Export Control Administrator Orientation

1. Export Control Administrator Orientation February 22, 2013 http://www.cuny.edu/research/compliance/Export-Control.html

2. http://www.cuny.edu/research/compliance/Export-Control.html

3. Export Control Administrator Responsibilities • First point of contact at their college • Use, and assist in the use of, Preliminary Evaluation form • Procedures section 3 • 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

4. Export Control Administrator Responsibilities • 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

5. Export Control Administrator Responsibilities • 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 • Training • Raise awareness and provide ongoing training at respective college • Target training to high risk areas (see slide 7) • Procedure section 21

6. Export Control Administrator Responsibilities • 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

7. 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

8. CUNY Case Studies • 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

9. CUNY Case Studies • 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 3rd parties • Resources for ensuring secure laboratory space and obtaining locked cabinets

10. FAQs: Exporting Commodities, Technical Data or Software • I am planning to export an item, technical data or software. What do I need to do? •  Do I need to wait to export my item until I receive an export license or other authorization? • 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? • How difficult is it to obtain an export license to ship tangible items, data or software?

11. FAQs: Exporting Commodities, Technical Data or Software • Once we have a license authorization, am I done with the compliance requirements? • Do exports to every country require an export license? • 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? • How does licensing work if I am intending to ship both EAR andITAR classified items?

12. FAQs: Exporting Commodities, Technical Data or Software • What does it mean to provide a “defense service” under the ITAR regulations? • Does that mean teaching our foreign national students about something which happens to be listed on the USML requires a license? • 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?

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

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

15. FAQs: Foreign National Access to EAR- and ITAR-controlled Items and Data • 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? • Is there any problem with communicating with or assisting a foreign government with respect to our research?

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

17. FAQs: Travel Abroad • Can I bring my laptop and other hand held communication devices with me? • Can I hand carry samples or other laboratory instruments?

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

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