Export Controls: An Overview

Export Controls: An Overview

Academic Deans Meeting

March 10, 2009

The University of Florida acknowledges and appreciates Virginia Tech for granting UF permission to use, and alter their presentation on Export Controls for Virginia Tech Faculty and Principal Investigators

Export Controls: An Overview

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.

Export Controls: An Overview

What is an Export?

Transfer of controlled technology,

information, equipment, software or services

to a foreign person in the US or abroad.

An export to a foreign person in the US is

considered a deemed export.

Export Controls: An Overview

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

Export Controls: An Overview

The Main Message

The Regulations are complex and the

penalties can be severe.

When in doubt contact DSR.

Export Controls: An Overview

Typical University Exclusions

•Fundamental Research

•Educational Information

•Public Domain/Publicly Available Information

Export Controls: An Overview

Fundamental Research Exclusion

“Fundamental research” means 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.

per National Security Decision

Directive 189

Export Controls: An Overview

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.

Export Controls: An Overview

Public Domain/Publicly Available Information

Applies when the information is already in the

public domain and does not have restrictions

on who may access.

Export Controls: An Overview

Risk Areas

Many university activities are subject to

export controls and the exclusions may not

always apply.•Defense Contracts/Services

•International Projects

•Access to Controlled Equipment (ITAR v. EAR)

•Development

•Proprietary Research/Information

Export Controls: An Overview

Penalties for Export Control Violations

•Administrative penalties • Loss of US Gov’t funding/debarment

• Loss of export privileges

•Monetary fines• Up to $1 Million per violation

•Jail time• Up to 20 years per violation

Export Controls: An Overview

Why Does UF Care About Export Controls?

• Increasingly more University projects are subject to

export controls.

• Investigations and enforcement are on the rise.

•Recent Voluntary Disclosures by UF•Violation related to ITAR controlled information released via

a Department website

•Possible EAR/OFAC violation regarding computers to Cuba

Export Controls: An Overview

Recent Licenses/License Applications

•3 ITAR licenses received for equipment shipments

to Belize, Costa Rica and Spain. (DSR)

•2 EAR licenses and 1 application for shipping

materials/equipment overseas. (EHS)

• Institutional License from OFAC for certain types of

travel to Cuba. (UFIC)

Export Controls: An Overview

Other University Offices Involved

• UF International Center•Controls related to international travel

• Purchasing and Asset Management•Recording of controls on University assets

•Obtaining ECCN or USML category on purchases over purchasing

threshold

• Environmental Health and Safety•Shipping and transfer of controlled biologics and chemicals

• Office of the General Counsel•Assists export controls processes in an advisory role

Export Controls: An Overview

Closing

•Questions•Contact Information

Brandi Kay Boniface, MIBS, CRA Amy Hass, Esq.

Assistant Director for Research Assistant General Counsel

University of Florida University of Florida

McCarty Hall Bldg D 123 Tigert Hall

Gainesville, FL 32611-5500 Gainesville, FL 32611-3157

(352) 846-1501 (352) 392-1358

Boniface@ufl.edu amhass@ufl.edu

http://rgp.ufl.edu/research/compliance.html#conduct