Export Controls Marci Copeland Office of Research Export

Export Controls Marci Copeland Office of Research Export Control Administrator

Agenda • • • Why is Awareness Important? What Are Export Controls? What Is Your Involvement? Tools Where Do You Go For Help?

Why is Awareness Important? Maintain academic freedom of university environment including freedom from restrictions based on nationality. Violations can result in administrative (fines) and criminal (jail time) penalties.

What are export control regulations? AGENCY: U. S. Department of State, Directorate of Defense Trade Controls (DDTC) Regulations: International Traffic in Arms Regulations (ITAR) U. S. Munitions List (USML) AGENCY: U. S. Department of Commerce, Bureau of Industry and Security (BIS) Regulations: Export Administration Regulations (EAR) Commerce Control List (CCL) Denied Persons List Entity List AGENCY: U. S. Department of the Treasury, Office of Foreign Assets Control (OFAC) Sanctions programs Specially Designated Nationals List

AGENCY: U. S. Department of State, Directorate of Defense Trade Controls (DDTC) Regulations: International Traffic in Arms Regulations (ITAR) U. S. Munitions List (USML) • • • Firearms Artillery Projectors Ammunition Launch Vehicles, etc. . . Explosives, Propellants, Incendiary Agents and Their Constituents Vessels of War and Special Naval Equipment Tanks and Military Vehicles Aircraft and Associated Equipment Military Training Equipment Protective Personnel Equipment • • Military Electronics Fire Control, Range Finder, Optical and Guidance and Control Equipment Auxiliary Military Equipment Toxicological Agents and Equipment and Radiological Equipment Spacecraft Systems and Associated Equipment Nuclear Weapons Design and Related Equipment Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated Submersible Vessels, Oceanographic and Associated Equipment

AGENCY: U. S. Department of Commerce, Bureau of Industry and Security (BIS) Regulations: Export Administration Regulations (EAR) Commerce Control List (CCL) 0 - Nuclear Materials, Facilities and Equipment and Misc. 1 - Materials, Chemicals, Microorganisms and Toxins 2 - Materials Processing 3 - Electronics 4 – Computers 5 - Telecommunications and Information Security 6 - Lasers and Sensors 7 - Navigation and Avionics 8 - Marine 9 - Propulsion Systems, Space Vehicles and Related Equipment

AGENCY: U. S. Department of the Treasury, Office of Foreign Assets Control (OFAC) Sanctions programs Specially Designated Nationals List * Cuba, Iran, North Korea, Sudan, Syria

The Fundamental Research Exclusion (FRE) Fundamental research is "basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U. S. Government access and dissemination controls. " Publish Share broadly

What Does the FRE Cover? ( Export of items Export of technology & technical data • Mass Spectrometers • Chromatography equip. • Infrasound sensors • Oscilloscopes Fundamental Research Exclusion (FRE) Deemed Exports Travel to and work involving sanctioned countries Cuba, Iran, North Korea, Sudan, Syria End-Use & End-User Restrictions (EAR/ITAR)

AA Form Questions should be presented to and answered by the PI. Proposals with “yes” to any of these questions are automatically flagged for export control review at the award stage.

New H 1 -B visa application requirement effective 02/20/2011 Check Box 1 or Box 2 as appropriate: With respect to the technology or technical data the petitioner will release or otherwise provide access to the beneficiary, the petitioner certifies that it has reviewed the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) and has determined that: q A license is not required from either U. S. Department of Commerce or the U. S. Department of State to release such technology or technical data to the foreign person; or q A license is required from the U. S. Department of Commerce and/or the U. S. Department of State to release such technology or technical data to the beneficiary and the petitioner will prevent access to the controlled technology or technical data by the beneficiary until and unless the petitioner has received the required license or other authorization to release it to the beneficiary.

New H 1 -B visa application requirement effective 02/20/2011

New H 1 -B visa application requirement effective 02/20/2011

Export Control Tools Policy/Guidelines http: //www. policies. uci. edu/adm/procs/400/480 -20. html Decision Tree http: //apps. research. uci. edu/ecdt/ OR Export Control Listserv or-exportcontrols-subscribe@department-lists. uci. edu

Export Control Resources OR export control website http: //www. research. uci. edu/ora/exportcontrol/ BIS online training http: //www. bis. doc. gov/seminarsandtraining/seminar-training. htm

Where to go for help? Compliance and licensing issues Marci Copeland Export Control Administrator E-mail: m. copeland@uci. edu Questions related to sponsored research Ben Holstein Principal Contract and Grant Officer E-mail: ben. holstein@uci. edu Matters related to educational activities Cuba Padona Yeung (510) 987 -9478 Padona. Yeung@ucop. edu