1 Panel: Release of Technology Panel: Release of Technology Panel Chair Panel Chair : Brian A. Baker, Director, Deemed Exports and Electronics Division, Office of National Security and Technology Transfers Control Contact Info: 202 Contact Info: 202- 482 482- 4875, email: 4875, email: [email protected][email protected]Panel Members and Agenda Panel Members and Agenda Ed Ed Cushen Cushen, Electronics Engineer, Deemed Exports & Electronics , Electronics Engineer, Deemed Exports & Electronics Division (License Evaluation Division (License Evaluation – BIS) BIS) Edward R. Fox, Foreign Affairs Specialist, Edward R. Fox, Foreign Affairs Specialist, Office of Nonproliferation Office of Nonproliferation and International Security (L and International Security (License Evaluation & Nuclear Security icense Evaluation & Nuclear Security – DOE/NNSA) DOE/NNSA) Gregory Gregory Tarr Tarr Ph.D., Science and Technology Advisor, Bureau of Ph.D., Science and Technology Advisor, Bureau of International Security and Nonproliferation (License Evaluation International Security and Nonproliferation (License Evaluation – Regime Review Regime Review – Department of State) Department of State) Mike Mike Laychak Laychak, Director of Licensing, Defense Technology Security , Director of Licensing, Defense Technology Security Administration Administration ( License Evaluation License Evaluation – Department of Defense) Department of Defense)
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Panel: Release of TechnologyPanel: Release of Technology
Panel ChairPanel Chair: Brian A. Baker, Director, Deemed Exports and Electronics Division, Office of National Security and Technology Transfers Control
Panel Members and AgendaPanel Members and AgendaEd Ed CushenCushen, Electronics Engineer, Deemed Exports & Electronics , Electronics Engineer, Deemed Exports & Electronics Division (License Evaluation Division (License Evaluation –– BIS)BIS)
Edward R. Fox, Foreign Affairs Specialist, Edward R. Fox, Foreign Affairs Specialist, Office of Nonproliferation Office of Nonproliferation and International Security (Land International Security (License Evaluation & Nuclear Security icense Evaluation & Nuclear Security ––DOE/NNSA) DOE/NNSA)
Gregory Gregory TarrTarr Ph.D., Science and Technology Advisor, Bureau of Ph.D., Science and Technology Advisor, Bureau of International Security and Nonproliferation (License Evaluation International Security and Nonproliferation (License Evaluation ––Regime Review Regime Review –– Department of State)Department of State)
Mike Mike LaychakLaychak, Director of Licensing, Defense Technology Security , Director of Licensing, Defense Technology Security Administration Administration (License Evaluation License Evaluation –– Department of Defense)Department of Defense)
IntraIntra--company Transfer License Exceptioncompany Transfer License Exception• Proposed Rule comments are back and are being in
review.
Emerging Technology and Research Advisory Emerging Technology and Research Advisory Committee (ETRAC)Committee (ETRAC)• “Zero-based” review of technology
Technology Transfer ApplicationsTechnology Transfer Applications
•• Commodity descriptionCommodity description•• Transaction partiesTransaction parties•• EndEnd--useuse•• Additional informationAdditional information•• Letter of Explanation per Part 748 Supplement 2 Letter of Explanation per Part 748 Supplement 2
– Explain field specific terminology– Spell out all acronyms– Include technical point of contact
•• Ensure jurisdiction is clearEnsure jurisdiction is clear– Describe background of development– Provide sales information for military and commercial sales– If unclear, consider submitting a Commodity Jurisdiction first
•• Note any previous commodity classifications Note any previous commodity classifications •• Classify technology to the lowest subparagraphClassify technology to the lowest subparagraph•• Provide rationale for self classificationProvide rationale for self classification
Transaction PartiesTransaction Parties
•• List List allall transaction partiestransaction parties
•• Complete information on transaction partiesComplete information on transaction parties– Location where technology will be used– Websites– Business information– Licensing history
•• Explain their function in the transactionExplain their function in the transaction
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EndEnd--UseUse
•• Specific endSpecific end--useuse– Describe any products to be manufactured
•• What is the purpose of this transferWhat is the purpose of this transfer– How is technology currently being used
•• Define limits of the technology transferDefine limits of the technology transfer– What elements of the entire product will not be
transferred
Additional InformationAdditional Information•• If technology transfer includes If technology transfer includes
specifications or drawings, include them specifications or drawings, include them with your applicationwith your application
•• How will this technology be protectedHow will this technology be protected– Technology control plan– Facility security– storage
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Additional InformationAdditional Information•• Who will be receiving this informationWho will be receiving this information
– Define need to know– Advise in writing of license conditions– Log receipt of technology and departure of employees
•• How will this technology be transferredHow will this technology be transferred– Verbal- telephone, meetings, training– Hardcopy- accountability and destruction– Softcopy- secure server
•• Provide information on comparable foreign Provide information on comparable foreign technologytechnology
StaffingStaffing
•• Agencies have 30 days for reviewAgencies have 30 days for review
•• Enough information to review on meritsEnough information to review on merits
•• Enough information to propose useful Enough information to propose useful conditionsconditions
Office of Nonproliferation and International Security
Office of the Director
Mark Whitney (Acting)NA-24
InternationalRegimes & Agreements
DirectorRich Goorevich
Global SecurityEngagement &
CooperationDirector
Monte Mallin
Dismantlement& Transparency
DirectorKurt Siemen
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Export Cases Reviewed by DOE by FY
2580
4407
3488
5740
7713
8938
4344
3080
6275
727070237190
4591
6347
6200
2329
3961
3388
19901519
956
14511931
1031810066
7904
9887
3529
1700
4382
0
2000
4000
6000
8000
10000
12000
19801982
19841986
19881990
19921994
19961998
20002002
20042006
2008
Proliferation Information Network System (PINS)
• Single integrated knowledge-based system
• Designed to:- Counter spread of weapons of mass destruction- Serve as early warning proliferation indicator- Serve domestic and international needs
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•Approximately 130 users
•Currently nine government sites connected via encryption units
•Additional servers at DOE/NNSA/NA-243, LLNL, and ANL
Central servers at Los Alamos SNL
PNNL
LLNL LANLKCP
ANL
ORNL
SRTC
DOE/NNSA
DOE Network
DOE Regulations 10 CFR Part 810
• Secretary of Energy must authorize U.S. persons to assist in production of Special Nuclear Material in other countries
• Secretary must have concurrence of the Department of State and consult the Departments of Defense and Commerce and the Nuclear Regulatory Commission
Implement Section 57b (2) of the Atomic EnergyAct, which requires:
Most Part 810s are for technology or services
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DOE Regulations 10 CFR Part 810
• Generally authorized assistance – Examples-- Public information-- Radiological emergencies-- IAEA programs-- DOS programs in consultation with DOE-- Nuclear power except for Section 810.8 list
There are three kinds of authorization:
Note: General Authorization = a blanket authorization already exists for the type of activity.
DOE Regulations 10 CFR Part 810
• “Fast track” general authorization - needs DOE staff permission-- For safety-related assistance to nuclear power reactors and fuel in Section 810.8 countries
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DOE Regulations 10 CFR Part 810
• Assistance requiring Secretary’s specific authorization– All nuclear activities in countries on section
810.8 list that are not generally authorized– Enrichment, reprocessing, accelerator
production of plutonium, plutonium fuel fabrication, heavy water production, or research and test reactors above five megawatts thermal in any country
SudanSyriaTajikistanTanzaniaTimore-Leste*Togo*Turkmenistan*Uganda*UkraineUnited Arab
EmiratesUzbekistanVanuatu*VietnamYemenYugoslavia
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Office of International Regimes and Agreements reviews applications, consults concerned DOE offices and laboratories, and sends analysis to other agencies.
Secretary determines authorization will not be “inimical to the interest of the United States”
Interagency review by State, Defense, Commerce, and NRC.
DOE Regulations 10 CFR Part 810
How the Part 810 process works:
Administrator of National Nuclear Security Administration (NNSA) recommends approval to Secretary
DOE Regulations-10 CFR Part 810
• Technical, political, economic, proliferation, and national security significance of proposed assistance
• Agreement for Nuclear Cooperation
• IAEA full scope safeguards/additional protocol
• Other nonproliferation controls and conditions:
– Government assurances
– Reporting requirements
Main factors considered in Part 810 review:
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Report to IndustryReport to IndustryRelease of TechnologyRelease of Technology
Report to IndustryReport to IndustryRelease of TechnologyRelease of Technology
GovernmentGovernment--Industry CooperationIndustry Cooperationfor for
Gregory L. Gregory L. TarrTarr, Ph.D., Ph.D.Senior Advisor for Science and TechnologySenior Advisor for Science and Technology
Office of Conventional Arms Threat ReductionBureau of International Security and Nonproliferation
U.S. Department of State
Report to IndustryReport to IndustryRelease of TechnologyRelease of Technology
Summary•• Release of Technology is based on Four Multinational Release of Technology is based on Four Multinational
RegimesRegimes•• WassenaarWassenaar Arrangement, Missile Technology Control RArrangement, Missile Technology Control Réégime, Nuclear gime, Nuclear
Suppliers, Australian GroupSuppliers, Australian Group
•• Release of technology is not strictly a national Release of technology is not strictly a national prerogativeprerogative•• Amending the DualAmending the Dual--use Listsuse Lists
•• The role of IndustryThe role of Industry•• Participation in TWG, and TACParticipation in TWG, and TAC•• How items get on the list, How they get offHow items get on the list, How they get off•• The US interagency processThe US interagency process
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WassenaarWassenaar Experts GroupExperts Group
Commerce Control ListCommerce Control ListThe Role of the State DepartmentThe Role of the State Department
Australia Group Australia Group Chemical Biological (CB)Chemical Biological (CB)
Report to IndustryReport to IndustryRelease of TechnologyRelease of Technology
Wassenaar Structure•• General Working Group General Working Group (GWG)
• Deals with Political Issues•• LEOM (licensing and enforcement officer LEOM (licensing and enforcement officer
meeting)meeting)• Best practices• Interpretations
•• Experts Group (EG)Experts Group (EG)• Maintains the “Wassenaar Lists”• Composed of Technology Experts• Establishes the Technical Working Groups
•• PlenaryPlenary• Composed Senior Officials, who adopt
recommendations
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WassenaarWassenaar Experts GroupExperts Group
Where do the controls come from?Where do the controls come from?
CCL or State ?CCL or State ?
WassenaarWassenaar Experts GroupExperts Group
Sources of List Changes Sources of List Changes
•• National proposalsNational proposals•• Submitted by the Participating StatesSubmitted by the Participating States
•• New controlsNew controls•• Relaxations or decontrolsRelaxations or decontrols•• ClarificationsClarifications
•• Plenary MandatesPlenary Mandates•• EG recommends a Plenary Mandate to Study a particular EG recommends a Plenary Mandate to Study a particular
problem. Plenary returns mandates problem. Plenary returns mandates •• EG Technical Working Groups (TWG)EG Technical Working Groups (TWG)
•• EG forms a TWG with a written mandate and appoints a EG forms a TWG with a written mandate and appoints a TWG chairTWG chair
•• Allows free exchange of technical data between expertsAllows free exchange of technical data between experts•• TWG chair can authorized to recommend list change TWG chair can authorized to recommend list change
independent of national proposalsindependent of national proposals
WassenaarWassenaar Experts GroupExperts GroupProcess seeks to balanceProcess seeks to balancelegitimate Defense concerns while preserving legitimate Defense concerns while preserving an efficient business environmentan efficient business environment
Business andBusiness andIndustryIndustry
NationalNationalDefenseDefense
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WassenaarWassenaar Experts GroupExperts Group
EG TimelinesEG Timelines
•• National proposals submitted annually in FebruaryNational proposals submitted annually in February•• Based on Recommendations fromBased on Recommendations from
•• DefenseDefense•• Commerce w/ IndustryCommerce w/ Industry
•• EG makes initial review in April EG makes initial review in April •• IntersessionalIntersessional meetings are held among interested parties in meetings are held among interested parties in
the June/July time framethe June/July time frame•• Often include nonOften include non--governmental (industry) expertsgovernmental (industry) experts
•• EG meets in September to make recommendationsEG meets in September to make recommendations•• Plenary meets in December to approve EG recommendationsPlenary meets in December to approve EG recommendations•• National Lists are developed base on National Lists are developed base on WassenaarWassenaar agreementsagreements
•• 6 months to a year 6 months to a year
WassenaarWassenaar Experts GroupExperts Group
WA Technical Working Groups (WA Technical Working Groups (TWGsTWGs))
•• Operate under a mandate drafted by the EG, approved by Operate under a mandate drafted by the EG, approved by PlenaryPlenary
•• TWG Used to solve difficult multiTWG Used to solve difficult multi--entry problemsentry problemsgenerally involves small groups of subject matter expertsgenerally involves small groups of subject matter experts
•• Chairman appointed by the EG ChairChairman appointed by the EG Chair•• Often serves through several sessions Often serves through several sessions
•• TWGsTWGs also work during the summer also work during the summer intersessionalintersessional•• Proposal supporters, often invite industry expertsProposal supporters, often invite industry experts
•• TWG chairmanTWG chairman’’s report, when approved by Plenary, s report, when approved by Plenary,
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WassenaarWassenaar Experts GroupExperts Group
ConclusionConclusion
If youIf you’’re not at the Table, re not at the Table, YouYou’’re on the Menure on the Menu
WassenaarWassenaar Experts GroupExperts Group
A Question of BalanceA Question of Balance
Maintaining a Strong Industrial BaseMaintaining a Strong Industrial Base
Preventing destabilizing accumulations of weaponsPreventing destabilizing accumulations of weapons
