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Interpretations Part 770—page 1

containing the bearing is the item subject to export control requirements. Table of Contents (3) An anti-friction bearing or bearing system § 770.1 INTRODUCTION ...... 1 not incorporated in a segment of a machine prior to shipment, but shipped as a component of a § 770.2 ITEM INTERPRETATIONS...... 1 complete unassembled (knocked-down) § 770.3 INTERPRETATIONS RELATED machine, is considered a component of a TO EXPORTS OF TECHNOLOGY AND machine. In this scenario, the complete machine SOFTWARE TO DESTINATIONS IN is the item subject to export license requirements. COUNTRY GROUP D:1 ...... 7 (b) Interpretation 2: Classification of “parts” of machinery, equipment, or other § 770.1 INTRODUCTION items

(1) An assembled machine or unit of In this part, references to the EAR are references equipment is being exported. In instances to 15 CFR chapter VII, subchapter C. This part where one or more assembled machines or units provides commodity, technology, and software of equipment are being exported, the individual interpretations. These interpretations clarify the component parts that are physically incorporated scope of controls where such scope is not readily into the machine or equipment do not require a apparent from the Commerce Control List (CCL) license. The license or general exception under (see Supplement No. 1 to part 774 of the EAR) which the complete machine or unit of equipment and other provisions of the Export Administration is exported will also cover its component parts, Regulations. provided that the parts are normal and usual

components of the machine or equipment being

exported, or that the physical incorporation is not § 770.2 ITEM INTERPRETATIONS used as a device to evade the requirement for a license. (a) Interpretation 1: Anti-friction bearing or bearing systems and specially designed parts (2) Parts are exported as spares, re- placements, for resale, or for stock. In in- (1) Anti-friction bearings or bearing systems stances where parts are exported as spares, shipped as spares or replacements are classified replacements, for resale, or for stock, a license is under Export Control Classification Number required only if the appropriate entry for the part (ECCN) 2A001 (ball, roller, or needle-roller specifies that a license is required for the intended bearings and parts). This applies to separate destination. shipments of anti-friction bearings or bearing systems and antifriction bearings or bearing (c) [RESERVED] systems shipped with machinery or equipment for which they are intended to be used as spares or (d) Interpretation 4: Telecommunications replacement parts. equipment and systems

(2) An anti-friction bearing or bearing system Control equipment for paging systems (broadcast physically incorporated in a segment of a radio or selectively signalled receiving systems) machine or in a complete machine prior to is defined as circuit switching equipment in shipment loses its identity as a bearing. In this Category 5 of the CCL. scenario, the machine or segment of machinery

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 2

EEI filing to the AES in sufficient detail to be (e) Interpretation 5: Numerical control identified under the proper ECCN. When systems. commodities declared as “parts,” “accessories,” or equipment are shipped in bulk, or are otherwise (1) Classification of “Numerical Control” not packaged, packed, or sorted in accordance Units. “Numerical control” units for machine with normal trade practices, the Customs Officer tools, regardless of their configurations or may require evidence that the shipment is not architectures, are controlled by their functional scrap. Such evidence may include, but is not characteristics as described in ECCN 2B001.a. limited to, bills of sale, orders and “Numerical control” units include computers correspondence indicating whether the with add-on “motion control boards”. A commodities are scrap or are being exported for computer with add-on “motion control boards” use as “parts,” “accessories,” or equipment. for machine tools may be controlled under ECCN 2B001.a even when the computer alone without (g) Interpretation 7: Scrap arms, “motion control boards” is not subject to ammunition, and implements of war licensing requirements under Category 4 and the “motion control boards” are not controlled under Arms, ammunition, and implements of war, as ECCN 2B001.b. defined in the U.S. Munitions List, and are under the jurisdiction of the U.S. Department of State (2) Export documentation requirement. (22 CFR parts 120 through 130), except for the following, which are under the jurisdiction of the (i) When preparing a license application for a Department of Commerce: numerical control system, the machine tool and the control unit are classified separately. If (1) Cartridge and shell cases that have been either the machine tool or the control unit requires rendered useless beyond the possibility of a license, then the entire unit requires a license. restoration to their original identity by means of If either a machine tool or a control unit is excessive heating, flame treatment, mangling, exported separately from the system, the exported crushing, cutting, or by any other method are component is classified on the license application “scrap”. without regard to the other parts of a possible system. (2) Cartridge and shell cases that have been sold by the armed services as “scrap”, whether or not (ii) When preparing the Electronic Export they have been heated, flame-treated, mangled, Information (EEI) on the Automated Export crushed, cut, or reduced to scrap by any other System (AES), a system being shipped complete method. (i.e., machine and control unit), should be reported under the Schedule B number for each (3) Other commodities that may have been on machine. When either a control unit or a machine the U.S. Munitions List are “scrap”, and therefore is shipped separately, it should be reported under under the jurisdiction of the Department of the Schedule B number appropriate for the Commerce, if they have been rendered useless individual item being exported. beyond the possibility of restoration to their original identity only by means of mangling, (f) Interpretation 6: “Parts,” “accessories,” crushing, or cutting. When in doubt as to and equipment exported as scrap whether a commodity covered by the Munitions List has been rendered useless, exporters should “Parts,” “accessories,” or equipment that are consult the Directorate of Defense Trade being shipped as scrap should be described on the Controls, U.S. Department of State, Washington,

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 3

D.C. 20520, or the Exporter Counseling Division, Hydroxydiphenylacetic Office of Exporter Services, Room 1099A, U.S. Department of Commerce, Washington, D.C. (4) (C.A.S. #107-07-3) 2-Chloroethanol 20230, before reporting a shipment as 2-Chloro-1- scrap. Chloroethanol 2-Chloroethyl (h) [RESERVED] Ethene chlorohydrin Ethylchlorohydrin (i) [RESERVED] Ethylene chlorhydrin Ethylene chlorohydrin (j) [RESERVED] Glycol chlorohydrin Glycol monochlorohydrin (k) Interpretation 11: Precursor chemicals 2-Hydroxyethyl chloride

The following chemicals are controlled by ECCN (5) (C.A.S. #78-38-6) Diethyl ethylphosphonate 1C350. The appropriate Chemical Abstract Ethylphosphonic acid diethyl ester Service Registry (C.A.S.) number and synonyms, (i.e., alternative names) are included to help you (6) (C.A.S. #15715-41-0) Diethyl determine whether or not your chemicals are methylphosphonite controlled by this entry. Diethoxymethylphosphine Diethyl methanephosphonite (1) (C.A.S. #1341-49-7) Ammonium 0,0-Diethyl methylphosphonite Methyldiethoxyphosphine Acid ammonium fluoride Methylphosphonous acid diethyl ester (7) (C.A.S. #2404-03-7) Diethyl-N, Ammonium difluoride N-dimethylphosphoro- amidate Ammonium hydrofluoride N,N-Dimethyl-O,O'-diethyl phosphoramidate Ammonium hydrogen bifluoride Diethyl dimethylphosphoramidate Ammonium hydrogen difluoride Dimethylphosphoramidic acid diethyl ester Ammonium monohydrogen difluoride (8) (C.A.S. #762-04-9) Diethyl phosphite (2) (C.A.S. #7784-34-1) Arsenic trichloride Diethoxyphosphine oxide Arsenic (III) chloride Diethyl acid phosphite Arsenous chloride Diethyl hydrogen phosphite Fuming liquid arsenic Diethyo phosphonate Trichloroarsine Hydrogen diethyl phosphite

(3) (C.A.S. #76-93-7) Benzilic acid (9) (C.A.S. #100-37-8) N, alpha.,.alpha.-Diphenyl-.alpha.-hydroxyacetic N- acid N,N-Diethyl-2-aminoethanol Diphenylglycolic acid Diethyl (2-hydroxyethyl) .alpha.,.alpha.-Diphenylglycolic acid N,N-Diethyl-N-(.beta.-hydroxyethyl) amine Diphenylhydroxyacetic acid N,N-Diethyl-2-hydroxyethylamine .alpha.-Hydroxy-2,2-diphenylacetic acid Diethylaminoethanol 2-Hydroxy-2,2-diphenylacetic acid 2-(Diethylamino) ethanol .alpha.-Hydroxy-.alpha.-phenylbenzeneacetic 2-(Diethylamino)ethyl alcohol acid N,N-Diethylmonoethanolamine

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 4

(2-Hydroxyethyl) Dimethoxymethyl oxide 2-Hydroxytriethylamine Dimethyl methanephosphonate Methanephosphonic acid dimethyl ester (10) (C.A.S. #5842-07-9) Methylphosphonic acid dimethyl ester N,N-Diisopropyl-.beta.-aminoethane thiol 2-(Diisopropylamino) ethanethiol (17) (C.A.S. #868-85-9) Dimethyl phosphite Diisopropylaminoethanethiol Dimethoxyphosphine oxide .beta.-Diisopropylaminoethanethiol Dimethyl acid phosphite 2-(bis(1-Methylethyl)amino) ethanethiol Dimethyl hydrogen phosphite Dimethyl phosphonate (11) (C.A.S. #4261-68-1) N, Hydrogen dimethyl phosphite N-Diisopropyl-.2-aminoethyl chloride Methyl phosphate hydrochloride (18) (C.A.S. #124-40-3) Dimethylamine (12) (C.A.S. #96-80-0) N-Methyl methanamine N,N-Diisopropyl-.beta.-aminoethanol N,N-Diisopropyl-2-aminoethanol (19) (C.A.S. #506-59-2) Dimethylamine 2-(Diisopropylamino) ethanol hydrochloride (N,N-Diisopropylamino) ethanol Dimethylammonium chloride 2-(Diisopropylamino) ethyl alcohol N-Methyl methanamine hydrochloride N,N-Diisopropylethanolamine (20) [RESERVED] (13) (C.A.S. #96-79-7) N,N-Diisopropyl-.beta.-aminoethyl chloride (21) (C.A.S. #1498-40-4) Ethylphosphonous 2-Chloro-N,N-diisopropylethanamine dichloride 1-Chloro-N,N-diisopropylaminoethane Dichloroethylphosphine 2-Chloro-N,N-diisopropylethylamine Ethyl phosphonous dichloride N-(2-chloroethyl)-N-(1-methylethyl)-2-prop Ethyldichlorophosphine anamine N-(2-Chloroethyl) diisopropylamine (22) (C.A.S. #430-78-4) Ethylphosphonus N,N-Diisopropyl-2-chloroethylamine difluoride 1-(Diisopropylamino)-2-cholorethane Ethyldifluorophosphine 2-(Diisopropylamino)ethyl chloride Diisopropylaminoethyl chloride (23) (C.A.S. #1066-50-8) Ethylphosphonyl .beta.-Diisopropylaminoethyl chloride dichloride Dichloroethylphosphine oxide (14) (C.A.S. #108-18-9) Diisopropylamine Ethanephosphonyl chloride N,N-Diisopropylamine Ethylphosphinic dichloride N-(1-Methylethyl)-2-propanamine Ethylphosphonic acid dichloride Ethylphosphonic dichloride (15) (C.A.S. #6163-75-3) Dimethyl ethylphosphonate (24) [RESERVED] Dimethyl ethanephosphonate Ethylphosphonic acid dimethyl ester (25) (C.A.S. #7664-39-3) Anhydrous (16) (C.A.S. #756-79-6) Dimethyl Fluorhydric acid methylphosphonate monohydride

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 5

Hydrofluoric acid gas Phosphorus perchloride

(26) (C.A.S. #3554-74-3) (34) (C.A.S. #1314-80-3) Phosphorus 3-Hydroxyl-1-methylpiperidine pentasulfide 3-Hydroxy-N-methylpiperidine Diphosphorus pentasulfide 1-Methyl-3-hydroxypiperidine Phosphoric sulfide N-Methyl-3-hydroxypiperidine Phosphorus persulfide 1-Methyl-3-piperidinol Phosphorus sulfide N-Methyl-3-piperidinol (35) (C.A.S. #7719-12-2) Phosphorus trichloride (27) (C.A.S. #76-89-1) Methyl benzilate Phosphorus chloride Benzilic acid methyl ester Trichlorophosphine .alpha.-Hydroxy-.alpha.-phenylbenzeneacetic acid methyl ester (36) C.A.S. #75-97-8) Methyl .alpha.-phenylmandelate tert-Butyl methyl Methyl diphenylglycolate 2,2-Dimethyl-3-butanone 3,3-Dimethyl-2-butanone (28) [RESERVED] 2,2-Dimethylbutanone 3,3-Dimethylbutanone (29) [RESERVED] 1,1-Dimethylethyl methyl ketone Methyl tert-butyl ketone (30) [RESERVED] Pinacolin Pinacoline (31) [RESERVED] 1,1,1-Trimethylacetone

(32) (C.A.S. #10025-87-3) Phosphorus (37) (C.A.S. #464-07-3) oxychloride tert-Butyl methyl carbinol Phosphonyl trichloride 2,2-Dimethyl-3- Phosphoric chloride 3,3-Dimethyl-2-butanol Phosphoric trichloride 1-Methyl-2,2-dimethylpropanol Phosphoroxychloride Phosphoroxytrichloride (38) (C.A.S. #151-50-8) cyanide Phosphorus chloride oxide Phosphorus monoxide trichloride (39) (C.A.S. #7789-23-3) Phosphorus oxide trichloride Potassium monofluoride Phosphorus oxytrichloride Phosphorus trichloride oxide (40) (C.A.S. #7789-29-9) Potassium hydrogen Phosphoryl trichloride fluoride Trichlorophosphine oxide Hydrogen potassium difluoride Trichlorophosphorus oxide Hydrogen potassium fluoride Potassium acid fluoride (33) (C.A.S. #10026-13-8) Phosphorus pentachloride Potassium hydrogen difluoride Pentachlorophosphorane Potassium monohydrogen difluoride Pentachlorophosphorus Phosphoric chloride (41) (C.A.S. #1619-34-7) 3-Quinuclidinol Phosphorus(V) chloride 1-Azabicyclo(2.2.2)octan-3-ol

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 6

3-Hydroxyquinuclidine Alkanolamine 244 Nitrilotriethanol (42) (C.A.S. #3731-38-2) 3-Quinuclidinone 2,2',2"-Nitrilotriethanol 1-Azabicyclo(2.2.2)octan-3-one 2,2',2"-Nitrilotris(ethanol) 3-Oxyquinuclidine TEA Quinuclidone TEA(amino alcohol) Tri(2-hydroxyethyl)amine (43) (C.A.S.) #1333-83-1) bifluoride Triethanolamin Sodium hydrogen difluoride Tris(.beta.-hydroxyethyl)amine Sodium hydrogen fluoride Tris(2-hydroxyethyl)amine Trolamine (44) (C.A.S. #143-33-9) (52) (C.A.S. #637-39-8) (45) (C.A.S. #7681-49-4) hydrochloride Sodium monofluoride (53) (C.A.S. #122-52-1) Triethyl phosphite (46) (C.A.S. #1313-82-2) Sodium sulfide Phosphorous acid triethyl ester Disodium monosulfide Triethoxyphosphine Disodium sulfide Tris(ethoxy)phosphine Sodium monosulfide Sodium sulfide (54) (C.A.S. #121-45-9) Trimethyl phosphite Phosphorus acid trimethyl ester (47) (C.A.S. #10025-67-9) Sulfur Monochloride Trimethoxyphosphine (48) (C.A.S. #10545-99-0) Sulfur dicholoride (l) Interpretation 12: Computers (49) (C.A.S. #111-48-8) Thiodiglycol Bis(2-hydroxyethyl) sulfide (1) Digital computers or computer systems Bis(2-hydroxyethyl) thioether classified under ECCN 4A003.b or .c, that qualify Di(2-hydroxyethyl) sulfide for “No License Required” (NLR) must be Diethanol sulfide evaluated on the basis of Adjusted Peak 2,2'-Dithiobis-(ethanol) Performance (APP) alone, to the exclusion of all 3-Thiapentane-1,5- other technical parameters. Digital computers or 2,2'-Thiobisethanol computer systems classified under ECCN 2,2'-Thiodiethanol 4A003.b or .c that qualify for License Exception Thiodiethylene glycol APP must be evaluated on the basis of APP, to 2,2'-Thiodiglycol the exclusion of all other technical parameters. Assemblies performing analog-to-digital (50) C.A.S. #7719-09-7) Thionyl chloride conversions are evaluated under Category 3— Sulfinyl chloride Electronics, ECCN 3A002.h. Sulfinyl dichloride Sulfur chloride oxide (2) Related equipment classified under ECCN Sulfur oxychloride 4A003.g may be exported or reexported under Sulfurous dichloride License Exceptions GBS or CIV. When related Sulfurous oxychloride equipment is exported or reexported as part of a Thionyl dichloride computer system, NLR or License Exception APP is available for the computer system and the (51) (C.A.S. #102-71-6) Triethanolamine related equipment, as appropriate.

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 7

§ 770.3 INTERPRETATIONS RELATED TO EXPORTS OF (m) Interpretation 13: Encryption TECHNOLOGY AND SOFTWARE TO commodities and software controlled for DESTINATIONS IN COUNTRY EI reasons GROUP D:1

Encryption commodities and software controlled (a) Introduction for EI reasons under ECCNs 5A002, 5A004 and

5D002 may be pre-loaded on a laptop, handheld This section is intended to provide you additional device or other computer or equipment and guidance on how to determine whether your exported under the tools of trade provision of technology or software would be eligible for a License Exception TMP or the personal use License Exception, may be exported under NLR, exemption under License Exception BAG, or require a license, for export to Country Group subject to the terms and conditions of such D:1. License Exceptions. Neither License Exception

TMP nor License Exception BAG contains a (b) Scope of licenses reporting requirement. Like other “information security” “software,” components, “electronic The export of technology and software under a assemblies” or modules, the control status of license is authorized only to the extent encryption commodities and software is specifically indicated on the face of the license. determined in Category 5 - Part 2 even if they are The only technology and software related to bundled, commingled or incorporated in a equipment exports that may be exported without computer or other equipment. However, a license is technology described in §§734.7 commodities and software specially designed for through 734.11 of the EAR; operating technology medical end use that incorporate an item in and software described in §740.13(a) of the EAR; Category 5 - Part 2 are not controlled in Category sales technology described in §740.13(b) of the 5 - Part 2. See paragraph (a) of Supplement No. EAR; and software updates described in 3 to part 774 (Statements of Understanding) of §740.13(c) of the EAR. the EAR.

(c) Commingled technology and software (n) Interpretation 14:

Unfinished “600 series” commodities (1) U.S.-origin technology does not lose its

U.S.-origin when it is redrawn, used, consulted, Forgings, castings, and other unfinished products, or otherwise commingled abroad in any respect such as extrusions and machined bodies, that with other technology of any other origin. have reached a stage in manufacturing where they Therefore, any subsequent or similar technical are clearly identifiable by mechanical properties, data prepared or engineered abroad for the material composition, geometry, or function as design, construction, operation, or maintenance commodities controlled by any Product Group A of any plant or equipment, or part thereof, which (“End Items,” “Equipment,” “Accessories,” is based on or utilizes any U.S.-origin technology, “Attachments,” “Parts,” “Components” and is subject to the EAR in the same manner as the “Systems”) “600 series” ECCN are controlled in original U.S.-origin technology, including license that “600 series” ECCN. requirements, unless the commingled technology

is not subject to the EAR by reason of the de

minimis exclusions described in §734.4 of the EAR.

Export Administration Regulations Bureau of Industry and Security December 31, 2016 Interpretations Part 770—page 8

(2) U.S.-origin software that is incorporated country, and “release” includes “application to into or commingled with foreign-origin software situations abroad of personal knowledge or does not lose its U.S.-origin. Such commingled technical experience acquired in the United software is subject to the EAR in the same States.” As the release of technology in the manner as the original U.S.-origin software, circumstances described here would exceed that including license requirements, unless the permitted under the License Exception TSU for commingled software is not subject to the EAR operation technology and software described in by reason of the de minimis exclusions described §740.13(a) of the EAR, a license would be in §734.4 of the EAR. required even though the technician could apply the data without disclosing it to the customer. (d) Certain License Exception (2)(i) Question 2. We plan, according to our The following questions and answers are normal business practices, to train customer intended to further clarify the scope of engineers to maintain equipment that we have technology and software eligible for a License exported under a license, License Exception, or Exception. NLR. The training is contractual in nature, provided for a fee, and is scheduled to take place (1)(i) Question 1. in part in the customer's facility and in part in the U.S. Can we now proceed with this training at (A) Our engineers, in installing or both locations under a License Exception? repairing equipment, use techniques (experience as well as proprietary knowledge of the internal (ii) Answer 2. (A) Provided that this is componentry or specifications of the equipment) your normal training, and involves technology that exceed what is provided in the standard contained in your manuals and standard manuals or instructions (including training) given instructions for the exported equipment, and to the customer. In some cases, it is also a meets the other requirements of License condition of the license that such information Exception TSU for operation technology and provided to the customer be constrained to the software described in §740.13(a), the training minimum necessary for normal installation, may be provided within the limits of those maintenance and operation situations. provisions of License Exception TSU. The location of the training is not significant, as the (B) Can we send an engineer (with export occurs at the time and place of the actual knowledge and experience) to the customer site transfer or imparting of the technology to the to perform the installation or repair, under the customer's engineers. provisions of License Exception TSU for operation technology and software described in (B) Any training beyond that covered §740.13(a) of the EAR, if it is understood that he under the provisions of License Exception TSU is restricted by our normal business practices to for operation technology and software described performing the work without imparting the in §740.13(a), but specifically represented in your knowledge or technology to the customer license application as required for this customer personnel? installation, and in fact authorized on the face of the license or a separate technology license, may (ii) Answer 1. Export of technology not be undertaken while the license is suspended includes release of U.S.-origin data in a foreign or revoked.

Export Administration Regulations Bureau of Industry and Security December 31, 2016