Introduction to Export Controls Introduction The U.S. export - - PowerPoint PPT Presentation

▶
introduction to export controls introduction
SMART_READER_LITE
LIVE PREVIEW

Introduction to Export Controls Introduction The U.S. export - - PowerPoint PPT Presentation

May 21, 2023 204 likes •897 views

Introduction to Export Controls Introduction The U.S. export control system is based on several different laws Introduction The U.S. export control system is based on several different laws These laws are implemented through a

slide-1
SLIDE 1

Introduction to Export Controls

slide-2
SLIDE 2

Introduction

  • The U.S. export control system is based
  • n several different laws
slide-3
SLIDE 3

Introduction

  • The U.S. export control system is based
  • n several different laws
  • These laws are implemented through a

series of executive orders, regulations, and interagency agreements

slide-4
SLIDE 4

Principal Laws

  • Export Administration Act of 1979 (EAA)
  • International Emergency Economic Powers Act
  • Arms Export Control Act
  • Atomic Energy Act
  • Trading with the Enemy Act
  • United Nations Participation Act
slide-5
SLIDE 5

Export Controls, Sanctions and Embargoes Regulations

– EAR: Export Administration Regulations - US Department of Commerce – Bureau of Industry and Security

slide-6
SLIDE 6

Export Controls, Sanctions and Embargoes Regulations

– EAR: Export Administration Regulations - US Department of Commerce – Bureau of Industry and Security – ITAR: International Traffic in Arms Regulations - US Department of State – Office of Defense Trade Controls

slide-7
SLIDE 7

Export Controls, Sanctions and Embargoes Regulations

– EAR: Export Administration Regulations - US Department of Commerce – Bureau of Industry and Security – ITAR: International Traffic in Arms Regulations - US Department of State – Office of Defense Trade Controls – OFAC: US Department of Treasury - Office of Foreign Assets Control

slide-8
SLIDE 8

OFAC

  • OFAC prohibits:

– Payments or providing anything of value to sanctioned countries – Travel to and other activities with embargoed countries

slide-9
SLIDE 9

OFAC

  • OFAC prohibits:

– Payments or providing anything of value to sanctioned countries – Travel to and other activities with embargoed countries

  • In general, OFAC ‘trumps” export controls.
slide-10
SLIDE 10

Export Administration Act

  • Authorizes President to impose controls on

dual use goods for the following purposes:

– protect national security – promote foreign policy interests – implement international obligations – prevent shortages of goods domestically

slide-11
SLIDE 11

Export Administration Act

  • Authorizes President to impose controls on

dual use goods for the following purposes:

– protect national security – promote foreign policy interests – implement international obligations – prevent shortages of goods domestically

  • Controls are imposed and maintained by the

Department of Commerce in cooperation with the Departments of State and Defense, and

  • ther agencies.
slide-12
SLIDE 12

Basic Control Principles: Dual-Use Items

  • Controls goods, technology,
  • r software subject to U.S.

jurisdiction – U.S. goods wherever they are located – Foreign goods in the U.S. – Foreign made products containing U.S. parts & components – Technology

  • Export from the U.S.
  • Re-export from one

foreign country to another

  • Persons subject to U.S.

jurisdiction

slide-13
SLIDE 13

Scope of EAR/ITAR Controls

  • Equipment
  • Chemicals/toxins
  • Biologicals
  • Software code
  • Computers
  • Associated technology
slide-14
SLIDE 14

List of Controlled Items

  • EAR: Commerce Control List (CCL)
slide-15
SLIDE 15

List of Controlled Items

  • EAR: Commerce Control List (CCL)
  • ITAR: U.S. Munitions List (USML)
slide-16
SLIDE 16

Deemed Exports

  • The transfer of technology (EAR) or

technical data (ITAR) to a foreign national in the U.S. is “deemed” to be an export to that individual’s home country

slide-17
SLIDE 17

Deemed Exports

  • The transfer of technology (EAR) or

technical data (ITAR) to a foreign national in the U.S. is “deemed” to be an export to that individual’s home country

  • Deemed export is the primary challenge

that Universities face

slide-18
SLIDE 18

Exclusions

slide-19
SLIDE 19

Exclusions

  • Fundamental Research Exclusion
slide-20
SLIDE 20

Fundamental Research

  • As defined in NSDD 189:

“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.”

slide-21
SLIDE 21

Exclusions

  • Fundamental Research Exclusion
slide-22
SLIDE 22

Exclusions

  • Fundamental Research Exclusion
  • Public Information Exclusion
slide-23
SLIDE 23

Exclusions

  • Fundamental Research Exclusion
  • Public Information Exclusion
  • Educational Information Exclusion
slide-24
SLIDE 24

Exclusions

  • Fundamental Research Exclusion
  • Public Information Exclusion
  • Educational Information Exclusion

These are Exclusions, not Exemptions.

slide-25
SLIDE 25

Controls are

Country-Specific

slide-26
SLIDE 26

Terrorist Supporting Countries (T6)

  • Cuba
  • North Korea
  • Iran
  • Syria
  • Libya
  • Sudan
slide-27
SLIDE 27

Controls are

Person-Specific (Denied-Party Lists)

slide-28
SLIDE 28

PERSPECTIVE

slide-29
SLIDE 29

PERSPECTIVE

  • Universities know how to do compliance
slide-30
SLIDE 30

PERSPECTIVE

  • Universities know how to do compliance
  • Export control regs are no more complicated

than animal care regs

slide-31
SLIDE 31

PERSPECTIVE

  • Universities know how to do compliance
  • Export control regs are no more complicated

than animal care regs

  • We didn’t learn animal care overnight
slide-32
SLIDE 32

PERSPECTIVE

  • Universities know how to do compliance
  • Export control regs are no more complicated

than animal care regs

  • We didn’t learn animal care overnight
  • We don’t have to learn export control
  • vernight
slide-33
SLIDE 33

PERSPECTIVE

  • So we don’t have to be afraid of this
slide-34
SLIDE 34

PERSPECTIVE

  • So we don’t have to be afraid of this
  • But we need a plan!!
slide-35
SLIDE 35

What is UNC Charlotte doing?

slide-36
SLIDE 36

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
slide-37
SLIDE 37

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
  • CRO convened a task force
slide-38
SLIDE 38

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
  • CRO convened a task force
  • 8 people got up to speed
slide-39
SLIDE 39

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
  • CRO convened a task force
  • 8 people got up to speed
  • Questions put to other experts
slide-40
SLIDE 40

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
  • CRO convened a task force
  • 8 people got up to speed
  • Questions put to other experts
  • Consultant brought in for training
slide-41
SLIDE 41

What is UNC Charlotte doing?

  • CRO & GC went to basic workshop
  • CRO convened a task force
  • 8 people got up to speed
  • Questions put to other experts
  • Consultant brought in for training
  • Risk assessment

– (classification of equipment)

slide-42
SLIDE 42

Next steps

slide-43
SLIDE 43

Next steps

  • Present risk assessment and
  • perational options to executive staff,

deans, senior staff

slide-44
SLIDE 44

Next steps

  • Present risk assessment and
  • perational options to executive staff,

deans, senior staff

  • Develop policy
slide-45
SLIDE 45

Next steps

  • Present risk assessment and
  • perational options to executive staff,

deans, senior staff

  • Develop policy
  • Create implementation committee
slide-46
SLIDE 46

Next steps

  • Present risk assessment and
  • perational options to executive staff,

deans, senior staff

  • Develop policy
  • Create implementation committee
  • Develop procedures & processes
slide-47
SLIDE 47

Export Management System

slide-48
SLIDE 48

Export Management System

  • Designation of an institutional official
slide-49
SLIDE 49

Export Management System

  • Designation of an institutional official
  • Training & professional development
slide-50
SLIDE 50

Export Management System

  • Designation of an institutional official
  • Training & professional development
  • Awareness program
slide-51
SLIDE 51

Export Management System

  • Designation of an institutional official
  • Training & professional development
  • Awareness program
  • Record-keeping
slide-52
SLIDE 52

Export Management System

  • Designation of an institutional official
  • Training & professional development
  • Awareness program
  • Record-keeping
  • Internal assessment
slide-53
SLIDE 53

Export Management System

  • Designation of an institutional official
  • Training & professional development
  • Awareness program
  • Record-keeping
  • Internal assessment
  • Legal counsel
slide-54
SLIDE 54

Operational Considerations

slide-55
SLIDE 55

Operational Considerations

  • Review at proposal stage
slide-56
SLIDE 56

Operational Considerations

  • Review at proposal stage
  • Review at award stage
slide-57
SLIDE 57

Operational Considerations

  • Review at proposal stage
  • Review at award stage
  • Controls on visiting scientists & postdocs
slide-58
SLIDE 58

Operational Considerations

  • Review at proposal stage
  • Review at award stage
  • Controls on visiting scientists & postdocs
  • Student tracking
slide-59
SLIDE 59

Operational Considerations

  • Review at proposal stage
  • Review at award stage
  • Controls on visiting scientists & postdocs
  • Student tracking
  • Travel, accounts payable, purchasing
slide-60
SLIDE 60

Operational Considerations

  • Review at proposal stage
  • Review at award stage
  • Controls on visiting scientists & postdocs
  • Student tracking
  • Travel, accounts payable, purchasing
  • Handling of proprietary information
slide-61
SLIDE 61

Operational Considerations

  • Review at proposal stage
  • Review at award stage
  • Controls on visiting scientists & postdocs
  • Student tracking
  • Travel, accounts payable, purchasing
  • Handling of proprietary information
  • Software & encryption
slide-62
SLIDE 62

Operational Considerations

slide-63
SLIDE 63

Operational Considerations

  • Material transfer agreements
slide-64
SLIDE 64

Operational Considerations

  • Material transfer agreements
  • Taking or shipping items to a foreign country
slide-65
SLIDE 65

Operational Considerations

  • Material transfer agreements
  • Taking or shipping items to a foreign country
  • Performing defense services; 6.3 funding
slide-66
SLIDE 66

Operational Considerations

  • Material transfer agreements
  • Taking or shipping items to a foreign country
  • Performing defense services; 6.3 funding
  • Controlling technology on campus
slide-67
SLIDE 67
slide-68
SLIDE 68

Questions?

Contact John Jacobs UNC Charlotte Facility Security Officer 704-687-3046 fso@uncc.edu