Presentation Transcript

1. Fly America Act and Export Controls Sponsored Projects Administration 14 November 2013
2. Agenda Fly America Act Regulations Export Administration Regulations (EAR) International Traffic in Arms Regulations (ITAR) Foreign Assets Control Regulations Deemed Exports, Fundamental Research, and Controlling Access Export Controls Compliance at the University of Minnesota Consequences of Violations
3. Fly America Act Regulations Federal funds may be used to pay for flights only on U.S. flag carriers, unless an exception applies— Code-sharing arrangements; Open Skies Agreements; Matters of necessity. Certifications of exception may be issued only by the Export Controls and International Projects Officer. Noncompliant travel is not covered by federal project funds.
4. Export Administration Regulations (EAR) Administered by the Bureau of Industry and Security, U.S. Department of Commerce. Found at 15 Code of Federal Regulations, Parts 730-774. Prohibit the unauthorized export of— Dual-use goods and technologies (i.e., goods and technologies having both commercial and potential military uses) identified on the Commerce Control List (CCL); Items to restricted parties on the Entity and Denied Persons Lists; and Items for nuclear, missile, and chemical/biological weapons uses.
5. International Traffic in Arms Regulations (ITAR) Administered by the Directorate of Defense Trade Controls, U.S. Department of State. Found at 22 Code of Federal Regulations, Parts 120-130. Prohibit the unauthorized export or brokering of defense articles and defense services. Defense articles are military hardware and related technical data identified on the U.S. Munitions List (USML). Defense services consist of technical assistance, including training, in connection with defense articles. Much commercial space and satellite hardware, data, and services are subject to the ITAR.
6. Foreign Assets Control Regulations Administered by the Office of Foreign Assets Control, U.S. Department of the Treasury. Found at 31 Code of Federal Regulations, Parts 501-598. Financial sanctions regulations that prohibit unauthorized transactions with (a) embargoed countries and (b) entities identified on the Specially Designated Nationals (SDN) List. Embargoed countries currently include Cuba, Iran, North Korea, Sudan (North), and Syria. The SDN List is the U.S. Government’s official list of the bad guys—terrorists and terrorist organizations, drug kingpins and cartels, human rights abusers, entities of proliferation concern, etc.
7. Exports to Non-U.S. Persons in the U.S. Under both the EAR and ITAR, a transfer or disclosure of controlled technical data to a non-U.S. person while in the U.S. is deemed to be an export to that person’s country of origin—sometimes referred to as a “deemed export.” A non-U.S. person is anyone who is not a U.S. citizen, permanent resident, or asylee. Example: A German researcher is working at the University while in the U.S. on a J-1 visa. A transfer or disclosure of EAR- or ITAR-controlled technical data to this researcher is considered an export to Germany, and may require prior U.S. Government authorization.
8. Fundamental Research The information that results from fundamental research is excluded from the scope of EAR- or ITAR-controlled technical data, and may generally be shared with non-U.S. personnel without specific U.S. Government authorization. Defined as “basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community.”
9. Fundamental Research, cont. Confidential technical information received from an outside party, such as a government or company sponsor, is not covered by the fundamental research rule. Grants, contracts, and confidentiality agreements that include publication restrictions or provide that information is export-controlled are not consistent with the fundamental research carve-out. Terms that restrict publication or limit who can participate in the work can be agreed to only on an exceptional, case-by-case basis, per the University’s Openness in Research policy.
10. Controlling Access If the University agrees to accept EAR- or ITAR-controlled technical information, relevant project personnel must carefully control access by non-U.S. persons. For ITAR-controlled technology, all non-U.S. persons are affected. For EAR-controlled technology, access restrictions vary (e.g., anti-terrorism controls apply to only a few countries, while national security controls are very broad). If only the Primary Investigator needs access to the export-controlled technology, it may not be necessary to obtain Openness in Research Policy approval, but it is still necessary to control access strictly.
11. Export Control Responsibilities at the University Sponsored Projects Administration (SPA) is generally responsible for export controls compliance. The University’s Export Control Officer reports to the Associate Vice President for Research Administration (SPA), within the Office of the Vice President for Research. SPA works to identify and mitigate export control risks in grants and agreements. Principal Investigators and other project staff must comply with technical data segregation and security requirements. The Office of the General Counsel assists with legal advice, investigations, and co-ordination with outside firms and agencies.
12. When to Consult with SPA About Export Controls Whenever a sponsor tries to impose publication or personnel access restrictions on a research project. If a document from a sponsor refers to the EAR, ITAR, or export controls generally. Before handling any military, space, or satellite equipment subject to the ITAR. Before exporting any equipment, materials, or chemical or biological agents. Before traveling to Cuba, Iran, North Korea, Syria, or Sudan.
13. Consequences of Violations Violations of export control regulations can result in serious penalties, including— Multi-million dollar fines; Loss of federal contracts; Loss of export privileges; and Imprisonment for criminal (intentional) misconduct. Roth conviction. Violations may have additional consequences, such as— Damage to national security; Reputational harm; and Costs of investigations and related activities.
14. Resources Export Controls and International Projects Officer— Patrick Briscoe 612-625-3860 bris0022@umn.edu Fly America Act regulations— http://travel.umn.edu/flyamerica.php Export controls— http://www.ospa.umn.edu/export_controls.html