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Beyond "Fortress America": National Security Controls on Science and Technology in a Globalized World
Appendix F
U.S. Government Agency Jurisdiction and Export Decision Tree
The following two tables are reprinted by permission from the book: United States Export Controls, Fifth Edition by William A. Root, John R. Liebman, and Roszel C. Thomsen II (Aspen Publishers, 2007)
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TABLE 1-1 U.S. Government Agencies Controlling Exports
Agency
What is Controlled
Statutory Authority
Regulations
Department of State
Munitions
Visas
Arms Export Control Act
22 C.F.R. § 120 ff.
22 U.S.C. § 2751 ff.
Department of Treasury OFAC
“COCOM-proscribed” destinations
Cuba
Narcotics Traffic
Sudan
WMD proliferators
Iran
Rough Diamonds
Specially designated global Terrorists
Trading with the Enemy Act 50 U.S.C. App. 5
International Emergency Economic Powers Act 50 U.S.C. § 1701 ff.
31 C.F.R. § 500
31 C.F.R. § 505
31 C.F.R. § 515
31 C.F.R. § 536
31 C.F.R. § 538
31 C.F.R. § 539
31 C.F.R. § 560
31 C.F.R. § 592
31 C.F.R. § 594
Specially designated terrorists
Foreign terrorist organizations
31 C.F.R. § 595
31 C.F.R. § 597
Nuclear Regulatory Commission
Nuclear equipment and materials
Atomic Energy Act 42 U.S.C. § 2011 ff.
10 C.F.R. § 110
Department of Energy
Nuclear weapons
Restricted Data
Sensitive nuclear technology
Natural gas
Electric energy
Atomic Energy Act 42 U.S.C. § 2011 ff.
Natural Gas Act
Federal Power Act
10 C.F.R. § 810
10 C.F.R. §§ 205.300-379
10 C.F.R. § 590
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Agency
What Is Controlled
Statutory Authority
Regulations
Department of Justice/BATF
Munitions imports and Firearms exports
18 U.S.C. § 40
27 C.F.R. §§ 447, 478, 479
Department of Justice/DEA
Narcotics and dangerous drugs
Controlled Substances Import and Export Act 21 U.S.C. § 951 ff.
21 C.F.R. §§ 1312, 1313
Environmental Protection Agency
Hazardous wastes
Resource Conservation and Recovery Act 42 U.S.C. § 6938 ff.
40 C.F.R. § 262.50 ff.
Listed chemicals
Toxic Substances Control Act 15 U.S.C. § 2611(b)
40 C.F.R. § 707.60
Insecticides, pesticides
Federal Insecticide, Fungicide, and Rodenticide Act 7 U.S.C. § 1360(a) & (b)
40 C.F.R. § 168.75
Consumer Product Safety Commission
Hazardous substances
Consumer Product Safety Act
Federal Hazardous Substances Act 15 U.S.C. §§ 1191, 1193
16 C.F.R. § 1010
16 C.F.R. § 1019
15 U.S.C. § 2067
15 U.S.C. § 126
Food and Drug Administration
Foods, drugs, biological products, devices
FDA Export Reform and Enhancement Act
21 C.F.R. § 312.110
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Drug Export Amendments Act of 1986
21 U.S.C. § 301 ff.
42 U.S.C. § 262
Department of Agriculture
Tobacco seeds and plants
Tobacco Seed and Plant Exportation Act 7 U.S.C. § 516 ff.
Department of Interior
Endangered fish and wildlife
16 U.S.C. § 1531 ff.
16 U.S.C. § 703 ff.
16 U.S.C. § 668
50 C.F.R. § 17.21 ff.
Department of Transportation
American carriers
44 C.F.R. § 403
Maritime Administration
Vessels
46 C.F.R. § 221
Patent and Trademark Office
Patent applications for filing in a foreign country
35 U.S.C. §§6, 181 ff.
37 C.F.R. § 5
Various
Classified information
Executive Order 12,356
Various
Technical data
International Emergency Economic Powers Act 50 U.S.C. § 1701 ff.
Contractual restrictions
Department of Commerce BIS
All other
15 C.F.R. §§ 710-774
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TABLE 1-2 U.S. Jurisdiction Not Exercised1
Type of Transaction
Portion Uncontrolled
15 C.F.R. §
22 C.F.R. §
a) Export from U.S.
Publicly available technology and software2
734.3(b)(2,3)
744.6(a)(2,3)
732.2(b)(1)
125.1(a,b)
125.4(b)(13)
124.1(a)
124.13(e)
To Canada2
738 Supp. 1
742.11(a), 742.13(a)(1)
744,754
126.5(b)
To USG agency
740.11(b)(2)(i,ii)
126.4
In-transit2
740.9(b), 736.2(b)(8)3
Returned to source
740.9(b)
125.4(b)(7)
b) Transfers within U.S.
764.2(h)3
772 Transfer
120.17(2-5)2
c) Reexport of U.S. origin
Between Switzerland and Liechtenstein
740.16(g)
Return to U.S.
740.16(e)
To Canada
740.16(f)
From or to former COCOM, Austria, Finland, Hong Kong, Ireland, South Korea, New Zealand, Sweden, or Switzerland
740.16(a, b)
Computers to Computer Tier 1
740.7(c)(2)
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To Rwanda by other than a U.S. person
746.8(b)(1)
d) Retransfer in a foreign country
764.2(a)3
744.6(a)(1)3
123.10(a)3
e) Reexport of U.S. components
Less than specified U.S. content
734.42
f) Reexport of product of U.S. technology
736.2(b)(3)3
g) Export of non-U.S.-origin from foreign country
If not controlled by Treasury and missile or CBW use not known
744.6(a)(2,3)3
744.6(b)3
1 Commerce License Exceptions or no license required (NLR) provisions included in Table 1-3 (and others omitted from that Table because not constituting broad transaction types) are still “subject to the EAR” with respect to export clearance requirements and to the possibility of recontrol through suspension or revocation of the License Exception or NLR.
2 Subject to some restrictions.
3 Describes exercised jurisdiction.
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TABLE 1-3 Decision Tree to Determine Agency Jurisdiction
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