b) Humanitarian donations

(v) Ineligible recipients.
(1) Scope. The provisions of paragraph (b)
(A) No gift parcel may be sent to any of the authorize exports or reexports by groups or
following officials of the Cuban government: organizations of donations to meet basic human
Ministers and Vice-Ministers; members of the needs when those groups or organizations have
Council of State; members of the Council of experience in maintaining a verifiable system of
Ministers; members and employees of the distribution that ensures delivery to the intended
National Assembly of People’s Power; members beneficiaries.
of any provincial assembly; local sector chiefs of
the Committees for the Defense of the (2) Basic human needs. Basic human needs
Revolution; Director Generals and sub-Director are defined as those requirements essential to
Generals and higher of all Cuban ministries and individual well-being: health, food, clothing,
state agencies; employees of the Ministry of the shelter, and education. These needs are
Interior (MININT); employees of the Ministry of considered to extend beyond those of an
Defense (MINFAR); secretaries and first emergency nature and those that meet direct
secretaries of the Confederation of Labor of Cuba needs for mere subsistence.
(CTC) and its component unions; chief editors,
editors and deputy editors of Cuban state-run (3) Eligible donors. Eligible donors are U.S.
media organizations and programs, including charitable organizations that have an established
newspapers, television, and radio; or members record of involvement in donative programs and
and employees of the Supreme Court (Tribuno experience in maintaining and verifying a system
Supremo Nacional). of distribution to ensure delivery of commodities
and software to the intended beneficiaries.
(B) No gift parcel may be sent to any Eligible distribution arrangements may consist of
member of the Politburo. any one or more of the following:
(C) No gift parcel may be sent to (i) A permanent staff maintained in the
organizations administered or controlled by the recipient country to monitor the receipt and
Cuban Government or the Cuban Communist distribution of the donations to the intended
Party. beneficiaries;
(3) How to export gift parcels. (ii) Periodic spot-checks in the recipient
country by members of the exporter's staff; or
(i) A gift parcel must be sent directly to the
donee by the individual donor, or for such donor (iii) An agreement to utilize the services of a
by a commercial or other gift-forwarding service charitable organization that has a monitoring
or organization. Each gift parcel must show, on system in place.
the outside wrapper, the name and address of the
donor, as well as the name and address of the (4) Donations. To qualify for export under the
donee, regardless of whether sent by the donor or provisions of this paragraph (b), the items must
by a forwarding service. be provided free of charge to the beneficiary.
The payment by the beneficiary, however, of
(ii) Each parcel must have the notation “GIFT normal handling charges or fees levied by the
— Export License Not Required” written on the importing country (e.g., import duties, taxes, etc.)
addressee side of the package and the symbol is not considered to be a cost to the beneficiary
“GFT” written on any required customs for purposes of this paragraph b.
declaration.
(5) Ineligible commodities and software. § 740.13 TECHNOLOGY AND

The following commodities and software are not SOFTWARE UNRESTRICTED (TSU)
eligible:
This license exception authorizes exports and
(i) Commodities and software controlled for reexports of operation technology and software;
national security, chemical or biological sales technology and software; software updates
weapons, and nuclear non-proliferation, missile (bug fixes); “mass market” software subject to
technology or crime control reasons (see the General Software Note; and release of
Supplement No. 1 to part 774 of the EAR); technology and source code in the United States
by U.S. universities to their bona fide and full
(ii) Exports for large-scale projects of the time regular employees. Note that encryption
kind associated with comprehensive economic software subject to the EAR is not subject to the
growth, such as dams and hydroelectric plants; or General Software Note (see paragraph (d)(2) of
this section).
(iii) Exports to Cuba of medical items
excluded by §746.2(b)(1) of the EAR. (a) Operation technology and software
(6) Eligible items. Eligible commodities and (1) Scope. The provisions of paragraph (a)
software are those listed in Supplement No. 2 to permit exports and reexports of operation
part 740. technology and software. “Operation
technology” is the minimum technology
(7) Additional recordkeeping requirements. necessary for the installation, operation,
In addition to the recordkeeping requirements in maintenance (checking), or repair of those
part 762 of the EAR, donors must keep records commodities or software that are lawfully
containing the following information: exported or reexported under a license, a License
Exception, or NLR. The “minimum necessary”
(i) The donor organization’s identity and past operation technology does not include
experience as an exporter of goods to meet basic technology for development or production and
human needs; includes use technology only to the extent
required to ensure safe and efficient use of the
(ii) Past and current countries to which the commodities or software. Individual entries in
donative programs have been and are being the software and technology subcategories of the
directed, with particular reference to donative CCL may further restrict the export or reexport of
programs in embargoed destinations; operation technology. This paragraph (a)
authorizes training, provided the training is
(iii) Types of projects and commodities limited to the operation, maintenance and repair
involved in the donative programs; technology identified in this paragraph.
(iv) Specific class(es) of beneficiaries of (2) Provisions and Destinations.

particular donated goods intended to be exported
under this License Exception; and (i) Provisions. Operation software may be
exported or reexported provided that both of the
(v) Information concerning the source of following conditions are met:
funding for the donative programs and the
projected annual value of exports of humanitarian (A) The operation software is the
donations. minimum necessary to operate equipment
authorized for export or reexport; and
(B) The operation software is in object are advised to include in any quotations, bids, or
code. offers, and in any contracts entered into pursuant
to such quotations, bids, or offers, a provision
(ii) Destinations. Operation software and relieving themselves of liability in the event that
technology may be exported or reexported to any a license (when required) is not approved by the
destination to which the equipment for which it is Bureau of Industry and Security.
required has been or is being legally exported or
reexported. (c) Software updates
(b) Sales technology The provisions of paragraph (c) authorize exports

and reexports of software updates that are
(1) Scope. The provisions of paragraph (b) intended for and are limited to correction of errors
authorize exports and reexports of sales (“fixes” to “bugs”) in software lawfully exported
technology. “Sales technology” is data or reexported (original software). Such software
supporting a prospective or actual quotation, bid, updates may be exported or reexported only to the
or offer to sell, lease, or otherwise supply any same consignee to whom the original software
item. was exported or reexported, and such software
updates may not enhance the functional
(2) Provisions and destinations. capacities of the original software. Such
software updates may be exported or reexported
(i) Provisions. Sales technology may be to any destination to which the software for which
exported or reexported provided that: they are required has been legally exported or
reexported.
(A) The technology is a type customarily
transmitted with a prospective or actual (d) General Software Note:
quotation, bid, or offer in accordance with mass market software
established business practice; and
(1) Scope. The provisions of paragraph (d)
(B) Neither the export nor the reexport will authorize exports and reexports of mass market
disclose the detailed design, production, or software subject to the General Software Note
manufacture technology, or the means of (see Supplement No. 2 to part 774 of the EAR;
reconstruction, of either the quoted item or its also referenced in this section).2
product. The purpose of this limitation is to
prevent disclosure of technology so detailed that (2) Exclusions. The provisions of this paragraph
the consignee could reduce the technology to (d) are not available for encryption software
production. controlled for “EI” reasons under ECCN 5D002
or for encryption software with symmetric key
(ii) Destinations. Sales technology may be length exceeding 64-bits that qualifies as mass
exported or reexported to any destination. market encryption software under the criteria in
the Cryptography Note (Note 3) of Category 5,
NOTE: Neither this section nor its use means Part 2, of the Commerce Control List
that the U.S. Government intends, or is (Supplement No. 1 to part 774 of the EAR).
committed, to approve a license application for (Once such mass market encryption software has
any commodity, plant, software, or technology been reviewed by BIS and released from “EI” and
that may be the subject of the transaction to which “NS” controls pursuant to § 742.15(b) of the
such quotation, bid, or offer relates. Exporters EAR, it is controlled under ECCN 5D992.c and
2
Pursuant to 15 CFR § 30.37(f) of the Foreign Trade (EEI) via the Automated Export System (AES) is
Regulations (FTR), Electronic Export Information required for mass-market software.
is thus outside the scope of License Exception

TSU.) See § 742.15(b) of the EAR for exports (ii) The employee is not a national of a
and reexports of mass market encryption products destination listed in Country Group D:5 (see
controlled under ECCN 5D992.c. Supplement No. 1 to part 740 of the EAR); and
(3) Provisions and destinations. (iii) The university informs the individual in
writing that the “technology” or source code may
(i) Destinations. Mass market software is not be transferred to other foreign nationals
available to all destinations except destinations in without prior U.S. Government authorization.
Country Group E:1 (see Supplement No. 1 to this The obligation not to transfer technology extends
part). beyond the tenure of employment at the
university.
(ii) Provisions. Mass market treatment is
available for software that is generally available (3) Regular employee. A regular employee
to the public by being: means:
(A) Sold from stock at retail selling points, (i) An individual permanently and directly
without restriction, by means of: employed by the university; or
(1) Over the counter transactions; (ii) An individual in a long-term contractual

relationship with the university where the
(2) Mail order transactions; or individual works at the university’s facilities;
works under the university’s direction and
(3) Telephone call transactions; and control; works full time and exclusively for the
university; executes nondisclosure certifications
(B) Designed for installation by the user for the university; and where the staffing agency
without further substantial support by the that has seconded the individual has no role in the
supplier. work the individual performs (other than
providing that individual for that work) and the
(e) [Reserved] staffing agency would not have access to any
controlled technology (other than where
(f) Release of technology and source code in specifically authorized by a license or where a
the U.S. by U.S. universities to their bona fide license exception is available).
and full time regular employees.
(4) Exclusions.
(1) Scope. This paragraph authorizes the release
in the United States of “technology” and source (i) No “technology” or source code may be
code that is subject to the EAR by U.S. released to a foreign national who is subject to a
universities to foreign nationals who are their part 744 end-use or end-user control or where the
bona fide and full time regular employees. release would otherwise be inconsistent with part
744; and
(2) Eligible foreign nationals (i.e., bona fide (ii) No “technology” controlled for “EI”
and full time regular employees of U.S. (encryption) reasons or “technology” or source
universities). This exception is only available code controlled for “MT” (Missile Technology)
if: reasons may be released under this paragraph (f).
(i) The employee’s permanent residence (g) Copies of technology previously authorized
throughout the period of employment is in the for export to same recipient.
U.S.;
This paragraph authorizes the export, reexport, or

transfer (in-country) of copies of technology (3) The intended end-use of the software or
previously authorized for export, reexport, or technology;
transfer (in-country) to the same recipient. This
paragraph also authorizes the export, reexport, or (4) The name and address of the end-user;
transfer (in-country) of revised copies of such
technology provided the following three (5) The quantity of software shipped; and
conditions are met:
(6) The location of the equipment for which the
(1) The item that the technology pertains to is the software or technology is intended to be used,
identical item; including the country of destination.
(2) The revisions to the technology are solely

editorial and do not add to the content of
technology previously exported, reexported, or § 740.14 BAGGAGE (BAG)
transferred (in-country) or authorized for export,
reexport, or transfer (in-country) to the same (a) Scope
recipient; and
This License Exception authorizes individuals
(3) The exporter, reexporter, or transferor has leaving the United States either temporarily (i.e.,
no reason to believe the same recipient has used traveling) or longer-term (i.e., moving) and crew
the technology in violation of the original members of exporting or reexporting carriers to
authorization. take to any destination, as personal baggage, the
classes of commodities, software and technology
(h) Special Recordkeeping Requirements: described in this section.
ECCNs 2D983, 2D984, 2E983 and 2E984
(b) Eligibility
In addition to any other recordkeeping
requirements set forth elsewhere in the EAR, Individuals leaving the United States may export
exporters are required to maintain records, as or reexport any of the following commodities or
specified in this paragraph, when exporting software for personal use of the individuals or
operation software or technology controlled members of their immediate families traveling
under ECCNs 2D983, 2D984, 2E983, and 2E984, with them to any destination or series of
respectively, under License Exception TSU. destinations. Individuals leaving the United
Records maintained pursuant to this section may States who are U.S. persons, as defined in
be requested at any time by an appropriate BIS paragraph (b)(4)(i), may export or reexport
official as set forth in §762.7 of the EAR. The technology as a tool of trade under paragraph
following information must be specially (b)(4) for their personal use or for the personal
maintained for each export or reexport use of members of their immediate families who
transaction, under License Exception TSU, of are traveling or moving with them, provided they
operation software and technology controlled by are also U.S. persons, as defined in paragraph
ECCNs 2D983, 2D984, 2E983, and 2E984: (b)(4)(i), to any destination or series of
destinations. Technology exports and reexports
(1) A description of the software or technology authorized under paragraph (b)(4) of this section
exported or reexported, including the ECCN, as may be made as actual shipments,
identified on the CCL; transmissions, or releases. Individuals leaving
(2) A description of the equipment for which the the United States temporarily (i.e., traveling)
software or technology is intended to be used, must bring back items exported and reexported
including the ECCN, as identified on the CCL; under this License Exception unless they
consume the items abroad or are otherwise protected individual as defined by 8 U.S.C.
authorized to dispose of them under the EAR. 1324b(a)(3).
Crew members may export or reexport only
commodities and software described in (ii) [RESERVED]
paragraphs (b)(1) and (b)(2) of this section to any
destination. (c) Limits on eligibility
(1) Personal effects. Usual and reasonable The export of any item is limited or prohibited, if
kinds and quantities for personal use of wearing the kind or quantity is in excess of the limits
apparel, articles of personal adornment, toilet described in this section. In addition, the items
articles, medicinal supplies, food, souvenirs, must be:
games, and similar personal effects, and their
containers. (1) Owned by the individuals (or by members of
their immediate families) or by crew members of
(2) Household effects. Usual and reasonable exporting carriers on the dates they depart from
kinds and quantities for personal use of furniture, the United States;
household effects, household furnishings, and
their containers. (2) Intended for and necessary and appropriate
for the use of the individuals or members of their
(3) Vehicles. Usual and reasonable kinds and immediate families traveling with them, or by the
quantities of vehicles, such as passenger cars, crew members of exporting carriers;
station wagons, trucks, trailers, motorcycles,
bicycles, tricycles, perambulators, and their (3) Not intended for sale or other disposal; and
containers.
(4) Not exported under a bill of lading as cargo
(4) Tools of trade. Usual and reasonable kinds if exported by crew members.
and quantities of tools, instruments, or equipment
and their containers and also technology for use (d) Special provision: unaccompanied
in the trade, occupation, employment, vocation, baggage
or hobby of the traveler or members of the
household who are traveling or moving. For Individuals departing the United States may ship
special provisions regarding firearms and unaccompanied baggage, which is baggage sent
ammunition, see paragraph (e) of this section. from the United States on a carrier other than that
For special provisions regarding encryption on which an individual departs. Crew members of
commodities and software subject to EI controls, exporting carriers may not ship unaccompanied
see paragraph (f) of this section. For a special baggage. Unaccompanied shipments under this
provision that specifies restrictions regarding the License Exception shall be clearly marked
export or reexport of technology under this “BAGGAGE.” Shipments of unaccompanied
paragraph (b)(4), see paragraph (g) of this baggage may be made at the time of, or within a
section. For special provisions regarding reasonable time before or after departure of the
personal protective equipment under ECCN consignee or owner from the United States.
1A613.c or .d, see paragraph (h) of this section. Personal baggage controlled for chemical and
biological weapons (CB), missile technology
(i) For purposes of this paragraph (b), U.S. (MT), national security (NS), encryption items
person is defined as follows: an individual who is (EI) or nuclear nonproliferation (NP) must be
a citizen of the United States, an individual who shipped within 3 months before or after the month
is a lawful permanent resident as defined by 8 in which the consignee or owner departs the
U.S.C. 1101(a)(2) or an individual who is a United States. However, commodities
controlled for CB, MT, NS, EI or NP may not be
exported under this License Exception as “attachments” controlled under ECCN 0A501
unaccompanied baggage to Country Groups D:1, and ammunition controlled under ECCN
D:2, D:3, D:4, or E:1. (See Supplement No. 1 of 0A505.a, subject to the following limitations:
this part).
(i) Not more than three firearms and 1,000
(e) Special provisions for firearms and rounds of ammunition may be taken on any one
ammunition. trip.
(1) A United States citizen or a permanent (ii) “Parts,” “components,” “accessories,” and
resident alien leaving the United States may “attachments” exported pursuant to this
export or reexport shotguns with a barrel length paragraph (e)(3) must be of a kind and limited to
of 18 inches or over and shotgun shells under this quantities that are reasonable for the activities
License Exception, subject to the following described in paragraph (e)(3)(iv) of this section or
limitations: that are necessary for routine maintenance of the
firearms being exported.
(i) Not more than three shotguns may be
taken on any one trip. (iii) The commodities must be with the
person’s baggage.
(ii) The shotguns and shotgun shells must be
with the person's baggage but they may not be (iv) The commodities must be for the person’s
mailed. exclusive use and not for resale or other transfer
of ownership or control. Accordingly, except as
(iii) The shotguns and shotgun shells must be provided in paragraph (e)(4) of this section,
for the person's exclusive use for legitimate firearms, “parts,” “components,” “accessories,”
hunting or lawful sporting purposes, scientific “attachments,” and ammunition, may not be
purposes, or personal protection, and not for exported permanently under this License
resale or other transfer of ownership or control. Exception. All firearms, “parts,” “components,”
Accordingly, except as provided in (e)(2) of this “accessories,” or “attachments” controlled under
section, shotguns may not be exported ECCN 0A501 and all unused ammunition
permanently under this License Exception. All controlled under ECCN 0A505.a exported under
shotguns and unused shotgun shells must be this License Exception must be returned to the
returned to the United States. Note that since United States.
certain countries may require an Import
Certificate or a U.S. export license before (v) Travelers leaving the United States
allowing the import of a shotgun, you should temporarily are required to declare the firearms,
determine the import requirements of your “parts,” “components,” “accessories,”
country of destination in advance. “attachments,” and ammunition being exported
under this License Exception to a Customs and
(2) A nonresident alien leaving the United Border Protection (CBP) officer prior to
States may export or reexport under this License departure from the United States and present such
Exception only such shotguns and shotgun shells items to the CBP officer for inspection,
as he or she brought into the United States under confirming that the authority for the export is
the provisions of the Department of Justice License Exception BAG and that the exporter is
Regulations (27 CFR 478.115(d)). compliant with its terms.
(3) A United States citizen or a permanent (4) A nonimmigrant alien leaving the United
resident alien leaving the United States may States may export or reexport under this License
export under this License Exception firearms, Exception only such firearms controlled under
“parts,” “components,” “accessories,” or ECCN 0A501 and ammunition controlled under
ECCN 0A505 as he or she brought into the United networks for e-mail and other business activities
States under the relevant provisions of that involve the transmission and use of the
Department of Justice regulations at 27 CFR part technology authorized under this license
478. exception;
(f) Special provisions: encryption commodities (ii) Use of password systems on electronic
and software subject to EI controls on the devices that will store the technology authorized
Commerce Control List under this license exception; and
(1) A U.S. citizen or permanent resident alien of (iii) Use of personal firewalls on electronic
the United States as defined by 8 U.S.C. devices that will store the technology authorized
1101(a)(20) may use this license exception to under this license exception.
export or reexport encryption commodities and
software to any destination not in Country Group (3) The technology authorized under these
E:1 of Supplement No. 1 of this part. provisions may not be used for foreign
production purposes or for technical assistance
(2) A person other than a U.S. citizen or unless authorized by BIS;
permanent resident alien of the United States as
defined by 8 U.S.C. 1101(a)(20) (except a (4) Any encryption item controlled under ECCN
national of a country listed in Country Group E:1 5E002 is not exported or reexported to any
of Supplement No. 1 of this part who is not a U.S. destination listed in Country Group E:1 of
citizen or permanent resident alien of the United Supplement No. 1 of this part.
States) may also use this license exception to
export or reexport encryption commodities and (h) Special provisions: personal
software to any destination not in Country Group protective “equipment” classified under
E:1 of Supplement No. 1 of this part. ECCN 1A613.c or .d and individual
protection “equipment” classified under
(g) Special provision: restrictions for ECCN 1A607.f.
Export or Reexport of Technology.
(1) Exports, reexports, or in-country transfers to
This authorization for the export or reexport of countries not identified in Country Group D:5.
technology under the tools of trade provisions of U.S. persons may export, reexport, or transfer (in-
paragraph (b)(4) of this section may be used only country) one set of body armor classified under
if: ECCN 1A613.d (which may include one helmet
classified under ECCN 1A613.c) or one set of
(1) The technology is to be used overseas solely chemical or biological agent protective gear
by individuals or members of their immediate classified under ECCN 1A607.f (which may
families traveling with them provided they are include one additional filter canister classified
U.S. persons as defined in paragraph (b)(4)(i). under ECCN 1A607.x) to countries not identified
in Country Group D:5, provided that:
(2) The exporting or reexporting party and the
recipient take adequate security precautions to (i) The items are with the U.S. person’s
protect against unauthorized access to the baggage or effects, whether accompanied or
technology while the technology is being unaccompanied (but not mailed); and
transmitted and used overseas. Examples of
security precautions to help prevent unauthorized (ii) The items are for that person’s exclusive
access include the following: use and not for transfer of ownership unless
(i) Use of secure connections, such as Virtual reexported or transferred (in-country) to another
Private Network connections when accessing IT U.S. person.
§ 740.15 AIRCRAFT, VESSELS AND

(2) Exports, reexports, or in-country transfers to SPACECRAFT (AVS)
countries identified in Country Group D:5.
This License Exception authorizes departure
(i) Iraq. U.S. persons may export, reexport, or from the United States of foreign registry civil
transfer (in-country) one set of body armor
aircraft on temporary sojourn in the United States
classified under ECCN 1A613.d (which may
include one helmet classified under ECCN and of U.S. civil aircraft for temporary sojourn
1A613.c) or one set of chemical or biological abroad; the export of equipment and spare parts
agent protective gear classified under ECCN for permanent use on a vessel or aircraft; exports
1A607.f (which may include one additional filter to vessels or planes of U.S. or Canadian registry
canister classified under ECCN 1A607.x) to Iraq, and U.S. or Canadian Airlines’ installations or
for personal use, provided that the requirements agents; the export or reexport of cargo that will
in paragraph (h)(1) of this section are met. In
transit Cuba on an aircraft or vessel on temporary
addition, the U.S. person must be affiliated with
the U.S. Government and traveling on official sojourn; and the export of spacecraft and
business or traveling in support of a U.S. components for fundamental research. Generally,
Government contract, or the U.S. person must be no License Exception symbol is necessary for
traveling to Iraq under a direct authorization by export clearance purposes; however, when
the Government of Iraq and engaging in activities necessary, the symbol ‘‘AVS’’ may be used.
for, on behalf of, or at the request of, the
Government of Iraq. Documentation regarding (a) Aircraft on temporary sojourn
direct authorization from the Government of Iraq
shall include an English translation. (1) Foreign registered aircraft. An operating
civil aircraft of foreign registry that has been in
(ii) Other countries in Country Group D:5. the United States on a temporary sojourn may
U.S. persons may export, reexport, or transfer (in- depart from the United States under its own
country) one set of body armor classified under power for any destination, provided that:
ECCN 1A613.d (which may include one helmet
classified under ECCN 1A613.c) or one set of (i) No sale or transfer of operational control of
chemical or biological agent protective gear the aircraft to a national of a destination in
classified under ECCN 1A607.f (which may Country Group E:1 or E:2 (see supplement no. 1
include one additional filter canister classified to this part) has occurred while in the United
under ECCN 1A607.x) to countries in Country States;
Group D:5 (except Iraq), for personal use,
provided that the requirements in paragraph (ii) The aircraft is not departing for the
(h)(1) of this section are met, and the U.S. person purpose of sale or transfer of operational
is affiliated with the U.S. Government traveling
control to a national of a destination in
on official business or is traveling in support of a
U.S. Government contract. Country Group E:1 or E:2 (see supplement
no. 1 to this part); and
Note to paragraph (h): Body armor controlled (iii) It does not carry from the United States
under ECCN 1A005 is eligible for this License any item for which an export license is required
Exception under paragraph (b) of this section. and has not been granted by the U.S.
Government.
(2) U.S. registered aircraft.
(i) A civil aircraft of U.S. registry operating (D) The aircraft does not carry from the
under an Air Carrier Operating Certificate, United States any item for which an export
Commercial Operating Certificate, or Air Taxi license is required and has not been granted by
Operating Certificate issued by the Federal the U.S. Government; and
Aviation Administration (FAA) or conducting
flights under operating specifications approved (E) The aircraft will be operated while a-
by the FAA pursuant to 14 CFR part 129, or an broad by a U.S. licensed pilot, except that during
air ambulance of U.S. registry operating under 14 domestic flights within a foreign country, the
CFR part 135, may depart from the United States aircraft may be operated by a pilot currently
under its own power for any destination, provided licensed by that foreign country.
that:
(3) Criteria. The following ten criteria each
(A) The aircraft does not depart for the must be met if the flight is to qualify as a
purpose of sale, lease or other disposition of temporary sojourn. To be considered a temporary
operational control of the aircraft, or its sojourn, the flight must not be for the purpose of
equipment, parts, accessories, or components to a sale or transfer of operational control. An export
foreign country or any national thereof; is for the transfer of operational control unless the
exporter retains each of the following indicia of
(B) The aircraft's U.S. registration will not control:
be changed while abroad;
(i) Hiring of cockpit crew. Right to hire and
(C) The aircraft is not to be used in any fire the cockpit crew.
foreign military activity while abroad; and
(ii) Dispatch of aircraft. Right to dispatch
(D) The aircraft does not carry from the the aircraft.
United States any item for which a license is
required and has not been granted by the U.S. (iii) Selection of routes. Right to determine
Government. the aircraft's routes (except for contractual
commitments entered into by the exporter for
(ii) Any other operating civil aircraft of U.S. specifically designated routes).
registry may depart from the United States under
its own power for any destination, except to or a (iv) Place of maintenance. Right to
destination in Country Group E:1 or E:2 (see perform or obtain the principal maintenance on
supplement no. 1 to this part) (flights to these the aircraft, which principal maintenance is
destinations require a license), provided that: conducted outside a destination in Country Group
E:1 or E:2 (see supplement no. 1 to this part),
under the control of a party who is not a national
(A) The aircraft does not depart for the of any of these countries. (The minimum
purpose of sale, lease or other disposition of necessary in-transit maintenance may be
operational control of the aircraft, or its performed in any country).
equipment, parts, accessories, or components to a
foreign country or any national thereof; (v) Location of spares. Spares are not
located in a destination in Country Group E:1 or
(B) The aircraft's U.S. registration will not E:2 (see supplement no. 1 to this part).
be changed while abroad;
(vi) Place of registration. The place of
(C) The aircraft is not to be used in any registration is not changed to a destination in
foreign military activity while abroad; Country Group E:1 or E:2 (see supplement no. 1
to this part).
(vii) No transfer of technology. No services for necessary repair to fishing and

technology is transferred to a national of a fishery support vessels of Country Group D:1
destination in Country Group E:1 or E:2 (see may be exported for use on board such vessels
supplement no. 1 to this part), except the when admitted into the United States under
minimum necessary for in-transit maintenance to governing international fishery agreements.
perform flight line servicing required to depart
safely. (2) Aircraft. Equipment and spare parts for
permanent use on an aircraft, when necessary for
(viii) Color and logos. The aircraft does not the proper operation of such aircraft, may be
bear the livery, colors, or logos of a national of a exported or reexported for use on board an
destination in Country Group E:1 or E:2 (see aircraft of any registry, except an aircraft
supplement no. 1 to this part). registered in, owned or controlled by, or under
charter or lease to a country included in Country
(ix) Flight number. The aircraft does not Group D:1, Cuba, or a national of any of these
fly under a flight number issued to a national of a countries.
destination in Country Group E:1 or E:2 (see
supplement no. 1 to this part) as such number (3) Ship and plane stores. Usual and
appears in the Official Airline Guide. reasonable kinds and quantities of the following
commodities may be exported for use or
(x) Lease or charter. The aircraft is not leased consumption on board an aircraft or vessel of any
to or chartered by a national of a destination in registry during the outgoing and immediate return
Country Group E:1 or E:2 (see supplement no. 1 flight or voyage.
to this part).
(i) Deck, engine, and steward department
(4) Reexports. Civil aircraft legally exported stores, provisions, and supplies for both port and
from the United States may be reexported under voyage requirements;
this section, provided the restrictions described in
this paragraph (a) are met. (ii) Medical and surgical supplies;
Note to paragraph (a). An aircraft exported (iii) Food stores;

or reexported to a country pursuant to this
paragraph (a) may not remain in that country for (iv) Slop chest articles;
more than seven consecutive days before it
departs for a country to which it may be exported (v) Saloon stores or supplies.
without a license or the United States.
(4) Cuba. Only items designated as EAR99 or
(b) Equipment and spare parts for controlled on the Commerce Control List (CCL)
permanent use on a vessel or aircraft, (Supplement No. 1 to part 774 of the EAR) only
and ship and plane stores for anti-terrorism reasons (i.e., anti-terrorism
must be the only reason for control that applies to
(1) Vessel. Equipment and spare parts for the item as set forth in the Export Control
permanent use on a vessel, when necessary for the Classification Number (ECCN) that controls the
proper operation of such vessel, may be exported item) are eligible for export or reexport to Cuba
or reexported for use on board a vessel of any pursuant to this paragraph (b).
registry, except a vessel registered in Country
Group D:1 (see Supplement No. 1 to part 740), (c) Shipments to U.S. or Canadian
Cuba, or owned or controlled by, or under charter vessels, planes and airline
or lease to any of these countries or their installations or agents
nationals. In addition, other equipment and
(1) Exports to vessels or planes of U.S. or (ii) Intended for maintenance, repair, or
Canadian registry. Export may be made of the operation of aircraft registered in either the
commodities set forth in paragraph (c)(3) of this United States or Canada, and necessary for the
section, for use by or on a specific vessel or plane aircraft's proper operation, except where such
of U.S. or Canadian registry located at any aircraft is located in, or owned, operated or
seaport or airport outside the United States or controlled by, or leased or chartered to, Cuba or
Canada except a port in Cuba or Country Group Country Group D:1 (excluding the PRC) (see
D:1 (excluding the PRC), (see Supplement No. 1 Supplement No. 1 to part 740) or a national of
to part 740) provided that such commodities are such country;
all of the following:3
(iii) In usual and reasonable kinds and
(i) Ordered by the person in command or the quantities; and
owner or agent of the vessel or plane to which
they are consigned; (iv) Shipped as cargo for which Electronic
Export Information (EEI) is filed to the
(ii) Intended to be used or consumed on board Automated Export System (AES) in accordance
such vessel or plane and necessary for its proper with the requirements of the Foreign Trade
operation; Regulations (FTR) (15 CFR Part 30), except EEI
is not required to be filed when any of these
(iii) In usual and reasonable kinds and commodities is exported by U.S. airlines to their
quantities during times of extreme need; and own installations and agents abroad for use in
their aircraft operations, see 15 CFR 30.37(o) of
(iv) Shipped as cargo for which Electronic the FTR.
Export Information (EEI) is filed to the
Automated Export System (AES) in accordance (3) Applicable commodities. This paragraph
with the requirements of the Foreign Trade (c) applies to the following commodities, subject
Regulations (FTR) (15 CFR Part 30), except EEI to the provisions in paragraph (c)(1) and (c)(2) of
is not required to be filed when any of the this section:
commodities, other than fuel, is exported by U.S.
airlines to their own aircraft abroad for their own (i) Deck, engine, and steward department
use, see 15 CFR 30.37(o) of the FTR. stores, provisions, and supplies for both port and
voyage requirements;
(2) Exports to U.S. or Canadian airline's
installation or agent. Exports of the (ii) Medical and surgical supplies;
commodities set forth in paragraph (c)(3) of this
section, except fuel, may be made to a U.S. or (iii) Food stores;
Canadian airline's 4 installation or agent in any
foreign destination except Cuba or Country (iv) Slop chest articles;
Group D:1 (excluding the PRC), (see Supplement
No. 1 to part 740) provided such commodities are (v) Saloon stores or supplies; and
all of the following:
(vi) Equipment and spare parts.
(i) Ordered by a U.S. or Canadian airline and
consigned to its own installation or agent abroad; (d) Vessels on temporary sojourn
3 4
Where a license is required, see §§ 748.1, See Part 772 of the EAR for definitions of
748.4 and 748.6 of the EAR. United States and Canadian airlines.
(1) Foreign flagged vessels. A foreign perform servicing required to depart and enter a
flagged vessel in the United States may depart port safely; and
from the United States under its own power for
any destination, provided that: (vii) The vessel does not bear the livery,
colors, or logos of a national of a destination in
(i) No sale or transfer of operational control Country Group E:1 or E:2 (see supplement no. 1
of the vessel to a national of a destination in to this part).
Country Group E:1 or E:2 (see supplement no. 1
to this part) has occurred while in the United (3) Criteria for temporary sojourn of vessels.
States; The following criteria must be met if a voyage is
to be considered a temporary sojourn under this
(ii) The vessel is not departing for the paragraph (d). To be considered a temporary
purpose of sale or transfer of operational control sojourn, the voyage must not be for the purpose
to a national of a destination in Country Group of sale or transfer of operational control. A
E:1 or E:2 (see supplement no. 1 to this part); and transfer of operational control occurs unless the
exporter or reexporter retains each of the
(iii) The vessel does not carry from the United following indicia of control:
States any item for which a license is required and
has not been granted by the U.S. Government. (i) Hiring of crew. Right to hire and fire the
crew.
(2) U.S. flagged vessels. A U.S. flagged
vessel may depart from the United States under (ii) Dispatch of vessel. Right to dispatch
its own power for any destination, provided that: the vessel.
(i) The vessel does not depart for the purpose (iii) Selection of routes. Right to determine
of sale, lease, or transfer of operational control of the vessel's routes (except for contractual
the vessel, or its equipment, parts, accessories, or commitments entered into by the exporter for
components, to a foreign country or any national specifically designated routes).
thereof;
(iv) Place of maintenance. Right to
(ii) The vessel's U.S. flag will not be changed perform or obtain the principal maintenance on
while abroad; the vessel, which principal maintenance is
conducted outside a destination in Country Group
(iii) The vessel will not be used in any foreign E:1 or E:2 (see supplement no. 1 to this part),
military activity while abroad; under the control of a party who is not a national
of any of these countries. (The minimum
(iv) The vessel will not carry from the United necessary in-transit maintenance may be
States any item for which a license is required and performed in any country).
has not been granted by the U.S. Government;
(v) Lease or charter. The vessel is not leased
(v) Spares for the vessel are not located in a to or chartered by a national of a destination in
destination in Country Group E:1 or E:2 (see Country Group E:1 or E:2 (see supplement no. 1
supplement no. 1 to this part); to this part).
(vi) Technology is not transferred to a national (4) Reexports. Vessels subject to the EAR
of a destination in Country Group E:1 or E:2 (see may be reexported under this section on
supplement no. 1 to this part), except the temporary sojourn, provided that:
minimum necessary in-transit maintenance to
(i) The vessel does not depart for the purpose Cargo laden on board an aircraft or vessel may
of sale, lease, or transfer of operational control of transit Cuba provided:
the vessel, or its equipment, parts, accessories, or
components, to a foreign country or any national (1) The aircraft or vessel is exported or
thereof; reexported on temporary sojourn to Cuba
pursuant to paragraph (a) or (d) of this section or
(ii) The vessel's flag will not be changed a license from BIS; and
while abroad;
(2) The cargo departs with the aircraft or vessel at
(iii) The vessel will not be used in any the end of its temporary sojourn to Cuba, is not
foreign military activity while abroad;
removed from the aircraft or vessel for use in
(iv) The vessel will not carry any item for Cuba and is not transferred to another aircraft or
which a license is required and has not been vessel while in Cuba.
granted by the U.S. Government;
(f) Spacecraft for launch
(v) Spares for the vessel are not located in a
destination in Country Group E:1 or E:2 (see This paragraph (e) authorizes the export by
supplement no. 1 to this part); accredited U.S. institutions of higher learning of
commodities subject to the EAR fabricated only
(vi) Technology is not transferred to a national for fundamental research purposes when all of the
of a destination in Country Group E:1 or E:2 (see following conditions are met:
supplement no. 1 to this part), except the
minimum necessary in-transit maintenance to (1) The export is to an accredited institution of
perform servicing required to depart and enter a higher learning, a governmental research center,
port safely; and or an established government funded private
research center located in a country other than
(vii) The vessel does not bear the livery, colors, Country Group D:5 (see Supp. No. 1 to this part)
or logos of a national of a destination in Country and involves exclusively nationals of such
Group E:1 or E:2 (see supplement no. 1 to this countries;
part).
(2) All the information about the commodity,
(5) No vessels may be exported or reexported including its design, and all of the resulting
under this License Exception to a country in information obtained through fundamental
Country Group E:1. research involving the commodity will be
published and shared broadly within the scientific
(6) Cuba, eligible vessels and purposes. For community, and is not restricted for proprietary
Cuba, only cargo vessels for hire for use in the reasons or specific U.S. government access and
dissemination controls or other restrictions
transportation of items are eligible for this accepted by the institution or its researchers on
paragraph (d). publication of scientific and technical
information resulting from the project or activity
Note 1 to paragraph (d). A vessel exported (see §734.11 of the EAR); and
or reexported to a country pursuant to this
paragraph (d) may not remain in that country for (3) If the commodity is for permanent export, the
more than 14 consecutive days before it departs platform or system into which the commodity
for a country to which it may be exported without will be incorporated must be a scientific,
a license or the United States. research, or experimental satellite and must be
exclusively concerned with fundamental research
(e) Intransit cargo
and may only be launched into space from and Hong Kong for use or consumption within a
countries and by nationals of countries not destination in Country Group A:1 (see
identified in Country Group D:5. Supplement No. 1 to part 740) or Hong Kong, or
for reexport from such country in accordance
with other provisions of the EAR.
§ 740.16 ADDITIONAL PERMISSIVE (2) Commodities not eligible for reexport under
REEXPORTS (APR) paragraph (b)(1) are:
This License Exception allows the following (i) Commodities controlled for nuclear
reexports: nonproliferation or missile technology reasons;
(a) Reexports from Country Group A:1 (ii) Commodities in 3A001.b.2 or b.3 (except
and Hong Kong those that are being reexported for use in civil
telecommunications applications);
Reexports may be made from countries in
Country Group A:1 or from Hong Kong, (iii) “Military commodities” described in
provided that: ECCN 0A919;
(1) The reexport is made in accordance with the (iv) Commodities described in ECCN 0A504
conditions of an export authorization from the that incorporate an image intensifier tube;
government of the reexporting country;
(v) Commodities described in ECCN 6A002; or
(2) The commodities being reexported are not
controlled for NP, CB, MT, SI, or CC reasons or (vi) Commodities classified under a 0x5zz
described in ECCNs 0A919, 3A001.b.2 or b.3 ECCN.
(except those that are being reexported for use in
civil telecommunications applications), 6A002, (3) Cameras described in ECCNs 6A003 may
6A003; or commodities classified under a 0x5zz be exported or reexported to and among countries
ECCN; and in Country Group A:1 (see Supplement No. 1 to
(3) The reexport is destined to either: this part) if:
(i) A country in Country Group B that is not (i) Such cameras are fully packaged for use as
also included in Country Group D:2, D:3, or D:4; consumer ready civil products; or
and the commodity being reexported is both
controlled for national security reasons and not (ii) Such cameras with not more than 111,000
controlled for export to Country Group A:1; or elements are to be embedded in civil products.
(ii) A country in Country Group D:1 (National (c) Reexports to a destination to which direct
Security) (see Supplement No. 1 to part 740), shipment from the United States is authorized
other than North Korea and the commodity being under an unused outstanding license may be
reexported is controlled for national security made under the terms of that license. Such
reasons. reexports shall be recorded in the same manner as
exports are recorded, regardless of whether the
(b) Reexports to and among specified license is partially or wholly used for reexport
countries. purposes. (See part 762 of the EAR for
recordkeeping requirements.)
(1) Eligible commodities may be reexported to
and among destinations in Country Group A:1
(d) Reexports of any item from Canada that, at

the time of reexport, may be exported directly (2) Reexports to destinations in Country
from the United States to the new country of Group E:2 and Country Group D:2.
destination under any License Exception.
(e) Reexports (return) to the United States of § 740.17 ENCRYPTION

any item. If the reexporting party requests COMMODITIES, SOFTWARE AND
written authorization because the government of TECHNOLOGY (ENC)
the country from which the reexport will take
place requires formal U.S. Government approval, License Exception ENC authorizes export,
such authorization will generally be given. reexport, and transfer (in-country) of systems,
equipment, commodities, and components
(f) Reexports from a foreign destination to therefor that are classified under ECCNs 5A002,
Canada of any item if the item could be exported 5B002, equivalent or related software and
to Canada without a license. technology therefor classified under 5D002 or
5E002, and “cryptanalytic items” classified under
(g) [RESERVED] ECCNs 5A004, 5D002 or 5E002. This License
Exception ENC does not authorize export or
(h) Shipments of foreign-made products that reexport to, transfer (in-country) in, or provision
incorporate U.S.-origin components may be of any service in any country listed in Country
accompanied by U.S.-origin controlled spare Groups E:1 or E:2 in Supplement No. 1 to part
parts, provided that they do not exceed 10 percent 740 of the EAR, or release of source code or
of the value of the foreign-made product, subject technology to any national of a country listed in
to the restrictions in §734.4 of the EAR. Country Groups E:1 or E:2. Reexports and
transfers (in-country) under License Exception
(i) Reexports to Sudan of items controlled by ENC are subject to the criteria set forth in
ECCNs 2A994; 3A992.a; 5A991.g; 5A992; paragraph (c) of this section. Paragraphs (b) and
6A991; 6A998; 7A994; 8A992.d, .e, .f, and .g; (d) of this section set forth information about
9A990.a and .b; and 9A991.d and .e. In classifications required by this section. Items
addition, items in these ECCNs are not counted described in paragraphs (b)(1) and (b)(3)(i),
as controlled U.S. content for purposes of (b)(3)(ii) or (b)(3)(iv) of this section that meet the
determining license requirements for U.S. parts, criteria set forth in Note 3 to Category 5 - Part 2
components, and materials incorporated in of the Commerce Control List (the “mass market”
foreign-made products. However, the export note) are classified under ECCN 5A992.c or
from the United States to any destination with 5D992.c following self-classification or
knowledge that they will be reexported directly or classification by BIS and are no longer subject to
indirectly, in whole or in part to Sudan is “EI” and “NS” controls. Paragraph (e) sets forth
prohibited without a license. reporting required by this section. For items
exported under paragraphs (b)(1), (b)(3)(i),
(j) Reexports of items controlled by NP Column (b)(3)(ii) or (b)(3)(iv) of this section and
1 (see Supplement No. 1 to part 774 of the EAR) therefore excluded from paragraph (e) reporting
to, among, and from countries described in requirements, exporters are reminded of the
Country Group A:4 (see Supplement No. 1 to part recordkeeping requirements in part 762 of the
740), except: EAR and that they may be required to make such
records available upon request. All
(1) Reexports from countries that are not classification requests, and reports submitted to
identified in Country Group A:1 of items that are BIS pursuant to this section for encryption items
controlled for NS reasons to destinations in will be reviewed by the ENC Encryption Request
Country Group D:1; and Coordinator, Ft. Meade, MD.
acting on behalf of any foreign government; or

(a) No classification request or a commercial firm (including its subsidiary and
reporting required parent firms, and other subsidiaries of the same
parent) that is not wholly owned by, otherwise
License Exception ENC authorizes the export, controlled by or acting on behalf of, any foreign
reexport, or transfer (in-country) to the end users government.
and for the end uses set forth in paragraphs (a)(1),
(a)(2), and (a)(3) of this section, without (2) Exports, reexports, transfers (in-country)
submission of a classification request, self- to “U.S. Subsidiaries.” License Exception ENC
classification report or sales report to BIS. authorizes export, reexport, and transfer (in-
country) of items described in paragraph (a) of
(1) Certain exports, reexports, transfers (in- this section to any “U.S. subsidiary,” wherever
country) to ‘private sector end users.’ located. License Exception ENC also authorizes
export, reexport, transfer (in-country) of such
(i) Internal “development” or “production” items by a U.S. company and its subsidiaries to
of new products. License Exception ENC foreign nationals who are employees, individual
authorizes certain exports, reexports, and contractors or interns of a U.S. company or its
transfers (in-country) of items described in subsidiaries if the items are for internal company
paragraph (a) of this section for the internal use, including the “development” or “production”
“development” or “production” of new products of new products, without prior review by the U.S.
by ‘private sector end users,’ wherever located, Government.
that are headquartered in a country listed in
Supplement No. 3 of this part. Note to paragraph (a)(1) and (a)(2): All
items produced or developed with items exported,
(ii) Certain exports, reexports, transfers (in- reexported, or transferred (in-country) under
country) to related parties, not involving paragraphs (a)(1) or (a)(2) of this section are
“development” or “production” of new subject to the EAR. These items may require the
products. For internal end uses among ‘private submission of a classification request before sale,
sector end users’ other than the “development” or reexport or transfer to non-“U.S. subsidiaries,”
“production” of new products, License Exception unless otherwise authorized by license or license
ENC authorizes exports, reexports, and transfers exception.
(in-country) of non-U.S.-origin items, described
in paragraph (a) of this section, to ‘private sector (3) Reexports and transfers (in-country) of
end users’ wherever located provided that: non-U.S. products developed with or
incorporating U.S.-origin encryption source
(A) That item became subject to the EAR code, components, or toolkits. License
after it was produced; Exception ENC authorizes the reexport and
transfer (in-country) of non-U.S. products
(B) All parties to the transaction are developed with or incorporating U.S.-origin
subsidiaries of the same parent company encryption source code, components or toolkits
headquartered in a country listed in Supplement that are subject to the EAR, provided that the
No. 3 of this part; and U.S.-origin encryption items have previously
been classified or reported and authorized by BIS
(C) The characteristics or capabilities of the and the cryptographic functionality has not been
existing item are not enhanced, unless otherwise changed. Such products include non-U.S.
authorized by license or license exception. developed products that are designed to operate
with U.S. products through a cryptographic
Note to paragraph (a)(1): A ‘private sector interface.
end user’ is either: An individual who is not
Note to paragraph (a)(3): This exception (1) Immediate authorization. This paragraph
from classification and reporting requirements (b)(1) authorizes the exports, reexports, and
does not apply to non-U.S.-origin products transfers (in-country) of the associated
exported from the United States. commodities self-classified under ECCNs
5A002.a or 5B002, and equivalent or related
(b) Classification request or software therefor classified under 5D002, except
self-classification report any such commodities, software, or components
described in (b)(2) or (b)(3) of this section,
For products described in paragraph (b)(1) of subject to submission of a self-classification
this section that are self-classified by the report in accordance with § 740.17(e)(3) of the
exporter, a self-classification report in EAR. Items described in this paragraph (b)(1)
accordance with paragraph (e)(3) of this that meet the criteria set forth in Note 3 to
section is required from specified exporters, Category 5 - Part 2 of the Commerce Control List
(the “mass market” note) are classified as ECCN
reexporters and transferors; for products 5A992.c or 5D992.c following self-classification
described in paragraph (b)(1) of this section or classification by BIS and are removed from
that are classified by BIS via a CCATS, a “EI” and “NS” controls.
self-classification report is not required. For
products described in paragraphs (b)(2) and (2) Classification request required. Thirty
(b)(3) of this section, a thirty-day (30-day) (30) days after the submission of a classification
classification request is required in request with BIS in accordance with paragraph
accordance with paragraph (d) of this section. (d) of this section and subject to the reporting
An exporter, reexporter, or transferor may requirements in paragraph (e) of this section, this
rely on the producer’s self-classification (for paragraph under License Exception ENC
authorizes certain exports, reexports, and
products described in (b)(1), only) or CCATS
transfers (in-country) of the items specified in
for an encryption item eligible for export or paragraph (b)(2) and submitted for classification.
reexport under License Exception ENC under
paragraph (b)(1), (b)(2), or (b)(3) of this Note to introductory text of paragraph
section. Exporters are still required to (b)(2): Immediately after the classification
comply with semi-annual sales reporting request is submitted to BIS in accordance with
requirements under paragraph (e)(1) or (2) of paragraph (d) of this section and subject to the
this section, even if relying on a CCATS reporting requirements in paragraph (e) of this
issued to a producer for specified encryption section, this paragraph also authorizes exports,
items described in paragraphs (b)(2) and reexports, and transfers (in-country) of:
(b)(3)(iii) of this section.
1. All submitted encryption items described in
this paragraph (b)(2), except “cryptanalytic
Note to paragraph (b) introductory text: items,” to any end user located or headquartered
Mass market encryption software that would in a country listed in Supplement No. 3 to this
be considered publicly available under part;
§734.3(b)(3) of the EAR, and is authorized
for export under this paragraph (b), remains 2. Encryption source code as described in
subject to the EAR until all applicable paragraph (b)(2)(i)(B) to non-“government end
classification or self-classification users” in any country;
requirements set forth in this section are
fulfilled. 3. “Cryptanalytic items” to non-“government
end users,” only, located or headquartered in a
country listed in Supplement No. 3 to this part; exceeding 1,000 meters, where any of the
and following applies:
4. Items described in paragraphs (b)(2)(iii) (i) Maximum transmission data rates

and (b)(2)(iv)(A) of this section, to specified exceeding 10 Mbps (at operating ranges beyond
destinations and end users. 1,000 meters); or
(i) Cryptographic commodities, software, and (ii) Maximum number of concurrent full-
components. License Exception ENC duplex voice channels exceeding 30;
authorizes exports, reexports, and transfers (in-
country) of the items in paragraph (b)(2)(i)(A) of Notes to paragraph (b)(2)(i)(A):
this section to “less sensitive government end
users” and non- “government end users” located 1. The License Exception ENC eligibility
or headquartered in a country not listed in restrictions of paragraphs (b)(2)(i)(A)(3)
Supplement No. 3 to this part, and the items in (satellite infrastructure) and (b)(2)(i)(A)(5)
paragraphs (B) – (H) to non “government end (terrestrial wireless infrastructure) do not apply
users” located or headquartered in a country not to satellite terminals or modems meeting all of the
listed in Supplement No. 3. following:
(A) ‘Network Infrastructure.’ ‘Network a. The encryption of data over satellite is

infrastructure’ commodities and software, and exclusively from the user terminal to the gateway
components therefor, meeting any of the earth station, and limited to the air interface; and
following with key lengths exceeding 80-bits for
symmetric algorithms: b. The items meet the requirements of the
Cryptography Note (Note 3) in Category 5 - Part
(1) WAN, MAN, VPN, backhaul and long- 2 of the Commerce Control List.
haul. Aggregate encrypted WAN, MAN, VPN,
backhaul or long-haul throughput (including 2. ‘Network infrastructure’ (as applied to
communications through wireless network encryption items). A ‘network infrastructure’
elements such as gateways, mobile switches, and commodity or software is any “end item,”
controllers) equal to or greater than 250 Mbps; commodity or “software” for providing one or
more of the following types of communications:”
(2) [Reserved]
(a) Wide Area Network (WAN);
(3) Satellite infrastructure. Transmission
over satellite at data rates exceeding 10 Mbps; (b) Metropolitan Area Network (MAN);
(4) Media gateways and other unified (c) Virtual Private Network (VPN);
communications (UC) infrastructure,
including Voice-over-Internet Protocol (VoIP) (d) Satellite;
services. Media (voice/video/data) encryption or
encrypted signaling to more than 2,500 (e) Digital packet telephony/media (voice,
endpoints, including centralized key management video, data) over Internet protocol;
therefor; or
(f) Cellular; or
(5) Terrestrial wireless infrastructure. Air
interface coverage (e.g., through base stations, (g) Trunked.
access points to mesh networks, and bridges)
Note 1 to paragraph 2: ‘Network impairing the use of cyber infrastructure or

infrastructure’ end items are typically operated networks;
by, or for, one or more of the following types of
end users: (G) Public safety / first responder radio
(private mobile radio (PMR)). Public safety /
(1) Medium- or large- sized businesses or first responder radio (e.g., implementing
enterprises; Terrestrial Trunked Radio (TETRA) and/or
Association of Public-Safety Communications
(2) Governments; Officials International (APCO) Project 25 (P25)
standards);
(3) Telecommunications service providers; or
(H) Specified cryptographic ultra-
(4) Internet service providers. wideband and “spread spectrum” items.
Encryption commodities and components
Note 2 to paragraph 2: Commodities, therefor, classified under ECCNs 5A002.d or .e,
software, and components for the “cryptographic and equivalent or related software therefor
activation” of a ‘network infrastructure’ item are classified under ECCN 5D002.
also considered ‘network infrastructure’ items.
(ii) Cryptanalytic commodities and software.
(B) Certain “encryption source code.” “Cryptanalytic items” classified in ECCN 5A004
“Encryption source code” that is not publicly or 5D002 to non- “government end users” located
available as that term is used in § 742.15(b) of the or headquartered in countries not listed in
EAR; Supplement No. 3 to this part.
(C) Customized items. Encryption software, (iii) “Open cryptographic interface” items.
commodities and components therefor, where Items that provide an “open cryptographic
any of the following applies: interface,” to any end user located or
headquartered in a country listed in Supplement
(1) Customized for government end users or No. 3 to this part.
end uses. The item has been designed, modified,
adapted, or customized for “government end (iv) Specific encryption technology. Specific
user(s);” or encryption technology as follows:
(2) Custom or changeable cryptography. The (A) Technology for “non-standard

cryptographic functionality of the item has been cryptography.” Encryption technology
designed or modified to customer specification or classified under ECCN 5E002 for “non-standard
can be easily changed by the user; cryptography,” to any end user located or
headquartered in a country listed in Supplement
(D) Quantum cryptography. ECCN No. 3 to this part;
5A002.c or 5D002 “quantum cryptography”
commodities or software; (B) Other technology. Encryption
technology classified under ECCN 5E002 except
(E) [Reserved] technology for “cryptanalytic items,”
“non-standard cryptography” or any “open
(F) Network penetration tools. Encryption cryptographic interface,” to any
commodities and software that provide non-“government end user” located in a country
penetration capabilities that are capable of not listed in Country Group D:1, E:1, or E:2 of
attacking, denying, disrupting or otherwise Supplement No. 1 to part 740 of the EAR.
Note to paragraph (b)(2): Commodities, (B) Cryptographic libraries, modules,

components, and software classified under development kits and toolkits, including for
ECCNs 5A002.b or 5D002.b, for the operating systems and cryptographic service
“cryptographic activation” of commodities or providers (CSPs).
software specified by paragraph (b)(2) of this
section are also controlled under paragraph (ii) “Non-standard cryptography” (by items
(b)(2) of this section. not otherwise described in paragraph (b)(2) of
this section.) Encryption commodities, software
(3) Classification request required for and components not described by paragraph
specified commodities, software, and (b)(2) of this section, that provide or perform
components. Thirty (30) days after a “non-standard cryptography” as defined in part
classification request is submitted to BIS in 772 of the EAR.
accordance with paragraph (d) of this section and
subject to the reporting requirements in paragraph (iii) Advanced network vulnerability analysis
(e) of this section, this paragraph authorizes and digital forensics. Encryption commodities
exports, reexports, and transfers (in-country) of and software not described by paragraph (b)(2) of
the items submitted for classification, as further this section, that provide or perform vulnerability
described in this paragraph (b)(3), to any end analysis, network forensics, or computer
user, provided the item does not perform the forensics functions characterized by any of the
functions, or otherwise meet the specifications, of following:
any item described in paragraph (b)(2) of this
section. Items described in paragraphs (A) Automated network vulnerability
(b)(3)(i), (b)(3)(ii) or (b)(3)(iv) of this section that analysis and response. Automated network
meet the criteria set forth in Note 3 to Category 5 analysis, visualization, or packet inspection for
- Part 2 of the Commerce Control List (the “mass profiling network flow, network user or client
market” note) are classified under ECCN behavior, or network structure/topology and
5A992.c or 5D992.c following classification by adapting in real-time to the operating
BIS. environment; or
Note to introductory text of paragraph (b)(3): (B) Digital forensics, including network or
Immediately after the classification request is computer forensics. Investigation of data
submitted to BIS in accordance with paragraph leakage, network breaches, and other malicious
(d) of this section and subject to the reporting intrusion activities through triage of captured
requirements in paragraph (e) of this section, this digital forensic data for law enforcement
paragraph also authorizes exports, reexports, purposes or in a similarly rigorous evidentiary
transfers (in-country) of the items described in manner.
this paragraph (b)(3) to any end user located or
headquartered in a country listed in Supplement (iv) “Cryptographic activation” commodities,
No. 3 to this part. components, and software. Commodities,
components, and software classified under
(i) “Components,” toolsets, and toolkits. ECCNs 5A002.b or 5D002.b where the product
Specified components classified under ECCN or cryptographic functionality is not otherwise
5A002.a and equivalent or related software described in paragraphs (b)(2) or (b)(3)(i) of this
classified under ECCN 5D002 not described by section.
paragraph (b)(2) of this section, as follows:
(c) Reexport and transfer (in-country)
(A) Chips, chipsets, electronic assemblies
and field programmable logic devices; Distributors, resellers or other entities who are
not original manufacturers of encryption
commodities and software are permitted to use previously reviewed encryption product where
License Exception ENC only in instances where the change is limited to updates of encryption
the reexport or transfer (in-country) meets the software components where the product is
applicable terms and conditions of this section. otherwise unchanged.
Transfers of encryption items listed in paragraph
(b)(2) of this section to “government end users,” (2) Action by BIS.
or for government end uses, within the same
country are prohibited, unless otherwise (i) [Reserved]
authorized by license or license exception.
(ii) For items requiring classification by BIS
(d) Classification request procedures under paragraphs (b)(2) and (b)(3) of this
section.
(1) Submission requirements and instructions.
To submit a classification request to BIS, you (A) For classifications that require a thirty
must submit an application to BIS in accordance (30-day) waiting period, if BIS has not, within
with the procedures described in §§ 748.1 and thirty days (30 days) from registration in
748.3 of the EAR and the instructions in SNAP-R of your complete classification request,
paragraph (r) of Supplement No. 2 to part 748 informed you that your item is not authorized for
“Unique Application and Submission License Exception ENC, you may export,
Requirements,” along with other required reexport, or transfer (in-country) under the
information as follows: applicable provisions of License Exception ENC.
(ii) Technical information submission (B) Upon completion of its classification,

requirements. For all submissions of encryption BIS will issue a Commodity Classification
classification requests for items described under Automated Tracking System (CCATS) to you.
paragraph (b)(2) or (b)(3) of this section, you
must submit the applicable information described (C) Hold Without Action (HWA) for
in paragraphs (a) through (d) of Supplement No. classification requests. BIS may hold your
6 to part 742 of the EAR (Technical classification request without action if necessary
Questionnaire for Encryption Items). For items to obtain additional information or for any other
eligible for self-classification that are submitted reason necessary to ensure an accurate
to BIS for classification you may be required to classification. Time on such “hold without
provide BIS this Supplement No. 6 to part 742 action” status shall not be counted towards
information on an as-needed basis, upon request fulfilling the thirty-day (30-day) processing
by BIS. period specified in this paragraph.
(iii) Changes in encryption functionality (iii) BIS may require you to supply additional
following a previous classification. A new relevant technical information about your
product encryption classification request (under encryption item(s) or information that pertains to
paragraphs (b)(2) or (b)(3) of this section) is their eligibility for License Exception ENC at any
required if a change is made to the cryptographic time, before or after the expiration of the
functionality (e.g., algorithms) or other technical thirty-day (30-day) processing period specified in
characteristics affecting License Exception ENC this paragraph and in paragraphs (b)(2) and (b)(3)
eligibility (e.g., encrypted throughput) of the of this section. If you do not supply such
originally classified product. However, a new information within 14 days after receiving a
product classification request is not required request for it from BIS, BIS may return your
when a change involves: the subsequent classification request(s) without action or
bundling, patches, upgrades or releases of a otherwise suspend or revoke your eligibility to
product; name changes; or changes to a use License Exception ENC for that item(s). At
your request, BIS may grant you up to an general purpose toolkits, equipment controlled
additional 14 days to provide the requested under ECCN 5B002, technology, or items that
information. Any request for such an additional provide an “open cryptographic interface,” to a
number of days must be made prior to the date by foreign developer or manufacturer headquartered
which the information was otherwise due to be in a country not listed in Supplement No. 3 to
provided to BIS, and may be approved if BIS this part when intended for use in foreign
concludes that additional time is necessary. products developed for commercial sale, the
names and addresses of the manufacturers using
(e) Reporting requirements these encryption items and, if known, when the
product is made available for commercial sale, a
(1) Semiannual reporting requirement. non-proprietary technical description of the
Semiannual reporting is required for exports to all foreign products for which these encryption items
destinations other than Canada, and for reexports are being used (e.g., brochures, other
from Canada for items described under documentation, descriptions or other identifiers
paragraphs (b)(2) and (b)(3)(iii) of this section. of the final foreign product; the algorithm and key
Certain encryption items and transactions are lengths used; general programming interfaces to
excluded from this reporting requirement, see the product, if known; any standards or protocols
paragraph (e)(1)(iii) of this section. For that the foreign product adheres to; and source
information about what must be included in the code, if available).
report and submission requirements, see
paragraphs (e)(1)(i) and (e)(1)(ii) of this section (ii) Submission requirements. For exports
respectively. occurring between January 1 and June 30, a report
is due no later than August 1 of that year. For
(i) Information required. Exporters must exports occurring between July 1 and December
include for each item, the Commodity 31, a report is due no later than February 1 the
Classification Automated Tracking System following year. These reports must be provided
(CCATS) number and the name of the item(s) in electronic form. Recommended file formats
exported (or reexported from Canada), and the for electronic submission include spreadsheets,
following information in their reports: tabular text or structured text. Exporters may
request other reporting arrangements with BIS to
(A) Distributors or resellers. For items better reflect their business models. Reports
exported (or reexported from Canada) to a may be sent electronically to BIS at
distributor or other reseller, including crypt@bis.doc.gov and to the ENC Encryption
subsidiaries of U.S. firms, the name and address Request Coordinator at enc@nsa.gov, or disks
of the distributor or reseller, the item and the and CDs containing the reports may be sent to the
quantity exported or reexported and, if collected following addresses:
by the exporter as part of the distribution process,
the end user’s name and address; (A) Department of Commerce, Bureau of
Industry and Security, Office of National
(B) Direct Sales. For items exported (or Security and Technology Transfer Controls, 14th
reexported from Canada) through direct sale, the Street and Pennsylvania Ave., NW, Room 2705,
name and address of the recipient, the item, and Washington, DC 20230, Attn: Encryption
the quantity exported; or Reports, and
(C) Foreign manufacturers and products (B) Attn: ENC Encryption Request
that use encryption items. For exports (i.e., Coordinator, 9800 Savage Road, Suite 6940, Ft.
from the United States) or direct transfers (e.g., Meade, MD 20755-6000.
by a “U.S. subsidiary” located outside the United
States) of encryption components, source code,
(iii) Exclusions from reporting requirement.

Reporting is not required for the following items (A) The report must be received by BIS and
and transactions: the ENC Encryption Request Coordinator before
the export, reexport or transfer (in-country) of the
(A) [RESERVED] upgraded product; and
(B) Encryption commodities or software with (B) The report must be e-mailed to
a symmetric key length not exceeding 64 bits; crypt@bis.doc.gov and enc@nsa.gov.
(C) Encryption items exported (or reexported (3) Self-classification reporting for certain
from Canada) via free and anonymous download; encryption commodities, software and
components. This paragraph (e)(3) sets forth
(D) Encryption items from or to a U.S. bank, requirements for self-classification reporting to
financial institution or its subsidiaries, affiliates, BIS and the ENC Encryption Request
customers or contractors for banking or financial Coordinator (Ft. Meade, MD) of encryption
operations; commodities, software and components exported
or reexported. This reporting requirement
(E) [Reserved] applies to commodities and software that meet
the criteria of Note 3 to Category 5 - Part 2 of the
(F) Foreign products developed by bundling Commerce Control List (“mass market” note) and
or compiling of source code. are classified under ECCN 5A992.c or 5D992.c
following self-classification, as well as to
(2) Key length increases. Reporting is required commodities and software that remain classified
for commodities and software that, after having in ECCNs 5A002, 5B002 or 5D002 following
been classified and authorized for License self-classification.
Exception ENC in accordance with paragraphs
(b)(2) or (b)(3) of this section, are modified only (i) When to report. Your self-classification
to upgrade the key length used for confidentiality report for applicable encryption commodities,
or key exchange algorithms. Such items may be software and components exported or reexported
exported, reexported or transferred (in-country) during a calendar year (January 1 through
under the previously authorized provision of December 31) must be received by BIS and the
License Exception ENC without a classification ENC Encryption Request Coordinator no later
resubmission. than February 1 the following year.
(i) Information required. (ii) How to report. Encryption self-

classification reports must be sent to BIS and the
(A) A certification that no change to the ENC Encryption Request Coordinator via e-mail
encryption functionality has been made other or regular mail. In your submission, specify the
than to upgrade the key length for confidentiality timeframe that your report spans and identify
or key exchange algorithms. points of contact to whom questions or other
inquiries pertaining to the report should be
(B) The original Commodity Classification directed. Follow these instructions for your
Automated Tracking System (CCATS) submissions:
authorization number issued by BIS and the date
of issuance. (A) Submissions via e-mail. Submit your
encryption self-classification report
(C) The new key length. electronically to BIS at crypt-supp8@bis.doc.gov
and to the ENC Encryption Request Coordinator
(ii) Submission requirements. at enc@nsa.gov, as an attachment to an e-mail.
Identify your e-mail with subject “self- reexport of U.S. origin agricultural commodities
classification report.” to Cuba, provided your transaction meets all of
the following criteria:
(B) Submissions on disks and CDs. The
self-classification report may be sent to the (1) The commodity meets the definition of
following addresses, in lieu of e-mail: “agricultural commodities” in part 772 of the
EAR;
(1) Department of Commerce, Bureau of
Industry and Security, Office of National (2) The commodity is EAR99. You must have
Security and Technology Transfer Controls, 14th an official commodity classification of EAR99
Street and Pennsylvania Ave., NW, Room from BIS for fertilizers, western red cedar and
2099B, Washington, DC 20230, Attn: Encryption live horses before you submit a notification under
Reports, and this license exception. See §748.3 of the EAR
for information on how to submit a commodity
(2) Attn: ENC Encryption Request classification request;
Coordinator, 9800 Savage Road, Suite 6940, Ft.
Meade, MD 20755-6000. (3) The export or reexport is made pursuant to a
written contract, except for donations and
(iii) Information to report. Your encryption commercial samples which are not subject to this
self-classification report must include the contract requirement;
information described in paragraph (a) of
Supplement No. 8 to part 742 for each (4) The export or reexport is made within 12
applicable encryption commodity, software and months of the signing of the contract or within 12
component made eligible for export or reexport months of notification that no objections were
under § 740.17(b)(1) of the EAR. Each product raised (if no contract is required). In the case of
must be included in a report only one time. multiple partial shipments, all such shipments
However, if no new products are made eligible must be made within the 12 months of the signing
for export or reexport during a calendar year, you of the contract or within 12 months of notification
must send an e-mail to the addresses listed in that no objections were raised (if no contract is
paragraph (e)(3)(ii)(A) of this section stating that required); and
nothing has changed since the previous report.
(5) You notify BIS prior to exporting or
(iv) File format requirements. The reexporting according to the procedures set forth
information described in paragraph (a) of in paragraph (c) of this section. If you intend to
Supplement No. 8 to part 742 must be provided engage in multiple shipments during the one-year
to BIS and the ENC Encryption Request period after the signing of the contract, you need
Coordinator in tabular or spreadsheet form, as an only notify BIS prior to the first shipment.
electronic file in comma separated values format
(.csv) adhering to the specifications set forth in (b) Restrictions
paragraph (b) of Supplement No. 8 to part 742.
(1) No export or reexport to any individual or
entity designated as a Specially Designated
§ 740.18 AGRICULTURAL Terrorist or Foreign Terrorist Organization may
COMMODITIES (AGR) be made under License Exception AGR (see part
744 of the EAR).
(a) Eligibility requirements
(2) No export or reexport to or for use in
License Exception AGR permits the export of biological, chemical, nuclear warfare or missile
agricultural commodities to Cuba, as well as the proliferation activities may be made under
License Exception AGR (see part 744 of the (4) Review by other departments or agencies.
EAR). The Departments of Defense, State, and other
agencies, as appropriate, may review the AGR
(3) No U.S.-owned or controlled foreign firm notification. BIS must receive department or
may export from abroad to Cuba a foreign agency objections within nine business days of
produced agricultural commodity containing the referral. Unlike the provisions described in
more than 25% U.S.-origin content. Such U.S.- §750.4(b) of the EAR, there are no provisions for
owned or controlled foreign firms require a stopping the processing time of the AGR
specific license from BIS as well as the notification. If, within 11 business days after the
Department of the Treasury’s Office of Foreign date of registration, any reviewing agency
Assets Control (OFAC). Transactions not provides a written objection that the recipient
subject to the EAR (under 25% U.S.-origin may promote international terrorism or the
content) require a license from OFAC. transaction raises nonproliferation concerns, you
may not use License Exception AGR. In such
(c) Prior notification cases, BIS will notify you that a license is
required for the export or reexport. BIS will then
(1) General requirement. You must notify process the AGR notification as a license
BIS prior to any export or reexport (or prior to the application in accordance with the provisions
first of multiple shipments) under License described in §750.4 of the EAR, and the licensing
Exception AGR. policies set forth in the EAR. At this time, BIS
may request additional information. When BIS
(2) Procedures. You must provide prior confirms that no agency has raised an objection
notification of exports and reexports under within eleven business days (as described in
License Exception AGR by submitting a paragraph (c)(5) of this section), you may
completed application in accordance with § 748.1 proceed with the transaction provided that you
of the EAR. The following blocks must be satisfy all other requirements of License
completed, as appropriate: Blocks 1, 2, 3, 4, 5 (by Exception AGR, including the requirement to
marking box 5 “Other”), 14, 16, 17,18, 19, 21, 22 have a written contract prior to any shipment
(a), (e), (f), (g), (h), (i), (j), 23, and 25 according (unless a donation or commercial sample).
to the instructions described in Supplement No. 1 (Note that the fact that you have been advised that
to part 748 of the EAR. If your commodity is no agency has objected to the transaction does not
fertilizer, western red cedar or live horses, you exempt you from other licensing requirements
must confirm that BIS has previously classified under the EAR, such as those based on
your commodity as EAR99 by placing the knowledge of a prohibited end-use or end-user as
Commodity Classification Automatic Tracking referenced in general prohibition five (part 736 of
System (CCATS) number in block 22(d). BIS the EAR) and set forth in part 744 of the EAR.)
will not initiate the registration of an AGR
notification unless the application is complete. (5) Status of pending AGR notification
requests. You must contact BIS's System for
(3) Action by BIS. Within two business days of Tracking Export License Applications (STELA)
the registration of the AGR notification, BIS will (https://snapr.bis.doc.gov/stela) for status of your
refer the notification for interagency review, or if pending AGR notification or verify the status in
necessary return the notification without action BIS’s Simplified Network Applications
(e.g., if the information provided is incomplete). Processing Redesign (SNAP-R) System.
Registration is defined as the point at which the STELA will provide the date of registration of the
notification is entered into BIS's electronic AGR notification. If no department or agency
system. objection is raised within 11 business days,
STELA will, on the twelfth business day
following the date of registration, provide you
with confirmation of that fact. You may not are eligible for export or reexport under this
proceed with your shipment unless you confirm section to Sudan only.
with either STELA or SNAP-R that no objection
has been raised. If an objection is raised, (1) Consumer computers designated EAR99 or
STELA and SNAP-R will indicate that a license classified under Export Control Classification
is required. The AGR notification will then be Numbers (ECCN) 5A992.c or 4A994.b;
processed as a license application. In addition,
BIS may provide notice of an objection by (2) Consumer disk drives and solid state storage
telephone, fax, courier service, or other means. equipment classified under ECCN 5A992 or
designated EAR99;
(d) Donations
(3) Input/output control units (other than
(1) Donations of agricultural commodities are industrial controllers designed for chemical
eligible for export and reexport to Cuba under processing) designated EAR99;
License Exception AGR, provided the transaction
meets the requirements and procedures of this (4) Graphics accelerators and graphics
license exception (except the written contract coprocessors designated EAR99;
requirement).
(5) Monitors classified under ECCN 5A992.c or
(2) Donations of food items to non-governmental designated EAR99;
organizations (NGOs) and individuals in Cuba
may also be eligible for License Exception GFT. (6) Printers classified under ECCN 5A992.c or
See §740.12 for eligibility requirements of gift designated EAR99;
parcels and humanitarian donations under
License Exception GFT. (7) Modems classified under ECCNs 5A991.b.2,
5A991.b.4., or 5A992.c or designated EAR99;
§ 740.19 CONSUMER (8) Network access controllers and

COMMUNICATIONS DEVICES (CCD) communications channel controllers classified
under ECCN 5A991.b.4 or designated EAR99;
(a) Authorizations
(9) Keyboards, mice and similar devices
This section authorizes the export or reexport of designated EAR99;
commodities and software to Cuba or Sudan
subject to the requirements stated herein. This (10) Mobile phones, including cellular and
section does not authorize U.S.-owned satellite telephones, personal digital assistants,
or -controlled entities in third countries to engage and subscriber information module (SIM) cards
in reexports of foreign produced commodities to and similar devices classified under ECCNs
Cuba for which no license would be issued by the 5A992.c or 5A991 or designated EAR99;
Department of the Treasury pursuant to 31 CFR
515.559. (11) Memory devices classified under ECCN
5A992.c or designated EAR99;
(b) Eligible commodities and software
(12) Consumer “information security”
Commodities and software in paragraphs (b)(1) equipment, “software” (except “encryption
through (17) of this section are eligible for export source code”) and peripherals classified under
or reexport under this section to Cuba or Sudan. ECCNs 5A992.c or 5D992.c or designated
Commodities in paragraph (b)(18) of this section EAR99;
(13) Digital cameras and memory cards classified eligible end-user for any item exported or
under ECCN 5A992 or designated EAR99; reexported pursuant to this license exception
except for consumer software that is authorized
(14) Television and radio receivers classified under paragraph (b)(12) or (b)(17) of this section
under ECCN 5A992 or designated EAR99; and that is distributed free of charge.
(15) Recording devices classified under ECCN (2) Individuals.

5A992 or designated EAR99;
This License Exception may be used to export
(16) Batteries, chargers, carrying cases and eligible commodities and software to and for the
accessories for the equipment described in this use of individuals other than the following:
paragraph that are designated EAR99;
(17) Consumer “software” (except “encryption (i) Ineligible Cuban Government Officials.
source code”) classified under ECCNs 4D994, Ministers and Vice-Ministers; members of the
5D991 or 5D992.c or designated EAR99 to be Council of State; members of the Council of
used for equipment described in paragraphs Ministers; members and employees of the
(b)(1) through (b)(16) of this section; and National Assembly of People’s Power; members
of any provincial assembly; local sector chiefs of
(18) (Sudan only) Global Positioning System the Committees for the Defense of the
receivers or similar satellite receivers controlled Revolution; Director Generals and sub-Director
under ECCN 7A994. Generals and higher of all Cuban ministries and
state agencies; employees of the Ministry of the
Note to paragraph (b): In this paragraph, Interior (MININT); employees of the Ministry of
the term “consumer” refers to items that are: Defense (MINFAR); secretaries and first
1. Generally available to the public by being sold, secretaries of the Confederation of Labor of Cuba
without restriction, from stock at retail selling (CTC) and its component unions; chief editors,
points by means of any of the following: editors and deputy editors of Cuban state-run
a. Over-the-counter transactions; media organizations and programs, including
b. Mail order transactions; newspapers, television, and radio; or members
c. Electronic transactions; or and employees of the Supreme Court (Tribuno
d. Telephone call transactions; and Supremo Nacional).
2. Designed for installation by the user without
further substantial support by the supplier. (ii) Ineligible Cuban Communist Party
Officials. Members of the Politburo.
(c) Eligible and ineligible end users
(1) Organizations. § 740.20 LICENSE EXCEPTION

STRATEGIC TRADE
(i) This license exception may be used to AUTHORIZATION (STA)
export or reexport eligible commodities and
software to and for the use of independent (a) Introduction
non-governmental organizations in Cuba or
Sudan. This section authorizes exports, reexports, and
transfers (in-country), including releases within a
(ii) The Cuban Government or the Cuban single country of software source code and
Communist Party and organizations they technology to foreign nationals, in lieu of a
administer or control are not eligible end-users. license that would otherwise be required pursuant
to part 742 of the EAR.
(iii) The Government of Sudan is not an
Note 1 to paragraph (a): License Exception (iii) License Exception STA may not be used
STA authorizes transfers (in-country) but is only for any item that is controlled for reason of
needed to authorize a transfer (in-country) when encryption items (EI), short supply (SS),
an EAR authorization is required. If a transfer surreptitious listening (SL), missile technology
(in-country) is not being made under STA, the (MT) or chemical weapons (CW).
requirements specified in this section do not
apply (see Note 1 to paragraphs (b)(2) and (b)(3) (iv) License Exception STA may not be used
of this section for requirements specific to staying for any item identified on the CCL as being
within the scope of the original License Exception subject to the exclusive export control
STA authorization and the concept of ‘completing jurisdiction of another agency, such as the
the chain’ for purposes of “600 series” items Department of State, the Department of Energy,
originally authorized under License Exception or the Nuclear Regulatory Commission.
STA).
(v) License Exception STA may not be used
(b) Requirements and limitations for any item controlled by ECCN 1C351.a, .b, .c,
d.11, .d.12 or .e, ECCNs 1C353, 1C354, 1E001
(1) Requirements for using License Exception (i.e., for technology, as specified in ECCN
STA. 1E001, for items controlled by ECCN 1C351.a,
.b, .c, .d.11, .d.12 or .e or ECCNs 1C353 or
(i) All of the reasons for control that impose a 1C354) or ECCN 1E351.
part 742 license requirement on the export,
reexport or in country transfer must be addressed (vi) Toxins controlled by ECCN 1C351.d.1
in at least one authorizing paragraph of this through 1C351.d.10 and 1C351.d.13 through
section. 1C351.d.19 are authorized under License
Exception STA to destinations indicated in
(ii) The party using License Exception STA Country Group A:5 (See Supplement No.1 to this
must comply with all of the requirements in part), subject to the following limits. For
paragraph (d) of this section. purposes of this paragraph, all such toxins that are
sent from one exporter, reexporter or transferor to
(2) Limitations on use of License Exception a single end-user, on the same day, constitute one
STA. The prohibitions and limits of this shipment.
paragraph (b)(2) apply notwithstanding the
authorizations in paragraph (c) of this section. (A) The maximum amount of any one
toxin in any one shipment may not exceed 100
(i) License Exception STA may not be used milligrams.
in lieu of any license requirement imposed by
“Part 744—Control Policy: End User and End (B) No exporter, reexporter or
Use Based” or by “Part 746—Embargoes and transferor may send more than six shipments of
other Special Controls” of the EAR. any one toxin to any one end user in a single
calendar year.
(ii) License Exception STA may not be used
for: (vii) Commerce Control List Category 7
limitation on use of License Exception STA.
(A) Any item controlled in ECCNs 0A501.a, License Exception STA may not be used for
.b, .c, .d, or .e; 0A981; 0A982; 0A983; 0A503; 7E004 “technology,” except for “technology”
0E504; 0E982; or controlled under 7E004.a.7.
(B) Shotguns with barrel length less than 18 (viii) Commerce Control List Category 9
inches controlled in 0A502. limitations on use of License Exception STA.
such components incorporate any of the

(A) License Exception STA may not be “technologies” controlled by 9E003.a.1,
used for 9D001 or 9D002 “software” that is 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5,
specially designed or modified for the 9E003.c, 9E003.i (other than technology for fan
“development” or “production” of: or power turbines) 9E003.h.
(1) Components of engines (F) License Exception STA may not be

controlled by ECCN 9A001 if such components used for “technology” in 9E003.a.1,
incorporate any of the “technologies” controlled 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5,
by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.c, 9E003.i (other than technology for fan
9E003.a.5, 9E003.c, 9E003.i (other than or power turbines) 9E003.h.
technology for fan or power turbines), 9E003.h;
or (ix) [RESERVED]
(2) Equipment controlled by (x) License Exception STA may not be used
9B001. for items controlled by ECCNs 6A002; 6D002
(software “specially designed” for the “use” of
(B) License Exception STA may not be commodities controlled under 6A002.b);
used for 9D001 “software” that is specially 6D003.c; 6D991 (software “specially designed”
designed or modified for the “development” of for the “development,” “production,” or “use” of
“technology” controlled by 9E003.a.1, commodities controlled under 6A002 or 6A003);
9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 6E001 (“technology” for the “development” of
9E003.c, 9E003.i (other than technology for fan commodities controlled under ECCNs 6A002 or
or power turbines) or 9E003.h. 6A003); or 6E002 “technology” (for the
“production” of commodities controlled under
(C) License Exception STA may not be ECCNs 6A002 or 6A003).
used for 9D004.f or 9D004.g “software”.
(xi) License Exception STA may not be used
(D) License Exception STA may not be for any commodity controlled by ECCN
used for 9E001 “technology” according to the 3A001.b.2 or b.3 (except those that are being
General Technology Note for the “development” exported or reexported for use in civil
of 9A001.b engines or components of engines telecommunications applications), or any
controlled by 9A001.b if such components “technology” controlled by 3E001 for the
incorporate: “production” or “development” of commodities
controlled by 3A001.b.2 or b.3.
(1) Any of the “technologies”
controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, (3) Limitations on the Use of STA that are
9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other Specific to “600 series” Items.
than technology for fan or power turbines) or
9E003.h; (i) License Exception STA may not be used
for any “600 series” items identified in the
(2) Any of the 9D001 or 9D002 relevant ECCN as not being eligible for STA.
software in paragraphs (b)(2)(viii)(A) or (B) of
this section. (ii) License Exception STA may be used to
export, reexport, and transfer (in-country) “600
(E) License Exception STA may not be series” items to persons, whether non-
used for 9E002 “technology” according to the governmental or governmental, if they are in and,
General Technology Note for the “production” of for natural persons, nationals of a country listed
components of engines controlled by 9A001.b if in Country Group A:5 (See Supplement No.1 to
part 740 of the EAR) or the United States and if: Note 1 to paragraphs (b)(2) and (b)(3):
Any export, reexport, or transfer (in-country)
(A) The ultimate end user for such items originally authorized under License Exception
is the armed forces, police, paramilitary, law STA must stay within the scope of the original
enforcement, customs, correctional, fire, or a authorization. For example, for “600 series”
search and rescue agency of a government of one items authorized under License Exception STA,
of the countries listed in Country Group A:5, or such items must be provided to an eligible
the United States Government; ultimate end user, such as a Country Group A:5
military, to stay in compliance with the original
(B) For the “development,” “production,” authorization. This requirement for the “600
operation, installation, maintenance, repair, series” is referred to as ‘completing the chain,’
overhaul, or refurbishing of an item in one of the meaning regardless of how many times the “600
countries listed in Country Group A:5 or the series” item is transferred (in-country) or
United States that will be for one, or more, of the whether the “600 series” item is incorporated
following purposes: into higher level assemblies or other items, the
“600 series” item must ultimately be provided to
(1) Ultimately to be used by any such an eligible ultimate end user, or be otherwise
government agencies in one of the countries authorized under the EAR. This applies
listed in Country Group A:5 or the United States regardless of whether the “600 series” item has
Government; or been incorporated into a foreign-made item that
may no longer be “subject to the EAR.”
(2) Sent to a person in the United Because the other items eligible for authorization
States and not for subsequent export under under License Exception STA (9x515 and other
§ 740.9(b)(1) (License Exception TMP for items non-600 series ECCNs) do not include the “600
moving in transit through the United States); or series” requirements specific to ultimate end
user, this ‘completing the chain’ concept does not
(C) The United States Government has apply to 9x515 and other non-600 series ECCNs
otherwise authorized the ultimate end use, the authorized under License Exception STA.
license or other authorization is in effect, and the However, the original export, reexport, or
consignee verifies in writing that such transfer (in-country) made under License
authorization exists and has provided the license Exception STA for 9x515 and other non-600
or other approval identifier to the exporter, series ECCNs still must comply with the original
reexporter or transferor (as applicable). authorization – meaning the terms and conditions
of License Exception STA.
(iii) License Exception STA may not be used
to export, reexport, or transfer (in-country) end
items described in ECCN 0A606.a, ECCN (c) Authorizing paragraphs
8A609.a, ECCN 8A620.a or .b, or ECCN
9A610.a until after BIS has approved their export (1) Multiple reasons for control. Exports,
under STA under the procedures set out in reexports, and transfers (in-country) in which the
§ 740.20(g). only applicable reason(s) for control is (are)
national security (NS); chemical or biological
(iv) License Exception STA may not be used weapons (CB); nuclear nonproliferation (NP);
to export, reexport, or transfer (in-country) “600 regional stability (RS); crime control (CC),
series” items if they are “600 Series Major and/or significant items (SI) are authorized for
Defense Equipment” and the value of such items destinations in or nationals of Country Group A:5
in the contract requiring their export exceeds (See Supplement No.1 to part 740 of the EAR).
$25,000,000.
Note to paragraph (c)(1). License or transferor makes an additional reexport or

Exception STA under § 740.20(c)(1) may be used transfer (in-country) of the same item, if the
to authorize the export, reexport, or transfer (in- information remains accurate at the time of the
country) of “600 series” items only if the additional reexport or transfer (in-country).
purchaser, intermediate consignee, ultimate
consignee, and end user have previously been (iii) For purposes of determining reexport or
approved on a license or other approval, i.e., transfer eligibility under this section, the
Directorate of Defense Trade Controls (DDTC) consignee may rely on the ECCN provided to it
Manufacturing License Agreement (MLA), by the party required to furnish the ECCN under
Technical Assistance Agreement (TAA), paragraph (d)(1)(i) or (ii) of this section unless
Warehouse Distribution Agreement (WDA), or the consignee knows that the ECCN is incorrect
General Correspondence approval (GC) issued or has changed. The word “knows” has the same
by BIS or DDTC at the U.S. Department of State. meaning as the term “knowledge” in § 772.1 of
the EAR.
(2) Controls of lesser sensitivity. Exports, (2) Prior Consignee Statement. The
reexports and transfers (in-country) in which the requirements in this paragraph (d)(2) apply to
only applicable reason for control is national each party using License Exception STA to
security (NS) and the item being exported, export, reexport, or transfer (in-country),
reexported or transferred (in-country) is not including reexporters and transferors of items
designated in the STA paragraph in the License previously received under License Exception
Exception section of the ECCN that lists the item STA. The exporter, reexporter, or transferor
are authorized for destinations in or nationals of must obtain the following statement in writing
Country Group A:6 (See Supplement No.1 to this from its consignee(s) prior to exporting,
part). reexporting, or transferring (in-country) the item
and must retain the statement in accordance with
(d) Conditions part 762 of the EAR. One statement may be
used for multiple exports, reexports, or transfers
(1) Requirement to furnish Export Control (in-country) of the same items between the same
Classification Number. parties so long as the party names, the
description(s) of the item(s) and the ECCNs are
(i) The exporter must furnish to the consignee correct. The exporter, reexporter, or transferor
the ECCN of each item to be exported pursuant must maintain a log or other record (such as
to this section. Once furnished to a particular documents created in the ordinary course of
consignee, the ECCN that applies to any item business) that identifies each shipment made
need not be refurnished to that consignee at the pursuant to this section and the specific consignee
time the same exporter makes an additional statement that is associated with each shipment.
export of the same item, if the information For purposes of this paragraph (d)(2), a log or
remains accurate at the time of the additional other record is not required for intangible (i.e.,
export. electronic or in an otherwise intangible form)
exports, reexports, or transfers (in-country) made
(ii) A reexporter or transferor must furnish to under License Exception STA, but an exporter,
subsequent consignees the ECCN, provided by reexporter, or transferor is required, prior to
the exporter or a prior reexporter or transferor, of making any export, reexport, or transfer (in-
each item to be reexported or transferred (in- country), to ensure that a prior consignee
country) pursuant to this section. Once statement has been obtained pursuant to the
furnished to a particular consignee, the ECCN requirements of this paragraph (d)(2). (See Note
that applies to any item need not be refurnished 1 to paragraph (d)(3) of this section for additional
to that consignee at the time the same reexporter guidance on intangible exports, reexports, and
transfers (in-country), including best practices).

Paragraphs (d)(2)(i) through (vi) of this section (vii) Understands that License Exception STA
are required for all transactions. In addition, may be used to export, reexport, and transfer (in-
paragraph (d)(2)(vii) is required for all country) “600 series” items to persons, whether
transactions in “600 series” items and paragraph non-governmental or governmental, only if they
(viii) of this section is required for transactions in are in and, for natural persons, nationals of a
“600 series” items if the consignee is not the country listed in Country Group A:5 (See
government of a country listed in Country Group supplement no. 1 to part 740 of the EAR) or the
A:5 (See supplement no. 1 to part 740 of the United States and if:
EAR). Paragraph (d)(2)(viii) is also required for
transactions including 9x515 items. (A) The ultimate end user for such
[INSERT NAME(S) OF CONSIGNEE(S)]: items is the armed forces, police, paramilitary,
law enforcement, customs, correctional, fire, or a
(i) Is aware that [INSERT GENERAL search and rescue agency of a government of one
DESCRIPTION AND APPLICABLE ECCN(S) of the countries listed in Country Group A:5 or
OF ITEMS TO BE SHIPPED (e.g., aircraft parts the United States Government;
and components classified under ECCN 9A610)]
will be shipped pursuant to License Exception (B) For the “development,” “production,”
Strategic Trade Authorization (STA) in § 740.20 operation, installation, maintenance, repair,
of the United States Export Administration overhaul, or refurbishing of an item in one of the
Regulations (15 CFR 740.20); countries listed in Country Group A:5 or the
United States that will be for one, or more, of the
(ii) Has been informed of the ECCN(s) following purposes:
noted above by [INSERT NAME OF
EXPORTER, REEXPORTER OR (1) Ultimately to be used by any
TRANSFEROR]; such government agencies in one of the countries
listed in Country Group A:5 or the United States
(iii) Understands that items shipped pursuant Government; or
to License Exception STA may not subsequently
be reexported pursuant to paragraphs (a) or (b) of (2) Sent to a person in the United
License Exception APR (15 CFR 740.16(a) or States and not for subsequent export under
(b)); § 740.9(b)(1) (License Exception TMP for items
(iv) Agrees to obtain a prior consignee moving in transit through the United States); or
statement when using License Exception STA for
any reexport or transfer (in-country) of items (C) The United States Government has
previously received under License Exception otherwise authorized the ultimate end use, the
STA; license or other authorization is in effect, and the
consignee verifies in writing that such
(v) Agrees not to export, reexport, or transfer authorization exists and has provided the license
these items to any destination, use or user or other approval identifier to the exporter,
prohibited by the United States’ Export reexporter or transferor (as applicable).
Administration Regulations;
(viii) Agrees to permit a U.S. Government
(vi) Agrees to provide copies of this end-use check with respect to the items.
document and all other export, reexport, or
transfer records (i.e., the documents described in [INSERT NAME(S) AND TITLE(S) OF
15 CFR part 762) relevant to the items referenced PERSON(S) SIGNING THIS DOCUMENT,
in this statement to the U.S. Government as set AND DATE(S) DOCUMENT IS SIGNED].
forth in 15 CFR 762.7;
Note 1 to paragraph (d)(2): When multiple source code or technology within a single
consignees who form a network engaged in a country. Instead of the requirement of
production process (or other type of paragraphs (d)(1) through (d)(3) of this section,
collaborative activity, such as joint development) the party releasing software source code or
will be receiving items under License Exception technology to a national of a country listed in
STA, a single prior consignee statement for Country Group A:5 or A:6 (See Supplement No.1
multiple consignees may be used for any item to this part)must notify the recipient of the
eligible for export, reexport, or transfer (in- software source code or technology of the
country) under License Exception STA, provided restrictions upon further release of the software
all of the applicable requirements of License source code or technology. The notification
Exception STA are met, including those specified must either expressly inform the recipient that the
in paragraph (d)(2). EAR impose limits on further disclosure or must
be in the form of an agreement in which the
Note 2 to paragraph (d)(2): Country Group recipient agrees to limits on further disclosure.
A:5 and A:6 government consignees are not Any such agreement must impose limits that are
required to sign or provide a prior consignee equivalent to or more restrictive than all limits on
statement. further disclosure that are imposed by the EAR.
The notification must be in writing and a copy of
(3) Notification to consignee of STA shipment. it must be retained by the party making the release
With each shipment under License Exception and the recipient of the release. The notification
STA, the exporter (or reexporter or transferor as may be in a separate document or included in a
applicable), must notify the consignee in writing document such as a contract or a nondisclosure
that the shipment is made pursuant to License agreement. If the document has an expiration
Exception STA. The notice must either specify date, it must provide that the restrictions on
which items are subject to License Exception disclosure do not expire.
STA or state that the entire shipment is made
pursuant to License Exception STA. The notice (e) Limitation on subsequent exports, reexports
must clearly identify the shipment to which it or in country transfers.
applies. The written notice may be conveyed by
paper documents or by electronic methods such If a commodity has been exported, reexported or
as facsimile or email. transferred in-country pursuant to this section, it
may not be subsequently exported, reexported or
Note 1 to paragraph (d)(3): While the transferred in-country pursuant to paragraphs (a)
exporter, reexporter, and transferor must furnish or (b) of License Exception APR (§ 740.16(a) or
the applicable ECCN and obtain a consignee (b) of the EAR). Paragraphs (a) and (b) of
statement prior to export, reexport or transfer License Exception APR do not authorize exports
(in-country) made under License Exception STA of software or technology.
in accordance with the requirements of
paragraphs (d)(1) and (d)(2) of this section, (f) Applicability of Wassenaar Arrangement
intangible (i.e., electronic or in an otherwise reporting requirements.
intangible form) exports, reexports, and transfers
(in-country) made under License Exception STA See § 743.1 of the EAR for special reporting
are not subject to the notification requirements of requirements that apply to some exports made
paragraph (d)(3) of this section. However, any pursuant to this section.
export, reexport, or transfer (in-country) made
under STA must stay within the scope of the (g) License Exception STA eligibility requests
original authorization. for 9x515 and “600 series” items.
(4) Requirements for releases of software
(1) Applicability. Any person may request by the departments’ representatives to the
License Exception STA eligibility for end items Advisory Committee on Export Policy (ACEP),
described in ECCN 0A606.a, ECCN 8A609.a, or their designees.
ECCNs 8A620.a or .b, “spacecraft” in ECCNs
9A515.a.1, .a.2, .a.3, .a.4, or .g, 9A610.a, or (5) Disposition of License Exception STA
technology ECCNs 9E515.b, .d, .e, or .f. eligibility requests.
(2) Required information and manner of (i) Approvals. If the request for STA
requests. Requests for License Exception STA eligibility is approved, the applicant will receive
eligibility must be made via the BIS Simplified notification from BIS authorizing the use of the
Network Application Process –Redesign (SNAP- additional License Exception STA for the
R) system unless BIS authorizes submission via specific end items requested. This will be in the
the paper BIS-748-P Multipurpose Application form of a notice generated by SNAP-R to the
form. For situations in which BIS 748-P applicant. Applicants who receive an approval
submissions may be authorized, see § notification may share it with companies
748.1(d)(1). For required information specific affiliated with them, such as a branch or
to License Exception STA eligibility requests, distributor, and may also take steps to make it
see Supplement No 1 to part 748, Blocks 5 and 6 public (e.g., on their website) if the applicants so
and Supplement No. 2 to part 748, paragraph (w). wish. In addition, BIS will add a description of
In SNAP-R the work type for these applications the approved end item in the relevant ECCN and
is “Export.” in an online table posted on the BIS website,
which removes the restriction on the use of
(3) Timeline for USG review. The License Exception STA for the end item
Departments of Commerce, Defense and State identified in the approved request. BIS will
will review License Exception STA eligibility publish, as needed, a final rule adding this license
requests in accordance with the timelines set forth exception eligibility to the EAR for that ECCN
in Executive Order 12981 and § 750.4. If the entry or end item.
License Exception STA request is approved, the
process outlined in paragraph (g)(5)(i) of this (ii) Denials. If the STA eligibility request is
section is followed. not approved, the applicant will receive written
notification from BIS. This will be in the form
(4) Review criteria. The Departments of of a notice generated by SNAP-R to the applicant.
Commerce, Defense and State will determine Applicants may re-submit STA eligibility
whether the “end item” is eligible for this license requests at any time.
exception based on an assessment of whether it
provides a critical military or intelligence
advantage to the United States or is otherwise § 740.21 SUPPORT FOR THE CUBAN
available in countries that are not regime partners PEOPLE (SCP)
or close allies. If the “end item” does not
provide a critical military or intelligence (a) Introduction
advantage to the United States or is otherwise
available in countries that are not regime partners This License Exception authorizes certain
or close allies, the Departments will determine exports and reexports to Cuba that are intended to
that License Exception STA is available unless an support the Cuban people by improving their
overarching foreign policy rationale for living conditions and supporting independent
restricting STA availability can be articulated. economic activity; strengthening civil society in
Consensus among the Departments is required in Cuba; and improving the free flow of information
order for an “end item” to be eligible for License to, from, and among the Cuban people.
Exception STA. Such determinations are made
(b) Improving living conditions and supporting

independent economic activity (1) The export or reexport to Cuba of donated
items for use in scientific, archaeological,
This paragraph authorizes the export or reexport cultural, ecological, educational, historic
to Cuba of items designated as EAR99, or preservation, or sporting activities. The items
controlled on the Commerce Control List (CCL) may not be donated to organizations administered
(Supplement No. 1 to Part 774 of the EAR) only or controlled by the Cuban government or
for anti-terrorism reasons (i.e., anti-terrorism communist party, and must support eligible
must be the only reason for control that applies to activities independent of the Cuban government
the item as set forth in the Export Control and communist party. The activities may not
Classification Number (ECCN) that controls the relate to the “development,” “production,” “use,”
item). If any other reason for control applies to operation, installation, maintenance, repair,
the item, it is not authorized for export or reexport overhaul or refurbishing of any item enumerated
by this paragraph. The item must be within one or otherwise described on the United States
or more of the following categories: Munitions List (22 CFR part 121) or of any item
enumerated or otherwise described on the
(1)Items for use by the Cuban private sector for Commerce Control List (supplement no. 1 to part
private sector economic activities, except for 774 of the EAR) unless the only reason for
items that would be used to: control that applies to that item, as set forth in the
ECCN that controls that item, is anti-terrorism.
(i) Primarily generate revenue for the state; or
(2) The temporary export or reexport to Cuba of
(ii) Contribute to the operation of the state, items by travelers to Cuba for the travelers’ use
including through the construction or renovation in scientific, archeological, cultural, ecological,
of state-owned buildings. educational, historic preservation, or sporting
activities, or professional meetings or research.
(2) Items sold directly to individuals in Cuba for The following requirements apply:
their personal use or their immediate family’s
personal use, other than officials identified in (i) The research must be directly related to
paragraphs (d)(4)(ii) or (iii) of this section.; traveler’s profession, professional background or
area of expertise, including area of graduate-level
full-time study.
(ii) The activities or research may not relate

(c) Strengthening civil society to the “development,” “production,” “use,”
operation, installation, maintenance, repair,
This paragraph authorizes the export or reexport overhaul or refurbishing of any item enumerated
to Cuba of certain items for use in specified or otherwise described on the United States
activities that can strengthen civil society. The Munitions List (22 CFR Part 121) or of any item
items authorized pursuant this paragraph are enumerated or otherwise described on the
limited to those designated as EAR99 or Commerce Control List (Supplement No. 1 to
controlled only for anti-terrorism reasons on the Part 774 of the EAR) unless the only reason for
CCL (i.e., anti-terrorism must be the only reason control that applies to that item as set forth in the
for control that applies to the item as set forth in ECCN that controls that item is anti-terrorism.
the ECCN that controls the item). If any other
reason for control applies to the item, it is not (iii) The items must remain under the
authorized for export or reexport by this traveler’s “effective control” while in Cuba.
paragraph. The export or reexport must be
within one or more of the following categories:
(iv) Items authorized for temporary export by private sector only (e.g., not Cuban government
this paragraph must be returned to the United ministries or state-owned enterprises).
States within two years of the date of export from
the United States unless: (2) The export or reexport to Cuba of items for
use by news media personnel engaged in the
(A) The items are consumed in Cuba; or gathering and dissemination of news to the
general public and who are:
(B) The exporter applies for and receives
a license from BIS, prior to the expiration of the (i) Regularly employed as journalists by a
two year period, authorizing the items to remain news reporting organization;
in Cuba for longer than two years.
(ii) Regularly employed as supporting
(v) Paragraph (c)(2) does not authorize broadcast or technical personnel;
exports if, at the time of the export, the exporter
has “knowledge” that the item exported will (iii) Freelance journalists with a record of
remain in Cuba for more than two years. previous journalistic experience working on a
freelance journalistic project; or
(3) The export or reexport to Cuba of items to
human rights organizations, individuals or non- (iv) Broadcast or technical personnel with a
governmental organizations that promote record of previous broadcast or technical
independent activity intended to strengthen civil experience who are supporting a freelance
society. journalist working on a freelance journalistic
project.
(d) Improving communications
(3) The export or reexport to Cuba of items for
This paragraph authorizes the export or reexport use by U.S. news bureaus engaged in the
to Cuba of certain items intended to improve the gathering and dissemination of news to the
free flow of information to, from, and among the general public.
Cuban people. The items authorized pursuant to
this paragraph are limited to those designated as (4) The export or reexport to Cuba of
EAR99 or controlled only for anti-terrorism commodities or software that will be used by
reasons on the CCL (i.e., anti-terrorism must be individuals or private sector entities to develop
the only reason for control that applies to the item software that will improve the free flow of
as set forth in the ECCN that controls the item). information or that will support the private sector
If any other reason for control applies to the item, activities described in paragraph (b) of this
it is not authorized for export or reexport by this section. The following are ineligible end-users:
paragraph. The export or reexport must be
within one or more of the following categories: (i) The Cuban Government or the Cuban
Communist Party and organizations they
(1) The export or reexport to Cuba of items for administer or control;
the creation and upgrade of telecommunications
infrastructure to improve the free flow of (ii) Ministers and Vice-Ministers; members of
information to, from, and among the Cuban the Council of State; members of the Council of
people, including infrastructure that enables Ministers; members and employees of the
access to the Internet and use of Internet services. National Assembly of People’s Power; members
For infrastructure items that would be used to of any provincial assembly; local sector chiefs of
connect specific end users, those items may be the Committees for the Defense of the
used to connect individual Cubans or the Cuban Revolution; Director Generals and sub-Director
Generals and higher of all Cuban ministries and
state agencies; employees of the Ministry of the This paragraph (f) authorizes the export or
Interior (MININT); employees of the Ministry of reexport to Cuba, for periods not exceeding one
Defense (MINFAR); secretaries and first year, of certain items designated as EAR99 or
secretaries of the Confederation of Labor of Cuba controlled only for anti-terrorism reasons on the
(CTC) and its component unions; chief editors, CCL (i.e., anti-terrorism must be the only reason
editors and deputy editors of Cuban state-run for control that applies to the item as set forth in
media organizations and programs, including the ECCN that controls the item). If any other
newspapers, television, and radio; or members reason for control applies to the item, it is not
and employees of the Supreme Court (Tribuno authorized for export or reexport by this
Supremo Nacional); and paragraph. This paragraph does not authorize
any transaction if the exporter or reexporter has
(iii) Members of the Politburo. “knowledge” that the item is intended to remain
in Cuba for more than one year; if an order to
(e) Facilitating engagement, acquire the item, such as a purchase order, has
communications, and commerce been received before shipment; or when the item
is for subsequent lease or rental. The export or
This paragraph (e) authorizes the export or reexport must be within one or more of the
reexport to Cuba of certain items intended to following categories.
facilitate engagement between the U.S. and
Cuban people; the free flow of information to, (1) Tools of trade – commodities and software.
from, and among the Cuban people; and Commodities or software to be used by the
independent economic activity in Cuba. The exporter or reexporter or its employees for the
export or reexport must be within one or more of installation, servicing or repair of items that are
the following categories: subject to the EAR and that have been exported
or reexported to Cuba under a license or license
(1) The export or reexport to Cuba of items for exception, or foreign-origin items that are not
use by persons authorized by the Department of subject to the EAR that are owned and used
the Treasury, Office of Foreign Assets Control exclusively by private sector entities in Cuba,
(OFAC) to establish and maintain a physical or may be exported or reexported under this
business presence in Cuba pursuant to 31 CFR paragraph (f). The commodities or software
515.573 or pursuant to a specific license issued must remain under the “effective control” of the
by OFAC. The items authorized pursuant to this exporter or reexporter or its employees.
paragraph (e)(1) are limited to those designated Examples of security precautions to help prevent
as EAR99 (i.e., items subject to the EAR but not unauthorized access include the following:
specified in any ECCN) or controlled on the CCL
only for anti-terrorism reasons. (i) Use of secure connections, such as Virtual
Private Network connections, when accessing IT
(2) [Reserved] networks for activities that involve the
transmission and use of the software authorized
Note to paragraph (e). Any resulting under this license exception;
payments associated with establishing or
maintaining a physical or business presence in (ii) Use of password systems on electronic
Cuba, such as lease payments, are permitted only devices that store the software authorized under
to the extent authorized by 31 CFR 515.573 or a this license exception; and
specific license issued by OFAC.
(iii) Use of personal firewalls on electronic
(f) Temporary exports and devices that store the software authorized under
reexports to Cuba this license exception.
(2) Tools of trade – technology. Technology to (iii) Use of personal firewalls on electronic
be used by a ‘U.S. person’ exporter or reexporter devices that will store the technology authorized
or its employees who are traveling to or on under this license exception.
temporary assignment in Cuba for the
installation, servicing or repair of items that are (3) Kits of replacement “parts” or
subject to the EAR and that have been exported “components.” Kits consisting of replacement
or reexported to Cuba under a license or license “parts” or “components” for items that have been
exception, or foreign-origin items that are not exported or reexported to Cuba under a license or
subject to the EAR that are owned and used license exception, or foreign-origin items that are
exclusively by private sector entities in Cuba, not subject to the EAR that are owned and used
may be exported or reexported under this exclusively by private sector entities in Cuba,
paragraph (f). For purposes of this paragraph may be exported or reexported under this
(f)(2), a ‘U.S. person’ is: an individual who is a paragraph (f)(3) provided:
citizen of the United States, an individual who is
“lawfully admitted for permanent residence” in (i) The kits remain under “effective control”
the United States as defined by 8 U.S.C. of the exporter or reexporter or its employees; and
1101(a)(20) or an individual who is a protected
individual as defined by 8 U.S.C. 1324b(a)(3). (ii) All parts and components in the kit are
‘U.S. person’ also means any juridical person returned, except that one-for-one replacements
organized under the laws of the United States, or may be made in accordance with the
any jurisdiction within the United States (e.g., requirements of License Exception Servicing and
corporation, business association, partnership, Replacement of Parts and Equipment (RPL) and
society, trust, or any other entity, organization or the defective parts and components returned (see
group that is authorized to do business in the Parts, Components, Accessories and Attachments
United States). If the employee who will use the in § 740.10(a)).
technology is not a ‘U.S. person,’ the release of
that technology to that employee must either not (4) Exhibition and demonstration.
require a license or be authorized by a license or Commodities or software for exhibition or
a license exception other than this section before demonstration at trade shows, or to any entity that
it may be exported or reexported to that employee would be eligible to receive the commodities or
under this paragraph. The exporter or reexporter software under paragraphs (a) through (e) of this
and the recipient of the technology must take section, may be exported or reexported under this
security precautions to protect against paragraph (f). The commodities or software
unauthorized release of the technology while the must remain under the “effective control” of the
technology is being shipped or transmitted and exporter or reexporter or its private sector agent,
used overseas. Examples of security precautions may not be exhibited or demonstrated at any one
to help prevent unauthorized access include the location for more than 30 days and may not be
following: used for more than the minimum extent required
for effective exhibition or demonstration.
(i) Use of secure connections, such as Virtual
Private Network connections, when accessing IT (5) Containers. Containers that would require a
networks for e-mail and other business activities license for export or reexport to Cuba but that are
that involve the transmission and use of the necessary for shipment of commodities being
technology authorized under this license exported to Cuba under a license or license
exception; exception may be exported or reexported to Cuba.
(ii) Use of password systems on electronic However, this paragraph (f) does not authorize
devices that will store the technology authorized the export of the container’s contents, which, if
under this license exception; and not exempt from licensing, must be separately
authorized for export or reexport under either a
license or a license exception.
Commerce Country Chart Supplement No. 1 to Part 740– page 1
SUPPLEMENT NO. 1 TO PART 740 – COUNTRY GROUPS
Supplement No. 1 to part 740 is in a separate electronic file.
Humanitarian Needs Items Supplement No. 2 to Part 740– page 1
SUPPLEMENT NO. 2 TO PART 740 - ITEMS THAT MAY BE DONATED TO MEET

BASIC HUMAN NEEDS UNDER THE HUMANITARIAN LICENSE EXCEPTION
(a) Health (c) Clothes and Household Goods
Equipment for the Handicapped Bedding
Hospital Supplies and Equipment Clothes
Laboratory Supplies and Equipment Cooking Utensils
Medical Supplies and Devices Fabric
Medicine-Processing Equipment Personal Hygiene Items
Medicines Soap-Making Equipment
Vitamins Weaving and Sewing Equipment
Water Resources Equipment (d) Shelter
Food Building Materials
Agricultural Materials and Machinery Suited to Hand Tools

Small-Scale Farming Operations
(e) Education
Agricultural Research and Testing Equipment
Books
Fertilizers
Individual School Supplies
Fishing Equipment and Supplies Suited to
Small-Scale Fishing Operations School Furniture
(b) Food Special Education Supplies and Equipment for

the Handicapped
Insecticides
(f) Basic Support Equipment and Supplies
Pesticides Necessary to Operate and Administer the
Donative Program
Seeds
Audio-Visual Aids for Training
Small-Scale Irrigation Equipment
Generators
Veterinary Medicines and Supplies
Office Supplies and Equipment
LE ENC Favorable Treatment Countries Supplement No. 3 to Part 740– page 1
SUPPLEMENT NO. 3 TO PART 740 - LICENSE EXCEPTION ENC FAVORABLE

TREATMENT COUNTRIES
Australia Germany New Zealand

Austria Greece Norway
Belgium Hungary Poland
Bulgaria Iceland Portugal
Canada Ireland Romania
Croatia Italy Slovakia
Cyprus Japan Slovenia
Czech Republic Latvia Spain
Denmark Lithuania Sweden
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ANNEX A FIREARM MODELS Supplement No. 4 to Part 740– page 1
SUPPLEMENT NO. 4 TO PART 740 – ANNNEX A FIREARM MODELS
(a) Pistols/revolvers. (b) Rifles.
(1) German Model P08 Pistol = SMCR. (1) BARS-4 Bolt Action carbine.
(2) IZH 34M, .22 Target pistol. (2) Biathlon target rifle, .22.
(3) IZH 35M, .22 caliber Target pistol. (3) British Enfield rifle = SMCR.
(4) Mauser Model 1896 pistol = SMCR. (4) CM2, .22 target rifle (also known as
SM2, .22).
(5) MC-57-1 pistol.
(5) German model 98K =SMCR.
(6) MC-1-5 pistol.
(6) German model G41 = SMCR.
(7) Polish Vis Model 35 pistol = SMCR.
(7) German model G43=SMCR.
(8) Soviet Nagant revolver = SMCR.
(8) IZH-94.
(9) TOZ 35, .22 caliber Target pistol.
(9) LOS-7, bolt action.
(10) MTs 440.
(10) MC-7-07.
(11) MTs 57-1.
(11) MC-18-3.
(12) MTs 59-1.
(12) MC-19-07.
(13) MTs 1-5.
(13) MC-105-01.
(14) TOZ-35M (starter pistol).
(14) MC-112-02.
(15) Biathlon-7K.
(15) MC-113-02.
(16) MC-115-1.
(17) MC-125/127.
(18) MC-126.
(19) MC-128.
(20) Saiga.
(21) Soviet Model 38 carbine=SMCR.
(22) Soviet Model 44 carbine-SMCR.
(23) Soviet Model 91/30 rifle=SMCR.
(24) TOZ 18, .22 bolt action.
(25) TOZ 55.
(26) TOZ 78. (53) MTs 126.
(27) Ural Target, .22lr. (54) MTs 127.
(28) VEPR rifle. (55) Berkut-2.
(29) Winchester Model 1895, Russian Model (56) Berkut-2M1.

rifle=SMCR.
(57) Berkut-3.
(30) Sever – double barrel.
(58) Berkut-2-1.
(31) IZH18MH single barrel break action.
(59) Berkut-2M2.
(32) MP-251 over/under rifle.
(60) Berkut-3-1.
(33) MP-221 double barrel rifle.
(61) Ots-25.
(34) MP-141K.
(62) MTs 20-07.
(35) MP-161K.
(63) LOS-7-1.
(36) MTs 116-1.
(64) LOS -7-2.
(37) MTs 116M.
(65) LOS-9-1.
(38) MTs 112-02.
(66) Sobol (Sable).
(39) MTs 115-1.
(67) Rekord.
(40) MTs 113-02.
(68) Bars-4-1.
(41) MTs 105-01.
(69) Saiga.
(42) MTs 105-05.
(70) Saiga-M.
(43) MTs 7-17 combination gun.
(71) Saiga 308.
(44) MTs 7-12-07 rifle/shotgun.
(72) Saiga-308-1.
(45) MTs 7-07.
(73) Saiga 308-2.
(46) MTs 109-12-07 rifle.
(74) Saiga-9.
(47) MTs 109-07 rifle.
(75) Korshun.
(48) MTs 106-07 combination.
(76) Ural-5-1.
(49) MTs 19-97.
(77) Ural 6-1.
(50) MTs 19-09.
(78) Ural-6-2.
(51) MTs 18-3M.
(79) SM-2.
(52) MTs 125.
(80) Biatlon-7-3.
(81) Biatlon-7-4.
(82) Rekord-1.
(83) Rekord-2.
(84) Rekord-CISM.
(85) Rekord-1-308.
(86) Rekord-2-308.
(87) Rekord-1-308-CISM.
(88) VEPR.
(89) VEPR Super.
(90) VEPR Pioneer.
(91) VEPR Safari.
(92) TOZ 109.
(93) KO 44-1.
(94) TOZ 78-01.
(95) KO 44.
(96) TOZ 99.
(97) TOZ 99-01.
(98) TOZ 55-01 Zubr.
(99) TOZ 55-2 Zubr.
(100) TOZ 120 Zubr.
(101) MTs 111.
(102) MTs 109.
(103) TOZ 122.
(104) TOZ 125.
(105) TOZ 28.
(106) TOZ 300.

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License Exceptions Part 740 – page 1

Table of Contents § 740.17 ENCRYPTION COMMODITIES,

(7) With the exception of License Exception

(6) The export or reexport is to a sanctioned (9) [RESERVED]

the EAR for other U.S. Government departments

(i) Reexport or release the technology to a

§ 740.6 TECHNOLOGY AND

(b) Reporting requirements (ii) Technology and source code.

Tuvalu, Uganda, United Kingdom, Uruguay,

(ii) The firearms were not shipped from or

paragraph (c), the exporter or reexporter must § 740.10 SERVICING AND

(ii) Parts, components, accessories, and (iii) No parts, components, accessories, or

Republic of China (PRC). Commodities and commodity or software be exported to be held in

whichever is shorter. (B) Provided to U.S. Customs and Border

(ii) The type of repair or service; (a) International Safeguards.

Note 2 to paragraph (b)(2): Items (2) The export, reexport, or transfer

contained in this paragraph (e). (iii) The return or destruction of defective or

) except for those items prohibited in paragraph

(A) Prohibited items. Example to paragraph (a)(2)(i)(B) of this

(b) Humanitarian donations

(5) Ineligible commodities and software. § 740.13 TECHNOLOGY AND

(iv) Specific class(es) of beneficiaries of (2) Provisions and Destinations.

(b) Sales technology The provisions of paragraph (c) authorize exports

is thus outside the scope of License Exception

(1) Over the counter transactions; (ii) An individual in a long-term contractual

This paragraph authorizes the export, reexport, or

(2) The revisions to the technology are solely

§ 740.15 AIRCRAFT, VESSELS AND

(2) U.S. registered aircraft.

(vii) No transfer of technology. No services for necessary repair to fishing and

Note to paragraph (a). An aircraft exported (iii) Food stores;

(d) Reexports of any item from Canada that, at

(e) Reexports (return) to the United States of § 740.17 ENCRYPTION

acting on behalf of any foreign government; or

4. Items described in paragraphs (b)(2)(iii) (i) Maximum transmission data rates

(A) ‘Network Infrastructure.’ ‘Network a. The encryption of data over satellite is

Note 1 to paragraph 2: ‘Network impairing the use of cyber infrastructure or

(2) Custom or changeable cryptography. The (A) Technology for “non-standard

Note to paragraph (b)(2): Commodities, (B) Cryptographic libraries, modules,

(ii) Technical information submission (B) Upon completion of its classification,

(iii) Exclusions from reporting requirement.

(i) Information required. (ii) How to report. Encryption self-

§ 740.19 CONSUMER (8) Network access controllers and

(15) Recording devices classified under ECCN (2) Individuals.

(1) Organizations. § 740.20 LICENSE EXCEPTION

such components incorporate any of the

(1) Components of engines (F) License Exception STA may not be

Note to paragraph (c)(1). License or transferor makes an additional reexport or

transfers (in-country), including best practices).

(4) Requirements for releases of software

(b) Improving living conditions and supporting

(ii) The activities or research may not relate

license or a license exception.

SUPPLEMENT NO. 1 TO PART 740 – COUNTRY GROUPS

Supplement No. 1 to part 740 is in a separate electronic file.

SUPPLEMENT NO. 2 TO PART 740 - ITEMS THAT MAY BE DONATED TO MEET

(a) Health (c) Clothes and Household Goods

Equipment for the Handicapped Bedding

Hospital Supplies and Equipment Clothes