Prepared for distribution at the
COPING WITH U.S. EXPORT CONTROLS AND SANCTIONS
2014
Program
Washington, D.C., December 11–12, 2014
CONTENTS:
PROGRAM SCHEDULE ......................................................................... 13
FACULTY BIOS ...................................................................................... 29
1.
Companies Need to Take a “Layered Approach” to
Sanctions Compliance: US and EU Expand Sanctions
Against Russia, September 15, 2014 ............................................. 65
Edward Krauland
Meredith Rathbone
Richard Battaglia
Jeffrey Cottle
Guy Soussan
Maury Shenk
Alexandra Baj
Jack Hayes
Anthony Rapa
Bibek Pandey
Steptoe & Johnson LLP
2.
Export Control Reform (ECR) Overview ....................................... 121
Sarah Heidema
U.S. Department of State
3.
A Brief Primer on the International Traffic in Arms
Regulations (“ITAR”) ..................................................................... 145
Corinne A. Goldstein
Peter Lichtenbaum
Kim Strosnider
Covington & Burling LLP
4.
Written Testimony of Department of the Treasury
Under Secretary David S. Cohen Before the United States
Senate Subcommittee on Financial Services and General
Government, April 2, 2014 ............................................................ 179
5
5.
Written Testimony of David S. Cohen Under
Secretary for Terrorism and Financial Intelligence
United States Department of the Treasury, Senate
Committee on Foreign Relations, “Iran: Status of the P5+1
Negotiations with Iran”, 10:00 a.m., July 29, 2014 ....................... 191
6.
U.S. Department of the Treasury Press Center,
Testimony of Under Secretary For Terrorism And Financial
Intelligence David S. Cohen Before The Senate Foreign
Relations Committee, 2/4/2014..................................................... 199
7.
U.S. Department of the Treasury Press Center,
Testimony of Under Secretary For Terrorism And
Financial Intelligence David S. Cohen Before The Senate
Committee on Banking, Housing, and Urban Affairs,
12/12/2013, “Assessing the P5+1 Joint Plan of
Action with Iran: Administration Perspectives”.............................. 207
8.
Destined for terror: Coping with the most restrictive
of U.S. export controls: Embargoed and
terrorist-supporting countries, countries subject
to special controls, and sanctioned persons ................................. 213
Parvin Huda
R. Elizabeth Abraham
U.S. Department of Commerce
9.
Pillsbury Client Alert: U.S. Steps Up Sanctions and
Export Controls Against Russia’s Defense Industry,
September 29, 2014 ..................................................................... 323
10. Pillsbury Client Alert: Expanded Sanctions Target
Russia’s Defense Industry, August 7, 2014 .................................. 329
11. Pillsbury Client Alert: Western Sanctions Expand as
Tension in Ukraine Continues, May 13, 2014 ............................... 335
12. Pillsbury Client Alert: U.S. and UK Take Modest Steps to
Restrict Exports to Russia, April 1, 2014 ...................................... 341
13. Pillsbury Client Alert: Ukraine/Russia Sanctions
Escalate, March 24, 2014 ............................................................. 347
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14. Covington & Burling LLP E-Alert, International
Trade Controls, U.S. Commerce Department
Restricts Energy-Related Exports and
Reexports to Russia, August 12, 2014 ......................................... 353
15. Congressional Research Service, U.S. Crude
Oil Export Policy: Background and Considerations,
March 26, 2014 ............................................................................. 361
Submitted by:
Christopher R. Wall
Pillsbury Winthrop Shaw Pittman LLP
16. Short Supply Controls on Exports of U.S. Crude Oil,
September 2014 ........................................................................... 405
Corinne A. Goldstein
Peter L. Flanagan
Sarah F. Liebschutz
Covington & Burling LLP
17. Short Supply Controls, U.S. Statutory and Regulatory
Framework for Export of Crude Oil ............................................... 421
Matt Haynie
American Petroleum Institute
18. Covington & Burling LLP E-Alert, International Trade
Controls, Sanctions Update: U.S. and EU Extend
Limited Sanctions Relief Related to Iran; EU Agrees
to New Sanctions Against Russia, July 23, 2014 ......................... 433
19. Covington & Burling LLP E-Alert, International
Trade Controls, Developments in EU and U.S.
Sanctions: Russian Financial, Energy, and Defense
Sectors Targeted with Coordinated New Sanctions;
Additional Export Controls Restrictions, Investment
Restrictions, and Asset-Blocking Measures Imposed,
July 30, 2014 ................................................................................. 441
20. Covington & Burling LLP E-Alert, International Trade
Controls, European Union Issues New Sectoral
Sanctions Against Russia, August 1, 2014 ................................... 453
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21. Covington & Burling LLP E-Alert, International Trade
Controls, U.S. and EU Significantly Expand Sanctions and
Export Control Restrictions Targeting Russia,
September 13, 2014 ..................................................................... 461
22. Implementation of Export Control Reform .................................... 473
Kevin J. Wolf
U.S. Department of Commerce
23. The Definition of “Specially Designed” .......................................... 509
Kevin J. Wolf
U.S. Department of Commerce
24. Russian Sanctions, September 30, 2014 ..................................... 543
Matthew S. Borman
U.S. Department of Commerce
25. Export Control Reform: Spacecraft/Satellites ............................... 555
Submitted by:
Kevin J. Wolf
Matthew S. Borman
U.S. Department of Commerce
26. Export Control Reform .................................................................. 579
Submitted by:
Kevin J. Wolf
Matthew S. Borman
U.S. Department of Commerce
27. U.S Department of Commerce, Bureau of Industry and
Security, Update 2014 Conference: Interagency Panel ............... 599
28. Remarks of Eric L. Hirschhorn, Under Secretary
for Industry and Security, U.S. Department of
Commerce, Bureau of Industry and Security,
Update 2014 Conference, July 29, 2014 ...................................... 621
29. Remarks of Eric L. Hirschhorn, Under Secretary for Industry
and Security, U.S. Department of Commerce, American Bar
Association Conference on FCPA, Economic Sanctions and
Export Controls, October 1, 2014 ................................................. 631
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30. Remarks of Kevin J. Wolf, Assistant Secretary for
Export Administration, U.S. Department of Commerce,
Bureau of Industry and Security, Update 2014
Conference, July 29, 2014 ............................................................ 639
31. Statement of Kevin J. Wolf, Assistant Secretary of
Commerce, Bureau of Industry and Security, U.S.
Department of Commerce, Hearing on Advancing Export
Control Reform: The Agenda Ahead, April 24, 2013 .................... 649
32. Exporting Technology and Software,
Particularly Encryption .................................................................. 661
Benjamin H. Flowe, Jr.
Berliner, Corcoran & Rowe, LLP
33. United Technologies: Introduction to Fourth Semiannual
Progress Report, Pursuant to UTC/DTCC Consent
Agreement (June 28, 2012) .......................................................... 741
Submitted by:
Chester Paul Beach, Jr.
United Technologies Corporation
34. U.S. v. United Technologies Corporation, Crim.
No. 3:12CR146(WWE) (D.D.C. July 9, 2014),
United States’ Motion to Dismiss the Information
as to United Technologies Corporation and Hamilton
Sundstrand Corporation, and to Dismiss Count
Three of the Information Against Pratt & Whitney
Canada Corp. ............................................................................... 763
Submitted by:
Chester Paul Beach, Jr.
United Technologies Corporation
35. In re Esterline Technologies Corporation,
United States Department of State, Bureau of
Political-Military Affairs, Consent Agreement,
March 5, 2014 ............................................................................... 771
36. In re Esterline Technologies Corporation, United States
Department of State, Bureau of Political-Military Affairs,
Order, March 5, 2014 .................................................................... 797
9
37. In re Intersil Corporation, United States Department of
State, Bureau of Political-Military Affairs, Consent
Agreement, June 16, 2014............................................................ 803
38. In re Intersil Corporation, United States
Department of State, Bureau of Political-Military
Affairs, Order, June 16, 2014 ........................................................ 827
39. Release of OFAC Enforcement Information:
Clearstream Banking, S.A. Settles Potential
Liability for Apparent Violations of Iranian Sanctions,
January 23, 2014 .......................................................................... 833
40. In re BNP Paribas SA, COMPL-2013-193659,
United States Department of the Treasury,
Office of Foreign Assets Control, Settlement Agreement,
June 30, 2014 ............................................................................... 839
41. Release of OFAC Enforcement Information: Fokker
Services B.V. Agrees to Settle Potential Civil Liability for
Alleged Violations of the Iranian Transactions and
Sanctions Regulations and the Sudanese Sanctions
Regulations, June 5, 2014 ............................................................ 853
42. United States v. BNP Paribas S.A., Plea Agreement,
June 27, 2014 ............................................................................... 859
43. Release of OFAC Enforcement Information:
BNP Paribas SA Settles Potential Civil Liability
for Apparent Violations of Multiple Sanctions Programs,
June 30, 2014 ............................................................................... 875
44. In re Clearstream Banking, S.A., IA-673090,
United States Department of the Treasury,
Office of Foreign Assets Control, Settlement
Agreement, January 22, 2014....................................................... 881
45. Release of OFAC Enforcement Information:
Bank of America, N.A. Settles Potential Civil Liability for
Apparent Violations of Multiple Sanctions Programs,
July 24, 2014 ................................................................................. 891
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46. In re Bank of America, N.A., COMPL-2013-193233,
United States Department of the Treasury, Office of
Foreign Assets Control, Settlement Agreement,
July 22, 2014 ................................................................................. 897
47. Release of OFAC Enforcement Information: Epsilon
Electronics Inc. Assessed a Penalty for Violating
the Iranian Transactions and Sanctions Regulations,
July 25, 2014 ................................................................................. 905
48. Release of OFAC Enforcement Information: Citigroup Inc.
Settles Potential Civil Liability for Apparent Violations of
Multiple Sanctions Programs, September 3, 2014 ....................... 911
49. In re: Weatherford International Ltd. et. al., United States
Department of Commerce, Bureau of Industry and Security,
Amended Order, December 21, 2013 ........................................... 917
50. Select Trade Control Regulations Relevant to
the Provision of Legal Services..................................................... 949
Compiled by:
Greta Lichtenbaum
O’Melveny & Myers LLP
51. Rules of Professional Responsibility in an Export
Controls/Sanctions Practice .......................................................... 961
Compiled by:
Matthew T. West
Baker Botts L.L.P.
INDEX ................................................................................................... 971
Program Attorney: Laura R. Shields
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