1. (a) Interpretation 1: Anti-friction bearing or bearing systems and specially designed parts.

   1. (1) Anti-friction bearings or bearing systems shipped as spares or replacements are classified under Export Control Classification Number (ECCN) 2A001 (ball, roller, or needle-roller bearings and parts). This applies to separate shipments of anti-friction bearings or bearing systems and anti-friction bearings or bearing systems shipped with machinery or equipment for which they are intended to be used as spares or replacement parts.
   2. (2) An anti-friction bearing or bearing system physically incorporated in a segment of a machine or in a complete machine prior to shipment loses its identity as a bearing. In this scenario, the machine or segment of machinery containing the bearing is the item subject to export control requirements.
   3. (3) An anti-friction bearing or bearing system not incorporated in a segment of a machine prior to shipment, but shipped as a component of a complete unassembled (knocked-down) machine, is considered a component of a machine. In this scenario, the complete machine is the item subject to export license requirements.
2. (b) Interpretation 2: Classification of “parts” of machinery, equipment, or other items—(1) An assembled machine or unit of equipment is being exported. In instances where one or more assembled machines or units of equipment are being exported, the individual component parts that are physically incorporated into the machine or equipment do not require a license. The license or general exception under which the complete machine or unit of equipment is exported will also cover its component parts, provided that the parts are normal and usual components of the machine or equipment being exported, or that the physical incorporation is not used as a device to evade the requirement for a license.
3. (2) Parts are exported as spares, replacements, for resale, or for stock. In instances where parts are exported as spares, replacements, for resale, or for stock, a license is required only if the appropriate entry for the part specifies that a license is required for the intended destination.
4. (c) [Reserved]
5. (d) Interpretation 4: Telecommunications equipment and systems. Control equipment for paging systems (broadcast radio or selectively signalled receiving systems) is defined as circuit switching equipment in Category 5 of the CCL.
6. (e) Interpretation 5: Numerical control systems—(1) Classification of “Numerical Control” Units. “Numerical control” units for machine tools, regardless of their configurations or architectures, are controlled by their functional characteristics as described in ECCN 2B001.a. “Numerical control” units include computers with add-on “motion control boards”. A computer with add-on “motion control boards” for machine tools may be controlled under ECCN 2B001.a even when the computer alone without “motion control boards” is not subject to licensing requirements under Category 4 and the “motion control boards” are not controlled under ECCN 2B001.b.

7. (2) Export documentation requirement.

   1. (i) When preparing a license application for a numerical control system, the machine tool and the control unit are classified separately. If either the machine tool or the control unit requires a license, then the entire unit requires a license. If either a machine tool or a control unit is exported separately from the system, the exported component is classified on the license application without regard to the other parts of a possible system.
   2. (ii) When preparing the Electronic Export Information (EEI) on the Automated Export System (AES), a system being shipped complete (i.e., machine and control unit), should be reported under the Schedule B number for each machine. When either a control unit or a machine is shipped separately, it should be reported under the Schedule B number appropriate for the individual item being exported.
   3. (f) Interpretation 6: “Parts,” “accessories,” and equipment exported as scrap. “Parts,” “accessories,” or equipment that are being shipped as scrap should be described on the EEI filing to the AES in sufficient detail to be identified under the proper ECCN. When commodities declared as “parts,” “accessories,” or equipment are shipped in bulk, or are otherwise not packaged, packed, or sorted in accordance with normal trade practices, the Customs Officer may require evidence that the shipment is not scrap. Such evidence may include, but is not limited to, bills of sale, orders and correspondence indicating whether the commodities are scrap or are being exported for use as “parts,” “accessories,” or equipment.

   4. (g) Interpretation 7: Scrap arms, ammunition, and implements of war. Arms, ammunition, and implements of war, as defined in the U.S. Munitions List, and are under the jurisdiction of the U.S. Department of State (22 CFR parts 120 through 130), except for the following, which are under the jurisdiction of the Department of Commerce:

      1. (1) Cartridge and shell cases that have been rendered useless beyond the possibility of restoration to their original identity by means of excessive heating, flame treatment, mangling, crushing, cutting, or by any other method are “scrap”.
      2. (2) Cartridge and shell cases that have been sold by the armed services as “scrap”, whether or not they have been heated, flame-treated, mangled, crushed, cut, or reduced to scrap by any other method.
      3. (3) Other commodities that may have been on the U.S. Munitions List are “scrap”, and therefore under the jurisdiction of the Department of Commerce, if they have been rendered useless beyond the possibility of restoration to their original identity only by means of mangling, crushing, or cutting. When in doubt as to whether a commodity covered by the Munitions List has been rendered useless, exporters should consult the Directorate of Defense Trade Controls, U.S. Department of State, Washington, DC 20520, or the Exporter Counseling Division, Office of Exporter Services, Room 1099A, U.S. Department of Commerce, Washington, DC 20230, before reporting a shipment as metal scrap.
   5. (h) -(j) [Reserved]

   6. (k) Interpretation 11: Precursor chemicals. The following chemicals are controlled by ECCN 1C350. The appropriate Chemical Abstract Service Registry (C.A.S.) number and synonyms (i.e., alternative names) are included to help you determine whether or not your chemicals are controlled by this entry.

      1. (1) (C.A.S. #1341-49-7) Ammonium hydrogen bifluoride

         Acid ammonium fluoride

         Ammonium bifluoride

         Ammonium difluoride

         Ammonium hydrofluoride

         Ammonium hydrogen bifluoride

         Ammonium hydrogen difluoride

         Ammonium monohydrogen difluoride

      2. (2) (C.A.S. #7784-34-1) Arsenic trichloride

         Arsenic (III) chloride

         Arsenous chloride

         Fuming liquid arsenic

         Trichloroarsine

      3. (3) (C.A.S. #76-93-7) Benzilic acid

         .alpha.,.alpha.-Diphenyl-.alpha.-hydroxyacetic acid

         Diphenylglycolic acid

         .alpha.,.alpha.-Diphenylglycolic acid

         Diphenylhydroxyacetic acid

         .alpha.-Hydroxy-2,2-diphenylacetic acid

         2-Hydroxy-2,2-diphenylacetic acid

         .alpha.-Hydroxy-.alpha.-phenylbenzeneacetic acid

         Hydroxydiphenylacetic acid

      4. (4) (C.A.S. #107-07-3) 2-Chloroethanol

         2-Chloro-1-ethanol

         Chloroethanol

         2-Chloroethyl alcohol

         Ethene chlorohydrin

         Ethylchlorohydrin

         Ethylene chlorhydrin

         Ethylene chlorohydrin

         Glycol chlorohydrin

         Glycol monochlorohydrin

         2-Hydroxyethyl chloride

      5. (5) (C.A.S. #78-38-6) Diethyl ethylphosphonate Ethylphosphonic acid diethyl ester

      6. (6) (C.A.S. #15715-41-0) Diethyl methylphosphonite

         Diethoxymethylphosphine

         Diethyl methanephosphonite

         0,0-Diethyl methylphosphonite

         Methyldiethoxyphosphine

         Methylphosphonous acid diethyl ester

      7. (7) (C.A.S. #2404-03-7) Diethyl-N, N-dimethylphosphoro-amidate

         N,N-Dimethyl-O,O′-diethyl phosphoramidate

         Diethyl dimethylphosphoramidate

         Dimethylphosphoramidic acid diethyl ester

      8. (8) (C.A.S. #762-04-9) Diethyl phosphite

         Diethoxyphosphine oxide

         Diethyl acid phosphite

         Diethyl hydrogen phosphite

         Diethyo phosphonate

         Hydrogen diethyl phosphite

      9. (9) (C.A.S. #100-37-8) N, N-Diethylethanolamine

         N,N-Diethyl-2-aminoethanol

         Diethyl (2-hydroxyethyl) amine

         N,N-Diethyl-N-(.beta.-hydroxyethyl) amine

         N,N-Diethyl-2-hydroxyethylamine

         Diethylaminoethanol

         2-(Diethylamino) ethanol

         2-(Diethylamino)ethyl alcohol

         N,N-Diethylmonoethanolamine

         (2-Hydroxyethyl) diethylamine

         2-Hydroxytriethylamine

      10. (10) (C.A.S. #5842-07-9) N,N-Diisopropyl-.beta.-aminoethane thiol

          2-(Diisopropylamino) ethanethiol

          Diisopropylaminoethanethiol

          .beta.-Diisopropylaminoethanethiol

          2-(bis(1-Methylethyl)amino) ethanethiol

      11. (11) (C.A.S. #4261-68-1) N, N-Diisopropyl-.2-aminoethyl chloride hydrochloride

      12. (12) (C.A.S. #96-80-0) N,N-Diisopropyl-.beta.-aminoethanol

          N,N-Diisopropyl-2-aminoethanol

          2-(Diisopropylamino) ethanol

          (N,N-Diisopropylamino) ethanol

          2-(Diisopropylamino) ethyl alcohol

          N,N-Diisopropylethanolamine

      13. (13) (C.A.S. #96-79-7) N,N-Diisopropyl-.beta.-aminoethyl chloride

          2-Chloro-N,N-diisopropylethanamine

          1-Chloro-N,N-diisopropylaminoethane

          2-Chloro-N,N-diisopropylethylamine

          N-(2-chloroethyl)-N-(1-methylethyl)-2-propanamine

          N-(2-Chloroethyl) diisopropylamine

          N,N-Diisopropyl-2-chloroethylamine

          1-(Diisopropylamino)-2-cholorethane

          2-(Diisopropylamino)ethyl chloride

          Diisopropylaminoethyl chloride

          .beta.-Diisopropylaminoethyl chloride

      14. (14) (C.A.S. #108-18-9) Diisopropylamine

          N,N-Diisopropylamine

          N-(1-Methylethyl)-2-propanamine

      15. (15) (C.A.S. #6163-75-3) Dimethyl ethylphosphonate

          Dimethyl ethanephosphonate

          Ethylphosphonic acid dimethyl ester

      16. (16) (C.A.S. #756-79-6) Dimethyl methylphosphonate

          Dimethoxymethyl phosphine oxide

          Dimethyl methanephosphonate

          Methanephosphonic acid dimethyl ester

          Methylphosphonic acid dimethyl ester

      17. (17) (C.A.S. #868-85-9) Dimethyl phosphite

          Dimethoxyphosphine oxide

          Dimethyl acid phosphite

          Dimethyl hydrogen phosphite

          Dimethyl phosphonate

          Hydrogen dimethyl phosphite

          Methyl phosphate

      18. (18) (C.A.S. #124-40-3) Dimethylamine

          N-Methyl methanamine

      19. (19) (C.A.S. #506-59-2) Dimethylamine hydrochloride

          Dimethylammonium chloride

          N-Methyl methanamine hydrochloride

      20. (20) [Reserved]

      21. (21) (C.A.S. #1498-40-4) Ethylphosphonous dichloride

          Dichloroethylphosphine

          Ethyl phosphonous dichloride

          Ethyldichlorophosphine

      22. (22) (C.A.S. #430-78-4) Ethylphosphonus difluoride

          Ethyldifluorophosphine

      23. (23) (C.A.S. #1066-50-8) Ethylphosphonyl dichloride

          Dichloroethylphosphine oxide

          Ethanephosphonyl chloride

          Ethylphosphinic dichloride

          Ethylphosphonic acid dichloride

          Ethylphosphonic dichloride

      24. (24) [Reserved]

      25. (25) (C.A.S. #7664-39-3) Hydrogen fluoride

          Anhydrous hydrofluoric acid

          Fluorhydric acid

          Fluorine monohydride

          Hydrofluoric acid gas

      26. (26) (C.A.S. #3554-74-3) 3-Hydroxyl-1-methylpiperidine

          3-Hydroxy-N-methylpiperidine

          1-Methyl-3-hydroxypiperidine

          N-Methyl-3-hydroxypiperidine

          1-Methyl-3-piperidinol

          N-Methyl-3-piperidinol

      27. (27) (C.A.S. #76-89-1) Methyl benzilate

          Benzilic acid methyl ester

          .alpha.-Hydroxy-.alpha.-phenylbenzeneacetic acid methyl ester

          Methyl .alpha.-phenylmandelate

          Methyl diphenylglycolate

      28. (28) -(31) [Reserved]

      29. (32) (C.A.S. #10025-87-3) Phosphorus oxychloride

          Phosphonyl trichloride

          Phosphoric chloride

          Phosphoric trichloride

          Phosphoroxychloride

          Phosphoroxytrichloride

          Phosphorus chloride oxide

          Phosphorus monoxide trichloride

          Phosphorus oxide trichloride

          Phosphorus oxytrichloride

          Phosphorus trichloride oxide

          Phosphoryl trichloride

          Trichlorophosphine oxide

          Trichlorophosphorus oxide

      30. (33) (C.A.S. #10026-13-8) Phosphorus pentachloride

          Pentachlorophosphorane

          Pentachlorophosphorus

          Phosphoric chloride

          Phosphorus(V) chloride

          Phosphorus perchloride

      31. (34) (C.A.S. #1314-80-3) Phosphorus pentasulfide

          Diphosphorus pentasulfide

          Phosphoric sulfide

          Phosphorus persulfide

          Phosphorus sulfide

      32. (35) (C.A.S. #7719-12-2) Phosphorus trichloride

          Phosphorus chloride

          Trichlorophosphine

      33. (36) C.A.S. #75-97-8) Pinacolone

          tert-Butyl methyl ketone

          2,2-Dimethyl-3-butanone

          3,3-Dimethyl-2-butanone

          2,2-Dimethylbutanone

          3,3-Dimethylbutanone

          1,1-Dimethylethyl methyl ketone

          Methyl tert-butyl ketone

          Pinacolin

          Pinacoline

          1,1,1-Trimethylacetone

      34. (37) (C.A.S. #464-07-3) Pinacolyl alcohol

          tert-Butyl methyl carbinol

          2,2-Dimethyl-3-butanol

          3,3-Dimethyl-2-butanol

          1-Methyl-2,2-dimethylpropanol

      35. (38) (C.A.S. #151-50-8) Potassium cyanide

      36. (39) (C.A.S. #7789-23-3) Potassium fluoride

          Potassium monofluoride

      37. (40) (C.A.S. #7789-29-9) Potassium hydrogen fluoride

          Hydrogen potassium difluoride

          Hydrogen potassium fluoride

          Potassium acid fluoride

          Potassium bifluoride

          Potassium hydrogen difluoride

          Potassium monohydrogen difluoride

      38. (41) (C.A.S. #1619-34-7) 3-Quinuclidinol

          1-Azabicyclo(2.2.2)octan-3-ol

          3-Hydroxyquinuclidine

      39. (42) (C.A.S. #3731-38-2) 3-Quinuclidinone

          1-Azabicyclo(2.2.2)octan-3-one

          3-Oxyquinuclidine

          Quinuclidone

      40. (43) (C.A.S.) #1333-83-1) Sodium bifluoride

          Sodium hydrogen difluoride

          Sodium hydrogen fluoride

      41. (44) (C.A.S. #143-33-9) Sodium cyanide

      42. (45) (C.A.S. #7681-49-4) Sodium fluoride

          Sodium monofluoride

      43. (46) (C.A.S. #1313-82-2) Sodium sulfide

          Disodium monosulfide

          Disodium sulfide

          Sodium monosulfide

          Sodium sulfide

      44. (47) (C.A.S. #10025-67-9) Sulfur Monochloride
      45. (48) (C.A.S. #10545-99-0) Sulfur dicholoride

      46. (49) (C.A.S. #111-48-8) Thiodiglycol

          Bis(2-hydroxyethyl) sulfide

          Bis(2-hydroxyethyl) thioether

          Di(2-hydroxyethyl) sulfide

          Diethanol sulfide

          2,2′-Dithiobis-(ethanol)

          3-Thiapentane-1,5-diol

          2,2′-Thiobisethanol

          2,2′-Thiodiethanol

          Thiodiethylene glycol

          2,2′-Thiodiglycol

      47. (50) C.A.S. #7719-09-7) Thionyl chloride

          Sulfinyl chloride

          Sulfinyl dichloride

          Sulfur chloride oxide

          Sulfur oxychloride

          Sulfurous dichloride

          Sulfurous oxychloride

          Thionyl dichloride

      48. (51) (C.A.S. #102-71-6) Triethanolamine

          Alkanolamine 244

          Nitrilotriethanol

          2,2′,2″-Nitrilotriethanol

          2,2′,2″-Nitrilotris(ethanol)

          TEA

          TEA (amino alcohol)

          Tri (2-hydroxyethyl) amine

          Triethanolamin

          Tris (.beta.-hydroxyethyl) amine

          Tris (2-hydroxyethyl) amine

          Trolamine

      49. (52) (C.A.S. #637-39-8) Triethanolamine hydrochloride

      50. (53) (C.A.S. #122-52-1) Triethyl phosphite

          Phosphorous acid triethyl ester

          Triethoxyphosphine

          Tris(ethoxy)phosphine

      51. (54) (C.A.S. #121-45-9) Trimethyl phosphite

          Phosphorus acid trimethyl ester

          Trimethoxyphosphine

   7. (l) Interpretation 12: Computers.

      1. (1) Digital computers or computer systems classified under ECCN 4A003.b or .c, that qualify for “No License Required” (NLR) must be evaluated on the basis of Adjusted Peak Performance (APP) alone, to the exclusion of all other technical parameters. Digital computers or computer systems classified under ECCN 4A003.b or .c that qualify for License Exception APP must be evaluated on the basis of APP, to the exclusion of all other technical parameters. Assemblies performing analog-to-digital conversions are evaluated under Category 3—Electronics, ECCN 3A002.h.
      2. (2) Related equipment classified under ECCN 4A003.g may be exported or reexported under License Exceptions GBS or CIV. When related equipment is exported or reexported as part of a computer system, NLR or License Exception APP is available for the computer system and the related equipment, as appropriate.
   8. (m) Interpretation 13: Encryption commodities and software controlled for EI reasons. Encryption commodities and software controlled for EI reasons under ECCNs 5A002, 5A004 and 5D002 may be pre-loaded on a laptop, handheld device or other computer or equipment and exported under the tools of trade provision of License Exception TMP or the personal use exemption under License Exception BAG, subject to the terms and conditions of such License Exceptions. Neither License Exception TMP nor License Exception BAG contains a reporting requirement. Like other “information security” “software,” components, “electronic assemblies” or modules, the control status of encryption commodities and software is determined in Category 5—Part 2 even if they are bundled, commingled or incorporated in a computer or other equipment. However, commodities and software specially designed for medical end use that incorporate an item in Category 5—Part 2 are not controlled in Category 5—Part 2. See paragraph (a) of supplement no. 3 to part 774 (Statements of Understanding) of the EAR.
   9. (n) Interpretation 14: Unfinished “600 series” commodities. Forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have reached a stage in manufacturing where they are clearly identifiable by mechanical properties, material composition, geometry, or function as commodities controlled by any Product Group A (“End Items,” “Equipment,” “Accessories,” “Attachments,” “Parts,” “Components” and “Systems”) “600 series” ECCN are controlled in that “600 series” ECCN.

   10. (o) Interpretation 15: Certain integrated circuits acquired, tested, or otherwise used by or for the United States Government—(1) Classification of the integrated circuit (IC). Integrated circuits (ICs), including packaged “electronic assemblies” of ICs described by this section, that are manufactured using existing commercial fabrication process technologies and which are acquired, tested, or otherwise used by, for, or under contract with the United States Government (USG), are not considered to be radiation hardened (e.g., designed to withstand a specified radiation dose or upset) or temperature rated (e.g., rated to operate at prescribed temperatures) as may otherwise be specified under an Export Control Classification Number (ECCN) on the Commerce Control List (CCL) in supplement no. 1 to part 774 of the EAR, provided all of the following apply:

       1. (i) During “development”, the IC is not designed, rated, or certified (except by or for the USG) to meet the radiation or temperature specifications of any ECCN; and
       2. (ii) All commercial testing (including by the manufacturer during fabrication, sort, packaging or assembly) regarding radiation or temperature is limited to standard commercial tools and techniques, or else by means funded or furnished by the USG for their use in the commercial setting for these specified ICs.

       3. (2) Activities that do not change the classification of “software” or “technology” for the commercial fabrication of ICs. The “development”, “production,” or subsequent use of the ICs described by this section does not change the classification of any underlying standard commercial process “software” or “technology” used to manufacture or test these ICs, provided all of the following apply:

          1. (i) Any utilized existing commercial “software” or “technology” specified under ECCNs 3D991, 3D992, 3D993, 3E001, 3E991, 3E992, 3E993, 9D515.d, 9D515.e, 9E515.d or 9E515.e does not meet the “required” standard (as defined in part 772 of the EAR) of any other ECCN on the CCL; and

          2. (ii) The functional capability of the hardware, “software,” or “technology” existing within the standard commercial fabrication process has not been modified (e.g., by addition of special process steps or unique interpretation of design data), except as may be required or requested by the USG (e.g., as a stipulation of contract performance) where all of the following apply:

             1. (A) The modifications do not change the ECCN of any item subject to the EAR (except to a less restrictive classification, e.g., from an ECCN on the CCL to EAR99); and
             2. (B) The modifications are limited to the manufacture or testing of ICs by or for the USG as specified in paragraph (o)(1) of this section.

       4. (3) Examples. Scenarios addressed by this section include the following:

          1. (i) If a commercially fabricated IC specified under ECCN 3A991 is tested by the USG (or by a person or entity in a contractual relationship with the USG) and meets the radiation-hardened parameters in ECCN 3A001.a.1, the classification of the IC does not change from ECCN 3A991 and the classifications of the underlying standard process “technology”, “equipment” and “software” do not change from their original ECCNs.
          2. (ii) If a standard commercial process for fabricating ICs includes certain “technology” specified under ECCN 3E001 (e.g., for ICs specified under ECCN 3A001.a.1), or ECCN 9E515 (e.g., for discrete electronic components specified under ECCNs 9A515.d or .e) and those process “technologies” are used to manufacture ICs and discrete electronic components for the U.S. Government, only the portion of the “technology” that is “required” meets the specifications under ECCN 3E001 or 9E515. Moreover, the use of these standard commercial processes does not presumptively result in the control of the resulting U.S. Government ICs under ECCN paragraphs 3A001.a.1 or 9A515.d or .e; instead, the ECCNs of the U.S. Government ICs subject to the EAR would be determined according to paragraph (o)(1) of this section.

          3. (iii) If a standard commercial IC fabrication process at a particular foundry is comprised of tools specified under ECCNs 3B001 or 3B991 or as EAR99, and where the “technology” is limited to “technology” specified under ECCN 3E991 or as EAR99, and that foundry (which typically produces ICs specified under ECCN 3A991 or as EAR99) were to deviate from its standard fabrication process (e.g., by adding special process steps or design features) to produce a family of ICs designed to meet or exceed the radiation hardened parameters in ECCN paragraphs 3A001.a.1 or 9A515.d. or .e and intended for sale to U.S. and non-U.S. commercial and government customers, then the ECCN of the additional process “technology” that is “required” for producing those specific radiation hardened ICs would need to be separately evaluated and determined (e.g., under ECCNs 3E001 and 9E515, as applicable).

             Editorial Note:For Federal Register citations affecting § 770.2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

Note 1 to paragraph (o)(2)(i): The use of existing commercial “software” or “technology” by or for the USG for the purposes described in paragraph (o)(1) of this section does not, in and of itself, establish the “required” standard to meet the specifications of any ECCN on the CCL.

[61 FR 12920, Mar. 25, 1996]