Budget Preparation and Development. Basic Budget Construction. Export Control

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1 Budget Preparation and Development Basic Budget Construction Export Control

2 Export Management and Compliance Program Sara Conrad Director of Research Compliance Services Sam Padilla Export Control Coordinator

3 Export Management and Compliance Program Our responsibilities: Review grants and other agreements Apply for export licenses on university s behalf Implement and enforce technology control plans Advise and coordinate export compliance activities campus-wide Disclose violations to federal agencies

4 Export Controls at a Glance What are export controls? How do they apply to research? How do they apply to UNL?

5 What Are Export Controls? Federal licensing regulations that govern: Shipments of commodities to other countries Distribution of information or software to foreign persons, wherever located

6 What Are Export Controls? A foreign person is anyone who is not a: US citizen Lawful permanent resident ( green cardholder ) Refugee/asylee Other protected status under INA Companies are people too!

7 Regulations State Department Directorate of Defense Trade Controls International Traffic in Arms Regulations Commerce Department Bureau of Industry and Security Export Administration Regulations Treasury Department Office of Foreign Assets Control Foreign Assets Control Regulations

8 Regulations ITAR State Department Defense articles (United States Munitions List) Weapons systems, military vehicles, satellites, etc. Technical data Information for design, development, operation of defense articles Defense services Providing technical data to foreign persons

9 Regulations EAR Commerce Department Dual-use (Commerce Control List) Commodities/technologies with primarily civil applications that can be adapted for military applications EAR99 non-dual-use items controlled for certain destinations (Cuba, Iran, etc.) Deemed export releasing technology to foreign persons

10 Regulations FACR Treasury Department Embargoes, trade sanctions, etc. Cuba, Iran, North Korea, (North) Sudan, Syria Anti-terrorism, drug trafficking, human rights violations, etc. Specially Designated Nationals Individuals/entities owned/controlled by embargoed countries; terrorist organizations US persons prohibited from doing business

11 How Do Export Controls Apply to UNL? 1. Research flagged for review 2. Preliminary assessment 3. Facility walkthrough 4. Technology control plan/training 5. Licenses (if necessary) 6. Maintenance

12 1. Flags DoD/DoE/NASA funding Sensitive materials (pathogens, radioisotopes, lasers, etc.) 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance International travel/collaboration Publication restrictions Foreign national restrictions

13 2. Assessments Grant proposals/sponsored projects IBC, RSC, IACUC protocols Materials Transfer Agreements, 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Non-Disclosure Agreements, etc. Visa applications (I-129)

14 2. Assessments Technical proposal/statement of work What s the goal? How are we getting there? 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Consult with researchers

15 3. Walkthroughs Work with EHS/UNLPD Additional security measures Electronic locks/cctv 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Information security Sequestration

16 4. Technology Control Plan/Training Procedures for securing controlled materials/information Identifies everyone authorized to access controlled materials/information 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Personnel screening Training tailored to TCP

17 5. Licenses (If Necessary) Allows shipment of controlled materials to foreign countries or sharing controlled information with foreign persons 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Generally 45~60 days, but not guaranteed Per person, per project

18 5. Licenses (If Necessary) Letter of explanation CV/chronological résumé Visa/passport, I-94 Statement of work/technical proposal Technology Control Plan Maintain records and licenses for at least 5 years 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance

19 5. Licenses (If Necessary) Fundamental Research Exception: Basic and applied research in science and engineering performed by universities is exempt from export controls so long as: It is carried out openly Without restrictions on publication, foreign national access, or dissemination 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance

20 6. Maintenance Semiannual reviews Personnel changes 1. Flags 2. Assessment 3. Walkthrough 4. Training/TCP 5. Licenses 6. Maintenance Changes to scope of work Technology readiness level

21 Penalties Vary by agency: Criminal: up to $1,000,000 per violation and/or up to 20 years in prison Civil: seizure and forfeiture of articles, revocation of exporting privileges, fines of up to $500,000 Debarment from future federal funding

22 How Do Export Controls Apply to You? Contact EMCP staff if: You think your research might be controlled You re planning to travel outside the US Someone from outside UNL wants to visit your lab There s a security breach in your lab

23 Case Study Early last year, Cal Simonson, professor of chemical engineering at a local university, was awarded a grant by the Air Force to develop a laser-resistant coating for optical sensors on unmanned aerial vehicles. Dr. Simonson would now like to begin testing his polymers in the field. During a dinner conversation about his research with Miriam Deng, a member of the Sudanese army not associated with the project, Dr. Simonson learns that Jin-Soo PolyElectric, a Pyongyangbased manufacturer, offers the lowest prices on military drones, and even ships free to the United States. As part of the purchasing contract, Dr. Simonson is providing technical data from his research so that the manufacturer can adjust its products to his specifications. Dr. Simonson has also been invited to speak about his research at the University of Tehran next month.

24 Contact Us Research Compliance Services 312 N. 14th Street, 209 Alexander West Lincoln, NE