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Export Control
Presented by Research and Graduate Studies
Elizabeth Peloso
What is an Export?
• Shipment of goods out of the U.S.
• Electronic transmission out of the U.S.
• Release of technology to foreign Person
Foreign “Person” or “Entity”
• Any Foreign government
• Any foreign corporation or group organized to do business outside the United States
• Anyone who does not have permanent resident status in the U.S.
Purpose of Export Controls
• Anti-terrorism
• Prevent increased military potential of adversaries
• Prevent development of WMDs
• Comply with trade agreements
Regulatory Environment• Department of State
– ITAR (International Traffic in Arms)
• Department of Commerce– EAR (Export Administration Regulations)
• Department of theTreasury– OFAC (Office of Foreign Asset Controls)
ITAR
• Weapons, items, and technology for military use
• Contracts with DOD
EAR
• “dual-use” items– Potential military use (e.g. missile guidance,
avionics, GPS)
• May also apply to solely civil use items– Depending on the end use/end user
Fundamental Research Exclusion
734.8 (b) (1) –University Based Research.
Information resulting from basic and applied research in science and engineering conducted at an accredited institution of higher education in the U.S. that is ordinarily published and broadly shared within the scientific community.
Implications
• Any contract with publication restrictions will be subject to controls– Review vs approval– Reasonable review periods
Implications
• Any work conducted outside the U.S. will be subject to controls (even if all equipment/technology will be returned to the U.S.)
Deemed Exports
• The transfer or disclosure (including visually or orally) of controlled “technologies” or “technical data” to a foreign entity or individual anywhere, including the U.S. (15 CFR 734.2; 22 CFR 120.17)
• Technology: specific information necessary for development, production, or use of a product
• Technical data: information required for design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of controlled articles
Implications
• Foreign national staff (including students) may be deemed export if do not have permanent resident status/ full time employment.
• Visiting foreign national colleagues may be deemed export.
What is EAR controlled?• Nuclear materials and technologies• Chemical and Biological materials• Materials processing equipment• Electronics• Computers• Telecommunications and Information Security• Sensors and Lasers• Navigation and Avionics• Marine• Propulsion Systems, Space vehicles, and related equipment
EAR Product Groups
• Systems, equipment and components
• Test, inspection & production equipment
• Materials
• Software
• Technology
Examples of controlled items• Nuclear Weapons
– Centrifuges– High speed thermal
cameras– Mass spectrometers– Vacuum pumps
• Biological Weapons– Bacterial strains– Coated valves and pumps– Fermenters– Presses
• Chemical Weapons– Precursor chemicals– Coolers/heat exchangers– Mixing Vessels
• Missiles– Composites– Machine tools– Filament winding Equipment– Accelerometers– Vibration test equipment
Penalties for Violating Regulations
• 10/20 years imprisonment
• $250,000 fines
• Civil penalties of up to $120,000 per national security violation
Hope for the Future?
• Deemed Export Advisory Committee recommendations (Dec, 2007)– Overhaul system to narrowly define covered
technologies– Overhaul system for licensing
How do we determine if Export Controls Apply?
• Materials being used in research
• Language of contracts– Approval of personnel– Restriction on publication
Screening form
Technology Control or Security Plan
• Details how project will protect from inadvertant disclosure to non-authorized individuals
• Examples: encrypeted computer files, limited access to labs
• Responsibility of PI
TCP Form
Be Aware
• If you think any aspect of your research may be subject to export controls AND /OR you have deemed export concerns, please contact the research office.
