Role of International Trade Compliance

Transcription

1 U.S. Export Control Edward F. McDonough VI Manager International Trade Compliance Legal & Contracts, Environment, Health & Safety Westinghouse Electric Company LLC 1

2 Role of International Trade Compliance We obtain all Westinghouse export/import licenses, act as the main Westinghouse interface with the U.S. Government, assist and correct all issues with imports/exports, issue all required reports to the Department of Energy (DOE), Department of Commerce (DOC), Department of State (DOS) and the U.S. Nuclear Regulatory Commission (NRC). 2

3 U.S. Export Controls If we are exporting or transferring anything to a foreign entity we need to have the proper paperwork or documentation prepared for our export and our customer s subsequent import The correct classification, value, and description of the items being exported must be used for our products, services and technology, or customs could hold up the shipment The correct and most efficient means will be used for all of our exports to enhance customer satisfaction 3

4 U.S. Export Controls All U.S. industries are controlled by DOC BIS export regulations 15 CFR Part Nuclear products are also controlled by NRC regulations 10 CFR Part 110 and nuclear technology is controlled by DOE regulations 10 CFR Part 810 U.S. Export controls define what products, commodities, technologies and services may be exported from the U.S. to all destinations 4

5 Reason for DOC Export Controls Anti-terrorism Chemical & Biological Weapons Crime Control Encryption Items Missile Technology National Security Nuclear Nonproliferation Regional Stability Short Supply Computers 5

6 U.S. Export Controls U.S. NRC has several export licenses: XR or Reactor License for a complete Nuclear Power Plant (all components and parts) or major nuclear equipment such as RCP, RV and CRDMs XCOM or Component License for minor nuclear equipment and parts of major nuclear equipment XSNM or Special Nuclear Material License (Nuclear Fuel) 6

7 U.S. Export Controls Any and all exports should be reviewed to determine export license requirements Ramifications for non-compliance delayed shipments or missed deadlines monetary fines imprisonment for major violations company s loss of export privilege! 7

8 Declaration Every export and re-export requires at least one export license of some type for material, equipment and technology Validated licenses from the NRC and DOC. An 810 Authorization from the DOE General License for certain countries: NRC for nuclear components DOC NLR (No License Required) for all items DOE generally authorized countries for technology 8

9 Determining Export License Requirements Who has Jurisdiction? What is being exported a product, technology, software, service or combination of the above? Country of ultimate destination? What is the end-use/ who is the end-user? Is a license required or is there a license exception? 9

10 U.S. Export Controls The South Africa U.S. Agreement for Cooperation concerning Peaceful Uses of Nuclear Energy signed at Pretoria on August 25, 1995, is the basis for all nuclear cooperation between us Under DOE regulations, South Africa is a Generally Authorized Country. Westinghouse is thus able to transfer our nuclear technology to South African companies at any time We possess an NRC Nuclear Fuel License (XSNM 3097) for fuel delivery to Koeberg 1 & 2 10

11 Licensing Authority Split NRC SNM, Byproduct Deuterium, Nuclear Grade Graphite, nuclear components and major nuclear equipment such as a NPP, PV, RCP, CRDMs DOE Any activity that directly or indirectly engages in the production of SNM outside of U.S. (technology related to NRC commodities and dual licensing of some DOC commodities) 11

12 Licensing Authority Split (continued) DOC All nuclear related commodities not controlled by the NRC, nuclear technology not related to NRC commodities, and all non-nuclear related commodities and technology not on the munitions list. Tooling, simulators, etc.. DOS Commodities and technology on the munitions list. DOS oversees and approves nuclear export licenses of NRC, DOE and DOC 12

13 U.S. Export License Process Obtain name and address from foreign customer or supplier and submit an export application to DOC, DOE or NRC for the desired export U.S. Government Request for Government Assurances is sent to the country of end use per the Peaceful Use Agreement with that country Referred to the interagency Subgroup on Nuclear Export Coordination (SNEC) if an agency such as the DOC or DOE believe the application should be either denied or reviewed by other agencies SNEC provides Agency with advice and recommendations 13

14 U.S. Export License Process (continued) Unresolved agency differences may be referred to higher levels, such as the Operating Committee, Secretary level or thereafter to the President Notwithstanding interagency differences, the agency has the authority to issue or deny after giving five working days notice to all other concerned agencies Process time from agency receipt 180 days or more if required. Usually resolved in a few months 14

15 Appendix A Nuclear Reactor Equipment Under NRC Export Licensing Authority Note- A nuclear reactor basically includes the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain or come in direct contact with or control the primary coolant of the reactor core. Require a Plant (XR) License (A1 A4) (1) Reactor pressure vessels, i.e., metal vessels, as complete units or major shop-fabricated parts, specifically designed or prepared to contain the core of a nuclear reactor and capable of withstanding the operating pressure of the primary coolant. 15

16 Appendix A Nuclear Reactor Equipment Under NRC Export Licensing Authority (2) On-line (e.g. CANDU) reactor fuel charging and discharging machines, i.e., manipulative equipment specifically designed for inserting or removing fuel in an operating nuclear reactor. (3) Complete reactor control rod system, i.e., rods specifically designed or prepared for the control of the reaction rate in a nuclear reactor, including the neutron absorbing part and the support or suspension structures therefore; (4) Reactor primary coolant pumps, i.e., pumps specifically designed or prepared for circulating the primary coolant in a nuclear reactor. 16

17 Appendix A Nuclear Reactor Equipment Under NRC Export Licensing Authority Components require a XCOM License (A5 A9) (5) Reactor pressure tubes, i.e., tubes specifically designed or prepared to contain fuel elements and the primary coolant in a nuclear reactor at an operating pressure in excess of 80 atmospheres. (6) Zirconium tubes, i.e., zirconium metal and alloys in the form of tubes or assemblies of tubes specifically designed or prepared for use in a nuclear reactor. (7) Reactor internals, e.g., core support structures, control and rod guide tubes, thermal shields, baffles, core grid plates and diffuser plates specifically designed or prepared for use in a nuclear reactor. 17

18 Appendix A Nuclear Reactor Equipment Under NRC Export Licensing Authority (8) Reactor control rod drive mechanisms, including detection and measuring equipment to determine flux levels. (9) Any other components specifically designed or prepared for use in a nuclear reactor or in any of the components described in this appendix. 18

19 Part List of Countries Requiring Specific DOE Authorization Afghanistan Albania Algeria Andorra* Angola* Armenia Azerbaijan* Bahamas* Bahrain* Belarus Benin* Botswana* Burkina Faso* Burma Myanmar Burundi* Cambodia* Cameroon* Cape Verde* Central Africa Rep* Chad* China, People s Rep Columbia* Comoros* Congo* Cuba* Djibouti* Equatorial Guinea* Eritrea* Georgia* Guinea-Bissau* Gabon* Haiti* India* Iran Iraq Israel* Kazakhstan Kenya* Korea, People s Dem Kuwait* Kyrgyzstan* Laos* Liberia* Libya Macedonia* Mali* Marshall Islands* Mauritania* Micronesia* Moldova* Mongolia Mozambique* Niger* Oman* Pakistan* Palau* Panama* Qatar* Russia Rwanda* Sao Tome & Principe* Saudi Arabia* Seychelles* Sierra Leone* Somalia Sudan Syria Tajikistan* Tanzania* Togo Turkmenistan* Uganda Ukraine United Arab Emirates* Uzbekistan Vanuatu* Vietnam Yemen* 19

20 What is Technical Data? Technical Data means information of any kind that can be used, or adapted for use, in the design, production, manufacture, utilization, or reconstruction of articles or materials. The data may take a tangible form, such as a model, prototype, blueprint, or an operating manual; or they may take an intangible form such as technical service. All software is technical data. 20

21 Export or Release of Technical Data Export of Technical Data means: An actual shipment or transmission of technical data out of the United States; across the border Any release of technical data in the United States which the knowledge or intent that the data will be shipped or transmitted from the United States to a foreign country; Any release of technical data of U.S. origin in a foreign country. 21

22 Export or Release of Technical Data (continued) Technical data may be released for export through: visual inspection by foreign nationals of U.S. origin equipment and facilities; oral exchanges of information in the United States or abroad; the application of situations abroad of personal knowledge or technical experience acquired in the United States; and other... 22

23 What Does the Reexport of Technical Data Mean? Reexport of Technical Data means an actual shipment or transmission from one foreign country to another, or any release of technical data of U.S. origin in a foreign country wit the knowledge or intent that the data will be shipped or transmitted to another foreign country. Technical data may be released for reexport through: 1. Visual inspection of U.S. origin equipment and facilities abroad; 2. Oral exchanges of information abroad; and 3. The application to situations abroad of personal knowledge or technical experience acquired in the United States. 23

24 End-Use/End-User Who your customer is and what the intended enduse is can affect license requirements 24

25 Review Process Denied parties list, specially designated nationals list, and debarred parties list Proliferation screens - Chemical & biological weapons - Missile technology - Sensitive nuclear end-uses, test reactors 25

26 Table of Denial Orders (TDO)...listing of those companies and individuals who are prohibited from participating in the purchasing, acquiring, ordering or receiving of U.S. products and technologies. 26

27 Denied Parties Review All export transactions screened against: - Table of Denial Orders Dept. of Commerce - Specially Designed Nationals List Treasure Dept. - Debarred Parties List Dept of State - Includes lists of known terrorists, criminals, etc. 27