EXBS Tracker Program: Automated Licensing System UNITED STATES DEPARTMENT OF STATE BUREAU OF INTERNATIONAL SECURITY AND NONPROLIFERATION

EXBS Program Goals The State Department’s Export Control and Related Border Security (EXBS) program works in cooperation with foreign governments to improve strategic trade control systems to halt the proliferation of weapons of mass destruction, their delivery systems, and conventional weapons. The program pursues this goal by working with foreign governments to: The State Department’s Export Control and Related Border Security (EXBS) program works in cooperation with foreign governments to improve strategic trade control systems to halt the proliferation of weapons of mass destruction, their delivery systems, and conventional weapons. The program pursues this goal by working with foreign governments to: Establish the necessary legal and regulatory basis for effective export controls;Establish the necessary legal and regulatory basis for effective export controls; Develop appropriate export authorization [i.e., licensing] procedures and practices;Develop appropriate export authorization [i.e., licensing] procedures and practices; Establish and enhance effective enforcement capabilities and procedures, including provision of WMD detection and interdiction equipment and training; andEstablish and enhance effective enforcement capabilities and procedures, including provision of WMD detection and interdiction equipment and training; and Promote effective interaction between governments and industry on export controls.Promote effective interaction between governments and industry on export controls.

Tracker Program Goals Provided under the EXBS program, Tracker’s primary goal is to enhance the effectiveness of licensing procedures and practices. Tracker incorporates several best practices of strategic trade control. Provided under the EXBS program, Tracker’s primary goal is to enhance the effectiveness of licensing procedures and practices. Tracker incorporates several best practices of strategic trade control. Customized rules and permissions ensure strict adherence to national export control legislation and regulations.Customized rules and permissions ensure strict adherence to national export control legislation and regulations. Single channel of communication between technical experts, intelligence agencies, foreign policy officials, and licensing officers which ensures transparency and promotes interagency consensus.Single channel of communication between technical experts, intelligence agencies, foreign policy officials, and licensing officers which ensures transparency and promotes interagency consensus. Powerful database search and report functions ensure compliance with reporting requirements under national legislation and nonproliferation regimes.Powerful database search and report functions ensure compliance with reporting requirements under national legislation and nonproliferation regimes. High levels of data security protect the confidentiality of commercial and national security-related information.High levels of data security protect the confidentiality of commercial and national security-related information.

Tracker Advantages Increases the efficiency of pre-license review, licensing and post-license procedures. Increases the efficiency of pre-license review, licensing and post-license procedures. Centralizes and improves the exchange of information. Centralizes and improves the exchange of information. Scalable system allows for government-specific customization. Scalable system allows for government-specific customization. Tracker provided in local language. Tracker provided in local language. Database incorporates details and relationships of all transactions, simplifying data entry and analysis. Database incorporates details and relationships of all transactions, simplifying data entry and analysis. Simple generation of multi- profile reports and documents to satisfy both international and domestic reporting requirements. Simple generation of multi- profile reports and documents to satisfy both international and domestic reporting requirements.

Tracker Key Features Simplified data entry Simplified data entry The database stores information about an organization, a person, a product, or a location. This information is easy to retrieve and can be used when processing various work items.The database stores information about an organization, a person, a product, or a location. This information is easy to retrieve and can be used when processing various work items. For example, once a company is added to the database, its information can be accessed whenever the company is involved in an export transaction.For example, once a company is added to the database, its information can be accessed whenever the company is involved in an export transaction.

Tracker Key Features Secure information exchange between ministries Secure information exchange between ministries Distributed network application allows users to securely access the Tracker database.Distributed network application allows users to securely access the Tracker database. Encryption and firewall hardware determined by host government.Encryption and firewall hardware determined by host government. Customizable workflow and business process capabilities, and customizable roles and permissions, allows countries to specify the roles of the various ministries and the permissions of users within each ministry.Customizable workflow and business process capabilities, and customizable roles and permissions, allows countries to specify the roles of the various ministries and the permissions of users within each ministry.

Tracker Key Features Support for enforcement activities Support for enforcement activities Tracker supports enforcement activities by providing access to license data for Customs officers at remote sites.Tracker supports enforcement activities by providing access to license data for Customs officers at remote sites. Access to the Tracker database simply requires a computer with the Tracker client (and user account) and a secure internet connection.Access to the Tracker database simply requires a computer with the Tracker client (and user account) and a secure internet connection. Customs officers can view copies of licenses and related documents. Photographs of suspicious items can be uploaded into Tracker at the Customs point and reviewed by technical experts.Customs officers can view copies of licenses and related documents. Photographs of suspicious items can be uploaded into Tracker at the Customs point and reviewed by technical experts.

Tracker Key Features Tracker provides a comprehensive search capability, allowing you to search against nearly any field of information in the database. These searches can contain multiple criteria as well as nested searches. Tracker provides a comprehensive search capability, allowing you to search against nearly any field of information in the database. These searches can contain multiple criteria as well as nested searches. Search results can be printed or exported into other documents, aiding in the creation of detailed reports. Search results can be printed or exported into other documents, aiding in the creation of detailed reports.

Implementation Overview EXBS provides all hardware, software and training, including long-term maintenance and technical support. EXBS provides all hardware, software and training, including long-term maintenance and technical support. Candidate country selection and political commitment.Candidate country selection and political commitment. Data collection: detailed questionnaire and site survey.Data collection: detailed questionnaire and site survey. Equipment procurement.Equipment procurement. Software ‘localization’ and translation.Software ‘localization’ and translation. Equipment installation and configuration.Equipment installation and configuration. User Training.User Training. Ongoing support.Ongoing support.

Deployment Steps Data collection: questionnaire and site survey Data collection: questionnaire and site survey Detailed questionnaire designed to help understand the organization of the licensing process, as well as the existing computer network, completed by the host nation.Detailed questionnaire designed to help understand the organization of the licensing process, as well as the existing computer network, completed by the host nation. Site survey performed to ensure complete understanding of existing licenses process and computer hardware.Site survey performed to ensure complete understanding of existing licenses process and computer hardware. Equipment procurement and installation Equipment procurement and installation Procured through in-country vendor to ensure timely delivery and on-site warranty service.Procured through in-country vendor to ensure timely delivery and on-site warranty service. Includes installation of network equipment, servers and client workstation.Includes installation of network equipment, servers and client workstation. Includes all software and licenses necessary to operate Tracker.Includes all software and licenses necessary to operate Tracker.

Deployment Steps (continued) Software ‘localization’ and translation Software ‘localization’ and translation Tracker is customized to operate using the rules and procedures of the host nation.Tracker is customized to operate using the rules and procedures of the host nation. Tracker’s Graphical User Interface (GUI) is translated into the local language.Tracker’s Graphical User Interface (GUI) is translated into the local language. User Training User Training On-site, Train the Trainer approach for Tracker Systems Administrators and senior licensing officers from the licensing authority -- can be expanded to include referral agency training, if necessary.On-site, Train the Trainer approach for Tracker Systems Administrators and senior licensing officers from the licensing authority -- can be expanded to include referral agency training, if necessary. Instruction material customized for host nation and provided in local language.Instruction material customized for host nation and provided in local language. Ongoing support Ongoing support Maintenance and support for computer hardware provided for 2-years through local vendor.Maintenance and support for computer hardware provided for 2-years through local vendor. Software ‘help desk’ support provided by US-based vendor.Software ‘help desk’ support provided by US-based vendor.

Hardware Configuration

Hardware Configuration (cont)

Software Development Plans Tools for Industry Tools for Industry Electronic application to include application submission and monitoring.Electronic application to include application submission and monitoring. Integration of the Internal Compliance Program (ICP). A tool to help industry develop internal procedures to ensure compliance with export legislation.Integration of the Internal Compliance Program (ICP). A tool to help industry develop internal procedures to ensure compliance with export legislation. ICP is currently used in 21 countries including Russia, Kazakhstan, Ukraine and soon in Azerbaijan.

Software Development Plans Tools for Government Tools for Government Integration of the WP Risk Report to provide automatic feedback on end-users that may be of proliferation concern.Integration of the WP Risk Report to provide automatic feedback on end-users that may be of proliferation concern. Integration of the Licensing Officer Information System (LOIS). A training tool for licensing officers.Integration of the Licensing Officer Information System (LOIS). A training tool for licensing officers. Expanded Tracker database fields and data entry options; new search and report features.Expanded Tracker database fields and data entry options; new search and report features.

Software Development Plans Tools for Government and Industry Tools for Government and Industry Integration of the Product Identification Search Engine (PISE). A search tool that relates items on the country’s National Control List (NCL) with images and descriptions of the items.Integration of the Product Identification Search Engine (PISE). A search tool that relates items on the country’s National Control List (NCL) with images and descriptions of the items. Recently adopted as the “Goods Checker” by the Department of Trade and Industry of the United Kingdom.

Summary Numerous elements of strategic trade control best practices are incorporated into Tracker’s features. Numerous elements of strategic trade control best practices are incorporated into Tracker’s features. Tracker improves the overall efficiency and security of the licensing process. Tracker improves the overall efficiency and security of the licensing process. Tracker operates on a wide variety of hardware and software platforms. Tracker operates on a wide variety of hardware and software platforms. All hardware, software, training and follow-on support fully funded by EXBS. All hardware, software, training and follow-on support fully funded by EXBS.

Contact Contact the EXBS program Dan Forbes Tracker Program Manager Department of State, Office of Export Control Cooperation State Department Bureau of International Security and Nonproliferation Website: EXBS program website: