美國ECCN制度

1、美國eccn制度gage板卡：4a003美國對高科技產(chǎn)品和技術(shù)（尤其是集成電路）的出口管制，是通過美國商務(wù)部工業(yè)與安全局設(shè)計(jì)的eccn制度來推行的。這一制度是美國政府總結(jié)上世紀(jì)二次大戰(zhàn)及冷戰(zhàn)時(shí)期的經(jīng)驗(yàn)，面向本世紀(jì)保持美國戰(zhàn)略優(yōu)勢而制定的基本國策。過去，美國對高科技產(chǎn)品和技術(shù)的出口，是通過原廠直接管制的。2007年以來，美國政府出臺(tái)一系列出口管制政策，已經(jīng)將管制的責(zé)任從高科技產(chǎn)品和技術(shù)的原廠，延伸到代理商和進(jìn)出口貿(mào)易商，甚至海外的分銷商。eccn主要是根據(jù)產(chǎn)品和技術(shù)的類型和性能來確定出口控制的級(jí)別。對于不需要出口許可的（no license required）則放行，否則就要申請出口許可。美國政

2、府部門制定的出口限制措施，要求任何科技產(chǎn)品和技術(shù)的出口，必須通過以下流程：1、確定商品控制清單的eccn出口分類號(hào)碼，如果是ear99，則不受控制。美國政府規(guī)定，任何供應(yīng)商和原廠都有義務(wù)提供產(chǎn)品的eccn編碼。eccn編碼為五位數(shù)基碼（如：5d992）：第一位：數(shù)字，是商品控制類別序號(hào)，共計(jì)十類，如3電子/4計(jì)算機(jī)/5電信和信息安全/6激光和感應(yīng)器/7導(dǎo)航和航天；第二位：字母，標(biāo)記a為設(shè)備、組件、零件，b為檢測設(shè)備，c為材料，d為軟件，e為技術(shù)；第三位：數(shù)字，具體說明控制理由，0為國家安全（軍品兩用控制），1為導(dǎo)彈技術(shù)，2為核不擴(kuò)散，3為生化武器，9為反恐、犯罪控制、地區(qū)安全、短缺、聯(lián)合國制裁

3、等；第四位：數(shù)字，加強(qiáng)說明控制理由，往往為第三位的追加理由，比如3a001，表示電子類涉及國家安全的受控零件，而3a292表示電子類涉及核不擴(kuò)散和反恐的受控零件；第五位：數(shù)字，是同類產(chǎn)品的序號(hào)，以示區(qū)別。2、確定eccn編碼是否屬于出口控制產(chǎn)品。針對不同國家類別，eccn編碼有具體的出口控制規(guī)定。d1為國家安全、d2為核技術(shù)、d3為生化武器、d4為導(dǎo)彈技術(shù)，中國屬于d1/3/4類受控國家。產(chǎn)品和技術(shù)受控類型分為，生化武器cb1/2/3，核不擴(kuò)散np1、國家安全ns1/2、導(dǎo)彈技術(shù)mt1、地區(qū)穩(wěn)定rs1/2、犯罪控制cc1/3。不受限制的為cb3、np2、傳統(tǒng)火藥fc1、犯罪控制cc2、反恐類a

4、t1/2。如果eccn不屬于受控制的國家類別，則為nlr，不需要申請出口許可。3、如果確實(shí)屬于受控，則需要申請美國出口許可。需要申請美國出口許可的通過兩種方式，一是中國商務(wù)部的最終用戶許可證和美國政府的出口許可證；另外一種是最終用戶直接通過美國商務(wù)部的工業(yè)和安全局上網(wǎng)申請驗(yàn)證，獲得通過的直接允許出口一定產(chǎn)品2月21日zt：美國出口管制的流程簡介 eccn作者：馳創(chuàng)電子吳振洲 美國政府部門制定的出口限制措施，要求任何科技產(chǎn)品和技術(shù)的出口，必須通過以下流程： 1、 確定商品控制清單的eccn出口分類號(hào)碼，如果是ear99，則不受控制。美國政府規(guī)定，任何供應(yīng)商和原廠都有義務(wù)提供產(chǎn)品的eccn號(hào)碼，不

5、屬于控制的一律標(biāo)記為ear99，屬于控制的通過eccn號(hào)碼標(biāo)記。eccn號(hào)碼為五位數(shù)基碼： 第一位：數(shù)字，是商品控制類別序號(hào)，共計(jì)十類，對我們業(yè)務(wù)來說主要是3電子/4計(jì)算機(jī)/5電信和信息安全/6激光和感應(yīng)器/7導(dǎo)航和航天； 第二位：為字母，標(biāo)記a為設(shè)備、組件、零件，b為檢測設(shè)備，c為材料，d為軟件，e為技術(shù)； 第三位：數(shù)字，具體說明控制理由，0為國家安全（軍品兩用控制），1為導(dǎo)彈技術(shù)，2為核不擴(kuò)散，3為生化武器，9為反恐、犯罪控制、地區(qū)安全、短缺、聯(lián)合國制裁等； 第四位：數(shù)字，加強(qiáng)說明控制理由，往往為第三位的追加理由，比如3a001，表示電子類涉及國家安全的受控零件，而3a292表示電子類涉及

6、核不擴(kuò)散和反恐的受控零件； 最后一位：數(shù)字，是同類產(chǎn)品的序號(hào)，以示區(qū)別。 2、 確定eccn號(hào)碼是否需要屬于出口控制產(chǎn)品，如果是nlr（no license required），則不受控制。針對不同國家類別，eccn號(hào)碼有具體的出口控制規(guī)定。eccn的國家類別控制規(guī)定請查閱網(wǎng)址：/bis/ear/pdf/ccl3.pdf（3系列ccl3，4系列查ccl4，其它類推，希望xy/xe將相關(guān)文件的規(guī)定翻譯出來）。中國屬于d1/3/4類受控國家（d1為國家安全、d2為核子技術(shù)、d3為生化武器、d4為導(dǎo)彈技術(shù)），產(chǎn)品和技術(shù)受控類型為生化武器cb1/2/3，

7、核不擴(kuò)散np1、國家安全ns1/2、導(dǎo)彈技術(shù)mt1、地區(qū)穩(wěn)定rs1/2、犯罪控制cc1/3，不受限制的為cb3、np2、傳統(tǒng)火藥fc1、犯罪控制cc2、反恐類at1/2。如果eccn不屬于受控制的國家類別，則為nlr，不需要申請出口許可。 3、 確定是否需要申請出口許可，如果是license exception類別，則不需要。每一個(gè)eccn號(hào)碼會(huì)解釋是否需要出口許可申請，針對我們業(yè)務(wù)的要求主要有以下條目： lvs：shipment of limited value貨運(yùn)金額限制，一般以單項(xiàng)金額5000美元為限制 gbs：shipment to country group b countries，

8、允許向b類國家和地區(qū)出口，香港為b（具體需要lb確認(rèn)，因?yàn)槲覀兘?jīng)過香港轉(zhuǎn)口，不知是否可以利用這個(gè)） civ：civil end-users，民用，需要客戶填寫產(chǎn)品民用申明表 tsr：technology and software under restriction，限制級(jí)的技術(shù)和軟件 app：computers，電腦 kmi：key management infrastructure，關(guān)鍵管理設(shè)施 tmp： temporary imports, exports, reexports，臨時(shí)進(jìn)口、出口、再出口 rpl：governments, international organizations

9、, international inspections under the chemical weapons conventions，政府、國際組織、化武條約國際監(jiān)察員 tsu：technology and software unrestricted，非受限的技術(shù)和軟件 avs：aircraft and vessels，飛機(jī)和輪船 apr：additional permissive reexports，額外允許的再出口 enc：encryption commodities and software，加密的商品和軟件 比如，針對電子類國家安全受控eccn號(hào)碼3a001，屬于ns2、mt1、np1

10、、at1，是針對中國限制的產(chǎn)品，但是下列eccn型號(hào)允許不要申請出口許可（只要在出口文件表明license exception）： lvs：貨運(yùn)金額限制，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用于導(dǎo)彈技術(shù)外)，3a001.b.4/5/6/7，5000美元。 gbs：出口許可國家（如香港），3a001.a.1.b, a.2-12 （除.a.5.a用于導(dǎo)彈技術(shù)外)，.b.2, .b.8（除用于超過18ghz的twtas外） civ：允許民用，3a001.a.3, a.4, a.7, 和a.1

11、1。 4、 如果確實(shí)屬于受控，則需要申請美國出口許可。需要申請美國出口許可的通過兩種方式，一是中國商務(wù)部的最終用戶許可證和美國政府的出口許可證，此類申請dj成功做過，需要2-3個(gè)月時(shí)間，只要證明是民用，就好辦；另外一種是最終用戶直接通過美國商務(wù)部的工業(yè)和安全局上網(wǎng)申請驗(yàn)證，獲得通過的直接允許出口一定產(chǎn)品。請注意黑名單?。裕约荷暇W(wǎng)站查就知道了，不少國內(nèi)的公司，特別是研究所之類） 美國政府要求，任何出口的高科技產(chǎn)品和技術(shù)，必須符合ear（export administration regulations）出口管理制度的規(guī)定，該規(guī)定由美國商務(wù)部下屬的工業(yè)和安全局制定，詳細(xì)內(nèi)容和文件大家可以訪問以

12、下兩個(gè)網(wǎng)站： 1、美國商務(wù)部工業(yè)和安全局網(wǎng)站：/； 2、美國出口管理詳細(xì)規(guī)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

13、 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 (

14、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 stat

15、es. 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 exp

16、orted 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 i

17、s 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

18、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 i

19、s 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 licens

20、e 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

21、 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 pu

22、rposes, 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

23、 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 nee

24、ded. (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: c

25、lassification 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

26、 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 su

27、bmit 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. excepti

28、ons 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,

29、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.

30、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 th

31、e 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 equi

32、pment 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 categ

33、ory, 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 t

34、est, 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, yo

35、u 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 “l(fā)icense requirements,” “l(fā)icense exceptions,” and “l(fā)ist of items controlled” sections.after you have determined where your product fits within the ccl, use the information in the “l(fā)icense requirements” se