Understanding Export Controls: A Guide for University Researchers, Slides of Law

Download Understanding Export Controls: A Guide for University Researchers and more Slides Law in PDF only on Docsity! Export Controls: An Overview Docsity.com What are Export Controls? •US laws that regulate the distribution to foreign nationals and foreign countries of strategically important technology, services and information for reasons of foreign policy and national security. Docsity.com Responsible Agencies •State Department • International Traffic in Arms Regulations (ITAR) •Commerce Department • Export Administration Regulations (EAR) •Treasury Department • Office of Foreign Assets Control (OFAC) •Other Agencies • DOE, NRC, DHS, Customs Docsity.com The Good, The Bad and The Ugly • In general export controls have little or no impact on most university research •May place restrictions on research and/or require a license, unless an exclusion applies •Violations lead to administrative, civil and criminal penalties Docsity.com The Good (Activities not Subject to EC) • Fundamental Research •Employment Exclusion (ITAR only) •Educational Information •Public Domain/Publicly Available Information •Humanitarian/Informational •National Security Controls Docsity.com Education Exclusion Applies when the information in question consists of general scientific, mathematical or engineering principles commonly taught in universities or information that is in the public domain. Docsity.com Public Domain/Publicly Available Information Applies when the information is already in the public domain and does not have restrictions on who may access. Docsity.com Humanitarian/Informational •Humanitarian Projects (OFAC) Country specific restrictions. • Information and Informational Materials Books, movies, music, etc. ‘in being’ at time of transaction. Docsity.com Penalties for Export Control Violation – Administrative penalties – Monetary fines – Jail time Docsity.com Administrative penalties •Termination of export privileges •Suspension and/or debarment from government contracting Docsity.com Monetary fines – Criminal Violations – EAR • Up to $1M per violation for a university or company • Up to $1M per violation for individuals – ITAR • Up to $1M per violation for a university or company • Up to $1M per violation violation for individuals – OFAC • Up to $1M per violation for University or company • Up to $1M per violation for individuals Docsity.com Who’s Who in Export Controls at UF – Empowered Official: • Dr. Tom Walsh, Director Sponsored Research and Compliance (352) 392-3516 – Export Control Legal Liaison: • Amy Hass, Assistant General Counsel (352) 392-1358 – DSR Export Control Contact: • Brandi Boniface, Assistant Director (352) 392-2369 • Mike Scian, Assistant Director of Compliance (352) 846-3533 Docsity.com DSR Export Control Strategy – Minimize the number of awards subject to export control – Ensure that cost of security for a sponsored project is borne by the Sponsor – Adequately protect those awards that have export control restrictions to prevent violations. Docsity.com UF Process (Step 1) Proposal Review – Identifying Items of Concern • Publication or Foreign national restrictions. • Proprietary/controlled information, materials or equipment provided by sponsor or third party. • International shipping of materials or equipment. • Sponsor is DoD, NASA, DOE, DHS, or a commercial entity. • Funding agreement has language specifying project is controlled and/or sponsor confirms project is subject to export controls. • Scope involves areas of concern (i.e., satellites, UAVs, AUVs, weapons, pathogens, explosives, detectors, military systems, space technologies, toxins, etc). Docsity.com My Project is Subject to EC, Now What? Actions Required for Your Sponsored Project • All persons working on the project must attend an export control training session • A Technology Control Plan (TCP) must be developed and executed • All persons on the project are aware of their obligations and comply with all conditions • PI monitors project to ensure compliance with TCP (including training and updates) Coordinate with DSR and General Counsel Docsity.com The Technology Control Plan – Technology Control Plan contains the following elements: • Institutional Commitment • Commodity Jurisdiction and Classification • Physical Security Plan • Information Security Plan • Personnel Screening/Training Policy • Self-Assessment Docsity.com Managing the Export Controlled Project – What can trigger an export control review? – What if an export control violation occurs? – What if I am contacted by an enforcement agency? Docsity.com