1. Export Controls: An Overview Export Controls: An Overview Academic Deans Meeting March 10, 2009 The University of Florida acknowledges and appreciates Virginia Tech for granting UF permission to use, and alter their presentation on Export Controls for Virginia Tech Faculty and Principal Investigators

2. Export Controls: An Overview What are Export Controls? US laws that regulate the distribution to foreign nationals and foreign countries of strategically important technology, services and information for reasons of foreign policy and national security.

3. Export Controls: An Overview What is an Export? Transfer of controlled technology, information, equipment, software or services to a foreign person in the US or abroad. An export to a foreign person in the US is considered a deemed export.

4. Export Controls: An Overview Responsible Agencies State Department International Traffic in Arms Regulations (ITAR) Commerce Department Export Administration Regulations (EAR) Treasury Department Office of Foreign Assets Control (OFAC)‏ Other Agencies DOE, NRC, DHS, Customs

5. Export Controls: An Overview The Main Message The Regulations are complex and the penalties can be severe. When in doubt contact DSR.

6. Export Controls: An Overview Typical University Exclusions Fundamental Research Educational Information Public Domain/Publicly Available Information

7. Export Controls: An Overview Fundamental Research Exclusion “Fundamental research” means basic and applied research in science and engineering, 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. per National Security Decision Directive 189

8. Export Controls: An Overview Education Exclusion Applies when the information in question consists of general scientific, mathematical or engineering principles commonly taught in universities or information that is in the public domain.

9. Export Controls: An Overview Public Domain/Publicly Available Information Applies when the information is already in the public domain and does not have restrictions on who may access.

10. Export Controls: An Overview Risk Areas Many university activities are subject to export controls and the exclusions may not always apply. Defense Contracts/Services International Projects Access to Controlled Equipment (ITAR v. EAR) Development Proprietary Research/Information

11. Export Controls: An Overview Penalties for Export Control Violations Administrative penalties Loss of US Gov’t funding/debarment Loss of export privileges Monetary fines Up to $1 Million per violation Jail time Up to 20 years per violation

12. Export Controls: An Overview Why Does UF Care About Export Controls? Increasingly more University projects are subject to export controls. Investigations and enforcement are on the rise. Recent Voluntary Disclosures by UF Violation related to ITAR controlled information released via a Department website Possible EAR/OFAC violation regarding computers to Cuba

13. Export Controls: An Overview Recent Licenses/License Applications 3 ITAR licenses received for equipment shipments to Belize, Costa Rica and Spain. (DSR) 2 EAR licenses and 1 application for shipping materials/equipment overseas. (EHS) Institutional License from OFAC for certain types of travel to Cuba. (UFIC)

14. Export Controls: An Overview Other University Offices Involved UF International Center Controls related to international travel Purchasing and Asset Management Recording of controls on University assets Obtaining ECCN or USML category on purchases over purchasing threshold Environmental Health and Safety Shipping and transfer of controlled biologics and chemicals Office of the General Counsel Assists export controls processes in an advisory role

15. Export Controls: An Overview Closing Questions Contact Information Brandi Kay Boniface, MIBS, CRAAmy Hass, Esq. Assistant Director for ResearchAssistant General CounselUniversity of Florida McCarty Hall Bldg D123 Tigert Hall Gainesville, FL 32611-5500Gainesville, FL 32611-3157 (352) 846-1501(352) 392-1358 Boniface@ufl.eduamhass@ufl.edu http://rgp.ufl.edu/research/compliance.html#conduct