1 An Introduction to Export Controls at UNCP Created by the Center for Sponsored Research and Programs at UNC Pembroke

2 Getting Started ► What are exports? What are exports? What are exports? ► What are examples of export methods? What are examples of export methods? What are examples of export methods? ► What are export controls, and why are they needed? What are export controls, and why are they needed? What are export controls, and why are they needed? ► What is an export license? What is an export license? What is an export license? ► Which federal agencies regulate export controls? Which federal agencies regulate export controls? Which federal agencies regulate export controls? ► How do I determine if I have an export issue? How do I determine if I have an export issue? How do I determine if I have an export issue? ► I have an export…how do I know if I need an export license? I have an export…how do I know if I need an export license? I have an export…how do I know if I need an export license? ► What are the penalties for ignoring export controls? What are the penalties for ignoring export controls? What are the penalties for ignoring export controls? ► Are there any exemptions for export controls? Are there any exemptions for export controls? Are there any exemptions for export controls? ► Where do I go for additional information? Where do I go for additional information? Where do I go for additional information? End Presentation

3 What are exports? ► Exports are any transfer * of commodities, technology, information, technical data, assistance, or software codes to anyone outside the U.S., a non-U.S. individual wherever s/he is, and/or a foreign embassy or affiliate.  *This includes any oral, written, electronic, or visual disclosure of any of the aforementioned items. Back to “Getting Started”End PresentationNext

4 What are examples of export methods? ► To Overseas Recipients – Mail (shipping), , fax, face to face transmissions. ► “Deemed” Export – The transfer of an export to a foreign national in the U.S.  A foreign national is anyone who is not a citizen, a legal resident alien, or a protected individual (refugee) of the United States (including organizations not incorporated to do business in the U.S.). ► U.S. travelers in foreign countries with laptop computers or GPS devices can be considered an export.  Allowing foreign nationals to access either technology is considered an export.  Laptops can be excluded from this if they contain only software available through commercial or public sources. Back to “Getting Started”End PresentationNextPrevious

5 What are export controls, and why are they needed? ► Export controls are the laws and regulations set by the U.S. government to prevent the export of potentially sensitive or militarily adaptable items to foreign nationals or foreign countries. ► Export controls are needed to restrict the export of goods and technologies that could directly and indirectly contribute to the military potential of other countries. ► Controls can also prevent the creation of weapons of mass destruction, as well as terrorism and other similar activities. Back to “Getting Started”End PresentationNextPrevious

6 What is an export license? ► An export license is a form of approval from the U.S. government that allows exports to be transmitted to approved overseas destinations (individual, government, organization, etc.).  This license allows the U.S. government to regulate the exportation of potentially sensitive items and information for reasons of national safety. Back to “Getting Started”End PresentationNextPrevious

7 Which federal agencies regulate export controls? ► Export Controls are regulated by three federal agencies:  U.S. Department of Commerce  U.S. Department of State  U.S. Department of Treasury ► Each agency oversees a different aspect of Export Controls. Back to “Getting Started”End PresentationNextPrevious

8 U.S. Department of Commerce ► The Bureau of Industry and Security in the Department of Commerce issues the Export Administration Regulations (EAR). ► The EAR are used to control the export of “dual-use technologies”, which are items with possible applications in both a commercial and military sense.  Back to “Getting Started”End PresentationNextPrevious

9 U.S. Department of State ► The Department of State issues the International Traffic in Arms Regulations (ITAR). ► The ITAR are used to control the export of inherently military technologies.  ► A list of the ITAR categories of military technologies can be found at:  m#ITAR m#ITAR m#ITAR Back to “Getting Started”End PresentationNextPrevious

10 U.S. Department of Treasury ► The Department of Treasury oversees the Office of Foreign Assets Control (OFAC). ► The OFAC is responsible for ensuring that no exports reach organizations, countries, or individuals subject to embargo, boycott, or economic sanctions.  Back to “Getting Started”End PresentationNextPrevious

11 How do I determine if I have an export issue? ► Does your research team include members/collaborators from foreign countries (including graduate students)? ► Will the results be publicly available (e.g., presentations, publication, website, etc.)? ► Does the project involve any regulated categories? Back to “Getting Started” YesNo Contact CSRP for InstructionsNo Issue YesNo No IssueContact CSRP for Instructions YesNo Contact CSRP for InstructionsNo Issue End PresentationNextPrevious

12 How do I determine if I have an export issue? (cont.) ► Will there be restrictions on publications, access, dissemination, or proprietary information? ► Will I be receiving any restricted information? ► Is the research/equipment/data, etc, going overseas to a foreign company, government, or individual? Back to “Getting Started” Yes No Contact CSRP for Instructions No Issue End PresentationNextPrevious

13 How do I determine if I have an export issue? (cont.) ► Could the end product of your project be utilized in a manner that would require the need for an export license (“dual-use”, military, etc.)? YesNo Contact CSRP for InstructionsNo Issue Back to “Getting Started”End PresentationNextPrevious

14 I have an export…how do I know if I need an export license? ► When there is a specific export in mind, a few simple questions can determine if you need an export license:  What are you exporting?  What is the destination of your export?  Who will receive your export?  What will your export be used for? Back to “Getting Started”End PresentationNextPrevious

15 What are you exporting? ► Almost all restricted exports can be found on the Commerce Control List.  CCL is broken into 10 broad categories. ► Exports on the CCL have specific Export Control Classification Numbers (ECCN), which indicate that a license may be needed.  All ECCN indicate the level of control placed on each export (restricted export, allowed export, etc.). Back to “Getting Started”End PresentationNextPrevious

16 Commerce Control List Categories ► 0 = Nuclear Materials, Facilities and Equipment ► 1 = Materials, Chemicals, Microorganisms and Toxins ► 2 = Materials Processing ► 3 = Electronics ► 4 = Computers ► 5 = Telecommunications and Information Security ► 6 = Sensors and Lasers ► 7 = Navigation and Avionics ► 8 = Marine ► 9 = Propulsion Systems, Space Vehicles, and Related Equipment Back to “Getting Started”End PresentationNextPrevious

17 Unclassified Exports ► All exports that do not fit into the categories previously listed are classified as EAR99. ► EAR99 exports typically do not require that licenses be obtained, but exporting these items to questionable countries or individuals, or for questionable means, may warrant the need for a license. Back to “Getting Started”End PresentationNextPrevious

18 What is the destination of your export? ► Exports can be restricted by country of destination (embargoed countries).  Countries associated with supporting terrorist activities are almost always denied. ► Some exports are restricted worldwide. Back to “Getting Started”End PresentationNextPrevious

19 Embargoed Countries ► Current embargoed countries are the Balkans, Belarus, Burma, Cote d’Ivoire (formerly known as the Ivory Coast), Cuba, Democratic Republic of the Congo, Iran, Iraq, Liberia, North Korea, Sudan, Syria, and Zimbabwe. ► An up to date list can be obtained from the Department of the Treasury’s website.  ms/ ms/ ms/ Back to “Getting Started”End PresentationNextPrevious

20 Who will receive your export? ► Some organizations and individuals are prohibited from receiving U.S. exports by several federal agencies (including embargoed countries). ► All entities prohibited can be found on the following lists:  Entity List  Treasury Department Specially Designated Nationals and Blocked Persons List  The Unverified List Back to “Getting Started”End PresentationNextPrevious

21 Entity List ► List of all organizations prohibited from receiving U.S. exports due to activities with weapons of mass destruction.  Administered by the Bureau of Industry and Security, Department of Commerce.  ment/liststocheck.htm ment/liststocheck.htm ment/liststocheck.htm Back to “Getting Started”End PresentationNextPrevious

22 Treasury Department Specially Designated Nationals and Blocked Persons List ► List composed of individuals and organizations suspected of either representing restricted countries or known to be involved in terrorism and narcotics trafficking.  sdn/ sdn/ sdn/ Back to “Getting Started”End PresentationNextPrevious

23 The Unverified List ► List composed of groups that are suspected of having a connection with a restricted country/individual, but not completely investigated with an end-check by the Bureau of Industry and Security, Department of Commerce.  List/unverified_parties.html List/unverified_parties.html List/unverified_parties.html Back to “Getting Started”End PresentationNextPrevious

24 What will your export be used for? ► Exports to organizations, countries, or individuals known to be involved with the production or distribution of weapons of mass destruction are restricted, since the export in question could be utilized in a harmful or destructive manner.  Ensure your export is not going to any restricted individual, group, organization, or country. Back to “Getting Started”End PresentationNextPrevious

25 What are the penalties for ignoring export controls? ► The penalties for non-compliance are severe. Fines can reach up to $1 million (for Universities and Individuals) for each civil violation of an EAR, ITAR, or OFAC regulation. ► Criminal penalties for willful misconduct can also result in up to 10 years of imprisonment or $1 million fine for each violation of an EAR, ITAR, or OFAC regulation for researchers and administrators. Back to “Getting Started”End PresentationNextPrevious

26 Are there any exemptions from export controls? ► No export license is needed if the information being exported is freely obtainable to the public.  Fundamental Research Exemption  Educational Material Exemption  Public Domain Exemption ► No export license may be needed for foreign nationals working in U.S. institutions of higher education (with special conditions). ► Government sponsored research is not subject to Export Controls because it has its own security controls. Back to “Getting Started”End PresentationNextPrevious

27 Fundamental Research Exemption ► No export license is necessary for basic and applied research performed in the areas of science and engineering performed in U.S. institutions of higher education.  Results of research are published and shared broadly within and beyond the scientific community. Back to “Getting Started”End PresentationNextPrevious

28 Educational Exemption ► No export license is needed for information concerning general science, mathematic, and engineering principles freely taught in U.S. institutions of higher education or information in the public domain. Back to “Getting Started”End PresentationNextPrevious

29 Public Domain Exemption ► No export license is needed for the sharing of technical data or information with a foreign national inside the U.S. as part of a class, laboratory, or conference or seminar, if the same technical data or information has already been widely published or is available to the public. Back to “Getting Started”End PresentationNextPrevious

30 Employment Exemption ► No license is required if a foreign national is employed full time in the U.S. by a university*, provided that:  The individual has a permanent U.S. residence.  S/he is not a national of an export-prohibited country.  The individual has been advised, in writing, not to share information with other foreign nationals. *This exemption does not apply to graduate students. Back to “Getting Started”End PresentationNextPrevious

31 Where do I go for more information? ► If you are unsure if an Export License is necessary, contact the Center for Sponsored Research and Programs at or ► Additional information on Export Controls can be found at the Department of Commerce, Bureau of Industry and Security website (EAR):  Back to “Getting Started”End PresentationNextPrevious

32 Additional Links ► Commerce Control List  ► Export Administration Regulations Website   ► ITAR Embargoed Countries  ► License Exemption  Back to “Getting Started”End PresentationPrevious