A Primer on U.S. Export Controls

Size: px
Start display at page:

Download "A Primer on U.S. Export Controls"

Transcription

1 A Primer on U.S. Export Controls Presentation for the Pacific Northwest Defense Coalition By Akana K.J. Ma Partner, Ater Wynne LLP 16 July 2013 (503) Akana K.J. Ma 2013 All Rights Reserved.

2 Today s Program This is an Overview of US Export Controls and its importance for companies of all sizes Summary of EAR for commercial products/technical data and ITAR for military products/technology Jurisdictional issues Who is covered What transactions are covered 2

3 Today s Agenda (continued) Technical Data and Deemed Exports Compliance Best Practices Penalties and Enforcement Trends Not a product classification exercise, nor licenses or filings Goal to is cover enough topics so that companies know when and where they need to dive deeper into issues 3

4 Speaker Export Controls Experience Akana K.J. Ma 29 years of business law legal practice Corporate, IP, Tech Transfer, International Trade US Dept. of Energy, In-house Corporate Counsel, Private Practice, USDOC Advisor (DEC member/ EC Trainer) 25 years advising on US export controls Compliance Product Development Foreign sales and tech licensing Investigations Audits Enforcement Actions Voluntary Disclosures 4

5 The Regulations Commercial Exports - Export Administration Regulations (the EAR) [Export Administration Act 1969] BIS Commercial products, services, and technology Dual-use items - Commercial products that may have a military application Military Exports - International Traffic in Arms Regulations (the ITAR) [Arms Export Control Act 1976] DDTC Defense Articles, Services, and Technical Data Products that have been specifically designed or modified.for a military application 5

6 What is an Export? Shipment out of the U.S. Electronic transmission out of the U.S. Release of technology (technical data) to a foreign national within the U.S. ( Deemed Export under the EAR; same concept under the ITAR) 6

7 What is a Reexport? A shipment of a U.S. origin item from one foreign country to another Shipment from one foreign country to another of an item manufactured abroad based on U.S. origin technology or parts. Both EAR and ITAR require Destination Control Statements and Letters of Assurance 7

8 Who is an Exporter Versus Who Must Comply With Export Controls Exporter - A person in the United States who has the authority of a principal party in interest to determine and control the sending of items out of the United States. Direct Owner/Shipper Business Entity or Individual What of other Supply Chain Entities? Build to print contract manufacturer? Engineering Consultant? Data Center? 8 Duty to Inquire and Notify 8

9 Who Controls Exports? Licensing Agencies Commercial Goods and Dual-use items U.S. Department of Commerce, Bureau of Industry and Security What are Dual-use items? Military Goods and Services (called Defense Articles and Services) U.S. Department of State, Directorate of Defense Trade Controls U.S. Persons and Money U.S. Department of the Treasury Export Clearance Agencies U.S. Customs and Border Protection U.S. Census Bureau Department of Defense 9

10 Determining and Documenting the Critical Facts Critical Export Information What is the product, service or technology? Where is it going? Who will receive it? (Denied Parties Clearance June 20, $35,000 fine to NY scrap metal exporter to Pakistani co. on Entity List ) Intermediate consignees Ultimate consignee/recipient Where is the ultimate destination? What will be the end use? 10

11 11 11

12 How is the EAR Structured? Over 1000 pages of detailed control parameters by country policy, product functional parameters, and technology specifications EAR Analysis: A positive control list Very specific about product technical functionality Reasons for control Countries where licenses required Specific exceptions to license requirement Under the EAR some de minimis levels, but not under the ITAR 12

13 13

14 14

15 How is the ITAR Structured? Brief summary of controlled defense articles - USML, with short statements of policy and procedure covering Defense Articles, Services, Technology 21 categories of the USML covering large weapons systems 15

16 How is the ITAR Structured? Control language of each category is broad USML lacks the detailed control parameters of the CCL under the EAR There is no common structure applied across each category, though generally, paragraph (a) tends to name principal defense articles and subsequent paragraphs typically address parts, components and sub-systems Analysis: Is it on the USML OR is it specifically designed or modified for a military application. 16

17 17

18 How The EAR and ITAR are Changing Many Changes occurring October 16, 2013 Higher fences around fewer items Culmination of 3 years of revision of the ITAR and EAR by DDTC and BIS to change the methods by which jurisdiction is determined and the controls on exports Wholesale migration of thousands of commodities from the ITAR to the EAR Or whether specifically designed. or modified for a military application, and. Specially designed standard April 16, 2013 to be implemented October 16, 2013 for ITAR finalized revisions 18

19 How the EAR and ITAR are Changing Specially Designed Analysis: Has properties peculiarly responsible for achieving or exceeding the performance levels, characteristics, or functions in the relevant EAR or USML item Is a part, component, accessory, attachment or software of an EAR or ITAR specific item Exporter and manufacturer registration Broker registration Fall 2013 revision by DDTC (wider not smaller net) 19

20 Deemed Exports Will Remain an Issue EAR 734.b(2)(ii) Any release of technology or source code subject to the EAR to a foreign national.is deemed to be an export to the home country of the foreign national. ITAR (4) and 125.2(c) Deemed Export is a term not used under the ITAR, but the concept is the same:.the oral, visual or documentary disclosure of technical data by U.S. persons to foreign persons. 20

21 Examples of Potential Deemed Exports Product demonstrations Technical trainings Sharing drawings, visual inspections, verbal conversations Working with business partners - foreign interns, consultants, employees, JV partners (e.g., the plant floor visit or technical meeting) Collaborations in the educational setting teachers/students, foreign lecturers, foreign visitors Access to database containing controlled technology 21

22 The Hiring Process I-129 CIS Form I-129, Part 6 certification, Effective February 20, 2011 Applies to U.S. Employers filing H-1B, L-1, O-1 visa applications Part 6 is Certification Regarding the Release of Controlled Technology or Technical Data to Foreign Persons in the U.S. 22

23 Internal Company Controls Companies should implement effective Export Compliance Programs Employee training Applicable regulations Knowledge of company products/tech Red flag transaction details Employee empowerment without retribution Empowered Official and company commitment from all levels of management Internal Recordkeeping and audit procedure 23

24 Common Export Breakdowns Failure to determine jurisdiction of new products Failure to obtain a license Technology released to foreign persons within the U.S. deemed exports No control over server access Modification of military products for commercial uses Vendors who believe it s the OEM s problem No Records of Ongoing Compliance Procedures, and that they were followed 24

25 Export Controls Recordkeeping ITAR recordkeeping requirements in 122.5: Electronic records must be reproducible on paper and track all changes, author and date describes retention of Any other document used in the regulation or control of a defense article, defense service, or technical data for which a license or approval is required by the ITAR 25

26 Export Controls Recordkeeping In combination with regarding TAAs, companies are advised to retain records of all ITAR-related transactions of technical data, hardware, software, and services How long? At least 5 years from the end of the export-related transaction or the expiration of an applicable license etc. EAR Mirrors the ITAR and requires retention of a long list of possible transaction documents - See Part

27 Export Control Best Practices Export Controls Compliance Program Not a static process Employee Training Periodic internal audits Internal Investigations - Use neutral outside counsel not implicated in suspected export controls violations Corrective actions Legal counsel as opposed to in-house counsel, consultant or accountant 27

28 Houston, We ve Got a Problem The EAR and ITAR both encourage Voluntary Disclosures of violations Voluntary Disclosure is a Judgment Call! Disclosure of violation must be made prior to U.S. Government independently learning of the same or substantially similar information and commencing an investigation Goals of Disclosures Mitigate liability Narrow the investigation Favorably interpret facts and regulations Inform and guide U.S. agency investigators Never lie, be trustworthy, seek a fair result 28

29 Penalties Under The EAR Penalties For EAR Violations: Criminal (Entities): Up to US$1Million Criminal (Individuals): Up to US$250,000/20 years prison Civil Fines: US$50,000 Denial of export privileges 29

30 Penalties Under The ITAR Penalties for ITAR Violations: Criminal (Entities): Up to US$1Million Criminal (Individuals): Up to US$1Million/10 years prison Civil Fines: Up to US$500,000 and Forfeitures Debarment from government contracts 30

31 ITAR Enforcement Large contractors always a target April 30, 2013 Raytheon US$8 Million fine to settle 125 alleged violations 110 charges for failing to abide by license terms and restrictions 15 charges for inaccurate tracking, valuation and documentation for temporary imports and exports of hardware Outside monitor for 2 years paid by Raytheon Consistent disregard of administrative controls 31

32 Enforcement Trends - Individuals Jason Liang, owner of Sanwave Int l sentenced April 23, 2012 to 4 years in prison and 3 years supervised release for exporting thermal imaging cameras to China without an export license. Liang argued no damage to US national security, but violations are more like strict liability, not affected by resulting effect on national security 32

33 Enforcement Trends Closer to Home December 18, count indictment against 2 Chinese nationals for scheme to obtain dual use (extreme temperature) programmable logic chips from Lattice Semiconductor, Hillsboro, OR Attempt to deceive company into selling to a shell company in NY. Efforts of FBI, OEE and US Attorney in Oregon 33

34 Further Export Controls Assistance This concludes the overview if a topic hasn t been covered or you d like more information, contact the speaker Other Export Controls topics that we could not cover today: Product classification License procedures ECCP Empowered Official duties Internal Investigations Audits of your existing compliance program Voluntary Disclosures 34

35 Why Comply? Protection of National Security Goals (as defined by the U.S. Government) Competitive business advantage Compliance is less costly than Remediation It s the law. In this case, asking for forgiveness is NOT better than asking for permission. 35

36 Thank You Ask for a Certificate of Attendance Akana K.J. Ma Partner, Chair of Global Trade Group Ater Wynne LLP 1331 NW Lovejoy Street, Suite 900 Portland, Oregon akm@aterwynne.com 36

COMPUTER & INTERNET. Westlaw Journal. Expert Analysis Software Development and U.S. Export Controls

COMPUTER & INTERNET. Westlaw Journal. Expert Analysis Software Development and U.S. Export Controls Westlaw Journal COMPUTER & INTERNET Litigation News and Analysis Legislation Regulation Expert Commentary VOLUME 31, ISSUE 1 / JUNE 13, 2013 Expert Analysis Software Development and U.S. Export Controls

More information

Key Elements of International Trade Compliance. Presented by:

Key Elements of International Trade Compliance. Presented by: Key Elements of International Trade Compliance Presented by: International Business Transactions International Civil Litigation 2 I. Introduction Every international shipment implicates at least TWO legal

More information

Harvard Export Control Compliance Policy Statement

Harvard Export Control Compliance Policy Statement Harvard Export Control Compliance Policy Statement Harvard University investigators engage in a broad range of innovative and important research both in the United States and overseas. These activities

More information

Introduction to Braumiller Schulz LLP Why Trade Compliance? Establishing an Internal Compliance Program (ICP) Contracting Services to Outside Experts

Introduction to Braumiller Schulz LLP Why Trade Compliance? Establishing an Internal Compliance Program (ICP) Contracting Services to Outside Experts Olga Torres, Associate Ol T A i t Braumiller Schulz LLP International Trade Law www.globaltradelaw.net Overview Introduction to Braumiller Schulz LLP Why Trade Compliance? Establishing an Internal Compliance

More information

University of Louisiana System

University of Louisiana System Policy Number: M-(16) University of Louisiana System Title: EXPORT CONTROL Effective Date: October 26, 2009 Cancellation: None Chapter: Miscellaneous Policy and Procedures Memorandum The University of

More information

Using Technology Control Plans in Export Compliance. Mary Beran, Georgia Tech David Brady, Virginia Tech

Using Technology Control Plans in Export Compliance. Mary Beran, Georgia Tech David Brady, Virginia Tech Using Technology Control Plans in Export Compliance Mary Beran, Georgia Tech David Brady, Virginia Tech What is a Technology Control Plan (TCP)? The purpose of a TCP is to control the access and dissemination

More information

EXPORT CONTROLS COMPLIANCE

EXPORT CONTROLS COMPLIANCE Responsible University Official: Vice President for Research Responsible Office: Office for Export Controls Compliance Origination Date: May 1, 2014 EXPORT CONTROLS COMPLIANCE Policy Statement Northwestern

More information

Office of Export Enforcement Bureau of Industry and Security (BIS) U.S. Department of Commerce

Office of Export Enforcement Bureau of Industry and Security (BIS) U.S. Department of Commerce Office of Export Enforcement Bureau of Industry and Security (BIS) U.S. Department of Commerce Sidney M. Simon Special Agent in Charge New York Field Office Export Enforcement s Mission Protect National

More information

Export Controls and Cloud Computing: Legal Risks

Export Controls and Cloud Computing: Legal Risks Presenting a live 90-minute webinar with interactive Q&A Export Controls and Cloud Computing: Legal Risks Complying with ITAR, EAR and Sanctions Laws When Using Cloud Storage and Services TUESDAY, APRIL

More information

Policy and Procedures Date: 08-24-11

Policy and Procedures Date: 08-24-11 Virginia Polytechnic Institute and State University Policy and Procedures Date: 08-24-11 Subject: Export and Sanctions Compliance Policy Definitions 1.0 Policy 2.0 Oversight 3.0 Responsibilities of Faculty,

More information

Export Control Basics

Export Control Basics Export Control Basics Updated on May 15, 2014 What are Export Controls? U.S. laws and regulations that restrict the distribution to foreign nationals and foreign countries of strategically important products,

More information

Export Control Compliance Procedure Guide June 8, 2012

Export Control Compliance Procedure Guide June 8, 2012 Export Control Compliance Procedure Guide June 8, 2012 1 TABLE OF CONTENTS Contents TABLE OF CONTENTS... 1 SUMMARY... 2 INTRODUCTION... 3 SCHOOL POLICY... 4 EXCLUSIONS... 4 WHAT IS AN EXPORT?... 4 CONDUCTING

More information

Export Control Training

Export Control Training 2007 Export Control Training Office of Sponsored Research and Programs Missouri State University Missouri State University Research Security and Export Controls Compliance Manual 11/7/2007 1 As an employee

More information

Mastering Global Trade Compliance for Growth Through Export. Track 1 Session 3

Mastering Global Trade Compliance for Growth Through Export. Track 1 Session 3 Mastering Global Trade Compliance for Growth Through Export Track 1 Session 3 Julie Gibbs Director BPE Global Jgibbs@bpeglobal.com 415-595-8543 www.bpeglobal.com 2 Abstract It's not a small world after

More information

Second Annual Impact of Export Controls on Higher Education & Scientific Institutions

Second Annual Impact of Export Controls on Higher Education & Scientific Institutions The following presentation was presented at the Second Annual Impact of Export Controls on Higher Education & Scientific Institutions Hosted by Georgia Institute of Technology In cooperation with Association

More information

EXPORT CONTROL GUIDELINES FOR STAFF

EXPORT CONTROL GUIDELINES FOR STAFF EXPORT CONTROL GUIDELINES FOR STAFF Created: June 2010 Reviewed: September 2013 Reviewed: April 2015 Maintained by the Office of Sponsored Programs 1 List of Commonly Used Acronyms BIS CCL CJ DDTC EAR

More information

Export Control Management & Compliance Plan

Export Control Management & Compliance Plan Rensselaer Polytechnic Institute Export Control Management & Compliance Plan Office of the General Counsel Rensselaer Polytechnic Institute 110 8 th Street, Troy, New York 12180 October 1, 2012 (This page

More information

Middle Tennessee State University. Office of Research Services

Middle Tennessee State University. Office of Research Services Middle Tennessee State University Office of Research Services Procedure No.: ORS 007: Export Control Date Approved: December 08, 2011 1. INTRODUCTION: It is the intent of Middle Tennessee State University

More information

US Export Regulations Compliance. Presented by Larry Disenhof Cadence Design Systems, Inc.

US Export Regulations Compliance. Presented by Larry Disenhof Cadence Design Systems, Inc. US Export Regulations Compliance Presented by Larry Disenhof Cadence Design Systems, Inc. 1 Agenda Why export regulations? What is an export Compliance process Global operations and compliance Resources

More information

Protecting the Value of Your Transaction y

Protecting the Value of Your Transaction y International Trade Due Diligence: Protecting the Value of Your Transaction y by Megan A. Gajewski, Susan M.C. Kovarovics, Michael D. Mellen and Christina A. Zanette You just closed a deal for your client,

More information

University of Maryland Export Compliance Program

University of Maryland Export Compliance Program April 6, 2015 Message from the Vice President for Research Export control is governed by a group of federal regulations intended to advance the national security, foreign policy, and economic interests

More information

Table of Contents 762.1 SCOPE 762.2 RECORDS TO BE RETAINED

Table of Contents 762.1 SCOPE 762.2 RECORDS TO BE RETAINED Recordkeeping Part 762--page 1 Table of Contents 762.1 SCOPE... 1 762.2 RECORDS TO BE RETAINED... 1 762.3 RECORDS EXEMPT FROM RECORDKEEPING REQUIREMENTS... 3 762.4 ORIGINAL RECORDS REQUIRED... 4 762.5

More information

Recent events demonstrate that enforcement of export

Recent events demonstrate that enforcement of export Enforcement Activity Mounts as Department of Justice Focuses on Exporters By Jason M. Waite and Jeffrey M. Schwartz Recent events demonstrate that enforcement of export controls for sensitive goods and

More information

Export Control Compliance Program Guidelines January 2012

Export Control Compliance Program Guidelines January 2012 Export Control Compliance Program Guidelines January 2012-1 - TABLE OF CONTENTS Introduction... 3 Institutional Policy... 4 Federal Laws, Regulations, and Penalties... 5 Key Terms and Definitions... 8

More information

Introduction To Commerce Department. Export Controls U.S. DEPARTMENT OF COMMERCE BUREAU OF INDUSTRY AND SECURITY OFFICE OF EXPORTER SERVICES

Introduction To Commerce Department. Export Controls U.S. DEPARTMENT OF COMMERCE BUREAU OF INDUSTRY AND SECURITY OFFICE OF EXPORTER SERVICES Introduction To Commerce Department Export Controls U.S. DEPARTMENT OF COMMERCE BUREAU OF INDUSTRY AND SECURITY OFFICE OF EXPORTER SERVICES Overview The Department of Commerce s Bureau of Industry and

More information

Guidelines for Preparing Export License Applications Involving Foreign Nationals

Guidelines for Preparing Export License Applications Involving Foreign Nationals Guidelines for Preparing Export License Applications Involving Foreign Nationals I. Introduction BIS has prepared these guidelines for exporters to use in submitting license applications for foreign nationals

More information

An ITAR Primer for Small Business Presentation to NDIA Small Business Division Breakfast Meeting Wednesday, September 29, 2010 By Rob Evers Member, NDIA International Division Board What a Challenge! Like

More information

white paper Mitigate Risk in Handling ediscovery Data Subject to the U.S. Export Control Laws and Regulations

white paper Mitigate Risk in Handling ediscovery Data Subject to the U.S. Export Control Laws and Regulations white paper Mitigate Risk in Handling ediscovery Data Subject to the U.S. Export Control Laws and Regulations WWW.EPIQSYSTEMS.COM 800 314 5550 Mitigate Risk in Handling ediscovery Data Subject to the U.S.

More information

II. Export Jurisdiction issues and the Commodity Jurisdiction Process: Off-the-Record Comments by John P. Priecko.

II. Export Jurisdiction issues and the Commodity Jurisdiction Process: Off-the-Record Comments by John P. Priecko. Subject: NCITD Meeting Report Following is a report on the meeting of the Trade Compliance Committee of the National Council for international Trade Development (NCITD) held in Washington, D.C. on May

More information

UNIVERSITY OF CHICAGO/EXPORT CONTROL PROCEDURES. 1. Background. 2. Export Control Oversight: Who Is Responsible. 3. Jurisdiction and Classification

UNIVERSITY OF CHICAGO/EXPORT CONTROL PROCEDURES. 1. Background. 2. Export Control Oversight: Who Is Responsible. 3. Jurisdiction and Classification UNIVERSITY OF CHICAGO/EXPORT CONTROL PROCEDURES 1. Background 2. Export Control Oversight: Who Is Responsible 3. Jurisdiction and Classification 4. End User Screening Against U.S. Government Watch Lists

More information

Audit Module: Self-Assessment Tool

Audit Module: Self-Assessment Tool U.S. DEPARTMENT OF COMMERCE BUREAU OF INDUSTRY & SECURITY OFFICE OF EXPORTER SERVICES EXPORT MANAGEMENT & COMPLIANCE DIVISION www.bis.doc.gov EXPORT MANAGEMENT & COMPLIANCE PROGRAM Audit Module: Self-Assessment

More information

FREIGHT FORWARDER GUIDANCE

FREIGHT FORWARDER GUIDANCE U.S. DEPARTMENT OF COMMERCE BUREAU OF INDUSTRY AND SECURITY OFFICE OF EXPORTER SERVICES EXPORT MANAGEMENT AND COMPLIANCE DIVISION FREIGHT FORWARDER GUIDANCE February 2012 Freight Forwarder Guidance Members

More information

SI/SAO Export Compliance Training 1/9/2014

SI/SAO Export Compliance Training 1/9/2014 1 Why Compliance Matters Risks and Responsibilities Export Controls are Complex Understanding the Regimes and Agencies we must comply with What processes we are putting in place at SI to comply Identifying

More information

ITAR Export Control Laws

ITAR Export Control Laws ITAR Export Control Laws What every UAV manufacturer needs to know about USML products and ITAR regulations By Howard Loewen Globalization, terrorism, and threats of proliferation have led to an increase

More information

Export Controls: What are they? Why do we care?

Export Controls: What are they? Why do we care? Export Controls: What are they? Why do we care? Laura Langton, PhD Export Control Manager langton@wustl.edu 314-747-1378 http://research.wustl.edu/complianceareas/exportcontrols What is an Export? Release

More information

EXPORT CONTROLS AND RESEARCH AT WPI TRAINING PRESENTATION

EXPORT CONTROLS AND RESEARCH AT WPI TRAINING PRESENTATION EXPORT CONTROLS AND RESEARCH AT WPI TRAINING PRESENTATION EXPORT CONTROL LAWS WHAT ARE EXPORT CONTROLS? U.S. laws and their implementing regulations that govern the distribution to foreign nationals and

More information

SYSTEM OF HIGHER EDUCATION PROCEDURES AND GUIDELINES MANUAL CHAPTER 16 EXPORT CONTROL AND ECONOMIC SANCTIONS POLICY

SYSTEM OF HIGHER EDUCATION PROCEDURES AND GUIDELINES MANUAL CHAPTER 16 EXPORT CONTROL AND ECONOMIC SANCTIONS POLICY SYSTEM OF HIGHER EDUCATION PROCEDURES AND GUIDELINES MANUAL CHAPTER 16 EXPORT CONTROL AND ECONOMIC SANCTIONS POLICY Section 1. Purpose... 2 Section 2. Policy Statement and Institution Policies... 2 Section

More information

THE UNIVERSITY OF ALABAMA IN HUNTSVILLE. EXPORT COMPLIANCE PROGRAM MANUAL Updated August 2012

THE UNIVERSITY OF ALABAMA IN HUNTSVILLE. EXPORT COMPLIANCE PROGRAM MANUAL Updated August 2012 THE UNIVERSITY OF ALABAMA IN HUNTSVILLE EXPORT COMPLIANCE PROGRAM MANUAL Updated August 2012 List of Abbreviations AECA Arms Export Control Act ATF/BATF Bureau of Alcohol, Tobacco, Firearms & Explosives

More information

Filing your EEI into AES

Filing your EEI into AES Filing your EEI into AES Presenter Korrie Thomas Director, Compliance Houston Joined BDP in 2011 24 years of trade experience Licensed Customs broker since 1994 korrie.thomas@bdpinternational.com 281-775-8338

More information

GOODMAN GLOBAL GROUP, INC. EXPORT CONTROL AND SANCTIONS COMPLIANCE POLICY

GOODMAN GLOBAL GROUP, INC. EXPORT CONTROL AND SANCTIONS COMPLIANCE POLICY GOODMAN GLOBAL GROUP, INC. EXPORT CONTROL AND SANCTIONS COMPLIANCE POLICY Goodman Global Group, Inc. and our affiliates (collectively, the Company ) are committed to complying with all laws applicable

More information

Deemed Exports and the Export Control Reform Initiative. Bernard Kritzer Director Office of Exporter Services. July 24, 2013.

Deemed Exports and the Export Control Reform Initiative. Bernard Kritzer Director Office of Exporter Services. July 24, 2013. Deemed Exports and the Export Control Reform Initiative Bernard Kritzer Director Office of Exporter Services July 24, 2013 Agenda Bernard Kritzer Director Office of Exporter Services Introduction Stephen

More information

Supplier Awareness. Export Control/ ITAR

Supplier Awareness. Export Control/ ITAR Export Control & ITAR Supplier Awareness Export Control/ ITAR THIS INFORMATION IS PROVIDED BY PAR SYSTEMS, INC. ("PAR"). PAR IS NOT A LAW FIRM, AND THE INFORMATION CONTAINED HEREIN IS NOT INTENDED TO BE

More information

Export Control Laws Training Presentation FLORIDA INSTITUTE OF TECHNOLOGY

Export Control Laws Training Presentation FLORIDA INSTITUTE OF TECHNOLOGY Export Control Laws Training Presentation FLORIDA INSTITUTE OF TECHNOLOGY 1 Why Be Concerned with Export Control Laws Certain export control laws may apply to FIT research activities here and abroad. Failure

More information

Export Controls Compliance

Export Controls Compliance Export Controls Compliance Division of Research The Research Foundation of State University of New York At Binghamton University The purpose of this document is to provide overall guidance on export control

More information

Indian Webinar Series:

Indian Webinar Series: Indian Webinar Series: National Security and Other U.S. Government Regulatory Requirements for U.S. India Inbound or Outbound Sales, Joint Ventures, Mergers and Acquisitions Valerie Demont, Michael Hordell,

More information

EXPORT COMPLIANCE MANUAL

EXPORT COMPLIANCE MANUAL EXPORT COMPLIANCE MANUAL Prepared By: John Fusco of Locke Lord LLP (07/21/2015) Approved By: Rick Parent - Export Compliance Mgr. Revision B TABLE OF CONTENTS Page 1. ASTRO-MED INC. REGULATORY COMPLIANCE

More information

The ITAR and the FCPA: What You Disclose May Hurt You. October 7, 2014

The ITAR and the FCPA: What You Disclose May Hurt You. October 7, 2014 The ITAR and the FCPA: What You Disclose May Hurt You October 7, 2014 Presenters Mark Srere Bryan Cave LLP Susan Kovarovics Bryan Cave LLP 2 Agenda Background on the FCPA Background on ITAR ITAR Part 129

More information

Interagency Review of Foreign National Access to Export-Controlled Technology in the United States. Executive Summary

Interagency Review of Foreign National Access to Export-Controlled Technology in the United States. Executive Summary Offices of Inspector General of the Departments of Commerce, Defense, Energy, Homeland Security, and State and the Central Intelligence Agency Report No. D-2004-062 April 16, 2004 Interagency Review of

More information

Export Controls. How to Comply with Export Controls. By Kimberly Marshall

Export Controls. How to Comply with Export Controls. By Kimberly Marshall Export Controls How to Comply with Export Controls By Kimberly Marshall Purpose of Regulation Technological superiority is a significant element in the defense of the United States, along with research,

More information

Addendum 529 (5/13) Page 1 of 5

Addendum 529 (5/13) Page 1 of 5 Additional Terms and Conditions E-2D Full Rate Production (FRP) Lot 2 (Prime Contract No. N00019-13-C-9999) All of the additional terms and conditions set forth below are incorporated in and made part

More information

Top 10 Questions to Ask Before Exporting Software Containing Encryption

Top 10 Questions to Ask Before Exporting Software Containing Encryption Top 10 Questions to Ask Before Exporting Software Containing Encryption January 14, 2009 Agenda Introduction FOSSBazaar Top Ten Questions Before Exporting Encryption Questions & Answers Speakers Eran Strod

More information

Trade Compliance & Exports

Trade Compliance & Exports Trade Compliance & Exports GETTING MAXIMUM RESULTS WITH LIMITED RESOURCES CREATING A PRACTICAL, RISK-BASED TRADE COMPLIANCE PROGRAM Gwendolyn L. Hassan, JD Manager of Corporate Compliance Office of the

More information

Export Control Management System

Export Control Management System Export Control Management System Export Controls are federal regulations and laws that restrict the export of certain controlled technologies in order to restrict access to goods and technology that have

More information

1. Not Subject to the EAR and Defense Article. (1) Reserved. (2) Reserved

1. Not Subject to the EAR and Defense Article. (1) Reserved. (2) Reserved 1. Not Subject to the EAR and Defense Article 734.3 (a) (NO REVISION) (b) The following are not subject to the EAR: (1) (NO REVISION) (2) (NO REVISION) (3) Information and software that: (i) Are published,

More information

ACE Recall Plus SM. Consumer Goods Application Form

ACE Recall Plus SM. Consumer Goods Application Form Please answer the following questions to provide ACE with the information necessary to properly evaluate your product recall insurance. This information is not only vital for evaluating your exposure;

More information

Investigation of Qioptiq Group Regarding Potential Violations of the Arms Export Control Act and the International Traffic in Arms Regulations

Investigation of Qioptiq Group Regarding Potential Violations of the Arms Export Control Act and the International Traffic in Arms Regulations 12/04/08 PROPOSED CHARGING LETTER Benoit Bazire CEO Qioptiq S.a.r.l. 5 Rue Guillaume Kroll L 1882 Luxembourg R.C.S. Luxembourg B 111.139 Re: Investigation of Qioptiq Group Regarding Potential Violations

More information

Export Control Compliance Program Guidelines April 2015

Export Control Compliance Program Guidelines April 2015 Export Control Compliance Program Guidelines April 2015 UML Export Control Guidelines rev4-16-15.docx - 1 - TABLE OF CONTENTS Introduction... 3 Institutional Policy (Management Commitment)... 4 Federal

More information

Freight Forwarder Roles in the Export Transaction. Theresa Sekula

Freight Forwarder Roles in the Export Transaction. Theresa Sekula Freight Forwarder Roles in the Export Transaction Theresa Sekula Presenter Theresa Sekula Manager, BDP Corporate Compliance Team Joined BDP in 2005, various roles including marine procurement, operations,

More information

International Trade Compliance Alert

International Trade Compliance Alert M A Y 2 0 1 1 International Trade Compliance Alert Proposed Change to the ITAR s Definition of Defense Services: Critical Analysis and Related Concerns Recently, the U.S. Department of State, Directorate

More information

RECOMMENDED CORE ELEMENTS OF AN AML TRAINING PROGRAM FOR LIFE INSURANCE AGENTS AND BROKERS

RECOMMENDED CORE ELEMENTS OF AN AML TRAINING PROGRAM FOR LIFE INSURANCE AGENTS AND BROKERS RECOMMENDED CORE ELEMENTS OF AN AML TRAINING PROGRAM FOR LIFE INSURANCE AGENTS AND BROKERS NOTICE: This document is provided to assist life insurance companies in the integration of their agents and brokers,

More information

Department of Commerce Regulatory Compliance Plan THIS PAGE INTENTIONALLY LEFT BLANK

Department of Commerce Regulatory Compliance Plan THIS PAGE INTENTIONALLY LEFT BLANK Regulatory Compliance Plan Version 1.0 May 2011 THIS PAGE INTENTIONALLY LEFT BLANK Table of Content Background... 1 NMFS Regulatory and Enforcement Activities... 1 NMFS Currently Available Information...

More information

SECURITIES EXAMINER (ENTRY) 5670

SECURITIES EXAMINER (ENTRY) 5670 SECURITIES EXAMINER (ENTRY) 5670 GENERAL DESCRIPTION OF CLASS The SECURITIES EXAMINER (ENTRY), under the guidance of a Securities Examiner, analyzes and evaluates the activities of individuals and businesses

More information

Addressing ITAR compliance with Teamcenter

Addressing ITAR compliance with Teamcenter Addressing ITAR compliance with Teamcenter White Paper Providing a framework for managing export control Teamcenter software enables companies to securely manage sensitive information and other highly

More information

Louisiana State University A&M Campus Export Control Compliance Manual October 2013

Louisiana State University A&M Campus Export Control Compliance Manual October 2013 Louisiana State University A&M Campus Eport Control Compliance Manual October 2013 Acknowledgements: The information in this document has been derived from sources including University of Massachusetts

More information

Table of Contents 758.1 THE ELECTRONIC EXPORT INFORMATION (EEI) FILING TO THE AUTOMATED EXPORT SYSTEM (AES)

Table of Contents 758.1 THE ELECTRONIC EXPORT INFORMATION (EEI) FILING TO THE AUTOMATED EXPORT SYSTEM (AES) Export Clearance Requirements Part 758-page 1 Table of Contents 758.1 THE ELECTRONIC EXPORT INFORMATION (EEI) FILING TO THE AUTOMATED EXPORT SYSTEM (AES)1 758.2 AUTOMATED EXPORT SYSTEM (AES)... 5 758.3

More information

Table of Contents 734.1 INTRODUCTION 734.1 INTRODUCTION... 1 734.2 IMPORTANT EAR TERMS AND PRINCIPLES... 1 734.3 ITEMS SUBJECT TO THE EAR..

Table of Contents 734.1 INTRODUCTION 734.1 INTRODUCTION... 1 734.2 IMPORTANT EAR TERMS AND PRINCIPLES... 1 734.3 ITEMS SUBJECT TO THE EAR.. Scope of the Export Administration Regulations Part 734 - page 1 Table of Contents 734.1 INTRODUCTION... 1 734.2 IMPORTANT EAR TERMS AND PRINCIPLES... 1 734.3 ITEMS SUBJECT TO THE EAR.. 4 734.4 DE MINIMIS

More information

the Export Transaction Michael Ford

the Export Transaction Michael Ford Freight Forwarder Roles in the Export Transaction Michael Ford s1 Presenter Michael J. Ford Vice President of BDP International for Regulatory Compliance and Quality Over 31 years of service with BDP working

More information

Dual-Use Export Controls on Nanotechnology

Dual-Use Export Controls on Nanotechnology Dual-Use Export Controls on Nanotechnology JAMIE A. JOINER ABSTRACT One of the most important policy challenges posed by the proliferation of nanoscience and nanotechnology is preventing dangerous uses

More information

CHINA S EXPORT CONTROLS AND ENCRYPTION REGULATIONS

CHINA S EXPORT CONTROLS AND ENCRYPTION REGULATIONS CHINA S EXPORT CONTROLS AND ENCRYPTION REGULATIONS Chris Cloutier December 11, 2008 OVERVIEW CHINA S EXPORT CONTROL REGIME International Commitments Statutory Framework Regulatory Framework Key Organizations

More information

Anna M. Lascurain Deputy Attorney General

Anna M. Lascurain Deputy Attorney General PETER C. HARVEY ATTORNEY GENERAL OF NEW JERSEY 124 Halsey Street Newark, New Jersey 07101 Attorney for Plaintiff Franklin Widmann, Bureau Chief New Jersey Bureau of Securities Anna M. Lascurain Deputy

More information

Department of State Questions. 1. Why do I need to get the U.S. Government s approval to export and import defense articles and defense services?

Department of State Questions. 1. Why do I need to get the U.S. Government s approval to export and import defense articles and defense services? Department of State Questions 1. Why do I need to get the U.S. Government s approval to export and import defense articles and defense services? Because Section 38 of the Arms Exports Control Acts (AECA)

More information

International Traffic in Arms Regulations (ITAR): Who must comply, what is controlled and where do we go from here?

International Traffic in Arms Regulations (ITAR): Who must comply, what is controlled and where do we go from here? International Traffic in Arms Regulations (ITAR): Who must comply, what is controlled and where do we go from here? Lisa Bencivenga President Lisa Bencivenga, LLC February 20-22, 2013 Orlando World Marriott

More information

COMPUTER SOFTWARE AS A SERVICE LICENSE AGREEMENT

COMPUTER SOFTWARE AS A SERVICE LICENSE AGREEMENT COMPUTER SOFTWARE AS A SERVICE LICENSE AGREEMENT This Agreement is binding on the individual and the company, or other organization or entity, on whose behalf such individual accepts this Agreement, that

More information

EMPLOYMENT PRACTICES LIABILITY INSURANCE APPLICATION

EMPLOYMENT PRACTICES LIABILITY INSURANCE APPLICATION 595 STEWART AVE GARDEN CITY, NEW YORK 11530-4735 P 516-745-1111 F 516-745-5733 SOBELINS.COM EMPLOYMENT PRACTICES LIABILITY INSURANCE APPLICATION NOTICE: THE POLICY FOR WHICH THIS APPLICATION IS SUBMITTED

More information

You ve Been Served: What Does the Company Do When a Federal Grand Jury Subpoena Arrives at the Door?

You ve Been Served: What Does the Company Do When a Federal Grand Jury Subpoena Arrives at the Door? Thursday, April 18, 2013 You ve Been Served: What Does the Company Do When a Federal Grand Jury Subpoena Arrives at the Door? Craig Denney Counsel, Snell & Wilmer L.L.P. ERAI Executive Conference - Orlando,

More information

CONTACT INFORMATION FOR RISK MANAGEMENT SERVICES

CONTACT INFORMATION FOR RISK MANAGEMENT SERVICES NEW BUSINESS APPLICATION FOR EMPLOYMENT PRACTICES LIABILITY INSURANCE Farmington Casualty Company Hartford, CT 06183 This application is for a claims-made policy which includes defense expense within the

More information

Anti-Bribery and Books & Records Provisions of. The Foreign Corrupt Practices Act. Current through Pub. L. 105-366 (November 10, 1998)

Anti-Bribery and Books & Records Provisions of. The Foreign Corrupt Practices Act. Current through Pub. L. 105-366 (November 10, 1998) [As of July 22, 2004] Anti-Bribery and Books & Records Provisions of The Foreign Corrupt Practices Act Current through Pub. L. 105-366 (November 10, 1998) UNITED STATES CODE TITLE 15. COMMERCE AND TRADE

More information

Rules and Regulations

Rules and Regulations 1059 Rules and Regulations Federal Register Vol. 76, No. 5 Friday, January 7, 2011 This section of the FEDERAL REGISTER contains regulatory documents having general applicability and legal effect, most

More information

BROKER AND CARRIER AGREEMENT

BROKER AND CARRIER AGREEMENT P.O. Box 889 394 NE Hemlock Redmond, OR 97756 BROKER AND CARRIER AGREEMENT All loads tendered by Central Oregon Truck Company ("Broker") and accepted for transportation by third party carriers ("Carrier")

More information

A service offering of Joiner Law Firm PLLC

A service offering of Joiner Law Firm PLLC Joiner Trade Solutions SM is a service offering of Joiner Law Firm PLLC. VISION Our vision is to be the preeminent provider of international trade compliance solutions in the global marketplace. MISSION

More information

Name of Insurance Company to which Application is made THE HARTFORD CYBERCHOICE 1.0 LIABILITY POLICY INSURANCE APPLICATION

Name of Insurance Company to which Application is made THE HARTFORD CYBERCHOICE 1.0 LIABILITY POLICY INSURANCE APPLICATION Name of Insurance Company to which Application is made THE HARTFORD CYBERCHOICE 1.0 LIABILITY POLICY INSURANCE APPLICATION This is an application for a CLAIMSMADE AND REPORTED Policy If a policy is issued,

More information

Heather L. Hughes, J.D. HIPAA Privacy Officer U.S. Legal Support, Inc. hhughes@uslegalsupport.com www.uslegalsupport.com

Heather L. Hughes, J.D. HIPAA Privacy Officer U.S. Legal Support, Inc. hhughes@uslegalsupport.com www.uslegalsupport.com Heather L. Hughes, J.D. HIPAA Privacy Officer U.S. Legal Support, Inc. hhughes@uslegalsupport.com www.uslegalsupport.com HIPAA Privacy Rule Sets standards for confidentiality and privacy of individually

More information

Foreign Corrupt Practices Act and Anti- Corruption Laws Compliance, Investigations, and Defense

Foreign Corrupt Practices Act and Anti- Corruption Laws Compliance, Investigations, and Defense Foreign Corrupt Practices Act and Anti- Corruption Laws Compliance, Investigations, and Defense Starting in 2007, the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC)

More information

EXPORT CONTROLS The Challenge for U.S. Universities. Julie T. Norris (ret.) Office of Sponsored Programs Massachusetts Institute of Technology

EXPORT CONTROLS The Challenge for U.S. Universities. Julie T. Norris (ret.) Office of Sponsored Programs Massachusetts Institute of Technology EXPORT CONTROLS The Challenge for U.S. Universities Julie T. Norris (ret.) Office of Sponsored Programs Massachusetts Institute of Technology OVERVIEW Purpose Export controls and embargoes Application

More information

Regulatory Compliance and Trade

Regulatory Compliance and Trade Regulatory Compliance and Trade Global Transaction Services Cash Management Trade Services and Finance Securities Services Fund Services Regulatory Compliance and Trade 2007 These materials are provided

More information

Insights and Commentary from Dentons

Insights and Commentary from Dentons dentons.com Insights and Commentary from Dentons The combination of Dentons US and McKenna Long & Aldridge offers our clients access to 1,100 lawyers and professionals in 21 US locations. Clients inside

More information

Action Affecting Export Privileges; ANVIK TECHNOLOGIES SDN. BHD., a/k/a Anvik Technologies; BABAK JAFARPOUR, a/k/a BOB JEFFERSON

Action Affecting Export Privileges; ANVIK TECHNOLOGIES SDN. BHD., a/k/a Anvik Technologies; BABAK JAFARPOUR, a/k/a BOB JEFFERSON Billing Code: 3510-DT-P Department of Commerce Bureau of Industry and Security Action Affecting Export Privileges; ANVIK TECHNOLOGIES SDN. BHD., a/k/a Anvik Technologies; BABAK JAFARPOUR, a/k/a BOB JEFFERSON

More information

Case 1:14-cv-01028-RMC Document 65-8 Filed 09/30/14 Page 1 of 10 EXHIBIT G

Case 1:14-cv-01028-RMC Document 65-8 Filed 09/30/14 Page 1 of 10 EXHIBIT G Case 1:14-cv-01028-RMC Document 65-8 Filed 09/30/14 Page 1 of 10 EXHIBIT G Case 1:14-cv-01028-RMC Document 65-8 Filed 09/30/14 Page 2 of 10 STATE RELEASE I. Covered Conduct For purposes of this Release,

More information

EXPORT COMPLIANCE OFFICE (ECO) MANUAL

EXPORT COMPLIANCE OFFICE (ECO) MANUAL EXPORT COMPLIANCE OFFICE (ECO) MANUAL LIST OF ABBREVIATIONS BIS CCATS CCL CJ CMU CTTEC DDTC EAR ECCN ECO EO FBE FFRDC FRE IEEPA ITAR NREC NSDD OFAC ORIC RPS SDNL SEI TCP TWEA USML Bureau of Industry and

More information

OFAC Compliance Overview and Recent Trends

OFAC Compliance Overview and Recent Trends OFAC Compliance Overview and Recent Trends Frederick E. Curry III Deloitte Transactions and Business Analytics LLP December 2015 Institute of International Bankers & Conference of State Bank Supervisors

More information

INTANGIBLE TRANSFER OF TECHNOLOGY (ITT) : Regulatory Perspective. Presented by Hjh Nuraffiza Ahmad Strategic Trade Division SKMM

INTANGIBLE TRANSFER OF TECHNOLOGY (ITT) : Regulatory Perspective. Presented by Hjh Nuraffiza Ahmad Strategic Trade Division SKMM INTANGIBLE TRANSFER OF TECHNOLOGY (ITT) : Regulatory Perspective Presented by Hjh Nuraffiza Ahmad Strategic Trade Division SKMM 8 January 2014 Definition Section 2, Strategic Trade Act 2010 - Interpretation

More information

Sub. H.B. 9 * 126th General Assembly (As Reported by H. Civil and Commercial Law)

Sub. H.B. 9 * 126th General Assembly (As Reported by H. Civil and Commercial Law) Aida S. Montano Bill Analysis Legislative Service Commission Sub. H.B. 9 * 126th General Assembly (As Reported by H. Civil and Commercial Law) Reps. Oelslager, Flowers, Buehrer, White, Trakas BILL SUMMARY

More information

Welcome to the World of Public Cloud Collaboration Allowing Enhanced Security

Welcome to the World of Public Cloud Collaboration Allowing Enhanced Security Whitepaper Welcome to the World of Public Cloud Collaboration Allowing Enhanced Security A New, More Secure, and More Efficient Approach to Storage, Management and Collaboration for ITAR-defined Technical

More information

POLICY SUBJECT: EFFECTIVE DATE: 5/31/2013. To be reviewed at least annually by the Ethics & Compliance Committee COMPLIANCE PLAN OVERVIEW

POLICY SUBJECT: EFFECTIVE DATE: 5/31/2013. To be reviewed at least annually by the Ethics & Compliance Committee COMPLIANCE PLAN OVERVIEW Compliance Policy Number 1 POLICY SUBJECT: EFFECTIVE DATE: 5/31/2013 Compliance Plan To be reviewed at least annually by the Ethics & Compliance Committee COMPLIANCE PLAN OVERVIEW Sound Inpatient Physicians,

More information

Export Record Keeping Requirements. July, 21 2011

Export Record Keeping Requirements. July, 21 2011 Export Record Keeping Requirements July, 21 2011 Presenter Michael J. Ford Vice President of BDP International for Regulatory Compliance and Quality Over 31 years of service with BDP working in both Import

More information

Foreign Corrupt Practices Act Amendments 1

Foreign Corrupt Practices Act Amendments 1 Foreign Corrupt Practices Act Amendments 1 Appendix E SEC. 5001. SHORT TITLE. This part may be cited as the Foreign Corrupt Practices Act Amendments of 1988. SEC. 5002. PENALTIES FOR VIOLATIONS OF ACCOUNTING

More information

US EXPORT CONTROLS & MARGARET M. GATTI, ESQ. LOUIS K. ROTHBERG, ESQ. FEBRUARY 23, 2012. www.morganlewis.com

US EXPORT CONTROLS & MARGARET M. GATTI, ESQ. LOUIS K. ROTHBERG, ESQ. FEBRUARY 23, 2012. www.morganlewis.com US EXPORT CONTROLS & CLOUD COMPUTING MARGARET M. GATTI, ESQ. LOUIS K. ROTHBERG, ESQ. FEBRUARY 23, 2012 www.morganlewis.com WHAT IS CLOUD COMPUTING? Cloud Computing is a broad term with varied meanings

More information

Acquiring a Federal Government Contractor: Avoiding Pitfalls

Acquiring a Federal Government Contractor: Avoiding Pitfalls Acquiring a Federal Government Contractor: Avoiding Pitfalls Erin L. Toomey, Foley & Lardner LLP, with Practical Law Commercial This Practice Note highlights common pitfalls to avoid in an acquisition

More information

758.1 THE SHIPPER S EXPORT DECLARATION (SED) OR AUTOMATED EXPORT SYSTEM (AES) RECORD

758.1 THE SHIPPER S EXPORT DECLARATION (SED) OR AUTOMATED EXPORT SYSTEM (AES) RECORD Export Clearance Requirements Part 758-page 1 758.1 THE SHIPPER S EXPORT DECLARATION (SED) OR AUTOMATED EXPORT SYSTEM (AES) RECORD (a) The Shipper s Export Declaration (SED) or Automated Export System

More information

This Policy supersedes the Terex Corporation Policy on Transactions in Iran, dated June 7, 2013.

This Policy supersedes the Terex Corporation Policy on Transactions in Iran, dated June 7, 2013. TEREX CORPORATION POLICY REGARDING TRANSACTIONS IN IRAN (the Policy ) applies to all Terex operations and Terex team members worldwide. This Policy supersedes the Terex Corporation Policy on Transactions

More information