An Overview of the Regulations:

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Export Controls Sanctions

Anti-Boycott Foreign Corrupt Practices Act

What are Export Controls?

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•  Agroupoflawsandregula0onsthat:•  Restrictabilitytofreelysendorsharecertaingoods,technologyorinforma0onoutsidetheU.S.orwithnon-U.S.na0onalsinsidetheU.S.

•  Prohibitcertaintransac0onsduetotradesanc0onsorotherrestric0ons

•  TheselawsareintendedtopromoteU.S.na0onalsecurityandotherpolicygoals

•  Theyhavebroadextra-territorialreach•  Viola0onscarrysignificantpenal0es,finesandbothUniversityandindividualliability

Who Administers U.S. Export Controls?

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International Traffic in Arms Regulations (ITAR) Department of State - Directorate of Defense Trade Controls (DDTC)

•  22 CFR Parts 120 - 130

Licenses Defense Articles and Services

Export Administration Regulations (EAR) Department of Commerce - Bureau of Industry and Security (BIS)

•  15 CFR Parts 730 - 774

Primary Licensing Agency for Dual-Use Exports

Office of Foreign Assets Control (OFAC) Department of the Treasury

•  31 CFR 500

Administers Economic Sanctions (Embargoes)

Acronyms…

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EAR Export Administration Regulations

ITAR International Traffic in Arms Regulations

BIS Bureau of Industry & Security (Commerce)

DDTC Directorate of Defense Trade Controls (State)

CCL Commerce Control List

NLR No License Required

ECCN Export Control Classification Number

CCATS Commodity Classification Automated Tracking System (EAR)

CJ Commodity Jurisdiction (ITAR)

FRE Fundamental Research Exception

It’s Not Just Shipping…

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•  TakinganexportcontrolledinstrumentoutsidetheU.S.•  Beingaskedforacer?fica?onofcompliancerela?ngtoapostdoc’svisa

applica?on•  Sharingtechnicalinforma?onaboutcontrolleditemswithnon-U.S.na?onals,

evenintheU.S.(“deemedexport”)•  Trainingnon-U.S.na?onalsonhowtoinstallITAR-controlledGPSreceiver•  Emailingexportcontrolledtechnologyorinforma?onaboutthetechnology

outsidetheU.S.•  Uploading“strong”encryp?onopensourcesoOwarecodeonawebsite•  BringingalaptoptoIran,SyriaorSudan(unlessalicenseexcep?onapplies)•  DealingwiththeMinistryofHealthofSanc?onedCountries•  ATendingaconferenceinIranandbringingalaptopwhichhappenstocontain

anopera?ngmanualforacontrolledinstrument•  SpeakingataconferenceinParisanddiscussinglayoutsyoureceivedfroma

vendorforITARcontrolledsemiconductorswhicharenotinthepublicdomain

Ø  Theseac?vi?esmayrequireapriorlicensefromCommerce,StateorOFAC

What’s the Risk?

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February1,2012DepartmentofJus0ceUnitedStatesAGorneyWilliamC.KillianEasternDistrictofTennessee Former University Of Tennessee Professor John Reece Roth Begins Serving Four-Year Prison Sentence On Convictions Of Illegally Exporting Military Research Data During the course of a contract he allowed two foreign national students to access export controlled data and equipment, and to export some of the data from the contract on a trip to China. U.S. Attorney Bill Killian said, "This sentence communicates the importance of export compliance to academia and industry, especially in the research and development communities.”

I-129 Visa Certification: Visa Issues for International Scholars?

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Ø  Certification is required for all H-1B and O-1 petitions. Ø  Employers certify that they have reviewed the EAR and ITAR and have determined

whether a license is required from the U.S. Department of Commerce or the U.S. Department of State to allow an employee access to controlled technology (even if in the US).

Ø  The hiring supervisor, PI, Department Chair, or other appropriate University authority responsible for oversight of an employee's work and access to technology must attest to whether or not a license is required.

The Lists (Presently under reform)

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• DualUse(EAR,CCL)—  Nuclear(redirect->ITAR,NRC,DoE)

(Uranium)—  Materials,chemicals,microorganisms

andtoxins(Nipah,Staph,AvianInfluenza,Ebola,Anthrax)

—  Aerospace,propulsion,avionics—  Marine—  Naviga?on(GPS,beyondcommercial)—  Electronics,computers(AdjustedPeak

Performance)—  Telecommunica?ons,informa?on

security(HighEncryp?on>64Bit)—  Sensorsandlasers(IRCameras,

Oscilloscopes,MassSpectrometers)

• Muni?ons(ITAR,USML)—  Weapons,ammuni?on,explosives,

propellants—  Chemical,biological,toxicological

agents(nerveagents,defoliants,bioagents,bioagentdetectors&vaccines)

—  SpacecraO,missiles,rockets,torpedoes,bombs,mines

—  AircraO,ships&submersibles,tanks—  Firecontrol,guidanceandcontrol

equipment(IMUs,IRCameras,NightVision)

—  Militaryelectronics—  Protec?vepersonnelequipment—  Submersivevessels,Oceanographic

andAssociatedEquipment

Fundamental Research Policy Protects Research Output

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1985Na?onalSecurityDecisionDirec?ve189

11/1/2001Affirma?onofNSDD-189

2010Re-affirma?onofNSDD-189

“Basic and applied research in science and engineering, where the resulting information is ordinarily published and shared within the scientific community” “Norestric?onmaybeplacedupontheconductorrepor?ngof

federallyfundedfundamentalresearchthathasnotreceivedna?onalsecurityclassifica?on…”

How do Export Controls Affect Universities?

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ResearchOutput

Third-PartyMaterials

PublicDomain/PubliclyAvailable

Informa?on

Instrumenta?on&RelatedTechnical

Informa?on

INPUT may be export controlled Ø  Licenses needed for

foreign students/researchers participating

Ø  Licenses needed to bring items abroad to carry out research

Ø Cannot publish INPUT Ø May not be able to

publish all RESEARCH OUTPUT

How do Export Controls Affect Universities?

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HowtoreconcileColumbia’scommitmenttounrestrictedpublica4onwithrestric4onsposedbyExportControls?

Ø Preserveandrelyupontheexcep0onsthatprotectuniversi0es

—  FundamentalResearch(outputonly)q  Nopublica?onrestric?onsincontracts,exceptshortIPreviewq  Norestric?onsonforeignna?onalpar?cipa?onq  SegregateFundamentalResearchfromcontrolledtechnicalinforma?on(generallyinput)

—  PublicDomain/PubliclyAvailable:Appliestoourresearchaswellasotherinforma?on.q  ITARPublicDomain–mustbepublishedfirst--Publicreleaseoftechnicaldataisanexportsubjectto

licensingq  EARPubliclyAvailable–publishedorwillbepublished

—  BonaFideEmployeeofaUniversity:availableundertheITARandEAR,intheU.S.only,limita?onsapply—  Educa?onalInforma?on:

q  EAR:Informa?onreleasedbyinstruc?onincataloguecoursesandassociatedteachinglabsq  ITAR:Informa?onaboutgeneralscien?fic,mathema?calorengineeringprinciplescommonlytaught

atuniversi?esControlledequipment/materials/informa0on–doesnotmeanthereisaviola0onØ Excep0onsandlicensesmaybeavailablewithadvanceno0ce

Universities, cont’d….

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DeemedExport-Releasing,furnishing,showingordisclosingexportcontrolledtechnicalinforma4ontoaForeignNa4onal,evenintheUS,isconsideredor“deemed”tobeanexporttothehomecountry(ies)oftheForeignNa4onal.Whattechnicalinforma0oniscontrolled?q EAR:Generally,development,produc?on,opera?on,installa?on,maintenance,repair,overhaulANDrefurbishing.q ITAR:Informa?onrequiredforthedesign,development,produc?on,manufacture,assembly,opera?on,repair,tes?ng,maintenanceORmodifica?onofdefensear?cles.q E.g.;blueprints,formulae,materialspecifica?ons,opera?ngmanualsq Howtoturnonequipment,NO,buthowitoperates,MAYBEq CannotprovidetrainingonITAR-controlledinstruments(e.g.;defenseservice)q Ifthereiscontrolledtechnicalinforma?on,willneedtoassessforeignna?onalinvolvementq I-129VisaPe??onsrequirecer?fica?onofcompliancewithdeemedexportrestric?ons

Trade Sanctions

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TheU.S.hasbroadsanc?onsagainstCuba,Iran,NorthKorea,Syria,Sudan,andCrimeaRegionoftheUkraineTheU.S.alsoprohibitsdealingwithSpeciallyDesignatedNa?onals-peopleanden??es-SDNs,notbasedontheirna?onalitySanc?onsaredirectedatcountries/governmentsandindividuals(SDNs),andprohibitthefollowing:

•  DealingswithSanc?onedCountries,GovernmentsorSDNsq  Nego?a?ngcontractsq  Sending/receivingpaymentsthroughasanc?onedbanks,orwithSpecially

DesignatedNa?onalsq  “Facilita?ng”or“approving”aforeign(non-U.S.)personinitsbusiness

dealingswithsanc?onedcountriesorpersons•  Impor?ng/expor?nggoodsorservicesfrom/toSanc?onedCountries

Compliancerequiresscreeningofpar?esandreviewofac?vi?es.

Sanctions, Cont’d

•  Travel(andtransac?onsordinarilyincidenttotravel)exceptforCubaisgenerallypermiTed.Receivinghonoraria,bringingequipment,smartphones,laptopstosanc?onedcountriesisnot(withoutalicenseorunlessalicenseexcep?onapplies)

•  Thereareexcep?onsforpublica?onandinforma?onalmaterials;aTendanceatopenconferencesmaybepermiTed,thoughallmustbecarefullyreviewed

•  Gov’tlicenses(authoriza?ons)maybegrantedinsomecases,permiqngotherwiseprohibitedac?vi?es,butcantake6-12monthstoprocess

•  Sanc?onsareissuedbytheUS,UN,EU,andmanyothercountriescrea?ngcomplexcomplianceframeworkdependingonloca?on

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Antiboycott and Anticorruption Laws

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U.S.An0boycoGlawsprohibitpar?cipa?ngin“unsupportedinterna?onalboycoTs”(e.g.;ArabLeague–Israel,China/Taiwan)andrequirerepor?ngofrequests.Examplesinclude:

Ø  Accep?ngagrantthatindicatesnoIsraelina?onalswillworkonaprojectØ  Agreeingnottodobusinesswithanen?tythathasJewishemployees

USForeignCorruptPrac0cesAct(FCPA)--Prohibitstheofferofanythingofvaluetoanyforeignofficialforthepurposeofinfluencingthedecisionofthatofficialtodoanythingthatassiststheofferorintheobtainingorretainingofbusiness,orgaininganimproperadvantage

Ø  Lawsallovertheworldprohibitcorrup?onofforeignofficialsandsome?mescriminalizecommercialbribery

Ø  Dealings,giOsandac?vi?esinvolvingofficialsshouldbeassessedforreasonableness

Ø  UndertheselawsprofessorsorphysiciansareoOenconsideredgovernmentofficials

Export Controls vs. Economic Sanctions, Antiboycott Laws, FCPA

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Whoorwhatisregulated?

U.S.ReachAbroad? Whatisprohibited?

ITARandEARExportControls

Goods,soOwareandtechnology WorldwideforanyitemmadeofU.S.Content,oranythingentering

U.S.jurisdic?on

Certainenduses,endusers(non-U.S.)orenddes?na?ons

(pluscertaintransshipmentrequirements)

Economicsanc?ons People U.S.PersonsWorldwide Transac?onsinvolvingcertainpersons,countriesorac?vi?es

An?boycoTlaws People U.S.PersonsWorldwide Providingcertaininforma?onoragreeingtoboycoTpar?cipa?on

ForeignCorruptPrac?cesAct

People

U.S.PersonsWorldwide Offeringanythingtoaforeigngovernmentofficialinexchange

foranyadvantage

Where to go for help?

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MichelleAvallone,JD,MAResearchExportControlOfficer

mla25@columbia.edu212-851-9822

ResearchComplianceandTrainingWebsite:hTp://www.columbia.edu/cu/compliance/docs/interna?onal_research/index.html