Title: Export controls for researchers and staff at the University of Florida
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 Material Information
Title: Export controls for researchers and staff at the University of Florida
Physical Description: Book
Language: English
Creator: Office of Research, University of Florida
Publisher: Office of Research, University of Florida
Place of Publication: Gainesville, Fla.
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Bibliographic ID: UF00090023
Volume ID: VID00001
Source Institution: University of Florida
Holding Location: University of Florida
Rights Management: All rights reserved by the source institution and holding location.

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~C.C














What is n Export
Who Cotrols export


What Tchnoloies ae Resticted










WhatI is an ""Export fI f?0~ II

)I~ILY II ; (I T AR 22CFR 120.17; EAR 15 CFR 734.2(b))IIII r~~l I IIII

Senin o tkig n rtcl ou o te .S ecet y er



personal knowledge., or transferring registration, control, orr II III r~ I



ownership in the U.S.;II1(~c II~I~c~ll(~ll III(LI

Dislosng(including oral or visual disclosure controlled((



















International Traffic in Arms~~I~ ~1 III (IT AR)~lr








Wht ehnlois r Cntole b TA?
U.S. Munitions Lst(22 CFR 121
There re 21categries f techologis conrolle


by he S MnitonsLis uner TAR A ampe o


the categries is a follows









ITARE U.S Muntion Lis

(22 CFR 121 contf~d)

XI FreCntol ane ide, picl n

Gudnc ndCnto Eupmn

XI TxiolgialAgnt, ncudngChmia







IT RUS untosLs




(22 CFR 121 cont(d

XVIIClasifid Atices, echicalDat an

DefenseServics Not Oherwis








What echnlogis areContolle




Miscellaneousl~~ll(ll

1 Material, Chmical, Miroorgnism and oxin

2 Materials Processingll~ll lr;II(



3 lctoic esg,,Dvlomntad rduto






Why Does the University of Floridai









Conro Laws

















ITAR: (Individuall andEntty









VioatinsandPealtes(cot.
EAR:I1II~ IIL ~-II


Criminal(~cl FiesEnites <$1 o 5 vlu o

export(c~ ( rl( I 1
Criinl ine/Idiidal:< 25K ad r 1



years in prisonc'i









"U.S. Person"^meansl l-Prlsons usually (butnot
^^^^^^fU.S.citizens'TyTPiiB



(Green Card)L'LI (8 USC 1101(a)(20))
Other "ProtIceId Individuls"nde
a tempo^rary reidentunder mnest
^^^^^EBroiEsionsBB
Any etity ncororate to d busness n th
^^^^^^^iia~RKU.S.i~ff






















B S~c I I
Who are Foreign Persons/
Fore11II Iign Nationals? `II~ II L (























FTE atU.S. nstittions f higer leering

With permnent bode n th Uitd taesthouhot h










Deemed ExportI ~~I ~~~ 1~ II~ I~ 1~~ ~
ITAR: ""Export"" includes ""disclosingI~ I~I~II I (including oral o
visual disclosure) or transferring technical data to a~~ -~111

foreign i ~~ er on,, whether ~I in the U.S. or abroad."" and r rlrl r~
""prfrmnga efns srvceonbeal o, r orth


beneit o,, aforegn prso,, wethe in he Uite

States orabroad"" ITAR 22 FR 120.7(4)&(5)








ia Daa and De me ax a



(ITAR) (22 CFR 120.10)

(1) "Information ... required for the design, development production,



mauacue aseby oprtin rear tsig aineanc or



moiicto ofg defns arils ahsicue inomto in theg
douetain .. sofwr diecl reltin to defense
articles ... including] buI t ... not lmited to he systemfunctiona
design, logic flow, algorithms, application programs, operating I IIII I




systems and support oftware for design, mplementation, test
operation, diagosis and repair

(2) Cassifed iformaion elatig to efene artclesand dfens
services;(~~(
(3)l~l~ Infomaioncoere b aninentonsecec orer


















""The furnishing of assistance (including training) toI II




foreig ersos,, wetherin th Unitd Staes orabroa









TecnolgyandDeeedExprt

I ~ I))1I~IL) L~~I ~ (EAR)1 c~~)It1))LI




As defined by EAR 15 CF11IItR 772: Z~ ~r IIII~I II~ I I
"Technology"" is specific information necessary for thellll L~~~1 I (t~










5~1~i~ ~ 3 1 I (22 CFR 126. 1)i

Exports of ITA-restricted dfense article
and technical data to ny forein country
or orig prso rqure a icns o
Otera -poa f'Om )(epios

Canad c j, NA /?01 --I1111 l I I 1

Man contiesar emaroedan








ITA -Proibte Detiatinsfo

Defense Articles & Research Ir ~~

(2 CR 16. &hti)//~mtcori/outrihm,

Afghanistan* Libya
BurmaNorthKore
Belaru Peopl's Repblic o
Cogo(Frm rl Zie)ChnaQnlu e
CuaHogKog
Cyprus* Rwanda*



Erire* (ff3/606
Haiti* Somalia*
Irn udn

Iraq Syria
Ivory oast* ietna







Export Restricted Countries: EARilr






Rest ricteal countries aleterminea IAIl by theI~~ I I I
technology t be exportec

Particularly stringent controls apply to: C h in a, (~ LI1(~~II
formr SvietUnin, Mddl Eas, Idia
Paksta, Esten Erop, NrthKora, ietam












Sacios Bakn
8T





Cuba Iraq~~




Authority (added^li iio6 Zibabwe
Syria
^^^^^^BB^^H^^I^^^^^^^^^^^^^^^^^^^^^^H** 1k 1(^^^^^^^^^^^^^^
^^^^^^^^^^^^^^^^^^^^^^^^








^^ BreH iiBBii^^iiI~
^^^BRestric~ted AcessPrtie




May include US Persons and entities:
Nat^^ ionaflnsand Bloked5 Prsns icldiggub
and Merchant Vessels/ ran! Iraq and Merchan
^Vessels, SudanBlocked Vessels [OFAC]^
^^Department of State Designated Terrorist
^^^^^^Organizations~







Export Laws: ITAR/EAR?
Transfer ex or controlled equipment, materials
tecnolgytecnicl ata sftwreorproid

defense -services to an unauthorized Foreign (~ (



National/Foreign Persn ithuta gv~
a prove licens or othr govItapprova






How Can Universities Violater LI1~




Export Laws: OFAC
~)I ~ir II ~L(31 CF R 500)I I( ~~~I ~ I ~I~I


Transactions1 1)~1 invovig dsinaed orig contie
or ther national

Tranactons ithrespct o scuriiesregiterd o
inscribed in the name of a designated national;I LI~ (





Sponsored Programs
Export Control Strategy
Minimize the number of awards with
export control restrictions
Ensure that the cost of security for a
Sponsored Project is borne by the Sponsor
Adequately protect those awards that
have export control restrictions to prevent
license violations
PIs play a key role in this strateciv









Who~s Wo in DS Expor

Controls? I Y


Empowered Official: ~I~ I







Activties Not Subjct t


Export Controls~III

May nierit atiitesar nt ubec t
export controls: ~r~~T~
Publi Doman/ Pblicl AvaiableInforatio
EducaionalInforatio
Fudmetl eeac

Humanitarian Projects11~11(
Information & Infomational Material






Public Domain/Pblicly Availabl





Informatio
(2 CR 2011 nd(1 CR 347


Materials available in newspapers and'







Educational I InformationI I




General science, math, and engineeringI I I
commonly taught at schools and universities kr~il I I







Funam ntl Rserc


,,Tundamental research means basic and
applied research in science and engineering,~L I I'T
the results of which ordinarily are published I~I II E I l~r i(
and shared broadly ... as distinguished fromI I

propietay reearc andfromindutria










(22CFR 15. (a 2 CR 12011 (8)&(1 F 748 74 1




Basi orAppiedResarc



At an accredited U.S. institution of higher learning I II L'r;III


In the U.S.l~'TII'/II l~llllll


No pbliatin cntrls r foeig naionl aces
retitin xitfr h ctvt













(22 CFR 125 1(a).2 FR1011 (8)) (15 FR 734.1 11 & BIS Deemed Export FAQ22)



Caution: I









FundamentaI~ I ~ILY~~~ ~ l Re ea c



Publication Clases- exception


Sponsor may include "review" clauses to remove:'I~ I~1~ (~ I L
soecman uies rpieayifomto







Humanitarian/Informational1 I I I I1 I
(31 CR 500.572 206


Humnitria Prjecs (FAC



Coutryspcifc rsticton

Informaion andinformaional mterial
Books, movies, music, etc.

Informational materials must be "in being"" at ~

















requirements of the Department of DefenseI)I Il It ILT Indstil eurt

Manual and the exporter must certify to the transmittal authorityIII


that the technical data does not exceed the technical limitation ofI I I I II I II ItII (
the authorized export.""~ ~ llrl~llIII'I)Ill II I~ltll


EAR: ""If research is funded by the U.S. Government, and specific~l ~c~i I III II
national security controls are agreed on to protect information I(IIIIIIIII
resulting from the research, 734.(b)(3) of this part will not appl









Man unvrst aciiisAresbett
axpor gontrogs





excluions(fundmentl resarch
educationa^epublic domai, Other) ma
^^Bnot always apply!^^^^^^







PrpretryReeac
(1 CR 73.8 74.1,22CF 12. ()


Reerh aig n f h oloig
Publicationrestriction



Access restrictionsII ( I 1 I (foein atonls








~ Development 3t~I~ ~-


(FAR 35.101, 15CFR734.8(a), & 22CFR125.4(c)(3 )) 11(~111

~I~~ & B IS Deemed Expo ft FAQ #22 II~ ll~~l ~)

Activities that are not basic or applied researchrr~ r rr I rr~ r rr

Deindeeomn,,tsig, reauaino
potential new product or service (or of an11I II~



















""Operation,, installation (including on-site~1 1 ~
installation I I ) mantnac (hekig,,reai, oerau,

and refurbishing. it III I((' I'~1I~i~~I ~ll I~ l


Deemd eport donot nclde te mre tanser o th







InternationalI


Reerh usd teUiedSae


Reeac wthfregncllboaor
sponsors~











^^^^^^BSHSBBNIIIIFKS]K^
International TrafficnlArmslIRegulations:

data on Sa deiS5?Kfenseatcl(vnifi h







Prohibted Acivitie
(15 FR 72.2()(1; 73.2(b(7) & 74.6


Weaon ofMas estucio


Proliferation no licene xcpton






^EAR General Provision 7


Prohibited to: 11 ...engage in activities [ that
would] make amate55wrialScontributiontolRSS5 the
design, develoB ment, production, stockpiling, or
u)seonIIJfear explosive devices, chemical or
biolog1(fical ono m17
There is asiila~fr pohbtinonsoeenrot
commoditis and sofware (5AO2,5DO02)
however""B Bthe ~mer ecigo icsino
i^nfraion aou cypogapy ..inanacdei
^^ wsett ng.. venwhee freiBgn eros r
p^*iresent.."wudntbepoiie.(5 F 4.()

















items or software

Actual exports of materials,, items, outside of


the U.S.: ~ I












Sponsored Programs StrategyII kr~ I~~1


Catch export control restrictions in the(~~
proposal phase ~I~~ LY
If foreign students/ researchers to be ~I
inoled lcess/ppovlscn e btind








Spnsre rora sStatg


Presere the undamntal Rsearc

Exemption



Neotae utpblcain/orin ero

retrcton
Modif pubicaton/ oreig peron rstrition












P I Obligations:


Accepting an export controlled project creates~~ ~ I'~


a oenill icnabesiutinfo h






What Happens if I Accept Export
Controlled Research?

Actions required for your Sponsored
Project:
Export Control Training
Commodity Jurisdiction/classification
Technology Control Plan

Coordinate with DSR and General Counsel









Technolgy Conrol Pln (TCP



RequredEleent
Based on bestp r tactics, contains requiredI'IC'II~~1 41


elmnt rm TRIA eee epr







TCP: Commoity Jurisiction an




~I) Classification~ II k~i ~ II~~

Under what law is the project restrictedl I (
Commodity Jurisdiction ITAR/EAR/OFA











Unite Stats MuntionsList ITAR


htt):/irmtc~rg/efeencrht










TCP Comodit Jurisictio


and Classificatio


See gvenmet/spnsr cncrrnc

Resole inelletual ropety isues
If ourinvnton ecoes efnedas n IA
"defnseartcle' itmaypre entYoufro
usngyor P n thr ivlin ppictin
withouta slices fromthe Goernmen







TC~m Intittionl C mmimen


University-wide Technoogy ontro Pla


speciies he uiverity'scommtmen to ompl
with export control laws1











TC Pysial ecuityPla


suggstec meaures
Physcaly Seregted pac







TCIII Information Security Plan~ ~



suggestect measures:~

Sevr odr cesFreals aswrs
backupto USPersos onlyserve or B

harddrive~
Clen eskPoicy Cntrl torge Loke
Deskr I~1








TCP:Peronnl SreeingTranin




Required Measures~~ 1I11I I'L I I ~ ~~~
Screen all project personnel/ visitors


subconractor agaist resricte acces list
provided nams -as tey ppea onPassort- t
DSRanl e il cndct hi cec fr ou











P~~~~~~~~I notfyDS wenthrear canestoth
project that may affect export control status II~) II L~1~i I
(e~g.,changeor proect sope, aditionof ne
personnel)


PII I~~111~I II (L 1~I and eparmen resonsile or anua
project certification of compliance~~11~ ~)I










WhatCanTriger n Epor

~I~ Control Review? ~I( ~1~I

Chng o PojctScp
Coordinatewith DSR nd Sponso









What Cn Triger anExpor



Control Review?~111~1~






WhatIf n Epor Cotro



Violation OccursII(~1I~









What if Iam Contated by a

Enforcment gency
DetrmneiftheSeurtyOffce hs ee

noiidi o, ietth gntt h Scrt












More export control restrictions I

DoDma deelp IARconrat trm tht il

identif ITAR-rstricte researh (D ARclauses

Widesprad Chin-specifc restriction or man

EAR-restricted technologiesr ~ r













Ex or onrl lssr


CC L Commerce Control List1 1 ~ ~I

EAR Exort Aminisratio Reguation
Devaltmnt of ommerce dual ~e techologie
ECCN Export Control Classifl-cation Number 11~1

ITAR Internatlonal TraffickIC~ II~~YI ng In Arms Regulatlons~ I1~Y

Dealten f lte iltrytchoog nddfes 5rl'e

OFCOfieo Fnnil ses oto
Deatmn o heTeauyllanll ellg wt sntlndlmarod onte
TC TehnoogyConrolPla




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