As you probably know if you're visiting this site, there are a multitude of United States Government agencies that seek to regulate almost every aspect of export activity, through a host of complex, sometimes overlapping regulations. Below is a virtual library of sites on the internet at which much of the export control information you need can be found, organized in the form of an outline of the entire subject of export controls.
Since the list contains virtually every website that I am likely to visit in a day of practicing export control law, I open the list first thing every morning and keep it open on my desktop for handy reference. Feel free to do the same by adding this page to your Favorites.
Notification of sites that have moved or no longer exist - and suggestions of sites that should be added to this outline - will be greatly appreciated.
I. Introduction
II. Via Regulatory Agency - Who's Watching?
III. Via Product/Technology - What's Going?
IV. Via Country - Where's It Going?
V. Via Participants - Who's Involved?
VI. Via End-Use - What's It For?
VII. Compliance Programs
VIII. Enforcement Actions - Who's Been Caught?
Appendix A: Penalties For Violations
I. Introduction
A number of United States Government agencies seek to control certain exports (including disclosures of technology to foreign nationals), reexports of certain U.S.-origin items and technologies, involvement of certain individuals in U.S. export transactions, and transactions involving U.S. persons and certain countries and end-use activities, through a complex web of intersecting regulations. Certain regulations focus on what's being exported and where; others focus on who's involved in the transaction; and others focus on the end-uses served.
There are a number of ways to access these controls, e.g., via the agencies involved, via the items/technologies involved, and so on. Links are grouped below via (i) Regulatory Agencies, (ii) Products/Technologies, (iii) Destinations and (iv) Participants.
II. Via Regulatory Agency - Who's Watching?
An agency of the Commerce Department regulates exports of so-called "dual-use" items (items that have potential military uses as well as commercial applications) and related technologies. An agency of the State Department regulates exports of defense articles and services. And an agency of the Treasury Department regulates transactions involving U.S. persons.
A. Commerce Department - Bureau Of Industry And Security ("BIS") - "Dual-Use" Items/Technology
- Website
- Export Administration Regulations
- EAR Definitions
- Explanatory Information:
a. Basics
b. Steps For Using The EAR - Reexports Of U.S.-Origin Item/Technologys
- "Know Your Customer"
- "Red Flags"
- Advisory Opinions
- Record Keeping Requirements
B. State Department - Directorate Of Defense Trade Controls ("DDTC")
- Website
- Violations (PDF)
- International Traffic In Arms Regulations ("ITAR")
- ITAR Definitions (PDF)
- Mandatory Registration:
a. Regulations (PDF)
b. Guidelines (PDF) - Contact: (202) 663-1282
C. Treasury Department - Office Of Foreign Assets Control ("OFAC")
- Website
- OFAC Regulations
- OFAC FAQ
a. Including Questions from/about:
i. Exporters & Importers
ii. Financial Institutions
iii. Insurance Institutions
iv. Licensing
v. Online Compliance
vi. Specially Designated Nationals
vii. Syria
viii. Technology - OFAC Sanctions Programs - See "Where's It Going" (Below)
- Contact: (202) 622-2490
D. Additional Agencies With Export Control Responsibilities
III. Via Product/Technology - What's Going?
A. Dual-Use Items (Commerce Department/BIS)
- Commerce Control List ("CCL")
- CCL Categories
Category 0 - Nuclear Materials, Facilities & Equipment (& Misc. Items)
Category 1 - Materials, Chemicals, Microorganisms & Toxins
Category 2 - Materials Processing
Category 3 - Electronics Design, Development & Production
Category 4 - Computers
Category 5 (part 1) - Telecommunications
Category 5 (part 2) - Information Security (Encryption)
Category 6 - Sensors & Lasers
Category 7 - Navigation & Avionics
Category 8 - Marine
Category 9 - Propulsion Systems, Space Vehicles & Related - Encryption - The Special Case
a. Quick Links
b. License Exception ENC - Generally
....i. June 25, 2010 Amendments
....ii.Chart - License Exceptions ENC
....iii.Chart - Mass Market Software
c. Additional Concerns
....i. Encryption Registrations
....ii. Beta Test Encryption Software
....iii. NLR Notice Requirements - Advisory Opinions
B. Munitions List Items (State Department/DDTC)
- Munitions List
Category I - Firearms
Category II - Artillery Projectors
Category III - Ammunition
Category IV - Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs & Mines
Category V - Explosives, Propellants, Incendiary Agents & Their Constituents.
Category VI - Vessels of War & Special Naval Equipment
Category VII - Tanks & Military Vehicles
Category VIII - Aircraft, [Spacecraft] & Associated Equipment
Category IX - Military Training Equipment
Category X - Protective Personnel Equipment
Category XI - Military [& Space] Electronics
Category XII - Fire Control, Range Finder, Optical & Guidance & Control Equipment
Category XIII - Auxiliary Military Equipment
Category XIV - Toxicological Agents & Equipment & Radiological Equipment
Category XV - Spacecraft Systems & Associated Equipment
Category XVI - Nuclear Weapons Design & Test Equipment
Category XVII - Classified Articles, Technical Data & Defense Services Not Otherwise Enumerated.
Category XVIII & XIX - [Reserved]
Category XX - Submersible Vessels , Oceanographic and Associated Equipment
Category XXI - Miscellaneous Articles, being any article (not specifically enumerated in other categories the Munitions List) which, as determined by DDTC
.... a. has substantial military applicability, and
... .b. has been specifically designed, developed, configured, adapted, or modified for military purpose. including technical data and defense services directly related to such articles.
IV. Via Country - Where's It Going?
A. Overview Of Country Restrictions
B. EAR (Dual-Use Items - Commerce Department/BIS)
C. OFAC Embargoed Countries
- Balkans - Related Sanctions
- Belarus Sanctions
- Burma Sanctions
- Cote d'Ivoire (Ivory Coast) - Related Sanctions
- Counter Narcotics Trafficking Sanctions
- Counter Terrorism Sanctions
- Cuba Sanctions
- Democratic Republic of the Congo - Related Sanctions
- Diamond Trading Sanctions
- Iran Sanctions
- Iraq - Related Sanctions
- Former Liberian Regime of Charles Taylor Sanctions
- Lebanon - Related Sanctions
- Lybia Santions
- Non-Proliferation Sanctions
- North Korea Sanctions
- Somalia Sanctions
- Sudan Sanctions
- Syria Sanctions
- Transnational Criminal Organizations
- Zimbabwe Sanctions
D. ITAR Prohibited Countries (currently)
| Afghanistan | Libya |
| Belarus | Myanmar (formerly Burma) |
| China | N. Korea |
| Cuba | Rwanda |
| Democratic Republic of the Congo (formerly Zaire) | Somalia |
| Haiti | Sudan |
| Iran | Syria |
| Iraq | Venezuela |
| Liberia | Vietnam |
Plus any UN Security Council arms embargoed country (e.g., certain exports to Rwanda)
V. Via Participants - Who's Involved?
A. Deemed Exports (disclosures of controlled technology/source code to foreign nationals within the U.S)
- Generally
- "Foreign National" Defined:
Any citizen of a country other than the United States except persons lawfully admitted for permanent residence in the United States and persons who are protected individuals under the Immigration and Naturalization Act (8 U.S.C. 1324b(a)(3)).
B. Forbidden Participants - Lists To Check
- Denied Persons List (BIS)
- Unverified List (BIS)
- Entity List (BIS; e.g., China, India, Israel, Pakistan, Russia)
- Specially Designated Nationals List (OFAC)
- Debarred List (DDTC)
- Non-Proliferation Sanctions List (DDTC)
VI. Via End-Use - What's It For?
A. EAR
B. Particular Control Regimes Of Which The U.S. Is A Member
- Nuclear
a. Nuclear Nonproliferation Treaty
b. Nuclear Nonproliferation Regimes
c. Nuclear Suppliers Group
.....i. Overview
.....ii.NSG Guidelines For Nuclear-Related Transfers
d. Country Information - Chemical-Biological
a. The Australia Group
.....i. Website
.....ii. Common Control Lists
..........(a) Chemical Precursors
..........(b) Dual-Use Chemical Manufacturing
..........(c) Dual-Use Biological Equipment
..........(d) Biological Agents
..........(e) Plant Pathogens
..........(f) Animal Pathogens - Missile Technology Control Regime ("MTCR")
a. Generally
b. Member States
c. MTCR Guidelines
d. MTCR Equipment, Software & Technology Annex (PDF)
VIII. Enforcement Actions - Who's Been Caught?
A. Commerce Department/BIS
- Charging Letters, Decisions And Settlement Agreements
- "Don't Let This Happen To You"
- Results of Voluntary Disclosures
a. FY 2005
b. FY 2006
c. FY 2007
d. FY 2008
e. FY 2009
B. State Department / DDTC
Appendix A. Penalties for Violationsi
Export Administration Regulations (EAR)ii
Criminal Sanctions:
"WILLFUL VIOLATIONS"
Company/Institution - A fine of up to the greater of $1,000,000 or five times the value of the exports for each violation; Individual - A fine of up to $250,000 or imprisonment for up to ten years, or both, for each violation.
"KNOWING VIOLATIONS"
Company/Institution - A fine of up to the greater of $50,000 or five times the value of the exports for each violation; Individual - A fine of up to the greater of $50,000 or five times the value of the exports or imprisonment for up to five years, or both, for each violation.
Civil (Administrative) Sanctions:
The imposition of a fine of up to $12,000 for each violation, except that the fine for violations involving items controlled for national security reasons is up to $120,000 for each violation.
Additionally, for each violation of the EAR any or all of the following may be imposed: (i) denial of export privileges; and/or (ii) exclusion from practice; and/or (iii) seizure/forfeiture of goods.
International Traffic In Arms Regulations (ITAR)
Criminal Sanctions:
Company/Institution - A fine of up to $1,000,000 for each violation; Individual - A fine of up to $1,000,000 or up to ten years in prison, or both, for each violation.
Civil Sanctions:
Company/Institution - A fine of up to $500,000 for each violation; Individual - A fine of up to $500,000 for each violation. Additionally, for any violation of the ITAR either or both of the following may be imposed: (i) denial of export privileges; and/or (ii) seizure/forfeiture of goods.
Office Of Foreign Assets Control (OFAC)
Criminal Sanctions:
Company/Institution - A fine of up to $1,000,000 for each violation; Individual - A fine of up to $1,000,000 or up to twenty years in prison, or both, for each violation.
Civil Sanctions:
Company/Institution - A fine of up to $55,000 for each violation; Individual - A fine of up to $55,000 for each violation. Additionally, for any violation of the OFAC regulations, seizure and forfeiture of goods may result.
i Source: http://www.stanford.edu/dept/DoR/exp_controls/penalty.html
ii Penalties for violations of the Export Administration Regulations presently fall under the purview of the International Emergency Powers Act (IEEPA), pending reauthorization of the Export Administration Act (EAA). IEEPA sanctions are as follows:
Criminal Sanctions:
Company/Institution - A fine of up to $50,000 for each violation; Individual - A fine of up to $50,000 or imprisonment for up to twenty years, or both, for
each violation.
Civil (Administrative) Sanctions:
Company/Institution - A fine of up to $50,000 for each violation; Individual - A fine of up to $50,000 or imprisonment for up to twenty years, or both, for
each violation.
Additionally, for each violation of the IEEPA any or all of the following may
be imposed: (i) denial of export privileges; and/or (ii) exclusion from practice;
and/or seizure/forfeiture of goods.
Website Woes
The government is pressing criminal charges against two Utah men for offering via the internet to sell parts for F-4 and F-14 jets. Since Iran is the only country that now uses those planes, their intent to violate the ITAR will be hard to disprove. They should have known better, not only for reasons of good citizenship: A couple of years ago, several American catalogue companies were similarly nabbed by a an agent surfing the web, who noted that they were exporting scopes for hunting rifles to Canada without a license.
A former client drew unwanted attention to itself by neglecting to remove some puff from its site. Turned out that, several years before, when the company was revamping its website, it was hoping to market its technology for use in designing rockets. But when that bit of R&D fizzled, no one thought to remove the optimistic language from the website. When ICE came calling, some fancy footwork was required to convince the Commerce Department that the products the company was exporting under EAR99 were of no use whatsoever in designing rockets.
Creeping VEU-ism
Validated End-User (VEU) authorization, heretofore available only for China, is now also available for the licensing of certain exports to India. See 15 CFR 748.15(b) (as amended, effective October 2, 2007).