Transcript Export Control Administrator Orientation

Export Control Administrator Orientation
February 22, 2013
http://www.cuny.edu/research/compliance/Export-Control.html
http://www.cuny.edu/research/compliance/Export-Control.html
Export Control Administrator Responsibilities
1. First point of contact at their college
– Use, and assist in the use of, Preliminary Evaluation form
– Procedures section 3
2. Ensure compliance with export license requirements, based
on determinations made by OVCR
– OVCR, based on information from the preliminary evaluation, makes
jurisdiction and classification determination for licensing or exemption
purposes.
– OVCR applies for license or authorization when required
– OVCR conducts end user screening when required
– Procedures sections 4, 5 & 6
Export Control Administrator Responsibilities
3. Implement Technology Control Plan (TCP), when required to
restrict access to controlled items and data
– TCP is developed by OVCR (see sample TCP & Acknowledgment)
– Implementation may require overseeing & facilitating activities of
following functional areas (see Work Instructions for each area):
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Human Resources
Information Technology
Facilities Management
Procurement
Shipping & Receiving
– Procedures sections 7, 8, 9, 10, 11, 17
Export Control Administrator Responsibilities
4. Record Keeping
– Ensure record maintenance pertaining to export control by all
functional areas at respective college for minimum of 5 years
– Comply with record access restrictions, as outlined in TCP
– Procedures section 18
5. Training
– Raise awareness and provide ongoing training at respective college
– Target training to high risk areas (see slide 7)
– Procedure section 21
Export Control Administrator Responsibilities
6. Retrospective Compliance Snapshot
– Administer ITAR Inventory and Outbound Licensing Requirement
surveys to faculty working in export control risk areas (see next slide)
– Return completed surveys to OVCR
– Assist OVCR with follow-up and evaluation, as required
Possible Export Control Risk Areas
College departments should evaluate whether they have research that encompasses the following
disciplines (see also Commerce Control List & USML in the Overview slides):
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Computer science (including High Performance Computing)
Cryptography
Material science
Electro-mechanical engineering
Semiconductor research
Space science & launch related research
Oceanographic research
Atmospheric research
Astronomy
Bio-engineering
Robotic research / sensors / detectors
Nuclear physics / engineering
Infectious diseases / microbiology / pathology
Antiquities research
CUNY Case Studies
1. TCP in place for a fundamental research project in satellite
design and implementation
– Instrument, manual & operating software used are ITAR controlled
– Issues that required attention during the process:
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Resources necessary to provide for physical storage of controlled equipment
(locked/inaccessible cabinets)
Purchase of locked filing cabinets required for documents and laptops
Limited access to laboratory space (specialized keys for doors), including
consideration for custodial staff
Limited access to server & data, including consideration for IT staff
Ensuring that the server with all the data and the computers used for the project
have limited access
Identifying all personnel from various collaborating sites and determining their US
status
CUNY Case Studies
2. Precautionary measures in place for a TARDEC funded
project with publication restrictions
– Project has potential to result in ITAR controlled armor technology
– Issues that required attention during the process:
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Drawing a line between basic and applied research, whereby, should the project
result in armor technology, the basic research aspects would not be controlled
Limiting involvement by foreign persons in the applied research portion of the
project
Educating the research team and obtaining their acknowledgment
Ensuring that students working on the project have alternative projects for their
thesis in case of publication restriction
Limit access to materials and data to authorized individuals only, including
mechanism in place to approve access by vendors, contractors and other 3rd
parties
Resources for ensuring secure laboratory space and obtaining locked cabinets
FAQs: Exporting Commodities, Technical Data or
Software
1. I am planning to export an item, technical data or software.
What do I need to do?
2. Do I need to wait to export my item until I receive an export
license or other authorization?
3. Does it matter how I plan to export the item, i.e. ship by
freight forwarder or courier, hand-carry, or transmit
data/software electronically?
4. How difficult is it to obtain an export license to ship tangible
items, data or software?
FAQs: Exporting Commodities, Technical Data or
Software
5. Once we have a license authorization, am I done with the
compliance requirements?
6. Do exports to every country require an export license?
7. Do I need an export license to temporarily ship research
equipment or a prototype/sample out of the U.S., for
example, for purposes of field research or equipment
demonstration?
8. How does licensing work if I am intending to ship both EAR
and ITAR classified items?
FAQs: Exporting Commodities, Technical Data or
Software
9. What does it mean to provide a “defense service” under the
ITAR regulations?
10. Does that mean teaching our foreign national students about
something which happens to be listed on the USML requires
a license?
11. Is there any easy way to distinguish between what is
classified as an EAR vs. ITAR item for export license purposes,
such as a laboratory research tool? What if the classification
is not clear from the use of the vendor’s specifications?
FAQs: Exporting Commodities, Technical Data or
Software
12. Do I really need to be concerned if the item that I plan to
export is commercially available abroad?
13. Do I need to be concerned if I am importing an item into the
U.S., i.e., are there import compliance regulations?
FAQs: Foreign National Access to EAR- and ITARcontrolled Items and Data
1. Do I need a license to allow foreign nationals access to
laboratory equipment?
2. What about foreign national access to technical data?
3. How does having an ITAR item in my laboratory affect
foreign national (student, post doc, H1) access to it?
4. But can’t my foreign national students access all equipment
and data since CUNY operates under the Fundamental
Research/Public Domain Exclusions?
FAQs: Foreign National Access to EAR- and ITARcontrolled Items and Data
5. What if I am a foreign national PI who wishes to access an
ITAR item as part of my fundamental research program: am I
excluded from access as well?
6. Is there any problem with communicating with or assisting a
foreign government with respect to our research?
FAQs: Staying within the Fundamental Research
Exclusion (FRE) Outside the Laboratory
1. How do I remain within the FRE for purposes of the EAR and
ITAR when teaching or lecturing abroad?
2. What if I need to export laboratory instrument or tools as
part of my work abroad?
FAQs: Travel Abroad
1. Can I bring my laptop and other hand held communication
devices with me?
2. Can I hand carry samples or other laboratory instruments?
FAQs: International Collaborations and Conducting
Research Abroad
Does collaborating internationally with another researcher or
foreign institution have export control requirements?
FAQs:
Country-Specific Requirements (OFAC)
What Special Rules Apply to Cuba, Iran, Syria and Sudan?