Do I Need Eccn On Repair Export Paperwork

A.Government Departments and Agencies

For national security and strange policy reasons, the U.S. maintains comprehensive controls and sanctions on the consign and re-export of U.Due south.-origin goods and technology to all destinations effectually the world. The legal authority for these controls is authorized past a multifariousness of laws, and administrated by several different government agencies, depending on the nature of the goods to be exported or the country of ultimate destination. Each administering bureau maintains its own regulations. The post-obit is a summary of the chief U.S. Authorities agencies that govern the export and re-export of products from the The states and related transactions subject to U.S. jurisdiction:

• U.S. Section of Commerce'due south Agency of Manufacture and Security (BIS) administers the Consign Assistants Regulations (EAR) that govern the consign of commercial and dual-use goods, software and technology, including hardware and software containing certain encryption algorithms. BIS also controls certain defense-related items, including certain parts and components for military aircraft and other armed services finish-uses.

• U.S. Department of Country'southward Advisers of Defense Merchandise Controls (DDTC) administers the International Traffic and Arms Regulations (ITAR) that govern the export of defense articles, defence force services and ITAR controlled technical data.

• The U.S. Department of the Treasury's Function of Foreign Avails Control (OFAC) administers country-specific economic and trade sanctions that often include restrictions on well-nigh or all transactions with and exports to targeted countries and persons. In addition, both the Treasury and Commerce Departments administer anti-cold-shoulder laws, which are designed principally to counter Arab state boycotts of Israel and Israeli goods.

• U.Southward. Census Bureau – While non a formal consign command bureau, the Demography Bureau's Foreign Trade Division is responsible for maintaining and implementing the Strange Trade Regulations (15 CFR Part 30) that govern the preparation and submission of Electronic Consign Information (EEI) submitted prior to most exports from the United States. The Census Bureau shares this export information with BIS, OFAC, DDTC, U.S. Customs and Border Protection and other regulatory and law enforcement agencies.

• U.S. Customs and Edge Protection (CBP) – While primarily responsible for imports into the U.s., CBP officers at various U.Due south. ports oversee a broad variety of export-related activities and have the authority to inspect, detain and seize export shipments if they are not in compliance with the laws and regulations issued past BIS, DDTC and OFAC.

• Other U.S. Government agencies involved in export control-related issues include:

Drug Enforcement Agency
Environmental Protection Bureau
Department of Energy
Nuclear Regulatory Commission
Patent and Trademark Part
Food and Drug Administration
Maritime Administration
Agriculture Department
Fish and Wild fauna Service

B.What Is An Export?

For purposes of U.S. export control laws, the term "consign" covers a broad range of activities that include the export of products, services or information. In general, an export occurs when there is any transfer to any non-U.S. person, either within or outside of the U.Southward., of controlled commodities, engineering science, or software, by physical, electronic, oral, or visual means, with the cognition or intent that the items will be shipped, transferred, or transmitted outside of the U.S. Under U.South. export laws, KU is an "exporter," and there are four basic ways KU can consign:

• Sending or carrying items out of the land: For example, sending a role past U.Due south. mail or a with a freight forwarder (such every bit Federal Limited), or conveying an item in acquit-on luggage out of the
land; or

•Transferring Technical Data or Disclosing Technology ("Accounted Export"): Disclosing controlled technology (including oral or visual disclosure) or transferring controlled technical data, to a non-U.S. person , whether in the United States or abroad. Such disclosures can occur with virtually any substitution of information – including telephone conversations, technical proposals, fax communications, eastward-mails and other electronic communications, the sharing of estimator databases, briefings, or training sessions. Under the EAR, this type of disclosure to a non-U.S. person is commonly referred to as a "deemed export."

•Providing a Defense Service: Under ITAR, providing or furnishing assistance (including preparation) to strange persons, whether in the U.s.a. or abroad, in the blueprint, development, engineering science, industry, product, assembly, testing, repair, maintenance, modification, operation, demilitarization, devastation, processing, or use of defense articles is known as a "Defense Service."

•Re-Consign items/information: A re-consign occurs when an item or data is transferred to a strange person who and so "re-exports" the item/information to some other country. Annotation: US regulations follow the exported item/information wherever it goes.

C.How KU Exports

Below are some specific ways in which the KU community may export:

Collaborating with foreign colleagues

Shipping equipment or textile to a foreign country

Providing strange nationals admission to controlled information
Providing controlled technology in proposals or other correspondence
Working with a foreign land/foreign national field of study to Us embargo
Hiring a strange national on an H1B visa
Presenting controlled information at a briefing
Traveling with a laptop overseas

D.Key Export Regulations

1.The International Traffic in Artillery Regulations

The International Traffic in Artillery Regulations (ITAR), 22 C.F.R. §§ 120-130, governs the export and re-export of defense manufactures, defense services and related technical data from the United States to any foreign destination, or to whatever foreign person, whether located in the United States or away.

a. Items Controlled Nether The ITAR

The ITAR controls three types of things: defense force articles, technical data, and defense services.

• Defense Article means any item that is specifically designed, developed, configured, adjusted, or modified for a military machine, missile, satellite, or other controlled use listed on the USML. This also includes models, mock-ups, or other items that reveal Technical Data relating to items designated in the USML. In general, if an item contains whatsoever components that are controlled under the ITAR, the entire detail is controlled under the ITAR. For example, if an musical instrument for contains a focal plane array which is ITAR, and then the entire instrument would exist considered ITAR. This is known as the "come across through rule."

• Technical Data means any information for the design, development, assembly, production, operation, repair, testing, maintenance, or modification of a defense commodity. Technical Data may include drawings or assembly instructions, operations and maintenance manuals, and e-mail or telephone exchanges where such information is discussed. Sometimes information technology is easier to define Technical Information by what it is not: Technical Information does non include full general scientific, mathematical, or engineering science principles ordinarily taught in schools, information present in the public domain, general organisation descriptions, or basic marketing information on function or purpose.

• Defence Service means providing assist, including grooming, to a strange person in the United States or abroad in the pattern, manufacture, repair, or operation of a defense article, as well as providing technical data to foreign persons. Defence services besides include informal collaboration, conversations, or interchanges concerning technical data.

b. The United States Munitions List (USML)

Section 121.one of the ITAR contains the USML which consists of 21 categories and lists bolt and related technical data, and defence force services that are controlled for export purposes.

I           FIREARMS Shut ASSAULT WEAPONS AND SHOTGUNS
Ii      GUNS AND ARMAMENT
3       AMMUNITION/ORDNANCE
Iv        LAUNCH VEHICLES, GUIDED MISSILES, BALLISTIC MISSILES, ROCKETS, TORPEDOES, BOMBS AND MINES
Five         EXPLOSIVES AND ENERGETIC MATERIALS, PROPELLANTS, INCENDIARY AGENTS AND THEIR CONSTITUENTS
Vi       SURFACE VESSELS OF War AND SPECIAL NAVAL EQUIPMENT
Vii      Basis VEHICLES
VIII       Shipping AND RELATED. EQUIPMENT
IX        Military TRAINING EQUIPMENT AND TRAINING
Ten          PERSONAL PROTECTIVE EQUIPMENT
Xi         MILITARY ELECTRONICS
XII        FIRE Control, LASER, IMAGING, AND GUIDANCE EQUIPMENT
Xiii       MATERIALS AND MISCELLANEOUS ARTICLES
XIV     TOXICOLOGICAL AGENTS, INCLUDING CHEMICAL AGENTS, BIOLOGICAL AGENTS AND ASSOCIATED EQUIPMENT
15      SPACECRAFT AND RELATED ARTICLES
XVI       NUCLEAR WEAPONS RELATED ARTICLES
XVII      CLASSIFIED Articles, TECHNICAL DATA AND Defense force SERVICES Non ELSEWHERE ENUMERATED
XVIII   DIRECTED ENERGY WEAPONS
XIX   GAS TURBINE ENGINES AND ASSOC. EQUIPMENT
XX        SUBMERSIBLE VESSELS AND RELATED Articles
XXI   ARTICLES, TECHNICAL DATA, AND Defense SERVICES NOT OTHERWISE ENUMERATED

2.The Export Administration Regulations (EAR)

The Department of Commerce Bureau of Industry and Security (BIS) regulates the export of commercial products and technology nether the EAR. Articles, information and software, that are not subject to ITAR control, and are non excluded, fall under the EAR. Dissimilar the ITAR, however, the EAR does not control services.

a. Items Controlled Nether The EAR

Mostly, all items of U.Southward.-origin, or that are physically located in the United states of america, are discipline to the EAR. The EAR includes restrictions on re-exports of U.Southward.-origin goods and technology besides every bit direct exports from the The states. Foreign manufactured appurtenances are by and large exempt from the EAR re-export requirements if they contain less than a de-minimis level of U.S. content past value.

b. Applied science Controlled Under the EAR
The EAR controls employ to exports and re-exports of U.S.-origin technology and technical data. Under the EAR, the term "engineering," which can accept the form of either technical information or technical help, is broadly defined to include "specific information necessary for the 'development', 'production', or 'use' of a product." "Technical data" includes "blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-but memories." For purposes of the national security controls, "technology" is generally controlled if it is related to the evolution, product, or apply of items that are themselves subject to a license requirement.

c. The Commerce Control List (CCL)

Within the EAR is a list of controlled commodities, technology, and software known as the CCL. The CCL includes not just a listing of items and related engineering that are controlled multilaterally for national security, nuclear not-proliferation, chemical and biological weapons and missile technology reasons, simply too a host of items and related applied science that are controlled unilaterally by the United States for foreign policy, nonproliferation, anti-terrorist, or short supply reasons. Every item that is controlled the EAR has an Export Command Classification Number (ECCN).
An ECCN is an alpha-numeric code, such equally 3A001, that describes the item and indicates licensing requirements. If an item is not listed on the CCL, it is designated as EAR 99. EAR 99 items by and large consist of low-technology consumer goods and do not crave a license in nearly situations.

CCL Categories 5 Production Groups

0   Nuclear & Miscellaneous                                                          A   Systems, Equipment and Components
i   Materials, Chemicals, Microorganisms and Toxins                     B   Exam, Inspection and Product Equipment
two   Materials Processing                                                               C   Material
3   Electronics                                                                                   D   Software
4   Computers                                                                                 E   Applied science
5    Function 1   Telecommunication
5    Office ii   Information Security
6   Sensors and Lasers
7   Navigation and Avionics
8   Marine
9   Aerospace and Propulsion

Examples of ECCN

3. Nomenclature

The pivotal pace for understanding what types of restrictions apply to a product/service or technology under U.S. export controls is determining how it is "classified" for export purposes. Nomenclature is essentially a two-footstep process. Both layers of assay call for technical judgments. The commencement step is determining whether the detail is discipline to the "jurisdiction" of the State Department's ITAR or, the Commerce Department's EAR. 2nd, the item must be properly classified under either the ITAR's USML (such as Cat. 8) or the EAR's CCL such equally 3A001 or EAR 99.

For items, technology or services that do not fall squarely into an established regulatory category, information technology may be prudent to obtain a written decision of the jurisdiction (whether it is subject to ITAR or EAR) and its classification from the DDTC. This is known as a "Commodity Jurisdiction" or "CJ". If the item or technology is definitively not bailiwick to ITAR and is instead field of study to the jurisdiction of the EAR, KU may obtain a CCATS from BIS to make up one's mind its classification.

KU employees must contact the Function of Export Compliance (OEC) when classifying any items for export. CJ and CCATS requests must be handled by the ECO with assistance from outside counsel, equally necessary. Such requests are submitted on KU letterhead and must be signed past the ECO or other Empowered Officials.

4. Exclusions from ITAR and EAR

Both the ITAR and the EAR have special provisions relating to data that is not subject to consign controls—meaning it is not classified as either ITAR or EAR, but rather is excluded because it is considered "public domain" under ITAR or "publicly bachelor" under EAR. EAR xv C.F.R. 734.iii(b)(3), "publicly available" except with respect to certain encryption technology and software, publicly available applied science and software is not subject to whatever restriction or licensing requirement under the EAR. This includes information that has been or will exist made publicly available by:

Publication in periodicals, books, impress, electronic, or other media available for general distribution to a member of the public or to a customs of persons interested in the subject field thing;
Release or dissemination at open seminars, trade shows, conferences, or other open gatherings in the United States;
Ready availability at public or university libraries; or
Patents and patent applications bachelor at any patent function.
Information resulting from "fundamental research," where the resulting information is ordinarily published and shared broadly within the scientific community.

A. ITAR §120.11

"Public domain" Information in the public domain, is not considered "technical data" under the ITAR, and is therefore not subject to whatever brake or licensing requirement. The ITAR defines information in the public domain every bit information which is published and which is mostly attainable to the public equally follows:

Through sales at newsstands and bookstores;
Through subscriptions that are available without restriction to any private who wishes to obtain or purchase the published information;
At libraries open to the public or from which the public tin obtain documents;
Through patents bachelor at whatever patent office;
Through unlimited distribution at a conference, meeting, seminar, merchandise show, or exhibition, generally accessible to the public, in the The states;
Through cardinal inquiry in science and engineering at accredited institutions of college learning in the U.Due south. where the data is ordinarily published and shared broadly in the scientific community;
Through public release after blessing past the relevant U.S. Authorities bureau or section; or
Through 2nd class mailing privileges granted by the U.S. Government;
Through publication on a public Internet site.

B.Fundamental Enquiry

During the Reagan administration, several universities worked with the Federal government to establish national policy for controlling the period of information produced in federally funded research at colleges, universities and laboratories resulting in the issuance of the National Security Decision Directive 189 ("NSDD"), National Policy on the Transfer of Scientific, Technical and Engineering Information on September 21, 1985. In a letter dated November one, 2001, President George W. Bush's administration reaffirmed NSDD 189. NSDD 189 provided the following definition of fundamental research that has guided universities in making licensing decisions relative to fundamental research exclusions provided nether both the EAR and ITAR:

Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific customs, as distinguished from proprietary research and from industrial evolution, blueprint, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

one. Parameters of Fundamental Enquiry

Nearly activities on KU'south campuses that involve the transfer of Technical Information under ITAR and Deemed Exports under EAR will fall under the "Primal Research Exclusion," notwithstanding, in that location are certain central restrictions which must be strictly followed. Academy activities or research will Not be considered fundamental research, and therefore subject to the EAR, if:

• Publication of research results is subject to brake or withholding of research results, or substantial prepublication review, by a sponsor (other than for the protection of patents and/or sponsor's confidential proprietary information); or

• The inquiry is funded past the U.Southward. Government and is discipline to specific admission (such every bit restricting work by foreign nationals) and dissemination controls.

Similarly, under the ITAR, university activities/research in science and engineering at accredited institutions of higher learning in the U.Southward. volition Non be considered fundamental enquiry, and is therefore subject to the ITAR if:

• Publication of scientific and technical information resulting from the action is restricted; or

• The research is funded past the U.S. Authorities and is subject to specific access and dissemination controls.

C.Educational Data

Both the ITAR and the EAR address the issue of general educational information that is typically taught in schools and universities. Such data, even if information technology relates to items included on the USML or the CCL, does non autumn under the awarding of export controls.

• Under ITAR: Information in the public domain, or information concerning general scientific, mathematical or technology principles commonly taught in schools, colleges and universities, is not considered "technical information" under the ITAR, and is therefore non subject to any restriction or licensing requirement.

•EAR provision: The EAR provides that publicly available "educational information" is not subject to the EAR, if it is released by teaching in catalogue courses and associated education laboratories of academic institutions.

For instance, a university catalogue course will not exist subject area to consign controls (and strange students may attend) fifty-fifty though the technology is listed on the CCL or the course contains unpublished results from laboratory research, so long every bit the university did not accepted separate obligations with respect to publication or dissemination.

v. License Determinations

In one case the classification has been adamant (and it is not excluded from the regulations) the adjacent pace is determining whether a license is required, or whether in that location is a license exception that tin can be used. Nether the ITAR, there are by and large two ways to export an item, transfer technical information or provide a defense service: under a license or under an exemption. Under the EAR, an item or engineering science tin be exported under a license, under a license exception or No License Required (NLR).

A. ITAR

1. ITAR Licenses
Generally, any U.S. person or entity that manufactures, brokers, or exports defense force manufactures or services must be registered with DDTC. Registration is required prior to applying for a license or taking advantage of well-nigh license exemptions. Once registration is complete, an exporter may use for an authorization to export by submitting a license application for the export of defense force articles or technical information; or a more circuitous application, such as a Technical Assistance Understanding (TAA). U.S. law requires prior DDTC approval for the post-obit transfers of ITAR controlled items:

• Export of defence manufactures (Form DSP-5) ;

• Consign of technical data for marketing and visits by foreign persons (Class DSP-five);

• Export of Defense Services and technical information (Manufacturing License Agreements, Technical Assistance Agreements);

• Temporary import for repair/modification (DSP-61 for other than routine transactions; routine shipments may require special import procedures);

• Classified defense articles/technical data (Course DSP-85);

• Minor amendments to licenses (Form DSP-119);

• Temporary consign for marketing demonstrations (Grade DSP-73);

• Re-export Authorizations (Submit on letterhead as "General Correspondence").

2. ITAR Exemptions
There are numerous license exemptions authorized under various parts of the ITAR. These exemptions can be complicated, construed narrowly, crave specific record keeping and must be approved past the ECO prior to use.

a. Full-Time Academy Employees

Under ITAR § 125.4(b)(ten), the ITAR allows KU to disclose unclassified technical data in the U.South. to a foreign person who is the university'southward bona fide and full time regular employee. The exemption is bachelor only if:

• The employee's permanent abode throughout the menstruation of employment is in the United States;

• The employee is not a national of a country to which exports are prohibited pursuant to ITAR § 126.ane http://www.pmddtc.state.gov/regulations_laws/documents/official_itar/ITA... t_126.pdf);

• The university informs the individual in writing that the technical data may not be transferred to other foreign persons without the prior written approving of DDTC;

• The academy documents the disclosure of technical data under the exemption providing:

- a description of the technical information;

- the proper noun of the recipient /end-user;

- the appointment and time of export;

- the method of transmission (eastward.m., east- mail, fax, FedEx);

B.EAR Licenses and Exceptions

If an item is listed on the CCL, information technology may require a license or a license exception may be available. Items not listed on the CCL and designated equally EAR 99, can by and large exist exported without a license, unless the export is to an embargoed country, or to a prohibited person or terminate-use. There is a three-step procedure for determining what controls apply, to which country, and whether a license exception may be bachelor.

1. Decide Reason for Controls. The "License Requirements" department provides reasons for control. These reasons include:

AT Anti-Terrorism

CB Chemical & Biological Weapons

CC Crime Control

CW Chemical Weapons Convention

EI Encryption Items

FC Firearms Convention

MT Missile Applied science

NS National Security

NP Nuclear Nonproliferation

RS Regional Security

SS Short Supply

XP Computers

SI Significant Items

2. Utilise Land Chart. One time an particular is identified as coming together the criteria for a item ECCN, the user should refer to the Country Chart found at 15 C.F.R. § 738, Supp. i. If the particular control applies to that land, a license is required. For example, Islamic republic of iran has an "X" under AT Column 1, therefore a license would be required unless an exception practical.

iii. Place Exceptions. The EAR contains a number of exceptions. Determining whether a detail exception applies requires review of the specific application equally detailed in fifteen C.F.R.§ 740, as well as review of the notes on applicable license exceptions following the ECCN entry. These exceptions include:

LVS Items of limited value (value is set up nether each ECCN).
GBS   Items controlled for national security reasons to Group B countries.
CIV    Items controlled for national security reasons to item countries where end-user is civilian.
TSR   Certain technology and software to sure countries.
APP   Computer exports to certain countries.
KMI   Encryption exemption for fundamental management.
TMP   Certain temporary exports, re-exports, or imports, including items moving through the U.S. in transit.
RPL   Certain repair and replacement parts for items already exported.
GFT   Certain gifts and humanitarian donations.
GOV   Exports to sure authorities entities.
TSU Certain mass-market technology and software.
Handbag Baggage exception.
AVS   Aircraft and vessels stopping in the U.Southward. and well-nigh exports of spare parts associated with aircraft and vessels.
APR   Allows re-export from certain countries.
ENC Certain encryption devices and software.
AGR   Agricultural commodities.
CCD Say-so of sure consumer advice devices to Cuba.