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Julie Taubman Research Compliance Officer (RCO) Graduate School and Office of Research and Sponsored Programs Appalachian State University

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Presentation on theme: "Julie Taubman Research Compliance Officer (RCO) Graduate School and Office of Research and Sponsored Programs Appalachian State University"— Presentation transcript:

1 Julie Taubman Research Compliance Officer (RCO) Graduate School and Office of Research and Sponsored Programs Appalachian State University or

2 Understand essential aspects of export controls Recognize export control issues Contact RCO for assistance Become familiar with our export control policy and procedures

3 What is an export? What are export controls? Exclusions to export controls Basics of exporting items and technology The end user and the destination country of the export International Travel Penalties for non-compliance Red Flags and Questions

4 A transfer of items, software or technology to a foreign person, foreign entity or foreign destination.

5 Technology includes information that can be used or adopted for the development, production or use of a good. Information can take the form of technical data or technical assistance. Examples include but are not limited to: blue prints, sketches, models, drawings, software, manuals, training and technical services

6 A deemed export is an export of technology or source code to a foreign person in the U.S. Examples of a deemed export of technology or source code: Visual inspection of controlled technology Oral exchange of technical information Guidance is given on the practice or application of a technology

7 The definition of foreign person includes: any foreign government, foreign corporation or organization that is not incorporated or organized to do business in the U.S., and anyone who is not a U.S. citizen or lawful permanent resident (a green card holder).

8 Shipment of physical items outside of U.S. Discussion of unpublished research at a conference in the U.S. with foreign nationals present Visit to a lab on campus by a foreign national scholar where technical data is displayed Participation of foreign nationals in research Receiving an with technical data on a foreign nationals computer

9 Export controls are the set of laws, policies and regulations that prohibit the unlicensed export of certain items, technology and software. Exports are controlled for various reasons: Anti-terrorism Non-proliferation of weapons National security Crime control Regional stability Foreign policy purposes Multilateral agreements

10 Export Administration Regulations (EAR) for dual use items Department of Commerce, Bureau of Industry and Security (BIS) International Traffic in Arms Regulation (ITAR) for military items Department of State Sanction Programs Department of Treasury, Office of Foreign Assets Control (OFAC)

11 Triggered Spark Gaps can be used in both a medical device that breaks up kidney stones and as a detonations device for a nuclear weapon.

12 Almost, but there are some exclusions

13 Public Domain Exclusion Published information that is generally accessible to the public does not require a license Education/Teaching Exclusion Instruction in science, math and engineering courses listed in course catalogues may be conducted without a license Fundamental Research Exclusion Basic and applied research in science and engineering conducted in the U.S. where the resulting information is ordinarily published and shared broadly within the scientific community National Security Decision Directive 189

14 Applies to information and software, not to tangible items The information or software must be generated within the U.S. Once it is generated in the U.S., the information and software can be disseminated outside of the U.S.

15 The Fundamental Research Exclusion does not apply if there are any restrictions on publication. The EAR permits a brief (90 day) advance review by sponsors to: Prevent divulging proprietary information; or Insure that publication will not comprise patent rights of a sponsor.

16 Fundamental Research Exclusion does not apply if a grant or contract includes clauses that: Give a sponsor the right to approve publication; or Restrict participation of foreign nationals in the research

17 Appalachian State University will fulfill its mission of teaching, research, and service in a manner that complies with federal export control and embargo regulations, while also ensuring reasonable efforts to identify situations in which the University may claim exclusions or exemptions under public domain or fundamental research.

18 If a proposal includes clauses restricting: access to or publication of research and technical data; and/or limiting participation of foreign nationals in research effort Researcher and ORSP can work with the General Counsel in an attempt to remove or modify the restrictive clauses

19 Research that does not qualify for the Fundamental Research Exception requires a Technology Control Plan All relevant materials, items, software or hardware, data, or technical information must be secured from use and/or observation by foreign nationals without an export license A template of a Technology Control Plan is available on the Export Controls website

20 An export license is issued by an export agency and authorizes an export, reexport or other regulated activity as specified on the application.

21 Determining if an export requires an export license Who will receive the export? What is the export? Where is the export going? What will they do with the export?

22 It is illegal to conduct business with entities or individuals that are barred by the government. The recipient of any exchange of information, items or monies should be screened through government restricted party lists. Submit a Request for Restricted Party ScreeningRequest for Restricted Party Screening

23 Generally, any transactions with embargoed countries will be constrained or prohibited. Very little unauthorized (license or license exception) activity can happen with these destinations. Comprehensive sanction programs against Cuba, Iran and Sudan Limited sanction programs against Burma, North Korea and Syria

24 Submit an Export Assistance Form for Technology or Goods to RCO; orExport Assistance Form Request classification from a vendor of the item

25 Microsoft Program ECCNLIC Windows XP Embedded5D002ENC Windows XP Home Edition5D992.b.1NLR Windows XP Professional5D992.b.1NLR Windows XP SP1, SP25D992.b.1NLR Windows XP SP35D992.b.1NLR

26 After classifying the item or technology with the Commerce Control List of the EAR, the item or technology will have an Export Control Classification Number (ECCN) which will list: The reasons for control Designate any specific License Exceptions and Provide a List of Items Controlled With this information, we can determine if an Export license is required by consulting the Country Chart

27 Processing an export license can take up to 6 months

28 Items that require an export license or are valued over $2500 require filing of Electronic Export Information (EEI) into the Automated Export System (AES) of the Census Bureau This provides the export with an International Transaction Number (ITN) If you have a freight forwarder file for you, prior to shipment confirm that they will provide you with the ITN

29 After you submit your Travel Authorization: 1. Read the Export Control Briefing. Even if you frequently travel internationally and have never had a problem, it is a good idea to understand export controls to prevent an unintentional violation.Export Control Briefing 2. Please obtain Foreign Travel Insurance from the Office of International Education and Development.Office of International Education and Development

30 Since export controls apply to items that are hand carried abroad, it is important to read the Laptop Briefing. In order to take a laptop abroad with you, youll need to: Laptop Briefing. Classify the laptop, software and stored data to show it does not need a license; or For Appalachian owned items, determine if a Temporary Export Exception (TMP) applies, and submit a One Time Certification Temporary Export Exception (TMP) One Time Certification For personal Items, determine if a Baggage Exception (BAG) applies.Baggage Exception (BAG)

31 New York Times (10/24/06) At U.S. Borders, Laptops Have No Right to Privacy One member who responded to our survey said she has been waiting for a year to get her laptop and its contents back, said Susan Gurley, the groups executive director. She said it was randomly seized. And since she hasnt been arrested, I assume she was just a regular business traveler, not a criminal. Appeals are under way in some cases, but the law is clear. They [Customs] dont need probable cause to perform these searches under the current law. They can do it without suspicion or without really revealing their motivations, said Tim Kane, a Washington lawyer who is researching the matter for corporate clients.

32 Example of a letter from NASA: DATE To: CUSTOMS OFFICIALS SUBJECT: HANDCARRY OF LAPTOP COMPUTER 1. The individual named in this letter is a ____________________employee carrying a (______________________-owned /personally-owned) laptop computer authorized for temporary export under EAR Licensing Exception 740.9(a)(2)(i) TMP – Tools of the Trade. Software loaded on the laptop is authorized for export under NLR. Data files on the laptop (do/do not) contain technical data as defined by US export regulations and (do/do not) require authorization for export. The total value of this temporary export is under $ The following information is provided: a. Individual Hand Carrying Laptop Computer: Name/Employee Number b. Description of Laptop Computer: Make/Model Number/Serial Number…..

33 Failure to comply with export controls has heavy penalties: Criminal penalties: $250,00 fine for individuals and/or 10 years imprisonment; $1 million fine for businesses Civil penalties: $250,000 per transaction

34 In 2006 GAO study warns that the Departments of State and Commerce have not fully assessed the potential for transfers of export-controlled information to foreign nationals in the course of U.S. university research. The study urged closer attention to available data on foreign students at U.S. universities.

35 Dr. J. Reece Roth, former University of Tennessee Professor Convicted of illegal exporting defense articles John Carrington, previous State Senator and President of a Fingerprint Lab Received 12 months probation and a $850,000 criminal penalty for the illegal export of crime control equipment to China through intermediaries in Italy and Hong Kong

36 Research in the following areas: Engineering Space sciences Computer Science Biomedical research with lasers Research with encrypted software Research with controlled chemicals, biological agents, and toxins

37 Shipments of equipment to a foreign country Training or collaboration with foreign nationals Research activities performed in an embargoed country Reference to export controlled technologies in an award document Restrictions on publication rights Restrictions on foreign participation

38 The customer is reluctant to offer information regarding end use. The product is incompatible with the technical level of the country to which it is being shipped, such as semiconductor manufacturing technology being shipped to a country that has no electronics industry. The customer is unfamiliar with the terminology of a field but still requests technical data. s from domains such as Yahoo, Gmail, etc, when it would appear that the requestor should have or address

39 Julie Taubman, Research Compliance Officer Empowered Official: Dr. Edelma Huntley, Chief Research Officer Susan McCracken, Director of Office of Research and Sponsored Programs Charlotte Smith, Assistant Director of Office of Research and Sponsored Programs


41 How do export controls apply to a foreign student working on a sponsored project?

42 As long as the sponsored project doesnt have limitations on the free publication of the results and no foreign national or national security restrictions, foreign nationals may support the fundamental research (basic and applied research) of the project.

43 What do you do if you dont know the recipient of your export well or have suspicions that they may re-export to another country or another person?

44 If you are suspicious about an end user, one way to protect yourself and the University is to ask them to sign an End-User Certificate. A Destination Control Statement may also be included with an export to combat re- exports.

45 Thanks for coming to Export Controls 101! Thanks to NASA Kennedy Space Center for allowing us to use their letter to Customs for the carrying of a laptop. The certification material for laptops is adapted from the basic design and content of Stanford Universitys Export ControlsStanford Universitys Export Controls PagePage. We appreciate Stanford in granting us to permission to use its content for the benefit of Appalachian State University.

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