Transcript Please see the export control tutorial here

Temple University Commitment
to Comply with Export Control Laws
Compliance Statement and Position:
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TU adheres to the principle of open scholarly exchange and
academic freedom
TU fully supports a policy of strict compliance with all
applicable U.S. export control laws
TU believes that education and awareness by the TU
community of all U.S. export control laws is critical to
compliance
Goals of U.S. Export Controls
The Export Control Laws and Regulations have several purposes:
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to restrict exports of goods and technology that could
contribute to the military potential of U.S. international
adversaries
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to prevent proliferation of weapons of mass destruction
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to advance U.S. foreign policy goals and
 to protect the U.S. economy and promote trade goals
Attention to export controls has increased due to:
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recent heightened concerns about national and homeland
security, as well as the
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need to prevent proliferation of weapons of mass destruction
and terrorism and leaks of technology to U.S. economic
competitors
U.S. Export Controls: Basic Principles
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Export controls apply to certain goods, materials, tests,
software and technology (including related information and
technical data) that are:
- transferred to other countries
- transferred WITHIN the U.S. to certain foreign nationals
(“deemed exports”)
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A wide range of high-technology items and associated
technologies are subject to U.S. export controls
- BUT key exclusions or exemptions for universities often
apply
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Research activities that do not qualify for an exclusion or
exemption under Export Control Regulations will require a
license from the appropriate Government Agency
Severe penalties apply for violations of Export Control
Regulations
Export Controls: What is Covered?
U.S. Export Control Regulations restrict the release to foreign
nationals in the U.S. and abroad of certain:
- Controlled Critical Technologies
- both civilian “dual-use” and “military-focus”
- Technical Data and Software Code
- Equipment and Research Tools
- Chemicals and Biological Materials/Specimen
- Other Materials and Information
- Services of value to certain countries, entities, or
individuals
What Constitutes an Export?
Export to Persons or Entities Outside the United States covers:
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Physical exports (shipment or hand carried)
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Digital and electronic transmissions (incl. e-mail)
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Other verbal or visual disclosures or releases of information
such as:
- at lab visits abroad or in U.S. or
- unintended WEB access to your PC especially abroad
Deemed Exports are:
 transfers as described above within U.S. to certain foreign
nationals
What is a “Deemed Export”?
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“Deemed Exports” include disclosure or transfer of
technology or software to a foreign national within the U.S.
Permanent U.S. residents (green card holders) and certain
“protected immigrants” have the same right to controlled
information as U.S. citizen
Any transfer of export-controlled technology to a nonpermanent resident is subject to U.S. jurisdiction and may
require the prior approval of U.S. government (a license),
unless an exclusion or exemption applies
Export Controls: Three Regulatory Regimes
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EAR - Export Administration Regulations of the Commerce
Department
- regulate commercial and “dual-use” items
ITAR - International Traffic in Arms Regulations of the State
Department
- regulate defense and space-related technologies
OFAC - Office of Foreign Assets Control of the Treasury
Department
- prohibits activities with certain sanctioned
countries,institutions or individuals
- OFAC controls override any exemption to EAR and ITAR
controls
Consequences of Non-Compliance with U.S.
Export Control Laws
Violations can result in:
 severe criminal and civil penalties for individuals
 millions of dollars in fines
 extended jail sentences
 the denial of government funding
 the loss of exporting privileges
 damage to individual and institutional reputations
 threats to national security
Most TU Activities will Not Require
Export Control Licenses
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Most research and teaching on campus does not fall under
Export Control Regulation
Most research and teaching that involves export controlled
information or technology qualifies for an exclusion or
exemption from licensing
Exemptions are valid only under specific conditions
It is important that all conditions for these exclusions or
exemptions are met and are vigorously protected
Key Exclusions and Exemptions
(1) Public Domain Information
(2) Fundamental Research Exemption (FRE)
(3) Educational Information Exception
Public Domain Exclusion
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This is the broadest Exclusion under EAR and ITAR
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It allows exports or deemed exports without controls for
information ordinarily published or already published
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in libraries that are open to the public
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in unrestricted subscriptions and generally accessible
free websites
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in published patents
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in conferences, seminars in the United States (or also
abroad) accessible to public for a reasonable fee where
notes can be taken
Fundamental Research Exemption (FRE)
FRE provides exemptions for most on-campus University
research. It covers:
(1) information (not items!) (2) resulting from
“basic and applied research in science and
engineering” (3) at an “accredited institution of
higher education” (EAR) or “higher learning” (ITAR)
(4) “located in the United States” (5) that is
“ordinarily published and shared broadly within the
scientific community”
Fundamental Research Exemption (FRE)
Continued
FRE is invalidated if the University or the PI accepts any of the
following conditions:
(1) unspecified and open ended pre-publication reviews
(2) sponsor approvals or conditions on publication or
information exchange
(3) foreign national controls or approvals, including limiting
the participation of foreign nationals in your lab or center
(4) access and dissemination controls on the research
Several technologies are ineligible for FRE under any condition
(e.g., advanced encryption, nuclear, WMD)
IMPORTANT: AVOID SIDE DEALS or informal AGREEMENTS that
invalidate the FRE
Fundamental Research Exemption
Publications
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Fundamental research results generated at TU can be freely
published
- as long as the research falls under the Fundamental
Research Exemption
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Under the FRE, sponsors may be allowed a short period of
time (no longer than 45 days) to:
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remove confidential or proprietary information from the
proposed publication / presentation
search any patentable subject matter they may have an
option to and work to facilitate patent filings
Educational Information Exemption
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The scope of this exemption varies depending upon the
applicable regulation:
- EAR – Information taught in catalog-listed classes, and
released in associated teaching laboratories, at
accredited institutions of higher learning are exempt
from export licensing
- ITAR – The exemption only covers general science, math
and engineering principles in the public domain that are
taught at schools, colleges and universities
Important to Know
 Be aware of potential Export Control issues that may arise
in your area of research
 Make sure that your research and your activities stay within
the realm of the Fundamental Research Exemption (FRE)
− do not accept any controls over any disclosure
− do not accept any controls over who can or cannot work
on your project
− note that the Fundamental Research Exemption covers
only information
− export and deemed export of devices, samples,
specimens, software and materials may require a license
 It is not the end of your research if a license is required.
− typical time frame to acquire is 30 to 60 days
− work with SPA if a license is required
 However: Most licenses carry severe restrictions /
limitations
- safekeeping of results
- no foreign students can work on project
Some Important Questions to Ask
 1. Does the award contain any terms or conditions that would
restrict the disclosure or dissemination of the research results?
 2. Are there any restrictions on access to or dissemination of
information the sponsor or others will furnish for use on this
project?
 3. If the answer to 1 or 2 is yes, does the research project fall
under one of the export-controlled technologies?
 4. Does this project involve training specific personnel for a
special purpose? If so, could it be considered a defense
service? If yes, how can you proceed?
 5. Will the university need to apply for an export license?
 6. For proposal submission, have you marked the appropriate
boxes on the TU Proposal Processing Form?
For Further Information
Where to go for assistance and information:
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to the list of individuals on the next slide
to the excellent COGR website written to assist faculty and
University officials to deal with the complexities of Export
Control Regulations
to the reference websites at the end of this briefing, listing
details of OFAC, EAR and ITAR restrictions
To the TU Sponsored Research Administration if a license is
required
HOWEVER, individuals are personally responsible for
knowing and understanding the laws – ignorance is not a
defense
Key Contact Offices and Persons
for the TU Community
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Ken Blank, Senior Vice Provost for Research and
Graduate Education
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[email protected]. 215-204-6875
Important Web Sites providing access to
EAR and ITAR Information
Council on Government Relations, Guide to Export Control
www.cogr.edu/docs/export%20controls.pdf
Office of Foreign Assets Control OFAC
www.treas.gov/offices/eotffc/ofac
Bureau of Export Administration EAR www.bis.doc.gov
Commodity Control List in EAR
www.access.gpo.gov/bis/ear/ear_data.html
Overview using EAR Regulations and Lists
www.access.gpo.gov/bis/ear/pdf/732.pdf
Denied Persons List www.bis.doc.gov/DPL/Default.shtm
Entity List www.bis.doc.gov/Entities/Default.htm
List of Specially Designated Nationals and Blocked Persons
www.ustreas.gov/offices/eotffc/ofac/sdn/index.html
List of ITAR Defense Articles, Defense Services and related
Technical Data
www.fas.org/spp/starwars/offdocs/itar/p121.htm#P121.8