PAMS Export Control Page UTHSC

1. PAMS Export Control PageUTHSC Campus –Wide Business Managers Meeting May 17, 2012

2. Breakdown of Talk • Basic Intro • Office of Financial Assets Control (OFAC) • Export Administration Regulations (EAR) • International Traffic in Arms Regulations (ITAR) • Fundamental Research Exemption (FRE) • PAMS Export Control Page Guidance

3. Basic Introduction • Three main sets of regulations: • Office of Financial Assets Control (OFAC) • U.S. Department of the Treasury under the Under Secretary of the Treasury for Terrorism and Financial Intelligence • Export Administration Regulations (EAR) • Department of Commerce, Bureau of Industry and Security (BIS) • International Traffic in Arms Regulations (ITAR) • Department of State

4. OFAC • http://www.treasury.gov/about/organizational-structure/offices/Pages/Office-of-Foreign-Assets-Control.aspx • The economic and trade sanctions are based on: • U.S. foreign policy • National security goals • Sanctions are focused on financial transactions and services. • Specially Designated Nationals List (SDN) • Individuals, groups, and entities whose assets are blocked. U.S. persons are generally prohibited from dealing with the individuals, groups, and entities on this list. • Designated outside of country specific sanction programs. • Sanctions may prohibit travel and other activities with sanctioned or embargoed countries and individuals (depending on the terms of the sanction or embargo) even when exclusions to EAR or ITAR apply.

5. EAR • Regulate the export of items, materials, technology and software that is predominately civilian in nature, but may have military applications (commonly termed “dual-use”). • The EAR Database may be found at the following website: • http://www.access.gpo.gov/bis/ear/ear_data.html • The BIS maintains the Commerce Control List (CCL) within the EAR which lists items, materials, technology, and software subject to the export licensing authority of BIS. An alphabetical index to the CCL can be found here: • http://www.bis.doc.gov/policiesandregulations/ear/ccl_index.pdf

6. ITAR • Regulate the export of defense articles and technology. • Controlled goods and technology in the ITAR are listed in the US Munitions List (USML), which can be found here: • http://www.pmddtc.state.gov/regulations_laws/documents/official_itar/ITAR_Part_121.pdf

7. What is ‘Fundamental Research’? • Fundamental Research is defined in National Security Division Directive 189 as follows:  ‘Fundamental research’ means basic and applied research in science and engineering, 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. • Importantly, the Fundamental Research Exclusion applies only to the dissemination of research data and information, not to the transmission of material goods.

8. Instructions for Completing the PAMS Export Control Page

9. Instructions for Completing the PAMS Export Control Page For CDAs only, please mark "no" to any questions if you do not know the answer or do not yet know what product/technology may be involved. An Export Control web site has been created to assist with determining whether compliance issues exist. Questions about Export Control Regulations at UTHSC should be directed to Martha McCool (exportcontrol@uthsc.edu) at 901-448-1264.       * Indicates Required Fields   *Does the research technology involve potential military application or defense technology, software, or other defense articles listed on the United States Munitions List (USML) under the International Traffic in Arms Regulations (ITAR)? For further guidance, please refer to "Export Control Laws and Governing Agencies". Yes      No

12. Instructions for Completing the PAMS Export Control Page *Will the research require travel to foreign countries?     Yes      No   If yes, please list the name(s) of the country(ies): If the research will require travel to foreign countries for collaborations, presentations, or talks, please indicate ‘Yes’. If there is a high probability that the research will require travel to foreign countries, however the plans have not yet been finalize, please indicate ‘Yes’ and write ‘Pending’ in the blank.

13. Instructions for Completing the PAMS Export Control Page *Is any member of the research team a foreign national? (click here for definition). For further clarification of who is classified as a foreign national, please refer to "Export Control Overview".   Yes      No If yes, please list the name(s) of the country(ies): If any member of the research team is a foreign national, please indicate ‘Yes’, and include their name in the Investigators/Research Team section. If there is a high probability that a foreign national will be joining the research team, but has not yet been hired, please indicate ‘Yes’ and either write ‘Pending’ in the bank or the potential new employee’s country of origin if known.

14. Instructions for Completing the PAMS Export Control Page *Does the research involve technology or equipment with a strong potential dual-use (civilian and military) application listed on the Commerce Control List (CCL) under the Export Control Regulations (EAR)? Please refer to "Export Control Laws and Governing Agencies".   Yes      No This question is asking if you will be using any items and/or information listed on the CCL. Items and technology listed on the CCL may need an export license in order to be shared with foreign persons. It is the responsibility of the Principal Investigator (PI) to review the CCL and determine if any of his/her research materials or technology is on this list. It is the PI’s responsibility because he/she knows the research the best and can best determine if an item falls under the EAR.

15. Instructions for Completing the PAMS Export Control Page * Does the research address Homeland Security concerns or spacecraft technology (U.S. Government)?   Yes      No Research that addresses Homeland Security concerns or spacecraft technology has a high probability of involving export controlled materials and technology. Also, certain funding agencies, such as the Department of Defense (DOD), that are involved in addressing Homeland Security concerns or advancing spacecraft technology may have a more restrictive export control clauses within their contracts. PI’s should carefully review such clauses, since they may contain restrictions on publications and foreign national involvement.

16. Questions ???