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					AESTIR

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004

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. 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.
Export License Nbr / CFR Citation / Authorization Symbol/KPC# Report the License Number. Allowed Export Info Codes OS, OI, TL

License Code C30

C31

Description 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’. Special Comprehensive License (SCL) Part 752 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). 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 Census purposes, use C33 for shipments between the U.S. and Puerto Rico and from the U.S. to the U.S. Virgin Islands.

ECCN Mandatory

Allowed MOT Codes All

C32

Report the License Number. Report ‘NLR’.

Mandatory

OS, OI, TL

All

Mandatory

OS, OI, TL

All except ‘70’ (Fixed Transport)

C33

Report ‘NLR’.

Allowed

All except UG, FS, FI

All

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004 Export License Nbr / CFR Citation / Authorization Symbol/KPC# Report ‘LVS’.

License Code C35

Description Limited Value Shipments (LVS) Part 740.3

ECCN Mandatory

C36

Shipments to B Countries (GBS) Part 740.4

Report ‘GBS’.

Mandatory

C37

Civil End Users (CIV) Part 740.5

Report ‘CIV’. Report ‘TSR’.

Mandatory

C38

Restrict Technology and Software (TSR) Part 740.6 (AES or SED filing not required) 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’.

Allowed

Allowed Export Info Codes CR, IS, TE, TL, CH, CI, MS, GS, IP, IR, OI, OS, DD CR, GP, IS TE, TL, MS GS, IP, IR, TP, OI, OS, DD CR, IS, TE, TL, IP, IR, OI, OS, DD CR, GP, IS, TE, TL, MS, GS, IP, IR, OI, OS

Allowed MOT Codes All except ‘70’ (Fixed Transport)

All except ‘70’ (Fixed Transport)

All except ‘70’ (Fixed Transport) All except ‘70’ (Fixed Transport)

C39

C40

Temporary Imports, Exports, and Reexports (TMP) Part 740.9 Consolidates the following categories: Temporary exports and re-exports; Items temporarily in the U.S.; Beta Test Software. 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. Government and International Organizations (GOV) Part 740.11 (AES or

Report ‘TMP’.

Allowed

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

All except ‘70’ (Fixed Transport)

C41

Report ‘RPL’.

Allowed

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

All except ‘70’ (Fixed Transport)

C42

Report ‘GOV’.

Allowed

GP, IS, TE, TL, CH, CI,

All except ‘70’ (Fixed

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004 Export License Nbr / CFR Citation / Authorization Symbol/KPC#

License Code

Description SED not required) Consolidates the following categories: International safeguards; shipments to U.S. Agencies and personnel; shipments to Agencies of cooperating governments. Gift Parcels and Humanitarian Donations (GFT) Part 740.12 (AES or SED not required) Consolidates the following categories: Gift parcels; Humanitarian donations. Technology and Software – Unrestricted (TSU) Part 740.13 Consolidates the following categories: Operating technology and software; Sales technology and software; Software updates; General software. Baggage (BAG) Part 740.14

ECCN

Allowed Export Info Codes MS, GS, IP, IR, TP, OI, OS, DD

Allowed MOT Codes Transport)

C43

Report ‘GFT’.

Allowed

UG

All except ‘70’ (Fixed Transport)

C44

Report ‘TSU’.

Allowed

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

All except ‘70’ (Fixed Transport)

C45

Report ‘BAG’. Report ‘AVS’.

Allowed

OI, OS

C46

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

Allowed

C47

Additional Permissive Re-exports (APR) Part 740.16. Key Management Infrastructure (KMI) Part 740.8 Permits the export and re-export of certain encryption items. This policy applies to hardware and software. Trans-Alaska Pipeline Authorization Act (TAPS) Part 754.2 Permits the export of Alaskan North Slope crude oil. 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.

Report ‘APR’. Report ‘KMI’.

Allowed

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

All except ‘70’ (Fixed Transport) All except ‘70’ (Fixed Transport) All except ‘70’ (Fixed Transport) All except ‘70’ (Fixed Transport)

C48

Allowed

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

C49

Report ‘TAPS’.

Allowed

OI, OS

‘70’ (Fixed Transport)

C50

Report ‘ENC’.

Allowed

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

All except ‘70’ (Fixed Transport)

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004 Export License Nbr / CFR Citation / Authorization Symbol/KPC# Report License Number or ‘AGR’.

License Code C51

Description License Exception Agricultural Commodities (AGR) Part 740.18 Authorizes exports and certain re-exports of agricultural commodities to Cuba.

ECCN Mandatory

Allowed Export Info Codes CH, OI, OS

C53

Computers (APP) Part 740.7 Adjusted Peak Performance (APP) replaces Composite Theoretical Performance (CTP) Short Supply (Western Red Cedar – WRC) Part 754.4 Short Supply (Crude Oil Samples – SAMPLE) Part 754.2 Short Supply (Strategic Petroleum Reserves – SPR) Part 754.2 Authorization for Validated End-User for Certain Authorized Exports and Reexports of Commerce Control List items to the People’s Republic of China and India.

Report ‘APP’.

C54

Report ‘SS-WRC’ Report ‘SS-SAMPLE’ Report ‘SS-SPR’. Report ‘VEU’.

C55

C56

C57

Mandatory Must be one of the following: 4A003 4D001 4E001 Mandatory Must be 1C988 Mandatory Must be 1C981 Mandatory Must be 1C981 Mandatory

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

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

All

All

All except ‘70’ (Fixed Transport) All

All

All

OI, OS, TL

All except ‘70’ (Fixed Transport)

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004

Table B: Nuclear Regulatory Commission (NRC) License Type Codes.
Export License Nbr / CFR Citation / Authorization Symbol/KPC# Report the License Number. Allowed Export Info Codes MS, GS, OI, OS

License Code N01

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

ECCN Allowed

N02

NRC ‘General’ Export License

Report the CFR Citation Number.

Allowed

MS, GS, OI, OS

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

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004

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. Export License DDTC Nbr / CFR ITAR Citation / License Exemption Authorization Code Description Nbr Symbol/KPC# ECCN SAG Agreements Report Report spaces. Allowed ITAR Agreements (i.e. AG, BA, MA, DDTC RR, TA and VD) Exemption Citation. SCA Cnadian ITAR Exemption Report Report spaces. Allowed ITAR DDTC Exemption Citation. S00 License Exemption Citation Report Report spaces. Allowed ITAR DDTC Exemption Citation. S05 DSP-5 Report Report the Allowed spaces. License Permanent export of unclassified Number. defense articles and services. S61 DSP-61 Report Report the Allowed spaces. License Temporary import of Number. unclassified articles. S73 DSP-73 Report Report the Allowed spaces. License Temporary export of Number. unclassified articles. S85 DSP-85 Report Report the Allowed spaces. License Temporary or permanent import Number. or export of classified articles. S94 DSP-94 Report Report the Allowed spaces. License Foreign Military Sales Number.

Allowed Export Info Codes MS, GS, OI, OS

Allowed MOT Codes All except ‘70’ (Fixed Transport)

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

MS, GS, OI, OS

All except ‘70’ (Fixed Transport)

MS, GS, OI, OS

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

MS, GS, OI, OS

MS, GS, TP, OI, OS

MS, GS, OI, OS

MS, GS, FS, FI

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004

Table D: Department of Treasury/Office of Foreign Assets Control (OFAC) License Type Codes.
Export License Nbr / CFR Citation / Authorization Symbol/KPC# Report the License Number. Allowed Export Info Codes MS, GS, OI, OS

License Code T10

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

ECCN Allowed

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

T11

T12

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

Allowed

MS, GS, OI, OS

EAR99 or blank only

OI, OS

All except ‘70’ (Fixed Transport)

AESTIR Part III, Appendix F

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APPENDIX F – License and License Exemption Type Codes and Reporting Guidelines
Effective: June 2004

Table E: Other Partnership Agency License Type Code.
Export License Nbr / CFR Citation / Authorization Symbol/KCP# Report the License Number or ‘OPA’. Allowed Export Info Codes All except UG, FS, FI Allowed MOT Codes All

License Code OPA

Description 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).

ECCN Allowed

AESTIR Part III, Appendix F

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