Export Control Administrator Orientation February 22,

Export Control Administrator Responsibilities 1.First point of contact at their college – Use, and assist in the use of, Preliminary Evaluation form – Procedures section 3 2.Ensure compliance with export license requirements, based on determinations made by OVCR – OVCR, based on information from the preliminary evaluation, makes jurisdiction and classification determination for licensing or exemption purposes. – OVCR applies for license or authorization when required – OVCR conducts end user screening when required – Procedures sections 4, 5 & 6

Export Control Administrator Responsibilities 3.Implement Technology Control Plan (TCP), when required to restrict access to controlled items and data – TCP is developed by OVCR (see sample TCP & Acknowledgment) – Implementation may require overseeing & facilitating activities of following functional areas (see Work Instructions for each area): Human Resources Information Technology Facilities Management Procurement Shipping & Receiving – Procedures sections 7, 8, 9, 10, 11, 17

Export Control Administrator Responsibilities 4.Record Keeping – Ensure record maintenance pertaining to export control by all functional areas at respective college for minimum of 5 years – Comply with record access restrictions, as outlined in TCP – Procedures section 18 5.Training – Raise awareness and provide ongoing training at respective college – Target training to high risk areas (see slide 7) – Procedure section 21

Export Control Administrator Responsibilities 6.Retrospective Compliance Snapshot – Administer ITAR Inventory and Outbound Licensing Requirement surveys to faculty working in export control risk areas (see next slide) – Return completed surveys to OVCR – Assist OVCR with follow-up and evaluation, as required

Possible Export Control Risk Areas College departments should evaluate whether they have research that encompasses the following disciplines (see also Commerce Control List & USML in the Overview slides): – Computer science (including High Performance Computing) – Cryptography – Material science – Electro-mechanical engineering – Semiconductor research – Space science & launch related research – Oceanographic research – Atmospheric research – Astronomy – Bio-engineering – Robotic research / sensors / detectors – Nuclear physics / engineering – Infectious diseases / microbiology / pathology – Antiquities research

CUNY Case Studies 1.TCP in place for a fundamental research project in satellite design and implementation – Instrument, manual & operating software used are ITAR controlled – Issues that required attention during the process: Resources necessary to provide for physical storage of controlled equipment (locked/inaccessible cabinets) Purchase of locked filing cabinets required for documents and laptops Limited access to laboratory space (specialized keys for doors), including consideration for custodial staff Limited access to server & data, including consideration for IT staff Ensuring that the server with all the data and the computers used for the project have limited access Identifying all personnel from various collaborating sites and determining their US status

CUNY Case Studies 2.Precautionary measures in place for a TARDEC funded project with publication restrictions – Project has potential to result in ITAR controlled armor technology – Issues that required attention during the process: Drawing a line between basic and applied research, whereby, should the project result in armor technology, the basic research aspects would not be controlled Limiting involvement by foreign persons in the applied research portion of the project Educating the research team and obtaining their acknowledgment Ensuring that students working on the project have alternative projects for their thesis in case of publication restriction Limit access to materials and data to authorized individuals only, including mechanism in place to approve access by vendors, contractors and other 3 rd parties Resources for ensuring secure laboratory space and obtaining locked cabinets

FAQs: Exporting Commodities, Technical Data or Software 1.I am planning to export an item, technical data or software. What do I need to do? 2. Do I need to wait to export my item until I receive an export license or other authorization? 3.Does it matter how I plan to export the item, i.e. ship by freight forwarder or courier, hand-carry, or transmit data/software electronically? 4.How difficult is it to obtain an export license to ship tangible items, data or software?

FAQs: Exporting Commodities, Technical Data or Software 5.Once we have a license authorization, am I done with the compliance requirements? 6.Do exports to every country require an export license? 7.Do I need an export license to temporarily ship research equipment or a prototype/sample out of the U.S., for example, for purposes of field research or equipment demonstration? 8.How does licensing work if I am intending to ship both EAR and ITAR classified items?

FAQs: Exporting Commodities, Technical Data or Software 9.What does it mean to provide a “defense service” under the ITAR regulations? 10.Does that mean teaching our foreign national students about something which happens to be listed on the USML requires a license? 11.Is there any easy way to distinguish between what is classified as an EAR vs. ITAR item for export license purposes, such as a laboratory research tool? What if the classification is not clear from the use of the vendor’s specifications?

FAQs: Exporting Commodities, Technical Data or Software 12.Do I really need to be concerned if the item that I plan to e xport is commercially available abroad? 13.Do I need to be concerned if I am importing an item into the U.S., i.e., are there import compliance regulations?

FAQs: Foreign National Access to EAR- and ITAR- controlled Items and Data 1.Do I need a license to allow foreign nationals access to laboratory equipment? 2.What about foreign national access to technical data? 3.How does having an ITAR item in my laboratory affect foreign national (student, post doc, H1) access to it? 4.But can’t my foreign national students access all equipment and data since CUNY operates under the Fundamental Research/Public Domain Exclusions?

FAQs: Foreign National Access to EAR- and ITAR- controlled Items and Data 5.What if I am a foreign national PI who wishes to access an ITAR item as part of my fundamental research program: am I excluded from access as well? 6.Is there any problem with communicating with or assisting a foreign government with respect to our research?

FAQs: Staying within the Fundamental Research Exclusion (FRE) Outside the Laboratory 1.How do I remain within the FRE for purposes of the EAR and ITAR when teaching or lecturing abroad? 2.What if I need to export laboratory instrument or tools as part of my work abroad?

FAQs: T ravel Abroad 1.Can I bring my laptop and other hand held communication devices with me? 2.Can I hand carry samples or other laboratory instruments?

FAQs: International Collaborations and Conducting Research Abroad Does collaborating internationally with another researcher or foreign institution have export control requirements?

FAQs: Country-Specific Requirements (OFAC) What Special Rules Apply to Cuba, Iran, Syria and Sudan?