Bureau of Industry and Security Deemed Exports “Use” Sequence of Analysis Presentation for : Alex Lopes Director, Deemed Exports and Electronics Division Office of National Security and Technology Transfer Controls Bureau of Industry and Security U.S. Department of Commerce Export Control Coordinator’s Organization U.S. Department of Energy Slide 1/22 May 24, 2005

Bureau of Industry and Security The Deemed Export Issue Situations that can involve release of U.S technology or software include: 1.Tours of laboratories 2.Foreign national employees involved in certain research, development, and manufacturing activities 3.Foreign students or scholars conducting research 4.Hosting of foreign scientist Slide 5/22

Bureau of Industry and Security 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.

Bureau of Industry and Security U.S. Citizens/Green Card/Protected Immigrants Publicly Available Educational Information Patents Fundamental Research (FR) EAR 99 License Exceptions License Sequence of Analysis

Bureau of Industry and Security 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. Slide 8/22

Bureau of Industry and Security 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 ) -Public information available on patent application

Bureau of Industry and Security 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.

Bureau of Industry and Security Identify and Classify the Technology: Ten Categories (part 738.2(a)): 0-Nuclear 1-Materials, Chemical, “Microorganisms” and Toxins 2-Materials Processing (e.g. machine tools) 3-Electronics 4-Computers 5-Telecommunications and Information Security 6-Lasers and Sensors 7-Navigation and Avionics 8-Marine 9-Propulsion Systems, Space Vehicles and Related Equipment (e.g. aerospace)

Bureau of Industry and Security Classify the Technology: Five Groups (part 738.2(b)): A - Equipment, Assemblies and Components B - Test, Inspection and Production Equipment C - Materials D - Software E - Technology

Bureau of Industry and Security 3A292 3D292 3E292 Digital Oscilloscope Oscilloscope Software Oscilloscope Technology 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

Bureau of Industry and Security 5A101 5D101 5E101 Telemetry Equipment Telemetry Software Telemetry Technology 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

Bureau of Industry and Security 3B001 3D001 3E001 Semiconductor Manufacturing Equipment (SME) SME Software SME Technology 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

Bureau of Industry and Security 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:

Bureau of Industry and Security 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:

Bureau of Industry and Security 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

Bureau of Industry and Security Deemed Export and Electronics Division Contact Information Bernard KritzerAlex Lopes Director, Office National Security Director, Deemed Export and and Technology Transfer ControlsElectronics Division Phone: Phone: Bob JusteBrian Baker Senior Engineer/Licensing Officer Phone: Phone: Bob TeerTodd Willis Senior Engineer/Licensing OfficerSenior Policy Analyst/Licensing Officer Phone: Phone: Office Fax: DOC Bureau of Industry and Security Website: