KUMC EXPORT CONTROLS The Challenge: Balancing National Security and Openness in Research, Education and Public Service

What Are Export Controls? THEY ARE THE LAW  US laws that regulate the distribution to foreign persons and foreign countries of strategically important technology, services and information for reasons of foreign policy and national security  Export control laws apply to all activities — not just sponsored research projects

3 Why must we be concerned with Export Control Laws? Certain export control laws may apply to KUMC activities here and abroad. Failure to comply may result in serious criminal and civil penalties for both KUMC and individuals Federal Government has increased enforcement and investigations of universities since 9/11/2001

Agencies that govern export controls There are three principal agencies  U.S. Department of State  U.S. Department of Commerce  U.S. Department of the Treasury

5 Potential Impact of Export Control Laws on KUMC Research If a KUMC research project involves controlled material or technologies, the researcher may be required to obtain a government license before: Equipment, chemicals or technologies subject to EAR or ITAR may be sent or taken outside the U.S. Foreign researchers or students – even if located in the U.S. on KUMC’s campus – may participate in research involving equipment, chemicals or technologies subject to EAR or ITAR (known as a “deemed export”)

6 Controlled Categories  Category 0 - Nuclear Materials, Facilities & Equipment (and Miscellaneous Items)  Category 1 - Materials, Chemicals, Microorganisms, and Toxins  Category 2 - Materials Processing  Category 3 – Electronics  Category 4 - Computers  Category 5 (Part 1) - Telecommunications  Category 5 (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

A question…  What is an export?  Any oral, written, electronic or visual disclosure, shipment, transfer or transmission of commodities, technology, information, technical data, assistance or software codes to  Anyone outside the US (including US citizen)  A non-US individual (wherever they are)  A foreign embassy or affiliate

Situations that may trigger a review of export controls include:  shipping or transferring a controlled technology outside of the United States;  traveling with controlled technology outside of the United States;  hiring a "non-US person" who will have access to controlled technology;  allowing visitors and/or students who are non- US persons to access areas with controlled technology; and  making payments to non-US persons.

General Rule: 9 General Rule: KUMC faculty and employees may not transfer export-controlled equipment, chemicals or technologies to foreign persons without a license from the U.S. Government, unless an exclusion applies. Fortunately, the majority of research at KUMC will be covered under an exclusion to the Export Control Law requirements, however a review process is required.

10 Who/What is a “Foreign Person”? Any foreign government; Any foreign corporation or organization that is not incorporated or organized to do business in the U.S.; Any individual who is not a U.S. citizen or lawful permanent resident of the U.S. (green card holder)

Deemed Exports Technology is transferred for export when:  it is available to foreign nationals for visual inspection (such as reading technical specifications, plans, blueprints, etc.)  when technology is exchanged orally  when technology is made available by practice or application under the guidance of persons with knowledge of the technology

12 Controlled Technologies 5 main technologies that need to be reviewed for biological research:  technology for the “development” or “production” of controlled biological agents  technology for the disposal of controlled biological agents  technology for the “development” of controlled equipment  technology for the “production” of controlled equipment  technology for the “use” of controlled items

KUMC Technology Control Plans  TCP is project based risk management  Addresses export controlled technology  Physical & Information Security Guidance  Lists stakeholders and responsible users  Contains export briefing

CONTACT INFORMATION Larry Dodson, Export Control Officer OR Legal Department

Questions?