This document provides an overview of US export control regulations from a presentation given in July 2009. It discusses the various government agencies that regulate exports, including the Departments of Commerce, State, Defense and Treasury. Key points covered include definitions of export controls, license requirements, controlled items on the US Munitions List and Commerce Control List, deemed exports, compliance programs, and penalties for violations. The presentation aims to educate audiences on export controls and compliance.

1. EXPORT OF GOODS CONTROLLED BY THE UNITED STATES DEPARTMENT OF COMMECE AND OTHER GOVERNMENT AGENCIES INFORMATION PREPARED AND PRESENTED BY EXPORT EXPERTS LLC July 2009 Presentation By James Shaw of Export Experts LLC

3. All Personnel Must Receive Sufficient Awareness & Compliance Training As Required By The United States Government For Dealing With Export & Import Controls, International Trade Activities, And National Security. July 2009 Presentation By James Shaw of Export Experts LLC EXPORT EXPERTS LLC – Presents Today Important Information on the United States Government’s Code of Federal Regulations; National Security Programs, Export Controls, Import Security Programs, and Material Classifications for Purposes of Control (ECCN) and Taxation (HTS-US).

20. United States Munitions List (ITAR) July 2009 Category I Firearms, Close Assault Weapons and Combat Shotguns Category II Materials, Chemicals, Microorganisms, and Toxins Category III Ammunition/Ordnance Category IV Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines Category V Explosives and Energetic Materials, Propellants, Incendiary Agents and Their Constituents Category VI Vessels of War and Special Naval Equipment. Category VII Tanks and Military Vehicles Category VIII Aircraft and Associated Equipment Category IX Military Training Equipment Category X Protective Personnel Equipment Category XI Military Electronics Category XII Fire Control, Range Finder, Optical and Guidance and Control Equipment Category XIII Auxiliary Military Equipment Category XIV Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment Category XV Spacecraft Systems and Associated Equipment Category XVI Nuclear Weapons, Design and Testing Related Items Category XVII Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated Category XVIII Directed Energy Weapons Category XX Submersible Vessels, Oceanographic and Associated Equipment Presentation By James Shaw of Export Experts LLC

29. July 2009 Export Control Decision Tree For Sponsored Projects Project involves equipment, software, chemicals, bio-agent or technology which is on the US Munitions List ( ITAR) Project involves equipment, software, chemicals, bio-agent or technology is classified as a defense article designed or modified for military use, use in outer space, or weapons (ITAR) Project involves encryption software in source or object code (EAR) No No Yes Yes Yes See Compliance Manager for an Export Control Review; Is foreign travel or shipment of articles under the project anticipated? Project involves items on the Commerce Control List (CCL) that are dual use in nature; having commercial or military application (EAR) Yes Project meets criteria for Research Exclusion and Not Subject to Export Controls Sponsored Programs and Grants Office shall prepare for required licenses upon award of government grant Yes No Yes Project involves a country with US imposed sanctions stipulated or restricted travel to an embargoed country by the US No Key Research and Review Web Sites http://www.pmddtc.state.gov/itar_index.htm (ITAR) http://www.access.gpo.gov/bis/index.html (EAR) http://www.treas.gov/offices/enforcement/ofac/programs/index.shtml (OFAC) Project involves equipment, software, chemicals, bio-agent or technology which is on the US Munitions List ( ITAR) Project results will be freely published with no restrictions, no NDA’s or Confidentiality Agreements No Yes Compliance Manager investigates and evaluates the nature of Export, foreign travel, license requirements, and any restrictions – Compliance Manager completes an Annual Export Certification when traveling abroad Presentation By James Shaw of Export Experts LLC

34. Definitions (continued…) “ Technical Data” defined by EAR 15 CFR §772: (Title 15 Code of Federal Regulations Section 772) May take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals, and instructions written or recorded on other media or devices such as disk, tape, or read-only memories (CD, DVD, et al.) July 2009 Presentation By James Shaw of Export Experts LLC