Dual-Use Export Controls and the Commerce Control List
Bureau of Industry and Security U.S. Department of Commerce
Dual-Use Export Controls and the Commerce Control List
Bureau of Industry and Security U.S. Department of Commerce
Licensing Overview
Majority of products do not require a license. A few specialized high technology items require an export license due to Nuclear Proliferation (NP), Missile Technology (MT), Chemical Biological (CB), National Security (NS) controls. If export license is required, license will generally be approved for a valid civil end use or tofriendly militaries.
Bureau of Industry and Security U.S. Department of Commerce
License Jurisdiction
Department of Commerce : Dual-use
Department of State: Munitions
Nuclear Regulatory Commission (NRC): Trigger list
Department of Energy (DOE): Technology for Special Nuclear Material
Bureau of Industry and Security U.S. Department of Commerce
Dual-Use Export Controls and the Commerce Control List Rationale
Internal Considerations National Security Concerns Foreign Policy Initiatives Economic Concerns
External Considerations Wassenaar Arrangement Missile Technology Control Regime Nuclear Suppliers Group Australia Group
Bureau of Industry and Security U.S. Department of Commerce
International Nonproliferation Agreements CBW
Missiles Nuclear
Conventional
Australia Group Biological Weapons Convention Chemical Weapons Convention Missile Technology Control Regime Hague Code of Conduct
Nuclear Suppliers Group Zangger Committee Nuclear Nonproliferation Treaty Wassenaar Arrangement
Bureau of Industry and Security U.S. Department of Commerce
Licensing Pyramid Majority of items exported to China from the U.S. do not require a license
EAR 99 Anti-Terrorism Unilateral Controls License Exceptions License
Bureau of Industry and Security U.S. Department of Commerce
List Based Controls
ECCN
1B117
Heading
Batch mixers with provision for mixing under vacuum in the range from zero to 13.326 kPa and with temperature control capability of the mixing chamber…
Reason for Control
MT, AT
Bureau of Industry and Security U.S. Department of Commerce
What Are Catch-All Controls?
Designed to help eliminate the worldwide threat of proliferation of WMD and their missile delivery systems License requirements beyond the multilateral regime control lists Between 50 to 80 percent of the goods and technology required for a project or facility of concern involving WMD or missile delivery systems are not controlled
Bureau of Industry and Security U.S. Department of Commerce
U.S. Implementation of “Catch-All” Controls
“Knows” Provision
“Is Informed” Provision
“U.S. Persons” Provision
Crossover Provision
Bureau of Industry and Security U.S. Department of Commerce
Entities List The Entities List notifies exporters of requirements for exports/re-exports to specified end users
See Supplement Number 4 to Part 744 of the EAR
.
Bureau of Industry and Security U.S. Department of Commerce
Helpful Hints If a License Is Needed
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.
Bureau of Industry and Security U.S. Department of Commerce
Helpful Hints If a License Is Needed
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.
Bureau of Industry and Security U.S. Department of Commerce
Evaluation Factors for Applications
Bona fides of consignee and end users
Sensitivity of commodity, software, or technology
Stated end-use and appropriateness of the exported commodity, software, or technology for that end use
Non-proliferation credentials
Assurances and guarantees
Risk of diversion and any associated intelligence
Licensing history
Bureau of Industry and Security U.S. Department of Commerce
Licensing Deadlines The President
Day 85
EARB
Day 69
ACEP
Day 53
OC Dept. of Defense
Dept. of State
Day 90
Dept. of Energy
Export Application Submitted to Dept. of Commerce
Dept. of Justice Day 9
Day 1
Day 39
Bureau of Industry and Security U.S. Department of Commerce
QUESTIONS?
Dual-Use Export Controls and the Commerce Control List
Bureau of Industry and Security U.S. Department of Commerce
Licensing Overview
Majority of products do not require a license. A few specialized high technology items require an export license due to Nuclear Proliferation (NP), Missile Technology (MT), Chemical Biological (CB), National Security (NS) controls. If export license is required, license will generally be approved for a valid civil end use or tofriendly militaries.
Bureau of Industry and Security U.S. Department of Commerce
License Jurisdiction
Department of Commerce : Dual-use
Department of State: Munitions
Nuclear Regulatory Commission (NRC): Trigger list
Department of Energy (DOE): Technology for Special Nuclear Material
Bureau of Industry and Security U.S. Department of Commerce
Dual-Use Export Controls and the Commerce Control List Rationale
Internal Considerations National Security Concerns Foreign Policy Initiatives Economic Concerns
External Considerations Wassenaar Arrangement Missile Technology Control Regime Nuclear Suppliers Group Australia Group
Bureau of Industry and Security U.S. Department of Commerce
International Nonproliferation Agreements CBW
Missiles Nuclear
Conventional
Australia Group Biological Weapons Convention Chemical Weapons Convention Missile Technology Control Regime Hague Code of Conduct
Nuclear Suppliers Group Zangger Committee Nuclear Nonproliferation Treaty Wassenaar Arrangement
Bureau of Industry and Security U.S. Department of Commerce
Licensing Pyramid Majority of items exported to China from the U.S. do not require a license
EAR 99 Anti-Terrorism Unilateral Controls License Exceptions License
Bureau of Industry and Security U.S. Department of Commerce
List Based Controls
ECCN
1B117
Heading
Batch mixers with provision for mixing under vacuum in the range from zero to 13.326 kPa and with temperature control capability of the mixing chamber…
Reason for Control
MT, AT
Bureau of Industry and Security U.S. Department of Commerce
What Are Catch-All Controls?
Designed to help eliminate the worldwide threat of proliferation of WMD and their missile delivery systems License requirements beyond the multilateral regime control lists Between 50 to 80 percent of the goods and technology required for a project or facility of concern involving WMD or missile delivery systems are not controlled
Bureau of Industry and Security U.S. Department of Commerce
U.S. Implementation of “Catch-All” Controls
“Knows” Provision
“Is Informed” Provision
“U.S. Persons” Provision
Crossover Provision
Bureau of Industry and Security U.S. Department of Commerce
Entities List The Entities List notifies exporters of requirements for exports/re-exports to specified end users
See Supplement Number 4 to Part 744 of the EAR
.
Bureau of Industry and Security U.S. Department of Commerce
Helpful Hints If a License Is Needed
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.
Bureau of Industry and Security U.S. Department of Commerce
Helpful Hints If a License Is Needed
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.
Bureau of Industry and Security U.S. Department of Commerce
Evaluation Factors for Applications
Bona fides of consignee and end users
Sensitivity of commodity, software, or technology
Stated end-use and appropriateness of the exported commodity, software, or technology for that end use
Non-proliferation credentials
Assurances and guarantees
Risk of diversion and any associated intelligence
Licensing history
Bureau of Industry and Security U.S. Department of Commerce
Licensing Deadlines The President
Day 85
EARB
Day 69
ACEP
Day 53
OC Dept. of Defense
Dept. of State
Day 90
Dept. of Energy
Export Application Submitted to Dept. of Commerce
Dept. of Justice Day 9
Day 1
Day 39
Bureau of Industry and Security U.S. Department of Commerce
QUESTIONS?
