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Deemed Exports “Use” Deemed Exports “Use” Sequence ofSequence of
AnalysisAnalysisPresentation for :Presentation for :
Alex LopesAlex LopesDirector, Deemed Exports and Electronics DivisionDirector, Deemed Exports and Electronics DivisionOffice of National Security and Office of National Security and
Technology Transfer ControlsTechnology Transfer ControlsBureau of Industry and SecurityBureau of Industry and SecurityU.S. Department of CommerceU.S. Department of Commerce
Export Control Coordinator’s OrganizationExport Control Coordinator’s OrganizationU.S. Department of EnergyU.S. Department of Energy
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May 24, 2005
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The Deemed Export Issue
Situations that can involve release of U.S technology or software include:
1. Tours of laboratories2. Foreign national employees involved in certain
research, development, and manufacturing activities
3. Foreign students or scholars conducting research
4. Hosting of foreign scientist
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The Deemed Export Issue
Key to licensing:• Requirement for license is driven by
the sensitive nature of technology, access required to that technology, and the foreign national’s country of origin.
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U.S. Citizens/Green Card/Protected Immigrants
Publicly Available
Educational InformationPatents
Fundamental Research (FR)
EAR 99
License Exceptions
License
Sequence of Analysis
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Exempted from the Rule
• Foreign nationals are exempt from the deemed export rule in the following cases:
– A foreign national granted U.S. citizenship;
– A foreign national granted permanent residence status (i.e., “Green Card” holders);
– A foreign national granted status as a “protected individual” under 8 U.S.C. 1324b(a)(3). Protected individuals include political refugees and political asylum holders.
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Other Licensing Exemptions
• Publicly available (EAR 734.7)- Generally accessible to the interested public- Periodicals, books, print, electronic other media forms- Libraries (university, public etc)- Open patents- Open conferences
• Fundamental Research (EAR 734.8)- Basic and applied research where resulting
information is ordinarily published and broadly shared within scientific community
• Educational information (EAR 734.9)- Released by instruction in catalog courses- Associated teaching laboratories of academic
institutions• Patent information (EAR 734.10)
- Public information available on patent application
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Classify the Technology:
• Most technology is not controlled (Publicly available or EAR99)
• Sensitive technologies are controlled, based on specific parameters of Export Control Classification Numbers (ECCNs) on the Commerce Control List.
• Controlled technologies may require licensing based on the foreign national’s country of origin.
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Identify and Classify the Technology:Ten Categories (part 738.2(a)):0-Nuclear1-Materials, Chemical, “Microorganisms” and Toxins2-Materials Processing (e.g. machine tools)3-Electronics4-Computers5-Telecommunications and Information Security6-Lasers and Sensors7-Navigation and Avionics8-Marine9-Propulsion Systems, Space Vehicles and Related Equipment
(e.g. aerospace)
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Classify the Technology:
Five Groups (part 738.2(b)):A - Equipment, Assemblies and ComponentsB - Test, Inspection and Production
EquipmentC - MaterialsD - SoftwareE - Technology
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3A292
3D292
3E292
Digital Oscilloscope
Oscilloscope Software
Oscilloscope Technology
The deemed export rule primarily affects
technology and software.
The deemed export rule primarily affects
technology and software.
Deemed Export ECCNs
Analog-digital conversion, greater than 1 giga-sample per second, 8 bits or greater resolution, stores 256 or more samples
Production, development or use technology is controlled
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5A101
5D101
5E101
Telemetry Equipment
Telemetry Software
Telemetry Technology
The deemed export rule primarily affects
technology and software.
The deemed export rule primarily affects
technology and software.
Deemed Export ECCNs
Designed or modified for UAVs or rocket systems
Production, development or use technology is controlled
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3B001
3D001
3E001
Semiconductor Manufacturing Equipment (SME)
SME Software
SME Technology
The deemed export rule primarily affects
technology and software.
The deemed export rule primarily affects
technology and software.
Deemed Export ECCNs
Designed for epitaxial growth capable of producing a silicon layer, thickness uniform to less than +/- 2.5%, across a distance of 200mm or more
Production or development technology is controlled
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Determine the technologies to be released. It is critical to classify the technology.
• Is the equipment and associated technology described in an entry on the Commerce Control List (CCL)? • If so, does a License Exception apply?
• Is the technology EAR99?
• Is the technology publicly available?
Is a License Required?Step 1:
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• Determine the home country of the foreign national.
• Technology and home country of the foreign national determine licensing requirements.
Is a License Required?Step 2:
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• Mere operation of or access to export controlled equipment is not a deemed export licensing event
• An appropriate decision making process must be in place to determine if a deemed export license is required
• BIS is ready to assist in commodity classification of your research technology
Summary
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Deemed Export and Electronics Division Contact InformationBernard Kritzer Alex LopesDirector, Office National Security Director, Deemed Export andand Technology Transfer Controls Electronics DivisionPhone: 202-482-4196 Phone: 202-482-4875Email: [email protected] Email: [email protected]
Bob Juste Brian BakerSenior Engineer/Licensing Officer Senior Engineer/Licensing OfficerPhone: 202-482-2845 Phone: 202-482-2278E-mail: [email protected] E-mail: [email protected]
Bob Teer Todd WillisSenior Engineer/Licensing Officer Senior Policy Analyst/Licensing OfficerPhone: 202-482-4749 Phone: 202-482-9163E-mail: [email protected] E-mail: [email protected]
Office Fax: 202-482-1373
DOC Bureau of Industry and Security Website: www.bis.doc.gov