[Code of Federal Regulations] [Title 15, Volume 2] [Revised as of January 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 15CFR738.4] [Page 241-248] TITLE 15--COMMERCE AND FOREIGN TRADE CHAPTER VII--BUREAU OF EXPORT ADMINISTRATION, DEPARTMENT OF COMMERCE PART 738--COMMERCE CONTROL LIST OVERVIEW AND THE COUNTRY CHART--Table of Contents Sec. 738.4 Determining whether a license is required. (a) Using the CCL and the Country Chart--(1) Overview. Once you have determined that your item is controlled by a specific ECCN, you must use information contained in the ``License Requirements'' section of that ECCN in combination with the Country Chart to decide whether a license is required. (2) License decision making process. The following decision making process must be followed in order to determine whether a license is required to export or reexport a particular item to a specific destination: (i) Examine the appropriate ECCN in the CCL. Is the item you intend to export or reexport controlled for a single Reason for Control? (A) If yes, identify the single Reason for Control and the relevant Country Chart column identifier (e.g., CB Column 1). (B) If no, identify the Country Chart column identifier for each applicable Reason for Control (e.g., NS Column 1, NP Column 1, etc.). (ii) Review the Country Chart. With each of the applicable Country Chart Column identifiers noted, turn to the Country Chart (Supplement No. 1 to part 738). Locate the correct Country Chart column identifier on the diagonal headings, and determine whether an ``X'' is marked in the cell next to the country in question for each Country Chart column identified in the applicable ECCN. If your item is subject to more than one reason for control, repeat this step using each unique Country Chart column identifier. (A) If yes, a license application must be submitted based on the particular reason for control and destination, unless a License Exception applies. If ``Yes'' is noted next to any of the listed License Exceptions, you should consult part 740 of the EAR to determine whether you can use any of the available ECCN-drvien License Exceptions to effect your shipment, rather than applying for a license. Each affirmative license requirement must be overcome by a License Exception. If you are unable to qualify for a License Exception based on each license requirement noted on the Country Chart, you must apply for a license. Note that other License Exceptions, not related to the CCL, may also apply to your transaction (See part 740 of the EAR). (B) If no, a license is not required based on the particular reason for control and destination. Provided General Prohibitions Four through Ten do not apply to your proposed transaction, you may effect your shipment using the symbol ``NLR''. Proceed to parts 758 and 762 of the EAR for information on export clearance procedures and recordkeeping requirements. Note that although you may stop after determining a license is required based on the first Reason for Control, it is best to work through each applicable Reason for Control. A full analysis of every possible licensing requirement based on each applicable Reason for Control is required to determine the most advantageous License Exception available for your particular transaction and, if a license is required, ascertain the scope of review conducted by BXA on your license application. (b) Sample analysis using the CCL and Country Chart--(1) Scope. The following sample entry and related analysis is provided to illustrate the type of thought process you must complete in order to determine whether a license is required to export or reexport a particular item to a specific destination using the CCL in combination with the Country Chart. (2) Sample CCL entry. 2A000: Entry heading. License Requirements Reason for Control: NS, NP, AT ------------------------------------------------------------------------ Control(s) Country Chart ------------------------------------------------------------------------ NS applies to entire entry................. NS Column 2 NP applies to 2A000.b...................... NP Column 1 [[Page 242]] AT applies to entire entry................. AT Column 1 ------------------------------------------------------------------------ License Exceptions LVS: $5,000 GBS: Yes CIV: N/A List of Items Controlled Unit: Number Related Definition: N/A Related Controls: N/A Items: a. Having x. b. Having z. (3) Sample analysis. After consulting the CCL, I determine my item, valued at $10,000, is classified under ECCN 2A000.a. I read that the entire entry is controlled for national security, and anti-terrorism reasons. Since my item is classified under paragraph .a, and not .b, I understand that though nuclear nonproliferation controls apply to a portion the entry, they do not apply to my item. I note that the appropriate Country Chart column identifiers are NS Column 2 and AT Column 1. Turning to the Country Chart, I locate my specific destination, India, and see that an ``X'' appears in the NS Column 2 cell for India, but not in the AT Column 1 cell. I understand that a license is required, unless my transaction qualifies for a License Exception or Special Comprehensive License. From the License Exception LVS value listed in the entry, I know immediately that my proposed transaction exceeds the value limitation associated with LVS. Noting that License Exception GBS is ``Yes'' for this entry, I turn to part 740 of the EAR to review the provisions related to use of GBS. Supplement No. 1 to Part 738--Commerce Country Chart [[Page 243]] [Reason for control] ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Chemical and biological Nuclear National security Missile Regional Firearms Crime control Anti-terrorism weapons nonproliferation -------------------- tech stability convention ------------------------------------------------- Countries -------------------------------------------------- ------------------------------------------ CB 1 CB 2 CB 3 NP 1 NP 2 NS 1 NS 2 MT 1 RS 1 RS 2 FC 1 CC 1 CC 2 CC 3 AT 1 AT 2 ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Afghanistan................... X X X X X X X X X X X Albania....................... X X X X X X X X X X Algeria....................... X X X X X X X X X X Andorra....................... X X X X X X X X X X Angola \1\.................... X X X X X X X X X X Antigua and Barbuda........... X X X X X X X X X X X Argentina..................... X X X X X X X X X Armenia....................... X X X X X X X X X X X Australia..................... X X X X Austria....................... X X X X X X X Azerbaijan.................... X X X X X X X X X X X Bahamas, The.................. X X X X X X X X X X X Bahrain....................... X X X X X X X X X X X Bangladesh.................... X X X X X X X X X X Barbados...................... X X X X X X X X X X X Belarus....................... X X X X X X X X X X X Belgium....................... X X X X Belize........................ X X X X X X X X X X X Benin......................... X X X X X X X X X X Bhutan........................ X X X X X X X X X X Bolivia....................... X X X X X X X X X X X Bosnia and Herzegovina........ X X X X X X X X X X Botswana...................... X X X X X X X X X X Brazil........................ X X X X X X X X X X Brunei........................ X X X X X X X X X X Bulgaria...................... X X X X X X X X X X Burkina Faso.................. X X X X X X X X X X Burma......................... X X X X X X X X X X X Burundi....................... X X X X X X X X X X Cambodia...................... X X X X X X X X X X Cameroon...................... X X X X X X X X X X Canada........................ X Cape Verde.................... X X X X X X X X X X Central African Republic...... X X X X X X X X X X Chad.......................... X X X X X X X X X X Chile......................... X X X X X X X X X X X [[Page 244]] China......................... X X X X X X X X X X X Colombia...................... X X X X X X X X X X X Comoros....................... X X X X X X X X X X Congo......................... X X X X X X X X X X Costa Rica.................... X X X X X X X X X X X Cote d'Ivoire................. X X X X X X X X X X Croatia....................... X X X X X X X X X X Cuba.......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. Cyprus........................ X X X X X X X .......... X ........ X Czech Republic................ X X X X X X X X Denmark....................... X X X X Djibouti...................... X X X X X X X X X X Dominica...................... X X X X X X X X X X X Dominican Republic............ X X X X X X X X X X X Ecuador....................... X X X X X X X X X X X Egypt......................... X X X X X X X X X X X El Salvador................... X X X X X X X X X X X Equatorial Guinea............. X X X X X X X X X X Eritrea....................... X X X X X X X X X X Estonia....................... X X X X X X X X X X Ethiopia...................... X X X X X X X X X X Fiji.......................... X X X X X X X X X X X Finland....................... X X X X X X X France........................ X X X X Gabon......................... X X X X X X X X X X Gambia, The................... X X X X X X X X X X Georgia....................... X X X X X X X X X X X Germany....................... X X X X Ghana......................... X X X X X X X X X X Greece........................ X X X X Grenada....................... X X X X X X X X X X X Guatemala..................... X X X X X X X X X X X Guinea........................ X X X X X X X X X X Guinea-Bissau................. X X X X X X X X X X Guyana........................ X X X X X X X X X X X Haiti......................... X X X X X X X X X X X [[Page 245]] Honduras...................... X X X X X X X X X X X Hong Kong..................... X X X X X \2\ X X X X X Hungary....................... X X X X X X X X Iceland....................... X X X X X X India......................... X X X X X X X X X X X X Indonesia..................... X X X X X X X X X X Iran.......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. Iraq \1\...................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. Ireland....................... X X X X X X X Israel........................ X X X X X X X X X X X X Italy......................... X X X X Jamaica....................... X X X X X X X X X X X Japan......................... X X X X Jordan........................ X X X X X X X X X X X Kazakhstan.................... X X X X X X X X X X X Kenya......................... X X X X X X X X X X Kiribati...................... X X X X X X X X X X Korea, North.................. X X X X X X X X X X .......... X X X X X Korea, South.................. X X X\2\ X X X X X Kuwait........................ X X X X X X X X X X X Kyrgyzstan.................... X X X X X X X X X X X Laos.......................... X X X X X X X X X X Latvia........................ X X X X X X X X X Lebanon....................... X X X X X X X X X X X Lesotho....................... X X X X X X X X X X Liberia....................... X X X X X X X X X X Libya......................... See part 746 of the EAR to determine whether a license is required in order to export or reexport to this destination. Liechtenstein................. X X X X X X X X X X Lithuania..................... X X X X X X X X X X Luxembourg.................... X X X X FYROM (Macedonia)............. X X X X X X X X X X Macau......................... X X X X X X X X X X X Madagascar.................... X X X X X X X X X X Malawi........................ X X X X X X X X X X Malaysia...................... X X X X X X X X X X Maldives...................... X X X X X X X X X X Mali.......................... X X X X X X X X X X Malta......................... X X X X X X X X X X Marshall Islands.............. X X X X X X X X X X Mauritania.................... X X X X X X X X X X Mauritius..................... X X X X X X X X X X Mexico........................ X X X X X X X X X X X Micronesia.................... X X X X X X X X X X Moldova....................... X X X X X X X X X X X [[Page 246]] Monaco........................ X X X X X X X X X X Mongolia...................... X X X X X X X X X X X Morocco....................... X X X X X X X X X X Mozambique.................... X X X X X X X X X X Namibia....................... X X X X X X X X X X Nauru......................... X X X X X X X X X X Nepal......................... X X X X X X X X X X Netherlands................... X X X X New Zealand................... X X X X Nicaragua..................... X X X X X X X X X X X Niger......................... X X X X X X X X X X Nigeria....................... X X X X X X X X X X Norway........................ X X X X Oman.......................... X X X X X X X X X X X Pakistan...................... X X X X X X X X X X X X Palau......................... X X X X X X X X X X Panama........................ X X X X X X X X X X X Papua New Guinea.............. X X X X X X X X X X Paraguay...................... X X X X X X X X X X X Peru.......................... X X X X X X X X X X X Philippines................... X X X X X X X X X X Poland........................ X X X X X X X X Portugal...................... X X X X Qatar......................... X X X X X X X X X X X Romania....................... X X X X X X X X Russia........................ X X X X X X X X X X Rwanda \1\.................... X X X X X X X X X X X St. Kitts and Nevis........... X X X X X X X X X X X X St. Lucia..................... X X X X X X X X X X X St. Vincent and Grenadines.... X X X X X X X X X X X San Marino.................... X X X X X X X X X X Sao Tome and Principe......... X X X X X X X X X X Saudi Arabia.................. X X X X X X X X X X X Senegal....................... X X X X X X X X X X Seycheles..................... X X X X X X X X X X Sierra Leone.................. X X X X X X X X X X [[Page 247]] Singapore..................... X X X X X X X X X X Slovakia...................... X X X X X X X X Slovenia...................... X X X X X X X X X X Solomon Islands............... X X X X X X X X X X Somalia....................... X X X X X X X X X X South Africa.................. X X X X X X X X X Spain......................... X X X X Sri Lanka..................... X X X X X X X X X X Sudan......................... X X X X X X X X X X X X Suriname...................... X X X X X X X X X X X Swaziland..................... X X X X X X X X X X Sweden........................ X X X X X X X Switzerland................... X X X X X X X Syria......................... X X X X X X X X X X X X Taiwan........................ X X X X X X X X X X X Tajikistan.................... X X X X X X X X X X X Tanzania...................... X X X X X X X X X X Thailand...................... X X X X X X X X X X Togo.......................... X X X X X X X X X X Tonga......................... X X X X X X X X X X Trinidad and Tobago........... X X X X X X X X X X X Tunisia....................... X X X X X X X X X X Turkey........................ X X X X X Turkmenistan.................. X X X X X X X X X X X Tuvalu........................ X X X X X X X X X X Uganda........................ X X X X X X X X X X Ukraine....................... X X X X X X X X X X United Arab Emirates.......... X X X X X X X X X X X United Kingdom................ X X X X Uruguay....................... X X X X X X X X X X X Uzbekistan.................... X X X X X X X X X X X Vanuatu....................... X X X X X X X X X X Vatican City.................. X X X X X X X X X X Venezuela..................... X X X X X X X X X X X Vietnam....................... X X X X X X X X X X X Western Sahara................ X X X X X X X X X X Western Samoa................. X X X X X X X X X X Yemen......................... X X X X X X X X X X X Yugoslavia (Serbia and X X X X X X X X X X X Montenegro), Federal Republic of \1\....................... Zaire......................... X X X X X X X X X X Zambia........................ X X X X X X X X X X [[Page 248]] Zimbabwe...................... X X X X X X X X X X ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ \1\ This country is subject to United Nations Sanctions. See part 746 of the EAR for additional OFAC licensing requirements that may apply to your proposed transaction. \2\ A license is required only for computers controlled by 4A001, 4A002, & 4A003 if the CTP is greater than 45,000 MTOPS. A license is NOT required for any other items subject to NS Column 2. [64 FR 17970, Apr. 13, 1999, as amended at 64 FR 28908, May 28, 1999; 64 FR 42011, Aug. 3, 1999; 64 FR 60340, Nov. 5, 1999; 65 FR 38150, June 19, 2000; 65 FR 60854, Oct. 13, 2000; 66 FR 12846, Mar. 1, 2001; 66 FR 18402, Apr. 9, 2001; 66 FR 49523, Sept. 28, 2001] [[Page 249]]