Understanding Export Controls and Regulations in the United States

undefined
 
Export Controls
 
  Michael Reeves
Export Control Officer
 
Export Controls
 
 
Federal Export Control regulations restrict the following
exports:
Tangible goods: technology, letters, software, or packages
Communication: email and phone conversations
International travel
 
Definitions
 
“U.S. Person”-Any person who is a citizen of the United States,
a lawful permanent resident alien of the United States, a refugee
or someone here under amnesty.
“Foreign National”- Any individual or organization that is not a
U.S. person.
“Technology Control Plan”-Plan used to manage Export
Control restrictions during research project.
 
“Deemed Export”
 
“Deemed Export”- Discussion with a “Foreign National” or
providing them access to controlled research within the borders
of the United States.
 
 
 
 
 
 
Regulated by 3 federal agencies:
 
Department of Commerce
 
Department of State
 
Department of the Treasury
 
Department of Commerce
 
Export Administration Regulations (EAR)
15 CFR 730-774
“Dual-use” items- commercial goods, services, and technologies
that also have military or proliferation possibilities. (i.e. GPS,
UAV)
Maintain Commerce Control List
 
Department of State
 
International Traffic in Arms Regulations (ITAR)
22 CFR 120-130
Defense items-products specifically designed for military
applications (i.e. missiles)
Maintain Munitions list
Recently updated category XV
“Defense Services”
 
Department of the Treasury
 
Office of Foreign Assets Control (OFAC)
31 CFR 500-599
Regulates countries, organizations, and individuals. Targets
terrorists, drug traffickers, WMD proliferators, human rights
violators, anti-boycott and narcotics (i.e.  Marion, IL golf course,
)
Maintain sanction lists for the above groups
 
Export restricted and embargoed countries
 
All three federal agencies maintain lists of restricted and
embargoed countries
Comprehensive Sanctioned Countries T-5 (Cuba, Iran,, N.
Korea, Syria, Sudan)
Most countries have commodity or information exchange
specially restricted (i.e. China, Russia)
 
 
Exclusions
 
Fundamental Research (15 CFR 734.8)
Educational (15 CFR 734.9)
Public Domain (15 CFR 734.7 and 734.10)
Bona Fide Employee (15 CFR 125.4.b.10)
 
Fundamental Research Exclusion
 
 
Ordinarily published and shared broadly within the scientific
community
Generally accessible to the interested public in any form
Applies only to information, not tangible goods
 
Educational
 
General science, math and engineering commonly taught at
schools and universities (ITAR)
 
Information conveyed in courses listed in course catalogues and
in their associated teaching labs of any academic institution
(EAR)
 
Bona Fide Employee
 
Is a full-time, bona fide employee;
Is not a national of certain countries;
Has a permanent  residence in the US while employed; and
Is advised in writing not to share covered technical data with
foreign nationals.
 
 
Licenses
 
Current process requires us to seek license for highest level of
restriction;
ITAR
EAR
OFAC-Travel to all T-5 and most D-1 countries
 
Areas of Concern for SLU
 
Downloading software on a restricted computer
Providing technology/technical data via email, fax or during a
phone conversation or a meeting to a foreign national
Google Drive
Re-export
Shadowing into restricted spaces
 
Travel
 
Traveling with SLU equipment
Temporary Export Certificate
Clean computer
Traveling with personal technology
All technology is on CCL
No research on personal devices while traveling
 
Penalties for Violations
 
ITAR: Civil Penalties-Up to $500,000 fine
ITAR: Criminal Penalties-Up to $1 million fine, up to 10 years in prison
 
EAR: Civil Penalties-Up to $250,000 fine
EAR: Criminal Penalties-Up to $1 million fine, 20 years in prison.
 
OFAC: Civil Penalties-Up to $250,000 fine
OFAC: Criminal Violations-Up to $1 million fine, 10 years in prison.
 
Examples of Violations
 
Professor J. Reece Roth, University of Tennessee
Guilty of 18 counts of conspiracy, fraud, and violating the
Arms Export Control Act
Sentenced to 48 months
UT escaped fine because of cooperation and policy
UM-Lowell- Failed to screen company- $100,000 fine.
ITT-leading producer of night vision goggles -$100 million fine
Boeing $4.2 million and $15 million fines
 
 
 
Contact information
 
Michael Reeves, University Export Control Officer
 
mreeves8@slu.edu, 977-5880
 
Questions?
Slide Note
Embed
Share

This content provides insights into export controls and regulations, covering topics such as Federal Export Control restrictions, definitions of U.S. Person and Foreign National, Technology Control Plans, Deemed Export discussions, and oversight by Federal agencies like the Department of Commerce, State, and the Treasury. It details the Department of Commerce's Export Administration Regulations, State's International Traffic in Arms Regulations, and the Treasury's regulations through the Office of Foreign Assets Control. Additionally, it outlines export-restricted and embargoed countries and sanctions imposed on certain groups, offering a comprehensive view of U.S. export control laws.


Uploaded on Sep 11, 2024 | 0 Views


Download Presentation

Please find below an Image/Link to download the presentation.

The content on the website is provided AS IS for your information and personal use only. It may not be sold, licensed, or shared on other websites without obtaining consent from the author. Download presentation by click this link. If you encounter any issues during the download, it is possible that the publisher has removed the file from their server.

E N D

Presentation Transcript


  1. Export Controls Michael Reeves Export Control Officer

  2. Export Controls Federal Export Control regulations restrict the following exports: Tangible goods: technology, letters, software, or packages Communication: email and phone conversations International travel

  3. Definitions U.S. Person -Any person who is a citizen of the United States, a lawful permanent resident alien of the United States, a refugee or someone here under amnesty. Foreign National - Any individual or organization that is not a U.S. person. Technology Control Plan -Plan used to manage Export Control restrictions during research project.

  4. Deemed Export Deemed Export - Discussion with a Foreign National or providing them access to controlled research within the borders of the United States.

  5. Regulated by 3 federal agencies: Department of Commerce Department of State Department of the Treasury

  6. Department of Commerce Export Administration Regulations (EAR) 15 CFR 730-774 Dual-use items- commercial goods, services, and technologies that also have military or proliferation possibilities. (i.e. GPS, UAV) Maintain Commerce Control List

  7. Department of State International Traffic in Arms Regulations (ITAR) 22 CFR 120-130 Defense items-products specifically designed for military applications (i.e. missiles) Maintain Munitions list Recently updated category XV Defense Services

  8. Department of the Treasury Office of Foreign Assets Control (OFAC) 31 CFR 500-599 Regulates countries, organizations, and individuals. Targets terrorists, drug traffickers, WMD proliferators, human rights violators, anti-boycott and narcotics (i.e. Marion, IL golf course, ) Maintain sanction lists for the above groups

  9. Export restricted and embargoed countries All three federal agencies maintain lists of restricted and embargoed countries Comprehensive Sanctioned Countries T-5 (Cuba, Iran,, N. Korea, Syria, Sudan) Most countries have commodity or information exchange specially restricted (i.e. China, Russia)

  10. Exclusions Fundamental Research (15 CFR 734.8) Educational (15 CFR 734.9) Public Domain (15 CFR 734.7 and 734.10) Bona Fide Employee (15 CFR 125.4.b.10)

  11. Fundamental Research Exclusion Ordinarily published and shared broadly within the scientific community Generally accessible to the interested public in any form Applies only to information, not tangible goods

  12. Educational General science, math and engineering commonly taught at schools and universities (ITAR) Information conveyed in courses listed in course catalogues and in their associated teaching labs of any academic institution (EAR)

  13. Bona Fide Employee Is a full-time, bona fide employee; Is not a national of certain countries; Has a permanent residence in the US while employed; and Is advised in writing not to share covered technical data with foreign nationals.

  14. Licenses Current process requires us to seek license for highest level of restriction; ITAR EAR OFAC-Travel to all T-5 and most D-1 countries

  15. Areas of Concern for SLU Downloading software on a restricted computer Providing technology/technical data via email, fax or during a phone conversation or a meeting to a foreign national Google Drive Re-export Shadowing into restricted spaces

  16. Travel Traveling with SLU equipment Temporary Export Certificate Clean computer Traveling with personal technology All technology is on CCL No research on personal devices while traveling

  17. Penalties for Violations ITAR: Civil Penalties-Up to $500,000 fine ITAR: Criminal Penalties-Up to $1 million fine, up to 10 years in prison EAR: Civil Penalties-Up to $250,000 fine EAR: Criminal Penalties-Up to $1 million fine, 20 years in prison. OFAC: Civil Penalties-Up to $250,000 fine OFAC: Criminal Violations-Up to $1 million fine, 10 years in prison.

  18. Examples of Violations Professor J. Reece Roth, University of Tennessee Guilty of 18 counts of conspiracy, fraud, and violating the Arms Export Control Act Sentenced to 48 months UT escaped fine because of cooperation and policy UM-Lowell- Failed to screen company- $100,000 fine. ITT-leading producer of night vision goggles -$100 million fine Boeing $4.2 million and $15 million fines

  19. Contact information Michael Reeves, University Export Control Officer mreeves8@slu.edu, 977-5880

  20. Questions?

More Related Content

giItT1WQy@!-/#giItT1WQy@!-/#giItT1WQy@!-/#