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United States Export Controls (7th Edition)

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John R. Liebman , Roszel C. Thomsen II , James E. Bartlett III, John C. Pisa-Relli


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United States Export Controls (7th Edition)

By John R. Liebman, Roszel C. Thomsen II, James E. Bartlett III and John C. Pisa-Relli

Enforcement of export laws and regulations is not just a theoretical
concern. Penalties can include heavy fines, debarment from
contracting with the United States government, imprisonment, and
withdrawal of the privilege of exporting.

United States Export Controls (7th Edition) provides the guidance
exporters and those who work with them need to meet the legal
requirements and the day-to-day operational demands of export control
regulations.

Coverage includes:
• Jurisdiction
• Types of export controls
• Export Administration Regulations (EAR)
• International Traffic in Arms Regulations (ITAR)
• Enforcement and sanctions
• Encryption
• Foreign Corrupt Practices Act and Export Controls
• Antiboycott provisions of the EAR
• Chemical Weapons Convention

Whether your concern is an export licensing problem related to specific
transactions or a marketing strategy to minimize the impact of controls
more broadly, this is an essential reference.

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  • Availability: Available
  • Brand: Law Journal Press
  • Product Type: Books
  • Edition: 7
  • Page Count: 818
  • ISBN: 978-1-58852-341-9
  • Pub#/SKU#: 726
  • Volume(s): 1

Author Image
  • John R. Liebman

John R. Liebman
— Mr. Liebman retired as Senior Counsel at McKenna, Long & Aldridge LLP at the end of 2012 and now is an independent non-lawyer consultant and expert witness. For more than fifty years, Mr. Liebman’s law practice emphasized international trade regulation, trade finance, technology transfer, and multinational business transactions. In the area of export regulation, Mr. Liebman has advised aerospace and defense contractors, subcontractors, and academic and research institutions. Prior to his private law career, Mr. Liebman served in Washington, D.C. with the Agency for International Development, Department of State, first as counsel and later as program director. He is a recipient of the National Order of the Southern Cross from the Brazilian Government and was listed in Best Lawyers in America and Southern California Super Lawyers for his work in International Trade and Finance Law for the past several years.

As a recognized expert in U.S. export controls, Mr. Liebman served as a member of the President’s Export Council Subcommittee on Encryption (“PECSENC”) by appointment of the Secretary of Commerce from 1998-2001, and served as a member of both the President’s Export Council Subcommittee on Export Administration (“PECSEA”) and the Defense Trade Advisory Group (“DTAG”), U.S. Department of State. He was also an advisor to the Pardee Center at RAND Corporation, and has been a lecturer at the UCLA School of Law and an adjunct professor of law at Loyola Law School. Prior to entering law school, he served as an officer in the United States Marine Corps. He now resides in Santa Fe, New Mexico.



Author Image
  • Roszel C. Thomsen II

Roszel C. Thomsen II
— Mr. Thomsen is a Partner in the Washington, DC and Baltimore, MD offices of Thomsen and Burke LLP. He concentrates on international trade and investment law, with emphasis on representing information technology and life sciences companies and their trade associations in regulatory, legislative and enforcement matters. Mr. Thomsen is listed in The Best Lawyers in America and is a member of the Steering Committee on the Federal Bureau of Investigation’s Information Technology Study Group, a member of the Commerce Department, Bureau of Industry and Security’s Information Systems Technical Advisory Committee, and has participated twice as an Industry Representative on the United States Delegation to the Wassenaar Arrangement in Vienna, Austria.


Author Image
James E. Bartlett III
— Mr. Bartlett practices law in Washington, DC, at the Law Office of James E. Bartlett III, PLLC, 202-802-0646, JEBartlett@JEBartlett.com, and is a partner and Director of U.S. Operations of Full Circle Compliance BV, of Amsterdam and Washington, DC. He is the author of Bartlett’s Annotated ITAR (International Traffic in Arms Regulations), Bartlett’s Annotated FTR/AES (Foreign Trade Regulations), Bartlett’s Annotated NISPOM (National Industrial Security Program Operating Manual), editor of the Society of International Affairs “Pocket ITAR” (updated quarterly), editor of The Export/Import Daily Update newsletter (“The Daily Bugle”), General Counsel of the International Compliance Professionals Association, and Adjunct Professor, University of Liverpool. Mr. Bartlett was previously Assistant General Counsel, Defense Intelligence Agency; Director of Global Trade Controls for Harris Corporation; and Senior Counsel, Export-Import Law, for Northrop-Grumman Corporation. Mr. Bartlett is also a licensed U.S. Customs Broker. Mr. Bartlett was awarded an LL.M. in Government Procurement at The George Washington University Law School.


Author Image
  • John C. Pisa-Relli

John C. Pisa-Relli
— Mr. Pisa-Relli is the managing director of global trade compliance at Accenture, one of the world’s leading technology, consulting and outsourcing firms. In this capacity, he leads the company’s internal trade compliance program and an international legal team of trade compliance professionals. Previously, Mr. Pisa-Relli led the U.S. trade compliance program at Thales, a Fortune Global 500 aerospace and defense firm headquartered in Europe. He also handled international trade and investment matters in private practice at Fried, Frank, Harris, Shriver & Jacobson and at Foley & Lardner. Mr. Pisa-Relli spent the first decade of his legal career in public service as a case officer in the U.S. Commerce Department’s Bureau of Export Administration, the U.S. State Department’s Office of Defense Trade Controls, and the U.S. Treasury Department’s Office of Foreign Assets Control. Mr. Pisa-Relli is a prolific speaker and writer on corporate ethics and compliance, with a focus on export controls and economic sanctions.  He serves on advisory boards for the American Conference Institute and Thomson Reuters, and is a past Vice Chair and current Steering Committee member of the Export Control and Economic Sanctions Committee in the Section of International Law of the American Bar Association.         

CHAPTER 1
Overview of Agency Jurisdiction
§ 1.01    In General
§ 1.02    Export Controls on Persons and Entities
[1]    Department of Commerce
[a]    Denied Persons List
[b]    Unverified List
[c]    Entity List
[2]    Department of State
[a]    Nonproliferation
[b]    Arms Export Control Act (AECA) Debarred List
[3]    Department of the Treasury
§ 1.03    Export Controls on Items and Activities
[1]    Department of Commerce
[2]    Department of State
[3]    Department of the Treasury
[4]    Nuclear Regulatory Commission
[5]    Department of Energy
[6]    Department of the Interior
[7]    Food and Drug Administration
[8]    Patent and Trademark Office
[9]    Environmental Protection Agency
[10]    Department of Justice
[a]    Bureau of Alcohol, Tobacco, Firearms, and Explosives
[b]    Drug Enforcement Agency
[11]    Department of Agriculture
[12]    Department of Transportation
[a]    Federal Aviation Administration
[b]    Maritime Administration
[13]    Consumer Products Safety Commission
§ 1.04    Export Clearance
[1]    Census Bureau
[2]    Customs and Border Protection
[3]    Postal Service
§ 1.05    The National Export Initiative
[1]    Single Controls List
[a]    Single Controls List for Persons
[b]    Single Controls List for Items and Activities
[2]    Tiered CCL and USML Lists
[3]    Recent Activity
[a]    Military Tanks
[b]    Aircraft
[c]    Gas Turbine Engines
[d]    Surface Vessels and Naval Equipment
[e]    Submersible Vessels
[f]    Auxiliary Military Equipment
[g]    Commercial Satellites
[h]    Protective Personnel Equipment and Shelters
[i]    Military Explosive Devices
[j]    Spacecraft Systems
[k]    Decision Tools
[4]    Multi-Agency Enforcement Centers
CHAPTER 2
Treasury Office of Foreign Asset Control
§ 2.01    Overview
§ 2.02    Common Elements of Sanctions
[1]    Scope of Enforceability
[2]    Specially Designated Nationals List
[3]    Export
[4]    Import
[5]    Services
[6]    Investment
[7]    TSRA
[8]    Penalties
[9]    Licenses
[10]    Other Authorized Transactions
[a]    Telecommunications and Personal Communications
[b]    Gifts and Donations
[c]    Information and Information Materials (The Berman Amendment)
[d]    Transactions Incident to Travel
[11]    Blocking v. Rejecting
[12]    Administrative Matters
[a]    Recordkeeping
[b]    Reporting
[c]    Penalties
[13]    Facilitation
§ 2.03    Comprehensive Sanctions Program
[1]    Cuba
[a]    Scope of Enforcement
[b]    Export Restrictions
[c]    Import Restrictions
[d]    Financial Transactions
[e]    Travel Restrictions
[f]    Remittances
[g]    Specific Licenses
[2]    Iran
[a]    Energy Related Transactions
[b]    Financial Transactions
[c]    Import Restrictions
[d]    Export Restrictions
[e]    General Licenses
[f]    Iran Freedom and Counter-Proliferation Act of 2012
[3]    Sudan
[a]    Blocking
[b]    Export Restrictions
[c]    Import Restrictions
[d]    Transactions
[e]    South Sudan
[f]    General Licenses
§ 2.04    Limited Sanctions Programs
[1]    Balkans
[a]    Blocking
[b]    Licenses
[2]    Belarus
[a]    Blocking
[b]    Licenses
[3]    Burma (Myanmar)
[a]    Blocking
[b]    New Investment
[c]    Export Restrictions on Financial Services
[d]    Import Restrictions
[4]    Côte d’Ivoire
[a]    Blocking
[5]    Counter Narcotics Trafficking
[a]    Narcotics Trafficking Sanctions Regulations
[b]    Foreign Narcotics Kingpin Sanctions Regulations
[c]    Blocking
[d]    Transactions
[e]    Penalties
[f]    Legal Challenges
[6]    Counter Terrorism
[a]    Specially Designed Terrorists
[b]    Foreign Terrorist Organizations
[c]    Specially Designated Global Terrorists
[d]    State Sponsors of Terrorism
[7]    Democratic Republic of the Congo
[a]    Blocking
[b]    Transactions
[8]    Diamond Trading
[a]    Import/Export
[9]    Iraq
[a]    Blocking
[b]    Transactions
[10]    Lebanon
[a]    Blocking
[11]    Former Liberian Regime of Charles Taylor
[a]    Blocking
[b]    Import Restrictions
[12]    Libya
[a]    Blocking
[b]    Licenses
[13]    Non-Proliferation
[a]    Weapons of Mass Destruction Trade Control Regulations
[b]    Highly Enriched Uranium Assets Control Regulations
[c]    Weapons of Mass Destruction Proliferators Sanctions Regulations
[d]    Scope of Enforcement
[14]    North Korea
[a]    Blocking
[b]    Import Restrictions
[c]    Reserved
[d]    Restrictions Related to Vessels
[e]    Reserved
[f]    Reserved
[g]    Reserved
[15]    Russian Federation
[16]    Somalia
[a]    Blocking
[b]    Humanitarian Assistance
[17]    Syria
[a]    Blocking
[b]    Investment
[c]    Services
[d]    Petroleum-Related Transactions
[e]    Telecommunications and Agricultural
[f]    Travel
[g]    General Licenses
[18]    Taliban (Afghanistan)
[19]    Transnational Criminal Organizations
[a]    Blocking
[20]    Yemen
[a]    Blocking
[21]    Weapons of Mass Destruction
[a]    Blocking
[b]    Import Restrictions
[22]    Federal Republic of Yugoslavia and Republic of Bosnia and Herzegovina
[23]    Zimbabwe
[a]    Blocking
[b]    General Licenses
§ 2.05    FOIA Requests
§ 2.06    Conflicting Foreign Laws
§ 2.07    Screening for Specially Designated Nationals
§ 2.08    Internet Communication
[1]    The Global Online Freedom Act
[2]    Grave Human Rights Abuses by the Governments of Iran and Syria via Information Technology
§ 2.09    Deemed Exports
CHAPTER 3
Export Administration Regulations, Commerce Department, Bureau of Industry, and Security
§ 3.01    Basic Concepts
[1]    Scope of Discussion
[2]    The Bureau of Industry and Security
[3]    The Export Administration Regulations (EAR)
[4]    What is An “Export”?
[5]    “Subject to the EAR”
[6]    “Public Domain”
[7]    “De Minimis”
[8]    The Ten General Prohibitions
[9]    The Country Chart
[10]    Responsible Parties
[11]    Classification
[12]    Marketing
[13]    Reducing Administrative Costs
[14]    Advisory Opinions
[15]    Order
§ 3.02    Export Licenses And License Applications
[1]    How to Apply
[2]    Supplementary Documents
[3]    License Processing
[a]    Deadlines
[b]    Determining Case Status
[c]    Emergency Processing
[d]    Appeal of Denial
[e]    Validity
[f]    Changes Requiring New Application
[g]    Changes by Amendment
[h]    Changes Without Amendment
[i]    Duplicate License
§ 3.03    Export Clearance
[1]    Role of Export License
[2]    AES EEI
[3]    Bill of Lading
[4]    Commercial Invoice
[5]    Destination Control Statement
[6]    Shipping
[a]    Shipping Tolerances
[b]    Port of Export
[c]    Delayed Ship
[d]    Non-Arrival
§ 3.04    License Exceptions and Post-Shipment Responsibilities
[1]    Delivery Verification
[a]    Disposition of License
[b]    Revocation or Suspension of License
[2]    Audits
§ 3.05    Retention of Records
§ 3.06    Recent Developments
[1]    First Set of “Final Rules” Published
[a]    BIS
[i]    Transfers from the USML to the CCL
[ii]    Definition of “Specially Designed”
[b]    DDTC
[2]    Additional Regulatory Initiatives
CHAPTER 4
International Traffic In Arms Regulations
§ 4.01    Introduction
[1]    General Overview
[a]    Summary
[b]    History
[c]    Export Control Reform
[2]    Six Simple Steps to ITAR Compliance
[a]    Step 1: Register with DDTC, Learn the Rules, and Keep Up to Date on Changes
[b]    Step 2: Classify the Item or Information to be Exported So You Know Which Rules Apply
[c]    Step 3: Screen for Denied Names, Locations, and Uses
[d]    Step 4: Get a License or Approved Agreement, or Qualify to Use an Exemption
[e]    Step 5: Export: File AES/EEI, Do the Paperwork and Comply with Provisos
[f]    Step 6: Keep Records and Make Required Reports
[g]    Optional Step 7: File a Voluntary Disclosure
[3]    ITAR Structure and Definitions
[a]    Part 120—Purpose and Definitions
[b]    Part 121—United States Munitions List
[c]    Part 122—Registration of Manufacturers and Exporters
[d]    Part 123—Licenses for the Export and Temporary Import of Defense Articles
[e]    Part 124—Agreements, Off-Shore Procurement, and Other Defense Services
[f]    Part 125—Licenses for the Export of Technical Data and Classified Defense Articles
[g]    Part 126—General Policies and Provisions
[h]    Part 127—Violations and Penalties
[i]    Part 128—Administrative Procedures
[j]    Part 129—Registration and Licensing of Brokers
[k]    Part 130—Political Contributions, Fees, and Commissions
[4]    ITAR Index
[5]    DDTC Organization
[a]    Official Positions and Authority
[b]    The Defense Trade Advisory Group
[6]    Relation to Regulations of Other Agencies
§  4.02    What and Whom Does the ITAR Regulate?
[1]    What Does the ITAR Regulate and Not Regulate?
[a]    Information in the Public Domain
[b]    University Research
[c]    Marketing Information
[2]    Persons, Parties, and Destinations
[a]    Personal Jurisdiction
[b]    U.S. Persons
[c]    Foreign Persons
[i]    Foreign Person Defined
[ii]    U.S. Persons Representing Foreign Persons
[d]    Foreign National
[e]    Dual Nationals and Third-Country Nationals
[f]    Prohibited Persons and Destinations
[i]    Presumed Denial Countries
[ii]    Presumed Denial Countries Not Listed in ITAR
[3]    Transactions
[a]    Exports, Reexports, and Deemed Exports
[i]    Exports
[ii]    Reexports and Retransfers
[iii]    Deemed Exports
[b]    Temporary Imports
[c]    Defense Services
[d]    Brokering
[e]    Political Contributions, Fees, and Commissions
[4]    Defense Articles
[a]    General
[i]    U.S. Munitions List
[ii]    Missile Technology Control Regime
[b]    Significant Military Equipment
[c]    Major Defense Equipment
[d]    Technical Data and Software
[e]    Classified Information
[f]    Non-Defense USML Articles
§  4.03    Before You Export
[1]    Register with DDTC
[a]    Who Must Register?
[b]    The Registration Process
[c]    Notification of Changes in Information Furnished by Registrants
[2]    System for Recordkeeping
[3]    System for Classifying Products and Services
[4]    Commodity Jurisdiction Requests and Advisory Opinions
[5]    Staffing
[6]    Empowered Officials
[7]    Training
[8]    System for Screening Names of Denied Parties and Destinations
[9]    Export Contracts, Subcontracts, Purchase Orders, and Joint Ventures
[10]    Export/Import Boilerplate Clauses
[11]    Shipping
[a]    Marking
[b]    Shipments by U.S. Postal Service
[c]    Automated Export System
§  4.04    Obtaining Written Authorization for Exports and Temporary Imports
[1]    Export/Import Licenses, Certificates, and Applications
[a]    Electronic Application Methods
[i]    DTrade
[ii]    Electronic Form Submission
[iii]     Electronic Licensing Entry System
[iv]    MARY
[b]    Types of Licenses for Exports and Temporary Imports
[i]    DSP-5 and DSP-6: Permanent Unclassified Export License
[ii]    DSP-61 and DSP-62: Temporary Unclassified Import
[iii]    DSP-73 and DSP-74: Temporary Unclassified Export
[iv]    DSP-83: Non-transfer and Use Certificate
[v]    DSP-85: Permanent and Temporary Classified Export or Import
[vi]    DSP-94: Foreign Military Sales Exports
[vii]    DSP-119: Application for Amendment to License for Export or Temporary Import of Classified or Unclassified Defense Articles and Related Classified Technical Data
[2]    Agreements
[a]    Manufacturing License Agreement
[b]    Technical Assistance Agreement
[c]    Foreign Distribution or Warehouse Agreement
[d]    Offshore Procurement Agreement
[3]    Other ITAR Authorization—Exceptions and Waivers
§ 4.05    Exemptions
[1]    General
[a]    Limitations on Exemptions
[b]    Recordkeeping for Exemptions
[c]    Filing and Notice Requirements
[2]    Discussion of Selected ITAR Exemptions
[a]    ITAR § 123.4—Temporary Import License Exemptions
[b]    ITAR § 123.17(f)-(k)—Temporary Exports of Body Armor and Chemical Agent Protective Gear
[c]    § 125.4(b)—Exemptions for Technical Data
[i]    § 125.4(b)(2)—Data in Furtherance of
    an Agreement
[ii]    § 125.4(b)(4)—Data Previously Authorized for Export
[iii]    § 125.4(b)(5)—Basic Operations and Maintenance
[iv]    § 125.4(b)(9)—Technical Data Sent or Taken Outside the United States by a U.S. Employee for Use by U.S. Employee of that Corporation or a U.S. Government Agency
[d]    ITAR § 126.4(a) —Temporary Import or Export of Defense Articles and Technical Data, or Provision of Defense Services
[e]    ITAR § 126.5—Canadian Exemptions
[f]    ITAR § 126.6—Foreign-Owned Military Aircraft and Naval Vessels, and the Foreign Military Sales Program
§  4.06    ITAR Appendix
[1]    Arms Export Control Act (22 U.S.C. § 2778)
[2]    Executive Order No. 049, Part III; 78 FR 16129 (Mar. 13, 2013): Administration of Reformed Export Controls
[3]    ITAR Amendments Since 2007
[4]    Key Cases
[5]    Sample Clauses for Contracts and Subcontracts

CHAPTER 5
Enforcement of Export Controls
§ 5.01    Introduction and Scope of Discussion
[1]    Defense Trade Controls
[a]    Violations in General
[b]    Misrepresentation and Omission of Facts
[c]    Penalties for Violations
[d]    Debarment, Suspension, and Appeals
[e]    Past Violations
[2]    Dual-Use (Commercial) Export Controls
[a]    Legislative Authority
[b]    Effect of Non-Renewal of the EAA
[c]    Structure of EAR Enforcement Provisions
[d]    Violations vs. Prohibitions
[e]    Violations vs. Requirements
[f]    Penalties for Violations
[g]    Criminal Sanctions
[h]    Administrative Sanctions
[i]    Inadvertent Violations
[3]    International Emergency Economic Powers Act
[4]    Trading With the Enemy Act (TWEA)
[5]    Economic Sanctions Enforcement Guidelines
[6]    Census Controls
[a]    Violations
[b]    Penalties
§ 5.02    Extraterritorial Sanctions
[1]    COCOM-Related Sanctions
[a]    Exceptions
[b]    Effects on United States Persons
[c]    Effect of COCOM’s Demise
[2]    Missile-Related Extraterritorial Sanctions
[a]    Exceptions
[b]    Effects on United States Persons
[3]    Chemical and Biological Weapons-Related Sanctions
[a]    Exceptions
[b]     Effects on United States Persons
[4]    Nuclear Proliferation Prevention Act
[a]    Exceptions
[b]    Effects on United States Persons
§ 5.03    Issues and Concepts Common to Export Enforcement Activities
[1]    Vicarious Liability for Acts of Employees
[2]    Vicarious Liability for Acts of Companies
[3]    Being Put on Notice
[4]    Reporting Obligations
[5]    Role of Immigration and Customs Enforcement (ICE)
[6]    Violation Charged
[7]    Administrative Proceedings
[a]    Form of Charge
[b]    Publicizing Administrative Proceedings
[c]    Opportunity to Defend
[d]    Settlement
[e]    Discovery
[f]    Limitations on Defense
[g]    Appeal
§ 5.04    Denied Parties
[1]    Temporary Denial Orders
[2]    Standard Denial Orders
§ 5.05    Voluntary Disclosures
[1]    Voluntary Disclosures at DTC/C
[2]    Voluntary Disclosures at OEE
[a]    The “Piling-On” Problem
[3]    Voluntary Disclosures at the Census Bureau
[a]    Violations
[b]    Penalties
[c]    Procedures
[d]    Jurisdiction
§ 5.06    Appendix: EnforcementUnited State Exports Controls
CHAPTER 6
Encryption
§ 6.01    Introduction
§ 6.02    Classification
[1]    Information Security
[2]    Exclusion for Medical Items
[3]    Exclusion for Ancillary Encryption
[4]    Limited Use Cryptography
[5]    Mass Market Cryptography
[6]    Weak Cryptography
[7]    De Minimis
§ 6.03    License Exception: Encryption Commodities, Software, and Technology
[1]    Procedure
[a]    Registration
[b]    Review
[c]    Waiting Period
[d]    Annual Self-Classification Reporting
[e]    Semi-Annual Post-Export Reporting
[f]    Key Length Increase Reporting
[2]    Restricted Items
[3]    Unrestricted Items
[4]    Self Classifiable Items
[5]    Items for Internal Development and Transfers
[6]    Short-Range Wireless and Foreign Items
§ 6.04    Other License Exceptions
[1]    Additional Permissive Reexports
[2]    Baggage
[3]    Consumer Communications Devices
[4]    Gifts, Parcels, and Humanitarian Donations
[5]    Governments, International Organizations, International Inspections Under the Chemical Weapons Convention, and International Space Station
[6]    Shipments of Limited Value
[7]    Servicing and Replacement of Parts and Equipment
[8]    Temporary Imports, Exports, and Reexports
[9]    Technology and Software-Unrestricted
§ 6.05    Licensing
[1]    Individual
[2]    Encryption Licensing Arrangement
[3]    Deemed Export to Foreign Nationals
[4]    Outsourcing and Offshore Manufacturing
[a]    Exporting to a Foreign Entity
[b]    Exporting Foreign-Produced Items
§ 6.06    Special Subjects
[1]    Source Code
[a]    Publicly Available Encryption Source Code
[b]    Proprietary Encryption Source Code
[c]    Public and Proprietary Hybrid Source Code
[2]    Crypto-with-a-Hole
[3]    Java
§ 6.07    Terrorist-Supporting Countries
[1]    Cuba
[2]    Iran
[3]    North Korea
[4]    Sudan
[5]    Syria
§ 6.08    Wassenaar
[1]    Wassenaar 2010 Changes
[2]    Wassenaar 2011 Changes
[3]    Wassenaar 2012 Changes
[a]    Mass Market Treatment for Components
[b]    Reverse Engineering of Cryptographic Components
[c]    Information Security Equipment Evaluation Results
[d]    Wireless Personal Area Network Exclusion
§ 6.09    Conclusion
[1]    The Haystak Incident
[2]    Open Source
[3]    Obama Administration Reforms

CHAPTER 7
Hazardous Substances
§ 7.01    Environmental Protection Agency
[1]    Hazardous Waste
[2]    Toxic Substances
[3]    Pesticides
§ 7.02    Consumer Product Safety Commission
[1]    Exemptions
[2]    Export Prohibition Policy
§ 7.03    Food and Drug Administration
§ 7.04    Drug Enforcement Agency
[1]    Narcotic and Related Non-Narcotic Substances
[2]    Precursor Chemicals
§ 7.05    Federal Aviation Administration
[1]    Requirements
[2]    Penalties


CHAPTER 8
Foreign Corrupt Practices Act and Export Controls

§ 8.01    Introduction
§ 8.02    The Foreign Corrupt Practices Act
[1]    Background
[2]    FCPA Anti-Bribery Provisions
[3]    FCPA Accounting Provisions
[a]    Recordkeeping
[b]    Internal Controls
[4]    Affirmative Defenses
[5]    FCPA Sanctions
[a]    Criminal Sanctions
[b]    Civil Sanctions
[c]    Private Cause of Action
§ 8.03    The FCPA and the Export Regulations
[1]    Political Contributions, Fees, and Commissions
[2]    Recordkeeping
[a]    ITAR Recordkeeping Provisions
[b]    EAR Recordkeeping Provisions
[c]    OFAC Recordkeeping Provisions
[3]    Intersections Between the FCPA and Export Control Recordkeeping Requirements
[4]    Implications of Overlapping Regulatory Schemes in Investigation and Imposition of Penalties
[5]    Clauses in Government Contracts Trigger Compliance Obligations
[a]    DFARS Rule Regarding Export Compliance
[b]    Restriction on Contingent Fees for Foreign Military Sales/Foreign Military Financing
§ 8.04    Implementing Comprehensive Compliance Programs
[1]    Conducting a Proper Risk Assessment
[2]    Reporting and Review Procedures
[3]    Training and Audit Schedules
[4]    Audit Procedure/Checklist
[5]    Annual Compliance Questionnaire (Sample)
[6]    Briefing Acknowledgement Form (Sample)
[7]    Employee Audit Questionnaire
§ 8.05    Summary of DoJ's and SEC's 2012 FCPA Guidance
[1]    Expansive Jurisdiction of the FCPA
[2]    Definition of "Foreign Official"
[3]    Permissible Gifts, Entertainment and Travel
[4]    Risk of Vicarious Liability
[5]    Successor Liability
[6]    Accounting Provisions
[7]    Compliance Programs
[8]    Declined Enforcement Actions




CHAPTER 9
Commerce Anti-Boycott Restrictions
§ 9.01    Overview
§ 9.02    The Arab League Boycott of Israel
[1]    Arab League Members’ Participation
[2]    Primary, Secondary, and Tertiary Boycotts
§ 9.03    The Blacklisting of Firms
§ 9.04    Application of the Boycott
§ 9.05    United States Anti-Boycott Legislation
[1]    Export Administration Act (EAA)
[2]    Ribicoff Amendment to the Tax Reform Act of 1976
[3]    State Anti-Boycott and Preemption
§ 9.06    Export-Related Anti-Boycott Legislation
[1]    The Purpose of Anti-Boycott Restrictions
[2]    Jurisdictional and Threshold Requirements
[a]    “United States Person”
[i]    Definition of “United States Person”
[ii]    Foreign Subsidiaries
[iii]    “Controlled In Fact”
[iv]    Shareholder Accountability
[v]    Successor Liability
[b]    Interstate or Foreign Commerce
[c]    Intent
[3]    Prohibited Conduct
[a]    Refusal to Do Business
[b]    Discriminatory Actions
[c]    Furnishing Personal Information
[d]    Business Relationships with Boycotted Countries or Blacklisted Persons
[e]    Associations with Charitable and Fraternal Organizations
[f]    Letters of Credit
[4]    Exception to Prohibited Conduct
[a]    Import Requirements
[b]    Import and Shipping Document Requirements
[c]    Compliance with Unilateral Selection
[d]    Requirements on Exports from Boycotting Countries
[e]    Compliance with Visa Requirements
[f]    Compliance with Local Law
[5]    Reporting and Recordkeeping
[a]    Reporting Requirements
[i]    General Rule
[ii]    Exceptions
[b]    Recordkeeping Requirements
[6]    Evasion and Penalties
[a]    Evasion Provisions
[b]    Penalties
[7]    Private Right of Action
[8]    Application of Rules—Case Example
§ 9.07    Tax-Related Anti-Boycott Legislation
[1]    Reporting Requirements
[2]    Boycott Participation and Cooperation
[3]    Penalties
§ 9.08    Differences Between Export-Related and Tax-Related Anti-Boycott Legislation
§ 9.09    Requests For Boycott-Related Action Under the United States Anti-Boycott Regulations



CHAPTER 10
Chemical Weapons Convention
§ 10.01    General Obligations
§ 10.02    Organization for the Prohibition of Chemical Weapons
§ 10.03    Verification System
§ 10.04    Chemical Weapons Convention Implementation Act
§ 10.05    Chemical Weapons Convention Regulations
[1]    Schedule 1 Chemicals
[a]    Declarations
[b]    Reports
[c]    Inspections
[d]    Export Controls
[2]    Schedule 2 Chemicals
[a]    Declarations
[b]    Reports
[c]    Inspections
[d]    Export Controls
[3]    Schedule 3 Chemicals
[a]    Declarations
[b]    Reports
[c]    Inspections
[d]    Export Controls
[4]    Unscheduled Discrete Organic Chemicals
[a]    Declarations
[b]    Inspections
[c]    Export Controls
[5]    Challenge Inspections
[6]    Penalties
§ 10.06    Fourth Amendment Jurisprudence
§ 10.07    Disclosure of Confidential Business Information


CHAPTER 11
Foreign Trade Regulations and Automated Export System
§ 11.01     Understanding the U.S. Foreign Trade Regulations
[1]    Overview of the Foreign Trade Regulations
[2]    Development of the Foreign Trade Regulations and the Use of AES
§ 11.02     When Is Filing Electronic Export Information Required?
[1]    In General
[2]    Exports of Software
[3]    EEI Exclusions
[4]    EEI Filing Exemptions
[a]    Low Value and Other Miscellaneous Exemptions
[b]    Shipments to Canada
[c]    Shipments to Members of U.S. Armed Services and U.S. Government Agencies
[d]    Baggage and Personal Effects—Partial Reporting Requirements
§ 11.03     Responsibility for EEI Filing
[1]    Role of Parties to the Export Transaction
[a]    Principal Parties to the Export Transaction
[i]    The U.S. Principal Party in Interest (USPPI)
[ii]    The Foreign Principal Party in Interest (FPPI)
[iii]    Intermediate Consignee
[b]    Domestic Transactions
[c]    Drop-Shipments
[d]    Other Circumstances
[2]    General Responsibilities of the USPPI
[3]    Use of Agents for EEI Filing
[4]    Understanding Routed Export Transactions
[a]    Responsibility of USPPI in Routed Export Transactions
[b]    Responsibilities of the Authorized Agent in Routed Export Transactions
[c]    Transfer of Liability for Export Compliance
[d]    Routed Exports and the Export of ITAR Goods
§ 11.04     Export Information Reporting
[1]    AES Trade Interface Requirements (AESTIR)
[2]    Mandatory Data Elements
[a]    USPPI Information
[b]    Date of Export
[c]    Ultimate Consignee
[d]    U.S. State of Origin
[e]    Country of Ultimate Destination
[i]    Shipments Under Export License or License Exception/Exemption
[ii]    Shipments Not Moving Under Export License
[iii]    Goods Sold en Route
[f]    Method of Transportation
[g]    Conveyance Name; Carrier Name and Carrier Identification
[h]    Port of Export and Vessel and Air Exports Involving Several Ports of Exportation
[i]    Related Party Indicator
[j]    Indicator of Domestic or Foreign Origin
[i]    Domestic Origin Goods
[ii]    Foreign Origin Goods
[k]    Commodity Classification Number (CCN)
[l]    Commodity Description
[m]    Primary Unit of Measure
[n]    Primary Quantity
[o]    Shipping Weight
[p]    Export Reporting Value
[i]    Selling Price
[ii]    Adjustments to Make the AES Value
[iii]    Exclusions from AES Value
[q]    Export Information Code
[r]    Shipment Reference Number
[s]    Line Number
[t]    Hazardous Material Indicator
[u]    In-bond Code
[v]    License Code/License Exemption Code
[w]    Routed Export Transaction Indicator
[x]    Shipment Filing Action Request Indicator
[y]    Line Item Filing Action Request Indicator
[z]    Filing Option Indicator
[3]    Conditional Data Elements
[a]    Use of an Authorized Agent for Filing
[b]    Intermediate Consignee
[c]    FTZ Identifier
[d]    Foreign Port of Unlading
[e]    Export License Number/CFR Citation/KPC Number
[f]    Export Control Classification Number (ECCN)
[g]    Secondary Unit of Measure
[h]    Secondary Quantity
[i]    Information Required for Exporting Used Vehicles
[j]    Import Entry Number
[k]    Transportation Reference Number (TRN)
[l]    Kimberley Process Certificate (KPC) Number
[m]    Export License Value
[4]    Optional Data Report Elements
[5]    Department of State Requirements EEI Filing Requirements
§ 11.05     Proof of Filing Citations and Exemption Legends on Export Documents
[1]    Internal Transaction Number (ITN)
[2]    Proof of Filing Citation
§ 11.06     Electronic Export Information Filing Procedures, Deadlines, and Certification Statements
[1]    Pre- and Post-Departure Filing Requirements
[2]    Pre-Departure Filing for EEI and Pre-Departure Filing Deadlines
[3]    Post-Departure Filing Procedures
[4]    Use of AES Downtime Citations
[5]    EEI Filing For ITAR-Controlled Shipments
§ 11.07    Transmitting and Correcting Electronic Export Information
[1]    General
[2]    AES Messages: Fatal Errors, Warning Messages, Verification Messages, and Compliance Alerts
[a]    Fatal Condition
[b]    Warning Condition
[c]    Verification Condition
[d]    Compliance Alert Condition
[e]    Informational Condition
§ 11.08     Consequences of FTR Violations; Voluntary Disclosures
[1]    General Penalty Provisions
[2]    Criminal Penalties
[a]    Failure to File: False or Misleading Information
[b]    Furtherance of Illegal Activities
[3]    Civil Penalties
[a]    Failure to File or Delayed Filing Violations
[b]    Filing False or Misleading Information, Furtherance of Illegal Activities, and Penalties for Other Violations
[c]    Forfeiture Penalties
[4]    Customs and Border Protection Guidelines on Assessment of FTR Penalties and Mitigation Guidelines
[5]    Voluntary Self-Disclosure (VSD) of FTR Violations
§ 11.09     Miscellaneous Rules and Other Important Considerations
[1]    Imports of Goods Returned for Repair
[2]    Retention of Export Information and the Authority to Require Production of Documents
[a]    Production of Documents
[b]    Other Records
[3]    General Carrier and Manifest Reporting Requirements
[4]    Split Shipments
[5]    Confidentiality of Information
§ 11.10     Compliance Programs and Best Practices
[1]    Element One: Foster an Atmosphere of Compliance
[2]    Element Two: Establish Clear Lines of Responsibility
[3]    Element Three: Conduct a Risk Assessment
[4]    Element Four: Create a Product/Licensing Matrix
[5]    Element Five: Document Compliance Procedures
[6]    Element Six: Ongoing Compliance Training and Awareness Programs
[7]    Element Seven: Establish a Recordkeeping Program
[8]    Element Eight: Establish Internal and External Compliance Monitoring Programs and Periodic Audits
[9]    Element Nine: Establish an Internal Program for Handling Compliance Issues
[10]    Element Ten: Create U.S. Agent Standard Operating Procedures (SOP)
§ 11.11    Learning More about Export Reporting and the FTR

CHAPTER 12
DoJ Controls Over Certain Temporary Imports; ATF Regulations*
§ 12.01    Overview
§ 12.02    Is the Defense Article a “Firearm” Under the National Firearms Act?
§ 12.03    Import Restrictions Imposed Under the National Firearms Act and Gun Control Act
[1]    Methods of Control
[a]    Registration
[b]    Occupational Tax
[c]    Making or Transfer Tax
[d]    Machineguns Subject to Additional Controls
[2]    Prohibitions
[3]    Method of Compliance
[a]    ATF Ruling 2004-2
[b]    When the NFA Firearm Must Be Replaced
§ 12.04    Export
§ 12.05    Recordkeeping
§ 12.06    Compliance Checklist
[1]    Pre-Import
[2]    Post-Import
CHAPTER 13
Cloud Computing, Export Controls
§ 13.01    Introduction
§ 13.02    Cloud Computing: Definition
§ 13.03    Export Controls Generally
§ 13.04    Cloud Computing Under State Department Regulations
§ 13.05    Cloud Computing Under Treasury Department Regulations
§ 13.06    Cloud Computing Under Commerce Department Regulations
§ 13.07    When Do Users of Cloud Services Become Exporters?
§ 13.08    Recommendations for Users of Cloud Services
§ 13.09    A Methodology for Evaluating Cloud Computing Service Providers' Regulatory Obligations Under the EAR and OFAC Sanctions Programs
CHAPTER 14
Compliance
§ 14.01    Introduction
§ 14.02    The Culture Issue
§ 14.03    Steps Toward Effective Compliance
§ 14.04    Automation of Compliance Processes
§ 14.05    Maturity Levels of an Internal Compliance Program
§ 14.06    Compliance Audits

INDEX