1. Export Controls and HHP:
An Overview

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

3. 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

4. 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

5. 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.

6. 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
s 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

7. 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

8. 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)

9. 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

10. 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

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

12. 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

13. 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

14. 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

15. 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.”

16. 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.

17. 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)

18. 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)

19. Matthew Battiston