1. Export Controls Laura Langton, PhD Export Control Manager langton@wustl.edu 314-747-1378 langton@wustl.edu

2. 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 are Export Controls?

3. 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”).

4. “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.

5. 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.

6. Export Control Regulations Dual-Use Technologies (civilian or military, space, satellite) 15 CFR 730-773 Department of Commerce Export Administration Regulations (EAR) Bureau of Industry and Security Military Technologies 22 CFR 120 -130 Department of State International Traffic in Arms Regulations (ITAR) Directorate of Defense Trade ControlsDirectorate of Defense Trade Controls Department of the Treasury Office of Foreign Assets Control (OFAC) U.S. Sanctions and Embargoed Regimes. Lists of “Specially Designated Nationals (SDNs)” 31 CFR 500-598 Country Policies and Embargoes 31 CFR 500-598 Country Policies and Embargoes

7. What Types of Things are Controlled? Commerce Control List Commerce Control List – Dual Use Item Categories (EAR) Category 0 Nuclear Materials, Facilities and Equipment Category 1 Materials, Chemicals, Microorganisms, and Toxins Category 2 Materials Processing Category 3 Electronics Design, Development, and Production Category 4 Computers Category 5 Part 1: Telecommunications Part 2: Information Security Category 6 Sensors and Lasers Category 7 Navigation and Avionics Category 8 Marine Category 9 Propulsion Systems, Space Vehicles, and Related Equipment

8. 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

9. 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, langton@wustl.edu)langton@wustl.edu

10. “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)

11. But I’m just doing research….What could go wrong? EARITAROFAC CIVILUp to $120,000 per violation Up to $500,000 per violation Up to $55,000 per violation CRIMINALUp 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 PENALTIES Seizure and forfeiture of items Loss of export privileges Loss of federal funding

12. Excluded from Export Contro l 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

13. When to call the Export Control Manager Tangible Exports – shipping – hand carrying Deemed Exports – lab personnel (students, postdocs, staff) – visitors – open labs Travel

14. 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 langton@wustl.edulangton@wustl.edu Send information on biologicals to cooks@wusm.wustl.educooks@wusm.wustl.edu – Additional information may be requested. – A government license may be needed.

15. 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…

16. 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.

17. 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, langton@wustl.edu)langton@wustl.edu

18. 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 langton@wustl.edulangton@wustl.edu

19. Travel Destination institution and purpose of travel should be sent to langton@wustl.edu for restricted party screening. langton@wustl.edu 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.

20. http://research.wustl.edu/ComplianceAreas/ExportControl/Pages/default.aspx

21. For more information or for consultation on a specific project, please contact: Laura Langton, PhD Export Control Manager 747-1378 langton@wustl.edu langton@wustl.edu