FOOTNOTES  

FN1.     U.S. v. Roth, 2009 WL 2356691 (E.D. Tenn. 2009) (No.3:08-CR-69).

FN2.     Judgment in Criminal Case, Roth, supra  Note 1; see also Press Release, U.S. Department of Justice, "Retired University Professor Sentenced to Four Years in Prison for Arms Export Violations Involving Citizen of China", (July 1, 2009) (accessed August 24, 2009).  

FN3.      The USML is a listing of 21 categories with somewhat amorphous and non-specific descriptions of controlled items and technologies that are deemed to be ITAR-controlled.  Those categories are less precise and transparent than the descriptions set forth in the EAR with respect to “dual use” items. 

FN4.     A “dual use” item is one that is principally designed and used for commercial or civilian applications but that could also be readily used for a military or strategic application.  Examples of such items include high end or “strong” encryption software that can protect financial records or illicit terrorist communications, advanced carbon fiber materials that could be used in athletic equipment or in jet aircraft, supercomputers that might be used for weather forecasting or telecommunications analysis; etc.  The CCL within the EAR contains a very detailed and technically precise set of regulations that define what “dual use” items or technologies are considered controlled. See Export Administration Regulation Database. 

FN5.     Although the EAR are the most detailed and explicit set of U.S. export regulations as to deemed exports, the OFAC embargoes bar transfer of software, technology and technical data to certain non-U.S. persons covered by the OFAC embargoes and the ITAR bar transfer of ITAR-controlled software, technology and technical data to foreign persons without prior DDTC approval.

FN6.     The exceptions and exclusions in the OFAC Regulations and the ITAR are particularly complex.  However, since most academic travel involves neither travel to OFAC-embargoed destinations nor military-type technologies subject to the ITAR controls, this Note does not provide guidance on the exceptions and exclusions in the OFAC Regulations or the ITAR.   Academic travelers who face these unique situations should consult their institution’s export control compliance officer or legal counsel to ensure compliance with these rules.  For example, U.S. scholars who use advanced global positioning system (GPS) equipment in their research that involves quartz rate sensors (which are also often used in missile and rocket targeting systems) should carefully consider the ITAR implications of their work outside the United States.

FN7.     Students planning to engage in such transactions must carry a letter from the licensed institution stating: (1) the institution’s license number, (2) that the student is currently enrolled in an undergraduate or a graduate degree program at the institution or is a full-time permanent employee of the institution, and (3) that the travel is part of a structured educational program of the institution.  (Cuban Assets Control Regulations (“CACR”), 31 CFR § §515.565(a) (1).)

FN8.     Students planning to engage in such transactions must carry a letter from the licensed institution stating: (1) the institution’s license number, (2) that the student is enrolled in a graduate degree program at the institution, and (3) that the Cuba research will be accepted for credit toward that graduate degree.  (CACR, 31 CFR §515.565(a) (2).)

FN9.     Students planning to engage in such transactions must carry a letter from the licensed U.S. institution stating: (1) the number of the U.S. institution’s license, (2) that the individual is a student currently enrolled in an undergraduate or graduate degree program or a full-time permanent employee at the institution, (3) that the Cuba study will be accepted for credit toward that degree, and (4) that the Cuba-related travel is part of a structured educational program of that institution.  (CACR, 31 CFR §515.565(a) (3).)

FN10.   Individuals planning to engage in such transactions must carry a letter from the licensed institution stating: (1) the U.S. institution’s license number, and (2) that the individual is a full-time permanent employee regularly employed by the licensed institution in a teaching capacity.  (CACR, 31 CFR §515.565(a) (4).)

FN11.   CACR, 31 CFR § 515.565(a) (5).

FN12.   Individuals planning to engage in such transactions must carry a letter from the licensed institution stating: (1) the U.S. institution’s license number, and (2) that the individual is a full-time permanent employee regularly employed by the licensed institution in a teaching capacity.  (CACR, 31 CFR §515.565(a) (6).)