Counter-Proliferation

Question 1

What is counter-proliferation?

Answer 1

Definition: Is an effort to combat an excess of weapons, including weapons of mass destruction, related technology, long-range missiles, and certain conventional weapons that threaten the U.S.

Purpose: The U.S. Depart of Commence Bureau of Industry and Security (BIS) administers and enforces export controls on dual-use and certain munitions items through Export Administration Regulations (EAR) under the authority of the International Emergency Economic Powers Act (IEEPA)

Question 2

Export enforcement has three program offices

Answer 2

Office of Export Enforcement (only federal agency exclusively dedicated to the enforcement of export control law)

Office of Enforcement Analysis (supports the identification, prevention, investigation, and prosecution of illegal exports, re-exports and transfer of items subject to EAR.

Office of Anti-Boycott Compliance (administers and enforces antiboycott provisions of the EAR)

Question 3

Any indication of of illicit proliferation of defense materials must be reported to DCSA under what?

Answer 3

NISPOM 1-301 and 1-302b

Question 4

BIS Policy Guidance Files (Export Control Violation Policies)

Answer 4

BIS & Security Administered Lists (Denied persons list, entity list, unverified list, consolidated screening list)

Criminal and Civil Penalties (admin penalties have wider scope, no intent)

Voluntary Self-Disclosures (VSD’s)

Denial of Export Privileges

Asset forfeiture (greatly exceed criminal fines or civil penalties. No statutory maximum)

False Statements (criminal/administrative sanctions)

Question 5

EAR99

Answer 5

classification for an item that is subject to the EAR

Question 6

Permission Guidelines

Answer 6

Responsible parties: (Ear applicable to OCONUS and CONUS)

Transshipment and re-exports (can’t ship to third country)

Catch-all: apply to broad set of items or WMD activities. Applies even if the item wouldn’t ordinarily require a license based on its technical specifications

Successor Liability: Due diligence exam

Educational Outreach: Raise awareness of export control requirements/prevent EAR violations. Provides to foreign and U.S.)

Cyber-Intrusions and Data: Threat to company Intellectual property and national security

Question 7

Export Control Compliance

Answer 7

Export Control Violations: Supplements 1 and 2 to part 766 (compliance program under BIS

Export Compliance Program (ECP) 8 guidelines (element: functional level audits/program level audits; record keeping; training; export authorization; export violations and corrective actions; management commitment; build and maintain your export compliance manual; risk assessment)

Question 8

ITAR & EAR

Answer 8

International Traffic and Arms Regulations: export control regulations run by dif departments of U.S. Gov.

Designed to ensure defense-related tech doesn’t get into wrong hands.

Agencies:
U.S. Dept of Commerce BIS: Admins/enforces control on dual-use and certain items through EAR under authority of International Emergency Economic Powers Act

Dept of State: Controls export of defense articles and services subject to ITAR

Dept of Energy: Controls techn related to production of special nuclear materials

Nuclear Regulatory Commission: Controls the export of certain nuclear materials and equipment

U.S. Dept of Treasury: Administers economic sanction programs

Defense Counterintelligence and Security Agency: May take appropriate action in the case of exports involving classified tech data or defense articles to ensure compliance with the DoD National Security Program Operating Manual (NISPOM)

Question 9

Steps to obtain export license

Answer 9

License requirements depends on item being exported

ECCN export control classification number will identify dual-use items for control purposes)–Look this up to see if your item falls under EAR/ITAR

Go to BIS website: Select licensing–>Select Simplified Network Application Process Redesign ‘SNAP-R’ register–>At this point you should receive an ID#–>You may now apply for the license–>It may take 30-40 minutes

Question 10

Where do you report export red flags

Answer 10

BIS website–>Export Control Office, Export counselors, and red flag indicator

Question 11

Which of the following are partnering organizations

Answer 11

OEE, OAC, OEA, DCSA

Question 12

Resource where the information about the end-user can be found

Answer 12

Consolidation Lists

Question 13

Which BIS link is appropriate for looking up an ECCN?

Answer 13

Commerce Control List

Question 14

Which two BIS resource links are appropriate to get an export license?

Answer 14

BIS–>Licensing and Application

Question 15

Where to find Penalty guidelines for not complying?

Answer 15

BIS–>Enforcement, Penalties guideline, Office of Export enforcement