1. Export Control
Laura Langton, PhD Export Control Manager

2. 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”).

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

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

10. 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

11. 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

12. 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!

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

14. “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

15. 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.

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

17. 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.

18. 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.

19. 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.

20. 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.

21. 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
CALL THE EXPORT CONTROL MANAGER for assistance.

22. 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

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

24. Red Flag

25. 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 (§ U.S. person ITAR provision);
b) Compliance to International Traffic In Arms Regulations (ITAR), 22 CFR Parts ;
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.

26. Red Flag DO NOT SIGN and DO NOT TAKE POSSESSION OF ITEM.
CALL EXPORT CONTROL MANAGER.

27. 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.

28. For more information or for consultation on a specific ISSUE, please contact: Laura Langton, PhD Export Control Manager