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Export Control Basics

Export Control Basics. James E. Peterson, Ph.D. Associate Vice Chancellor for Research Office of Sponsored Research. What are Export Controls?.

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Export Control Basics

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  1. Export Control Basics James E. Peterson, Ph.D. Associate Vice Chancellor for Research Office of Sponsored Research

  2. What are Export Controls? A comprehensive series of regulations enforced by the Federal Government that regulate the distribution of certain exports to foreign nationals and foreign countries because of • the nature or type of technology has potential military applications • the nature or type of technology raises some sort of trade/economic protection issue • concerns about the country, organization, individual or end user of the technology

  3. What are Export Controls? • Export control laws apply to all activities – not just sponsored research projects • Control involves obtaining a license from the federal government prior to exporting

  4. What is an export? Transfer to a foreign person in the U.S. or abroad of • Controlled technology • Information • Equipment • Software • Services

  5. What is a transfer? Transfer can be by: • Actual shipment outside the U.S. • Electronic or digital transmission • Visual inspection in or outside the U.S. • Written or oral disclosure • Actual use or application on behalf or for benefit of foreign person or entity

  6. Transmitting the technology, information, etc. to a foreign person within the United States Methods of disclosure include What is a “deemed export”? • FAX • Telephone conversations • E-mail communications • Face-to-face discussions • Tours of labs • Training sessions • Computer data

  7. Who is a foreign person? • Any person who is not a lawful permanent resident of the U.S. • Any foreign corporation or other entity or group that is not incorporated or organized to do business in the U.S. • Any foreign government

  8. Responsible U.S. Agencies • STATE International traffic in Arms Regulations (ITAR) for inherently military technologies • COMMERCE Export Administration Regulations (EAR) for “Dual Use” technologies • TREASURY Office of Foreign assets Control (OFAC) prohibits transactions with countries subject to embargo, boycott or trade sanctions

  9. ITAR • U.S. Munitions List http://www.pmdtc.org/reference.htm#ITAR • Defense articles, defense services and related technical data • Divided into 21 categories • GPS equipment • Toxicological agents • Country Control Chart http://www.pmdtc.org/country.htm

  10. EAR • Commodity Control List http://www.access.gpo.gov/bis/ear/ear_data.html • Part 738 • Primarily commercial • 11 different categories • Computers • Lasers • Microorganisms/toxins • Country List http://www.access.gpo.gov/bis/ear/ear_data.html • Part 783 SPIR • 15 pages country vs category reason for control

  11. OFAC • Embargoed Countries http://www.treas.gov/offices/eotffc/ofac/sanctions/index.html • List can change but today includes: • Cuba, Iran, Iraq, Libya, Liberia, Sudan, North Korea, Syria • Difficult to do anything with these countries

  12. Penalties for ITAR • Criminal • Up to $ 1 million for a university or company • Up to $1 million per violation for individuals and/or up to 10 years in prison • Civil violations • Up to $500,000 / violation for individuals, a university or company • Seizure of articles • Revocation of exporting privileges

  13. Penalties for EAR • Criminal • Up to $1 million for a university or company • Up to $250,000 / violation for individuals and/or up to 10 years in prison • Civil • Loss of export privileges • Up to $12,000 / violation for individuals, a university or company

  14. Penalties for OFAC • Criminal • Maximum fine of $100,000 for individuals and/or 10 years imprisonment • Maximum fine of $1 million for a university or company • Civil • Maximum fine of $55,000 / violation • Violations of specific sanctions may add additional penalties

  15. Implications of Export Control Laws • No effect on most university research because we qualify for one of the exclusions • Potential impact on • Ability of foreign students or researchers to participate in research involving a controlled technology • Ability to provide services (including training) to foreign persons • Ability to send controlled equipment to foreign countries

  16. Exclusions A license is not required to disseminate information if one of three exclusions applies: • Fundamental Research (ITAR, EAR) • Employment (ITAR only) • Education (ITAR, EAR)

  17. Fundamental Research Exclusion No license is required to disclose to foreign persons information that is published and generally available or accessible to the public. Basic or applied research in science or engineering at universities where the resulting information is ordinarily published and shared broadly in the scientific community.

  18. Fundamental Research Normally… • Unless the university accepts any clause that: • forbids the participation of foreign persons • gives the sponsor a right to approve publications • restricts participation in research and/or access to and disclosure of research results • Unless there are “side deals” between PI and sponsor regarding publishing

  19. Employment Exclusion No license is required to share controlled technical information with a foreign person who • is a full-time regular university employee • has permanent address in the U.S. while employed provided that the person is • not a national of a country to which exports are prohibited • advised in writing not to share controlled information with other foreign persons • does not apply to graduate students

  20. Education Exclusion • No license is required to share with foreign persons “information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.” • Foreign students using controlled equipment to conduct research should be registered for a research credit class.

  21. Questions from the UNC-CHIPF

  22. Is it Really a Can of Worms? Reasons for the 4 Questions • Educate PIs and staff on export control regulations • Screen proposals to determine if there may be a problem • Basis for compliance if proposal is funded

  23. Things to Watch For • Restrictions on publications • “Side Deals” • Providing services or new information materials to/from a boycotted country • Collaborating with foreign colleagues in foreign countries • Foreign Nationals in the U.S. • Travel outside the U.S. • Carrying equipment/samples outside the U.S. • Shipping equipment/samples overseas • Payments to certain countries • Accepting export controlled information

  24. Resources • OSR web site on Export Control http://research.unc.edu/osr/policies/ export_control.php

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