Classifying 600 Series Items: Sensitive Military and Dual-use Technologies
The 600 series within the Commerce Control List (CCL) under the Export Administration Regulations (EAR) is specifically designed for items that have significant military applications or dual-use capabilities. These items were once controlled under the International Traffic in Arms Regulations (ITAR) but have since been moved to the EAR, reflecting a dual-purpose nature that allows for broader commercial use. However, this transition introduces additional complexities in classification, particularly for exporters who need to distinguish 600 series items from other ECCNs and ensure compliance with U.S. export controls.
This article provides a detailed overview of how to classify 600 series items, outlining the steps involved and highlighting key differences from the classification process for other ECCNs.
What is the 600 Series?
The 600 series consists of items with military and defense-related applications that fall under the EAR. Typically designated with a format like XYY6ZZ, where the number 6 denotes the 600 series, these ECCNs represent items that have shifted from the strict military-focused controls of the USML to the more commercially accommodating yet still sensitive controls of the EAR. Commonly classified items include:
9A610: Military aircraft and related commodities.
0A606: Ground vehicles with military applications.
3A611: Military electronics, such as communication systems used in defense applications.
The 600 series items are subject to National Security (NS) and Regional Stability (RS) controls and often require additional export documentation and scrutiny. The classification process is similar to that for other EAR items but requires added attention to military and dual-use considerations.
Step 1: Determine if the Item Falls Under ITAR or EAR
The first step is to determine whether the item falls under ITAR or EAR jurisdiction. This is essential for any export classification, but it is particularly crucial for 600 series items, as they specifically represent items that have transitioned from the U.S. Munitions List (USML) to the Commerce Control List (CCL).
Review the USML (22 CFR Part 121) to see if the item is explicitly covered by ITAR. If it’s not listed on the USML, proceed with the EAR classification process.
If the item falls under the EAR and you suspect it has military applications or components, it likely qualifies for a 600 series classification.
For instance, certain types of aircraft components that were previously controlled under ITAR but have both military and commercial uses are often reclassified as 9A610 under the 600 series.
Step 2: Assign an ECCN Under the 600 Series
Once you confirm that the item falls under EAR jurisdiction, the next step is to find the appropriate ECCN on the Commerce Control List (CCL). Items within the 600 series have unique considerations that distinguish them from other ECCNs:
Military and Dual-Use Application: The 600 series is specifically intended for items with military or dual-use purposes. Review the item’s specifications to confirm if it meets the criteria for a 600 series ECCN. For example, military vehicles or parts originally intended for defense use, such as armored components, are often classified under 0A606.
Review Specific CCL Categories: The CCL is divided into categories based on the item’s characteristics (e.g., Category 9 for Aerospace and Propulsion, Category 3 for Electronics). Within these categories, 600 series items are designated with specific ECCNs, reflecting the item’s sensitivity and dual-use capabilities.
When classifying, use the specific category sections of Part 774, Supplement No. 1, to ensure the item matches the descriptions outlined for 600 series ECCNs.
Step 3: Apply the Order of Review for 600 Series ECCNs
The Order of Review for 600 series items is similar to the process for other ECCNs but includes specific considerations:
Step-by-Step Analysis: Begin by reviewing the ECCN entry to identify control criteria, such as NS or RS requirements, which are commonly applied to 600 series items.
Catch and Release Clauses: Like other ECCNs, 600 series classifications may involve Catch and Release provisions if the item is “specially designed.” The release clauses under 15 CFR 772.1 are essential when considering modifications or general-purpose adaptations that could alter the item’s classification. For example, an armored vehicle part may qualify for 0A606 but be released from this designation if it is commercially available and serves non-military purposes.
Review for License Requirements: After establishing the ECCN, consult the Country Chart (Part 738) to determine the applicable licensing requirements for the 600 series item. Unlike other ECCNs, 600 series items have heightened controls and often require licenses to most destinations, with limited license exceptions.
Step 4: License Exceptions for 600 Series Items
License exceptions for 600 series items are more restricted compared to other ECCNs. These items generally require a license for export or reexport, but certain License Exceptions under Part 740 may apply, such as:
LVS (Limited Value Shipments): Used for low-value shipments within specified monetary thresholds.
STA (Strategic Trade Authorization): Allows for exports to certain allied countries, provided that strict conditions are met.
However, not all exceptions applicable to other ECCNs will be valid for 600 series items. Exporters must review Part 740 to confirm whether an exception applies to the specific ECCN and destination country.
Step 5: Document the Classification Process for Compliance
When dealing with 600 series items, it’s essential to document each step of the classification process thoroughly. This includes:
The Assigned ECCN: Note the specific 600 series ECCN assigned to the item.
Control Criteria: Document the applicable controls (NS, RS) and the reason for control.
License Exceptions: If any are used, specify which exception applies and why it’s relevant.
End-User and End-Use Checks: Verify compliance with end-use and end-user controls, particularly for military-related exports.
This documentation not only supports compliance but also serves as a reference in case of a regulatory audit.
Conclusion
Classifying 600 series items requires added diligence due to their military and dual-use nature. By understanding the Order of Review, applying the 600 series ECCNs, and documenting the process thoroughly, exporters can ensure compliance with U.S. export control regulations while managing the specific complexities associated with 600 series items. Proper classification not only mitigates the risk of violations but also protects sensitive technologies in alignment with national security interests.
—
Sources Cited
Code of Federal Regulations. "Title 15 CFR Part 774 - Commerce Control List." eCFR.gov
Export Administration Regulations (EAR). "Part 738 - Commerce Control List Overview and the Country Chart." eCFR.gov
Bureau of Industry and Security (BIS). "Military Items Transitioned from the USML to the CCL." BIS.gov
