1. UCAR/NCAR/UCP Export Compliance EOL MAC 4-18-2013 FL3-2072 1

2. Export Controls Summarized You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 2

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4. Permission Typically, a license, agreement, or an exemption or exception to the requirement for a license. - Exemption – Dept. of State - Exception – Dept. of Commerce 4

5. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 5

6. Export Any item that is sent from the United States to a foreign destination “Items” include hardware, instruments, software, or technical data and information By fax, phone, email, ftp, FedEx, hand carried, etc. 6

7. Deemed Export The release of technology or source code to a foreign national in the United States is “deemed” to be an export to the home country of the foreign person under the EAR.deemed export Granting access to controlled technology 7

8. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 8

9. Controlled Articles or Technology Listed on the State Dept.’s USML or Commerce Dept.’s CCL 9

10. State Department USML-U.S. Munitions List ITAR-International Trade in Arms Regulations USML-U.S. Munitions List Military items or defense articles Includes space related technology because of application to missile technology Includes technical data related to defense articles and services Does not include basic marketing information or general system descriptions 10

11. Department of Commerce CCL-Commerce Control List EAR –Export Administration Regulations CCL-Commerce Control List Dual use items – items that have both commercial and military or proliferation applications – but purely commercial items without an obvious military use are also subject to the EAR 11

12. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 12

13. Defense Services (a) The furnishing of assistance, including training, to foreign persons in the design, engineering, development, production, processing, manufacture, use, operation, overhaul, repair, maintenance, modification, or reconstruction of defense articles, whether in the United States or abroad; or (b) The furnishing to foreign persons of any controlled technical data, whether in the United States or abroad. 13

14. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 14

15. Foreign Person Foreign person means any person who is not a citizen or national of the United States unless that person has been lawfully admitted for permanent residence. It includes foreign corporations, international organizations, foreign governments, and any agency or subdivision of foreign governments 15

16. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption ), and you must keep records and make reports. 16

17. Exception A "License Exception" is an authorization that allows you to export or reexport, under stated conditions, items subject to the Export Administration Regulations (EAR) that would otherwise require a license. 17

18. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 18

19. Recordkeeping Records of transactions involving exports, including exports utilizing any of the License Exceptions, must be maintained 5 years. 19

20. You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 20

21. Reporting The use of certain license exceptions include reporting requirements For example, exports of certain commodities, software and technology controlled under the Wassenaar Arrangement (high performance computers, thermal imaging devices) 21

22. What’s not controlled? Information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain. 22

23. What’s not controlled? Information that is published and which is generally accessible or available to the public Fundamental research in science and engineering where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research 23

24. Review You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports. 24

25. Recent Changes OpenHire Visitors H1B Visa Applications Restricted Party Screening Shipping Export Controlled Items Award Review Dept. of Defense Projects E-learning via Skillport International travel with devices and data TMP certification form 25

26. Where to find more information http://www.pmddtc.state.gov/ http://www.bis.doc.gov/ http://www.fin.ucar.edu/export/index. html http://www.fin.ucar.edu/export/index. html 26

27. If you have any doubts or concerns about any aspect of export compliance, please ask for assistance from your ECC or Export Compliance Manager. http://www2.fin.ucar.edu/ogc/export- contacts http://www2.fin.ucar.edu/ogc/export- contacts 27

28. You should always consider reporting suspected unlawful activity, since proactive cooperating businesses are less likely to become the subjects or targets of export control investigations. 28

29. Dave Sundvall, Export Compliance Manager, export@ucar.edu, x8898export@ucar.edu Meg McClellan, Sr. Empowered Official, mmcclell@ucar.edu x8875mmcclell@ucar.edu 29

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31. Notes 31