License review policy for 600 series items

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1. Two reasons, two sections

Under the Export Administration Regulations (EAR), the 600 series entries generally carry both national security (NS) and regional stability (RS) controls, with narrower controls for .y paragraphs. Section 742.4 governs NS controls and states that 600 series items and 9x515 items are also controlled for NS reasons (15 CFR 742.4(a)). Section 742.6 governs RS controls. Where an application falls under more than one control, it is reviewed under all applicable licensing policies (15 CFR 742.1(f)).

NS Column 1 requires a license for exports and reexports to all destinations except Australia, Canada and the United Kingdom (15 CFR 742.4(a)(1)). NS Column 2 requires a license to all destinations except those in Country Group A:1 (15 CFR 742.4(a)(2)). RS Column 1 requires a license to all destinations except Australia, Canada and the United Kingdom (15 CFR 742.6(a)(1)). RS Column 2 requires a license to any destination except those in Country Group A:1 and India (15 CFR 742.6(a)(4)(i)).

2. How NS applications are weighed

Each NS application is reviewed in light of prevailing policies, with full consideration of all aspects of the proposed transaction (15 CFR 742.4(b)). The review considers the country of destination, the ultimate end users there and the intended end use. Where more than one policy applies, the most restrictive is applied.

For destinations other than those in Country Group D:1, the policy is to approve applications unless there is a significant risk that the items will be diverted to a destination in Country Group D:1 (15 CFR 742.4(b)(1)(i)). When destined to a country in Country Group D:5, however, items under 9x515 or 600 series Export Control Classification Numbers (ECCNs) are reviewed consistent with United States arms embargo policies in 22 CFR 126.1 (15 CFR 742.4(b)(1)(ii)). The same paragraph sets a policy of denial for 9x515 items to China or a country in Country Group E:1.

3. Country-specific NS policies

For Burma, Cambodia, China, Nicaragua and Venezuela, all applications are reviewed to determine the risk of diversion to a military end user or military end use (15 CFR 742.4(b)(7)(i)). There is a general policy of approval for items determined to be for civil end users for civil end uses. There is a presumption of denial for items that would make a material contribution to the development, production, maintenance, repair or operation of weapons systems, subsystems and assemblies of Burma, Cambodia, China or Venezuela. The review also assesses the impact of a proposed export on the United States defense industrial base (15 CFR 742.4(b)(7)(iii)).

For India, there is a general policy of approval for items, including 600 series items, for civil or military end uses in India or for ultimate end use by the Government of India (15 CFR 742.4(b)(8)). The same policy covers reexport to Country Group A:5 and return to the United States (15 CFR 742.4(b)(8)). That policy holds so long as the items are not for use in nuclear, missile, or chemical or biological weapons activities. For Russia and Belarus, all applications are reviewed under the licensing policy in section 746.8(b) (15 CFR 742.4(b)(9)).

4. How RS applications are weighed

RS Column 1 applications for 600 series items are reviewed case by case. The review asks whether the transaction is contrary to the national security or foreign policy interests of the United States (15 CFR 742.6(b)(1)(i)(A)). Those interests include the foreign policy interest of promoting the observance of human rights throughout the world. Where destined to a country in Country Group D:5, those items are also reviewed consistent with the arms embargo policies in section 126.1 of the International Traffic in Arms Regulations (15 CFR 742.6(b)(1)(i)(D)).

Applications for items specially designed or otherwise required for the F-14 aircraft will generally be denied (15 CFR 742.6(b)(1)(i)(E)). The policy of denial to China or Country Group E:1 in the RS section is written for 9x515 ECCNs (15 CFR 742.6(b)(1)(i)(F)). RS Column 2 applications are generally considered favorably case by case, unless there is evidence that the export or reexport would contribute significantly to the destabilization of the region (15 CFR 742.6(b)(2)(i)). RS Column 2 appears, for example, in ECCN 0A606 for the vehicles and parts in 0A606.b (ECCN 0A606).

5. Items from abroad and India

A license is required for reexports of foreign-made military commodities under ECCN 0A919 to all destinations except Australia, Canada and the United Kingdom (15 CFR 742.6(a)(3)). Reexports as part of a military deployment by a unit of the government of a country in Country Group A:1, or of the United States, are excepted. Those reexports are reviewed applying the policies for similar commodities subject to the International Traffic in Arms Regulations (15 CFR 742.6(b)(1)(i)(C)). Under the RS section, India receives the same general policy of approval, with the same weapons activities proviso (15 CFR 742.6(b)(7)).

6. The .y rule, contract sanctity and exceptions

Items in a .y paragraph need an RS license only to China, Russia or Venezuela (15 CFR 742.6(a)(7)). Applications for .y items bound for China or Venezuela get case-by-case review with an arms embargo check (15 CFR 742.6(b)(8)). For Russia or Belarus, section 746.8(b) governs, alongside human rights and arms embargo considerations (15 CFR 742.6(b)(9)).

Contract sanctity provisions are not available for license applications reviewed under the NS section, except for items in paragraph (a)(4) of that section (15 CFR 742.4(c)). Some license exceptions are available only for NS items, such as Shipments to Country Group B countries (GBS) and Technology and software under restriction (TSR). Others may also be available, such as License Exception Strategic Trade Authorization (15 CFR 742.4(d)). The 600 series rules for those exceptions are covered in license exceptions for 600 series items, and the .y rule in the .y paragraphs and military end use rules.

Key terms

NS Column 1	A license to all destinations except Australia, Canada and the United Kingdom.
RS Column 2	A license to all destinations except Country Group A:1 and India.
Country Group D:5	Destinations where 600 series applications follow U.S. arms embargo policy.
Case by case	The RS Column 1 review standard for 600 series items.
Contract sanctity	Provisions for earlier contracts, unavailable under the NS section except for one paragraph.

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.

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