Brown Bag Series on Research Faculty Export Control, Data Security and Dual Use Issues March 9, 2011 Gerberding Hall 142, University of Washington

Brown Bag Series on Research Faculty Speakers Garrett Steele, Research Security Specialist Office of Sponsored Programs James Poland, Facility Security Officer Office of Research

Brown Bag Series on Research Faculty Discussion Outline Export Controls  Regulations  Fundamental Research Exclusion (FRE) Restricted Research  Technology  Equipment Security  Export Controlled  Classified  Technology Control Plan

Brown Bag Series on Research Faculty Export Controls

Brown Bag Series on Research Faculty Types of Exports Physical  Shipping/taking items outside of the United States. Electronic Export  Sending or transmitting export-controlled technical data and/or software Outside of the U.S. OR In the U.S. to a Foreign National. Visual and Oral Export  Showing or talking about the technical details of export- controlled material.

Brown Bag Series on Research Faculty Regulation of Exports Exports are regulated to protect National Security, foreign policy and the economic interest of the U.S.  May restrict where goods, technology and software are shipped, transmitted or shared/transferred to.  Country or Person may be restricted.

Brown Bag Series on Research Faculty Federal Regulatory Department Department of Commerce BIS Bureau of Industry and Security EAR Export Administration Regulations Commerce Control List (CCL) Department of State DDTC Directorate of Defense Trade Controls ITAR International Traffic in Arms Regulations US Munitions List (USML) Department of Treasury OFAC Office of Foreign Assets Control OFAC Sanctions

Brown Bag Series on Research Faculty Department of Commerce: Export Administration Regulations- EAR Commerce Control List (CCL) identifies controlled technology, commodities, and software.  “Dual Use” (commercial and military applications). Items found on the CCL have an Export Control Classification Number (ECCN).  ECCNs provide control parameters for the country of End-Use. Items not specifically listed on the CCL are recognized as “EAR99”.  Generally consist of low-level technology, consumer goods, etc.

Brown Bag Series on Research Faculty Examples of Dual-Use Items Software Production Equipment Composite Materials Pathogens Accelerometer Computers

Brown Bag Series on Research Faculty Department of State: International Traffic in Arms Regulations (ITAR) Items controlled by the ITAR, are found on the US Munitions List (USML)  Specifically designed, developed, configured, adapted, or modified for a military application.  Defense articles | Defense services | Technical data The intended use of the article or service after its export is not relevant (i.e., for a military or civilian purpose) Buying commercial use Hummer parts on eBay and sending them to US Marines in Dubai does not necessarily make the parts controlled by the ITAR. Buying F5 specific parts on eBay and sending to a business friend who needs them for his jet in Brazil would be controlled by the ITAR.

Brown Bag Series on Research Faculty Self Classification The ITAR and EAR allow self classification. U.S. OEM’s should be able to provide export control classification for items purchased. OSP can assist PI or Activity Director in product classification. Catalyst tool Avail in April.

Brown Bag Series on Research Faculty Department of Treasury: Office of Foreign Asset Control (OFAC) OFAC administers and enforces sanctions and embargoes. Comprehensive Programs - Any Exports and Imports (direct or indirect). Counter Narcotics Trafficking Non-Proliferation (WMD) Anti-Terrorism Sudan Cuba Iran Regime-Based Programs – Specific governments or political party activities Former Liberian Regime of Charles Taylor Dem. Republic of the Congo Zimbabwe Cote D’Ivoire Balkans Belarus Libya Limited Programs - Exports and imports of specific goods. Burma (Myanmar) Diamond Trading North Korea, Somalia, Sudan, Syria

Brown Bag Series on Research Faculty Regulation Recap EAR regulates – Exports of commercial and “Dual Use” items listed on the CCL. ITAR regulates – Articles, services and technologies that are inherently military in nature listed on the USML. OFAC administers and enforces – Economic and trade sanctions and national security goals.

Brown Bag Series on Research Faculty Shipping at UW UW does not have a centralized shipping hub Exporting ITAR controlled items or EAR controlled items with a specific ECCN should be done with a UW preferred carrier:  Expeditors International  The Pasha Group  Other approved carrier. Export shipments with or with out a license may require that Electronic Export Information (EEI) is filed.

Brown Bag Series on Research Faculty Hazardous Materials Environment Health and Safety - EH&S Some items may be hazardous controlled as well as export-controlled.  chemicals  infectious substances  radioactive materials  compressed gases  dry ice  liquid nitrogen  lithium batteries  aerosol cans and other pressurized items  and more… Environmental Health and Safety offers assistance for UW students, faculty and staff who need to export hazardous materials. Call or

Brown Bag Series on Research Faculty Export Exclusions

Brown Bag Series on Research Faculty Educational Information Exclusion ITAR – Export Controls do not apply to information concerning “general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities.” EAR – Export Controls do not apply to “educational information” released by instruction in catalog courses and associated teaching laboratories.  Includes courses available globally on-line (“distance learning”)

Brown Bag Series on Research Faculty Public Domain (ITAR) and Publicly Available (EAR) Information Publicly available technology and non-encryption software, Examples include:  information published in a periodical or book available to the public,  information released at a conference, or  information that will be published (EAR) or is published (ITAR).  Websites accessible to the public, free of charge, and where the university does not have access controls over who visits the site or downloads the information or software.

Brown Bag Series on Research Faculty Fundamental Research Exclusion (FRE) Information arising from basic and applied research in science and engineering,  at an accredited University in the US,  where the resulting information is ordinarily published and shared broadly with the scientific community  is excluded from EAR/ITAR.

Brown Bag Series on Research Faculty FRE Destroyed Publication Restrictions:  Research results subject to pre-publication review and approval by the sponsor, beyond the limited review for exclusion of proprietary information or protection of patent rights Specific National Security Controls:  Pre-publication review by Government with right to withhold publication  Restriction on dissemination of information  Restriction on participation of non-U.S. citizens

Brown Bag Series on Research Faculty FRE NOT Destroyed if; The University accepts postponing publication:  for a reasonable time allowing sponsor to review the proposed publication; OR  ensure that publication will not compromise patent and/or licensing rights of the sponsor There is only a reference to compliance with export control laws in the agreement.

Brown Bag Series on Research Faculty Research Restrictions can be found in: Non-disclosure agreements (NDA) Confidentiality Agreement (CDA) Material Transfer Agreement (MTA) Research Agreement Any other agreement or contract in place that impacts the research/activity

Brown Bag Series on Research Faculty Dual Use Issues

Brown Bag Series on Research Faculty Deemed Exports Any “release” of technology or source code (except encryption source code) subject to the EAR in a foreign country; or to a foreign national. “Released” for export through:  Visual inspection of U.S. origin equipment and facilities  Oral exchanges of information in the United States or abroad  Application to situations – Demonstrations abroad * Does not necessarily mean that a license is required.

Brown Bag Series on Research Faculty General Technology Note Export of “technology” that is “required” for the “development”, “production”, or “use”.  Required  Refers to only that portion of “technology” or “software” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions Development  Related to all stages prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts. Production  All production stages, such as: product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance. Use  Operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.

Brown Bag Series on Research Faculty Deemed Export? Research project funded by the U.S. Air Force to enhance plasma actuators (export-controlled) where configuration design technology will be shared with grad students (U.S. and Foreign); project results are restricted to the Air Force. Research project funded by Lamborghini for new composite materials and pattern techniques where the project results will be developed by grad students (U.S. and Foreign) and shared openly with the scientific community. (Yes – Deemed Export) (Not – Deemed Export)

Brown Bag Series on Research Faculty License Exception TSU TSU is available for “technology” that is the minimum necessary for the installation, operation, maintenance (checking), and repair of those products that are eligible for License Exceptions or that are exported under a license. Example: Teaching a foreign national how to operate a piece of equipment does not rise to the level of a deemed export.

Brown Bag Series on Research Faculty Dual-Use Enhancements Enhancements or Modifications of “Dual-Use” items requires additional caution.  New or improved technologies are often not listed on the CCL. Commodity Classification  Process to review and classify commercial/dual-use items not specifically listed on the CCL. Commodity Jurisdiction  Process to review and classify military (or unknown use) items not specifically listed on the USML.

Brown Bag Series on Research Faculty Enhancement? Modify a COTS camera to take pictures at a greater frame rate. Modify a COTS camera to have more disk storage. Modify a UAV (underwater autonomous vehicle) by adding a camera to take a picture every 60 seconds. Modify a UAV to be capable of longer and deeper dives. YES NO YES

Brown Bag Series on Research Faculty How do I protect? Export-controlled material Federal: No controls specified State: No controls specified UW: APS 2.10, “Minimum Data Security Standards” Technology Control Plan Contract: Additional requirements possible Watch for DFARS XX change

Brown Bag Series on Research Faculty How do I protect? Classified material Federal: DoD M, “National Industrial Security Program Operating Manual” (baseline), supplements as applicable State: No controls specified UW: No controls specified Contract: Additional requirements possible

Brown Bag Series on Research Faculty Question Export InquiriesSecurity Inquiries Garrett SteeleJames Poland