Department of State: State Department Sanctions Information and Guidance
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Citation: "77 FR 67726"
Document Number: "Public Notice 8086"
ADDRESSES: Interested parties may submit comments within 60 days of the date of the publication by any email at [email protected] with the subject line, "Sanctions Guidance".
SUPPLEMENTARY INFORMATION: The
I. Guidance on Iran Sanctions
Iran Sanctions Act. Section 5(a) of the Iran Sanctions Act of 1996 (ISA) (Pub. L. 104-172) (50 U.S.C. 1701 note), as amended, including by the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 (CISADA) (Pub. L. 111-195) (22 U.S.C. 8501 et seq.), and most recently by the Iran Threat Reduction and Syria Human Rights Act of 2012 (TRA) (Pub. L. 112-158), requires that the President impose or waive sanctions on persons, and certain affiliated persons, that are determined to have knowingly engaged in specified activities. The President has delegated the responsibility to make these determinations to the
There is an exception, outlined in section 5(a)(9) of ISA, as amended, to sanctions applicable to categories (7) and (8) above for persons that provide underwriting services or insurance or reinsurance if the
Section 5(b) of ISA, as amended, requires the
In addition to expanding the types of sanctionable activities under ISA, the TRA added new sanctions that can be imposed under ISA. For activities commenced on or after
The other new sanctions, which are applicable to all sanctionable activities outlined in ISA, as amended, and occurring on or after
Potential ISA sanctions that were already in place before the enactment of TRA include: (1)
The President initially delegated the authorities associated with these sanctions to the
For purposes of ISA, "person" means a natural person as well as a corporation, business association, partnership, society, trust, financial institution, insurer, underwriter, guarantor, and any other business organization, any other nongovernmental entity, organization, or group, and any governmental entity operating as a business enterprise, as well any successors to any such entities.
Section 4 of ISA provides for a waiver of the application of sanctions provisions under certain circumstances. Section 4 also provides for the initiation of investigations and contains a "Special Rule" outlining the circumstances under which an investigation may be terminated or not initiated. In deciding whether to invoke the Special Rule or take another step to mitigate sanctions such as a waiver under this section, the
Executive Order 13590 (issued on
For purposes of the Executive Orders addressed in this guidance the term "person" means an individual or entity. For purposes of Executive Orders and statutes addressed in this guidance, the following definitions apply:
* "Petroleum" (also known as crude oil) means a mixture of hydrocarbons that exists in liquid phase in natural underground reservoirs and remains liquid at atmospheric pressure after passing through surface separating facilities;
* "Petroleum products" includes unfinished oils, liquefied petroleum gases, pentanes plus, aviation gasoline, motor gasoline, naptha-type jet fuel, kerosene-type jet fuel, kerosene, distillate fuel oil, residual fuel oil, petrochemical feedstocks, special naphthas, lubricants, waxes, petroleum coke, asphalt, road oil, still gas, and miscellaneous products obtained from the processing of: crude oil (including lease condensate), natural gas, and other hydrocarbon compounds. The term does not include natural gas, liquefied natural gas, biofuels, methanol, and other non-petroleum fuels. Since enactment of section 1245 of the National Defense Authorization Act for Fiscal Year 2012 (Pub. L. 112-81), questions have been raised about some other specific products and whether they would fall under this definition. The following additional products are considered petroleum products for the purposes of this guidance: condensates (occurring naturally or derived from the processing of petroleum or natural gas), and liquefied petroleum gases (LPGs) including propane and butane. This list, however, is not exhaustive and other products not on this list that fall under the definition above remain potentially sanctionable.
* "Petrochemical products" includes any aromatic, olefin, and synthesis gas, and any of their derivatives, including ethylene, propylene, butadiene, benzene, toluene, xylene, ammonia, methanol, and urea. Since the issuance of E.O. 13590, questions have been raised about some other specific products and whether they would fall under this definition. The following additional products are considered petrochemical products for the purposes of this guidance: butene, ethylhexanol, acetic acid, acrylonitrile butadiene styrene, alachlor, ammonium nitrate, ammonium sulfate, anhydrous ammonia, argon, butachlor, C2+, C3+, C4 cut, chlorinated paraffin, chlorine, chloracetyl chloride, citric acid, diammonium phosphate, diethanolamine, ethylene glycol, diethylene glycol, dioctyl phthalate, dodecycle benzene, ethane, ethoxylates, ethylbenzene, ethylene dichloride, ethylene glycol, ethylene oxide, heavy alkyl benzene, high density polyethylene, hydrochloric acid, isoprene, linear alkyl benzene, linear low density polyethylene, low density polyethylene, melamine, methyl tertiary butyl ether, methylene diphenyl diisocyanate, mid density polyethylene, monoethanolamine, monoethylene glycol, nitric acid, nitrogen, orthoxylene, paraxylene, pentene, perchlorine, phosphoric acid, phthalic anhydride, polybutadiene, polyethylene terephthalate, polypropylene, polystyrene, polyvinyl chloride, propylene, purified terephthalic acid, pyrolysis gasoline, raffinate, soda ash, sodium bicarbonate, sodium carbonate, sodium chloride, sodium hydroxide, sodium hypochlorite, styrene, tyrene acrylonite copolymer, sulfur, sulfuric acid, styrene butadiene, toluene diisocyanate, triethanolamine, triethylene glycol, and vinyl chloride monomer. This list, however, is not exhaustive and other products not on this list that fall under the definition above remain potentially sanctionable. "Petrochemical products" do not include finished products derived from these substances, such as pipes, plastic bags, tires, and solvents. For purposes of this and other E.O.'s and legislation outlined in this guidance, an item cannot be both a petroleum product and a petrochemical product.
Executive Order 13622 (issued on
Executive Order 13628 (issued on
Questions about the
II. Guidance on the Provision of "Sensitive Technology" to
Section 106 of the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 (CISADA) (Pub. L. 111-195) (22 U.S.C. 8501 et seq.) prohibits U.S. government agencies from entering into or renewing procurement contracts with individuals or entities that export "sensitive technology" to
Section 106 of CISADA defines "sensitive technology" as "hardware, software, telecommunications equipment, or any other technology, that the President determines is to be used specifically--(A) to restrict the free flow of unbiased information in
These guidelines, which are required under section 412 of TRA, are intended to assist individuals and entities so that, going forward, they can make appropriate decisions with regard to business in
Misuse of Technology in
Information and communications technology serves to facilitate communication, share information, and connect users to each other. Over the last several years, the world has witnessed the important role this technology can assume in holding repressive regimes accountable, assisting people in exercising their human rights and protecting emerging elements of civil society. However, certain information and communications technology can also provide unprecedented capabilities for governments to conduct surveillance on users' communications and movements, and to block or disrupt communications.
The people of
At the same time, the Iranian and Syrian governments have taken steps to restrict the free flow of information and freedom of expression over their networks, to track and monitor the communications of their people for the purpose of perpetrating human rights abuses, or to disrupt networks in support of military operations against their own people.
Determining "Sensitive Technology"
In determining whether a particular transaction involves a good or technology that may be considered "sensitive technology" under CISADA and TRA, the
When making an assessment of whether or not a company, entity, or individual is exporting, transferring, facilitating the transfer of, or providing services that may be considered sensitive technology with regard to
For example, individuals or entities sanctioned by the U.S. government for activities related to human rights abuses in
Regardless of the recipient or known end-use, specific telecommunications technologies such as "lawful interception" and "surreptitious listening" devices, systems and technology for the interception of wire, oral or electronic communications or to jam or intercept the air interface of mobile telecommunications, have the potential to be considered "sensitive technology" for the purposes of CISADA and TRA under some, but not all, circumstances. Similarly, keyword list blocking technology that allows persons to block the transmission of content containing certain words, has the potential to be considered "sensitive technology" for the purposes of CISADA and TRA under some, but not all, circumstances. The following is an illustrative, but not exclusive, list of other technologies and capabilities that pose the risk of being misused by the Iranian and Syrian governments, and that have the potential to be considered "sensitive technology":
* Key logging technology/spyware
. Allows persons to record key strokes, mouse clicks, data processes, or activity on a touchscreen without consent of the device user
* Mobile device forensics data extraction and analysis technology
. Allows persons to extract and analyze data from a mobile phone device, even if password protected
* Nonconsensual remote forensic technology
. Allows persons to perform undetected collection and analysis of data from remote target computers
* Nonconsensual tracking/monitoring technology
. Allows persons to cause a mobile or networked device to reveal its geographic location, operating status or application data, without consent of the device owner or content provider
* Network disruption technology
. Designed to enable disruption, inhibition or degradation of networks or sub-parts
* Infection vectors technology
. Allows persons to install or execute malware or perform other attacks
* Rootkit technology
. Allows persons to defeat or bypass security, hide malware, or enable privileged access to computer process or network resources
* DNS poisoning technology
. Allows persons to hijack Domain Name System (DNS) requests and reroute Internet traffic to illegitimate Web sites/servers
* Censorship-enhancement technology
. Designed to allow persons to enforce content blocking or to fingerprint and/or defeat anti-censorship technologies
This guidance was developed for its applicability to current conditions in
Persons with questions on sensitive technology, section 106 of CISADA, or TRA should contact the
Information on Terrorism Designations
Executive Order 13224 (issued on
The Secretary of State also has authority, pursuant to section 219 of the Immigration and Nationality Act, as amended (INA) (8 U.S.C. 1189), to designate an organization as a foreign terrorist organization (FTO) if the
Information on Weapons of Mass Destruction Designations
In Executive Order 12938 (
The complete list of foreign persons on which the
Executive Order 13382 (issued on
The Arms Export Control Act and the Export Administration Act require the imposition of sanctions against any foreign person that knowingly transfers items on the Missile Technology Control Regime (MTCR) Annex that contribute to MTCR-class missile programs in non-MTCR adherent countries. Sanctions consist of a ban on export licenses and U.S. government procurement, and they may also include an import ban. The sanctions may be waived if it is essential to the national security interest of
Under the Iran-Iraq Arms Non-Proliferation Act, sanctions are required against entities that transfer goods or technology so as to contribute knowingly and materially to the efforts by
The Nuclear Proliferation Prevention Act of 1994 requires a cutoff of government contracts with any U.S. or foreign person that contributes knowingly and materially, through the export of nuclear-related goods or technology, to the efforts of any individual, group, or nonnuclear weapon state to acquire a nuclear explosive device or unsafeguarded special nuclear material. The sanction may be waived after 12 months if continued imposition would have a serious adverse effect on vital U.S. interests, and sanctions need not be applied if the government with primary jurisdiction over the offender has taken effective steps to terminate the sanctions-triggering activities.
[FR Doc. 2012-27642 Filed 11-9-12;
BILLING CODE 4710-31-P
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