美国密码产品出口管制指南.docx
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美国密码产品出口管制指南.docx
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美国密码产品出口管制指南
http:
//epic.org/crypto/export_controls/regs_1_00.html
RevisedU.S.EncryptionExportControlRegulations
January2000
(PDFVersionAvailable)
January10,2000
BillingCode:
351033-P
DEPARTMENTOFCOMMERCE
BureauofExportAdministration
15CFRParts734,740,742,770,772,and774
[DocketNo.]
RIN:
0694-AC11
RevisionstoEncryptionItems
AGENCY:
BureauofExportAdministration,Commerce
ACTION:
Interimfinal;requestforcomments.
SUMMARY:
ThisruleamendstheExportAdministrationRegulations(EAR)toallowtheexportandreexportofanyencryptioncommodityorsoftwaretoindividuals,commercialfirms,andothernon-governmentend-usersinalldestinations.Italsoallowsexportsandreexportsofretailencryptioncommoditiesandsoftwaretoallend-usersinalldestinations.Post-exportreportingrequirementsarestreamlined,andchangesaremadetoreflectamendmentstotheWassenaarArrangement.ThisruleimplementstheencryptionpolicyannouncedbytheWhiteHouseonSeptember16andwillsimplifyU.S.encryptionexportrules.Restrictionsonterroristsupportingstates(Cuba,Iran,Iraq,Libya,NorthKorea,SudanorSyria),theirnationalsandothersanctionedentitiesarenotchangedbythisrule.
DATES:
Thisruleiseffective(DATEOFPUBLICATION).Commentsmustbereceivedonorbefore[INSERT120DAYSFROMDATEOFPUBLICATION].
ADDRESSES:
WrittencommentsonthisruleshouldbesenttoFrankJ.Ruggiero,RegulatoryPolicyDivision,BureauofExportAdministration,DepartmentofCommerce,P.O.Box273,Washington,DC20044.Expressmailaddress:
FrankJ.Ruggiero,RegulatoryPolicyDivision,BureauofExportAdministration,DepartmentofCommerce,14thStreetandPennsylvaniaAve,N.W.,Room2705,Washington,DC20230.
FORFURTHERINFORMATIONCONTACT:
JamesA.Lewis,Director,OfficeofStrategicTrade,at(202)482-0092.
SUPPLEMENTARYINFORMATION:
BACKGROUND:
OnSeptember16,1999,theU.S.announcedanewapproachtoitsencryptionexportcontrolpolicy.Thisapproachrestsonthreeprinciples:
atechnicalreviewofencryptionproductsinadvanceofsale,astreamlinedpost-exportreportingsystemandaprocessthatpermitsthegovernmenttoreviewexportsofstrongencryptiontoforeigngovernments.Thefullrangeofnationalinterestscontinuetobeservedbythisnewpolicy:
supportinglawenforcementandnationalsecurity,protectingprivacyandpromotingelectroniccommerce.EncryptionexportcontrolswillbesimplifiedandU.S.companieswillhavenewopportunitiestoselltheirproductsintheglobalmarketplace.
ThisregulationalsoimplementschangesforencryptionitemsmadebytheWassenaarArrangement,including:
conversionofCategory5-Part2(InformationSecurity)oftheCommerceControlList(CCL)toapositivelist;creationofaCryptographyNoteandremovalofencryptionsoftwarefromtheGeneralSoftwareNote;decontrolof64-bitmassmarketsoftwareandcommodities,includingcomponents;anddecontrolofcertain512-bitkeymanagementproducts.
TheEARisamendedasfollows:
1.In§734.2,ImportantEARTermsandPrinciples,unrestrictedencryptionsourcecodeunder§740.13(e),commercialencryptionsourcecodeunder§740.17(a)(5)(i)andretailproductsunder§740.17(a)(3)areexemptedfromInternetdownloadscreeningrequirementsin§734.2(b)(9)(iii).Arevisedscreeningmechanismforotherencryptionproductsexportedtogovernmentend-usersisadded.Pleasenotethat§734.2(b)(9)containstherelevantdefinitionsfortheexportofencryptionsourcecodeandobjectcodesoftware.Inaddition,cross-referencingchangesaremadeto§§734.7,734.8,and734.9.
2.In§740.13,TechnologyandSoftwareUnrestricted,changesaremadetoreflectamendmentstotheWassenaarArrangement.Specifically,encryptionsoftwareisnolongereligibleformassmarkettreatmentundertheGeneralSoftwareNote.EncryptioncommoditiesandsoftwarearenoweligibleformassmarkettreatmentunderthenewCryptographyNoteinCategory5-Part2oftheCCL.ThisNotemultilaterallydecontrolsmassmarketencryptioncommoditiesandsoftwareuptoandincluding64-bits.Suchproducts,afterreviewandclassificationbyBXA,areclassifiedunderExportCommodityControlNumbers(ECCNs)5A992or5D992,therebyreleasingthemfrom"EI"(EncryptionItems)and"NS"(NationalSecurity)controls,andmakingthemeligibleforexportandreexporttoalldestinations(see§742.15(b)
(1)(iii)oftheEAR).Oncemassmarketencryptionsoftwareandcommoditiesarereleasedfrom"EI"controlstheymaybeeligiblefordeminimisandpubliclyavailabletreatment(seepart734oftheEAR).
3.Alsoin§740.13,to,inpart,takeintoaccountthe"opensource"approachtosoftwaredevelopment,unrestrictedencryptionsourcecodenotsubjecttoanexpressagreementforthepaymentofalicensingfeeorroyaltyforcommercialproductionorsaleofanyproductdevelopedusingthesourcecodecan,withoutreview,bereleasedfrom"EI"controlsandexportedandreexportedunderLicenseExceptionTSU.Intellectualpropertyprotection(e.g.,copyright,patent,ortrademark)wouldnot,byitself,beconstruedasanexpressagreementforthepaymentofalicensingfeeorroyaltyforcommercialproductionorsaleofanyproductdevelopedusingthesourcecode.Toqualify,exportersmustnotifyBXAoftheInternetlocation(e.g.,URLorInternetaddress)orprovideacopyofthesourcecodebythetimeofexport.Thesenotificationsareonlyrequiredfortheinitialexport;therearenonotificationrequirementsforend-userssubsequentlyusingthesourcecode.Notificationcanbemadebye-mailtocrypt@bxa.doc.gov.
Reviewandclassificationarenotrequiredforforeignmadeproductsusingthissourcecode.Moreover,under§744.9,exportersofunrestrictedencryptionsourcecodearenotrestrainedfromprovidingtechnicalassistancetoforeignpersonsworkingwithsuchsourcecode.Inaddition,exportersofsourcecodearenotsubjecttoInternetdownloadscreeningrequirementsunder§734.2(b)(9)(iii).PostingofthesourcecodeontheInternet(e.g.,FTPorWorldWideWebsite),whereitmaybedownloadedbyanyone,wouldnotestablish"knowledge"(asthattermisdefinedintheEAR)ofaprohibitedexportorreexport.Suchpostingwouldnottrigger"redflags"necessitatingtheaffirmativedutytoinquireunderthe"KnowYourCustomer"guidanceprovidedinSupplementNo.3toPart732.Otherwise,compliancewithEARrequirementsastoprohibitedexportsandreexportsstillapply.
4.In§740.17,EncryptionCommoditiesandSoftware,languageisaddedtoimplementtheAdministration'snewpolicy.LicenseExceptionENC(EncryptionCommoditiesandSoftware)isrevisedasfollows:
a.EncryptionitemsunderECCNs5A002,5D002or5E002canbeexportedandreexportedtoforeignsubsidiariesofU.S.companies,includingthetransferofencryptiontechnologytotheirforeignemployeesintheU.S.,withouttechnicalreviewandclassification.AnyitemsdevelopedbytheU.S.companyforsaleorretransferoutsidetheU.S.companyaresubjecttoreviewandclassificationbyBXA.ForeigncompanieswithsubsidiariesintheU.S.canapplyforEncryptionLicensingArrangements(ELAs)toobtaintreatmentequivalenttothatextendedtoforeignsubsidiariesofU.S.parentcompanies.
b.Anewparagraph,entitled"Encryptioncommoditiesandsoftware,"iscreatedtoimplementthebroadauthorizationforencryptionexportscontainedintheSeptember16announcement.Underthisparagraph,anyencryptioncommodity,softwareorcomponentsofanykeylengthclassifiedunderECCNs5A002and5D002canbeexportedandreexportedtoindividuals,commercialfirmsandothernon-governmentend-users.Previoussector-specificliberalizationsforbanksandfinancialinstitutions,healthandmedicalend-usersandon-linemerchantsaresubsumedintothisnewparagraph.Previousrestrictionslimitingexportstoforeigncommercialfirmsforinternalcompanyproprietaryuseareremoved.Inaddition,foreignproductsdevelopedfromencryptioncomponents,whilesubjecttotheEAR,donotrequirereviewandclassificationpriortoreexport.Exportsandreexportstogovernmentend-usersrequirealicense.
c.Anewparagraphentitled"Retailencryptioncommoditiesandsoftware"iscreated.RetailencryptioncommoditiesandsoftwareunderECCNs5A002and5D002arethosewhicharewidelyavailableandcanbeexportedandreexportedtoanyend-user(includinganyInternetandtelecommunicationsserviceprovider),toprovideproductsandservices(e.g.,ecommerce,client-serverapplications,orsoftwaresubscriptions)toanyend-user.Thecriteriatodetermineeligibilityasaretailproductincludefunctionality,salesvolume,distributionmethods,abilitytomodifyproductsandrequirementsforsubstantialsupportbythesupplier.Substantialsupportforretailencryptioncommoditiesandsoftwarewouldmeanaservicecontractorothersignificantvendorsupportbeyondwhatisminimallynecessaryfortheproduct'soperation.Helpdeskcallsarenotconsideredsubstantialsupport.Referto§740.17(a)(3)oftheEARforadetaileddefinitionofretailencryptioncommoditiesandsoftware(whichmayincludecomponentsaswellasencryptionsourcecode)andanillustrative,yetnon-restrictive,listofsuchproducts.Financespecific,56-bitnon-massmarketproductswithakeyexchangegreaterthan512bitsandupto1024bits,network-basedapplicationsandotherproductswhicharefunctionallyequivalenttoretailproductsareconsideredretailproducts.
EncryptionsoftwarepatchesforretailproductsremaineligibleunderLicenseExceptionTSUandcertainupgradesforretailproducts,wherethecryptographicfunctionalityhasnotchanged,areauthorizedunderLicenseExceptionENC.Also,foreignproductsdevelopedfromretai
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