Bureau of Industry and Security U.S. Department of Commerce Dual-Use Export Controls and the...
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Transcript of Bureau of Industry and Security U.S. Department of Commerce Dual-Use Export Controls and the...
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Dual-Use Export Controls and Dual-Use Export Controls and the Commerce Control Listthe Commerce Control List
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Licensing OverviewLicensing Overview
Majority of products do not require a license.Majority of products do not require a license.
A few specialized high technology items require A few specialized high technology items require an export license due to Nuclear Proliferation an export license due to Nuclear Proliferation (NP), Missile Technology (MT), Chemical (NP), Missile Technology (MT), Chemical Biological (CB), National Security (NS) controls.Biological (CB), National Security (NS) controls.
If export license is required, license will generally If export license is required, license will generally be approved for a valid civil end use or tofriendly be approved for a valid civil end use or tofriendly militaries. militaries.
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
License JurisdictionLicense Jurisdiction
Department of Commerce : Dual-useDepartment of Commerce : Dual-use
Department of State: MunitionsDepartment of State: Munitions
Nuclear Regulatory Commission (NRC): Trigger Nuclear Regulatory Commission (NRC): Trigger listlist
Department of Energy (DOE): Technology for Department of Energy (DOE): Technology for Special Nuclear MaterialSpecial Nuclear Material
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Internal ConsiderationsInternal ConsiderationsNational Security ConcernsNational Security ConcernsForeign Policy InitiativesForeign Policy InitiativesEconomic ConcernsEconomic Concerns
External ConsiderationsExternal ConsiderationsWassenaar ArrangementWassenaar ArrangementMissile Technology Control RegimeMissile Technology Control RegimeNuclear Suppliers GroupNuclear Suppliers GroupAustralia GroupAustralia Group
RationaleRationale
Dual-Use Export Controls and the Dual-Use Export Controls and the Commerce Control ListCommerce Control List
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
International Nonproliferation International Nonproliferation AgreementsAgreements
NuclearNuclear
MissilesMissiles
CBWCBW
ConventionalConventional
Australia GroupAustralia GroupBiological Weapons ConventionBiological Weapons ConventionChemical Weapons ConventionChemical Weapons Convention
Missile Technology Control Regime Missile Technology Control Regime Hague Code of ConductHague Code of Conduct
Nuclear Suppliers GroupNuclear Suppliers GroupZangger CommitteeZangger CommitteeNuclear Nonproliferation Treaty Nuclear Nonproliferation Treaty
Wassenaar ArrangementWassenaar Arrangement
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Licensing PyramidLicensing Pyramid
EAR 99EAR 99
Anti-Terrorism Anti-Terrorism Unilateral ControlsUnilateral Controls
License ExceptionsLicense Exceptions
LicenseLicense
Majority Majority of items of items exported exported to China to China from the from the U.S. do U.S. do
not not require a require a licenselicense
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
List Based ControlsList Based Controls ECCNECCN 1B1171B117
HeadingHeading Batch mixers with Batch mixers with provision provision for mixing under for mixing under vacuum in vacuum in the range from the range from zero to 13.326 zero to 13.326 kPa and kPa and with temperature with temperature control control capability of the capability of the mixing chamber… mixing chamber…
Reason for Reason for MT, ATMT, AT ControlControl
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
What Are Catch-All Controls?What Are Catch-All Controls?
Designed to help eliminate the worldwide Designed to help eliminate the worldwide threat of proliferation of WMD and their threat of proliferation of WMD and their missile delivery systemsmissile delivery systems
License requirements beyond the License requirements beyond the multilateral regime control listsmultilateral regime control lists
Between 50 to 80 percent of the goods and Between 50 to 80 percent of the goods and technology required for a project or facility technology required for a project or facility of concern involving WMD or missile of concern involving WMD or missile delivery systems are not controlleddelivery systems are not controlled
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
U.S. Implementation of “Catch-U.S. Implementation of “Catch-All” ControlsAll” Controls
““Knows” ProvisionKnows” Provision
““Is Informed” Is Informed” ProvisionProvision
““U.S. Persons” U.S. Persons” ProvisionProvision
Crossover ProvisionCrossover Provision
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Entities ListEntities List The Entities List notifies exporters of requirements The Entities List notifies exporters of requirements
for exports/re-exports to specified end usersfor exports/re-exports to specified end users
See Supplement Number 4 to Part 744 of the EARSee Supplement Number 4 to Part 744 of the EAR
. .
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Transparency is the key.
- Clearly state name of the consignee, with accurate address and contact information.
- Provide alternate points of contact.
- If multiple end-users, provide accurate listings, including correct addresses and contact information.
- Provide thorough descriptions of end use that details the appropriateness of the export for the stated end use.
Helpful Hints If a License Is Helpful Hints If a License Is NeededNeeded
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Licenses can be used for multiple shipments.
The quantity of items requested should be estimated for two(2) years of use.
- If a longer duration for the export transaction is required, ask to have license validity extended.
BIS licenses are authorizations to ship approved items to approved consignees/end user(s). BIS licenses allow numerous end users (over 35) to be placed on the license.
Provide prior licensing history, if applicable. Provide website information, press releases, etc.,
to show your company is engaged in commercial activities.
Helpful Hints If a License Is Helpful Hints If a License Is NeededNeeded
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Evaluation Factors for ApplicationsEvaluation Factors for Applications Bona fides of consignee and end usersBona fides of consignee and end users
Sensitivity of commodity, software, or technologySensitivity of commodity, software, or technology
Stated end-use and appropriateness of the Stated end-use and appropriateness of the exported commodity, software, or technology for exported commodity, software, or technology for that end usethat end use
Non-proliferation credentialsNon-proliferation credentials
Assurances and guaranteesAssurances and guarantees
Risk of diversion and any associated intelligenceRisk of diversion and any associated intelligence
Licensing historyLicensing history
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
Licensing DeadlinesLicensing DeadlinesThe PresidentThe President
EARBEARB
ACEPACEP
OCOC
Dept. ofDept. ofDefenseDefense
Dept. ofDept. ofStateState
Dept. ofDept. ofEnergyEnergy
Dept. of Dept. of JusticeJustice
Export ApplicationExport ApplicationSubmitted to Dept.Submitted to Dept.
of Commerceof Commerce Day 1Day 1
Day 9Day 9
Day 39Day 39
Day 53Day 53
Day 69Day 69
Day 85Day 85
Day 90Day 90
Bureau of Industry and Security Bureau of Industry and Security U.S. Department of CommerceU.S. Department of Commerce
QUESTIONS?QUESTIONS?