Introduction to U.S. Export Controls for the Commercial Space Industry

Introduction to U.S. Export Controls for the Commercial Space Industry
Title:
Introduction to U.S. Export Controls for the Commercial Space Industry
Format:
Spiral-bound
USA Price: 
Stock:
In stock
GPO Stock Number:
003-000-00700-6
ISBN:
9780160943850
Description

A Growing and Important Export Opportunity for Space Technology or Information Exporters. International commercial applications for the Commercial Space Industry are enormous and growing. The U. S. Government values this substantial market while also dedicated to ensuring there are essential regulatory controls over the industry in its quest to build overseas partnerships and sales opportunities.

This comprehensive guidebook provides basic information to help commercial space organizations, especially emerging entrepreneurial firms, considering business in the international marketplace. It’s intended to serve as a starting point in the preparation for the export control process for participants within the commercial space industry. This is an update to the 2008 edition and reflects changes due to the Export Control Reform initiative.

Readers and Users take note: This guidebook provides an overview of general responsibilities and procedures, however, it cannot replace a full understanding of export regulations or discussions with regulatory bodies and legal counsel prior to any technology or information export. Please consult with the Department of State and Department of Commerce to ensure your organization has the most recent information.

Also, please be advised that export control regulations are subject to ongoing revision. Be sure to compare any regulatory text quoted in this publication with the latest official online version.

The U.S. Department of State is the final authority on International Traffic and Arms Regulations (ITAR). Visit www.pmddtc.state.gov

The U.S. Department of Commerce is the final authority on Export Administration Regulations (EAR). Visit www.bis.doc.gov

Export Related Titles:

Mineral Commodity Summaries 2018

This illustrated report is published annually to furnish estimates covering nonfuel mineral industry data.  Data sheets contain information on the domestic industry structure, Government programs, tariffs, and 5-year salient statistics for more than 90 individual minerals and materials.  Each chapter includes information on events, trends, and issues for each mineral commodity, as well as discussions and tabular presentations on domestic industry structure.   Maps, charts, presentations, tables, and graphs are included throughout this text.

The Relevance of the European Union and the North Atlantic Treaty Organization for the United States in the 21st Century

The United States is waging a trade war against its closest allies in North America, Asia, and Europe. In Europe, there is an emerging consensus that European states can no longer count on the United States to provide leader­ship and security. In the United States, there is a greater focus on reciprocity in relations with the North Atlan­tic Treaty Organization (NATO) and the European Union (EU) and even skepticism over the continued relevance of those two organizations

Table of Contents

PURPOSE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . 1

SECTION 1: BACKGROUND. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.1 Export Control 101. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1.1.1

Definitions: Exports, Deemed Exports, and Re-exports. . . . . . . . . . . . . ............................ . . . . 4 1.1.2

The Reasons for Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. . . . . . . . 4 1.1.3

Regulations and Responsible Departments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........................ 5 1.1.4

Multilateral Commitments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............... . 7 1.2

What’s Changed Under Export Control Reform. . . . . . . . . . . . . . . . . . . . . . . . . . ....................8 1.2.1

Satellite Export Control Reform. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. . . . 8 1.2.2

Major Process Changes under Export Control Reform. . . . . . . . . . . . . . . . . . ......................... 9

SECTION 2: UNDERSTANDING THE CONTROL LISTS AND HOW THEY WORK. .. . 12 2.1

Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... . . . . 14 2.1.1

Positive Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... . . . 14 2.1.2

The Order of Review: First ITAR, Then EAR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............... 14 2.1.3

Catch-All Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . . 17 2.1.4

Catch and Release. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... . 17 2.1.5

Specially Designed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... . 17 2.1.6

Space-Qualified. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . 18 2.1.7

Carve-Outs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . . 18 2.2

The United States Munitions List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..........20 2.2.1

USML Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...... . . . . . 20 2.2.2

USML Categories IV and XV. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . 21 2.2.3

Special Controls on the USML. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 22 2.2.4

Integration Rule and Hosted Payloads. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..............22 2.2.5

Launch-Related Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........ . . . 24 2.3

The Commerce Control List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 25 2.3.1

CCL Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 2.3.2

CCL Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 2.3.3

ECCN 600 Series. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 2.3.4

ECCN 500 Series (9x515). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 27 2.3.5

ECCN 9A004. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 2.3.6

Use of the New Paragraphs .x and .y in the CCL. . . . . . . . . . . . . . . . . . . . . . . . ..............29 2.3.7

Hosted Payloads Subject to EAR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... . 29 2.4

EAR99. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

SECTION 3: HOW TO APPLY FOR A LICENSE OR USE A LICENSE EXCEPTION. . .. 32 3.1

Perform Self-Assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........... 34 3.1.1

Follow the Order of Review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .............. 34 3.1.2

Use the BIS Order of Review Decision Tree. . . . . . . . . . . . . . . . . . . . . . . . . . . . ................... 36 3.1.3

De Minimis Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 3.1.4

Special Considerations for Launch Vehicles. . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 3.2

How to Export EAR99 Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 3.3

How to File EAR STA or Other License Exceptions. . . . . . . . . . . . . . . . . . . . . . . . 39 3.4

How to Apply for an EAR License When Required. . . . . . . . . . . . . . . . . . . . . . . 41 3.5

How to Apply for an ITAR License or Agreement When Required. . . . . . . . . . 42 3.5.1

Register with State DDTC if needed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 3.5.2

For Defense Articles: Access DTrade System to Submit License Application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 3.5.3

Timeline for ITAR License Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 3.5.4

For Defense Services: Obtain Approval for Technical Assistance Agreements or Other Agreements. . .44 3.5.5

Application Process for Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 3.5.6

Timeline for Approval of Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 3.6

How to Apply for a Dual License (ITAR and EAR). . . . . . . . . . . . . . . . . . . . . . . . 47

SECTION 4: ENSURING COMPLIANCE AFTER EXPORT AUTHORIZATION. . .. . 50 4.1

Compliance for EAR99 Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 4.2

Compliance for Items Exported under License Exceptions (e.g., STA). . . . . . . . . . . . 53 4.3

Compliance for EAR Licensed Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 4.4

Elements of an Effective EAR Export Management and Compliance Program (EMCP). .  55 4.5

Compliance for ITAR Licensed Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

SECTION 5: HELPFUL HINTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 5.1

What to Do if You Need Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 5.2

Understand the Language and Agencies Involved. . . . . . . . . . . . . . . . . . . . . 60 5.3

Plan Sufficient Resources and Time for the Process. . . . . . . . . . . . . . . . . . . . 60 5.4

Avoid Delays in the Application Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 5.5

Train Your Staff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 61

APPENDICES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  62

Appendix A: Useful Contact Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Appendix B: Case Study – Hosted Payload Funded by DOD. . . . . . . . . . . . . . . ..... 66

Appendix C: Acronyms and Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

Audience

Exporters within the commercial space industry, commercial space organizations, especially emerging entrepreneurial firms, exporters and freight forwarders of defense articles and defense-related services, who are considering business in the international market. 

Product Details

Availability Details:
In Stock
USA Price:
$18.00
International Price:
$25.20
Publisher:
Commerce Dept., Office of Space Commerce; and Transportation Dept., Federal Aviation Administration, Office of Commercial Space Transportation
Key Phrases:
  • United States Export Controls
  • Commercial Space Industry
  • Exports
Weight:
0.5625
Quantity Price:
Discount
Cover:
Paper
Unit of Issue (US):
1
Unit of Issue (Non-US):
1
Record Creation Date:
12/22/2017
Last Status Update:
02/26/2019
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