Export Controls at the University Brown Bag Pt 1 – “I had no idea!”

1. Export Controls at the UniversityBrown Bag Pt 1 – “I had no idea!” Office of Research Integrity Keri Godin, Director Jules Blyth, Associate Director Rebecca Haworth, Research Integrity Manager

2. What are Export Controls? • A set of federal laws & regulations • Export control laws regulate the transfer of information, commodities, technology, and software considered to be strategically important to the U.S. in the interest of national security, economic, and foreign policy concerns • Concerns shipments/transfers out of the U.S. AND transfers to foreign nationals within the U.S. (“Deemed Export”)

3. What are Export Controls? • Export controls involve a number of different regulations. Three major regulatory schemes are: • The International Traffic in Arms Regulations (ITAR) administered by the U.S. Department of State; • The Export Administration Regulations (EAR) administered by the U.S. Department of Commerce; • The Office of Foreign Asset Control (OFAC) administered by the U.S. Department of Treasury

4. Applicable Regulations ITAR • Regulates Export and Licensing of Single-Use Defense Articles (military and space applications) • Controlled Items List: U.S. Munitions List (USML) • Examples: missiles, military amour, certain chemical agents, naval technology, satellite/ spacecraft technology, ammunition, explosives EAR • Regulates Export and Licensing of Dual-UseCommodities (commercial and military applications) • Controlled Items List: Commerce Control List (CCL) • Examples: laptops, smart-phones, certain drones, certain navigation systems, infrared cameras, lasers, biological agents

5. Applicable Regulations OFAC • Regulates Licensing of transactions involving sanctions and embargos • Comprehensive and Selective Sanctions may apply to: • Countries • Companies • Individuals • Current list of comprehensively embargoed countries/territories: • North Korea, Iran, Cuba, Syria, Sudan, Crimea Region (Ukraine/Russia)

6. Non-Compliance • Non-compliance can result in substantial monetary and criminal penalties against the institutionand the individual. • Civil penalties per violation up to $250,000 (EAR) or $500,000 (ITAR) • Note: the government generally has the authority to charge more than one violation per transaction • Criminal fines for willful violations of up to $1 million and/or 20 years imprisonment • Academics have been given prison sentences in connection with willful violations • Denial of export privileges under the EAR • Debarment from participating directly or indirectly in the export of ITAR-controlled defense articles, technical data or defense services.

7. Export Controls at a University • Fundamental Research Exclusion • Basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. • No restrictions on publications of scientific and technical information resulting from the project or activity • Education exclusion • ITAR: information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities • EAR: information released by instructions in catalog courses and associated teaching laboratories of academic institutions

8. Fundamental Research Exclusion does NOT apply to • Most physical goods • Software • Encryption • Certain non-publishable research • Research conducted outside the U.S. • Research with publication restrictions on results • Federally funded research with certain access and dissemination control on project results

9. Export Controls may apply to the following • Shipment of items to location outside of the U.S. • Travel to certain sanctioned or embargoes countries for research and teaching • Transfer of export controlled technical data to persons located outside of the U.S. • Sharing of export controlled scientific or technical information with foreign nationals within the U.S. (“Deemed Export”)

10. When Export Controls are triggered… • Determine if license exceptions apply (requires detailed analysis; may need to involve faculty; may reach out to peer institutions; can take a few days) • Apply for licenses • EAR – Dept of Commerce (generally a straight-forward process but can take 1-3 months) • ITAR – Brown is not yet registered with the Department of State • OFAC – Treasury (lengthy process: can take 3-6 months)

11. Example 1 – Physical & Deemed Export Albert Jones, Professor in the Department of Biology, studies nocturnal animals. To better observe their behavior, Dr. Jones recently purchased a thermal imaging infrared camera. Since the camera cost less than $5,000, his administrator purchased it with the P-card. The camera was delivered to Dr. Jones’ lab 2 weeks after it was ordered. Dr. Jones collaborates closely with colleagues at Imperial College in London, and the University of Shanghai (a former post-doc of Dr. Jones, Dr. Xuan, leads the Shanghai research team). Dr. Jones has an interest in studying some nocturnal animals that are unique to China. His colleagues in Shanghai have invited him to attend a symposium and give a key note. Dr. Jones plans to stay an extra two weeks in Shanghai so that he can observe these unique nocturnal animals. He travels to Shanghai with his thermal imaging camera and his laptop. After the symposium, Dr. Jones, Dr. Xuan, and two other colleagues travel to the country side outside Shanghai to observe and film the nocturnal animals. Two weeks later, Dr. Jones travels to London where he meets with his collaborator from Imperial College, Dr. Wellington. While there, he discusses his recent observations in China with Dr. Wellington’s lab. He shows the camera and discusses some of the clips he has filmed. Dr. Wellington and his lab team, which includes an Iranian and a Russian post-doc, provide useful feedback. After a short stay in London, Dr. Jones returns home to the U.S. Why might the University’s export control officer be less enthusiastic about Dr. Jones’ international research trip?

12. Example 2 – Venus/NASA Quentin Venus, an Associate Professor in the Department of Earth, Environmental and Planetary Sciences, works on the Mars Mission project and has two NASA research grants that focus on high wind impact on Mars. For his research, he uses a special software to help with impact modeling. The software is owned by NASA but, in connection with the two research grants, they are giving Professor Venus the software for free. Before he can download the software onto his laptop, however, NASA sends him an agreement for signature. In addition, the agreement also requires that Professor Venus confirm that he is a U.S. citizen. Somewhere in the small print it also states that Professor Venus must comply with applicable export control laws and request permission from NASA prior to allowing anybody else access to the software. Professor Venus, who is a U.S. citizens, briefly scans the agreement and then signs it. Professor Venus currently has one Ph.D. student working with him on these projects. The student, who is a U.S. citizens and who is graduating in December, has been using the software but always under Professor Venus’ supervision. Thanos is a new first year Ph.D. student who has come to Brown from Greece. He is extremely smart and has expressed an interest in working with Professor Venus. Given that his current Ph.D. student is about to graduate, Professor Venus would like to start working with Thanos. He believes that Thanos will make substantial contributions to his projects and, ultimately, to the Mars Mission 2020. How should Professor Venus proceed?

13. Example 3 – Liu/Visiting Scholars Peter Liu is a Professor in the Department of Physics and the Department of Engineering. He works in thermodynamics and is supported by several NSF grants. Every year, Professor Liu is hosts a group of visiting physics scholars from a partner university. This year, the group is visiting from the University of Shandong and is comprised of 5 Physics Professors and 2 Engineering Professors. The group enjoyed two full days of seminars and lectures; they also toured the campus, visited Providence, Boston and Newport. At the end of the visit, Dr. Liu and his colleagues in Physics and Engineering host a reception for the visitors. At the reception, hosts and visitors engage in an exciting conversation which lead to a request by the visitors to tour some labs. The hosts agree and, since some of the labs are located in the same building, take the visitors on a tour around some Physics and Engineering labs. One of the labs to be toured has a license from the Department of Commerce to allow a Chinese graduate student to work on certain equipment in the lab that is controlled under the EAR. The Professor who runs this lab thinks it’s OK to show the Chinese visitors around because they won’t be operating any of the controlled equipment. He also figures that since he already has a license for a Chinese foreign national, it’s OK to bring other Chinese nationals into the lab. Does this seem reasonable?

14. Example 4 – Olive/Restrictions Carter Olive, Assistant Professor in Chemical Engineering, received a new research grant from the Department of Defense (DoD) to investigate new materials that can reflect heat and are able to sustain pressure impact. The grant has no publication or other restrictions and thus fits squarely within the fundamental research exemption. Professor Olive recently learned from his DoD grant officer that there is a consortium of private companies and research institutes working on similar research. Both he and his DoD grant officer think that Professor Olive should join this consortium as it would benefit his research. The DoD grant officer makes the necessary introductions. Two days later, Professor Olive receives the consortium’s Non-Disclosure Agreement. It stipulates that the information shared is confidential and cannot be published without explicit agreement from all members of the consortium. It further stipulates that some information being shared may be subject to export controls. Professor Olive signs the agreement but asks you whether this needs to be sent to the Chair for review. What should you advise Professor Olive to do?

15. Example 5 – Madani/Iran Laleh Madani is a graduate student in the Department of Anthropology. She grew up in California but is a dual US/Iranian citizen. Laleh is in her 2nd year of the Ph.D. program. She is proposing to conduct her field work in Iran. She is interested in exploring how Iran’s new health policy on contraceptives affects young women’s attitudes towards sex and marriage. She plans to interview young women, health workers, clerics, and officials from the Department of Health. She will be starting her field work in September. Laleh asks you to help her with the travel preparations, in particular, registering with the University’s SOS program. What else might you advise her to do?

16. Example 6 – McAvoy/Explosives Gordon McAvoy is an Associate Professor in Chemistry and Engineering. His research works explores photoacoustic effects of explosives. Professor McAvoy has one NSF and one DoD grant. None of these grants contain research or other restrictions. Professor McAvoy is able to publish freely. The work under his DoD grant, which is a subcontract from the Applied Physics lab, seeks to model expected acoustic response to thermobaric explosives. Professor McAvoy’s lab includes graduate students from China, Iran, Lebanon, France, and Canada. Under the DoD grant, Professor McAvoy also collaborates with a junior colleague, Huan Zhang, Assistant Professor in Engineering. Professor Zhang is listed as a co-investigator on this grant. Does this research and involvement of foreign collaborators raise any red flags?

17. Example 7 – Trombone/Conference Professor John Trombone is the Chair of the Department of Music. His research focuses on late 19th century composers from Latin America and the Caribbean. He has been invited to present a paper at an international conference in Havana, Cuba. The two-day conference is co-organized by the University of Havana and the University of Miami. Professor Trombone is excited about presenting his paper at this conference. Having never been to Cuba, he thinks that this is a great opportunity to stay an extra week to explore Havana and travel around the island after the conference has ended. Professor Trombone asks you for help with the travel arrangements and researching travel destinations outside of Havana. Should you really be spending your time researching vacation spots in Cuba?