Export Control

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Export Control

• Presented by Research and Graduate Studies
• Elizabeth Peloso

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What is an Export?

• Shipment of goods out of the U.S.
• Electronic transmission out of the U.S.
• Release of technology to foreign Person

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Foreign Person or Entity

• Any Foreign government
• Any foreign corporation or group organized to do
  business outside the United States
• Anyone who does not have permanent resident
  status in the U.S.

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Purpose of Export Controls

• Anti-terrorism
• Prevent increased military potential of
  adversaries
• Prevent development of WMDs
• Comply with trade agreements

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Regulatory Environment

• Department of State
• ITAR (International Traffic in Arms)
• Department of Commerce
• EAR (Export Administration Regulations)
• Department of theTreasury
• OFAC (Office of Foreign Asset Controls)

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ITAR

• Weapons, items, and technology for military use
• Contracts with DOD

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EAR

• dual-use items
• Potential military use (e.g. missile guidance,
  avionics, GPS)
• May also apply to solely civil use items
• Depending on the end use/end user

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Fundamental Research Exclusion

• 734.8 (b) (1) University Based Research.
• Information resulting from basic and applied
  research in science and engineering conducted at
  an accredited institution of higher education in
  the U.S. that is ordinarily published and broadly
  shared within the scientific community.

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Implications

• Any contract with publication restrictions will
  be subject to controls
• Review vs approval
• Reasonable review periods

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Implications

• Any work conducted outside the U.S. will be
  subject to controls (even if all
  equipment/technology will be returned to the U.S.)

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Deemed Exports

• The transfer or disclosure (including visually or
  orally) of controlled technologies or
  technical data to a foreign entity or
  individual anywhere, including the U.S. (15 CFR
  734.2 22 CFR 120.17)

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• Technology specific information necessary for
  development, production, or use of a product
• Technical data information required for design,
  development, production, manufacture, assembly,
  operation, repair, testing, maintenance or
  modification of controlled articles

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Implications

• Foreign national staff (including students) may
  be deemed export if do not have permanent
  resident status/ full time employment.
• Visiting foreign national colleagues may be
  deemed export.

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What is EAR controlled?

• Nuclear materials and technologies
• Chemical and Biological materials
• Materials processing equipment
• Electronics
• Computers
• Telecommunications and Information Security
• Sensors and Lasers
• Navigation and Avionics
• Marine
• Propulsion Systems, Space vehicles, and related
  equipment

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EAR Product Groups

• Systems, equipment and components
• Test, inspection production equipment
• Materials
• Software
• Technology

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Examples of controlled items

• Nuclear Weapons
• Centrifuges
• High speed thermal cameras
• Mass spectrometers
• Vacuum pumps
• Biological Weapons
• Bacterial strains
• Coated valves and pumps
• Fermenters
• Presses

• Chemical Weapons
• Precursor chemicals
• Coolers/heat exchangers
• Mixing Vessels
• Missiles
• Composites
• Machine tools
• Filament winding Equipment
• Accelerometers
• Vibration test equipment

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Penalties for Violating Regulations

• 10/20 years imprisonment
• 250,000 fines
• Civil penalties of up to 120,000 per national
  security violation

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Hope for the Future?

• Deemed Export Advisory Committee recommendations
  (Dec, 2007)
• Overhaul system to narrowly define covered
  technologies
• Overhaul system for licensing

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How do we determine if Export Controls Apply?

• Materials being used in research
• Language of contracts
• Approval of personnel
• Restriction on publication

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Screening form
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Technology Control or Security Plan

• Details how project will protect from inadvertant
  disclosure to non-authorized individuals
• Examples encrypeted computer files, limited
  access to labs
• Responsibility of PI

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TCP Form
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Be Aware

• If you think any aspect of your research may be
  subject to export controls AND /OR you have
  deemed export concerns, please contact the
  research office.

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References

• www.udel.edu/research
• Elizabeth Peloso - email epeloso_at_udel.edu