Export Control Laura Langton, PhD Export Control Manager langton@wustl.edu 314-747-1378

What is an Export? Release of Tangible items e.g. equipment Technology Software Source code Technical data or information Defense articles or services ………to a foreign country or to a foreign person in the U.S. (“deemed export”).

What are Export Controls? Federal regulations over the export of technology and technical information to foreign countries. Why should I care? Export controls can affect university activities including: Research, equipment access by foreign nationals on campus Hosting foreign visitors Travel overseas International shipping Overseas collaborations Electronic communications

U.S. Person OR Foreign National? “U.S. Person” is defined as a : Lawful permanent resident U.S. citizen Legal immigrant with a green card Protected individual Asylee or refugee “Foreign National” means everyone else, including foreign governments or businesses

Technology Classification Destination End-User End-Use Four Elements of U.S. Export Controls What is being exported? Item, software, technical data? Military or dual-use? Classification? Where is it going? Sanctioned or embargoed country? Who will receive it? Restricted party? Military end user? Weapons of mass destruction proliferator? What will they do with it? Prohibited end-uses e.g. biological, chemical, nuclear weapon proliferation

Export Control Regulations International Traffic in Arms Regulations Department of State Directorate of Defense Trade Controls ITAR Military use technology Export Administration Regulations Department of Commerce Bureau of Industry and Security EAR Dual use technology Department of the Treasury Office of Foreign Assets Control (OFAC) OFAC Country sanctions and embargoes Office of Foreign Asset Control

Export Control Regulations ITAR Military use technology Export Control Regulations Technology Classification EAR Dual use technology Destination OFAC Country sanctions and embargoes End-User Restricted Party Lists (multiple agencies) End-Use

When is Restricted Party Screening needed? RESTRICTED PARTIES Individuals or entities with restrictions placed on them by an agency Can be located in ANY country, regardless of sanctions (even U.S.) Hundreds of lists Restrictions may be broad or specific, may or may not affect your interaction. Export Control Manager has software to screen all lists quickly. When is Restricted Party Screening needed? Overseas shipping Visa applicants, foreign visitors, foreign vendors Foreign collaborators, sponsors, contracts

What Types of Things are Controlled? Commerce Control List – Dual Use Items (EAR) Category 0 Nuclear Materials, Facilities and Equipment Category 1 Materials, Chemicals, Microorganisms, and Toxins Category 2 Materials Processing Category 3 Electronics Design, Development, and Production Category 4 Computers Category 5 Part 1: Telecommunications Part 2: Information Security Category 6 Sensors and Lasers Category 7 Navigation and Avionics Category 8 Marine Category 9 Propulsion Systems, Space Vehicles, and Related Equipment

U.S. Munitions List Category I- Firearms, Close Assault Weapons and Combat Shotguns Category II- Guns and Armament  Category III- Ammunition/Ordinance  Category IV- Launch Vehicles, Guided & Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines  Category V- Explosives and Energetic Materials, Propellants, Incendiary Agents and Constituents  Category VI- Surface Vessels of War and Special Naval Equipment  Category VII- Ground Vehicles  Category VIII- Aircraft and Related Articles  Category IX- Military Training Equipment and Training Category X- Personal Protective Equipment Category XI- Military Electronics  Category XII- Fire Control, Range Finder, Optical and Guidance and Control Equipment  = Known to be on campus

U.S. Munitions List Category XIII- Materials and Miscellaneous Articles Category XIV- Toxicological Agents, including Chemical and Biological Agents, Associated Equipment  Category XV- Spacecraft and Related Articles  Category XVI- Nuclear Weapons Related Articles  Category XVII- Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated  Category XVIII- Directed Energy Weapons Category XIX- Gas Turbine Engines and Associated Equipment Category XX- Submersible Vessels and Related Articles  Category XXI- Articles, Technical Data and Defense Services Not Otherwise Enumerated

But I’m just doing research….What could go wrong? PENALTIES EAR ITAR OFAC CIVIL Up to $120,000 per violation Up to $500,000 per violation Up to $55,000 per violation CRIMINAL Up to $1 million and/or up to 10 years in prison Up to $1 million per violation and/or up to 10 years in prison Seizure and forfeiture of items Loss of export privileges Loss of federal funding Harm to reputation Disruption of research!! Penalties may be assessed on the institution and/or the individual!

Don’t Panic Yet! Activities with relatively low risk of export control issues Clinical work Treatment of patients Clinical studies Fundamental research

“Fundamental Research” basic and applied research in science and engineering intended to be shared broadly – has no publication restrictions distinguished from proprietary research has no participation restrictions e.g. typical NIH or NSF grant

Projects with dissemination or participation restrictions are NOT fundamental research Examples Sponsor must approve publications before release (review ok) Foreign nationals must be approved before they can participate. Dissemination restrictions are in place for national security reasons. Results are proprietary and will not be published.

Fundamental Research EXCLUSION Information resulting from Fundamental Research is exempt from export controls HOWEVER Fundamental research projects may still have export control concerns……..

When MIGHT AN export license be required during fundamental research? Shipping items or technical data overseas is NOT exempt from export controls and may require a license, even if the research is fundamental! Some equipment access and “use” is NOT exempt from export controls even if the research is fundamental, e.g. For EAR controlled items, “use” by foreign nationals which includes ALL of the following six activities may require a license: operation, installation, maintenance, repair, overhaul, AND refurbishment For ITAR controlled items, a deemed export license is ALWAYS needed for foreign national access.

How can I comply with these regulations? Best Practices Shipping or transporting items overseas Destination and recipient must be screened against country sanctions and restricted party lists. Items must be classified to determine license requirements CALL THE EXPORT CONTROL MANAGER for screening and item classification. 314-747-1378

CALL THE EXPORT CONTROL MANAGER for screening. BEST PRACTICES Hosting foreign visitors Foreign visitors whose Visa application is NOT going through the Office of International Students and Scholars (OISS) should be screened by the export control manager. Students, postdocs and H-1Bs are already screened through OISS. CALL THE EXPORT CONTROL MANAGER for screening. 314-747-1378

CALL THE EXPORT CONTROL MANAGER. BEST PRACTICES Interactions with and travel to sanctioned countries (e.g. Iran, Cuba, Syria, Sudan, North Korea) Interactions with sanctioned countries will require a license from OFAC. For example, conducting research in Iran, mentoring and advising individuals in Iran, or providing services to individuals in Iran may all require a specific license, even if no travel to Iran is involved. CALL THE EXPORT CONTROL MANAGER. 314-747-1378

CALL THE EXPORT CONTROL MANAGER for assistance. BEST PRACTICES Overseas Travel Destination should be screened against the sanctioned countries and restricted parties lists. Technology (beyond laptop and cell phone) should be screened for license requirements. Take a CLEAN laptop – assume nothing is secure. Also, high level encryption is not allowed in some countries (mass market ok). contact Support 314-933-3333 ithelp@wustl.edu CALL THE EXPORT CONTROL MANAGER for assistance. 314-747-1378

Best Practices Purchasing Equipment Equipment Red Flags Technology that is designed or developed for military use has export warnings – words like “export” “ITAR” “EAR” requires some form of “end user” certification

Red Flag – when a vendor site looks like this…..

Red Flag

Red Flag Buyer agrees to the following: a) U.S. business applying to purchase product is not foreign owned, and no product access to any Foreign Person will be allowed (§ 120.15 -- U.S. person ITAR provision); b) Compliance to International Traffic In Arms Regulations (ITAR), 22 CFR Parts 120-130; Due to ITAR regulations covering most of our products, please be advised that all night vision, flash hiders, laser products and accessories must have a US State Department export license to be either shipped out of the US or to permit access to ANY FOREIGN PERSON.

Red Flag DO NOT SIGN and DO NOT TAKE POSSESSION OF ITEM. CALL EXPORT CONTROL MANAGER. 314-747-1378

BEST PRACTICES Purchasing Equipment Examples of items often export controlled specialty cameras and imaging equipment night vision and surveillance sensors, range finders, military electronics, drones chemicals and biologicals (certain viruses, bacteria, toxins, even DNA) For equipment over $5,000 it is advised to ask the vendor for the export control classification at the time of purchase. If you see any red flags when purchasing equipment, contact the Export Control Manager immediately.

For more information or for consultation on a specific ISSUE, please contact: Laura Langton, PhD Export Control Manager 314-747-1378 langton@wustl.edu http://research.wustl.edu/ComplianceAreas/ExportControl/Pages/default.aspx