License exceptions for 600 series items

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1. A closed list

The Export Administration Regulations (EAR) set their own license exception rules for the 600 series. Only a listed set of license exceptions may be used to export 600 series items to destinations other than those in Country Group D:5 or Hong Kong (15 CFR 740.2(a)(13)). The list covers Shipments of Limited Value (LVS), Temporary imports, exports, reexports and transfers in-country (TMP), and Servicing and replacement of parts and equipment (RPL). It also includes Governments and international organizations (GOV) under section 740.11(b) or (c), Technology and software unrestricted (TSU) under four of its paragraphs, and Baggage (BAG). License Exception Strategic Trade Authorization (STA) is on the list only under section 740.20(c)(1), and only where all applicable terms, including those specific to the 600 series, are met.

2. D:5 and Hong Kong

Certain items lose all license exceptions because of where they are going or where they came from. That applies to an item described in a 9x515 or 600 series Export Control Classification Number (ECCN) that is destined to, shipped from, or was manufactured in Country Group D:5 or Hong Kong (15 CFR 740.2(a)(12)). Two exceptions apply. Items destined to, or in, Country Group D:5 remain eligible for License Exception GOV under section 740.11(b)(2), but the regulation gives no such exception for Hong Kong (15 CFR 740.2(a)(12)(i)). And items in 1A613.c or .d destined to, or in, Country Group D:5 are eligible for License Exception TMP under section 740.9(a)(11) or License Exception BAG under section 740.14(h)(2) (15 CFR 740.2(a)(12)(ii)).

3. Missile technology and certain software and technology

The 600 series items controlled for missile technology (MT) reasons may not be exported, reexported or transferred under License Exception STA, except ECCN 9A610.a (15 CFR 740.2(a)(13)). Software in 9D610.b and 9D619.b, and technology in 9E610.b, 9E619.b and 9E619.c, are not eligible for any license exception except GOV under section 740.11(b)(2).

4. Major defense equipment

Destinations outside Country Group A:5 face a contract value test. Items in a contract that includes $14,000,000 or more of 600 Series Major Defense Equipment are then eligible only for License Exception GOV, and only for U.S. Government end users (15 CFR 740.2(a)(15)). For destinations in Country Group A:5, the threshold is $25,000,000 or more (15 CFR 740.2(a)(16)). License Exception STA separately may not be used for 600 Series Major Defense Equipment where the value of such items in the contract exceeds $25,000,000 (15 CFR 740.20(b)(3)(iv)).

5. Strategic Trade Authorization

STA may not be used for any 600 series item identified in the relevant ECCN as not eligible for STA (15 CFR 740.20(b)(3)(i)). Each 600 series entry reviewed here states that paragraph (c)(2) of STA may not be used for any item in the entry, as in ECCN 0A606 (ECCN 0A606). Under paragraph (c)(1), STA for 600 series items is limited to persons in, and for natural persons nationals of, a country in Country Group A:5, or the United States (15 CFR 740.20(b)(3)(ii)).

One of three conditions must then be met. The ultimate end user is the armed forces, police, paramilitary, law enforcement, customs, correctional, fire or a search and rescue agency of an A:5 government or the United States Government (15 CFR 740.20(b)(3)(ii)(A)). Or the export is for the development, production, operation, installation, maintenance, repair, overhaul or refurbishing of an item in an A:5 country or the United States, for one of the listed purposes (15 CFR 740.20(b)(3)(ii)(B)). The listed purposes are ultimate use by such government agencies, or sending the item to a person in the United States not for onward export under TMP in transit. Or the United States Government has otherwise authorized the ultimate end use, the authorization is in effect, and the consignee verifies in writing that it exists and provides its identifier (15 CFR 740.20(b)(3)(ii)(C)).

End items in ECCNs 0A606.a, 8A609.a, 8A620.a or .b and 9A610.a may not be exported under STA until the Bureau of Industry and Security has approved their export under paragraph (g) (15 CFR 740.20(b)(3)(iii)). A note on completing the chain requires that a 600 series item ultimately be provided to an eligible ultimate end user, or be otherwise authorized under the EAR (15 CFR 740.20). This applies even if the item has been incorporated into a foreign-made item that may no longer be subject to the EAR. The consignee statement in paragraph (d)(2)(vii) is required for all 600 series transactions (15 CFR 740.20(d)(2)). The statement in paragraph (d)(2)(viii) is required where the consignee is not the government of a Country Group A:5 country.

6. TMP, RPL and GOV

Under TMP, U.S. persons may temporarily export or reexport one set of body armor under ECCN 1A613.d, which may include one helmet under 1A613.c, to countries outside Country Group D:5. The items must travel with the person’s baggage or effects, not mailed, and be for that person’s exclusive use (15 CFR 740.9(a)(11)(i)). In D:5 countries other than Iraq, the U.S. person must be affiliated with the U.S. Government traveling on official business, or traveling in support of a U.S. Government contract (15 CFR 740.9(a)(11)(ii)(B)).

Under RPL, 600 series parts, components, accessories and attachments may be exported only to replace, on a one-for-one basis, items that were lawfully exported from the United States or lawfully reexported (15 CFR 740.10(a)(2)(ii)). They may not be exported or reexported to a destination in Country Group D:5 (15 CFR 740.10(a)(3)(viii)). GOV authorizes transfer of technology under a contract between the exporter and a U.S. Government agency if the contract provides for it and the technology is not development or production technology for 600 series items (15 CFR 740.11(b)(2)(vi)). Exports to cooperating governments under GOV exclude 600 series items, except to or for the use of governments of Country Group A:5 countries or an agency of NATO (15 CFR 740.11(c)(3)(v)).

LVS itself authorizes the export and reexport in a single shipment of commodities identified on the Commerce Control List by an LVS value limit (15 CFR 740.3(a)). Most 600 series commodity entries show LVS of $1,500 and no GBS, as in ECCN 9A610 (ECCN 9A610). The licensing policy behind these limits is covered in license review policy for 600 series items.

Key terms

Closed list	The only license exceptions usable for 600 series items outside D:5 and Hong Kong.
STA (c)(1)	The only STA paragraph open to 600 series items, limited to A:5 and the United States.
Major Defense Equipment	Costly 600 series end items that cap license exception use by contract value.
Completing the chain	The duty to see that a 600 series item reaches an eligible end user.
One-for-one	The RPL limit on replacement 600 series parts.

Every statement above links to the document behind it. The full source list for this piece is on the sources page.

This page describes public United States government programs for general information. It is not legal, regulatory or procurement advice, and it does not address the facts of any particular case.

How Sentfore supports this

Temporary exports of protective equipment are common in field work. Sentfore works at the delivery end of defense programs in difficult environments, providing secure movement, protective security, facilities and life support. Requirements can be sent through the contact page.