Export Controls: What are they?

1. Export Controls: What are they? Why do they concern us?Laura Langton, PhDExport Control Managerlangton@wustl.edu314-747-1378

2. What is an Export? “Release” of • Tangible items e.g. equipment • Technology • Software • Source code • Technical data or information • Defense articles or services ………to a foreign country or to a foreign person in the U.S. (“deemed export”).

3. “Release” can occur through • Shipping • Visual inspection • Verbal discussions • Email/Fax • Computer data disclosure • Training Depending on the specific technologies and countries involved, a license may be needed.

4. U.S. Persons and Foreign Nationals Defined • “U.S. Person” is defined as a : • Lawful permanent resident • U.S. citizen • Legal immigrant with a “green card” • Protected individual • Asylee or refugee • “Foreign National” means everyone else, including foreign governments or entities not incorporated to do business in the U.S.

5. What are “Export Controls”? U.S. laws that regulate the release of strategically important technology, services and information to foreign countries and foreign nationals.

6. Dual-Use Technologies (civilian or military) 15 CFR 730-773 Military, Space, Satellite 22 CFR 120 -130 Department of the Treasury Office of Foreign Assets Control (OFAC) Who Administers Export Controls? Department of State International Traffic in Arms Regulations (ITAR) Directorate of Defense Trade Controls Department of Commerce Export Administration Regulations (EAR) Bureau of Industry and Security • U.S. Sanctions and Embargoed Regimes. Lists of “Specially Designated Nationals (SDNs)”31 CFR 500-598Country Policies and Embargoes

7. But I’m just doing my research….What could go wrong? PENALTIES • Seizure and forfeiture of items • Loss of export privileges • Loss of federal funding

8. What Types of Things are Controlled? Commerce Control List – Dual Use Item Categories (EAR) • Category 0 Nuclear Materials, Facilities and Equipment • Category 1Materials, Chemicals, Microorganisms, and Toxins • Category 2 Materials Processing • Category 3 Electronics Design, Development, and Production • Category 4 Computers • Category 5 Part 1: Telecommunications Part 2: Information Security • Category 6Sensors and Lasers • Category 7 Navigation and Avionics • Category 8 Marine • Category 9 Propulsion Systems, Space Vehicles, and Related Equipment Examples – trigger spark gaps, laminar flow hoods

9. U.S. Munitions List (ITAR) – Military Use Items • Category I-Firearms, Close Assault Weapons and Combat Shotguns • Category II-Guns and Armament  • Category III-Ammunition/Ordnance  • Category IV-Launch Vehicles, Guided & Ballistic Missiles, Rockets, Torpedoes, Bombs Mines • Category V-Explosives/Energetic Materials, Propellants, Incendiary Agents and Constituents  • Category VI-Vessels of War and Special Naval Equipment  • Category VII-Tanks and Military Vehicles  • Category VIII-Aircraft and Associated Equipment • Category IX-Military Training Equipment and Training • Category X-Protective Personnel Equipment and Shelters  • Category XI-Military [and Space] Electronics  • Category XII-Fire Control, Range Finder, Optical and Guidance and Control Equipment  • Category XIII— Materials and Miscellaneous Articles • Category XIV-Toxicological Agents, Chemical and Biological Agents, Associated Equipment • Category XV-Spacecraft Systems and Associated Equipment • Category XVI-Nuclear Weapons Design and Test Equipment  • Category XVII-Classified Articles, Technical Data, Defense Services Not Otherwise Enumerated  • Category XVIII—Directed Energy Weapons • Category XIX—Gas Turbine Engines and Associated Equipment • Category XX-Submersible Vessels, Oceanographic and Associated Equipment  • Category XXI-Miscellaneous Articles

10. The Good News • Most university activities are not subject to export controls. • Fundamental Research Exclusion • Public Domain Exclusion • Educational Activities Exclusion • “Use” definition

11. Excluded from Export ControlFundamental Research "Basic or applied research in science and engineering at an accredited institution of higher learning, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons."NSDD-189

12. The Fundamental Research Exclusion is Destroyed When…. • Publication Restrictions are accepted from the sponsor. • Access or participation restrictions are accepted from the sponsor. The Fundamental Research Exclusion is Not Available When…. • Working outside the U.S. • Shipping tangible items • Encryption software/source code involved • Export controlled information is received from the sponsor.

13. Development, Production, or “Use” Six criteria for “Use” (for equipment): • operation • installation • maintenance • repair • overhaul • AND refurbishing

14. Exclusions from Export Control • Information in the Public Domain • Information generally accessible to the interested public in any form • Educational Information • Information released by instruction in catalog courses and associated teaching laboratories of academic institutions.

15. So when do I call Export Control? Activities which involve the following “red flags” may be subject to export controls: • Biological or chemical threat agents and related medical remediation and diagnostics • Applications to defense, satellite, or space • Publication or participation restrictions • References to export control laws in grants, contracts, RFAs • Proprietary research, product development, “Use” • International field work or travel • Comprehensively embargoed countries: Iran, Syria, Sudan, Cuba, North Korea; also consider other countries of concern see OFAC Sanctions Programs. Note China is highly regulated.

16. My project is subject to export controls….. • A license may be needed for certain foreign nationals to participate or for an export to occur. • If a license is needed, the Export Control Manager will apply. • and/or a Technology Control Plan will be developed to document how access to the controlled technology by non-authorized persons will be prevented.

17. Restricted Party Screening Several agencies maintain lists of restricted entities and individuals. “Restricted Party Screening” (RPS) is the comparison of person/entity names against these lists. RPS should be conducted on • Visa Applicants (conducted by Office of International Students and Scholars) • Foreign visitors • Travel destinations • Shipping destinations (Material Transfer Agreements screened by OTM) Contact the Export Control Manager (ovcrexportcompliance@wustl.edu) for RPS assistance.

18. Visa Screening • H1-B visa petitions must be certified by the University as to whether a license will be needed. • NEW PI questionnaire available on OISS website (fillable PDF) or contact Laura Langton • Old questionnaire will not be accepted after July 1st. • For other visa types • Applicants from Iran, Syria, Sudan, North Korea, Cuba will be screened with same procedure as H1-B. • If you receive a request from a consulate for information or certification related to export controls, please contact Laura Langton langton@wustl.edu

19. International Travel • Hand carried items (devices, software, technical data, equipment) are subject to export controls. • In general laptops and cell phones do not need a license unless travelling to an embargoed country, however controlled technical data on the laptop may. • Rule of thumb – If you don’t need it don’t take it! Use of a “scrubbed” laptop is recommended. • Travel destinations (universities, institutes) should undergo RPS.

20. http://research.wustl.edu

21. For more information or for consultation on a specific project, please contact:Laura LangtonExport Control Manager747-1378langton@wustl.edu