export control regulations - university of vermont...export control regulations are of special...
TRANSCRIPT
-
Export Control Regulations
Victoria Jones
Research Compliance Officer
April 25, 2019
-
What are they?
The U.S. Government controls exports of sensitive equipment, software and technology as a means to
promote :
and
our foreign policy objectives.
our national security interests,
-
How can UVM be at risk?
Restricted Technology
Restricted Equipment
Foreign collaborations
International Field Research
Restricted Research ?
Large Foreign Population
Engineering school
Industry collaborations
Biological, Chemical, Materials and Nuclear Energy
Research
Department of Defense Funding
-
Potential Sanctions
Disciplinary action by university toward responsible individual
Civil & Criminal penalties levied against individuals & organizations:
Criminal: up to $1 million and/or 20 years imprisonment, per violation
Civil: up to the greater of $250,000 or twice the value of the transaction, per violation
Bad Press
Loss of research funding
-
The Roth Case – University of Tennessee
When a Professor Went to Prison
On January 18, 2012, John Reece Roth, a former professor of Electrical Engineering at the University
of Tennessee (UT) in Knoxville, began serving a four-year prison sentence for his September 2008
convictions.
Roth received this sentence for illegally exporting military technology, in large part due to his work
with graduate students from Iran and China.
Although, Roth claimed he was ignorant of the regulations, the prosecution pointed out that he was
warned on a number of occasions, including by university counsel, that the technology may have been
controlled.
-
Background
Three primary departments oversee Export Control Regulations:
-the Department of State (through DDTC);
-the Department of Commerce (through BIS); and
-the Department of Treasury (through OFAC).
-
What items are export controlled?
-
Background
The Department of Commerce issued
the Export Administration Regulations (“EAR”)
which lists export controlled items in
the Commerce Control List (“CCL”).
-
BackgroundThe Commerce Control List (“CCL”)
is divided in 9 categories
and covers both:
-purely commercial items/activities, and
-items/activities that also have a military or proliferation application.
-
Background
The Department of State issued
the International Traffic in Arms Regulations (“ITAR”)
which lists export controlled products and services in
the U.S. Munitions List.
-
BackgroundThe U.S. Munitions List.
is divided in 21 categories:
-
Here are some examples of items that is export controlled:
• satellites,
• gas turbine engines,
• drones (unmanned aerial vehicles [UAVs])
• imaging systems
• underwater autonomous vehicles
• laptops containing encryption (for instance, if there is an antivirus system installed by UVM on your computer to protect it
• Lasers
• atmospheric sensor detecting hurricanes, or an accelerometer
• GPS devices
• Pathogens
• source codes not publicly available
• Facial recognition systems
And also: chemicals, night vision technology, sonar and radar systems, navigation systems, propulsion systems, toxins,
telecommunication equipments,
Most sensitive departments:
engineering, physics, chemistry, marine and atmospheric sciences, bio-informatics, and nanotechnology
-
When is there a risk?
are released
visually –including in writing-,
auditory,
verbally or
electronically,
export controlled items, [or information about them]
When
to a foreign person or a foreign country.
-
Export Control regulations are of special interest when one:
• Ships items internationally;
• Travels outside of the United States;
• Has foreign national(s) participate in research;
• Collaborates with a researcher or institution from outside the United States [+conference];
• Works on a project that has contractual restrictions on publishing, proprietary information,
or foreign national participation or that specifically includes export control rules as a
condition of the award;
• Receives military or space related information, technical data, equipment or software;
• Researches subjects related to nuclear, chemical, biological, weaponry, missiles, unmanned
vehicles, or encryption technologies.
-
If an item/service is export-controlled
in relation to these activities,
an Export license may be needed.
-
The Deemed Export License
-
An other kind of license may be required for
the release of
-technology or
-source code
subject to the EAR
to a foreign national located in the United States:
-
Foreign National
a permanent resident alien (i.e. greencard holder);
Anyone who is not a U.S. person, i.e. who is not:
a company incorporated in the U.S.
a U.S. citizen;
a “Protected Person” (political asylum holder); or,
In particular, an individual with a temporary
immigration visa (B, H, O, J, L) is a foreign national.
-
The Scope
EAR : "technology" that is "required" for the "development",
"production", or "use“ of an export-controlled item/service.
-
The Scope
ITAR:
Similar with a specification, i.e. it includes:
blueprints, drawings, photographs, plans, instructions or
documentation.
-
Exclusions:
All technology in the United States is subject to the EAR except for the
following:
-technology under the jurisdiction of another agency,
-printed books
-publicly available technology
-technology that has been or will be published
-technology that arises during or results from fundamental research,
-educational technology
-technology in certain patent applications.
-
One exclusion:
Fundamental Research
-
Publically available / Public domain
Fundamental Research is
basic and applied research in science and engineering,
the results of which ordinarily are published and shared broadly with the scientific community
Which means:
No restriction on publication
No restrictions on the use of foreign citizens (i.e. no access to ITAR items and technical data)
No specific national security controls on the research or results
No restricted information or software code from third parties such as commercial vendors ([SBIR?]
IMPORTANT: if researches are not free to share results or make the information available to others it
is not considered “fundamental research”.
The outcome of the Research is protected under the FRE. Not the conduct.
-
Blocked parties
-
The Department of Treasury issued
-the Trading with the Enemy Act
-The International Emergency Economic Powers Act
-etc…
which provides a list of
Specially Designated Nationals and Blocked Persons,
as well as a list of embargoed countries.
-
Departments:
What could be done?
Report to Victoria any situation involving equipment that has a international component
Avoid publication and foreign personnel restrictions in award
Report to Victoria any contract or grant with the Department of Defense
Work on better awareness across the department of our Export Control obligations
Have an inventory of equipment and assess what is Export Controlled
Work on establishing Technical Control Plans
Understand who within the Department would be considered as “Foreign
Nationals”. Understand what Foreign Nationals have access to.
Establish procedures for shipping items, to make sure all required licenses are in place
-
Questions?
-
Bonus slides / info