Presentation on theme: "What You Need to Know About"— Presentation transcript:
1 What You Need to Know About U.S. Export Controls and Economic Sanctions LawsNov. 14, 2006
2 Why is This Important?Supports the U.S. Government’s objectives of protecting U.S. national security and furthering foreign policy interestsEstablishes the university as a “good corporate citizen”Avoids reputational harm and adverse publicityDon’t want to see headlines “UofA and its Researcher Caught Releasing Sensitive Technology”
3 Why is This Important?Avoids severe criminal and civil penalties for the institution and the individuals involvedCivil penalties up to $500,000Criminal penalties including fines of up to $1 million and jail timeSuspension/Denial of Export PrivilegesCould have an adverse impact on government contracts
4 Are Universities Targeted? State/Commerce/Defense Depts. are focused on universitiesGAO conducted visitsIG report highlighted export control issuesTreasury Dept. has fined universities for sanctions violations involving Cuba, Iran and SudanE.g., UCLA, Pace Univ., Frederick Taylor Univ.
5 What are Export Controls? US laws that regulate the transfer of items, technology, software, and servicesOther countries have similar lawsApply to all activities with foreign persons and foreign countries – not just sponsored research projects
6 How Does This Affect UofA? Many activities qualify for an exceptionNational Security Decision Directive (NSDD) 189:“Fundamental research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.”
7 How Does This Affect UofA? Thus, not all research activities are exemptExport controls may restrict:Ability of foreign students or researchers to participate in researchAbility to provide services (including training in the use of equipment) to foreign personsAbility to send equipment, spare/replacement parts, technology or software to foreign countriesAbility to collaborate with researchers in foreign countries
8 What is an Export?Physical transfers of tangible items outside the U.S.Electronic or digital transfers of software or technical data outside the U.S.Release or disclosure of software or technical data to any foreign person by , Internet, phone/fax, in-person (oral) communication, or visual inspectionApplication of technical data abroad
9 What Else is an Export?“Deemed Export” -- disclosure of technical data or software source code to a non-U.S. person in the United States (including foreign embassy staff)This transfer is “deemed” to be an export to his/her home countryReexport -- an export of a U.S.-origin item, software or technology from one foreign country to anotherU.S. laws “follow” the item
10 Who is a U.S. Person? U.S. person Everyone else is a “foreign person” Everyone who is a U.S. citizen, a U.S. legal permanent resident (“green card” holder) or an asylee/refugeeNot F-1, J-1, H-1B, O-1 visa holdersA U.S. corporation, partnership, trust, society or other entity incorporated or organized to do business in the United StatesEveryone else is a “foreign person”Special rules apply to “dual nationals”E.g., a citizen of China who also is a Canadian citizen
11 Structure of U.S. Export Controls Treasury Department: Office of Foreign Assets Control (OFAC)Defense Department(DOD)Economic Sanctions: Countries, Entities, and IndividualsFederal Acquisition Regulations (FAR)Commerce Department: Bureau of Industry and Security (BIS)State Department: Directorate of Trade Controls (DTC)Additional U.S. Government agencies with possible jurisdiction over export activities include the Department of Energy (Nuclear Regulatory Commission), Food and Drug Administration, and the Bureau of Alcohol, Tobacco and FirearmsExport Administration Regulations (EAR)International Traffic in Arms Regulations (ITAR)“dual use”/ commercialmilitary use
12 What is Subject to the ITAR? Broad restrictions on exports, reexports, imports, proposals to sell and brokeringDefense ArticlesTechnical DataDefense ServicesItems on the U.S. Munitions List (USML)
13 What is a Defense Article? Any item listed on the USMLIncludes raw materials, components, parts, software, and related technical data (i.e., not just end products)Any item specifically designed, developed or modified for a military application
14 What are Some Examples? USML examples include: Launch vehicles, missiles, rocketsMilitary aircraft and vehiclesMilitary training and simulationMilitary electronicsToxicological agents, including chemical and biological agents, and associated equipmentSpacecraft systems and satellites
15 Broad scope What is Technical Data? Information required for design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of Defense Articles
16 What is a Defense Service? Furnishing of assistance or training to a Foreign Person in the design, development, engineering, production, assembly, testing, processing, manufacture, use, operation, overhaul, repair, maintenance, or modification of Defense Articles
17 How Strict are ITAR Controls? VERY!Almost all ITAR activities require a license from the US Govt. prior to engaging in the controlled activityEven proposals are regulated—for example, proposals to a country subject to a U.S. arms embargo are prohibited
18 Which are ITAR Proscribed Countries? AfghanistanHaitiRwandaBelarusIndonesiaSomaliaBurmaIranSudanChinaIraqSyriaD.R. of Congo (former Zaire)Ivory CoastVenezuelaVietnamLiberiaYemenCubaLibyaZimbabwe
19 What is Subject to the EAR? Items not on the USMLItems on the Commerce Control List (CCL) including commercial as well as “dual-use” goods, software and technology
20 What is on the CCL? Ten categories: 0-Nuclear Materials, Facilities & Equipment (and Miscellaneous Items)1-Materials, Chemicals, Microorganisms, and Toxins2-Materials Processing3-Electronics Design, Development and Production4-Computers5-Telecommunications and Information Security6-Sensors and Lasers7-Navigation and Avionics8-Marine9-Propulsion Systems, Space Vehicles and Related Equipment
21 What is Export Classification? If an item appears on the CCL, it will be assigned a five digit alpha-numeric Export Control Classification Number (“ECCN”)Each ECCN dictates where an item can be exported
22 What are Some Examples? ECCN Examples: 3C003 covers the following “organo-inorganic compounds”Organo-metallic compounds of aluminium, gallium or indium having a purity (metal basis) better than %Organo-arsenic, organo-antimony and organo-phosphorus compounds having a purity (inorganic element basis) better than %6A002 covers a number of “optical sensors” including“Space-qualified” solid-state optical detectorsPyroelectric detectors using enumerated materialsNon-”space-qualified” focal plane arrays with specified characteristicsMonospectral imaging sensors and multispectral imaging sensors having any of the enumerated characteristicsECCN 3C003 is controlled for NS and AT reasonsECCN 6A002 is controlled for NS, MT, CC, RS, AT, UN reasons
23 What is Known as “EAR99”?If an item does not have a specific entry on the CCL, it falls into the basket category, known as “EAR99”EAR99 items are subject to minimal export controlsException: the terrorist supporting countries (e.g., Cuba, Iran, Sudan and Syria) and U.S. Government restricted persons and end-uses
24 Who are Restricted Persons? BIS designates persons and entities with whom certain transactions are restricted (i.e., a license generally is required) or are prohibited altogether:Entity ListDenied Persons ListUnverified ListEntity ListNon-U.S. end users involved in proliferation activitiesCurrently includes entities in China, India, Israel, Pakistan, Russia and SyriaDenied Persons ListPersons who have been denied export privileges due to unauthorized or illegal export conductCurrently includes entities and persons in Hong Kong, Malaysia, Singapore, U.A.E., Pakistan and Russia, among other countriesUnverified ListForeign persons who in the past were parties to a transaction with respect to which Commerce Department could not conduct a pre-license check or a post-shipment verification for reasons outside of the U.S. Government’s control
25 Who are Restricted Persons? What do these four entities have in common?Beijing Huahang Radio Measurements Research Institute in ChinaBharat Dynamics Limited in IndiaAl Kayali Corporation in Richardson, TexasArrow Electronics Industries in the UAEAll four entities appear on one of the BIS restricted parties lists
26 Is a License Always Required? Most items controlled under the EAR do not require an export licenseA license to export or reexport items may be required based on:Export classification of the item or technologyDestination countryIdentity of the intended recipient (“end user”)
27 When Do Universities Need an Export License? When making shipments of controlled items or software outside the U.S.Transferring controlled technical information and software source code to a foreign person in the U.S. or abroad, unless an exclusion applies
28 What are the Exclusions? A license is not required if one of four exclusions applies:Education Exclusion“Public Domain” Exclusion“Fundamental Research” ExclusionEmployment Exclusion (ITAR only)
29 1. Education ExclusionInformation concerning general scientific, mathematical or engineering principles commonly taught in colleges or universitiesApplies to information released during catalog-listed courses at UofA (through lectures, course materials, or instruction in laboratories)
30 2. “Public Domain” Exclusion Information generally accessible to the public in any form, including information:readily available at libraries open to the public or at university librariesin patents and published patent applications available at any patent officereleased at an open conference, meeting, seminar, trade show, or other open gatheringpublished in periodicals, books, print, electronic, or other media available for general distribution (including websites that provide free uncontrolled access) or for distribution to a community of persons interested in the subject matter, such as those in a scientific or engineering discipline, either free or at a price that does not exceed the cost of reproduction and distribution
31 3. “Fundamental Research” Exclusion Information arising during or resulting from:Basic and applied research in science and engineeringAt an accredited US institution of higher learningWhere the resulting information is ordinarily published and shared broadly in the scientific community
32 “Fundamental Research” (cont’d) Distinguished from proprietary research or industrial design or development, where research results are restricted for proprietary or specific national security reasonsFederal government and commercial sponsors of university research increasingly are inserting export-control related clauses in agreementsPrepublication approval, citizenship requests, non-disclosure restrictionsEAR contains these limited exceptions for prepublication review. ITAR is less clear (its language prohibits any restriction on publication of information resulting from the research; if prepublication review is limited to input data for proprietary/IP reasons, then arguably it is not a restriction on the information resulting from the research)
33 The Fundamental Research Exclusion Does Not Apply if UofA accepts any contract clause, for example, that:Forbids / restricts the participation of foreign personsGives the sponsor a right to approve publications resulting from the researchRestricts access to and disclosure of research results
34 U.S. Govt. Funded Research Special rules apply to research funded by the U.S. Government when there are specific access and dissemination controls protecting information resulting from the researchITAR-controlled: Not “fundamental research” if such controls are acceptedEAR-controlled: May still qualify for the “fundamental research” exclusion under certain circumstances
35 Prepublication Review UofA could accept prepublication review provisions and still claim the exclusion for the research results if the review is solely to ensure that publication:Would not divulge proprietary information that the sponsor provided to UofA researchersWould not compromise patent rights and it only causes a temporary delay in publication
36 “Fundamental Research” & Input Data If, however, UofAaccepts such prepublication review, oragrees that the sponsor may withhold from publication some or all of the information it provided to UofAThen the information provided by the sponsor to UofA (“input data”) could be export controlledUofA would have to assess the export classification of the input data and prevent its “deemed” export to a foreign person on the projectE.g., maybe only PI needs access to the input data
37 You Should Watch Out For “Side deals” between a PI and Sponsor that may destroy the fundamental research exclusionPresence of or access to “classified information” during research—special rules apply and only U.S. citizens can receive itItems, software or materials that arise from research do not qualify for this exclusion and a license may be required for export outside the US
38 Case Study # 1Q. UofA enters into a cooperative research arrangement with a US company and the research would be conducted at UofA’s lab. UofA has agreed to a prepublication review so that the company could decide whether to hold the research results as trade secrets (or otherwise proprietary) or whether to allow UofA to publish the results. Can my student from China work in the lab?
39 Case Study # 1 (cont’d)A. First, the research would not qualify as “fundamental” because the sponsor has the right prevent publication (there is no intent to publish at the time of entry into the agreement). Second, if UofA received any proprietary or confidential information from the company (input data), you would need to determine the export classification of such data in order to determine whether a license is required, or a license exception is available, for China. Third, perform the same analysis for the research results (even if there was no input data).
40 Case Study # 1 (cont’d)Q. What if the prepublication review was intended solely to prevent inadvertent disclosure of proprietary information or to avoid compromising patent rights?A. That changes the outcome. Such prepublication review does not destroy the fundamental research exclusion. You could involve the Chinese student on the project, provided that UofA has not agreed to any other restrictions (e.g., access by foreign persons etc.) and that the input data is not controlled for export to China, if the student even needs access to such data. If the input data is controlled for China, you would need to determine if a license exception is available and, if not, UofA would need to restrict the student’s access to the input data.
41 Case Study # 2Q. What if a non-US company is funding the research at UofA and there are no prepublication restrictions but there is a requirement that UofA researchers do some work at the foreign company’s facility abroad?
42 Case Study # 2 (cont’d)A. You should be very careful. Application abroad of personal knowledge or technical experience acquired in the US constitutes an “export” of that knowledge / experience and such export may be controlled under the EAR. If the project is ITAR-controlled, you could be providing a Defense Service, which generally requires a license. You would need to determine the proper export classification and assess whether a license is required, or a license exception is available, for that particular foreign country.
43 Case Study # 3Q. On a DOD-funded project, UofA accepts certain national security controls (90-day prepublication review and DOD approval before any foreign national is assigned to the project). Does the information resulting from the research qualify for the “fundamental research” exclusion?A. If the project is subject to the ITAR, the exclusion is not available. If, however, the project is subject to the EAR and you abide by the specific controls you have agreed to, the export of information consistent with the controls will still qualify for the “fundamental research” exclusion.Example: you asked for DOD’s permission before assigning an Indian student to work on the project and the DOD approved his/her participation. You then gave DOD 90 days to review the results before publication. You have complied with the controls and the fundamental research would apply with respect to any “deemed” export to the Indian student.
44 Case Study # 3 (cont’d)Q. What if the agreed controls did not ask for DOD approval prior to assignment of foreign persons but rather had an explicit prohibition on participation of anyone who was not a U.S. citizen?A. Foreign persons could not participate and must not have access to the data. Fundamental research exclusion does not apply.
45 4. Employment ExclusionNo license is required to share ITAR-controlled technical information with a foreign person whoIs a full-time, bona fide regular UofA employee (generally not applicable to graduate or undergraduate students)Has a permanent place of abode in the U.S. while employedIs not a national of an ITAR proscribed country, andIs advised in writing not to share ITAR-controlled information with other foreign persons
46 What About Equipment Use? Use of Equipment vs. “Use” DataFor limited types of equipment, the US Govt. restricts the transfer of information related to its “use”Commerce Dept.: interprets “use” to mean “operation, installation, maintenance, repair, overhaul and refurbishing” so only data related to all 6 activities would need an EAR licenseState Dept.: all “use” data is restricted
47 Case Study # 4Q. I work on a research project involving semiconductors and want to involve my students from India and S. Korea. Students will work with me to come up with a solution to a problem that has been identified in literature and we intend to publish all of our results. Do I need an export license to brainstorm with students and have them help me resolve the technical problem?A. No.
48 Case Study # 4 (cont’d)Q. I would also like my students to maintain the equipment (a frequency changer operating in the Hz range with total harmonic distortion below 10% and frequency control better than 1%). Can I instruct them on how to operate and maintain the equipment?A. Yes, provided that you do not also provide the Indian student information on installation, repair, overhaul and refurbishing of the equipment (which would, in total, constitute “use” data). The S. Korean student could even receive use data because it is not controlled for export to S. Korea.Equipment is listed under 3A225 (subject to NP controls); 3E201 controls technology (“use” data) for such equipmentNP controls do not restrict exports to S. Korea but do restrict to India
49 What If I Do Need to Transfer Abroad? A license is required to ship or otherwise transfer items, technical data and software, or provide services, controlled by ITAR to any foreign country (few exclusions or exceptions)A license may be required to transfer items, technology or software controlled under the EAR out of the US depending on the export classification, where it is being sent, who is the end-user, and whether an exception appliesReplacement or spare parts may require a separate license, even if the initial equipment was exported pursuant to a valid license
50 Transfers Abroad cont’d The process to classify equipment, technology and software under the EAR is tedious, detailed and time consumingIt can take months to obtain a license from State or Commerce
51 What are the “Red Flags”? UofA must take into account “red flags” -- any abnormal circumstances that indicate inappropriate end-use, end-user, or destinationWhen red flags are raised, there is a duty to investigate before proceeding
52 What are Some Examples?Other party reluctant to offer information about end-use or end-userWhen questioned, the recipient is evasive and/or unclear about whether the product is for domestic use, for export, or for reexportProduct’s capabilities do not fit the recipient’s line of businessThe shipping route is abnormal for the product and destinationThe item ordered is incompatible with the technical level of the country to which it is being shipped
53 Proposal Stage: Compliance Issue-Spotting Does the Project involveShipping equipment to a foreign country?Collaborating with foreign colleagues in foreign countries?Training foreign researchers in using equipment outside the classroom?Working with a country subject to US sanctions?Is the RFP marked “Export Controlled” or does it reference “Classified Information”?Is the sponsor demanding pre-approval rights over publications or the participation of foreign national students?
54 If you answer yes…A determination must be made by UofA as to possible license requirementsNote 1: If license is needed it takes much time and effort of faculty and administrators and can be months in processNote 2: These laws apply to all activities – not just sponsored projects
55 License Example University archeologists desire to take GPS systems to France to use in training foreigncolleaguesGPS equipment is covered by EAR Category 7, Navigation and Avionics, under ECCN nos. 7A005, 7A105, and 7A994. Two of those entries redirect the exporter to ITARThe exporter must evaluate the EAR entries and ITAR Category XV, Spacecraft Systems and Associate Equipment, to identify the appropriate licensing authority and classification
56 Accepting Export Controlled Information In deciding whether to accept an award that requires the institution to receive export controlled information, consider whether the information isCentral to the project (probably rendering the entire project export controlled) orTangential in that the PI needs the information but not others working on the project
57 Accepting Export Controlled Information (cont’d) If you decide the information is tangentialWork with RSSP/General Counsel to put in place a nondisclosure agreement prior to receiving the informationRequire that the information be clearly marked “export controlled”Work with the PI to safeguard the information and have the PI sign a statement accepting responsibility for protecting the informationA U.S. person may receive the information but the right to publish must remain unrestricted
58 Accepting Export Controlled Information (cont’d) Contact RSSP if:you agreed to receive controlled information to determine compliance issuesyou are aware that UofA has accepted controlled information or signed DoD form DD2345 (Militarily Critical Technical Data Agreement)Acceptance creates compliance issues for individuals and the university
59 What are Economic Sanctions? US laws that prevent target countries, entities and persons from benefiting from U.S. capital, goods, technology or servicesUS sanctions prohibit a wide range of transactions with designated countries, entities and persons
60 What is Prohibited?U.S. persons (incl. UofA and its faculty and staff) generally may not, without a license or other authorization:Export/import goods, services, or technology to/from, or enter into a contract involving, or otherwise provide services to, a sanctioned country, entity, or individualEngage in any transaction with persons/entities designated by the U.S. Government as Specially Designated Nationals (SDNs)Approve or facilitate any of the aboveEvade provisions of the sanctions regulations
61 How Can This Affect Research? UofA researchers can encounter sanctions issues by:Conducting surveys and interviews in sanctioned countriesHiring persons in sanctioned countries to perform services for UofA such as research or field workCollaborating on research projects with persons or entities from sanctioned countriesProviding marketing or business services to persons or entities in sanctioned countriesCreating materials at the request of a person or entity from a sanctioned country
62 Which Countries are Sanctioned? Currently U.S. sanctions apply to:Comprehensive: Cuba, Iran, Sudan and SyriaLimited: Burma (Myanmar), Iraq, Liberia, North KoreaNon-territorial: Belarus, Côte D’Ivoire, D.R. of Congo, ZimbabweRestrictions are country-specific and vary considerably
63 What About Travel?In general, only travel to Cuba is restricted (trips have to be authorized by OFAC)Trips to other sanctioned countries should be reviewed due to the restrictions on activities and expendituresAlso, the ability to take along certain items (e.g., laptops, testing equipment) is restricted
64 OFAC Case StudyQ. I am working on a research project and need empirical data regarding the growth rate of a rare plant in Sudan. I know a research institute in Sudan and want to hire their researcher to observe the plant and record the results. Can I do this?A. Not without a specific license. OFAC regulations prohibit the importation of services from Sudan. By hiring a person in Sudan to perform the work, you would be importing his/her services, which is prohibited under U.S. law (even if he/she is not an SDN of Sudan)Q. Can I go myself and watch the plant grow?A. Yes. Travel to Sudan is not prohibited. However, if you need to take your laptop or technical information related to your research, you need to analyze sanctions and export control law provisions to determine whether such export is permitted (e.g., whether the laptop contains encryption software etc.)
65 Who are SDNs?List of Specially Designated Nationals (SDNs) – more than 6,000 entries for individuals and entities with whom transactions are prohibited, including:Terrorists and sponsors of terrorist activitiesNarcotics traffickers and kingpinsAgents of sanctioned country governments andWeapons proliferatorsThe SDN list changes frequently due to new designations by the US Government
66 Who are SDNs?The vast majority of the SDNs are located outside the United States. However:Some of the SDNs are located in the United States (e.g., Richard A. Chichakli in TX, AERO Continente Inc. in FL, Al-Haramain (US branch) in OR, Ash Trading Inc. in FL, IAC International Inc. in FL, Sepulveda-Iragorri Inc. in FL)Some of the SDNs have U.S. Soc. Sec. numbers (e.g., Julio C. Flores Monroy, Raed M. Hijazi, Abu Ahmad) or were born in the United States (e.g., Abdul Rahman Taha)All citizens of Cuba (except those in the United States) and all entities owned or controlled by the Cuban Government or citizens of Cuba are considered SDNs, even though not specifically named on the SDN list
67 What About Peer Review?OFAC general licenses authorize U.S. persons to engage in certain activities related to the publishing of articles authored by persons in Cuba, Iran and Sudan.Collaborating on the creation and enhancement of written publicationsAugmenting and substantive editing of written publicationsHowever, cannot engage in transactions involving:Retention of a publishing house or a translator in one of those countries, with limited exceptionsGoods or services not necessary and ordinarily incident to publishing (e.g., accounting, legal, design or consulting services)The development, production, design or marketing of softwareThe sanctioned country government or its agencies (excluding academic or research institutions and their personnel)ITAR-controlled technology or export information controlled under the ITAR or the EARException to the prohibition on retention of a publishing house or translator in a sanctioned country: if the activity is primarily for the dissemination of written publication within the sanctioned country.
68 What are Anti-Boycott Regulations? UofA cannot participate in boycotts not sanctioned by the U.S. GovernmentPrimarily the Arab League boycott of IsraelThe following countries are currently listed as maintaining a boycott against IsraelKuwait, Lebanon, Libya, Qatar, Saudi Arabia, Syria, Yemen, U.A.E.
69 What are Some Examples?Examples of requests to participate in boycottsA purchase order asking for confirmation that the goods are not manufactured in IsraelA bill of lading stating that goods being shipped to the U.A.E. will not be boarded onto a vessel owned by an Israeli entityA Letter of Credit requiring a certification that UofA is not “blacklisted”A lease agreement for premises in Saudi Arabia requiring UofA to certify that none of its employees are IsraeliThere are complicated, fact-specific exceptions in the regulations
70 What Should You Do?If you believe you have received a boycott related request, contact RSSP immediatelyDon’t respond in any way until authorizedEven responding to a request with a “no” can be a violationUofA must report requests (even if the university does not respond) to the Commerce Dept. and include information on tax filings to the IRS
71 Liability for Violations Liability is personal and institutional and may take the form of:Administrative penaltiesMonetary finesJail timeVoluntary disclosure of violations may serve as a “mitigating factor” in deciding penalties
72 Administrative Penalties Termination of export privilegesSuspension and/or debarment from government contracting
73 Penalties for EAR Violations Criminal (willful) violations:Up to $1 million for institutionsUp to $250K per violation for individuals and/or up to 20 years in prisonCivil violations:Up to $50K per violation for individuals or institutions
74 Penalties for ITAR Violations Criminal (willful) violations:Up to $1 million for institutionsUp to $1 million per violation for individuals and/or up to 10 years in prisonCivil violations:Up to $500K per violation for individuals or institutions
75 Penalties for OFAC Violations Criminal (willful) violations:Maximum fine of $250K for individuals (including corporate officers) and/or 20 years imprisonment ($5 million and 30 years for Narcotics Kingpin Act)Maximum fine of $1 million for institutions ($10 million for a Narcotics Kingpin Act violation)Civil penalties:Maximum fine of $50K per violation in most cases ($65K for Cuba; $55K for foreign terrorist org.)Maximum fine of $1.075 million for a Narcotics Kingpin Act violation
76 Compliance StepsFaculty and/or research administrators should ask these questions:Does the project involve, in any way, a U.S. sanctioned country or an SDN?Do the terms of the RFP or award involve:Restrictions on publication (e.g., sponsor approval rights or prepublication review beyond a brief review for patent protection and/or release of proprietary information)?Restrictions on the participation of foreign persons (e.g., sponsor approval required for participation of foreign persons, explicit prohibition on participation)?Requirement to keep information confidential?Permission for the sponsor to claim research results as proprietary or trade secret?
77 Compliance StepsIs the RFP or SOW marked “Export Controlled” or “Classified Information” or does it contain similar references to U.S. export control regulations?Will the project involve an export of items, software or technical data from the United States?Are there any Red Flags?Are any parties on any U.S. Government restricted party lists?
78 Compliance StepsDo you know or have any reason to believe that the item, technical data or software to be exported will be used to support WMD efforts?Are there any boycott-related requests?If the answer to any of these questions is “YES,” please contact RSSP to assist in a determination whether an export license or other authorization is required; the General Counsel’s office will also assist, as necessary
79 For More InformationUofA policies pertaining to export control and other research compliance issues are available at:If you have questions regarding any activity, please contact RSSPThe Office of the General Counsel is also available as a resource
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