patents and export control compliance: managing risk...
TRANSCRIPT
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Patents and Export Control Compliance: Managing
Risk and Avoiding Unintentional Violations Minimizing Export Control Liability in Patent Application Preparation,
Development and Analysis of Innovation, and Licensing
Today’s faculty features:
1pm Eastern | 12pm Central | 11am Mountain | 10am Pacific
THURSDAY, MARCH 3, 2016
Presenting a live 90-minute webinar with interactive Q&A
Thomas E. Crocker, Senior Counsel, Alston & Bird, Washington, D.C.
David G. Henry, JD, IP Section Chair, Gray Reed & McGraw / Baylor Law School
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Patents and Export Control Compliance: Managing Risk and Avoiding Unintentional Violations
Prof. David G. Henry, Sr.
Baylor University Law School
Gray, Reed & McGraw, PC
www.davidghenry.com
202-657-4724
4
What are Export Controls?
Regulations that control distribution of certain exports to
foreign nationals and foreign countries
One who “exports” from the U.S. often needs a license
Licenses are usually, readily available, but not always.
5
Why?
Protect National Security & US foreign obligations
Combat Terrorism
Prevent spread of weapons of mass destruction (nuclear, chemical, biological, missiles, etc.)
6
Why, Do We, As Patent Attorneys/Agents
Care About Export Control Laws?
Disclosure, even of certain information, as simply as by
email (or even conversation), can be an “export” that may
subject you and/or your client to criminal or civil sanctions.
It is easy to illegally “export”, and not even know it.
7
Primary US Agencies and Their
Export Control Schemes
Department
of Commerce
Export
Admin
Regulations
(EAR)
Trade
Protection
Bureau of
Industry
and
Security
(BIS)
Department
of State Department
of Treasury
International
Traffic in
Arms
Regulations
(ITAR)
Office of
Foreign
Assets
Control
(OFAC)
Directorate of
Defense Trade
Controls
(DDTC)
National
Security
Export of articles,
services & related
technical data that are
military in nature
US Munitions List
(USML)
Sanctions against:
Foreign Countries &
Gov
Terrorists, Narcotics,
War Criminals,
Weapons Proliferators
Trade
Embargos
8
Why Do We Care?
Penalties for EAR Violations
Criminal:
Up to greater of $1 million or 5x export value for the company/institution
Up to $1 million for each violation for individuals and/or up to 20 years in prison
Civil:
Up to the greater of $250k or 2x export value for each violation for individuals and the institutions/companies.
Loss of export privileges.
9
Why Do We Care?
Penalties for ITAR Violations
Criminal:
Up to $1 million fine for each violation for
institution, company or individual;
and/or up to 10 years in prison
Civil:
Up to $500k for each violation for individuals and
the institution or company
10
Why Do We Care?
Penalties for OFAC violations
Criminal:
Fine of no more than $1 million for companies
Fine of no more than $1 million for individuals (including corporate officers) and/or 20 years imprisonment
Civil penalties:
Fine up to $250k or twice the amount of the transaction for each violation by any person
11
What is an “Export”?
MORE than you probably think!
Transfer of Controlled…. Technology Software
Information Source Code
Equipment Services (ITAR)
To: A non-U.S. entity or individual, wherever located
Anyone outside the U.S., including U.S. citizens
By Any Means: Actual shipment outside the US
Visual inspection in or outside the US
FAX – PHONE – EMAIL – FACE to FACE
Allowing Access to Computer Systems Areas with Controlled Technology
Cloud Storage
Tours of labs
Teaching and Training sessions
12
What is a “Deemed” Export?
(A truly easy way to accidentally “export”)
The transfer, release or disclosure of technology or source code that is subject to the EAR to a foreign national, even within the United States.
Exception: persons lawfully admitted for permanent residence
Exception: persons protected under the Immigration and Naturalization Act.
A transfer is the same as exporting it to the home country of foreign national.
A BIG PROBLEM FOR EMPLOYERS OF FOREIGN NATIONALS!
13
When do the “EARs” (Export Administration
Regulations) – Apply?
Export Administration Regulations (EAR)
(15 CFR §§734-774)
Unless subject to jurisdiction of another U.S.
agency, exclusive of BIS, things subject to EAR
include inter alia that of: (1) “items” of “US Origin”,
in the U.S. or abroad; (2) ) certain foreign made
items containing “items” of “U.S. Origin” or
embodying U.S. Technology, and (3) certain
activities of “U.S. Persons”.
14
What Happens When the EARs Apply?
Export Administration Regulations (EAR)
(15 CFR §§734-774)
The Commerce Control List (CCL) provides for “items” (commodities,
technology & software) identified an Export Control Classification Number
(ECCN).
With each ECCN is provided types of export restrictions restrictions
(“Reason for Control”) that apply (Anti-Terrorism (AT), Chemical & Biological
Weapons (CB), Chemical Weapons Convention(CW), Crime Control (CC),
Encryption Items (EI), Firearms Convention (FC), Missile Technology (MT),
National Security (NS), Nuclear Nonproliferation (NP), Regional Stability (RS),
Short Supply (SS), Significant Items (SI), Surreptitious Listening (SL) and
United Nations sanctions (UN))
15
What Happens When the EARs Apply?
Export Administration Regulations (EAR)
(15 CFR §§734-774)
Each country to which an “item” may be “exported”, “re-exported”, or
“deemed exported” has assigned to it the Reason(s) for Control that
apply, and whether License Exceptions are available.
License Exceptions (when available) include: Shipments to Certain
Specified Countries (GBS), Civil End Users (CIV), Limited Value
Shipments (LVS), Technology and Software Restricted (TSR),
Temporary Imports, Exports & Re-exports (TMP), Service &
Replacement of Parts & Equipment (RPL), and Technology &
Software Unrestricted (TSU).
16
An EAR Decision Tree
17
EAR – Commerce Control List
Categories Category 0 - Nuclear Materials, Facilities & Equipment (and Miscellaneous
Items)
Category 1 - Materials, Chemicals, Microorganisms, and Toxins
Category 2 - Materials Processing
Category 3 – Electronics
Category 4 – Computers
Category 5 (Part 1) – Telecommunications
Category 5 (Part 2) - Information Security
Category 6 - Sensors and Lasers
Category 7 - Navigation and Avionics
Category 8 – Marine
Category 9 - Propulsion Systems, Space Vehicles and Related Equipment 18
19
20
21
If no ECCN, no “Reasons for Control”, or if a License
Exception applies, is all clear? Not necessarily!
Under the Enhanced Proliferation Control Initiative (“EPCI”), for example, if the known (or reasonably suspected, based on “Red Flags”) end-use of the item to be exported or re-exported is related to nuclear, chemical and biological weapons, or missiles, licensing requirements may apply for some or all countries of intended export.
There are “black lists”: Denied Persons List (BIS)
Unverified List (BIS)
Entity List (BIS)
Specially Designated Nationals List (OFAC)
Debarred List (DDTC)
Nonproliferation Sanctions (DDTC)
22
“ITAR” (International Traffic in Arms Regulations) – State Dept.
International Traffic in Arms Regulations (ITAR)
22 CFR Parts 120-130
US Munitions List (USML) covers military articles, services and related technical data
Prior Authorization required for: Sending or taking out of U.S. in any manner
Disclosing (including oral or visual disclosure)
Transferring to foreign person, whether in U.S. or abroad.
Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the U.S. or abroad.
Certain information may be controlled even if in public domain – Defense Services.
23
ITAR Munitions List
I – Firearms, Close Assault Weapons and Combat Shotguns
II – Guns and Armament
III – Ammunition/Ordnance
IV – Launch Vehicles, Guided & Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines
V – Explosives & Energetic Materials, Propellants, Incendiary Agents
VI – Vehicles of War & Special Naval Equipment
VII – Tanks and Military Vehicles
VIII – Aircraft and Associated Equipment
IX – Military Training Equipment and Training
X- Protective Personnel Equipment and Shelters
24
ITAR Munitions List
XI – Military Electronics
XII – Fire Control, Range Finder, Optical and Guidance & Control Equip.
XIII – Auxiliary Military Equipment
XIV – Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment
XV – SPACECRAFT SYSTEMS AND ASSOCIATED EQUIPMENT
XVI – Nuclear Weapons, Design and Testing Related Items
XVII – Classified Articles, Technical Data and Defense Services
XVIII - Direct Energy Weapons
25
OFAC (“Office of Foreign Asset Control
– Dept. of the Treasury)
The Office of Foreign Assets Control (OFAC)
31 CFR 500-599
Based on US foreign policy and national security goals.
They cover economic and trade sanctions against
targeted foreign countries, terrorists, international
narcotics traffickers, and those engaged in activities
related to the proliferation of weapons of mass
destruction.
26
Scope of OFAC:
Applies to “U.S. Persons” wherever they are, and to persons in the U.S., or otherwise subject to its jurisdiction.
OFAC license required for transactions or activities (of varying nature and scale) with, to or from specified countries, entities, or individuals.
Linked to Sanctions and Embargos
May apply when ITAR, EAR and other restrictions do not.
Multiple lists must be checked (applies to entities and individuals even if their country is not listed)
Covers some activities (i.e. proliferation of WMD or diamond trading)
Restrictions (and the availability of licenses) vary by designated country, entity or persons, as well as in relation to specified activities or items.
27
OFAC
Examples of Sanctioned Countries
(Balkans, Belarus, Burma, Burundi, Central African Republic, Cote d’Ivoire, Cuba, DRC, Iran, North Korea….)
Type of Sanctions against Countries, Entities, Individuals
Research, field-work, or instruction
Surveys or interviews
Trade – Importing merchandise
Furnishing anything of value (i.e. materials, payments, services, honoraria, training)
Collaborating, presenting or training
28
PARTIAL List of Areas of Concern
Export of any product or service
Entertaining non-U.S. Business associates and guests and disclosing potentially controlled technology
Non-us persons as employees (anywhere) – I 129 due diligence
What happens after your export?
29
PARTIAL List of Areas of Concern
(cont.)
Lack of procedures and policies for export control
compliance
Failure to self-report
Ignorance of “red flags”
Controlled technology in benign context (toilet
brush example)
30
PARTIAL List of Areas of Concern
(cont.)
TRAVEL
Travel to embargoed countries
(Balkans, Burma, Cote d’Ivoire, Cuba, Dem. Rep of Congo, Iran, Iraq, Liberia, Lebanon, North Korea, Somalia, Sudan, Syria, and Zimbabwe)
Taking equipment (laptops, etc.), out of the country may require a license for equipment or controlled technology loaded on equipment
31
So…..
Get help! (Legal and non-legal consultants / audits)
In-house export control personnel, written
policies/procedures and frequent training.
Obtain license(s) if possible and needed?
Exemptions?
General prohibitions?
Check all export control schemes (EAR, ITAR, OFAC…)!
32
Thomas E. Crocker
Senior Counsel
Alston & Bird LLP
Washington, D.C.
202-239-3318
33
Warning from Patent &
Trademark Office
On July 23, 2008, the U.S. Patent and Trademark
Office (PTO) issued a notice which warned that U.S.
export controls might apply to transfers of technical
data in the context of outsourcing of patent
preparations. See 73 Federal Register 42781 (July 23,
2008).
34
Application of US Export
Controls This webinar describes the application of U.S. export controls and
sanctions to the export of technical data in connection with patents. Such exports can occur in a variety of contexts.
For example, in commissioning Freedom to Practice or Operate studies, patent lawyers or companies may hire searchers to locate patents filed in the United States or abroad which implicate a particular business. Such searchers can be located in foreign countries, and, when they are, it may be necessary to export technical data to them to facilitate their searches.
In addition, exports of technical data might occur in connection with the preparation, filing or possible filing and prosecution of patent applications, either in a foreign country or in the United States.
Except for two limited situations, export controls potentially apply to exports of such technical data.
35
Two Exceptions Exports of technical data in connection with patents are
treated the same as any exports of technical data under the US export control regimes and could potentially require an export license, except in two circumstances: (1) if the technical data is public information through being
“published” or “public domain” as part of a patent, in which case it is released from export controls, or
(2) if the technical data is connected with the filing of a patent outside the United States and meets certain regulatory criteria, in which case licensing of the export is delegated to the Commissioner for Patents at the PTO.
36
Public Information Exception If the information qualifies as “published” under the EAR or “public domain” under the
ITAR, export controls do not apply.
Section 734.7(a)(3) of the EAR exempts from the EAR “published information and software” in the form of “patents and open (published) patent applications available at any patent office.” In the United States, a patent is “open (published)” 18 months after it has been filed unless the applicant files a non-publication request, which typically defers publication until issuance of the patent. Thus, technical data in patents filed in the U.S. is normally released from control under the EAR upon its publication at the end of 18 months. However, this exception does not eliminate export controls on technical data relating to patents which have not yet been filed in the United States, or which have been filed but as to which the 18 months have not run. Therefore, it is likely to be of limited use in connection with the types of technical data exports described above.
Section 125.1(a) of the ITAR similarly exempts information which is in the “public domain” from licensing requirements under the ITAR. Section 120.11(5) of the ITAR defines “public domain” to include “information which is published and which is generally accessible or available to the public . . . [t]hrough patents available at any patent office.” As under the EAR, this exception is of limited utility in connection with the types of exports of technical data described above.
Finally, Section 810.7(a) of the DOE authorizes “furnishing public information,” which Section 810.3 defines to include “[i]nformation contained in an application which has been filed with the U.S. Patent Office and eligible for foreign filing under 35 U.S.C. 184 or which has been made available under 5 U.S.C. 552, the Freedom of Information Act.”
37
Delegated Licensing Authority The EAR, ITAR and DOE have delegated limited export licensing
authority to the PTO. That delegated authority applies only to exports of unclassified technical data pertaining to patent applications to be filed in foreign countries—it does not extend to patent applications intended to be filed in the U.S. This restriction is attributable to the limited delegation of authority authorized by the underlying statute at 35 USC Section 184.
Section 810.3 of DOE regulations also makes clear that public information must be “available to the public prior to or at the same time as it is transmitted to a foreign recipient” and that it does not include “any technical embellishment, enhancement, explanation or interpretation which in itself is not public information, or information subject to Sections 147 and 148 of the Atomic Energy Act.”
38
Delegation Under the EAR Section 734.3(b)(5) of the EAR states:
Regulations administered by PTO provide for the export to a foreign country of unclassified technology in the form of a patent application or an amendment, modification, or supplement thereto or division thereof (37 CFR Part 5). BIS has delegated authority under the Export Administration Act to the PTO to approve exports and re-exports of such technology which is subject to the EAR. Exports and re-exports of such technology not approved under PTO regulations must comply with the EAR.
In addition, Section 734.3(b)(3)(iv) declares that publicly available technology and software which is “included in certain patent applications” is not subject to the EAR. For this purpose, the relevant information in patent applications is elaborated upon at Section 734.10 of the EAR and is limited to:
Information contained in a patent application prepared wholly from foreign-origin technical data where the application is being sent to the foreign inventor to be executed and returned to the United States for subsequent filing with the U.S. PTO;
Information contained in a patent application, or an amendment, modification, supplement or division of an application, and authorized for filing in a foreign country in accordance with the regulations of the PTO; or
Information contained in a patent application when sent to a foreign country before or within six months after the filing of a United States patent application for the purpose of obtaining a signature of an inventor who was in the United States when the invention was made or who is a co-inventor with a person residing in the United States.
Note to Section 734.3(b)(3) states that book or printed material setting forth encryption source code is not subject to the EAR but that encryption source code in electronic form or media (e.g., diskette or CD Rom) is subject to the EAR.
39
Delegation Under the ITAR Similarly, Section 125.2(b) of the ITAR, governing “exports of unclassified
technical data,” states (albeit in a backhanded and somewhat confusing manner) as follows:
Patents. A license issued by the . . . [Directorate] of Defense Trade Controls is
required for the export of technical data whenever the data exceeds that which is used to support a domestic filing of a patent application or to support a foreign filing of a patent application whenever no domestic application has been filed. Requests for the filing of patent applications in a foreign country, and requests for the filing of amendments, modifications or supplements to such patents, should follow the regulations of the U.S. Patent and Trademark Office in accordance with 37 CFR Part 5. The export of technical data to support the filing and processing of foreign patent applications in foreign countries is subject to regulations issued by the U.S. Patent and Trademark Office pursuant to 35 USC 184.
The net effect is to accord broadly with the EAR—namely to limit the delegation of export licensing authority to PTO to exports of unclassified technical data in connection with foreign patent filings and processing.
40
Delegation Under the DOE Section 810.7(a) of the DOE regulations authorizes
“furnishing public information, as defined in Section
810.3.” Section 810.3, in turn, defines “public
information” to include “information contained in an
application which has been filed with the U.S. Patent
Office and eligible for foreign filing under 35 USC 184 .
. . .”
41
Licensing by the PTO The PTO’s regulations at 37 C.F.R. Section 5.11(a) reflect the above delegations of licensing authority
by providing that:
A license from the Commissioner for Patents under 35 USC 184 is required before filing any application for patent, including any modifications, amendments, or supplements thereto or divisions thereof or for the registration of a utility model, industrial design, or model, in a foreign patent office, any foreign patent agency or any international agency other than the United States PTO acting as a Receiving Office for international applications or as an office of indirect filing for international design applications, if the invention was made in the United States and:
(1) An application on the invention has been filed in the United States less than six months prior to the date on which the application is to be filed, or
(2) No application on the invention has been filed in the United States.
Subsection (b) of Section 5.11 further provides that:
The license from the Commissioner for Patents referred to in paragraph (a) would also authorize the export of technical data abroad for purposes relating to the preparation, filing or possible filing and prosecution of a foreign patent application without separately complying with the regulations contained in . . . [the ITAR, EAR or DOE regulations].
Section 5.11(c) of the PTO regulations additionally provides that:
Where technical data in the form of a patent application, or in any form, are being exported for purposes related to the preparation, filing or possible filing and prosecution in a foreign patent application, without the license from the Commissioner for Patents referred to in paragraphs (a) or (b) of the section, or on an invention not made in the United States, the export regulations contained in . . . [the ITAR, EAR or DOE regulations] must be complied with unless a license is not required because a United States application was on file at the time of export for at least six months without a secrecy order . . . being placed thereon.
42
Licensing by the PTO Section 5.11 (d) of the PTO regulations state that, if a
secrecy order has been issued, an application cannot be exported to, or filed in, a foreign country except in accordance with Section 5.5.
Section 5.11 ( e) states that no license is required under subsection (a) if:
The invention was not made in the United States, or
The corresponding United States application is not subject to a secrecy order and was filed at least six months prior to the date on which the application was filed in a foreign country.
43
OFAC Sanctions The Department of the Treasury’s Office of Foreign Assets Control (OFAC) maintains sanctions
against certain countries, entities and individuals which are separate from the export control regimes discussed above. OFAC’s sanctions are administered pursuant to separate statutory authority, primarily under the International Emergency Economic Powers Act (IEEPA) or Trading with the Enemy Act (TWEA), depending on the country program (Cuba is the last major remaining TWEA program), and are implemented under regulations contained at 31 C.F.R. Part 500 et seq.
These regulations vary in their details from country to country, and the list of sanctioned countries can change at any time. The current list of countries subject to full-scope sanctions, which prohibit most transactions with the target countries, includes Cuba, Iran, Sudan and Syria.
List-driven sanctions also are in force against designated entities and individuals on OFAC’s Specially Designated Nationals List (the “SDN List”).
Partial sanctions, which are list-driven and aimed at certain named or designated government officials, also apply to countries such as Zimbabwe, Belarus, the Democratic Republic of Congo, etc.
OFAC regulations broadly prohibit all direct or indirect transactions, not otherwise authorized by general or specific license, with full-scope sanctioned countries and persons or entities on OFAC’s SDN List. These are not export controls but separate and free-standing prohibitions which apply to all “United States persons” and property subject to US jurisdiction.
It is advised that any person exporting technical data from the United States screen all transactional partners against both the sanctioned country list and the SDN List, which is available at OFAC’s website at www.ustreas.gov/offices/enforcement/ofac/sdn/index.html.
44
OFAC Sanctions OFAC country sanctions regulations contain general license which
authorizes certain transactions related to patents, trademarks and copyrights. Strictly limited to the following:
Filing and prosecution of any application to obtain a patent, trademark, copyright or other form of intellectual property protection.
Receipt of a patent, trademark, copyright, etc.
Renewal or maintenance pf a patent, trademark, copyright, etc.
Filing and prosecution of opposition or infringement proceedings or entrance into defense to such proceedings.
Authorizes payment of “reasonable and customary” fees to governments, attorneys and representatives in connection with the above.
Nothing else authorized!
45
Penalties Penalties for violations of the EAR and OFAC sanctions include:
Civil fines of up to the greater of twice the value of the transaction or $250,000 per violation and criminal penalties of up to $1 million in fines and 20 years imprisonment per violation.
ITAR penalties include:
Civil fines of up to $500,000 per violation and criminal penalties of fines of up to $1 million and 10 years imprisonment.
Violations of the DOE regulations are punishable by fines of up to $20,000 and life imprisonment.
Civil enforcement by both BIS and OFAC, in particular, is robust.
The OFAC sanctions are a strict liability regime.
Further, the U.S. Government has stepped up criminal enforcement of EAR, ITAR and OFAC violations by the creation of the Assistant Attorney General for National Security and implementation of a more aggressive enforcement agenda, which has resulted in a series of high-profile criminal cases.
46
Conclusions Based on the above exceptions and delegations, the following guidelines should assist
in handling exports of technical data in connection with patents:
If the technical data being exported is contained in an open (published) patent, with such status not normally achieved until 18 months after the patent has been filed, it can be exported or re-exported without an export license.
Licensing authority delegated by BIS, DDTC and DOE to the PTO is sharply limited and extends only to unclassified technical data contained in a patent application for filing in a foreign country.
In the case of unclassified technical data contained in a patent application for filing in a foreign country, a license still will be required from the PTO, which may or may not grant the license.
Exports of classified technical data require authorization from BIS, DDTC or DOE, as appropriate, and, in addition, may have to meet separate requirements under the National Industrial Security Program Operating Manual (NISPOM), which governs classified contracts and is administered by the Department of Defense’s Defense Security Service (DSS).
There are no broad exemptions or general licenses authorizing the export of technical data in connection with the preparation of U.S. patents under the regulations administered by BIS, DDTC or DOE.
47
In the case of BIS, prior to making such an export, the exporter must determine whether the technology is controlled on the Commerce Control List (CCL), which is found at Section 774 of the EAR and can be accessed at www.access.gpo.gov/bis/ear/ear data.html. If it is controlled, the individual Export Commodity Control Number (ECCN) on the CCL will indicate whether it is controlled for export to the particular country, such as India. If it is controlled for export to that particular country, the export will require an individual validated license from BIS prior to its export unless a license exception applies.
License Exception TSR (Technology and Software Under Restriction), found at Section 740.6 of the EAR, possibly might apply to some controlled exports to certain destinations, as indicated by the individual ECCN governing the technical data in question. If it does apply, mandatory end-user assurances are required prior to export, as detailed at Section 740.6 of the EAR.
48
Conclusions
In addition to exports to foreign countries, both the EAR and ITAR require licenses for so-called “deemed exports.” A deemed export occurs when technical data is transferred to a person physically present in the United States who is neither a U.S. citizen nor resident alien, if the transfer of that technical data to that person’s country of origin would require an export license. Thus, hypothetically, the transfer of technical data to an Indian national working in the U.S. would require a deemed export authorization if the export of that data to India requires an export license. “Deemed re-exports” govern transfers to such persons in third countries abroad.
In the case of DDTC, all technical data relating to Munitions List items under the ITAR require an individual validated license from DDTC irrespective of the destination (with the exception of Canada). In addition, at Section 126.1 of the ITAR, DDTC maintains a list of countries to which exports are prohibited. The list can change at any time.
Both BIS and the Department of State maintain various lists of prohibited parties to whom, generally, unlicensed exports may not be made. Some of these lists, such as the Entity List maintained by BIS, contain the names of prohibited parties in countries such as India and China. Prior to making any export of technical data, the parties involved in the export should be run against these lists, which can be accessed as follows:
− Denied Persons List (http://www.bis.doc.gov/dpl/thedeniallist.asp);
− Entity List ( http://www.bis.doc.gov/Entities/Default.htm);
− Unverified List (http://www.bis.doc.gov/Enforcement/ UnverifiedList/unverified parties.html); − Department of State Nonproliferation Lists (http://www.state.gov/t/isn/c15231.htm).
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Conclusions
Separate OFAC sanctions prohibit exports of
technical data to Cuba, Sudan and Iran. Separate
sanctions administered by BIS prohibit them to
Syria. Transactions should be reviewed to ensure
that none of these full-scope sanctioned, countries
is involved.
Each export transaction also should be vetted
against OFAC’s SDN List, which is available at
www.ustreas.gov/offices/enforcement/ofac/sdn/ind
ex.html.
50
Conclusions