US

INT’L Students

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RESEARCHITAR

ACADEMICS EAR

Understanding Export Regulationsfor Research Administrators, orHow to Cross Shark Infested waterswithout getting eaten or bit ...

EXPORT CONTROL WORKSHOPNCURA Regional Conference

Lihue, KauaiApril 23-26, 2006

Steve EisnerSteve EisnerExport Control OfficerExport Control OfficerStanford University Stanford University (650) 734-7270(650) 734-7270steve.eisner@stanford.edusteve.eisner@stanford.edu

Debra MurphyDebra MurphyResearch Compliance ManagerResearch Compliance ManagerArizona State UniversityArizona State University(480) 965-2179(480) 965-2179debra.murphy@asu.edudebra.murphy@asu.edu

What Are Export Control What Are Export Control Regulations?Regulations?

Export Control Regulations prohibit the Export Control Regulations prohibit the unauthorized “export” of certain unauthorized “export” of certain controlled controlled ITEMSITEMS, , INFORMATION OR INFORMATION OR SOFTWARESOFTWARE to foreign persons or entities in to foreign persons or entities in the U.S. and abroadthe U.S. and abroad

ITEMS= Tangible things, equipment or hardwareITEMS= Tangible things, equipment or hardware INFORMATION = “Technical Data” such as models, INFORMATION = “Technical Data” such as models,

formulae, engineering designs or “Technical formulae, engineering designs or “Technical Assistance” such as training or instructionAssistance” such as training or instruction

SOFTWARE = Computer programs or microprograms SOFTWARE = Computer programs or microprograms in either “Source Code” (programming statements) or in either “Source Code” (programming statements) or “Object Code” (machine-readable instructions)“Object Code” (machine-readable instructions)

What is an “Export”? What is an “Export”? What is a Deemed Export?What is a Deemed Export?

An “export” is a tangible shipment of an item, An “export” is a tangible shipment of an item, information or software information or software outsideoutside of the U.S., OR of the U.S., OR

A transfer or “release” of information or software A transfer or “release” of information or software code to a foreign person code to a foreign person inin the U.S. (“deemed the U.S. (“deemed export”) export”)

This release of information is known as a “deemed This release of information is known as a “deemed export” – the release is “deemed” to be an export to the export” – the release is “deemed” to be an export to the home country of the foreign personhome country of the foreign person

What is a Deemed What is a Deemed Export?Export?(Cont.)(Cont.) Takes place through an oral or written Takes place through an oral or written

disclosure of information, or through visual disclosure of information, or through visual inspectioninspection Examples: Email, telephone, websites, Examples: Email, telephone, websites,

laboratory tours, foreign national research laboratory tours, foreign national research collaborationcollaboration

This is the PRIMARY export control issue This is the PRIMARY export control issue facing research administrators.facing research administrators.

Remember!! – The overseas shipment of Remember!! – The overseas shipment of items or the sharing, transmission or items or the sharing, transmission or transfer of information or software is transfer of information or software is considered an “export” and may require considered an “export” and may require authorization if export controlled.authorization if export controlled.

Who is a “Foreign Who is a “Foreign Person”?Person”?

A “foreign person” is anyone who is not a “U.S. A “foreign person” is anyone who is not a “U.S. person”person”

A “U.S. person” is either:A “U.S. person” is either:

A U.S. citizen, lawful permanent resident alien (“Green A U.S. citizen, lawful permanent resident alien (“Green Card Holder”), refugee, protected political asylee or Card Holder”), refugee, protected political asylee or someone granted temporary residency under amnesty or someone granted temporary residency under amnesty or Special Agricultural Worker provisions; orSpecial Agricultural Worker provisions; or

Any juridical person (i.e. organizations under the laws of the United States or any jurisdiction within the U.S., including foreign branches)

Who is a Foreign Person?Who is a Foreign Person?(Cont.)(Cont.)

Examples of foreign persons:

Individuals in the U.S. in Non-Immigrant Status (H-1B, F-1, J-1)

Any branch of a foreign government

Any foreign corporation or group that is not incorporated or organized to do business in the U.S.

Why Do We Have Export Why Do We Have Export Control Regulations?Control Regulations?

Objective: To protect U.S. national Objective: To protect U.S. national security and foreign policy interests by security and foreign policy interests by --

Denying our adversaries the means to advance Denying our adversaries the means to advance their military potentialtheir military potential

Implementing foreign policy objectivesImplementing foreign policy objectives Preventing terrorismPreventing terrorism Inhibiting the proliferation of Weapons of Mass Inhibiting the proliferation of Weapons of Mass

Destruction (nuclear, biological, chemical)Destruction (nuclear, biological, chemical) Fulfilling Multilateral Obligations (i.e. UN Fulfilling Multilateral Obligations (i.e. UN

Sanctions, Trade Agreements)Sanctions, Trade Agreements)

What Are the Various What Are the Various Export Control Export Control Regulations?Regulations?

1. Export Administration Regulations 1. Export Administration Regulations (EAR)(EAR)

15 CFR 730-774 15 CFR 730-774 http://www.access.gpo.gov/bis/ear/ear_data.htmlhttp://www.access.gpo.gov/bis/ear/ear_data.html

Enforced by the Commerce Department’s Enforced by the Commerce Department’s Bureau of Industry and Security (BIS)Bureau of Industry and Security (BIS)

Governs export and reexport of all U.S. Governs export and reexport of all U.S. origin items, information and/or softwareorigin items, information and/or software

Covers “dual use” items, information and Covers “dual use” items, information and software designed for commercial software designed for commercial purposes but having military applicationspurposes but having military applications

EAR/CCL CategoriesEAR/CCL Categories

Export controlled items, information and Export controlled items, information and software organized into 10 discrete software organized into 10 discrete categories on Commerce Control List categories on Commerce Control List (CCL)(CCL)

CCL Categories capture many areas of CCL Categories capture many areas of university research such as advanced university research such as advanced materials, astrophysics, materials, astrophysics, telecommunications, microelectronics, telecommunications, microelectronics, encryption, optoelectronics, computing, encryption, optoelectronics, computing, biotechnology, aerospace etc. biotechnology, aerospace etc.

EAR/CCL Categories (Cont.)EAR/CCL Categories (Cont.) CCL’s 10 categories are broken down into Export CCL’s 10 categories are broken down into Export

Control Commodity Numbers (ECCNs)Control Commodity Numbers (ECCNs) First digit in an ECCN = CCL Category (i.e. First digit in an ECCN = CCL Category (i.e. 33A001)A001)

(Category 3 = Electronics , 5 = Communications, etc.)(Category 3 = Electronics , 5 = Communications, etc.)

Items on the CCL are generally represented by the Items on the CCL are generally represented by the letters “A”, “B” and “C” (i.e. 3letters “A”, “B” and “C” (i.e. 3AA001, 5001, 5BB991, 6991, 6CC002)002)

““A” Subcategory = Systems, Equipment and ComponentsA” Subcategory = Systems, Equipment and Components ““B” Subcategory = Test, Inspection and Production B” Subcategory = Test, Inspection and Production

EquipmentEquipment ““C” Subcategory = MaterialsC” Subcategory = Materials

Software on the CCL is represented by the letter “D” following Software on the CCL is represented by the letter “D” following the controlled category number (i.e. 3the controlled category number (i.e. 3DD001, 5001, 5DD991)991)

Information (what the EAR calls “Technology”) on the CCL is Information (what the EAR calls “Technology”) on the CCL is represented by the letter “E” following the controlled category represented by the letter “E” following the controlled category number (i.e. 3number (i.e. 3EE001, 5001, 5EE991)991)

EAR/CCL Categories (Cont.)EAR/CCL Categories (Cont.)

The EAR defines “technology” as: The EAR defines “technology” as: “ “Specific information Specific information necessarynecessary for the development, for the development,

production or use of equipment or software. Technology production or use of equipment or software. Technology includes information subject to the EAR released in the form includes information subject to the EAR released in the form of technical assistance or technical data.”of technical assistance or technical data.”

Key concept for researchers: The use of controlled Key concept for researchers: The use of controlled equipment of software does not in and of itself constitute equipment of software does not in and of itself constitute a licensable export unless specific a licensable export unless specific controlledcontrolled information information requiredrequired for its use is transferred during release. for its use is transferred during release.

EAR99EAR99 a “catch-all” category for a “catch-all” category for items/software/info subject to the EAR but not items/software/info subject to the EAR but not listed on the CCLlisted on the CCL

On CCL –No License

Exception Available – License Required

On CCL -License Required to

Country of Export, ButLicense Exception Available

On CCL/NLR To Country of Export

Not On CCLEAR 99/NLR Except to Embargoed Countries

EAR Licensing PyramidEAR Licensing Pyramid

What Are the Various What Are the Various Export Control Export Control Regulations? Regulations?

2. International Traffic in Arms Regulations 2. International Traffic in Arms Regulations (ITAR)(ITAR)

22 CFR 120-13022 CFR 120-130https://www.pmdtc.org/reference.htm#https://www.pmdtc.org/reference.htm#regsregs

Enforced by State Department’s Directorate of Enforced by State Department’s Directorate of Defense Trade Controls (DDTC)Defense Trade Controls (DDTC)

Covers “defense articles” (tangible items, Covers “defense articles” (tangible items, information and software) and “defense information and software) and “defense services” (training, assistance) specifically services” (training, assistance) specifically designed, developed or modified for military designed, developed or modified for military applicationsapplications

Transfers of defense articles and provision of Transfers of defense articles and provision of defense services to foreign persons require defense services to foreign persons require DDTC approval unless DDTC approval unless excludedexcluded or or exemptexempt

ITAR / USMLITAR / USML Defense articles - organized into 21 Defense articles - organized into 21

discrete categories on the U.S. discrete categories on the U.S. Munitions List (USML)Munitions List (USML)

Categories include: Toxicological Categories include: Toxicological Agents, Military Electronics, Aircraft Agents, Military Electronics, Aircraft and Associated Equipment and and Associated Equipment and Directed Energy WeaponsDirected Energy Weapons

Category XV “Spacecraft Systems and Category XV “Spacecraft Systems and Associated Equipment” pose biggest Associated Equipment” pose biggest obstacle for research universitiesobstacle for research universities

ITAR and Spacecraft ITAR and Spacecraft SystemsSystems

Includes space-related items, information Includes space-related items, information and software even if designed for and software even if designed for commercial or scientific purposescommercial or scientific purposes

Examples: Communication and research Examples: Communication and research satellites, certain GPS equipment, space-satellites, certain GPS equipment, space-qualified/radiation hardened electronicsqualified/radiation hardened electronics

ITAR space-related items, information and ITAR space-related items, information and software pose significant software pose significant Defense ServiceDefense Service issues for colleges and universitiesissues for colleges and universities

What Are the Various What Are the Various Export Control Export Control Regulations? Regulations?

3. Office of Foreign Assets Control (OFAC)3. Office of Foreign Assets Control (OFAC) Enforced by the Treasury Department’s Office Enforced by the Treasury Department’s Office

of Foreign Assets Control (OFAC)of Foreign Assets Control (OFAC)

Economic sanctions regulations prohibiting Economic sanctions regulations prohibiting trade with and/or the transfer of payments, trade with and/or the transfer of payments, property or anything of “value” to certain property or anything of “value” to certain sanctioned or embargoed countries or sanctioned or embargoed countries or “Specially Designated Nationals” (SDNs) of “Specially Designated Nationals” (SDNs) of those countriesthose countries

SDNs - terrorists, drug kingpins and persons engaged SDNs - terrorists, drug kingpins and persons engaged in WMD proliferation (includes organizations to which in WMD proliferation (includes organizations to which SDNs belong) SDNs belong)

OFAC OFAC Sanctioned/Embargoed Sanctioned/Embargoed

CountriesCountries Countries currently subject to U.S. trade Countries currently subject to U.S. trade

embargoes –embargoes – Cuba, Iran, Syria, North Korea, Myanmar Cuba, Iran, Syria, North Korea, Myanmar

(Burma) and Sudan(Burma) and Sudan

OFAC Listed Countries and Territories OFAC Listed Countries and Territories Subject to Sanctions –Subject to Sanctions – Liberia, Iraq, Zimbabwe, Balkans, Libya, Cote Liberia, Iraq, Zimbabwe, Balkans, Libya, Cote

D'Ivoire (Ivory Coast) and the Palestinian D'Ivoire (Ivory Coast) and the Palestinian Territories (Palestinian Authority)Territories (Palestinian Authority)

OFAC Prohibited OFAC Prohibited ActivitiesActivities

Examples of prohibited activities in Examples of prohibited activities in embargoed countries that affect research embargoed countries that affect research institutions:institutions: Shipment of tangible items in support of Shipment of tangible items in support of

research with knowledge that items will be used research with knowledge that items will be used in or for the benefit of the embargoed countryin or for the benefit of the embargoed country

Payments to persons including organizations to Payments to persons including organizations to conduct or support in-country research (i.e. conduct or support in-country research (i.e. surveys, interviews, fellowships etc.)surveys, interviews, fellowships etc.)

Providing financial or material support to Providing financial or material support to conferences hosted or co-hosted by academic conferences hosted or co-hosted by academic institutions in embargoed countriesinstitutions in embargoed countries

Why the Increased Why the Increased Attention to Export Attention to Export

Controls? Controls? Security and immigration concerns post 9/11 Security and immigration concerns post 9/11

Sponsored research contains progressively Sponsored research contains progressively greater restrictions on technology transfer to greater restrictions on technology transfer to foreign personsforeign persons

Not just Federal contracts but corporate grants/gifts as well Not just Federal contracts but corporate grants/gifts as well

March 2004 DOC Inspector General report citing March 2004 DOC Inspector General report citing perceived deemed export loopholes at universities perceived deemed export loopholes at universities

Proposed Rule - http://edocket.access.gpo.gov/2005/pdf/05-Proposed Rule - http://edocket.access.gpo.gov/2005/pdf/05-6057.pdf6057.pdf

Grabs the attention of University Presidents and Provosts Grabs the attention of University Presidents and Provosts Generates over 300 comments vehemently arguing against Generates over 300 comments vehemently arguing against

RuleRule

What is an Export Control What is an Export Control Exclusion? Exclusion?

It’s how you, as a research administrator It’s how you, as a research administrator addressing the flow of addressing the flow of informationinformation between between students and scholars, can avoid getting eaten students and scholars, can avoid getting eaten or bit!! or bit!!

A provision that exempts certain information A provision that exempts certain information and software from export licensing and software from export licensing requirementsrequirements Most export control exclusions share the concept Most export control exclusions share the concept

thatthat information or software that is generally in the information or software that is generally in the public domainpublic domain (ITAR) or (ITAR) or publicly availablepublicly available (EAR) is (EAR) is not subject to export control regulationsnot subject to export control regulations

Export control exclusions in the EAR and ITAR Export control exclusions in the EAR and ITAR are similar, but differ in important ways. are similar, but differ in important ways.

Export Control Export Control ExclusionsExclusions

Public Domain Exclusion (ITAR)Public Domain Exclusion (ITAR) Publicly Available Exclusion (EAR)Publicly Available Exclusion (EAR) Educational Information ExclusionEducational Information Exclusion Employment Exclusion (ITAR)Employment Exclusion (ITAR) Fundamental Research ExclusionFundamental Research Exclusion

Public Domain Exclusion Public Domain Exclusion (ITAR)(ITAR)

USML-listed information and software that USML-listed information and software that is generally accessible and available to the is generally accessible and available to the public through/at one or more of the public through/at one or more of the following: following:

Fundamental researchFundamental research in science and engineering performed in science and engineering performed at an accredited institution of higher learning at an accredited institution of higher learning in the USin the US; ;

Libraries open to the public; Libraries open to the public; Sales at newsstands or bookstores; Sales at newsstands or bookstores; Subscriptions available without restriction; Subscriptions available without restriction; Published patents available at any patent office; Published patents available at any patent office; Unlimited distribution at conferences, meetings, seminars, Unlimited distribution at conferences, meetings, seminars,

trade shows or exhibitions trade shows or exhibitions in the USin the US that are generally that are generally available to the public; available to the public; and/orand/or

Websites that are accessible to all members of the public, Websites that are accessible to all members of the public, free of charge, and where the university does not have free of charge, and where the university does not have knowledge or control over who visits the site or downloads knowledge or control over who visits the site or downloads the information or softwarethe information or software

Publicly Available Exclusion Publicly Available Exclusion (EAR)(EAR)

CCL-listed information and software that is CCL-listed information and software that is generally accessible to the interested public in generally accessible to the interested public in any form through/at one or more of the any form through/at one or more of the following:following: Fundamental researchFundamental research in science and engineering performed at an in science and engineering performed at an

accredited institution of higher learning accredited institution of higher learning in the USin the US; ; Publication in periodicals, books, print, electronic, or any other media Publication in periodicals, books, print, electronic, or any other media

available for general distribution either free or at a cost not exceeding available for general distribution either free or at a cost not exceeding the cost of reproduction and distribution (allows for a reasonable the cost of reproduction and distribution (allows for a reasonable profit); profit);

Libraries open to the public or from university libraries; Libraries open to the public or from university libraries; Through subscriptions which are available without restriction either Through subscriptions which are available without restriction either

free or at a cost not exceeding the cost of reproduction and free or at a cost not exceeding the cost of reproduction and distribution (allows for a reasonable profit); distribution (allows for a reasonable profit);

Published patents and open (published) patent applications available Published patents and open (published) patent applications available at any patent office; at any patent office; and/orand/or

Unlimited distribution at conferences, meetings, seminars, trade Unlimited distribution at conferences, meetings, seminars, trade shows or exhibitions shows or exhibitions in the US or abroadin the US or abroad that are generally that are generally accessible to the public for a fee reasonably related to the cost, and accessible to the public for a fee reasonably related to the cost, and where attendees may take notes. where attendees may take notes.

Publicly Available Exclusion Publicly Available Exclusion (EAR / Software)(EAR / Software)

  CCL-listed software becomes publicly CCL-listed software becomes publicly available through/at one or both of the available through/at one or both of the following:following:

General distribution either free or at a cost not General distribution either free or at a cost not exceeding the cost of reproduction and distribution exceeding the cost of reproduction and distribution (with allowance for a reasonable profit on the (with allowance for a reasonable profit on the reproduction and distribution of such materials); reproduction and distribution of such materials); and/orand/or

Websites which are accessible to all members of Websites which are accessible to all members of the public, free of charge, and where the institution the public, free of charge, and where the institution does not have knowledge or control of who visits does not have knowledge or control of who visits the site or downloads the information or software. the site or downloads the information or software.

Educational Information Educational Information ExclusionExclusion

ITAR – Export Controls do not apply to ITAR – Export Controls do not apply to information concerning “general information concerning “general scientific, mathematical or engineering scientific, mathematical or engineering principles commonly taught in schools, principles commonly taught in schools, colleges and universities.”colleges and universities.”

EAR – Export Controls do not apply to EAR – Export Controls do not apply to “educational information” released by “educational information” released by instruction in catalog courses and instruction in catalog courses and associated teaching laboratories.associated teaching laboratories.

Employment Exclusion Employment Exclusion (ITAR)(ITAR)

ITAR license not required for colleges and ITAR license not required for colleges and universities to share information universities to share information in the in the U.S.U.S. with a foreign person if that person: with a foreign person if that person:

Is a “bona fide” employee of University – full time w/full Is a “bona fide” employee of University – full time w/full benefitsbenefits

Grad students are EXCLUDED as are most Post-Docs Grad students are EXCLUDED as are most Post-Docs Not a national from an ITAR embargoed countryNot a national from an ITAR embargoed country

Belarus, Cuba, Iran, Libya, North Korea, Syria, Belarus, Cuba, Iran, Libya, North Korea, Syria, Vietnam, Burma, China, Haiti, Liberia, Somalia, Sudan, Vietnam, Burma, China, Haiti, Liberia, Somalia, Sudan, Iraq, Afghanistan, Rwanda, and D.R. CongoIraq, Afghanistan, Rwanda, and D.R. Congo

Resides at a permanent address in the U.S. while employed Resides at a permanent address in the U.S. while employed Will apply mostly to foreign nationals in H-1B statusWill apply mostly to foreign nationals in H-1B status

Fundamental Research Fundamental Research ExclusionExclusion

Covers most basic research at colleges Covers most basic research at colleges and universities:and universities:

Definition (Definition (NSDD 189NSDD 189) – “Basic or applied ) – “Basic or applied research in science and engineering, the research in science and engineering, the results of which ordinarily are published results of which ordinarily are published

and shared broadly within the scientific and shared broadly within the scientific community”community”

Per NSDD 189, it is the policy of the U.S. Per NSDD 189, it is the policy of the U.S. Government “that, to the maximum extent Government “that, to the maximum extent possible, the products of fundamental possible, the products of fundamental research remain unrestricted.”research remain unrestricted.”

Fundamental Research Fundamental Research Exclusion Exclusion

(Cont.)(Cont.) In order to be considered in the public In order to be considered in the public

domain, the information or software must domain, the information or software must have been generated in the course of have been generated in the course of research performed research performed within the United within the United StatesStates. .

Information and software resulting from Information and software resulting from fundamental research outside of the U.S. is fundamental research outside of the U.S. is not treated by export control law as having not treated by export control law as having entered into the public domain, and is subject entered into the public domain, and is subject to export control, unless it qualifies under to export control, unless it qualifies under other public domain criteria. other public domain criteria.

Fundamental Research Fundamental Research Exclusion (Cont.)Exclusion (Cont.)

The fundamental research exemption will The fundamental research exemption will not apply if the university accepts any not apply if the university accepts any restrictions on the publication of resulting restrictions on the publication of resulting information, other than a brief (~ 90 day) information, other than a brief (~ 90 day) advance review by sponsors to:advance review by sponsors to: Prevent divulging propriety information Prevent divulging propriety information

provided to the investigator by the provided to the investigator by the sponsorsponsor

Insure that publication will not Insure that publication will not compromise patent rights of the compromise patent rights of the sponsorsponsor

Fundamental Research Fundamental Research Exclusion (Cont.)Exclusion (Cont.)

Fundamental Research Exclusion is Fundamental Research Exclusion is destroyed by any clause that:destroyed by any clause that: Gives the sponsor the right to approve Gives the sponsor the right to approve

publicationspublications Restricts participation of foreign nationals in Restricts participation of foreign nationals in

conduct of research by precluding access to conduct of research by precluding access to research resultsresearch results

Restriction also raises “Openness in Research” policy Restriction also raises “Openness in Research” policy issues for colleges and universitiesissues for colleges and universities

The Fundamental Research Exclusion is The Fundamental Research Exclusion is destroyed by such clauses regardless of destroyed by such clauses regardless of sponsorship (federal, private or non-profit)sponsorship (federal, private or non-profit)

How are Research Grants How are Research Grants and Contracts Impacted?and Contracts Impacted?

Strategic Federal funding opportunities Strategic Federal funding opportunities (Homeland Security, NIH, DOD) directly (Homeland Security, NIH, DOD) directly linked to export control regulationslinked to export control regulations

Restrictions on publication and access by Restrictions on publication and access by foreign nationals invalidate the foreign nationals invalidate the fundamental research exemptionfundamental research exemption

Corporate sponsors may not clearly identify Corporate sponsors may not clearly identify “protected technologies” in contract“protected technologies” in contract

Intellectual Property – involvement of Intellectual Property – involvement of foreign nationalsforeign nationals

Contracts and Grants: Contracts and Grants: What do I watch for?What do I watch for?

Shipments of equipment to a foreign countryShipments of equipment to a foreign country

Training or collaboration with foreign Training or collaboration with foreign nationalsnationals

Research activities performed in an Research activities performed in an embargoed countryembargoed country

Reference to export controlled technologies Reference to export controlled technologies in an award documentin an award document

Restrictions on publication rightsRestrictions on publication rights

Restrictions on foreign participationRestrictions on foreign participation

Contracts and Grants:Contracts and Grants: What can we do? What can we do?

Assert an exemption within the Assert an exemption within the proposal proposal

andandDuring award negotiation remove During award negotiation remove terms and conditions that limit:terms and conditions that limit:

Rights to publish or present resultsRights to publish or present resultsAccess or participation of foreign Access or participation of foreign

nationalsnationals

Contracts and Grants: Contracts and Grants: What more can we do? What more can we do?

A general and qualified statement A general and qualified statement that the institution agrees to abide that the institution agrees to abide by U.S. export control laws may by U.S. export control laws may suffice if all else fails. For example:suffice if all else fails. For example:

““Recipient agrees to comply with all Recipient agrees to comply with all U.S. export control laws and regulations U.S. export control laws and regulations of the United States, of the United States, subject to all subject to all exemptions and exclusions theretoexemptions and exclusions thereto."."

Situations That Raise Situations That Raise “Red Flags”“Red Flags”

Grant/Contract terms & conditions limiting Grant/Contract terms & conditions limiting access to or dissemination of research access to or dissemination of research resultsresults

Third-Party items, information or software to Third-Party items, information or software to which foreign national access is restrictedwhich foreign national access is restricted

Licensing AgreementsLicensing Agreements NDAs/Confidentiality AgreementsNDAs/Confidentiality Agreements Material Transfer AgreementsMaterial Transfer Agreements

Tangible Exports Tangible Exports Research samples, shared equipment, 3Research samples, shared equipment, 3rdrd Party Party

proprietary itemsproprietary items Look for Availability of License Exceptions (EAR) and Look for Availability of License Exceptions (EAR) and

Exemptions (ITAR)Exemptions (ITAR)

More Situations That Raise More Situations That Raise “Red Flags”“Red Flags”

Sharing/Shipping Encryption Source Code Sharing/Shipping Encryption Source Code AbroadAbroad

Notification/Review requirements may applyNotification/Review requirements may apply

Travel To/Transactions With OFAC Travel To/Transactions With OFAC Sanctioned CountriesSanctioned Countries

ANY Item, Information or Software that is:ANY Item, Information or Software that is: Designed or modified for a military useDesigned or modified for a military use For use in outer spaceFor use in outer space Suspected use in/for a weapon of mass destruction Suspected use in/for a weapon of mass destruction

(nuclear, chemical, biological, missiles)(nuclear, chemical, biological, missiles)

Export Control Penalties Export Control Penalties

NOTE OF CAUTION!!NOTE OF CAUTION!!

Individuals can be held personally Individuals can be held personally responsible for responsible for civil and criminal violationscivil and criminal violations of Export Control Regulations – this is in of Export Control Regulations – this is in addition to any institutional penalties!addition to any institutional penalties!

ITAR - $1,000,000 per violation and up to 10 ITAR - $1,000,000 per violation and up to 10 yrs. yrs. EAR - $50,000 per violation and up to 20 EAR - $50,000 per violation and up to 20 yrs. yrs.

Mahalo!Mahalo!Or Thank You Very Much!!Or Thank You Very Much!!

Useful Links:Useful Links:

U.S. Bureau of Industry and Security (Commerce): http://www.bis.doc.gov/

Directorate of Defense Trade Controls (State): http://www.pmdtc.org/whoweare.htm

Office of Foreign Assets Control (Treasury): http://www.treas.gov/offices/enforcement/ofac

Arizona State University Research Compliance Office: http://researchadmin.asu.edu/compliance/

Stanford University Export Controls Home Page: http://www.stanford.edu/dept/DoR/exp_controls/index.html Stanford University Export Controls Decision Tree: http://www.stanford.edu/dept/DoR/exp_controls/tree.html NSDD 189:

http://www.aau.edu/research/ITAR-NSDD189.HTML

Q’s and A’sQ’s and A’sSteve EisnerSteve EisnerExport Control OfficerExport Control OfficerStanford University Stanford University (650) 734-7270(650) 734-7270stevesteve..eisnereisner@@stanfordstanford..eduedu

Debra MurphyDebra MurphyResearch Compliance ManagerResearch Compliance ManagerArizona State UniversityArizona State University(480) 965-2179(480) 965-2179debradebra..murphymurphy@@asuasu..eduedu