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 series of executive orders, regulations, and interagency agreements
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
Export Controls, Sanctions and Embargoes Regulations – EAR: Export Administration Regulations - US Department of Commerce – Bureau of Industry and Security
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
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
OFAC • OFAC prohibits: – Payments or providing anything of value to sanctioned countries – Travel to and other activities with embargoed countries
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.
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
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 other agencies.
Basic Control Principles: Dual-Use Items • Controls goods, technology, • Export from the U.S. or software subject to U.S. • Re-export from one jurisdiction foreign country to – U.S. goods wherever another they are located • Persons subject to U.S. – Foreign goods in the U.S. jurisdiction – Foreign made products containing U.S. parts & components – Technology
Scope of EAR/ITAR Controls • Equipment • Chemicals/toxins • Biologicals • Software code • Computers • Associated technology
List of Controlled Items • EAR: Commerce Control List (CCL)
List of Controlled Items • EAR: Commerce Control List (CCL) • ITAR: U.S. Munitions List (USML)
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 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
Exclusions
Exclusions • Fundamental Research Exclusion
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.”
Exclusions • Fundamental Research Exclusion
Exclusions • Fundamental Research Exclusion • Public Information Exclusion
Exclusions • Fundamental Research Exclusion • Public Information Exclusion • Educational Information Exclusion
Exclusions • Fundamental Research Exclusion • Public Information Exclusion • Educational Information Exclusion These are Exclusions, not Exemptions.
Controls are Country-Specific
Terrorist Supporting Countries (T6) • Cuba • North Korea • Iran • Syria • Libya • Sudan
Controls are Person-Specific (Denied-Party Lists)
PERSPECTIVE
PERSPECTIVE • Universities know how to do compliance
PERSPECTIVE • Universities know how to do compliance • Export control regs are no more complicated than animal care regs
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
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 overnight
PERSPECTIVE • So we don’t have to be afraid of this
PERSPECTIVE • So we don’t have to be afraid of this • But we need a plan!!
What is UNC Charlotte doing?
What is UNC Charlotte doing? • CRO & GC went to basic workshop
What is UNC Charlotte doing? • CRO & GC went to basic workshop • CRO convened a task force
What is UNC Charlotte doing? • CRO & GC went to basic workshop • CRO convened a task force • 8 people got up to speed
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
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
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)
Next steps
Next steps • Present risk assessment and operational options to executive staff, deans, senior staff
Next steps • Present risk assessment and operational options to executive staff, deans, senior staff • Develop policy
Next steps • Present risk assessment and operational options to executive staff, deans, senior staff • Develop policy • Create implementation committee
Next steps • Present risk assessment and operational options to executive staff, deans, senior staff • Develop policy • Create implementation committee • Develop procedures & processes
Export Management System
Export Management System • Designation of an institutional official
Export Management System • Designation of an institutional official • Training & professional development
Export Management System • Designation of an institutional official • Training & professional development • Awareness program
Export Management System • Designation of an institutional official • Training & professional development • Awareness program • Record-keeping
Export Management System • Designation of an institutional official • Training & professional development • Awareness program • Record-keeping • Internal assessment
Export Management System • Designation of an institutional official • Training & professional development • Awareness program • Record-keeping • Internal assessment • Legal counsel
Operational Considerations
Operational Considerations • Review at proposal stage
Operational Considerations • Review at proposal stage • Review at award stage
Operational Considerations • Review at proposal stage • Review at award stage • Controls on visiting scientists & postdocs
Operational Considerations • Review at proposal stage • Review at award stage • Controls on visiting scientists & postdocs • Student tracking
Operational Considerations • Review at proposal stage • Review at award stage • Controls on visiting scientists & postdocs • Student tracking • Travel, accounts payable, purchasing
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
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