1. Department of Commerce (DOC) Department of Commerce (DOC) Bureau of Industry and Security (BIS) Bureau of Industry and Security (BIS) George H. Loh George H. Loh202-482-3570

2. DOC Nuclear Export Controls Export Control Objectives and Authority Export Control Objectives and Authority Export and Deemed Export Export and Deemed Export Items Subject to the EAR Items Subject to the EAR Transaction vs. List-Based Controls Transaction vs. List-Based Controls Technology and Software Controls Technology and Software Controls License Exceptions vs Licenses License Exceptions vs Licenses Requests for Help Requests for Help

3. Export Control Objectives Preserve national security Preserve national security Counter proliferation of Weapons of Mass Destruction (WMD) Counter proliferation of Weapons of Mass Destruction (WMD) Maintain industrial base and economic security Maintain industrial base and economic security Promote foreign policy interests Promote foreign policy interests

4. Statutory/Regulatory Authority Export Administration Act (EAA) Export Administration Act (EAA) International Emergency Economic Powers Act (IEEPA) International Emergency Economic Powers Act (IEEPA) Nuclear Non-Proliferation Act Nuclear Non-Proliferation Act Export Administration Regulations (EAR Published in the 15 CFR Parts 730 – 774) Export Administration Regulations (EAR Published in the 15 CFR Parts 730 – 774)

5. Export Control Regimes Wassenaar Arrangement (National Security) Wassenaar Arrangement (National Security) Missile Technology Control Regime (MT) Missile Technology Control Regime (MT) Nuclear Suppliers Group (Nuclear Nonproliferation) Nuclear Suppliers Group (Nuclear Nonproliferation) Trigger List Trigger List Dual-Use Annex Dual-Use Annex Australia Group (Chemical & Biological) Australia Group (Chemical & Biological) Chemical Weapons Convention (CW) Chemical Weapons Convention (CW)

6. Export and Deemed Export (Part 734.2) An actual shipment or transmission of “items” subject to the EAR out of the United States An actual shipment or transmission of “items” subject to the EAR out of the United States Any release of technology or software subject to the EAR in a foreign country Any release of technology or software subject to the EAR in a foreign country Any release of technology or source code software subject to the EAR to a foreign national in the United States Any release of technology or source code software subject to the EAR to a foreign national in the United States

7. Items Subject to the EAR (Part 734.3) Export of any items in US – commodities, software, or technology (development, production, or use). EXCEPT : Export of any items in US – commodities, software, or technology (development, production, or use). EXCEPT : Items under other agencies’ exclusive jurisdiction Items under other agencies’ exclusive jurisdiction Printed books, pamphlets, motion picture films & soundtracks, etc. Printed books, pamphlets, motion picture films & soundtracks, etc. Publicly available software and technology (except encryption software) Publicly available software and technology (except encryption software)

8. Nuclear Export Control Jurisdiction (Part 734.3) U.S. Nuclear Regulatory Commission (NRC) for commodities related to nuclear reactor vessels (10 CFR Part 110) U.S. Nuclear Regulatory Commission (NRC) for commodities related to nuclear reactor vessels (10 CFR Part 110) Department of Energy for technology related the production of special nuclear materials (10 CFR Part 810) Department of Energy for technology related the production of special nuclear materials (10 CFR Part 810) Department of Commerce for the balance of plant and all dual-use items Department of Commerce for the balance of plant and all dual-use items

9. Publicly Available Software Not subject to the EAR, except encryption software (Part 742.15) Not subject to the EAR, except encryption software (Part 742.15) General distribution General distribution Accessible to the public Accessible to the public No restrictions to anybody No restrictions to anybody No time restraints, e.g., time bombs No time restraints, e.g., time bombs Free or just cost of reproduction/distribution Free or just cost of reproduction/distribution

10. Publicly Available Information Already or will be published (accessible to the public, e.g., library, patent records, & conference) (Part 734.7) Already or will be published (accessible to the public, e.g., library, patent records, & conference) (Part 734.7) Arise during or result from Fundamental Research (Part 734.8) Arise during or result from Fundamental Research (Part 734.8) Educational Information (Part 734.9) - Instruction in catalog courses of institutions Educational Information (Part 734.9) - Instruction in catalog courses of institutions In certain Patent Applications (Part 734.10) In certain Patent Applications (Part 734.10)

11. Transaction-Based Control Denied Persons List (Supplements 2 to Part 764) Denied Persons List (Supplements 2 to Part 764) Entity List (requiring license) (Supplement 4 to Part 744) Entity List (requiring license) (Supplement 4 to Part 744) Countries under embargoes (Part 746) Countries under embargoes (Part 746) Prevent simple items or activities to be used for proliferating Weapons of Mass Destruction (Part 744) Prevent simple items or activities to be used for proliferating Weapons of Mass Destruction (Part 744)

12. Transaction-Based Control Nuclear End-use Controls (Part 744.2, 774.5 & 744.6) Nuclear explosive activities Nuclear explosive activities Unsafeguarded nuclear activities related to nuclear reactors and nuclear fuel Unsafeguarded nuclear activities related to nuclear reactors and nuclear fuel Reprocessing, Heavy water, Isotope separations, and Plutonium fuel Reprocessing, Heavy water, Isotope separations, and Plutonium fuel Certain technology for maritime nuclear propulsion Certain technology for maritime nuclear propulsion U.S. persons’ activities related to nuclear explosive devices U.S. persons’ activities related to nuclear explosive devices

13. List-Based Control (Part 738) Commerce Control List (CCL) Commerce Control List (CCL) Export Control Classification Numbers (ECCN) Export Control Classification Numbers (ECCN) Reasons for Control Reasons for Control The Commerce Country Chart The Commerce Country Chart

14. Example of an Export Control Classification Number (ECCN) 2B001 Machine tools and any combination thereof, for removing metals, ceramics or “composites”, which can be equipped with electronic devices for “numerical control”. License Requirements Reason for Control: NS, NP, AT Control(s)Country Chart NS applies to entire entryNS Column 2 NP applies to a, b, c and dNP Column 1 License Exceptions: LVS: N/A GBS: N/A List of Items Controlled

15. Technology and Software Controls Explicitly described Explicitly described “Development” – design, prototyping “Development” – design, prototyping “Production” – assembly, testing “Production” – assembly, testing “Use” – installation, repair “Use” – installation, repair

16. Technology & Software Transfer Controls Includes transfers regardless of the media Includes transfers regardless of the media (i.e., disk, blueprints, hardcopy,etc.) (i.e., disk, blueprints, hardcopy,etc.) Includes electronic transfers Includes electronic transfers (i.e., via the INTERNET, E-Mail, Fax) (i.e., via the INTERNET, E-Mail, Fax) Includes direct transfers Includes direct transfers (i.e., consultations, phone conversations, instruction & seminars) (i.e., consultations, phone conversations, instruction & seminars)

17. Is a License Required under the List-Based Control? Commerce Control List (CCL) Commerce Control List (CCL) Export Control Classification Numbers (ECCN) Export Control Classification Numbers (ECCN) Reasons for Control Reasons for Control The Commerce Country Chart The Commerce Country Chart

18. License Exceptions (Part 740) 19 Exceptions to license requirements 19 Exceptions to license requirements Eligibility depends on: Eligibility depends on: ECCN ECCN Country of Destination Country of Destination End-use & End-user End-use & End-user Transaction Transaction

19. The License Application (Part 748) BXA Form 748P BXA Form 748P Statement by Ultimate Consignee Statement by Ultimate Consignee Supporting documents Supporting documents Letter of Explanation for technology export Letter of Explanation for technology export Letter of Assurance for technology export controlled under National Security reason Letter of Assurance for technology export controlled under National Security reason

20. Special Comprehensive License (SCL in Part 752 ) For multiple exports and/or reexports For multiple exports and/or reexports Requires Internal Control Program Requires Internal Control Program Comprehensive review by BIS and other export control agencies Comprehensive review by BIS and other export control agencies International Cooperative License – a special kind of SCL for U.S. government agencies only International Cooperative License – a special kind of SCL for U.S. government agencies only

21. Scope of the Special Comprehensive License (SCL) (Part 752.3 & 752.4) All items except: All items except: MT items MT items EI items (Encryption) EI items (Encryption) Most CB items Most CB items Some other items Some other items All Destinations except: All Destinations except: Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Syria Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Syria

22. Request for Help Mark the Classification Request box on (electronic) Form BXA-748P for item classification request (ECCN) (Part 748.3) Mark the Classification Request box on (electronic) Form BXA-748P for item classification request (ECCN) (Part 748.3) Request “Advisory Opinion” in writing through regular mail Request “Advisory Opinion” in writing through regular mail Call for assistance Call for assistance Bureau of Industry and Security Office of Exporter Services (202) 482 - 4811