Research and Economic Development MAY 28 2013 John Jacobs Classification Process If EAR Applies What Next The EAR Categorization Process STEP 1 With the PIs help the Facility Security ID: 555054
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Slide1
EXPORT ADMINISTRATION REGULATIONS (EAR)
Research and Economic Development
MAY 28, 2013
John JacobsSlide2
Classification Process
If
EAR
Applies, What Next?
The
EAR
Categorization Process
STEP
1:
With the PI’s help, the
Facility Security
Officer
must classify the
type of
technology
or
science
being
developed on the
Commerce
Control
List (CCL) by determining
the Export
Control Classification Number
(ECCN)Slide3
Commerce Control List
Contains
lists of items subject to licensing
authority
of
BIS
Each
entry has its own Export Control
Classification
Number (ECCN
)
Five
alpha-numeric characters example
3D
Items listed in terms of technical parameters Slide4
ECCN
Breakdown Example: 3D101
3
– Category
D – Product Group
1 – Reason for Control
0 – Relates to Reasons for Control
1 – Used for Numerical Ordering Slide5
Ten Categories In The CCL
(0 - 4) 0 -
Nuclear Materials, Facilities &
Equipment,
and Miscellaneous
1 -
Materials, Chemicals, Microorganisms
&
Toxins
2 - Materials
Processing
3 -
Electronics Design, Development
and
Production
4 -
Computers, are broken down into
Hardware and
SoftwareSlide6
Ten Categories In The CCL
(5 – 9)5 - Telecommunications
& Information Security
6 - Sensors
and Lasers
7 - Navigation
and Avionics
8 - Marine
(ships & vessels)
9
– Aerospace and
Propulsion Equipment
This
represents the first number of the ECCNSlide7
Product Groups
A - Equipment, Assemblies & Components B
- Production
, Test & Inspection Equipment
C
-
Materials (raw)
D
-
Software
E
-
Technology
These
are the only letters used within
the
ECCNSlide8
Finding The ECCN
Review general characteristics
(technical
parameters) of items to arrive
at
Category
and Product Group
Match characteristics of item with ECCN
and
subparagraph
HINT: Check the CCL alphabetical index Slide9
General Prohibitions, Part 736
STEP 2: Check General Prohibitions, there are 10
Prohibit certain exports, re-exports, and
other
conduct
, without a license, license exception
or
determination
that no license is required
General Prohibitions 1-10 apply to items
having
a
specific ECCN
General Prohibitions 4-10 apply to items
that
are
EAR99 (not found on the CCL) Slide10
General Prohibitions 1-3
Apply only if your item is classified under an ECCN:
Export and re-export of controlled items
to
listed
countries
2. Re-export
and export from abroad
of
foreign-made
items incorporating more
than
a
de minimis
amount of controlled U.S. Content
3. Re-export
and export from abroad of
the
foreign
produced direct product
of
U.S
. technology and software Slide11
General Prohibition Continued 4 - 7
Apply if your item is classified under a specific ECCN or is “EAR 99”(
items
not found
on
the
CCL=usually no license
required
)
4. Engaging
in actions prohibited by a denial
order (check
denied
persons/entities lists)
5. Export
or re-export to prohibited end-uses or
end users
(e.g
., chemical and biological warfare)
6. Export
or re-export to embargoed or
special destinations
7. Support
of proliferation activities Slide12
General Prohibitions Continued 8-10
8. In-transit shipments and items to be un-laden from vessels
or aircraft
9. Violation
of any order, terms, and conditions
10. Proceeding
with transactions with
knowledge
that
a violation has occurred or is about to
occur
If Prohibitions don’t apply,
look for Exceptions Slide13
License Or Exception?
STEP 3: Try to find the exception!
Using
the CCL, check for reasons for control:
Look
at
the “Reason for Control” section directly
under
the
category heading and License
Requirements.
E.g
.: Reason for control: NS, MT,
AT
Match
specific controls to Country Chart
column
Look
for an “X” in Commerce Country Chart Slide14
License Or Exception?
If an “X” is present, look under the “License Exceptions” category
below
the
“Control(s
)” section
If
no license exception available, license must
be
obtained
(4-6 weeks to process) Slide15
AT = Anti - Terrorism
CB = Chemical & Biological weaponsCC = Crime ControlCW = Chemical Weapons
Convention
EI = Encryption Item
FC = Firearms Control
MT = Missile Technology
NP = Nuclear
Proliferation
NS
= National Security
RS = Regional
Stability
SI
= Significant Item
SS = Short Supply
UN = United Nations
SL = Surreptitious Listening
Reasons For Control Slide16
Common License Exceptions
LVS – Limited Value Shipments
Pertains
to Country Group
B
Identified
by “LVS: $(value)” on the
CCL
(e.g
.: LVS: $5000)
GBS – Group B
Shipments
Pertains
to Country Group
B
Identified
by “GBS: Yes” on the CCL Slide17
Common License Exceptions
CIV – Civil End-UsersPertains to Country Group D-1
Identified by “CIV: Yes” on the CCL
National
Security controlled items only
TSR – Restricted Technology and
Software
Pertains
to Country Group B
Identified
by “TSR: Yes” on the
CCL
National
Security Controlled Items only
Written Assurance – Letter can be written stating
software
will
not be released to nationals of certain
country
groups (e.g
. D:1 and E:2) Slide18
Common License Exceptions
TMP - Temporary Exports and Re-exports
Tools
of trade
Replacement
parts
Exhibition
and demo
Inspection
and calibration
Assembly
in Mexico
To
US subsidiary, affiliate or facility in
Country Group B
Beta test
software
Return to US within 1 year Slide19
Deemed Export Exceptions
CIV: Civil End Use
Applies
to deemed exports for 3E001/3E002 technology
Requires
Foreign National Review (FNR)
TSR: Technology/Software Under Restriction
Applies
to technology/software under national security
only
for country
group “B” nationals
Requires
Letter of Assurance
APP – Computers
Applies
to deemed exports for 4D001/4E001
software
and
technology. (FNR required) Slide20
Questions?
Export Controls Officer fso@uncc.edu Office Phone 704.687.1877
http
://www.research.uncc.educompliance-ethics