Where Industry and Security Intersect
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Pre-license Checks and Post-Shipment Verification:
All export license applications are screened electronically by
EE to ensure items are not illegally exported. In addition EE reviews specific
individual license applications to assess diversion risks, identify potential
violations, and determine the reliability of those receiving controlled U.S.-origin
commodities or technical data. In some instances EE, or another Federal agency,
requests that a pre-license check be conduced to determine the bona fides
of the transaction and suitability of the end-user. The result of this check
is factored into the licensing recommendation EE makes to BIS's licensing
offices. In addition, EE carries out post-shipment verifications to ensure
that a controlled U.S.-origin item has actually been delivered to the authorized
ultimate consignee or end-user and that it is being used as claimed on the
export license application.
Safeguards Verification Program:Annually, EE conducts numerous on-site safeguard verification trips around the world. During these trips, pre-license checks and post-shipment verifications are conducted on controlled U.S. goods, especially those of proliferation concern. In cases where EE's Safeguards Verification Teams discover items are being used inappropriately or in a manner that is inconsistent with an export license they work closely with host government officials to correct the situation. The EE verification teams also assess the suitability of foreign firms to receive U.S.-origin goods and technologies that require U.S. validated licenses.
SED Review Program: EE conducts on-site reviews of selected Shipper's Export Declarations (SED) at U.S. ports before goods are exported and again after shipments are made. These on-site reviews are conducted to uncover attempts to export items illegally which require a validated export license from the Department of Commerce. Items for export to destinations of concern and exports of proliferation concern are targeted specifically.
Visa Application Review Program: Initiated in 1990, the Visa Application Review Program attempts to prevent the unauthorized access to controlled U.S. technology or technical data by aliens visiting the United States. Under this program, information on visa applications is reviewed to detect and prevent possible violations of the Export Administration Regulations. Each year this program results in a number of recommendations against issuing visas being forwarded to the U.S. Department of State.
Export Enforcement protects U.S. national security, foreign policy, and economic interests by educating exporters, interdicting illegal exports, and prosecuting violators, all without impeding legitimate trade activities. Export Enforcement special agents work with BIS's licensing officials and policy staff to deter the export of items which, in the hands of unreliable users, can prove damaging to U.S. interests.
Export Enforcement personnel also work closely with BIS's Office of Chief Counsel and U.S. Attorneys offices in bringing enforcement actions against violators of the Export Administration Regulations. Violators can face criminal penalties (fines and possible imprisonment), civil penalties and administrative sanctions, or both. The list of Denied Persons contains information on the names and addresses of firms and individuals denied access to U.S. goods in addition to the reason(s) for the denial action.
Corporation - 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.
Corporation - 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.
For each violation of the EAR any or all of the following may be imposed:
Temporary Denial Orders are issued by the Assistant Secretary for Export Enforcement, denying any or (typically) all of the export privileges of a company or individual to prevent an imminent export control violation. These orders cut off not only the right to export firm the United States, but also the right to receive or participate in exports from the U.S.
Section 11(h) of the Export Administration Act provides that, at the discretion of the Secretary of Commerce, no person convicted of a violation of the EAA, IEEPA, or Section 38 of the Arms Export Control Act (or any regulation, license, or order issued under any of these laws) will be eligible to apply for or use any export license issued under the EAA for up to ten years from the date of the conviction. In addition, Section 11(h) provides that the Secretary of Commerce may revoke any export license in which the party had at the time of the conviction.
In its efforts to inform and educate the public, EE's special agents participate in seminars and trade shows across the country. These events provide the special agents the opportunity to meet with many exporters and freight forwarders directly, provide them with guidance on export control and enforcement matters, and to hear private sector concerns.
The BEET program is part of EE's effort to prevent possible violations by expanding its contacts with U.S. businesses. The BEETs are a series of half-day meetings, held around the United States, that allow corporate officials to learn about their export control and enforcement responsibilities while offering them the opportunity to question export enforcement officials about U.S. export control issues. BEET participants explore ways for businesses and enforcement officers to work together to prevent violations and identify projects of concern for proliferation reasons. We expect to schedule BEET conferences in the near future.
Fastener Quality Act: The Office of Export Enforcement (OEE) investigates alleged violations of the Fastener Quality Act (FQA). The Fastener Quality Act relates to representations about standards and specifications for the manufacture, testing, and marking of fasteners. To report a violation or a suspected violation of the FQA, call the OEE Hotline at 1-800-424-2980 or use our confidential reporting form. OEE does not provide advice on the interpretation or implementation of the FQA. The Hotline and reporting form above are only for reporting possible violations. For a copy of the FQA and its implementing regulations, you may visit the National Institute of Standard's FQA web site at www.nist.gov/fqa.
The Patent and Trademark Office (PTO) maintains the Fastener Insignia Register to record insignias of fastener manufacturers and private label distributors to ensure traceability of fasteners.