Department of Commerce Department of Commerce (DOC)(DOC)

Bureau of Industry and Security Bureau of Industry and Security (BIS) (BIS)

George H. LohGeorge H. Loh

202-482-3570202-482-3570

DOCDOCNuclear Export Nuclear Export

Controls Controls Export Control Objectives and Export Control Objectives and

Authority Authority

Export and Deemed Export Export and Deemed Export

Items Subject to the EARItems Subject to the EAR

Transaction vs. List-Based ControlsTransaction vs. List-Based Controls

Technology and Software ControlsTechnology and Software Controls

License Exceptions vs LicensesLicense Exceptions vs Licenses

Requests for HelpRequests for Help

Export Control ObjectivesExport Control Objectives

Preserve national securityPreserve national security

Counter proliferation of Weapons of Counter proliferation of Weapons of Mass Destruction (WMD)Mass Destruction (WMD)

Maintain industrial base and economic Maintain industrial base and economic securitysecurity

Promote foreign policy interestsPromote foreign policy interests

Statutory/Regulatory Statutory/Regulatory Authority Authority

Export Administration Act (EAA)Export Administration Act (EAA)

International Emergency Economic International Emergency Economic Powers Act (IEEPA)Powers Act (IEEPA)

Nuclear Non-Proliferation ActNuclear Non-Proliferation Act

Export Administration Regulations Export Administration Regulations (EAR Published in the 15 CFR Parts (EAR Published in the 15 CFR Parts 730 – 774)730 – 774)

Export Control Regimes Export Control Regimes

Wassenaar Arrangement (National Security)Wassenaar Arrangement (National Security)

Missile Technology Control Regime (MT)Missile Technology Control Regime (MT)

Nuclear Suppliers Group (Nuclear Nuclear Suppliers Group (Nuclear Nonproliferation)Nonproliferation)

Trigger ListTrigger List

Dual-Use Annex Dual-Use Annex

Australia Group (Chemical & Biological) Australia Group (Chemical & Biological)

Chemical Weapons Convention (CW)Chemical Weapons Convention (CW)

Export and Deemed Export and Deemed ExportExport

(Part 734.2)(Part 734.2)

An actual shipment or transmission of An actual shipment or transmission of “items” subject to the EAR out of the United “items” subject to the EAR out of the United StatesStates

Any release of technology or software Any release of technology or software subject to the EAR in a foreign country subject to the EAR in a foreign country

Any release of technology or source code Any release of technology or source code software subject to the EAR to a foreign software subject to the EAR to a foreign national in the United Statesnational in the United States

Items Subject to the EARItems Subject to the EAR(Part 734.3)(Part 734.3)

Export of any items in US – commodities, Export of any items in US – commodities, software, or technology (development, software, or technology (development, production, or use). EXCEPT :production, or use). EXCEPT :

Items under other agencies’ exclusive Items under other agencies’ exclusive jurisdictionjurisdiction

Printed books, pamphlets, motion picture Printed books, pamphlets, motion picture films & soundtracks, etc.films & soundtracks, etc.

Publicly available software and technology Publicly available software and technology (except encryption software)(except encryption software)

Nuclear Export Control Nuclear Export Control Jurisdiction Jurisdiction (Part 734.3)(Part 734.3)

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission (NRC) for commodities related to (NRC) for commodities related to nuclear reactor vessels (10 CFR Part nuclear reactor vessels (10 CFR Part 110)110)

Department of Energy for technology Department of Energy for technology related the production of special related the production of special nuclear materials (10 CFR Part 810) nuclear materials (10 CFR Part 810)

Department of Commerce for the Department of Commerce for the balance of plant and all dual-use items balance of plant and all dual-use items

Publicly Available SoftwarePublicly Available Software

Not subject to the EAR, except Not subject to the EAR, except encryption software (Part 742.15)encryption software (Part 742.15)

General distributionGeneral distribution Accessible to the public Accessible to the public No restrictions to anybodyNo restrictions to anybody No time restraints, e.g., time bombsNo time restraints, e.g., time bombs

Free or just cost of Free or just cost of reproduction/distributionreproduction/distribution

Publicly Available Publicly Available InformationInformation

Already or will be published (accessible to Already or will be published (accessible to the public, e.g., library, patent records, & the public, e.g., library, patent records, & conference) (Part 734.7)conference) (Part 734.7)

Arise during or result from Fundamental Arise during or result from Fundamental Research (Part 734.8)Research (Part 734.8)

Educational Information (Part 734.9) Educational Information (Part 734.9) - Instruction in catalog - Instruction in catalog courses of institutionscourses of institutions

In certain Patent Applications (Part In certain Patent Applications (Part 734.10)734.10)

Transaction-Based ControlTransaction-Based Control Denied Persons List Denied Persons List

(Supplements 2 to Part 764)(Supplements 2 to Part 764)

Entity List (requiring license) Entity List (requiring license) (Supplement 4 to Part 744)(Supplement 4 to Part 744)

Countries under embargoes (Part 746)Countries under embargoes (Part 746)

Prevent simple items or activities to be Prevent simple items or activities to be used for proliferating Weapons of Mass used for proliferating Weapons of Mass Destruction (Part 744)Destruction (Part 744)

Transaction-Based ControlTransaction-Based ControlNuclear End-use Controls Nuclear End-use Controls

(Part 744.2, 774.5 & 744.6) (Part 744.2, 774.5 & 744.6) Nuclear explosive activitiesNuclear explosive activities Unsafeguarded nuclear activities Unsafeguarded nuclear activities

related to nuclear reactors and related to nuclear reactors and nuclear fuelnuclear fuel

Reprocessing, Heavy water, Isotope Reprocessing, Heavy water, Isotope separations, and Plutonium fuelseparations, and Plutonium fuel

Certain technology for maritime Certain technology for maritime nuclear propulsionnuclear propulsion

U.S. persons’ activities related to U.S. persons’ activities related to nuclear explosive devicesnuclear explosive devices

List-Based Control List-Based Control (Part 738) (Part 738)

Commerce Control List (CCL) Commerce Control List (CCL) Export Control Classification Export Control Classification

Numbers (ECCN)Numbers (ECCN) Reasons for ControlReasons for Control The Commerce Country ChartThe Commerce Country Chart

Example of an Export Control Example of an Export Control Classification Number (ECCN)Classification Number (ECCN)

2B001 Machine tools and any combination 2B001 Machine tools and any combination thereof, for removing metals, ceramics or thereof, for removing metals, ceramics or “composites”, which can be equipped with “composites”, which can be equipped with electronic devices for “numerical control”.electronic devices for “numerical control”.

License Requirements Reason for Control: NS, NP, ATControl(s) Country ChartNS applies to entire entry NS Column 2NP applies to a, b, c and d NP Column 1

License Exceptions:LVS: N/AGBS: N/A

List of Items Controlled

Technology and Software Technology and Software Controls Controls

Explicitly describedExplicitly described

““Development” – design, prototypingDevelopment” – design, prototyping

““Production” – assembly, testingProduction” – assembly, testing

““Use” – installation, repairUse” – installation, repair

Technology & Software Technology & Software Transfer ControlsTransfer Controls

Includes transfers regardless of the Includes transfers regardless of the mediamedia (i.e., disk, blueprints, hardcopy,etc.)(i.e., disk, blueprints, hardcopy,etc.)

Includes electronic transfers Includes electronic transfers (i.e., via the INTERNET, E-Mail, Fax)(i.e., via the INTERNET, E-Mail, Fax)

Includes direct transfers Includes direct transfers (i.e., consultations, phone (i.e., consultations, phone

conversations, instruction & seminars)conversations, instruction & seminars)

Is a License Required Is a License Required under theunder the

List-Based Control? List-Based Control? Commerce Control List (CCL) Commerce Control List (CCL) Export Control Classification Export Control Classification

Numbers (ECCN)Numbers (ECCN) Reasons for ControlReasons for Control The Commerce Country ChartThe Commerce Country Chart

License Exceptions License Exceptions (Part (Part 740)740)

19 Exceptions to license 19 Exceptions to license requirementsrequirements

Eligibility depends on:Eligibility depends on: ECCNECCN Country of DestinationCountry of Destination End-use & End-userEnd-use & End-user TransactionTransaction

The License ApplicationThe License Application (Part 748)(Part 748)

BXA Form 748PBXA Form 748P Statement by Ultimate ConsigneeStatement by Ultimate Consignee Supporting documentsSupporting documents Letter of Explanation for technology Letter of Explanation for technology

exportexport Letter of Assurance for technology export Letter of Assurance for technology export

controlled under National Security reasoncontrolled under National Security reason

Special Comprehensive Special Comprehensive License License

(SCL (SCL in Part 752in Part 752) )

For multiple exports and/or reexportsFor multiple exports and/or reexports Requires Internal Control ProgramRequires Internal Control Program Comprehensive review by BIS and other Comprehensive review by BIS and other

export control agencies export control agencies International Cooperative License – a International Cooperative License – a

special kind of SCL for U.S. government special kind of SCL for U.S. government agencies onlyagencies only

Scope of the Special Scope of the Special Comprehensive License Comprehensive License

(SCL)(SCL)(Part 752.3 & 752.4)(Part 752.3 & 752.4)

All items except:All items except: MT itemsMT items EI items (Encryption)EI items (Encryption) Most CB itemsMost CB items Some other itemsSome other items

All Destinations except:All Destinations except: Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Cuba, Iran, Iraq, Libya, North Korea, Sudan, and

SyriaSyria

Request for HelpRequest for Help

Mark the Classification Request box on Mark the Classification Request box on (electronic) Form BXA-748P for item (electronic) Form BXA-748P for item classification request (ECCN) (Part 748.3) classification request (ECCN) (Part 748.3)

Request “Advisory Opinion” in writing Request “Advisory Opinion” in writing through regular mailthrough regular mail

Call for assistanceCall for assistance

Bureau of Industry and SecurityBureau of Industry and SecurityOffice of Exporter ServicesOffice of Exporter Services(202) 482 - 4811(202) 482 - 4811