美国ECCN制度.doc

美国eccn制度gage板卡：4a003美国对高科技产品和技术（尤其是集成电路）的出口管制，是通过美国商务部工业与安全局设计的eccn制度来推行的。这一制度是美国政府总结上世纪二次大战及冷战时期的经验，面向本世纪保持美国战略优势而制定的基本国策。过去，美国对高科技产品和技术的出口，是通过原厂直接管制的。2007年以来，美国政府出台一系列出口管制政策，已经将管制的责任从高科技产品和技术的原厂，延伸到代理商和进出口贸易商，甚至海外的分销商。eccn主要是根据产品和技术的类型和性能来确定出口控制的级别。对于不需要出口许可的（no license required）则放行，否则就要申请出口许可。美国政府部门制定的出口限制措施，要求任何科技产品和技术的出口，必须通过以下流程：1、确定商品控制清单的eccn出口分类号码，如果是ear99，则不受控制。美国政府规定，任何供应商和原厂都有义务提供产品的eccn编码。eccn编码为五位数基码（如：5d992）：第一位：数字，是商品控制类别序号，共计十类，如3电子/4计算机/5电信和信息安全/6激光和感应器/7导航和航天；第二位：字母，标记a为设备、组件、零件，b为检测设备，c为材料，d为软件，e为技术；第三位：数字，具体说明控制理由，0为国家安全（军品两用控制），1为导弹技术，2为核不扩散，3为生化武器，9为反恐、犯罪控制、地区安全、短缺、联合国制裁等；第四位：数字，加强说明控制理由，往往为第三位的追加理由，比如3a001，表示电子类涉及国家安全的受控零件，而3a292表示电子类涉及核不扩散和反恐的受控零件；第五位：数字，是同类产品的序号，以示区别。2、确定eccn编码是否属于出口控制产品。针对不同国家类别，eccn编码有具体的出口控制规定。d1为国家安全、d2为核技术、d3为生化武器、d4为导弹技术，中国属于d1/3/4类受控国家。产品和技术受控类型分为，生化武器cb1/2/3，核不扩散np1、国家安全ns1/2、导弹技术mt1、地区稳定rs1/2、犯罪控制cc1/3。不受限制的为cb3、np2、传统火药fc1、犯罪控制cc2、反恐类at1/2。如果eccn不属于受控制的国家类别，则为nlr，不需要申请出口许可。3、如果确实属于受控，则需要申请美国出口许可。需要申请美国出口许可的通过两种方式，一是中国商务部的最终用户许可证和美国政府的出口许可证；另外一种是最终用户直接通过美国商务部的工业和安全局上网申请验证，获得通过的直接允许出口一定产品2月21日zt：美国出口管制的流程简介 eccn作者：驰创电子吴振洲 /forum_topic_post_1200339328_0.htm美国政府部门制定的出口限制措施，要求任何科技产品和技术的出口，必须通过以下流程： 1、 确定商品控制清单的eccn出口分类号码，如果是ear99，则不受控制。美国政府规定，任何供应商和原厂都有义务提供产品的eccn号码，不属于控制的一律标记为ear99，属于控制的通过eccn号码标记。eccn号码为五位数基码： 第一位：数字，是商品控制类别序号，共计十类，对我们业务来说主要是3电子/4计算机/5电信和信息安全/6激光和感应器/7导航和航天； 第二位：为字母，标记a为设备、组件、零件，b为检测设备，c为材料，d为软件，e为技术； 第三位：数字，具体说明控制理由，0为国家安全（军品两用控制），1为导弹技术，2为核不扩散，3为生化武器，9为反恐、犯罪控制、地区安全、短缺、联合国制裁等； 第四位：数字，加强说明控制理由，往往为第三位的追加理由，比如3a001，表示电子类涉及国家安全的受控零件，而3a292表示电子类涉及核不扩散和反恐的受控零件； 最后一位：数字，是同类产品的序号，以示区别。 2、 确定eccn号码是否需要属于出口控制产品，如果是nlr（no license required），则不受控制。针对不同国家类别，eccn号码有具体的出口控制规定。eccn的国家类别控制规定请查阅网址：/bis/ear/pdf/ccl3.pdf（3系列ccl3，4系列查ccl4，其它类推，希望xy/xe将相关文件的规定翻译出来）。中国属于d1/3/4类受控国家（d1为国家安全、d2为核子技术、d3为生化武器、d4为导弹技术），产品和技术受控类型为生化武器cb1/2/3，核不扩散np1、国家安全ns1/2、导弹技术mt1、地区稳定rs1/2、犯罪控制cc1/3，不受限制的为cb3、np2、传统火药fc1、犯罪控制cc2、反恐类at1/2。如果eccn不属于受控制的国家类别，则为nlr，不需要申请出口许可。 3、 确定是否需要申请出口许可，如果是license exception类别，则不需要。每一个eccn号码会解释是否需要出口许可申请，针对我们业务的要求主要有以下条目： lvs：shipment of limited value货运金额限制，一般以单项金额5000美元为限制 gbs：shipment to country group b countries，允许向b类国家和地区出口，香港为b（具体需要lb确认，因为我们经过香港转口，不知是否可以利用这个） civ：civil end-users，民用，需要客户填写产品民用申明表 tsr：technology and software under restriction，限制级的技术和软件 app：computers，电脑 kmi：key management infrastructure，关键管理设施 tmp： temporary imports, exports, reexports，临时进口、出口、再出口 rpl：governments, international organizations, international inspections under the chemical weapons conventions，政府、国际组织、化武条约国际监察员 tsu：technology and software unrestricted，非受限的技术和软件 avs：aircraft and vessels，飞机和轮船 apr：additional permissive reexports，额外允许的再出口 enc：encryption commodities and software，加密的商品和软件 比如，针对电子类国家安全受控eccn号码3a001，属于ns2、mt1、np1、at1，是针对中国限制的产品，但是下列eccn型号允许不要申请出口许可（只要在出口文件表明license exception）： lvs：货运金额限制，3a001.c, 1500美元; 3a001.b.1/2/3,.d, .e, .f, 3000美元; 3a001.a （除a.1.a, a.5.a用于导弹技术外)，3a001.b.4/5/6/7，5000美元。 gbs：出口许可国家（如香港），3a001.a.1.b, a.2-12 （除.a.5.a用于导弹技术外)，.b.2, .b.8（除用于超过18ghz的twtas外） civ：允许民用，3a001.a.3, a.4, a.7, 和a.11。 4、 如果确实属于受控，则需要申请美国出口许可。需要申请美国出口许可的通过两种方式，一是中国商务部的最终用户许可证和美国政府的出口许可证，此类申请dj成功做过，需要2-3个月时间，只要证明是民用，就好办；另外一种是最终用户直接通过美国商务部的工业和安全局上网申请验证，获得通过的直接允许出口一定产品。请注意黑名单！（略，自己上网站查就知道了，不少国内的公司，特别是研究所之类） 美国政府要求，任何出口的高科技产品和技术，必须符合ear（export administration regulations）出口管理制度的规定，该规定由美国商务部下属的工业和安全局制定，详细内容和文件大家可以访问以下两个网站： 1、美国商务部工业和安全局网站：/； 2、美国出口管理详细规定：/bis/ear/ear_data.html。international logistics export control classification number - eccnif a product is subject to the export administration regulations (ear) - the federal regulations that specify which exports require a license from the department of commerce - it may require an export license. to determine if a license is needed to export your product, exporters must first determine whether an export control classification number (eccn) fits their product.the commerce departments bureau of industry and security (bis) has the licensing authority over the export and re-export of items considered to be “dual-use”. dual-use items generally have both commercial and military applications. these items are controlled to further the national security, foreign policy, and nonproliferation interests of the united states. the five character alpha-numeric eccn identifies the technology level and the capabilities of an item which, in combination with the country of destination, customer, and the intended application, determine if an export license is required for a specific transaction or whether an item can be exported without a license. the eccn must be determined prior to shipment.once the eccn has been identified, an exporter can consult the commerce control list (ccl) and the country list, contained in the export administration regulations, to find out if the product requires a license, why the product is controlled, and whether a license exception or nlr will apply. firms exporting products that are subject to ear must apply for an export license, unless the transaction qualifies for a license exception or “no license required” (nlr) treatment. when a shippers export declaration (sed) is required for the export transaction (for shipments over $2,500 value, those requiring an export license, or those going to countries that have been designated as terrorist supporting countries), the eccn must be provided. if an export license is not required, then nlr is entered on the sed, unless the item is controlled for anti-terrorism. how do i get an eccn?there are several ways to determine the eccn for your product: contact the manufacturer, producer or developer of the product. if the item has been exported in the past, the producer may already know the eccn or if the item qualifies for a license exception. consult the export administration regulations (ear), which can be found at the bis website and in most libraries, in the code of federal regulations, 15 cfr parts 730-774. consult the ccl and determine your eccn by finding the appropriate category and group that most accurately describe your product. begin with a review of the general characteristics of your item, which will guide you to the appropriate section of the ccl. after you have identified the category and group, match the specific characteristics of your item to an eccn. (note: for ease of reference and classification purposes, items subject to the ear which are not listed in the ccl under a specific eccn are designated as ear99, see more details on eccn categories below). request an official eccn classification on the bis multipurpose application form bis-748p. classification requests are processed within three to four weeks but vary on a case-by-case basis. only typed original copies are accepted. form bis-748p can be obtained by contacting the biss form request service at (202) 482-3332. fax requests may be sent to (202) 219-9182. include your name, address, telephone number and specify which forms are needed. (if you need to request additional forms, use the address below and make the request to the forms distribution unit). mail your completed bis- 748p form to: u. s. department of commerce, bureau of industry and security office of exporter services p. o. box 273, washington, d. c., 20044. attn: classification request. request an eccn electronically through the electronic request for item classification (eric), which is available through the electronic licensing application information network (elain). prior to submitting an electronic request, you must first obtain a pin number. information on all electronic services, including receiving a pin, can be found on the bis website, or by contacting the bis operations support division at (202) 482-3290.after determining an eccn you may apply for a license using the simplified network application process (snap) through which exporters can submit license applications directly to bis via the internet. additional information on snap and how to request a pin can be found on the bis website. snap is a free service to the exporting community.are there any requirements for classification requests?each request is limited to five items. exceptions may be made on a case-by-case basis for several related products if the relationship between the products is substantiated and documented.attach descriptive literature, brochures, technical papers or specifications to assist licensing officials in determining the correct eccn. on form bis-748p, complete blocks 1 through 5, block 14, block 22(b) (only if the item is a computer), block 22(c), block 22(i) and block 22(j). if more space is needed for the technical description required in block 22(j), use appendix form 748pa for additional space. an attempt should be made to identify the item. once completed, the form should be signed and submitted to bis at the above address.to submit the classification request or license application electronically, access the elain or snap services via the bis website or call the export counseling service at (202) 482-4811.how do i find my product on the commerce control list (ccl)?the ccl is divided into 10 categories. the first (numerical) character in the eccn identifies the category within which the entry falls, for example: 3a001 is in category 3, electronics. the following is a list of ccl categories: 0 nuclear materials, facilities and equipment and miscellaneous; 1 materials, chemicals, microorganisms, and toxins; 2 materials processing; 3 electronics; 4 computers; 5 telecommunications and information security; 6 sensors; 7 navigation and avionics; 8 marine; 9 propulsion systems, space vehicles and related equipment.within each category, items are arranged by group. the second (alpha) character indicates under which of the five groups the item is listed, for example, 3a001 would be in group a, equipment, assemblies and components. each category contains the same five groups, which are:a equipment, assemblies and components; b test, inspection and production equipment; c materials; d software; e technology.the remaining digits identify the reasons for control associated with the item. it is not essential that you be able to identify which reasons for control are associated with particular digits. however, if interested, you can find an explanation in 738.2(d) of the ear.a brief description of the product is provided next to each eccn. following this description are the “license requirements,” “license exceptions,” and “list of items controlled” sections.after you have determined where your product fits within the ccl, use the information in the “license requiremen