1. Temple University Commitment to Comply with Export Control Laws Compliance Statement and Position: TU adheres to the principle of open scholarly exchange and academic freedom TU adheres to the principle of open scholarly exchange and academic freedom TU fully supports a policy of strict compliance with all applicable U.S. export control laws TU fully supports a policy of strict compliance with all applicable U.S. export control laws TU believes that education and awareness by the TU community of all U.S. export control laws is critical to compliance TU believes that education and awareness by the TU community of all U.S. export control laws is critical to compliance

2. Goals of U.S. Export Controls The Export Control Laws and Regulations have several purposes: to restrict exports of goods and technology that could contribute to the military potential of U.S. international adversaries to prevent proliferation of weapons of mass destruction to advance U.S. foreign policy goals and to protect the U.S. economy and promote trade goals Attention to export controls has increased due to: recent heightened concerns about national and homeland security, as well as the need to prevent proliferation of weapons of mass destruction and terrorism and leaks of technology to U.S. economic competitors

3. U.S. Export Controls: Basic Principles Export controls apply to certain goods, materials, tests, software and technology (including related information and technical data) that are: Export controls apply to certain goods, materials, tests, software and technology (including related information and technical data) that are: - transferred to other countries - transferred WITHIN the U.S. to certain foreign nationals (“deemed exports”) A wide range of high-technology items and associated technologies are subject to U.S. export controls A wide range of high-technology items and associated technologies are subject to U.S. export controls - BUT key exclusions or exemptions for universities often apply Research activities that do not qualify for an exclusion or exemption under Export Control Regulations will require a license from the appropriate Government Agency Research activities that do not qualify for an exclusion or exemption under Export Control Regulations will require a license from the appropriate Government Agency Severe penalties apply for violations of Export Control Regulations Severe penalties apply for violations of Export Control Regulations

4. Export Controls: What is Covered? U.S. Export Control Regulations restrict the release to foreign nationals in the U.S. and abroad of certain: - Controlled Critical Technologies - both civilian “dual-use” and “military-focus” - Technical Data and Software Code - Equipment and Research Tools - Chemicals and Biological Materials/Specimen - Other Materials and Information - Services of value to certain countries, entities, or individuals

5. Constitutes an Export? What Constitutes an Export? Export to Persons or Entities Outside the United States covers: Physical exports (shipment or hand carried) Digital and electronic transmissions (incl. e-mail) Other verbal or visual disclosures or releases of information such as: - at lab visits abroad or in U.S. or - unintended WEB access to your PC especially abroad Deemed Exports are:   transfers as described above within U.S. to certain foreign nationals

6. What is a “Deemed Export”? “Deemed Exports” include disclosure or transfer of technology or software to a foreign national within the U.S. Permanent U.S. residents (green card holders) and certain “protected immigrants” have the same right to controlled information as U.S. citizen Any transfer of export-controlled technology to a non- permanent resident is subject to U.S. jurisdiction and may require the prior approval of U.S. government (a license), unless an exclusion or exemption applies

7. Export Controls: Three Regulatory Regimes EAR - Export Administration Regulations of the Commerce Department - regulate commercial and “dual-use” items ITAR - International Traffic in Arms Regulations of the State Department - regulate defense and space-related technologies OFAC - Office of Foreign Assets Control of the Treasury Department - prohibits activities with certain sanctioned countries,institutions or individuals - OFAC controls override any exemption to EAR and ITAR controls

8. Consequences of Non-Compliance with U.S. Export Control Laws Violations can result in:   severe criminal and civil penalties for individuals   millions of dollars in fines   extended jail sentences   the denial of government funding   the loss of exporting privileges   damage to individual and institutional reputations   threats to national security

9. Most TU Activities will Not Require Export Control Licenses Most research and teaching on campus does not fall under Export Control Regulation Most research and teaching that involves export controlled information or technology qualifies for an exclusion or exemption from licensing Exemptions are valid only under specific conditions It is important that all conditions for these exclusions or exemptions are met and are vigorously protected

10. Key Exclusions and Exemptions (1) (1) Public Domain Information (2) Fundamental Research Exemption (FRE) (3) Educational Information Exception

11. Public Domain Exclusion   This is the broadest Exclusion under EAR and ITAR   It allows exports or deemed exports without controls for information ordinarily published or already published   in libraries that are open to the public   in unrestricted subscriptions and generally accessible free websites   in published patents   in conferences, seminars in the United States (or also abroad) accessible to public for a reasonable fee where notes can be taken

12. Fundamental Research Exemption (FRE) FRE provides exemptions for most on-campus University research. It covers: (1) information (not items!) (2) resulting from “basic and applied research in science and engineering” (3) at an “accredited institution of higher education” (EAR) or “higher learning” (ITAR) (4) “located in the United States” (5) that is “ordinarily published and shared broadly within the scientific community”

13. Fundamental Research Exemption (FRE) Continued FRE is invalidated if the University or the PI accepts any of the following conditions: (1) unspecified and open ended pre-publication reviews (2) sponsor approvals or conditions on publication or information exchange (3) foreign national controls or approvals, including limiting the participation of foreign nationals in your lab or center (4) access and dissemination controls on the research Several technologies are ineligible for FRE under any condition (e.g., advanced encryption, nuclear, WMD) IMPORTANT: AVOID SIDE DEALS or informal AGREEMENTS that invalidate the FRE

14. Fundamental Research Exemption Publications Fundamental research results generated at TU can be freely published - as long as the research falls under the Fundamental Research Exemption Under the FRE, sponsors may be allowed a short period of time (no longer than 45 days) to: remove confidential or proprietary information from the proposed publication / presentation search any patentable subject matter they may have an option to and work to facilitate patent filings

15. Educational Information Exemption The scope of this exemption varies depending upon the applicable regulation: - EAR – Information taught in catalog-listed classes, and released in associated teaching laboratories, at accredited institutions of higher learning are exempt from export licensing - ITAR – The exemption only covers general science, math and engineering principles in the public domain that are taught at schools, colleges and universities

16. Important to Know   Be aware of potential Export Control issues that may arise in your area of research   Make sure that your research and your activities stay within the realm of the Fundamental Research Exemption (FRE) − −do not accept any controls over any disclosure − −do not accept any controls over who can or cannot work on your project − −note that the Fundamental Research Exemption covers only information − −export and deemed export of devices, samples, specimens, software and materials may require a license   It is not the end of your research if a license is required. − −typical time frame to acquire is 30 to 60 days − −work with SPA if a license is required   However: Most licenses carry severe restrictions / limitations - -safekeeping of results - -no foreign students can work on project

17. Some Important Questions to Ask   1. Does the award contain any terms or conditions that would restrict the disclosure or dissemination of the research results?   2. Are there any restrictions on access to or dissemination of information the sponsor or others will furnish for use on this project?   3. If the answer to 1 or 2 is yes, does the research project fall under one of the export-controlled technologies?   4. Does this project involve training specific personnel for a special purpose? If so, could it be considered a defense service? If yes, how can you proceed?   5. Will the university need to apply for an export license?   6. For proposal submission, have you marked the appropriate boxes on the TU Proposal Processing Form?

18. For Further Information Where to go for assistance and information: to the list of individuals on the next slide to the excellent COGR website written to assist faculty and University officials to deal with the complexities of Export Control Regulations to the reference websites at the end of this briefing, listing details of OFAC, EAR and ITAR restrictions To the TU Sponsored Research Administration if a license is required HOWEVER, individuals are personally responsible for knowing and understanding the laws – ignorance is not a defense

19. Key Contact Offices and Persons for the TU Community Ken Blank, Senior Vice Provost for Research and Graduate Education blank@temple.edu. 215-204-6875 blank@temple.edu

20. Important Web Sites providing access to EAR and ITAR Information Council on Government Relations, Guide to Export Control www.cogr.edu/docs/export%20controls.pdf Office of Foreign Assets Control OFAC www.treas.gov/offices/eotffc/ofac www.treas.gov/offices/eotffc/ofac Bureau of Export Administration EAR www.bis.doc.gov www.bis.doc.gov Commodity Control List in EAR www.access.gpo.gov/bis/ear/ear_data.html www.access.gpo.gov/bis/ear/ear_data.html Overview using EAR Regulations and Lists www.access.gpo.gov/bis/ear/pdf/732.pdf www.access.gpo.gov/bis/ear/pdf/732.pdf Denied Persons List www.bis.doc.gov/DPL/Default.shtm www.bis.doc.gov/DPL/Default.shtm Entity List www.bis.doc.gov/Entities/Default.htm www.bis.doc.gov/Entities/Default.htm List of Specially Designated Nationals and Blocked Persons www.ustreas.gov/offices/eotffc/ofac/sdn/index.html www.ustreas.gov/offices/eotffc/ofac/sdn/index.html List of ITAR Defense Articles, Defense Services and related Technical Data www.fas.org/spp/starwars/offdocs/itar/p121.htm#P121.8 www.fas.org/spp/starwars/offdocs/itar/p121.htm#P121.8