export control training presentation - Florida Institute of Technology

Export Control Laws Training
Presentation
FLORIDA INSTITUTE OF TECHNOLOGY
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Why Be Concerned with Export Control Laws
Certain export control laws may apply to FIT research
activities here and abroad.
Failure to comply may result in serious criminal and
civil penalties for both FIT and individual researchers
Federal Government has increased enforcement and
investigations of universities since 9/11/2001
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What are Export Control Laws
Export control laws (ECL) are U.S. federal laws
and regulations that regulate the export of
strategically important products, services and
technologies to foreign persons.
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Who/What Is A Foreign Person
Any foreign government;
Any foreign corporation or organization that is not
incorporated or organized to do business in the U.S.;
Any individual who is not a U.S. citizen or lawful
permanent resident of the U.S. (green card holder)
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What is an Export
Transfer of controlled technology, information,
equipment, software or services to a foreign
person in the U.S. or abroad by any means.
For example:
actual shipment outside the US
visual inspection in or outside the US
written or oral disclosure
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Recognize Potential Export Control Issue
Seek Guidance
Export control laws are not intuitively obvious.
All FIT researchers are ultimately responsible for
their own individual compliance.
At a minimum, researchers need to know how to
recognize that an export control issue may exist,
and then whom to contact at FIT for assistance.
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Recognize Potential Export Control Issue
Seek Guidance
This presentation is a summary designed to provide
sufficient information for researchers to be able to
spot export control issues.
Contact information for FIT export control experts
and links to online resources appears at the end of
this presentation.
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The Intent of Export Control Laws
Restrict exports of goods and technology that could
contribute to the military potential of adversaries
Prevent proliferation of weapons of mass
destruction (nuclear, biological, chemical)
Prevent terrorism
Comply with U.S. trade agreements and trade
sanctions against other nations
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Export Control Laws and Their Federal
Agencies
State Department: International Traffic in Arms
Regulations (ITAR).
Commerce Department: Export Administration
Regulations (EAR).
Treasury Department, Office of Foreign Assets
Control (OFAC).
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International Traffic in Arms Regulations
“ITAR”
Covers controlled technologies of an inherently
military nature
Exporters of defense services or related technical
data are required to register with the federal
government and may need export licenses.
List of ITAR controlled technologies (“Munitions
Control List”) is available through the Research Dept.
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ITAR’s MCL includes equipment with potential
Non-Military Applications
Example 1: Vaccines, antidotes and medical
diagnostics specifically designed to protect against or
counter chemical and biological warfare agents
Example 2: Powerful explosives, propellants and
incendiary agents (including, e.g., propellants having
a force constant of more than 1,200 kJ/Kg)
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ITAR’s MCL Includes Equipment With
Potential Non-Military Applications
• Example 3: Global Positioning System (GPS)
that can operate at speeds in excess of 515
m/sec (1,000 nautical miles/hours) and at
altitudes in excess of 18 km (60,000 feet) or
designed or modified for use with unmanned
air vehicles
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Technical Data Regulated By ITAR
Technical Data -- information required for the design,
development, production, manufacturing, assembly,
operation, repair, testing, maintenance or modifications
of defense articles on the MCL -- are regulated by ITAR.
Examples of Technical Data:
Blueprints, drawings, plans, instructions, diagrams,
photographs.
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Technical Data Regulated By ITAR
• Technical Data Exclusion: “Technical Data”
does not include information concerning
general scientific, mathematical or
engineering principles commonly taught at
universities or information in the public
domain.
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Export Administration Regulations (EAR)
EAR covers equipment, materials and other
technologies with both commercial and military
applications, the so called “dual use” technologies.
(e.g., chemicals, satellites, software, computers, etc.)
EAR’s list of controlled technologies is called the
Commodity Control List (CCL) and is available
through the Research Department
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Office of Foreign Assets Control (OFAC)
Regulations
OFAC enforces economic and trade sanctions against
specific foreign countries, terrorists, international
narcotics traffickers, and those engaged in weapons
of mass destruction proliferation.
Countries currently sanctioned are the Balkans,
Burma, Cuba, Iran, Iraq, Liberia, Libya, North Korea,
Sudan, Syria, and Zimbabwe.
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Sanctions Enforced By OFAC
Sanctions may restrict:
Payments (compensation, honoraria, contracts) to
embargoed countries/nationals/entities
Attendance at/planning of international
conferences
Surveys and services to embargoed
countries/nationals/entities
Editing or joint authorship of articles with
nationals of sanctioned countries
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OFAC Enforces Country-Specific Sanctions
Programs
Before traveling to a sanctioned country, or trading
with or providing services to persons in sanctioned
countries, individuals must first educate themselves
on the specific sanctions program for that country to
determine whether such transactions are permitted.
OFAC’s website contains up-to-date information on
each of the sanctions programs
http://www.treas.gov/offices/enforcement/ofac/
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Potential Impact of Export Control Laws on
FIT Research
If a FIT research project involves controlled technologies,
the researcher may be required to obtain a government
license before:
Equipment, chemicals or technologies subject to EAR
or ITAR may be sent or taken outside the U.S.
Foreign researchers or students – even if located in
the U.S. on FIT’s campus – may participate in research
involving equipment, chemicals or technologies
subject to EAR or ITAR (known as a “deemed export”)
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General Rule
General Rule: FIT faculty and employees may not
send or take export-controlled equipment,
chemicals or technologies to foreign persons
without a license from the U.S. Government, unless
an exclusion applies.
Fortunately, the majority of research at FIT will be
covered under an exclusion to the ECL requirements.
What are the exclusions?
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Exclusions from Export Control Laws
Public Domain Exclusion (ITAR, EAR)
Education Exclusion (ITAR, EAR)
Employment Exclusion (ITAR only)
Fundamental Research Exclusion (ITAR, EAR)
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Public Domain Exclusion
No license is required to export or transfer information
and research results that are generally available to the
interested public through:
Libraries, bookstores, or newsstands,
Trade shows, meetings, seminars in the U.S. open to
the public,
Published in certain patent applications, or
Websites accessible to the public.
Note: the public domain exclusion applies to information
and research results -- not physical equipment,
substances, etc. 22

Education Exclusion
No license is required to transfer information to
students, including students who are foreign
nationals, concerning general scientific,
mathematical or engineering principles commonly
taught in school, colleges or universities.
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Employment Exclusion
No license is required to share information subject to
export control laws with a foreign national if the
foreign national:
is a full-time, bona-fide employee of the
University;
is not a national of certain countries of concern;
has a permanent address in the U.S. while
employed at the University; and
has been informed in writing not to transfer the
information to other foreign nationals.
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Fundamental Research Exclusion
No license is required for fundamental research,
defined as basic or applied research in science or
engineering
at an accredited institution of higher learning in
the U.S.; and
resulting information is ordinarily published and
shared broadly in the scientific community.
Fundamental research is to be distinguished from
research the results of which are restricted for
proprietary reasons.
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The Fundamental Research Exclusion
Is Destroyed if:
The University accepts any contract clause in the
sponsored research contract that:
Gives the sponsor the right to withhold from
publication information resulting from the
research;
Forbids the participation of foreign nationals; or
Otherwise operates to restrict participation in
research and/or access to and disclosure of
research results.
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University Policy is to Protect Fundamental
Research Exclusion
By refusing to accept research contract provisions
that:
limit the researcher’s right to publish or present
research results (a limited prepublication review by
sponsor is ok); or
limit access or participation in the research by foreign
nationals.
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Applying for and Obtaining an Export
Control License
The process of determining if a license is required
takes time.
After applying for a license, it can take several
months to obtain a license from the Commerce or
State Department.
Contact FIT’s Research Department with as much
lead time as possible for help.
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Laptop Baggage Exception for Temporary
Export
Faculty and students who need to take their laptops
out of the country in connection with university
fundamental research may do so under the baggage
exception for temporary export so long as:
the country of travel is not under U.S. sanctions;
the laptop is a "tool of trade“; and
the laptop remains in their possession and control
at all times.
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University Contact for Export Control
Questions and Assistance:
John P. Politano Jr
Assistant Vice President for Research
Director, Office of Sponsored Programs
Email: jpolitan@fit.edu
Phone: 321-674-7239
Address: Crawford Bldg, room 505
Additional FIT Export Control Information located at:
http://www.fit.edu/research/osp/
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