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Export Controls


Director, Research Administration & Advancement ... Anthropologist or environmentalist - issues with GPS or other equipment abroad ... – PowerPoint PPT presentation

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Title: Export Controls

Export Controls US Sanctions Faculty Awareness
Sessions Making It Relevant
Erica Kropp Director, Research Administration
Advancement University of Maryland Center for
Environmental Science Donald Deyo,
Esq. Director, Corporate Contracts, Office of
Research Services University of
Pennsylvania NCURA Region II Meeting April

What are Export Control Laws
  • US laws that regulate the distribution to
    foreign nationals and foreign countries of
    technical products, services and information
    which are controlled for reasons of foreign
    policy and national security.
  • Export control laws apply to all activities not
    just sponsored projects…

What is an Export?
  • Export is defined very broadly to include an
    oral or written disclosure of information, visual
    inspection, or actual shipment outside the U.S.
    of technology, software/code or equipment to a
    foreign person (not a US citizen or permanent
  • Any method of disclosure may apply email,
    telephone, websites, tours training sessions

And What is a Deemed Export?
  • Deemed Export is probably of greatest concern
    to Universities. It is the release of controlled
    technologies to a foreign national in the U.S.
  • So any of the methods of disclosure on your
    own campus to a foreign national is an export and
    all the rules and regulations apply, even though
    much more difficult to address.

US Export Controls and Responsible Agencies
  • State Department Inherently military
    technologies--International Traffic in Arms
    Regulations (ITAR)
  • Examples usually clearly Military
  • -Firearms and Armaments
  • -Military Training Equipment
  • -Protective Personnel Equipment
  • -Tanks and Military Vehicles
  • But also spacecrafts/satellites related

US Export Controls and Responsible Agencies
  • Commerce Department Dual-Use technologies
    (primary civil use) -- Export Administration
    Regulations (EAR)
  • Examples not as clearly subject to controls
  • Computers
  • Marine
  • Materials, Chemicals, Micro-Organisms, Toxins
  • Sensors and Lasers
  • Nuclear Materials

US Export Controls and Responsible Agencies
  • Treasury Department, Office of Foreign Assets
    Control (OFAC) Prohibits transactions with
    countries subject to boycotts, trade sanctions,
  • Examples
  • Iran
  • N. Korea
  • Cuba
  • Burma

Export Controls or Sanctions
  • Export controls are placed based on technologies
  • Sanction programs are country specific and
    controls may cover any and all technologies and
    activities (OFAC)

Why Do We Need to Educate?
  • Law of land
  • Mitigate risks
  • Help identify issues/problems
  • Government attention and expectations
  • Element of compliance plan/program
  • Required if accept controlled information

Why Do We Need to Educate?
  • Other Considerations
  • Universities understand that the need to have
    comprehensive compliance programs
  • However, Export Control compliance has elements
    which are alien to the open and inclusive nature
    of University research (cant work with certain
    people or freely share information on my
  • Faculty and staff need to rethink the nature of
    University research post 9/11

Implications of Export Laws
  • No effect on most of university research as
    qualifies for Fundamental Research exclusion per
    the following
  • Basic or applied research in science or
  • at an accredited institution of higher learning
    in the U.S.
  • resulting information is ordinarily published and
    shared broadly in the scientific community
  • No access or dissemination controls accepted

Implications of Export Laws
  • But potential impact on
  • Ability of foreign students to participate in
    research involving a controlled technology
    (mostly under ITAR)
  • Ability to provide services (including training
    in the use of controlled equipment) to foreign
    nationals or in foreign nations (ITAR, EAR, OFAC)
  • Ability to send controlled equipment to foreign
    countries (ITAR, EAR, and OFAC)
  • Faculty in generally as they are personally
    liable for their actions and subject to fines and
    sanctions, including loss of federal funding

Implications of Export Laws
  • Factor to be considered if/when project
    restrictions are accepted
  • Factor to be considered when accepting another
    parties information
  • Likely to require some internal review processes
  • Time and resources can effect project schedules

Whats in a Name?
  • Administrators Dont Train Faculty
  • Call it something else -
  • Seminar
  • Awareness Sessions
  • Information Meeting
  • Discussion Groups

Not a One Size Fits All
  • Not all need to hear or see the same presentation
  • Research Administrators - more detailed training
    including internal process
  • Faculty - broader view with focus on effects on
    research, whom to contact for assistance and, of
    course, penalties for violations
  • Suggest you get the Dean or Chair to call the
    meeting to increase faculty attendance
  • Some cases a power point presentation is
    appropriate others the slides as a handout to
    be used to guide the discussion. Keep it as
    simple as possible!

Which Faculty First?
  • Which departments or faculty? Pick the projects
    where you think your greatest risks
  • Look to where your federal funding is from -
  • Projects with commercial sponsors
  • Engineering/ Computer Science
  • International projects
  • Biological Research in Toxins, Vaccines
  • Certain PIs we all have them
  • Look to your projects with red flag items

Red Flag Items
  • Shipping equipment to a foreign country?
  • Collaborating with foreign colleagues in foreign
  • Working with a country subject to a US boycott?
  • Training foreign nationals in using equipment?
  • Using another parties proprietary information?
  • Sponsor approval rights over publications?
  • Shipping toxic biological materials?
  • Sponsor approval for foreign national

Methods and Formats
  • Use several and/or all-
  • Scheduled sessions
  • Less formal meeting discussions
  • One-on-one/ small groups
  • On-line/CD material
  • Invite in to attend/ go out to departments
  • Provide information, guidance and plan on website

Some Topics to Cover
  • What is an export
  • Regulating agencies
  • Implications of Regulations
  • Embargoes/Sanctions
  • Deemed exports
  • Exemptions/Exclusions
  • How to protect exclusions
  • What destroys the use of exclusions
  • Fundamental Research
  • Shipping outside the US

More Topics to Cover
  • Providing Services
  • Acceptance and use of export controlled
  • License process/timing issues
  • Red flag items
  • Institution policy procedures
  • Penalties for violations
  • Whom to call/contact with questions
  • Who your Empowered Official is
  • Examples

Make It Relevant
  • Review list of technologies and use examples for
    the field -
  • Anthropologist or environmentalist - issues with
    GPS or other equipment abroad maybe sanctioned
  • Software use and development foreign national
    one of the creators and now want to
  • Faculty may be the only person able to properly
    classify technology. Get their help!
  • Use situations they have
  • Need to use equipment with proprietary manuals

Make It Relevant
  • Do the faculty you are addressing
  • Have Foreign visitors to labs?
  • Travel abroad and take laptop?
  • Foreign collaborators?
  • Materials to be shipped outside US?
  • Post data and results on Websites open the

Make It Relevant
  • Developing software?
  • Impact if held proprietary
  • Need to make source code available
  • Use software in classroom?
  • Use or create secured websites?
  • Signing non-disclosure agreements?
  • MOUs that you might not see?

Acknowledge Pending Issues
  • Item of concern pending with Commerce Department
    in regard to use of equipment
  • There are no clear exclusions or safe harbors
    from the requirement to obtain a license for
    foreign nationals to use controlled equipment,
    however universities,
  • Rely on the Fundamental Research Exclusion on the
    ground that use of equipment is part and parcel
    of conducting fundamental research, and….

Equipment Use Exclusions?
  • Maintain that the Education Exclusion applies
    when the program of instruction requires use of
  • However, there are no exclusions that allow
    foreign persons to use controlled equipment which
    requires use of manufacturers proprietary
    information marked export controlled.

Now You Get Questions
  • May not always have clear answers
  • May need further assessment
  • Usually requires you to ask questions in return
  • May need to ask agencies (but careful what you
  • Involve legal counsel (are they by your side?)

Now You Get Questions
  • Ask colleagues at other institutions
  • Check out companies that can quickly screen
    government lists
  • Faculty need to want to come to you for help
  • If a mistake has been made, come clean
  • What you need to demonstrate is an effort to

How much is enough?
  • Education is part of a Compliance Plan not to
    be confused with a Technology Control Plan which
    is required if one seeks a license or handles
    controlled information
  • Remember, faculty should know
  • Who to call if topic comes up
  • Situations that might call for review
  • The basic principles/concepts that allow them to
    operate, for the most part, with business as
  • Personal responsibilities and liabilities

Others Who Need Sessions
  • Deans Chairs
  • Research administrators (central and department)
  • Tech Transfer
  • Procurement/shipping
  • Research Committees/Councils

And Others
  • Continuing Education
  • Library (DD2345? May house controlled
  • Travel Office
  • International Programs

Dont Reinvent the Wheel!
  • Most of us are quite willing to share what is
    already done
  • (www.umresearch.umd.edu/ORAA/ecg)
  • (www.upenn.edu/researchservices/exportcontrols)
  • Look more than once things evolve
  • Cut paste - Modify to your own culture
  • But get started!
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