1. Export Controls: What are they?
Why do they concern us? 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. “Release” can occur through
Shipping
Visual inspection
Verbal discussions
/Fax
Computer data disclosure
Training
Depending on the specific technologies and countries involved, a license may be needed.

4. U.S. Persons and Foreign Nationals Defined
“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 entities not incorporated to do business in the U.S.

5. What are “Export Controls”?
U.S. laws that regulate the release of strategically important technology, services and information to foreign countries and foreign nationals.

6. Who Administers Export Controls?
Military, Space, Satellite
22 CFR
Department of State
International Traffic in Arms Regulations
(ITAR) Directorate of Defense Trade Controls
Dual-Use Technologies (civilian or military)
15 CFR
Department of Commerce
Export Administration Regulations (EAR)
Bureau of Industry and Security
Department of the Treasury
Office of Foreign Assets Control (OFAC)
U.S. Sanctions and Embargoed Regimes. Lists of “Specially Designated Nationals (SDNs)”31 CFR Country Policies and Embargoes

7. But I’m just doing my 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

8. What Types of Things are Controlled?
Commerce Control List – Dual Use Item Categories (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
Examples – trigger spark gaps, laminar flow hoods

9. U.S. Munitions List (ITAR) – Military Use Items
Category I-Firearms, Close Assault Weapons and Combat Shotguns
Category II-Guns and Armament 
Category III-Ammunition/Ordnance 
Category IV-Launch Vehicles, Guided & Ballistic Missiles, Rockets, Torpedoes, Bombs Mines 
Category V-Explosives/Energetic Materials, Propellants, Incendiary Agents and Constituents 
Category VI-Vessels of War and Special Naval Equipment 
Category VII-Tanks and Military Vehicles 
Category VIII-Aircraft and Associated Equipment 
Category IX-Military Training Equipment and Training
Category X-Protective Personnel Equipment and Shelters 
Category XI-Military [and Space] Electronics 
Category XII-Fire Control, Range Finder, Optical and Guidance and Control Equipment 
Category XIII— Materials and Miscellaneous Articles
Category XIV-Toxicological Agents, Chemical and Biological Agents, Associated Equipment 
Category XV-Spacecraft Systems and Associated Equipment 
Category XVI-Nuclear Weapons Design and Test Equipment 
Category XVII-Classified Articles, Technical Data, Defense Services Not Otherwise Enumerated 
Category XVIII—Directed Energy Weapons
Category XIX—Gas Turbine Engines and Associated Equipment
Category XX-Submersible Vessels, Oceanographic and Associated Equipment 
Category XXI-Miscellaneous Articles

10. The Good News
Most university activities are not subject to export controls.
Fundamental Research Exclusion
Public Domain Exclusion
Educational Activities Exclusion
“Use” definition

11. Excluded from Export Control Fundamental Research
"Basic or applied research in science and engineering at an accredited institution of higher learning, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons." NSDD-189

12. The Fundamental Research Exclusion is Destroyed When….
Publication Restrictions are accepted from the sponsor.
Access or participation restrictions are accepted from the sponsor.
The Fundamental Research Exclusion is Not Available When….
Working outside the U.S.
Shipping tangible items
Encryption software/source code involved
Export controlled information is received from the sponsor.

13. Development, Production, or “Use”
Six criteria for “Use” (for equipment):
operation
installation
maintenance
repair
overhaul
AND refurbishing

14. Exclusions from Export Control
Information in the Public Domain
Information generally accessible to the interested public in any form
Educational Information
Information released by instruction in catalog courses and associated teaching laboratories of academic institutions.

15. So when do I call Export Control?
Activities which involve the following “red flags” may be subject to export controls:
Biological or chemical threat agents and related medical remediation and diagnostics
Applications to defense, satellite, or space
Publication or participation restrictions
References to export control laws in grants, contracts, RFAs
Proprietary research, product development, “Use”
International field work or travel
Comprehensively embargoed countries: Iran, Syria, Sudan, Cuba, North Korea; also consider other countries of concern see OFAC Sanctions Programs. Note China is highly regulated.

16. My project is subject to export controls…..
A license may be needed for certain foreign nationals to participate or for an export to occur.
If a license is needed, the Export Control Manager will apply.
and/or a Technology Control Plan will be developed to document how access to the controlled technology by non-authorized persons will be prevented.

17. Restricted Party Screening
Several agencies maintain lists of restricted entities and individuals.
“Restricted Party Screening” (RPS) is the comparison of person/entity names against these lists.
RPS should be conducted on
Visa Applicants (conducted by Office of International Students and Scholars)
Foreign visitors
Travel destinations
Shipping destinations (Material Transfer Agreements screened by OTM)
Contact the Export Control Manager for RPS assistance.

18. Visa Screening
H1-B visa petitions must be certified by the University as to whether a license will be needed.
NEW PI questionnaire available on OISS website (fillable PDF) or contact Laura Langton
Old questionnaire will not be accepted after July 1st.
For other visa types
Applicants from Iran, Syria, Sudan, North Korea, Cuba will be screened with same procedure as H1-B.
If you receive a request from a consulate for information or certification related to export controls, please contact Laura Langton

19. International Travel
Hand carried items (devices, software, technical data, equipment) are subject to export controls.
In general laptops and cell phones do not need a license unless travelling to an embargoed country, however controlled technical data on the laptop may.
Rule of thumb – If you don’t need it don’t take it! Use of a “scrubbed” laptop is recommended.
Travel destinations (universities, institutes) should undergo RPS.

21. For more information or for consultation on a specific project, please contact: Laura Langton Export Control Manager