Effective Date: September 08, 2017
Expiration Date: September 08, 2028
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5.1.1 In general, all dual-use items in the U.S. or moving in transit through the U.S. are subject to the EAR. An exception to this is those items that are exclusively controlled by other departments or agencies of the U.S. Government (such as the DoS for items subject to the ITAR) and such technology or software that are in the public domain. For more information and greater detail about the scope of these regulations, refer to the EAR.
5.1.2 Once it is determined that the item or activity is subject to the EAR, it is classified according to the CCL. The general characteristics of the item will determine its appropriate category. When the item has been classified into one of the categories, its particular characteristics and functions can be matched to a specific ECCN. The CCL contains 10 categories, 0 thru 9; each category is subdivided into five groups designated by letters A through E. The ECCN consists of a set of digits and a letter, as follows:
a. Each ECCN entry identifies the type of, and reason for, control associated with the item and under what conditions a License Exception may be granted. The first digit identifies the general category; the letter immediately following identifies under which of the five groups the item is listed. The second digit differentiates individual entries by identifying the type of controls associated with the items contained in the entry. The second or third digit serves to differentiate between multilateral and unilateral export controls. For example, in ECCN 9A004, the "9" represents "Propulsion Systems, Space Vehicles, and Related Equipment." The "A" represents "Systems, Equipment, and Components," and the "00" represents the reason for control as "National Security." The last digit, "4," represents the sequential location in the category.
b. If a commodity or technology under the jurisdiction of the EAR is not described under an ECCN on the CCL, it is designated "EAR-99," which describes items subject to the EAR, but not specifically listed on the CCL. Generally, EAR-99 items are controlled at the lowest level and could be exported without a license or a specific License Exception to any destination except embargoed countries or countries designated by the Secretary of State as sponsors of terrorism.
c. If an item or technology is subject to the scope of the EAR, the "Ten General Prohibitions" listed in the EAR will be considered to ensure that none of those prohibitions applies.
5.1.3 Procedures for determining EAR license or License Exception eligibility are delineated in in NAII 2190.1:
a. Having consulted the CCL and classified the item to be exported under an ECCN, this decision tree will lead to a determination as to whether a license is required to export or reexport the item to specific destination. If applicable, check to see whether a valid export license currently exists for the proposed export, against which the export may be properly effected. 15 CFR pt. 738.4 gives more detailed guidance, as well as the Country Chart. Note: Publicly available technical data and software are generally exportable to all destinations, except sanctioned countries
b. Under the entry heading "License Requirements" on the CCL, in each ECCN Description, reasons for control are identified. Also in each ECCN, certain CCL-based License Exceptions may be listed for that entry.
c. With each Reason for Control, there is an applicable Country Chart identifier noted. It is now necessary to consult the Country Chart, locate the country of destination, and determine whether an "X" is marked in the cell under any of the associated Reasons for Control. If no "X" appears in the relevant column for the destination country, then No License is Required (NLR), and the export may be effected by simply marking "NLR" on the AES/SED, once all appropriate screens (See Section 5.3 of this NPR) and red flags (See Section 3.3 of this NPR) above have been reviewed.
d. If an "X" appears in the relevant column for the country of destination, a license is required unless a License Exception applies (see License Exceptions, below). The appropriate application form for exports and transfers is BIS Form 748P.
e. Refer all license requirements to the HEA through your CEA with other relevant license application information.
5.2.1 A "License Exception" is an authorization that allows the export or reexport, under stated conditions, without an IVL. The EAR describes License Exceptions and provides detailed instructions for Exceptions and their restrictions. Several EAR License Exceptions, are discussed in Section 5.2.4, as they are the License Exceptions most commonly used by NASA.
Note: Publicly available technical data and software are not subject to the EAR. "License Requirements" section of each ECCN lists all reasons for control applicable to all or some items controlled under that ECCN.
5.2.2 Because most EAR License Exceptions require a written assurance by the recipient (e.g., BIS Form 711), an international agreement or contract is normally required for use of any License Exception.
5.2.3 Although License Exceptions permit the export of items without a license, there are requirements for filing AES documentation. Record the correct License Exception symbol and the correct ECCN (e.g., 4A003, 5A002) on the AES documentation entry for all shipments of items exported under a License Exception. Use of a License Exception requires approval of the CEA or HEA.
Foreign partners and end-users of NASA exports will be screened for nuclear proliferation concerns, missile proliferation concerns, and chemical-biological proliferation concerns. Refer to the EAR for missile and nuclear screens and for destinations of chemical-biological weapons proliferation concern.
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