Export Controls

Report
Export Controls
Laura Langton, PhD
Export Control Manager
[email protected]
314-747-1378
What are Export Controls?
Government regulations over the “export” of strategic
technology and technical information.
Who do they affect?
Anyone who:
•
•
•
•
•
ships or carries items overseas
has foreign nationals in their labs
travels overseas
hosts foreign visitors
has international collaborators
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”).
“Release” can occur through
•
•
•
•
•
•
Shipping
Visual inspection
Verbal discussions
Email/Fax
Computer data disclosure
Training
Depending on the specific technologies and countries
involved, a government license may be needed.
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.
Export Control Regulations
Department of State
International Traffic in Arms Regulations
(ITAR) Directorate of Defense Trade Controls
Military Technologies
Department of Commerce
Dual-Use Technologies
Export Administration Regulations (EAR)
Bureau of Industry and Security
(civilian or military,
space, satellite)
15 CFR 730-773
Department of the Treasury
Office of Foreign Assets Control (OFAC)
22 CFR 120 -130
U.S. Sanctions and
Embargoed Regimes.
Lists of “Specially
Designated Nationals
(SDNs)”31 CFR 500-598
Country Policies and Embargoes
What Types of Things are Controlled?
Commerce Control List – Dual Use Item Categories
(EAR)
•
•
•
•
•
•
•
•
•
•
Category 0
Category 1
Category 2
Category 3
Category 4
Category 5
Category 6
Category 7
Category 8
Category 9
Nuclear Materials, Facilities and Equipment
Materials, Chemicals, Microorganisms, and Toxins
Materials Processing
Electronics Design, Development, and Production
Computers
Part 1: Telecommunications Part 2: Information Security
Sensors and Lasers
Navigation and Avionics
Marine
Propulsion Systems, Space Vehicles, and Related Equipment
U.S. Munitions List (ITAR)
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
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 and Mines
Category V-Explosives and 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 Electronics
Category XII-Fire Control, Range Finder, Optical and Guidance and Control Equipment
Category XIII-Materials and Miscellaneous Articles
Category XIV-Toxicological Agents, including 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 and 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
RED FLAGS that technology is controlled….
• Item was designed for military use
• Project has a direct military application
• References to Export Control regulations in funding announcements, contracts,
or award notices.
• Notices on spec sheets or other purchase documentation
Call the Export Control Manager (Laura Langton, [email protected])
“SUI area cameras and
associated technical data are
subject to the controls of
the International Traffic in
Arms Regulations (ITAR).
Export, re-export, or transfer
of these items by any means
to a foreign person or entity,
whether in the U.S. or
abroad, without appropriate
US State Department
authorization, is prohibited
and may result in substantial
penalties.”
When purchasing new
equipment, ask the
manufacturer for the Export
Control Classification
Number (ECCN)
But I’m just doing 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
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
Excluded 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.
• Information resulting from Fundamental Research
– basic and applied research in science and engineering
– intended to be shared broadly - no publication restrictions
– distinguished from proprietary research where dissemination
of results is restricted for proprietary or national security
reasons.
– no participation restrictions
When to call the Export Control Manager
• Tangible Exports
– shipping
– hand carrying
• Deemed Exports
– lab personnel (students, postdocs, staff)
– visitors
– open labs
• Travel
Tangible Exports
Must be approved before sending.
Information to Gather
• What
– details are helpful (organism, strain, model number, manufacturer)
• Who
– recipient full name
– recipient institution
– country
• Permanent or temporary
– If temporary, how long will it be in the country?
Send information on non-biologicals to [email protected]
Send information on biologicals to [email protected]
– Additional information may be requested.
– A government license may be needed.
Deemed Exports
Questions to consider
1. Does the lab do Fundamental Research?
– basic and applied research in science and engineering
– intended to be shared broadly - no publication restrictions
– distinguished from proprietary research where dissemination of
results is restricted for proprietary or national security reasons.
– no participation restrictions
Information resulting from Fundamental Research is exempt
from export controls
– no license needed for foreign national participation
UNLESS…
Deemed Exports
2.
Does the lab develop instrumentation or equipment?
– license may be needed for foreign national access.
3.
Does the lab receive proprietary information from
sponsors?
– not covered by the Fundamental Research Exclusion (FRE)
– license and/or a Technology Control Plan (TCP) may be needed.
4.
Does the area contain technology designed for military use
(USML/ITAR)?
– License will be needed for foreign national access.
– License is not guaranteed (policy of denial for China).
– Technology Control Plan will be needed.
Deemed Exports
• If not doing fundamental research or answer yes to questions
2,3, or 4
– A government license and / or a Technology Control Plan may be
needed for foreign national access.
– This includes visitors.
Call the Export Control Manager (Laura Langton, [email protected])
Foreign Visitors
• Name and institution of foreign visitors should be screened before a
letter of invitation is sent.
• A license or Technology Control Plan may be needed depending on
access/activities.
• Additional information may be needed for visitors from Iran, Syria,
Sudan, Cuba, North Korea or visitors with military ties.
• Send
–
–
–
–
–
name and institution of visitor
PI sponsor
what they will be doing
dates of their visit
known controlled technology in the lab
to [email protected]
Travel
• Destination institution and purpose of travel should be sent to
[email protected] for restricted party screening.
• Information on laptop computers, flash drives, etc. may be
subject to export controls and may require a license for
export.
– Take only what is necessary.
– Assume nothing is secure.
http://research.wustl.edu/ComplianceAreas/ExportControl/Pages/default.aspx
For more information or for consultation
on a specific project, please contact:
Laura Langton, PhD
Export Control Manager
747-1378
[email protected]

similar documents