 U.S. laws and their implemented regulations that prohibit the unauthorized “export” of certain controlled ITEMS, INFORMATION OR SOFTWARE to foreign persons or entities in the U.S. and abroad ◦ Export control laws apply to all activities – not just sponsored research projects

Export: Any oral, written, electronic or visual disclosure, shipment, transfer or transmission outside of the United States to anyone, including a U.S. citizen, of any commodity, technology (information, technical data, or assistance) or software/codes. Deemed ExportDeemed Export: Providing, transferring, or disclosing technical data or technology to a foreign national within the United States.

 Equipment & material purchase, usage & disposal  Research agreements  International agreements  Material transfer agreements  Nondisclosure agreements  Software and other intellectual property licenses  International travel  Contractual services agreements

The federal definition of a foreign national is a person who is NOT: granted permanent U.S. residence, as demonstrated by the issuance of a permanent residence card, i.e., a "Green Card" granted U.S. citizenship granted status as a "protected person" under 8 U.S.C. 1324b(a)(3), e.g., political refugees, political asylum holders, etc. Who is a Foreign National/Person?

State Department: Inherently military technologies-- International Traffic in Arms Regulations (ITAR) Commerce Department: “Dual-Use” technologies (primary civil use) – Export Administration Regulations (EAR) Treasury Department, Office of Foreign Assets Control (OFAC): Prohibits transactions with countries subject to boycotts, trade sanctions, embargoes

 Items on the Munitions List ◦ Includes both research on “defense articles” and training or assistance in developing “defense articles” ◦ Technical data related to the manufacture or production of defense articles ◦ Anything with a substantial military application

Items on the Commerce Control List (CCL) Examples: Batteries and Fuel Cells Cameras and Optics Equipment Artificial Intelligence Software Certain Computer Equipment Items using Laser Technology Certain Chemicals, Microorganisms and Toxins

Sanctions Programs and Country Information  Economic sanctions against hostile targets, including countries  May prohibit travel, payment or providing anything of value to the sanctioned country

 Shipment of physical items outside of U.S.  Discussion of unpublished research at a conference in the U.S. with foreign nationals present  Visit to a lab on campus by a foreign national scholar where technical data is displayed  Participation of foreign nationals in research  Receiving an with technical data on a foreign national’s computer

A license is not required to disseminate information if one of three exclusions applies: Fundamental Research Exclusion (ITAR, EAR) Employment Exclusion (ITAR only) Education Exclusion (ITAR, EAR) Anything in the Public Domain is also excluded

 Basic and applied research  No restrictions of access by students or others  No restriction on publication  Research carried out openly  Results are intended to be shared broadly in the scientific community

Forbids the participation of foreign persons; Gives the sponsor a right to approve publications resulting from the research; or Otherwise operates to restrict participation in research and/or access to and disclosure of research results. The university accepts any contract clause that:

No license is required to share controlled technical information with a foreign person who: is a full-time, bona fide university employee has a permanent address in the US while employed provided that person is not a national of certain countries and is advised in writing not to share controlled information with other foreign persons

exemptions include information of a “general scientific, mathematical or engineering” nature ITAR excludes education information released by instruction in catalog courses and associated teaching laboratories EAR

Researchers are at the “front line” of export control issues because: They have control over the scope of the research project They are the ones who make the decision regarding equipment and/or technology They have ultimate control of the research project

 Deemed Exports  Foreign National restrictions in contracts  Government-sponsored research covered by national security contract controls  ITAR -- “defense articles” and “defense services,” especially in space research  The application of OFAC sanctions to university sponsored or related activities

Failure to comply with U.S. export control laws can result in severe penalties: Civil penalties up to $500,000 each violation Criminal penalties up to $1,000,000 each violation Imprisonment up to 10 years

 Contact Mary James, Compliance Manager, ORSPA, ;