CPI Investigations Flashcards
3 questions to ask when starting a CPI case?
1) what is it?
2) where is it going?
3) does it need a license?
deemed export:
- when a foreign national in the US gains access to info, data, schematics, training without authorization
general license:
- not a controlled item
- not on USML or CCL
- no application or written approval needed for export
validated license:
- written authorization needed for export
- listed on USML or CCL
- commodity can be any value
electronic export information (EEI)
- must be filed 24 hours prior to export through AES
- required for all shipments with a validated license
- required for all general license items over $2500
failure to file EEI:
- civil penalties
penalty for false info on EEI:
- criminal penalties 18 usc 1001
how long can you detain an outbound shipment for further investigation?
- as long as necessary to get a license determination
denied persons list:
- a BIS list of individuals barred from exporting goods and services from the US based on prior EEA/EAR/IEEPA violations.
when initiating an investigation against a new target, the target should be checked against these lists for potential previous violations:
- denied persons list
- entities list
- unverified list
what is the 10 general prohibitions list?
- a list of violations that exporters may not engage in
18 USC 554 - Outbound smuggling
- fraudulently or knowingly
- exporting merchandise
- contrary to ANY law or regulation of the US
penalty for 554
- up to 10 years
In order to charge a person for exporting without a license, prosecution must prove specific intent in these 3 ways:
- exporter knew of a license requirement AND
- exporter intentionally avoided the license requirement
- for OFAC violations prosecution must prove exporter knew they were exporting to a sanctioned or embargoed entity.
how to prove specific intent:
- UC
- documents through search warrants
- historical documents
- interviews
- RFQ’s
- written communications
3 general types of investigations:
- proactive, reactive, and historical
CPI priorities
- stop export first
- arrest second
agents should NEVER make a license ______
- determination
to obtain a license determination:
- make a request to ECC through EARS (exodus accountability and referral system)
- ECC will return an official written determination within months.
proactive investigation
- export has not yet occured
retroactive investigation
- export in progress
- interdiction priority over prosecution
historical investigation
- export has already occured
- attempt redelivery
- request end use checks through licensing agencies
hsi export subpoena
- only ADMIN subpoena used for CPI cases
grand jury subpoena
- obtain through AUSA for grand jury investigations
foreign documents
- request via ROI to HSI attache over seas
MLAT (mutual legal assistance treaty)
- foreign documents requested through DOJ for use as evidence
CMAA (customs mutual assistance agreement)
- an agreement between 65 countries to share documents between agency to agency
what is the primary undercover tactic of HSI CPI
- storefront operation
to avoid legal issues resulting from unintentional exposure of information, strive for ______ _______
- “taint team” review of all materials seized prior to review by case agent.
dual criminality concept:
- conduct of criminals in foreign countries for violation of US export laws MUST also be seen as CRIMINAL
provisional arrest warrant:
- foreign country can make an arrest based on our indictment.
all foreign arrests require:
- DOJ and ICE approval, chief of mission authority, HSI approval and coordination
luring a target requires multiple approvals:
- DOJ headquarters
- State department
- HSI office of internal affairs
jail time for violations of CPI laws like AECA and EAA:
- between 63 and 78 months
typical export transaction:
- request for quotation (RFQ)
- quotation
- purchase order (PO)
- pro forma invoice (PFI)
- payment
- commercial invoice/packing list
- electronic export information (EEI)
- export
project shield america:
- developed as a means to reach out to private sector, export industry, brokers, etc
- private industry cooperation with HSI investigators
e2c2
- primary purpose is to deconflict
- export information clearinghouse
exodus command center (ECC)
- the central POC for any CPI related questions between special agents and CPI headquarters.
- ECC requests are only accepted through the Exodus Accountability Referral System (EARS).
all requests for license determinations are submitted in _______
- ears
