Export Control Presented by Research and Graduate Studies Elizabeth Peloso

What is an Export? Shipment of goods out of the U.S. Electronic transmission out of the U.S. Release of technology to foreign Person

Foreign “Person” or “Entity” Any Foreign government Any foreign corporation or group organized to do business outside the United States Anyone who does not have permanent resident status in the U.S.

Purpose of Export Controls Anti-terrorism Prevent increased military potential of adversaries Prevent development of WMDs Comply with trade agreements

Regulatory Environment Department of State –ITAR (International Traffic in Arms) Department of Commerce –EAR (Export Administration Regulations) Department of theTreasury –OFAC (Office of Foreign Asset Controls)

ITAR Weapons, items, and technology for military use Contracts with DOD

EAR “dual-use” items –Potential military use (e.g. missile guidance, avionics, GPS) May also apply to solely civil use items –Depending on the end use/end user

Fundamental Research Exclusion (b) (1) –University Based Research. Information resulting from basic and applied research in science and engineering conducted at an accredited institution of higher education in the U.S. that is ordinarily published and broadly shared within the scientific community.

Implications Any contract with publication restrictions will be subject to controls –Review vs approval –Reasonable review periods

Implications Any work conducted outside the U.S. will be subject to controls (even if all equipment/technology will be returned to the U.S.)

Deemed Exports The transfer or disclosure (including visually or orally) of controlled “technologies” or “technical data” to a foreign entity or individual anywhere, including the U.S. (15 CFR 734.2; 22 CFR )

Technology: specific information necessary for development, production, or use of a product Technical data: information required for design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of controlled articles

Implications Foreign national staff (including students) may be deemed export if do not have permanent resident status/ full time employment. Visiting foreign national colleagues may be deemed export.

What is EAR controlled? Nuclear materials and technologies Chemical and Biological materials Materials processing equipment Electronics Computers Telecommunications and Information Security Sensors and Lasers Navigation and Avionics Marine Propulsion Systems, Space vehicles, and related equipment

EAR Product Groups Systems, equipment and components Test, inspection & production equipment Materials Software Technology

Examples of controlled items Nuclear Weapons –Centrifuges –High speed thermal cameras –Mass spectrometers –Vacuum pumps Biological Weapons –Bacterial strains –Coated valves and pumps –Fermenters –Presses Chemical Weapons –Precursor chemicals –Coolers/heat exchangers –Mixing Vessels Missiles –Composites –Machine tools –Filament winding Equipment –Accelerometers –Vibration test equipment

Penalties for Violating Regulations 10/20 years imprisonment $250,000 fines Civil penalties of up to $120,000 per national security violation

Hope for the Future? Deemed Export Advisory Committee recommendations (Dec, 2007) –Overhaul system to narrowly define covered technologies –Overhaul system for licensing

How do we determine if Export Controls Apply? Materials being used in research Language of contracts –Approval of personnel –Restriction on publication

Screening form

Technology Control or Security Plan Details how project will protect from inadvertant disclosure to non-authorized individuals Examples: encrypeted computer files, limited access to labs Responsibility of PI

TCP Form

Be Aware If you think any aspect of your research may be subject to export controls AND /OR you have deemed export concerns, please contact the research office.

References Elizabeth Peloso -