1. Controlled Commodities
How to find out if the item is export controlled

2. Law and Regulations Commerce Department State Department
Treasury Department
Export Administration Act
Arms Export Control Act
Trading with the Enemy Act, Int’l Emergency Economic Powers Act, & Others
Export Administration Regulations (“EAR”)
15 C.F.R. Parts
International Traffic in Arms Regulations (“ITAR”)
22 C.F.R. Parts
Iraq Sanctions Regulations, Terrorism Sanctions Regulations, & Others
31 C.F.R. Parts
Commerce Control List
15CFR Part 774
U.S. Munitions List
22 CFR Part 121
List of Specially Designated Nationals & Blocked Persons

3. Commerce Control List (CCL), 15CFR Part 774
Category 0 - Nuclear Materials, Facilities and Equipment and Misc.
Category 1 - Materials, Chemicals, Microorganisms and Toxins
Category 2 - Materials Processing
Category 3 - Electronics
Category 4 - Computers
Category 5 - Telecommunications and Information Security
Category 6 - Lasers and Sensors
Category 7 - Navigation and Avionics
Category 8 - Marine
Category 9 - Propulsion Systems, Space Vehicles and Related Equipment

4. Commerce Control List (CCL)
Within each category, items are arranged by group. Each category contains the same five groups. Each Group is identified by the letters A through E, as follows:
A-Equipment, Assemblies and Components
B-Test, Inspection and Production Equipment
C-Materials
D-Software
E-Technology (Specific information necessary for the ‘development’, ‘production’, or ‘use’ of a product, including ‘technical data’ or ‘technical assistance’. ‘Technical data’ may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions.)

5. Examples of Items Covered by Category 3 - Electronics
GROUP: Systems, Equipment, and Components
General purpose integrated circuits: microprocessor microcircuits, micro-computer microcircuits, and microcontroller microcircuits, having any of the following:
manufactured from a compound semiconductor and operating at a clock frequency exceeding 40MHz; or
storage integrated circuits manufactured from a compound semiconductor; or
digital-to-analogue converters with a resolution of 12 bit or more, and a ‘settling time’ of less than 10 ns
Microwave integrated circuits or modules having all of the following: containing ‘monolithic integrated circuits’ having one or more active circuit elements, and operating at frequencies above 3GHz
Voice print identification and analysis equipment and parts

6. Examples of Items Covered by Category 3 - Electronics
GROUP: Test, Inspection and Production Equipment
Equipment for the manufacturing of semiconductor devices or materials and specially designed components and accessories therefor:
‘Stored program controlled’ equipment designed for epitaxial growth capable of producing a layer thickness uniform to less than +=2.5% across a distance of 75 nm or more
Molecular beam epitaxial growth equipment using gas or solid sources
‘Stored program controlled’ equipment design for ion implantation, having any of the following
A beam energy (accelerating voltage) exceeding 1MeV; or
Being specially designed and optimized to operate at a beam energy (accelerating voltage) of less than 2keV; or
Direct write capability; or
Being capable of high energy oxygen implant into a heated semiconductor material ‘substrate’

7. Examples of Items Covered by Category 3 - Electronics
GROUP: Materials
Hetero-epitaxial materials consisting of a ‘substrate’ having stacked epitaxially grown multiple layers of any of the following:
Silicon
Germanium
Silicon Carbide, or
III/V compounds of gallium or indium
Resist material and ‘substrates’ coated with controlled resists:
Positive resists designed for semiconductor lithography specially adjusted for use at wavelengths below 350 nm;
All resists designed for use with electron or ion beams with a sensitivity of 0.01 ucoulomb/mm2 or better;
All resists designed for use with X-rays, with a sensitivity of 2.5mJ/mm2 or better;
All resists optimized for surface imaging technologies, including silylated resists.

8. Examples of Items Covered by Category 3 - Electronics
GROUP: Software
Software specially designed for the ‘development’ or ‘production’ of equipment controlled by 3A001.b to 3A002.g or 3B (except 3B991 or 3B992)
Software specially designed for the ‘use’ of ‘stored program controlled’ equipment controlled by 3B (except 3B991 & 992)
Computer-aided-design (CAD) software , having all of the following
Designed for the ‘development’ of semiconductor devices or integrated circuits, and
Designed to perform or use any of the folllowing
Design rules or circuit verification rules;
Simulation of the physically laid out circuits; or
Lithographic processing simulators for design.

9. Examples of Items Covered by Category 3 - Electronics
GROUP: Technology
‘Technology’ for the ‘development’ or ‘production’ of equipment or materials controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991 or 3B992) or 3C
‘Technology’ for the ‘development’ or ‘production’ of ‘microprocessor microcircuits’, ‘microcomputer microcircuits’ and microcontroller microcircuits having a ‘composite theoretical performance’ (‘CTP’) of 530 million theoretical operations per second (MTOPS) or more and an arithmetic logic unit with an access width of 32 bits or more
‘Technology’ for the ‘use’ of equipment or ‘software’ controlled by 3A001.a.1 or .2, 3A101, or 3D101
‘Technology’ for the ‘development’ of ‘software’ controlled by 3D101

10. Examples of Items Covered by Category 1 Materials, Chem, Microorganisms, & Toxins
Category Example
Systems, Equip, Chemical Agents, including tear gas containing 1%
& Components or less of CS or CN, except containers net wt <20grm
Test, Inspection, Electrolytic cells for fluorine production with a
&Prod Equip production capacity >250 g of fluorine per hour
Materials Chemical Precursors for toxic chemical agents
(1C350) (Examples:Benzilic acid; sodium bifluoride)
Human pathogens, zoonoses, and “toxins” (1C351)
(Examples: Rickettsia rickettsii, Chlamydia psittaci) Animal pathogens (1C352 (Example:goat pox virus) Plant pathogens (1C354) (Example: Puccinia graminis)
Software “Software” for process control that is specifically
configured to control or initiate “production” of chemicals controlled by 1C350
Technology Technical data for the development of production of any of the above items

11. Commerce Control List: how to use
Once you find the commodity on the CCL, note the ECCN number & check the “reason for control” at the beginning of each entry, under License Requirements:
CB: Chemical & Biological Weapons
NP: Nuclear Non-Proliferation
NS: National Security
MT: Missile Technology
RS: Regional Stablity
FC: Firearms Control
CC: Crime Control
AT: Anti-Terrorism
Check the country list at EAR Part 738, Supplement 1
Determine whether country to which item will be shipped has check (X) under the applicable ‘reason for control’ column
If no (X), ship item as “NLR” (No License Required). See EAR Parts 758 and 762 for export clearance procedures and recordkeeping requirements for NLRs.

12. Commerce Control List: how to use
If box is checked for the country under the applicable ‘reason for control’ column, then a license may be required.
Check “License Exceptions” heading that appears after the “License Requirements” section for the ECCN. See EAR Part 740 for all license exceptions. Some commonly used ones are:
LVS: Limited Value Shipment (Part 740.3)
CIV: Civil End-Users (Part 740.5)
TSR: Technology & Software under Restriction (Part 740.6)
CTP: Computers (Part 740.7)
TMP: Temporary Imports, Exports, & Reexports (Part 740.9) (See Tools of Trade for personal use abroad, at 740.9(a)(2)(i) and ‘Beta Software’ at 740.9(c))
TSU: Technology and Software Unrestricted (Part )(See publicly available encryption source/object code at (e) and(f))
BAG: Baggage (Part )
ENC: Encryption Commodities and Software (Part )
If no license exception applicable, apply for license using BIS-748P, MultiPurpose Appl.

13. Commerce Control List: how to use
Note: Many ECCNs have more than one “reason for control”. Each reason must be checked on the country chart before concluding No License Required (NLR)
Note: Each license exception has specific criteria that must be met to qualify for the license exception. Also, many license exceptions require special record-keeping and some require notification to the government of use of the license exception. See especially the notification requirements described in EAR Part (b)(1) and (b)(2) for certain encryption items controlled under ECCNs 5A992, 5D992, and 5E992.
A good explanation of the structure of the CCL, how to read the ECCNs, and how to determine if an export license is required is found in Part A good ‘diagram’ of the process is found in Part 732, Supplements 1 & 2

14. Commerce Control List: how to use
Note: In addition to checking the “Reason for Control”/Country Chart, as well as the “License Exceptions”, there are General Prohibitions listed in EAR Part Whether the shipment will be subject to one of these prohibitions depends upon: 1) the ECCN classification of the item; 2) the destination; 3)the end-user; 4) the end-use; and 5) conduct. Prohibitions 4-10 are:
Denial Order issued under EAR Part 766
Export to prohibited end-uses or end-users under EAR Part 744
Export to embargoed destination described in EAR Part 746
Support of Proliferation Activities described in EAR Part 744
Intransit Shipments through specified countries listed in EAR Part 736(b)(8)(ii)
Violation of terms and conditions of an exception or license
Proceeding with knowledge that a violation has or is about to occur

15. Commerce Control List: how to use
If the commodity does not appear on the CCL, then the item is shipped under category EAR99, NLR (unless Prohibitions 4 through 10 apply).
If you have trouble locating the Section of the CCL that includes the commodity you are looking for, try the alphabetical listing of all items on the CCL found at EAR Part 774, Supplement 1, and then work backwards to the ECCN
Search for items by both the common name and scientific name. Consult with the faculty member. If you conclude the item is not included in the CCL, write a note to the file documenting the search conducted.
If you aren’t sure, you can contact the BIS regional office in San Jose (408) , or request a Commodity Classification (See Part 748.3)

16. U.S. Munitions List (USML)
I - Firearms
II - Artillery Projectors
III - Ammunition
IV - Launch Vehicles, etc...
V - Explosives, Propellants, Incendiary Agents and Their Constituents
VI - Vessels of War and Special Naval Equipment
VII - Tanks and Military Vehicles
VIII - Aircraft and Associated Equipment
IX - Military Training Equipment
X - Protective Personnel Equipment
XI - Military Electronics
XII - Fire Control, Range Finder, Optical and Guidance and Control Equipment
XIII - Auxiliary Military Equipment
XIV - Toxicological Agents and Equipment and Radiological Equipment
XV - Spacecraft Systems and Associated Equipment
XVI - Nuclear Weapons Design and Related Equipment
XVII - Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated
XVIII - Reserved
XIX - Reserved
XX - Submersible Vessels, Oceanographic and Associated Equipment
XXI - Miscellaneous Articles

17. U.S. Munitions List (USML)
The list of items controlled under ITAR is more straightforward and is only 40 pages long. There are no subdivisions within categories.
Some of the items listed are broadly defined, such as those included in Category XV, Spacecraft Systems and Associated Equipment:
a) Spacecraft, including . . scientific satellites, research satellites, etc.
b) Ground control stations for telemetry, tracking and control of spacecraft or satellites
c) All specifically designed or modified systems, components, parts, accessories, attachments, and associated equipment for articles in this category
Many of the other broad category items are qualified with the phrase “specifically designed or modified for military application”
There is no ‘country chart’ or categories of ‘license exception’; if the article is on the list, you will need to secure a license for permanent or temporary export or temporary import of the item.

18. Take Home Messages

19. Do’s and Don’ts
Do NOT Ship Any Item Outside the U.S. without first checking the ITAR and EAR Lists to determine if the item is controlled (This includes Outgoing MTA’s, Software Licenses, and any Agreement Deliverables)
Secure License Approval or verify license exception PRIOR to Shipment for all controlled items
Make sure that technical data about export controlled commodities qualifies as “public domain” (ITAR term) or “publicly available” (EAR term), so that a license for shipment of technical data out of the U.S. or the ‘deemed export’ to a foreign national in the U.S. is not required.
Qualify software as ‘publicly available’, or otherwise secure licenses prior to shipment if the software is on CCL or USML

20. Is the Item “Export Controlled?”
EAR List at: See Part 774, Categories 0 through 9; Also see the Alphabetical Listing
ITAR List at:
For EAR Items: 1)Check the “reason for control”; 2)Check country chart at Part 738, Supplement 1; 3)Determine if license required in the column for the country where item to be shipped; 4) Determine if any license exceptions apply; 5) If license required, apply using BIS Form 748P
For EAR Item, if no “check” in control column for country, then ship under NLR (no license required); If item being shipped is not on Commodity Control List, then ship EAR99 (exempt)
For ITAR Item, if on list, contact UCOP; license will be required because there is no EAR equivalent “country chart”

21. Questions?