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AESTIR Version: 1.0

APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines

License and License Exemption Type Codes

Report a License or License Exemption Type Code in a commodity filing.

The License Code/License Exemption Code indicates the type of export license, export permit, license exemption, license exception or other export authorization. The code indicates the type of licensing requirements that apply to the export shipment as determined by various government agencies participating in AES. An Export License Number, CFR Citation Number or other authorization symbol is required. An Export Control Classification Number (ECCN) may conditionally be required.

Each Line Item Detail grouping reported must cite the license authority (License Number or other authorization symbol). An ECCN must be cited when required.

The Export Control Classification Number (ECCN), when reported in AES must be a valid 5 - position ECCN as listed on the Commerce Control List. See Supplement 1 to § 774 of the EAR for a complete list of valid ECCNs and their descriptions. www.access.gpo.gov/bis/ear/ear_data.html

An example would be if the BIS license code ‘C43’, Gift Parcels and Humanitarian Donations (GFT), is reported then the only acceptable EIC would be ‘UG’ which identifies a single gift parcel as encompassed by BIS General License GFT. Certain Modes of Transportation may not be acceptable for a shipment based on the License Code reported. Using the example above, AES would not accept a License Code of ‘C43’ with a Mode of Transportation of ‘70’ (Fixed Transport).

Table A: Department of Commerce/Bureau of Industry and Security (BIS) License Type Codes. Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes C30 Licenses issued by BIS authorizing an Report the Mandatory IW, OS, All export, re-export, or other regulated License OI, TL activity. The term ‘license’ does not Number. include authority represented by a ‘License Exception’. EAR99 may be reported as an ECCN. C31 Special Comprehensive License Report the Mandatory IW, OS, All (SCL) License OI, TL Part 752. Number.

EAR99 may be reported as an ECCN.

C32 No License Required (NLR) Part 758 Report ‘NLR’. Mandatory IW, OS, All except

AESTIR Part III, Appendix F F-1 AESTIR Version: 1.0

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes OI, TL ‘70’ Those items which are covered by (Fixed entries on the Commerce Control List Transport) that have a reason for control other than or in addition to Anti-Terrorism (AT).

For items under 600 series ECCNs with a .y paragraph, use C60 (DY6). EAR99 may be reported as an ECCN. C33 No License Required (NLR) Part 758 Report ‘NLR’. Allowed All All except All other NLR items filed under the UG, FS, ‘NLR’ provisions of the EAR Part FI 758 that are not covered by C32. Use C33 and report the ECCN if the commodity is controlled ONLY for Anti-Terrorism (AT).

For items under 600 series ECCNs with a .y paragraph, use C60 (DY6). EAR99 may be reported as an ECCN.

For Census purposes, use C33 for shipments between the U.S. and Puerto Rico and from the U.S. to the U.S. Virgin Islands. C35 Limited Value Shipments (LVS) Part Report ‘LVS’. Mandatory CR, IS, All except 740.3 TE, TL, ‘70’ Must be one of CH, CI, (Fixed EAR99 may NOT be reported as an the MS, GS, Transport) ECCN. following: IP, IR, 0A018 OI, OS, Only allow Countries of Destination 0A918 DD, IW from the Country Group B list 1A001 Reference: 1A002 www.access.gpo.gov/bis/ear/pdf/7 1A003 40spir.pdf 1A008 1B001 1B002 1B003

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes 1C002 1C003 1C004 1C005 1C007 1C008 1C009 1C010 2B003 2B005 2B007 3C001 3C003 3C004 4A001 4A004 5A002 6A002 6A006 6A007 6B007 6C002 6C005 8A001 8A018 8B001 9A002 9A003 9A018 9B008 9B009 8A918 5B991 1B018 1C018 2B018 3B002 4A003 1C006 2A001 3A001

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes 3A002 3B001 3C002 5A001 5B001 6A001 6A003 6A004 6A005 6A008 6B004 6C004 8A002 9B001 9B002 9B003 9B004 9B006 9A610 9A619 9B610 9B619 9C610 9C619 0A606 0A617 0B606 0B617 0C606 0C617 8A609 8A620 8B609 8B620 8C609 C36 Shipments to B Countries (GBS) Part Report ‘GBS’. Mandatory CR, GP, All except 740.4 IS ‘70’ Must be one of TE, TL, (Fixed EAR99 may NOT be reported as an the MS Transport) ECCN. following: GS, IP, 1A005 IR, TP,

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes Only allow Countries of Destination 2B018 OI, OS, from the Country Group B list 3B002 DD, IW 4A003 Reference: 1C006 www.access.gpo.gov/bis/ear/pdf/7 2A001 40spir.pdf 3A001 3A002 3B001 3C002 3C005 3C006 5A001 5B001 6A001 6A003 6A004 6A005 6A008 6B004 6C004 8A002 9B001 9B002 9B003 9B004 9B006 C37 Civil End Users (CIV) Part 740.5 Report ‘CIV’. Mandatory CR, IS, All except TE, TL, ‘70’ EAR99 may NOT be reported as an Must be one of IP, IR, (Fixed ECCN. the OI, OS, Transport) Only allow Countries of Destination following: DD, from the Country Group D1 list 1D001 IW 1D002 Reference: 3E002 www.access.gpo.gov/bis/ear/pdf/7 5D001 40spir.pdf 6D003 9D003 1C006 2A001 3A001 3A002

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes 3B001 3C002 3C005 3C006 4A003 5A001 5B001 6A001 6A003 6A004 6A005 6A008 6B004 6C004 8A002 9B001 9B002 9B003 9B004 9B006 C38 Restrict Technology and Software Report ‘TSR’. Mandatory CR, GP, All except (TSR) IS, TE, ‘70’ Part 740.6 (AES or EEI filing not Must be one of TL, MS, (Fixed required) the GS, IP, Transport) following: IR, OI, EAR99 may NOT be reported as an 1D001 OS, IW ECCN. 1D002 3E002 Only allow Countries of Destination 5D001 from the Country Group B list 6D003 9D003 Reference: 1E001 www.access.gpo.gov/bis/ear/pdf/7 1E002 40spir.pdf 2D001 2D002 2D003 2E001 2E002 2E003 3D001 3D002

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes 3D003 3D004 3E001 3E003 4D002 5E001 6D001 6D002 6E001 6E002 6E003 8D001 8D002 8E001 8E002 9D018 9E018 4D001 4E001 0E018 2D018 2E018 C39 Computers (CTP) Part 740.7

License Exception CTP has been revised and is now known as License Exception APP. License Code C39 is replaced with License Code C53.

AES will continue to allow corrections/replacements/cancellation s to shipments previous accepted in AES under License Exception C39. All new shipments covered by this exception being added to AES must be reported under License Code C53 with Authorization Symbol ‘APP’. Items under 600 series ECCNs are not eligible under this license type.

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes

C40 Temporary Imports, Exports, and Re- Report ‘TMP’. Allowed CR, GP, All except exports (TMP) Part 740.9 IS, TE, ‘70’ TL, MS, (Fixed Consolidates the following categories: GS, IP, Transport) Temporary exports and re-exports; IR, TP, Items temporarily in the U.S.; Beta OI, OS, Test Software. DD, IW EAR99 may be reported as an ECCN.

C41 Servicing and Replacement of Parts Report ‘RPL’. Mandatory GP, IS, All except and Equipment (RPL) Part 740.10 TE, TL, ‘70’ MS, GS, (Fixed Consolidates the following categories: IP, IR, Transport) One-for-one replacement of parts; TP, OI servicing and replacement of OS, IW equipment.

EAR99 may be reported as an ECCN. C42 Government and International Report ‘GOV’. Mandatory GP, IS, All except Organizations (GOV) Part 740.11 TE, TL, ‘70’ (AES or EEI not required) CH, CI, (Fixed MS, GS, Transport) Consolidates the following categories: IP, IR, International safeguards; shipments to TP, OI, U.S. Agencies and personnel; OS, DD, shipments to Agencies of cooperating IW governments.

EAR99 may be reported as an ECCN. C43 Gift Parcels and Humanitarian Report ‘GFT’. Mandatory UG, IW All except Donations (GFT) Part 740.12 ‘70’ (Fixed (AES or EEI not required) Transport) Items under 600 series ECCNs are not eligible under this license type.

Consolidates the following categories: Gift parcels; Humanitarian donations.

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes C44 Technology and Software – Report ‘TSU’. Mandatory CR, GP, All except Unrestricted (TSU) Part 740.13 IS, TE, ‘70’ TL, MS, (Fixed Consolidates the following categories: GS, IP, Transport) Operating technology and software; IR, TP, Sales technology and software; OI, OS, Software updates; General software. IW

EAR99 may be reported as an ECCN. C45 Baggage (BAG) Part 740.14 Report ‘BAG’. Mandatory OI, OS, All except IW ‘70’ Items under 600 series ECCNs are not (Fixed eligible under this license type. Transport)

EAR99 may be reported as an ECCN. C46 Aircraft and Vessels (AVS) Part Report ‘AVS’. Mandatory GP, IS, All except 740.15 TE, TL, ‘70’ MS, GS, (Fixed (AES or EEI not required) IP, IR, Transport) Items under 600 series ECCNs are not TP, OI, eligible under this license type. OS, IW

EAR99 may be reported as an ECCN. C49 Trans-Alaska Pipeline Authorization Report ‘TAPS’. Mandatory OI, OS, ‘70’ Act (TAPS) Part 754.2 IW (Fixed Transport) Permits the export of Alaskan North Slope crude oil.

Items under 600 series ECCNs are not eligible under this license type.

EAR99 may be reported as an ECCN. C50 Encryption Commodities and Report ‘ENC’. Mandatory CR, GP, All except Software (ENC) Part 740.17 IS, TE, ‘70’ Must be one of TL, MS, (Fixed Permits the export and re-export of the GS, IP, Transport) any key length encryption following: IR, TP, commodities and software after 5A002 OI, OS, review; permits the export and re- 5B002 IW export of any key length encryption to 5D002

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes U.S. subsidiaries without review. 5E002

EAR99 may NOT be reported as an ECCN. C51 License Exception Agricultural Report License Mandatory CH, OI, All except Commodities (AGR) Part 740.18 Number. OS, IW ‘20’, ‘21’ (Rail), Authorizes exports and certain re- ‘30’, ‘31’ exports of agricultural commodities to (Truck), Cuba. ‘70’ (Fixed Items under 600 series ECCNs are not Transport) eligible under this license type. EAR99 may be reported as an ECCN. C53 Computers (APP) Part 740.7 Report ‘APP’. Mandatory CR, GP, All except Must be one of IS, TE, ‘70’ Adjusted Peak Performance (APP) the following: TL, MS, (Fixed replaces Composite Theoretical 4A003 GS, IP, Transport) Performance (CTP) 4D001 IR, TP, 4E001 OI, OS, EAR99 may NOT be reported as an IW ECCN.

C54 Short Supply (Western Red Cedar – Report Mandatory All All except WRC) Part 754.4 ‘SS-WRC’ Must be ‘70’ 1C988 (Fixed EAR99 may NOT be reported as an Transport) ECCN.

C55 Short Supply (Crude Oil Samples – Report Mandatory All All SAMPLE) Part 754.2 ‘SS-SAMPLE’ Must be 1C981 EAR99 may NOT be reported as an ECCN. C56 Short Supply (Strategic Petroleum Report Mandatory All All Reserves – SPR) Part 754.2 ‘SS-SPR’. Must be 1C981 EAR99 may NOT be reported as an ECCN. C57 Authorization for Validated End-User Report ‘VEU’. Mandatory OI, OS, All except

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes for Certain Authorized Exports and TL, IW ‘70’ Re-exports of Commerce Control List (Fixed items to the People’s Republic of Transport) China and India.

Items under 600 series ECCNs are not eligible under this license type.

EAR99 may NOT be reported as an ECCN. C58 Free Exchange of Information allows Report ‘CCD’ 4A994, 4D994, OI, OS, All except export and re-export of consumer 5A991, 5D991, CH, CI ‘70’ products related to communications 5D992, (Fixed and exchange of information to Cuba. 5A992, Transport) EAR99 C59 Strategic Trade Authorization (STA) Report ‘STA’ 600-series OI, OS, All allows an exception to export specific ECCNs and CH, CI controlled items to certain countries other ECCNs are that would otherwise require a license eligible to the because of CCL-based license extent permitted requirements. under part 740.20 of the EAR

C60 .y “600 series” items to identify the .y Report ‘DY6’ Allowed OI, OS, All subparts to ECCNs that are in the CH, CI “600 series” because they have less When reported, military significance than other the ECCN must subparts to the “600 series.” be one of the following:

0A606 0A617 0D606 0D617 0E606 0E617 8A609 8A620 8D609 8D620 8E609

Export License Nbr / Allowed License CFR Citation / Export Allowed Co Authorization Info MOT de Description Symbol/KPC# ECCN Codes Codes 8E620 9A610 9A619 9B619 9D610 9D619 9E610 9E619

Table B: Nuclear Regulatory Commission (NRC) License Type Codes. Export License Nbr / CFR Citation Licens / e Authorizatio Allowed C n Export Allowed od Symbol/KPC Info MOT e Description # ECCN Codes Codes N01 NRC Form 250/250A Report the Allowed MS, GS, All except License OI, OS ‘60’ ‘Specific’ export license for nuclear Number. (Passenger material and equipment. Hand Carried), ‘70’ (Fixed Transport) N02 NRC ‘General’ Export License Report the Allowed MS, GS, All except CFR Citation OI, OS ‘60’ Number. (Passenger Hand Carried), ‘70’ (Fixed

Export License Nbr / CFR Citation Licens / e Authorizatio Allowed C n Export Allowed od Symbol/KPC Info MOT e Description # ECCN Codes Codes Transport)

Table C: Department of State/ Directorate of Defense Trade Control (DDTC) License Type codes.

When the License Code S61, S73, S85 or S94 is reported and accepted in AES, the filer is required to present the original license and proof of filing to CBP prior to export.

See ‘Appendix O – DDTC Exemption Codes’ for a list of ITAR Exemption numbers. Export License Nbr / CFR Citation Licens / e DDTC Authorizatio Allowed C ITAR n Export Allowed od Exemption Symbol/KPC Info MOT e Description Nbr #/ ACM# ECCN Codes Codes SAG Agreements Report Report spaces. Allowed MS, GS, All except ITAR OI, OS ‘70’ (Fixed Agreements (i.e. AG, BA, DDTC Transport) MA, RR, TA and VD) Exemption Citation. SAU Australia ITAR Exemptions Report Report the Allowed MS, GS, All except ITAR Approved OI, OS ‘70’ (Fixed DDTC Community Transport) Exemption Member # Citation SCA Canadian ITAR Exemption Report Report spaces. Allowed MS, GS, All except ITAR OI, OS ‘70’ (Fixed DDTC Transport) Exemption Citation. SGB United Kingdom ITAR Report Report the Allowed MS, GS, All except Exemptions ITAR Approved OI, OS ‘70’ (Fixed DDTC Community Transport) Exemption Member # Citation S00 License Exemption Citation Report Report spaces. Allowed MS, GS, All except

Export License Nbr / CFR Citation Licens / e DDTC Authorizatio Allowed C ITAR n Export Allowed od Exemption Symbol/KPC Info MOT e Description Nbr #/ ACM# ECCN Codes Codes ITAR OI, OS ‘70’ (Fixed DDTC Transport) Exemption Citation. S05 DSP-5 Report Report the Allowed MS, GS, All except spaces. License OI, OS ‘70’ (Fixed Permanent export of Number. Transport) unclassified defense articles and services. S61 DSP-61 Report Report the Allowed MS, GS, All except spaces. License OI, OS ‘70’ (Fixed Temporary import of Number. Transport) unclassified articles. S73 DSP-73 Report Report the Allowed MS, GS, All except spaces. License TP, OI, OS ‘70’ (Fixed Temporary export of Number. Transport) unclassified articles. S85 DSP-85 Report Report the Allowed MS, GS, All except spaces. License OI, OS ‘70’ (Fixed Temporary or permanent Number. Transport) import or export of classified articles. S94 DSP-94 Report Report the Allowed MS, GS, All except spaces. License FS, FI ‘60’ Foreign Military Sales Number. (Passenger Hand Carried), ‘70’ (Fixed Transport)

Table D: Department of Treasury/Office of Foreign Assets Control (OFAC) License Type Codes. Licens Export e License Nbr / Allowed C CFR Citation / Export od Authorization Info Allowed e Description Symbol/KPC# ECCN Codes MOT Codes T10 OFAC ‘Specific’ License Report the Allowed MS, GS, All except

Licens Export e License Nbr / Allowed C CFR Citation / Export od Authorization Info Allowed e Description Symbol/KPC# ECCN Codes MOT Codes License OI, OS ‘60’ Specific export license issued, on a Number. (Passenger case-by-case basis, by OFAC for Hand certain export shipments that would Carried), ‘70’ otherwise be barred by sanctions. (Fixed Transport) T11 OFAC ‘General’ Export License Report the CFR Allowed MS, GS, All except citation or if OI, OS ‘60’ Export shipments permitted under there is no CFR (Passenger ‘General’ license which conform to citation, the Hand criteria set forth in an OFAC Federal Carried), ‘70’ authorization published as a regulation Register (Fixed (no individual clearance by OFAC) Citation if there Transport) covers certain shipments that would is one, or the otherwise be barred by sanctions. General License Number. T12 Kimberley Process Certificate Number Report the EAR99 or OI, OS All except KPC# blank only ‘70’ The unique identifying number of the (Fixed Kimberley Process Certificate (KPC) Transport) issued by the United States Kimberley Process Authority must accompany any export (reexport) of rough diamonds. See standards, practices, and procedures of the Kimberley Process set forth in the Rough Diamond Control Regulations, 31 CFR part 592, promulgated by OFAC (69 FR 56936 dated September 23, 2004).

Table E: Other Partnership Agency License Type Code. Export License Nbr / CFR Citation Licens / e Authorizatio Allowed C n Export Allowed od Symbol/KCP Info MOT e Description # ECCN Codes Codes OPA Other Partnership Agency License Report the Allowed All except All License UG, FS, FI, AES filers are required to comply with Number or IW current paper documentation ‘OPA’. requirements for agencies not accommodated in AES (i.e. DEA, ATF).

Table F: Department of Energy/National Nuclear Security Administration (DOE/NNSA) License Type Code. Export License Nbr / CFR Citation Licens / e Authorizatio Allowed C n Export Allowed od Symbol/KCP Info MOT e Description # ECCN Codes Codes E01 Authorization for Nuclear Security Report ‘AEA’ Not OS All except Enterprise of government-owned, Allowed ‘12’, ’20’, contractor-operated (GOCO) ‘21’, ‘70’ Management and Operations entities that perform work under the directions and oversight of the National Nuclear Security Administration, to export items authorized by the Atomic Energy Act Authorization/Licensing and as acknowledged in the International Traffic in Arms Regulations section 123.20 and 125.1.

AESTIR Part III, Appendix F F-16