CRA Session 4: Export Controls
U.S. Export Control Regulations: Purpose
1. Govern the transfer of Information, Items, and Technologies to foreign countries and foreign persons. 2. They're designed to stop the proliferation of weapons of mass destruction, certain types of encryption software, military items, dual use items, or further U.S. economic sanctions. 3. Public Information > Export Controlled Information > Classified Information 4. To help protect from foreign espionage.
What is an Export?
1. Physically sending export controlled items to a foreign country. 2. Transmitting export controlled information or software electronically or digitally to a foreign country or foreign person. 3. Use of export controlled technology on behalf or for the benefit of a foreign person or foreign country (Defense Service). 4. Deemed export.
U.S. Export Control Regulations: When do you need a license?
> If something is on the U.S. Munitions List (USML) you must have a license unless there is an exception. > if something is on the Commerce Control List (CCL) you may need a license depending on end user/use and if an exception does not apply. > If Office of Foreign Assets control (OFAC) regulations apply a lives is required unless there is an exception (although it may be a general lines).
Deemed Export: definition
A "deemed export" occurs when there is a "release in the United States of 'technology' or source code to a foreign person." Similarly, "release" is defined in the BIS Rules as "visual or other inspection by a foreign person of items that reveals 'technology' or source code subject to the EAR to a foreign person. May occur by such means as: > Tours of laboratories > Involvement of foreign persons in the research > Oral exchanges, emails, or visual inspection > Hosting a foreign researcher
Foreign Person
Any U.S. Person effectively owned or controlled by a foreign interest, foreign businesses not incorporated in the U.S., individuals holding a work or student visa (F1, J1, H1B)
Which Regulatory Authority does CCL fall under?
BIS: Bureau of Industry and Security (Commerce Dept)
Which Regulatory Authority does EAR fall under?
BIS: Bureau of Industry and Security (Commerce Dept)
U.S. Export Control Regulatory Authority: BIS Authority Acronym
Bureau of Industry and Security (Commerce Dept)
U.S. Export Control List: CCL Acronym
Commerce Control List: Dual-Use commodities, software and technology
What is the primary purpose of EAR (Export Administration Regulations)?
Commercial. Note: could be military.
Which Regulatory Authority does ITAR fall under?
DDTC: Directorate of Defense Trade Controls (State Dept)
Which Regulatory Authority does USML fall under?
DDTC: Directorate of Defense Trade Controls (State Dept)
U.S. Export Control Regulatory Authority: DOE Acronym
Department of Energy
Which Regulatory Authority functions as the Nuclear Regulatory Commission?
Department of Energy
U.S. Export Control Regulatory Authority: DDTC Acronym
Directorate of Defense Trade Controls (State Dept)
If an item is controlled by Bureau of Industry and Security (BIS) and listed on the Commerce Control List (CCL) my need for a license depends on...
End/User/Use and Exceptions
U.S. Export Control Regulations: EAR Acronym
Export Administration Regulations
What types of things are on the USML - U.S. Munitions List?
Firearms, missiles, trigger systems, chemicals.
10 CFR sec 110: Export and Import of Nuclear Equipment and Materials Regulations
General Authorization: Furnishing public information, Furnishing assistance/aid in emergency situations or to improve safety Participation in open meetings sponsored by educational, scientific or technical organizations.
U.S. Export Control Regulations: ITAR Acronym
International Traffic Arms Regulations
Some countries on the Sanctions List
Iran, North Korea (embargoed countries)
What is the Bureau of Industry and Security (BIS) (which is part of the Commerce Department) concerned with?
Maintaining the CCL & Dual Use items.
Do Export Control Laws apply to you ONLY if you are the owner of the export controlled item?
NO!
Are individuals on a J1 Visa considered a U.S. Person?
No
Does an item have to be shipped outside of the U.S. before there can be an export violation?
No
Does the Fundamental Research Exemption allow you to ship a tangible item to another country without worrying about export control laws?
No!
Which Regulatory Authority does the SDN List fall under?
OFAC: Office of Foreign Assets Controls (Treasury Dept.)
Which Regulatory Authority does the Sanctions List fall under?
OFAC: Office of Foreign Assets Controls (Treasury Dept.)
U.S. Export Control Regulatory Authority: OFAC Acronym
Office of Foreign Assets Controls (Treasury Dept.)
If you don't think the government really enforces all of these regulations, who should you ask to be sure of that?
Professor Roth or the FBI
I can share information the might be EAR export controlled the classroom if that information is...
Released by instruction/part of a course catalog.
U.S. Export Control List: SDN
Specially Designated Nationals & Blocked Persons List (People are on this list)
10 CFR sec 810: Assistance to Foreign Atomic Energy Activities
Specific Authorization: List based controls Covers providing sensitive nuclear technology Provides training or assistance for certain nuclear and reactor related activities, design, construction, fabrication of components, etc.
Dual Use Research of Concern (DURC)
This policy is to establish regular review of research (regardless of the source of funding) with certain high consequence pathogens and toxins for its potential to be Dual Use Research of Concern (DURC) as defined by the US Government Policy on Institutional Oversight of Life Sciences Dual Use Research of Concern.
U.S. Person
U.S. Citizen, Green Card Holders, Asylee or Refugee Designations, Incorporated to do business in the U.S.
U.S. Export Control List: USML Acronym
U.S. Munitions List
On what list will you find Military Technology?
USML: U.S. Munitions List
When do temporary exports under the "Tools of Trade" license exception apply?
When the laptop, PDA, cell phone, data storage devices and encrypted software are: > Hand carried with you while you travel > Carried in your luggage or baggage that travels with you > Shipped NO MORE THAN 30 days prior to your departure, or may be shipped to you at any time while you are outside the country. Generally, no export license is required so long as you: > Retain these items under your personal custody and effective control for the duration of your travel > Do not intend to keep these items in these countries for longer than 1 year -AND- > You are not traveling to Cuba, Iran, North Korea, Sudan, or Syria
When should an Institutional Review Entity (IRE) be established?
When there is a Dual Use Research of Concern (DURC).
Do Export Control regulations apply to research universities?
YES!
If you borrow equipment from another university or collaborator, do you have to worry about export control regulations?
YES!
Is Fundamental Research exempt from Export Regulations?
Yes so long as it is published broadly.
If I am traveling than Office of Foreign Assets Control (OFAC) embargoed country (Iran, Sudan, Cuba, North Korea, Syria), will I need a license approval from my Export Officer?
Yes!
The DURC Review is designed to:
a. Mitigate risks where appropriate; and b. Collect information needed to inform the development of an updated policy, as needed, for the oversight of DURC.
Something is export controlled if...
• It is not protected under an approved "Exclusion" (Fundamental Research Exclusion - I am working on a sponsored project and I am restricted from publishing my results) • It is on the U.S. Munitions List • It is on the Commerce Control List • It is a Defense Service as defined by the ITAR • It is EAR 99 (so they can really control)
What destroys the Fundamental Research exemption?
• Limitation on publication of results other than a brief less than 90 day advanced review by sponsor • Limitation on hiring of foreign nationals