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Author Name John R. Liebman
Roszel C. Thomsen II
James E. Bartlett III
John C. Pisa-Relli
Published date 2018
ISBN no. 978-1-58852-341-9
eBook ISBN no. 978-1-58852-340-2
Condition New
To purchase this book, you must first complete the registration or login.
Introduction to the Seventh Edition
About the Authors
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 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] Recent Activity
[a] Aircraft
[b] Gas Turbine Engines
[c] Military Tanks
[d] Surface Vessels and Naval Equipment
[e] Submersible Vessels
[f] Auxiliary Military Equipment
[g] Protective Personnel Equipment and Shelters and Military Training Equipment
[h] Launch Vehicles and Rockets
[i] Military Explosives and Nuclear Weapons Related Articles
[j] Spacecraft and Commercial Satellites
[k] Military Electronics
[l] Fire Control, Laser, Imaging and Guidance Equipment
[m] Toxicological Agents and Directed Energy Weapons
[n] Proposed Rules
[o] Definition Changes
[p] Decision Tools
[3] 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 vs. Rejecting
[12] Administrative Matters
[a] Recordkeeping
[b] Reporting
[c] Penalties
[13] Facilitation
§ 2.03 Comprehensive Sanctions Programs
[1] Cuba
[a] Background
[b] Scope of Jurisdiction
[c] Export Restrictions
[i] License Exception SCP
[ii] License Exception Consumer Communications Devices (CCD)
[iii] License Exception Gift Parcels and Humanitarian Donations (GFT)
[iv] Licensing Policy for Cuba
[v] Restrictions on Transactions with the Cuban Military
[d] Import Restrictions
[e] Financial Transactions
[f] Travel Restrictions
[g] Remittances
[h] Specific Licenses
[2] Iran
[a] The Negotiation and Partial Unwinding of the JCPOA
[i] United Nations
[ii] European Union
[iii] United States
[b] U.S. Sanctions Targeting Iran Regulations: Background
[c] Energy Related Transactions
[d] Financial Transactions
[e] Import Restrictions
[f] Export Restrictions
[g] Exemptions and General Licenses
[i] Authorization for U.S. employees and contractors of International Organizations
[ii] Authorization for Software Exports Incident to the Exchange of Personal Communications
[iii] Authorization for Food Exports
[iv] Authorization for Exports of Medicine and Certain Medical Devices; Replacement Parts for Medical Devices
[v] Authorization for Processing Transactions Relating to Official Business of Third Country Diplomatic or Consular Missions
[vi] Authorization for Personal Remittances
[vii] Transactions ordinarily incident to licensed transactions.
[viii] Journalistic Activities and establishment of a news bureau in Iran
[ix] Payment for overflights
[x] Certain legal services
[xi] Transactions ordinarily incident to publishing
[xii] Educational Activities
[xiii] Certain conference-related activities
[3] Sudan
[a] Blocking
[b] Export Restrictions
[c] Import Restrictions
[d] Transactions
[e] General Licenses and Exemptions
[f] Summary of 2017 Relaxations and 2018 Repeal
[4] Syria
[a] Blocking
[b] Investment
[c] Services; Prohibitions and Related General Licenses
[d] Petroleum-Related Transactions
[e] Telecommunications and Agriculture
[f] Travel
[g] General Licenses
[5] Crimea Region of the Ukraine
[6] North Korea
[a] Full Embargo for U.S. Persons
[b] Blocking
[c] Import Restrictions
[d] Restrictions Related to Vessels
[e] Prohibition on Travel
[f] Financial and Secondary Sanctions
§ 2.04 Limited Sanctions Programs
[1] Balkans
[a] Blocking
[b] Licenses
[2] Belarus
[a] Blocking
[b] Licenses
[3] Burma (Myanmar)
[3A] Burundi
[a] Blocking
[3B] Central African Republic
[a] Blocking
[4] Côte d’Ivoire
[5] Counter Narcotics Trafficking
[a] Narcotics Trafficking Sanctions Regulations
[b] Foreign Narcotics Kingpin Sanctions Regulations
[c] Penalties
[d] Legal Challenges
[6] Counter Terrorism
[a] Specially Designated Terrorists
[b] Foreign Terrorist Organizations
[c] Specially Designated Global Terrorists
[d] State Sponsors of Terrorism
[7] Internet and Cyber-Related Sanctions
[a] Grave Human Rights Abuses by the Governments of Iran and Syria via Information Technology
[b] Malicious Cyber-Enabled Activity
[8] Democratic Republic of the Congo
[a] Blocking
[b] Transactions
[8A] Global Magnitsky Sanctions
[9] Diamond Trading
[a] Import/Export
[10] Iraq
[a] Blocking
[b] Transactions
[11] Lebanon
[a] Blocking
[b] Hezbollah-Related Transactions
[12] Former Liberian Regime of Charles Taylor
[13] Libya
[a] Blocking
[b] Licenses
[14] 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
[15] [Reserved]
[16] Somalia
[a] Blocking
[b] Humanitarian Assistance
[17] South Sudan
[18] Taliban (Afghanistan)
[19] Transnational Criminal Organizations
[a] Blocking
[20] Ukraine-Related
[21] Venezuela
[a] Blocking
[b] General Licenses
[c] Debt and Financing Restrictions
[22] Yemen
[a] Blocking
[23] Weapons of Mass Destruction
[a] Blocking
[b] Import Restrictions
[24] Federal Republic of Yugoslavia and Republic of Bosnia and Herzegovina
[25] Zimbabwe
[a] Blocking
[b] General Licenses
§ 2.05 Sectoral Sanctions
[1] Background: EO 13662
[2] Directive 1: Financial Sector
[3] Directive 2: Energy Sector
[4] Directive 3: Defense and Related Materiel Sectors
[5] Directive 4: Russian Energy Sector
[6] General Licenses
[7] Countering America’s Adversaries Through Sanctions Act
§ 2.06 FOIA Requests
§ 2.07 Conflicting Foreign Laws
§ 2.08 Screening for Specially Designated Nationals
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”?
[a] Deemed Exports/Reexports
[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] Interagency Review
[b] Escalation of Review
[c] Riders and Conditions
[d] Deadlines
[e] Determining Case Status
[f] Emergency Processing
[g] Intent to Deny, Denial, and Appeals
[h] Validity
[i] Changes Requiring New Application
[j] Changes by Amendment
[k] Changes Without Amendment
[l] Duplicate License
§ 3.03 Export Clearance
[1] Role of Export License
[2] Shipper’s Export Declarations
[3] Bill of Lading
[4] Commercial Invoice
[5] Destination Control Statement
[6] Shipping
[a] Shipping Tolerances
[b] Port of Export
[c] Delayed Shipment
[d] Non-Arrival
§ 3.04 License Exceptions and Post-Shipment Responsibilities
[1] License Exceptions
[2] Delivery Verification
[a] Disposition of License
[b] Revocation or Suspension of License
[3] Audits and Compliance
§ 3.05 Retention of Records
§ 3.06 Recent Developments: The Export Control Reform Initiative
[1] Reforms Already Implemented
[a] Transfers from the United States Munitions List (USML) to the Commerce Control List (CCL)
[b] Transition of Items from the USML to the CCL
[c] Definition of “Specially Designed”
[2] Reforms Yet to Be Implemented
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: Audit Frequently, 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

[A] Shipment or Transmission

[B] Releasing Technical Data to a Foreign Person

[C] Transferring Registration

[D] Releasing to a Foreign Embassy

[E] Releasing to a Foreign Embassy or Agency

[F] Performing a Defense Service

[G] Space Launches

[H] Temporary 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] 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
[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] ITAR § 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, Including Classified Information, Regardless of Media or Format, Exported, Reexported, or Retransferred by or to a U.S. Person, or a Foreign Person Employee of a U.S. Person Travelling or on Temporary Assignment Abroad
[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] ITAR Amendments Since 2007
[2] Key Cases
[3] 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 States Export 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] Review
[b] Waiting Period
[c] Annual Self-Classification Reporting
[d] Semi-Annual Post-Export Reporting
[e] Key Length Increase Reporting
[2] Restricted Items
[3] Unrestricted Items
[4] Self-Classifiable Items
[5] Items for Internal Development, Transfers, 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
[4] Wassenaar 2013 Changes
[a] Information Security
[b] Cybersecurity
§ 6.09 Conclusion
[1] The Haystak Incident
[2] Open Source
[3] Obama Administration Reforms
[4] 2016 Changes
[5] Edward Snowden
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] Exceptions 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] Reporting
[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: Enforcement of Export Controls
§ 11.01 Understanding the U.S. Foreign Trade Regulations
[1] Overview of the Foreign Trade Regulations
[2] Updates to the Foreign Trade Regulations and the Use of AES
[a] Transition of AES to ACE
[b] Other Changes
§ 11.02 When Is Filing Electronic Export Information Required?
[1] 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
[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)
§ 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 the Gun Control Act
[1] Methods of Control
[a] Registration
[b] Special (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
Table of Abbreviation
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