Treatment of Export Classification Control Numbers (ECCNs)

Important:The functionality of the Software Delivery software is to play a part of your export compliance programs but is not the sole methodology to be used for your export compliance program for your go to market solutions. You should review your export compliance program further with your export legal counsel.

The following table displays the valid ECCN, License Exception, and Commodity Classification Automated Tracking System (CCATS) code combinations to comply with the Bureau of Industry and Security's (BIS) export rules.

ECCN Treatment

ECCN

License Exception

CCATS

Export Rules

Unknown

 

 

NO exports. Delivery to United States addresses only.

EAR99

NLR

Self-Classified or Gxxxxxx

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine)

3D002

TSR 

Self-Classified or Gxxxxxx

Exportable with a written letter of assurance to Country Group B.

All other destinations require an export license.

3D991

NLR

Self-Classified or Gxxxxxx

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine)

4D993

NLR (General Rule)

Self-Classified or Gxxxxxx

Special rules for China, Russia, and Venezuela: An export license is required if:

• The software is “program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for real time processing equipment, AND
• You know the software is intended is intended, entirely or in part, for a 'military end use' in the People's Republic of China or for a “military end use” or “military end user” in Russia or Venezuela.

Otherwise: Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

4D994

NLR (General Rule)

Self- Classified or Gxxxxxx

Special rules for China, Russia, and Venezuela: An export license is required if:

• The software is specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 4A101, AND.
• You know the software is intended is intended, entirely or in part, for a “military end use” in the People's Republic of China or for a “military end use” or “military end user” in Russia or Venezuela.

Otherwise: Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

5D001

CIV 

Self-Classified or Gxxxxxx

Eligible for export to Country Group D:1 using License Exception CIV.

Not eligible for CIV (an export license is required) if the software is classified under ECCN 5D001.a and is “specially designed” for the “development” or “production” of items controlled by 5A001.b.5 and 5A001.h.
 

TSR 

Self-Classified or Gxxxxxx

Exportable with a written letter of assurance to Country Group B. All other destinations require an export license.

Not eligible for TSR if the software is controlled under ECCN 5D001.a and is “specially designed” for items controlled by 5A001.b.5 and 5A001.h.

5D991

NLR (General Rule)

Self- Classified or Gxxxxxx

Special rules for China, Russia, and Venezuela: An export license is required if:

• The software is specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991.a., 5A991.b.7., and 5A991.f., or of “software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991.a., 5A991.b.7., and 5A991.f. AND
• You know the software is intended is intended, entirely or in part, for a “military end use” in the People's Republic of China or for a “military end use” or “military end user” in Russia or Venezuela.

Otherwise: Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine)

5D002

ENC / 740.17(b)(1)

Self- Classified or Gxxxxxx

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

5D002 [binary/object code]

ENC / 740.17(b)(2)

Gxxxxxx

Exportable to:

• Non-Government End-Users in all countries.
• Government End-Users in Supp3 Countries.
• If classified in accordance with Section 740.17(b)(2)(i)(A), the software is also exportable to “Less Sensitive” Government End Users in all countries except embargoed/terrorist countries.

5D002 [Source code]

ENC / 740.17(b)(2)

Gxxxxxx

Exportable to:

• Non-Government End-Users in all countries.
• Government End-Users in Supp3 Countries.

5D002

ENC / 740.17(b)(3)

Gxxxxxx

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

5D002 Publicly Available Source Code

TSU

Notification Submitted to Commerce

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

5D002

TMP [BETA under 740.9(c)]

 

Exportable to all but Iran, North Korea, Sudan, Syria, and the Crimea region of Ukraine.

5D992.c

NLR

Self-Classified or Gxxxxxx

Exportable to all but the embargoed/terrorist countries (Cuba, Iran, North Korea, Sudan, Syria, Crimea region of Ukraine).

Note:In the Producer Portal you can restrict downloads to the US and Canada by setting the “Restrict to US/CANADA (NLR)” option to “Yes”.

Terms Used in ECCN Treatment

Refer the following terms while using the above table:

Terms Used in ECCN Treatment

Term

Description

Military End-Use

The term “military end use" means: incorporation into a military item described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations); incorporation into a military item described on the Wassenaar Arrangement Munitions List (as set out on the Wassenaar Arrangement Web site at http://www.wassenaar.org); incorporation into items classified under ECCNs ending in “A018” or under “600 series” ECCNs; or for the “use,” “development,” or “production” of military items described on the USML or the Wassenaar Arrangement Munitions List, or items classified under ECCNs ending in “A018” or under “600 series” ECCNs. “Military end use” also means deployment of items classified under ECCN 9A991 as set forth in Supplement No. 2 to Part 744.

Military End-User

The term “military end user” means the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations, or any person or entity whose actions or functions are intended to support “military end uses”.

Country Group B

Afghanistan; Albania; Algeria; Andorra; Angola; Antigua and Barbuda; Argentina; Aruba; Australia; Austria; The Bahamas; Bahrain; Bangladesh; Barbados; Belgium; Belize; Benin; Bhutan; Bolivia; Bosnia & Herzegovina; Botswana; Brazil; Brunei; Bulgaria; Burkina Faso; Burundi; Cameroon; Canada; Cape Verde; Central African Republic; Chad; Chile Colombia; Comoros; Congo (Democratic Republic of the); Congo (Republic of the); Costa Rica; Cote d'Ivoire; Croatia; Curaçao; Cyprus; Czech Republic; Denmark; Djibouti; Dominica; Dominican Republic; Ecuador; Egypt; El Salvador; Equatorial Guinea; Eritrea; Estonia; Ethiopia; Fiji; Finland; France; Gabon; Gambia, The; Germany; Ghana; Greece; Grenada; Guatemala; Guinea; Guinea-Bissau; Guyana; Haiti; Honduras; Hong Kong; Hungary; Iceland; India; Indonesia; Ireland; Israel; Italy; Jamaica; Japan; Jordan; Kenya; Kiribati; Kosovo; Kuwait; Latvia; Lebanon; Lesotho; Liberia; Lithuania; Luxembourg; Macedonia, The Former Yugoslav Republic of; Madagascar; Malawi; Malaysia; Maldives; Mali; Malta; Marshall Islands; Mauritania; Mauritius; Mexico; Micronesia, Federated States of; Monaco; Montenegro; Morocco; Mozambique; Namibia; Nauru; Nepal; Netherlands; New Zealand; Nicaragua; Niger; Nigeria; Norway; Oman; Pakistan; Palau; Panama; Papua New Guinea; Paraguay; Peru; Philippines; Poland; Portugal; Qatar; Romania; Rwanda; Saint Kitts & Nevis; Saint Lucia; Saint Vincent and the Grenadines; Samoa; San Marino; Sao Tome & Principe; Saudi Arabia; Senegal; Serbia; Seychelles; Sierra Leone; Singapore; Sint Maarten (the Dutch two-fifths of the island of Saint Martin); Slovakia; Slovenia; Solomon Islands; Somalia; South Africa; South Korea; South Sudan, (Republic of); Spain; Sri Lanka; Surinam; Swaziland; Sweden; Switzerland; Taiwan; Tanzania; Thailand; Timor-Leste; Togo; Tonga; Trinidad & Tobago; Tunisia; Turkey; Tuvalu; Uganda; United Arab Emirates; United Kingdom; United States; Uruguay; Vanuatu; Vatican City; Venezuela; Western Sahara; Yemen; Zambia; and Zimbabwe.

License Exception TSR

Written Letter of Assurance Required (see Section 740.6 of the EAR), then exports authorized to Country Group B.

License Exception CIV

Only available for civil end-users for civil end-uses. An export license is required if you know the software will be or is intended to be exported, reexported, or transferred (in-country) to military uses or military end-users.

Country Group D:1

Armenia, Azerbaijan, Belarus, Burma, Cambodia, China (PRC), Georgia, Iraq, Kazakhstan, Kyrgyzstan, Laos, Libya, Macau, Moldova, North Korea, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, Vietnam.

Government End-Users

A government end user is any foreign central, regional or local government department, agency, or other entity performing governmental functions; including governmental research institutions, governmental corporations or their separate business units (as defined in part 772 of the EAR) which are engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List, and international governmental organizations. This term does not include: Utilities (including telecommunications companies and Internet service providers); banks and financial institutions; transportation; broadcast or entertainment; educational organizations (except public schools and universities); civil health and medical organizations (including public civilian hospitals); retail or wholesale firms; and manufacturing or industrial entities not engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List.

Supp3 Countries

The countries listed in Supplement No. 3 to 15 CFR part 740, currently: Austria, Australia, Belgium, Bulgaria, Canada, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Latvia, Lithuania, Luxembourg, Malta, Netherlands, New Zealand, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.

“Less Sensitive” Government End Users

The following are considered “less sensitive” government end-users:

• Local/state/provincial “government end users” (departments, agencies and entities), including local/state/provincial executive, legislative, judicial, police, fire, rescue and public safety agencies.
• National/federal/royal “government end users” (departments, agencies and entities) providing the following civil government functions and services:
• Census and statistics services;
• Civil public works infrastructure services (construction, maintenance, repair, regulation and administration) as follows: Buildings, public transportation, roads and highways, trucking;
• Civil service administration and regulation, including human resources and personnel/labor management;
• Clean water infrastructure services (treatment, supply and testing);
• Economic (trade/commerce/investment), business and industrial development, promotion, regulation and administration, excluding the Agencies, departments, boards and councils for science and technology; Research, development and national laboratories (other than as specified measurements and standards services) and meteorology/weather/atmospheric services) of this definition (below); National telecommunications and information technology agencies, boards, councils and development authorities (including national information center, and Information Communications Technology (ICT)/telecommunications infrastructure/spectrum planning, policy, regulation and testing);
• Elections, balloting and polling services;
• Energy regulation and administration, including oil, gas and mining sectors;
• Environmental/natural resources regulation, administration and protection, including wildlife, fisheries and national parks;
• Food/agriculture regulation and administration;
• Labor/community/social services planning, regulation and administration, including: housing and urban development, municipality and rural affairs;
• Measurements and standards services;
• Meteorology (weather, atmospheric) services;
• National archives/museums;
• Patents;
• Pilgrimage and religious affairs;
• Postal services;
• Public and higher education (excluding government research institutions and any agency, institution or affiliate engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List);
• Public health and medicine/pharmaceutical regulation and administration;
• Public libraries;
• Sports/culture (includes film, commercial broadcasting and the arts) promotion, regulation and administration;
• Travel/tourism promotion, regulation and administration.