1. Bureau of Industry and Security U.S. Department of Commerce Dual-Use Export Controls and the Commerce Control List

2. Bureau of Industry and Security U.S. Department of Commerce Licensing Overview Majority of products do not require a license. 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. 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. If export license is required, license will generally be approved for a valid civil end use or tofriendly militaries.

3. Bureau of Industry and Security U.S. Department of Commerce License Jurisdiction Department of Commerce : Dual-use Department of Commerce : Dual-use Department of State: Munitions Department of State: Munitions Nuclear Regulatory Commission (NRC): Trigger list Nuclear Regulatory Commission (NRC): Trigger list Department of Energy (DOE): Technology for Special Nuclear Material Department of Energy (DOE): Technology for Special Nuclear Material

4. Bureau of Industry and Security U.S. Department of Commerce Internal Considerations National Security Concerns Foreign Policy Initiatives Economic Concerns External Considerations Wassenaar Arrangement Missile Technology Control Regime Nuclear Suppliers Group Australia Group Rationale Dual-Use Export Controls and the Commerce Control List

5. Bureau of Industry and Security U.S. Department of Commerce International Nonproliferation Agreements Nuclear Missiles CBW CBW Conventional 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

6. Bureau of Industry and Security U.S. Department of Commerce Licensing Pyramid EAR 99 Anti-Terrorism Unilateral Controls License Exceptions License Majority of items exported to China from the U.S. do not require a license

7. Bureau of Industry and Security U.S. Department of Commerce List Based Controls ECCN1B117 ECCN1B117 HeadingBatch 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… HeadingBatch 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 MT, AT Reason for MT, AT Control Control

8. 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 Designed to help eliminate the worldwide threat of proliferation of WMD and their missile delivery systems License requirements beyond the multilateral regime control lists 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 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

9. Bureau of Industry and Security U.S. Department of Commerce U.S. Implementation of “Catch-All” Controls “Knows” Provision “Knows” Provision “Is Informed” Provision “Is Informed” Provision “U.S. Persons” Provision “U.S. Persons” Provision Crossover Provision Crossover Provision

10. 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 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 See Supplement Number 4 to Part 744 of the EAR.

11. Bureau of Industry and Security U.S. Department of Commerce 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. Helpful Hints If a License Is Needed

12. Bureau of Industry and Security U.S. Department of Commerce 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. Helpful Hints If a License Is Needed

13. Bureau of Industry and Security U.S. Department of Commerce Evaluation Factors for Applications Bona fides of consignee and end users Bona fides of consignee and end users Sensitivity of commodity, software, or technology Sensitivity of commodity, software, or technology Stated end-use and appropriateness of the exported commodity, software, or technology for that end use Stated end-use and appropriateness of the exported commodity, software, or technology for that end use Non-proliferation credentials Non-proliferation credentials Assurances and guarantees Assurances and guarantees Risk of diversion and any associated intelligence Risk of diversion and any associated intelligence Licensing history Licensing history

14. Bureau of Industry and Security U.S. Department of Commerce Licensing Deadlines The President EARB ACEP OC Dept. of Defense State Energy Justice Export Application Submitted to Dept. of Commerce Day 1 Day 9 Day 39 Day 53 Day 69 Day 85 Day 90

15. Bureau of Industry and Security U.S. Department of Commerce QUESTIONS?