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Export Control Process At USDA-ARS
Definition
“Export” means an actual shipment or transmission of items subject to the EAR (Export Administration Regulations) out of the United States, or release of technology or software subject to the EAR to a foreign national in the United States “Deemed Export”
Deemed Export
“Deemed Export” a deemed export is a release of technology or source code subject to the EAR to a foreign national in the U.S.
Deemed export licensing authorization is based on a review of the individual foreign national’s background, country of origin and level of technology
Deemed Export
For the purpose of licensing, it is the foreign national’s most recently obtained permanent residency or citizenship status that is considered
Publication status? Fundamental Research? (Government)
Definition
What is release? Visual inspection – Reading technical
specification Providing technical assistance (oral
exchanges) The application to situations abroad of
personal knowledge or technical experience
Definition
“Reexport” means an actual shipment or transmission of items subject to the EAR from one foreign country to another
MTA
Bureau of Industry and SecurityBIS (732)
“EAR” Export Administration Regulations http;//www.access.gpo.gov/bis/ear/pdf/732
Where is it going?, Who will receive it? What will they do with it? What else do they do? Are your items and activities subject to the
EAR?
Export Administration Regulations Database
http://www.access.gpo.gov/bis/ear/ear_data.html
Commerce Control List – Index (774) Alphabetical Index to the Commerce
Control List (Category) http:www.access.gpo.gov/bis/ear/pdf/indexccl.pdf
Example – FMD 1C352.a.4 ECCN ECCN – Export Control Classification
Number
Not Subject to the EAR
Publicly available information Fundamental research (basic and applied) Educational information Patent applications
Complying with Export Control
Technology Control Plan Management commitment Physical security plan Information security plan Personnel screening procedures Training and awareness program Self-evaluation program
Training and HS
AGREEMENTS
Office of Technology Transfer Partnering Web Page
http://www.ars.usda.gov/business/docs.htm?docid=19045
Training and HS
Passport/Visa Request Form (AD-121) Electronic Country Clearance (ECC) Providing Unsolicited Request to U.S.
Sanctioned Countries Visiting Personnel Approval Process
Compliance Program Definition
“An effective export compliance program includes both operational policies, procedures, and safeguards AND a written set of export-related guidelines that tell employees what is expected of them and provides management with a framework to evaluate whether:
Compliance Program
What should happen, dose happen AND What shouldn’t happen, doesn’t happen … on a daily basis.
Process Objective Development of an export licensing process that will support the need of ARS scientist
Requirements:• It must be easy to use.• It needs to be comprehensive.• It needs to be accurate.• Needs to be fast.
Process Objectives
Have quick access to information Build relationship with Department of
Commerce http://www.bis.doc.gov Training (location) & online training SNAP-R !!!! E-mail updates (News)
SNAP-R
Simplified Network Application Process Redesign (SNAP-R)
Submit export and re-export application, and commodity classification request via the Internet in a secure environment.
Receive same day acknowledgement of your submission.
Obtain online validations from BIS.
Communication
I do not work directly with the scientist? TTC handle MTAs (Areas handle
shipments) Direct communication with BIS on
application questions Direct communications with receiving
party
Export Licensing Application
After determination that an Export License is needed: Scientist will fill out Export License information form (Provided) and provide it to their
TTC. Export Information Form will be sent to HQ OTT Export information will be entered into the Commerce SNAP program and forwarded
for approval. At this time the license application will be given a control number and the hard file will be started.
Any further information that may be needed by the Department of Commerce will be directed to the TTC.
Within 24 hours after forwarding the information to Commerce the SNAP web site will be checked to insure the license was received.
Upon receipt of the Export license at HQ OTT, the TTC will be notified. The instructions will be read and procedures started to insure compliance before materials are transferred.
Application
ARS Scientist Name, Address, Phone, Fax, and email. (Item 15)
Research Leader’s Name (ARS use only)
Name, Address, Phone, Fax, and email for Recipient Scientist(s). (Item 18 & End-User Appendix for multiple scientists)
Description of Specific End-use (1440 Characters) (Item 21)
Technical Description of Material(s) (250 Characters for each item) (Item 22j and Item Appendix for multiple items)
ECCN (Item 22a)
Quantity/Units (Item 22 e & f)
Unit Price (Item 22g)
Total Price (Item 22h)
License
SNAP-R Turn-around time 3-4 weeks. License Requirement? Licensee agrees to comply with license
requirements. Facilitated through written correspondence
Records & Help
All Export license records and information are maintained at the OTT TTC Share Point site
Department of Commerce has 24 hour or less turn-around time for questions
OTT has a good working relationship with ARS DHS to provide answers on a wide range of issues
Transfer
Transfer of Biological Agents and Related Information to Non-USDA Locations or Individuals P&P
ARS Scientist DOES NOT ship biological agents and/or related information until the appropriate approvals
DOES NOT ship biological agents and/or related information until the appropriate approvals are obtained
Transfer
Including proper shipping documents Should advise the recipient of the
expected level of actions to keep the material secure.
