Export Controls and HHP: An Overview

Agenda Why do I need to know? Export Controls 101 International Collaborations Targeted technologies and information Anti-Boycott Language Hypos Questions

Why Do I Need To Know About Export Controls? Conduct research involving subjects or technologies listed on U.S. government controlled lists Research sponsor identifies project as controlled Research will involve exports outside the U.S. Will collaborate with foreign researcher, student, or entity, wherever located Involves travel, providing something of value, or financial transactions with sanctioned entities or countries

Export Law Basics Export is a privilege not a right U.S. law requires government authorization for ALL exports and reexports of controlled goods, data and services

Who regulates exports? U.S. Department of Commerce Bureau of Industry and Security Export Administration Regulations (EAR) Controls commercial, dual use, and less sensitive military items Controlled items are either described on the Commerce Control List (CCL) or designated “EAR99” U.S. Department of State Directorate of Defense Trade Controls International Traffic in Arms Regulations (ITAR) Controls military items Controlled items are described on the U.S. Munitions List (USML) U.S. Department of Treasury Office of Foreign Assets Control Administers and enforces economic and trade sanctions Prohibited parties on the Specially Designated Nationals (SDN) List Note: Other agencies also have a role in limited circumstances, e.g., NRC, NOA, DOE.

What’s an Export? Shipment or transmission of controlled items, technology, software, or assistance to a foreign person either outside or inside the United States Export examples: Shipping items to other countries Visual inspection of ITAR-controlled equipment or data Emails of technical data Visits Phone calls or in-person conversations Placing controlled information in public domain Presenting at conferences Hand-carrying controlled items during international travel Webinar/shared screen with technical data

Fundamental Research Exclusion Basic and applied research, AND At an accredited institution of higher learning in the U.S., AND Research results are ordinarily published and shared broadly within the scientific community As long as these conditions are met, the results of the research are not subject to the ITAR or EAR

Prohibited Activities Export of controlled goods, technology, or software/source code without a license or other authorization to prohibited destinations, end-users, or end-uses Certain activities with, or some travel to, U.S. sanctioned countries (Balkans, Belarus, Burma, Burundi, Central African Republic, Cote d’Ivoire, Cuba, Congo, Iran, Iraq, Lebanon, Liberia, Libya, North Korea, Somalia, Sudan, Syria, Crimea Region of Ukraine, Venezuela, Yemen, Zimbabwe)

International Collaborations & Foreign Partners Two main concerns: (1) access to ITAR or EAR information and (2) working with denied parties Valid Visa holders requiring access to controlled equipment and information must have a license or exemption Denied Party? Request restricted party screening from Division of Research Compliance

Travel & Conferences Travel to most countries and bringing typical items with you will not require a license (e.g., standard laptop, cell phone, personal items) Caution: Comprehensively Embargoed Countries (Crimea Region of Ukraine, Cuba, Iran, North Korea, Sudan, Syria) Caution: Hand-Carry or Shipping Special Equipment (e.g., value $2500, infrared camera) Caution: Do not present or discuss any controlled information, even at domestic conferences

Targeted Technologies Electronics C4 Aeronautic Systems Energy Systems Software Radar Optics Arms Marine Materials

How are Technologies Targeted? Academic Solicitation Attempted acquisition of technology Foreign visits Request for information Seeking employment/research assistant Suspicious network activity Exploitation of relationships

Protecting Technology Travel with loaner laptop Do not transmit controlled information Screen visits and visitors Know your customer (KYC) Report any suspicious activity to DRC Follow TCP physical and IT measures

Anti-Boycott Requests Anti-Boycott laws require U.S. persons to refuse to participate in foreign boycotts that the U.S. does not sanction, including Arab League Boycott of Israel Prohibited activity includes: Refusal to do business with/in Israel or with blacklisted companies Furnishing of information about business relationships with Israel or blacklisted companies Boycott-based discrimination Furnishing information, such as information about the race, religion, sex, or national origin of another person, for boycott reasons Requirements apply to UF UF must report anti-boycott requests to BIS

Anti-Boycott Request Examples Prohibited requests can come in various forms and may be subtle Carefully review purchase orders, contracts, customer questionnaires, invitations to bid, etc. Reportable Requests (Source: BIS) Questionnaire while overseas: Asked to complete a questionnaire that asks about collaboration with Israeli companies or any business conducted in Israel, or if the overseas campus were asked to not select specific people to their governing board or faculty based on those individuals’ nationality, race, or religion. .” Customs document: Entry document that states “no goods, dry cargo, or personal effects listed on the document of Israeli origin or manufactured by a blacklisted firm or company are to be landed as they will be subject to confiscation.”

Is My Project Subject to Export Controls? Before collaboration begins, consider the following: Are my collaborators on the U.S. denied entity/persons lists? Contact DRC for a restricted party screening (RPS). Will I travel to any comprehensively embargoed country (Crimea Region of Ukraine, Cuba, Iran, North Korea, Sudan, Syria)? Severe restrictions will apply and may need license in advance. Will foreign persons come work with me at UF or in foreign countries? Contact DRC for a RPS and license, if needed. Will I present my research results at domestic or international conferences? Ok as long as controlled information is not presented and not in a comprehensively embargoed country. Does my funding contract or grant place restrictions on publications or participation by foreign persons? If yes, will destroy certain exemptions to export control laws. Will I ship or hand-carry anything, including data or software? If controlled or $2500 or more, may require license and Customs filing.

Hypo 1 Your center hires a foreign person Researcher Have proper work authorization (H1B, etc) Hired to work on non-EC project Is this allowable? Yes No, if provide access to EC technology and fail to have license/license exception Microwave Engineering Corporation $100k fine (2016) UT Roth sentenced to 4 years in prison (2009)

Hypo 2 Collaborating with a foreign entity on tourism research Purchase an EAR99 (NLR) hard drive Mail drive to entity Is this allowable? Yes, usually. But, failed to screen entity properly No, if on entity list (still possible to seek a license) UMass-Lowell $100k fine, loss of export privileges; suspended for two years (2013)

Matthew Battiston mbattiston@ufl.edu 352-392-2369 http://research.ufl.edu/faculty-and-staff/research-compliance/export-controls.html