EXPORT CONTROLS Export Controls are established to implement treaties and national security - PowerPoint Presentation

Slide1

EXPORT CONTROLSSlide2

Export Controls are established to implement treaties and national security laws, generally protect national security and to combat terrorism

Export Controls Slide3

U.S. export controls restrict the transfer of goods and technology to outside the U.S. when there are potential National Security or Trade Protection Concerns

What are export controls?Slide4

What is an export?

Sending or taking a defense article or restricted technologies out of the U.S in any manner

Disclosure or transfer of any defense article or selected technologies to any foreign government in the U.S

Disclosure or transfer of covered technical data to a foreign person here or abroad

Performing a defense service for the benefit of a foreign person here or abroadSlide5

Export Control Regulations

The regulations provide:

Limitations on exports to foreign countries

Limitations on foreign use and access to restricted technologies in the

U.S

Covers goods, technology and information

Excludes patents, artistic or non-technical publications

Excludes technology in the public domainSlide6

How does this impact universities?

For the most part University research and scholarship is considered “fundamental research” and as such is not impacted by export controls for teaching and research.

The export of commodities are not covered by the fundamental research exemption

Since the penalties for non-compliance are severe, it is important to recognize

important clues to the potential for export control issues and take appropriate actionsSlide7

Fundamental Research Exception

Fundamental

research

is

basic or applied research in science and engineering at an accredited institution of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the

scientific

community

.

This exception is

void

 if the

university:

accepts

any restrictions on the publication of

information

gives

a sponsor the right to approve publications

limits

access of foreign nationals

applies

these limitations to any sponsor.Slide8

Clues to determine if export control could be an issue?

Is

your research funded directly or indirectly by a defense related entity?

Is your research in a high technology area with a potential dual use where the alternative use could be defense related

?

Is your research on a restricted technology list?

Does your research agreement have language that restricts in any way the distribution of the results or who may participate?

Are you collaborating with researchers from outside the U.S.?

Does the research require the transfer of goods outside the U.S.?Slide9

Penalties for export control violations

There are both criminal and civil penalties

The penalties can be applied to the individual as well as Binghamton University

Penalties can be up to one million dollars per violation

You can be put in prison for years: Currently a University of Tennessee faculty member is serving four years in federal prison.

The federal government can apply sanctions to the entire university including loss of all federal fundingSlide10

Export Control Regulations are complicated by the fact that three different federal agencies are responsible for different aspects of export .

Export control regulationsSlide11

Federal export control Agencies

Department of Commerce: Export Administration Regulations (EAR)—trade protection

Department of State: International Traffic in Arms

(ITAR)—national security

Department of Treasury: Office of Foreign Assets Control (OFAC)—embargoes and sanctionsSlide12

Export Administration Regulations (EAR)

Regulates the export of restricted commercial items and items that may be seen as “dual use” because while they may be intended for civilian use they any have military applications.

If your research results in improvements in science and technology, is not yet published, and is not available internationally these regulations may restrict your ability to export your work.

Restricted items are identified on a Commerce Control List (CCL) The list is over 175 pages and contains technically complex descriptions.

Deemed exports are exports of technology that may take place here in the U.S. if that technology is released to a foreign national:

By visual inspection

By transmission orally, by e-mail or by publicationSlide13

International traffic in arms regulations (ITAR)

ITAR controls the export of defense articles covered by a U.S. Munitions List (UML) which sets out relatively broad categories of items that are of military importance.

ITAR has important considerations when dealing with research and the export of technology and other valuable commodities.

You may believe that your research has no military applications but through an evaluation military applications may apply that you may not have considered.

Items such as GPS, sensors, software and electronics may easily be determined to be “dual use”.Slide14

OFFICE OF FOREIGN ASSESTS CONTROL (ofac)

Administers the Policies of the United States to enforce economic and trade sanctions

Transferring anything to the countries identified for sanction is illegal

Traveling to identified countries may be illegal without a license to do so.

It is important that anyone considering traveling to identified countries seek appropriate approvals well in advance of any planned travel.

Approval can take a long time. Slide15
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What should you do about export controls

Don’t assume you are OK

Contact the Associate Vice President for Compliance or the Sponsored Programs Office

We can provide advice, do an analysis for you or if needed assist in requesting a license to export the technology legally

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Stephen A. Gilje

Associate Vice President for Compliance

Telephone 777-6137 e-mail

sgilje@binghamton.edu

Lisa Gilroy

Assistant Vice President for Sponsored Programs

Telephone 777-6136 e-mail

lgilroy@bingthamton.edu

Contacts