License and License Exemption Type Codes




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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.

License Code

Description


Export License Nbr / CFR Citation /

Authorization

Symbol/KPC#

ECCN


Allowed

Export

Info

Codes

Allowed MOT Codes

C30

Licenses issued by BIS authorizing an export, re-export, or other regulated activity. The term ‘license’ does not include authority represented by a ‘License Exception’. EAR99 may be reported as an ECCN.

Report the License Number.

Mandatory

IW, OS, OI, TL

All

C31

Special Comprehensive License (SCL)

Part 752.


EAR99 may be reported as an ECCN.


Report the License Number.



Mandatory

IW, OS, OI, TL

All

C32

No License Required (NLR) Part 758
Those items which are covered by entries on the Commerce Control List 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.

Report ‘NLR’.

Mandatory

IW, OS, OI, TL

All except ‘70’ (Fixed Transport)

C33

No License Required (NLR) Part 758
All other NLR items filed under the ‘NLR’ provisions of the EAR Part 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.



Report ‘NLR’.

Allowed

All except UG, FS, FI

All

C35

Limited Value Shipments (LVS) Part 740.3
EAR99 may NOT be reported as an ECCN.
Only allow Countries of Destination from the Country Group B list

Reference: www.access.gpo.gov/bis/ear/pdf/740spir.pdf




Report ‘LVS’.



Mandatory
Must be one of the

following:

0A018

0A918


1A001

1A002


1A003

1A008


1B001

1B002


1B003

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


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

CR, IS, TE, TL, CH, CI, MS, GS, IP, IR, OI, OS, DD, IW

All except ‘70’ (Fixed Transport)

C36

Shipments to B Countries (GBS) Part 740.4
EAR99 may NOT be reported as an ECCN.
Only allow Countries of Destination from the Country Group B list
Reference: www.access.gpo.gov/bis/ear/pdf/740spir.pdf

Report ‘GBS’.



Mandatory
Must be one of the

following:

1A005

2B018


3B002

4A003


1C006

2A001


3A001

3A002


3B001

3C002


3C005

3C006


5A001

5B001


6A001

6A003


6A004

6A005


6A008

6B004


6C004

8A002


9B001

9B002


9B003

9B004


9B006

CR, GP, IS

TE, TL, MS

GS, IP, IR, TP, OI, OS, DD, IW


All except ‘70’ (Fixed Transport)

C37

Civil End Users (CIV) Part 740.5
EAR99 may NOT be reported as an ECCN.

Only allow Countries of Destination from the Country Group D1 list


Reference: www.access.gpo.gov/bis/ear/pdf/740spir.pdf

Report ‘CIV’.

Mandatory
Must be one of the

following:

1D001

1D002


3E002

5D001


6D003

9D003


1C006

2A001


3A001

3A002


3B001

3C002


3C005

3C006


4A003

5A001


5B001

6A001


6A003

6A004


6A005

6A008


6B004

6C004


8A002

9B001


9B002

9B003


9B004

9B006


CR, IS, TE, TL, IP, IR, OI, OS, DD,

IW


All except ‘70’ (Fixed Transport)

C38

Restrict Technology and Software (TSR)

Part 740.6 (AES or EEI filing not required)


EAR99 may NOT be reported as an ECCN.
Only allow Countries of Destination from the Country Group B list
Reference: www.access.gpo.gov/bis/ear/pdf/740spir.pdf

Report ‘TSR’.


Mandatory
Must be one of the

following:

1D001

1D002


3E002

5D001


6D003

9D003


1E001

1E002


2D001

2D002


2D003

2E001


2E002

2E003


3D001

3D002


3D003

3D004


3E001

3E003


4D002

5E001


6D001

6D002


6E001

6E002


6E003

8D001


8D002

8E001


8E002

9D018


9E018

4D001


4E001

0E018


2D018

2E018


CR, GP, IS, TE, TL, MS, GS, IP, IR, OI, OS, IW

All except ‘70’ (Fixed Transport)

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/cancellations 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.
EAR99 may be reported as an ECCN.














C40

Temporary Imports, Exports, and Re-exports (TMP) Part 740.9
Consolidates the following categories: Temporary exports and re-exports; Items temporarily in the U.S.; Beta Test Software.

EAR99 may be reported as an ECCN.




Report ‘TMP’.

Allowed

CR, GP, IS, TE, TL, MS, GS, IP, IR, TP, OI, OS, DD, IW


All except ‘70’ (Fixed Transport)

C41

Servicing and Replacement of Parts and Equipment (RPL) Part 740.10
Consolidates the following categories: One-for-one replacement of parts; servicing and replacement of equipment.
EAR99 may be reported as an ECCN.

Report ‘RPL’.


Mandatory

GP, IS, TE, TL, MS, GS, IP, IR, TP, OI

OS, IW



All except ‘70’ (Fixed Transport)

C42

Government and International Organizations (GOV) Part 740.11 (AES or EEI not required)
Consolidates the following categories: International safeguards; shipments to U.S. Agencies and personnel; shipments to Agencies of cooperating governments.
EAR99 may be reported as an ECCN.

Report ‘GOV’.



Mandatory

GP, IS, TE, TL, CH, CI, MS, GS, IP, IR, TP, OI, OS, DD, IW


All except ‘70’ (Fixed Transport)

C43

Gift Parcels and Humanitarian Donations (GFT) Part 740.12
(AES or EEI not required)

Items under 600 series ECCNs are not eligible under this license type.
Consolidates the following categories: Gift parcels; Humanitarian donations.
EAR99 may be reported as an ECCN.

Report ‘GFT’.



Mandatory

UG, IW

All except ‘70’ (Fixed Transport)

C44

Technology and Software – Unrestricted (TSU) Part 740.13
Consolidates the following categories: Operating technology and software; Sales technology and software; Software updates; General software.
EAR99 may be reported as an ECCN.

Report ‘TSU’.

Mandatory

CR, GP, IS, TE, TL, MS, GS, IP, IR, TP, OI, OS, IW


All except ‘70’ (Fixed Transport)

C45

Baggage (BAG) Part 740.14
Items under 600 series ECCNs are not eligible under this license type.
EAR99 may be reported as an ECCN.

Report ‘BAG’.

Mandatory

OI, OS, IW

All except ‘70’ (Fixed Transport)

C46

Aircraft and Vessels (AVS) Part 740.15
(AES or EEI not required)

Items under 600 series ECCNs are not eligible under this license type.
EAR99 may be reported as an ECCN.

Report ‘AVS’.

Mandatory

GP, IS, TE, TL, MS, GS, IP, IR, TP, OI, OS, IW

All except ‘70’ (Fixed Transport)


C49

Trans-Alaska Pipeline Authorization Act (TAPS) Part 754.2
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.

Report ‘TAPS’.

Mandatory

OI, OS, IW

‘70’ (Fixed Transport)

C50

Encryption Commodities and Software (ENC) Part 740.17
Permits the export and re-export of any key length encryption commodities and software after review; permits the export and re-export of any key length encryption to U.S. subsidiaries without review.
EAR99 may NOT be reported as an ECCN.

Report ‘ENC’.

Mandatory
Must be one of the

following:

5A002

5B002


5D002

5E002


CR, GP, IS, TE, TL, MS, GS, IP, IR, TP, OI, OS, IW


All except ‘70’ (Fixed Transport)

C51

License Exception Agricultural Commodities (AGR) Part 740.18
Authorizes exports and certain re-exports of agricultural commodities to Cuba.
Items under 600 series ECCNs are not eligible under this license type.

EAR99 may be reported as an ECCN.



Report License Number.

Mandatory

CH, OI, OS, IW

All except ‘20’, ‘21’ (Rail), ‘30’, ‘31’ (Truck), ‘70’ (Fixed Transport)

C53

Computers (APP) Part 740.7
Adjusted Peak Performance (APP) replaces Composite Theoretical Performance (CTP)
EAR99 may NOT be reported as an ECCN.

Report ‘APP’.

Mandatory

Must be one of the following:

4A003

4D001


4E001

CR, GP, IS, TE, TL, MS, GS, IP, IR, TP, OI, OS, IW

All except ‘70’ (Fixed Transport)

C54

Short Supply (Western Red Cedar – WRC) Part 754.4
EAR99 may NOT be reported as an ECCN.


Report

‘SS-WRC’


Mandatory

Must be


1C988

All

All except ‘70’ (Fixed Transport)

C55

Short Supply (Crude Oil Samples – SAMPLE) Part 754.2
EAR99 may NOT be reported as an ECCN.

Report

‘SS-SAMPLE’



Mandatory

Must be


1C981

All

All

C56

Short Supply (Strategic Petroleum Reserves – SPR) Part 754.2
EAR99 may NOT be reported as an ECCN.

Report

‘SS-SPR’.



Mandatory

Must be


1C981

All

All

C57

Authorization for Validated End-User for Certain Authorized Exports and Re-exports of Commerce Control List items to the People’s Republic of China and India.
Items under 600 series ECCNs are not eligible under this license type.
EAR99 may NOT be reported as an ECCN.

Report ‘VEU’.

Mandatory

OI, OS, TL, IW

All except ‘70’ (Fixed Transport)

C58

Free Exchange of Information allows export and re-export of consumer products related to communications and exchange of information to Cuba.

Report ‘CCD’

4A994, 4D994, 5A991, 5D991,

5D992,


5A992,

EAR99


OI, OS, CH, CI

All except ‘70’ (Fixed Transport)


C59

Strategic Trade Authorization (STA) allows an exception to export specific controlled items to certain countries that would otherwise require a license because of CCL-based license requirements.


Report ‘STA’

600-series ECCNs and other ECCNs are eligible to the extent permitted under part 740.20 of the EAR


OI, OS, CH, CI

All

C60

.y “600 series” items to identify the .y subparts to ECCNs that are in the “600 series” because they have less military significance than other subparts to the “600 series.”

Report ‘DY6’

Allowed
When reported, the ECCN must be one of the

following:
0A606

0A617

0D606

0D617

0E606

0E617

8A609

8A620

8D609

8D620

8E609

8E620

9A610

9A619

9B619

9D610

9D619

9E610

9E619

OI, OS, CH, CI

All


Table B: Nuclear Regulatory Commission (NRC) License Type Codes.

License Code

Description


Export License Nbr / CFR Citation /

Authorization

Symbol/KPC#

ECCN

Allowed

Export

Info


Codes

Allowed MOT Codes

N01

NRC Form 250/250A
‘Specific’ export license for nuclear material and equipment.

Report the License Number.

Allowed

MS, GS, OI, OS

All except ‘60’ (Passenger Hand Carried), ‘70’ (Fixed Transport)

N02

NRC ‘General’ Export License

Report the CFR Citation Number.

Allowed

MS, GS, OI, OS

All except ‘60’ (Passenger Hand Carried), ‘70’ (Fixed 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.

License Code


Description

DDTC ITAR Exemption Nbr

Export License Nbr / CFR Citation /

Authorization

Symbol/KPC#/ ACM#

ECCN


Allowed

Export

Info

Codes

Allowed MOT Codes

SAG

Agreements
Agreements (i.e. AG, BA, MA, RR, TA and VD)

Report ITAR DDTC Exemption Citation.

Report spaces.

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

SAU

Australia ITAR Exemptions

Report ITAR DDTC Exemption Citation

Report the Approved Community Member #

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

SCA

Canadian ITAR Exemption

Report ITAR DDTC Exemption Citation.

Report spaces.

Allowed


MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

SGB

United Kingdom ITAR Exemptions

Report ITAR DDTC Exemption Citation

Report the Approved Community Member #

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

S00

License Exemption Citation

Report ITAR DDTC Exemption Citation.

Report spaces.

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

S05

DSP-5
Permanent export of unclassified defense articles and services.

Report spaces.

Report the License Number.

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

S61

DSP-61
Temporary import of unclassified articles.

Report spaces.

Report the License Number.


Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

S73

DSP-73
Temporary export of unclassified articles.

Report spaces.

Report the License Number.

Allowed

MS, GS, TP, OI, OS

All except ‘70’ (Fixed Transport)

S85

DSP-85
Temporary or permanent import or export of classified articles.

Report spaces.

Report the License Number.

Allowed

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

S94

DSP-94
Foreign Military Sales

Report spaces.

Report the License Number.

Allowed

MS, GS, FS, FI

All except ‘60’ (Passenger Hand Carried), ‘70’ (Fixed Transport)

Table D: Department of Treasury/Office of Foreign Assets Control (OFAC) License Type Codes.


License Code

Description


Export License Nbr / CFR Citation /

Authorization

Symbol/KPC#

ECCN


Allowed

Export

Info

Codes

Allowed MOT Codes

T10

OFAC ‘Specific’ License
Specific export license issued, on a case-by-case basis, by OFAC for certain export shipments that would otherwise be barred by sanctions.

Report the License Number.

Allowed

MS, GS, OI, OS

All except ‘60’ (Passenger Hand Carried), ‘70’ (Fixed Transport)

T11

OFAC ‘General’ Export License
Export shipments permitted under ‘General’ license which conform to criteria set forth in an OFAC authorization published as a regulation (no individual clearance by OFAC) covers certain shipments that would otherwise be barred by sanctions.

Report the CFR citation or if there is no CFR citation, the Federal Register Citation if there is one, or the General License Number.

Allowed

MS, GS, OI, OS

All except ‘60’ (Passenger Hand Carried), ‘70’ (Fixed Transport)

T12

Kimberley Process Certificate Number
The unique identifying number of the Kimberley Process Certificate (KPC) 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).


Report the KPC#

EAR99 or blank only

OI, OS

All except ‘70’

(Fixed Transport)


Table E: Other Partnership Agency License Type Code.

License Code

Description


Export License Nbr / CFR Citation /

Authorization

Symbol/KCP#

ECCN


Allowed

Export

Info

Codes

Allowed MOT Codes

OPA

Other Partnership Agency License
AES filers are required to comply with current paper documentation requirements for agencies not accommodated in AES

(i.e. DEA, ATF).



Report the License Number or ‘OPA’.



Allowed

All except UG, FS, FI, IW

All



Table F: Department of Energy/National Nuclear Security Administration (DOE/NNSA) License Type Code.

License Code

Description


Export License Nbr / CFR Citation /

Authorization

Symbol/KCP#

ECCN


Allowed

Export

Info

Codes

Allowed MOT Codes

E01

Authorization for Nuclear Security Enterprise of government-owned, contractor-operated (GOCO) 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.

Report ‘AEA’

Not Allowed

OS

All except ‘12’, ’20’, ‘21’, ‘70’






AESTIR Part III, Appendix F F-


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