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UNL's Export Control Policy and Statement of Compliance

By Debbie Garcia,2014-08-09 18:31
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UNL's Export Control Policy and Statement of Compliance

    POLICY and STATEMENT OF COMPLIANCE

    WITH U.S. EXPORT AND SANCTION LAWS

    FOR

    THE UNIVERSITY OF NEBRASKA-LINCOLN

    FOREWORD

    Colleagues:

    One fundamental mission of the University of NebraskaLincoln (UNL) is

    research, that is, to create, preserve, and disseminate knowledge with the extraordinary talent and dedication of our faculty. Our innovative research is a key driver in the success of this university. However, we as investigators need to be aware that research can have multiple uses and applications and can lead to unintended international impacts. The Office of Research has the responsibility to inform our university community about federal regulations that affect their work and to assist our researchers with compliance with these regulations. UNL is committed to compliance with all Export Control Regulations.

    This Policies and Statement of Compliance Manual for Export Control Management at UNL has been prepared to assist the faculty, staff, students, and anyone affiliated with the university with the rules and regulations associated with Export Controls. Compliance with export control regulations is an important responsibility of conducting research in this area, and carries serious penalties for violations. We know that you join us in devoting your full efforts toward fulfilling these requirements. Contact our export control specialist at (402) 472-4491 to consult on the application of these regulations in your research. Also, check our website, http://research.unl.edu/orr/exportcontrol.shtml, for more

    information.

    Sincerely,

    Prem S. Paul, DVM, Ph.D. Kimberly Andrews Espy, Ph.D.

    Vice Chancellor for Research Associate Vice Chancellor for

    and Economic Development Research & Institutional Official

    University of Nebraska-Lincoln University of Nebraska - Lincoln

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DOES THE EXPORT CONTROL POLICY APPLY TO MY RESEARCH?

    Key Questions to Ask BEFORE Beginning a Research Project

    If you answer yes to ANY of the following questions, contact the UNL Export Control and Laboratory Safety Specialist at 402.472.4491 to determine how Export Controls Regulations apply to your research.

    ; Does your Research Agreement/Contract/Grant contain a restriction on publication or

    presentation of results?

    ; Does your Research Agreement/Contract/Grant contain a restriction on export or foreign

    national access?

    ; Will the University partner with a foreign company?

    ; Will equipment be shipped to a foreign country?

    ; Will you be traveling to sanctioned or embargoed countries for purposes of teaching,

    outreach/service or performing research?

    ; Is your research subject material specifically for, or could it have any application in,

    military use, use in outer space, or use for weapons of mass destruction?

    ; Will a defense article be used in the research?

    ; Is encrypted software involved?

    ; Is your research subject listed on the Commerce Control List?

    ; Is your research covered in the U.S. Munitions List (USML), found in Part 121 of the

    ITAR.?

    Primarily, research relating to:

    o Spacecraft

    o Satellites

    o Weapons of Mass Destruction

    o Missile Technology, or

    o Military Equipment.

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Export Control Flowchart

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TABLE OF CONTENTS

    FOREWORD .............................................................................................................................. i DOES THE EXPORT CONTROL POLICY APPLY TO MY RESEARCH? ............................. ii Key Questions to Ask BEFORE Beginning a Research Project .............................................. ii Export Control Flowchart ...................................................................................................... iii INTRODUCTION TO EXPORT CONTROL REGULATIONS .................................................4 What IS and IS NOT regulated? ..............................................................................................4 Who is responsible for regulation? ..........................................................................................5

    International Traffic in Arms Regulations (ITAR) ...............................................................5

    Export Administration Regulations (EAR)...........................................................................5

    Department of Treasury‟s Office of Foreign Assets Control (OFAC) ...................................6 COMPLIANCE OVERSIGHT AND RESPONSIBILITIES ........................................................7 Responsible Officials ..............................................................................................................7 UNL Export Control Program Responsibilities: .......................................................................7

    Project evaluation and license determination process ...........................................................7

    Technology Control Plan .....................................................................................................7

    Willful Non-compliance ......................................................................................................7

    Internal Reviews/Laboratory Inspections .............................................................................7

    Screening ............................................................................................................................8

    Record Keeping ................................................................................................................. 10 Duties/Responsibilities of Principal Investigators, Researchers, Staff and Students ............... 10 Duties/Responsibilities of Department Head/Chair and/or Deans/Directors ........................... 11 PENALTIES FOR NON-COMPLIANCE ................................................................................. 12 Penalties by Regulating Office .............................................................................................. 12 TRAINING ............................................................................................................................... 13 APPENDIX I. Forms/Flowcharts .............................................................................................. 14 APPENDIX II. ABBREVIATIONS ......................................................................................... 15 APPENDIX III. IMPORTANT CONCEPTS AND DEFINITIONS ......................................... 16 Export ................................................................................................................................... 16 Deemed Export ..................................................................................................................... 16 Educational Instruction Exclusion ......................................................................................... 16 Fundamental Research Exclusion .......................................................................................... 16

     Public Domain/Publicly Available Exclusion ........................................................................ 16

    Commerce Control List (CCL) .............................................................................................. 17 Defense Article ..................................................................................................................... 17 Defense Service..................................................................................................................... 17 Dual Use ............................................................................................................................... 17 Foreign National/Foreign Persons ......................................................................................... 17 Re-export .............................................................................................................................. 18 Technical Data ...................................................................................................................... 18 APPENDIX IV. TECHNOLOGY CONTROL PLAN ............................................................... 19

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POLICY STATEMENT

    The University of Nebraska-Lincoln (UNL) is committed to educating its students through open research in which all methodologies, data, and research results are freely shared with the public. However, in some instances, research sponsors may impose restrictions on the research for reasons of national security or protection of trade. Export Control Regulations address the distribution of strategically important technology, services, and information to foreign nationals and foreign countries. The United States laws and regulations regarding exports restrict the use of, and access to, certain sensitive or controlled technical information, materials, and technology. UNL has developed the following policy to ensure that all faculty, staff, students, and affiliates comply with Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), Office of Foreign Assets Control (OFAC) regulations and all other applicable export control or sanction related regulations. This policy and any amendments or additions applies to all university activities that may result in an export control or sanctioned transaction with a person, entity, or country requiring an export license or other governmental approval.

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INTRODUCTION TO EXPORT CONTROL REGULATIONS

    The United States export laws and regulations restrict the use of, and access to, certain sensitive or controlled technical information, materials, and technology for reasons of national security or protection of trade. The export control regulations are not new. In fact, the regulation of the export of goods and technology out of the U.S. began July 5, 1940. The first controls banned aircraft parts, scrap metal, and aircraft fuel during World War II. Cold War-era controls included weapons of war, dual-use technology, and encryption methods. Because certain fundamental and applied research has military applications, regardless of whether intended or not, universities have begun to implement export control programs in recent years to ensure compliance because of heightened concerns about homeland security, the proliferation of weapons of mass destruction, terrorism, drug trafficking, and leaks of U.S. technology to foreign competitors. What IS and IS NOT regulated?

    Fundamental Research, as defined in the National Security Decision Directive 189 (1985,

    NSDD189), is EXCLUDED from export control regulations. For research to be considered to be “fundamental research”, two basic criteria must be met:

    ; Research outcomes are freely publishable, AND

    ; There are no restrictions on the access to and dissemination of the research results. If there are restrictions on publication (e.g. the sponsor bars the university from publishing results or can review and remove material prior to publication) or there are limitations on access or dissemination of the research results (e.g., foreign nationals are not allowed to participate in research), then the research does not fall under the fundamental research exclusion, and likely is subject to export control regulations. Fortunately, much of the work conducted at a university falls under the safe harbor of the Fundamental Research Exclusion.

    In general, the export control regulations may cover five main types of university activities:

    ; Research relating to spacecraft, satellites, or other military research;

    ; Transfers of controlled information, including technical data, to persons and entities

    outside the United States;

    ; Shipment of controlled physical items, such as scientific equipment, from the United

    States to a foreign country;

    ; Verbal, written, electronic, or visual disclosures of controlled scientific and technical

    information related to export controlled items to foreign nationals in the United States.

    Such a transfer is termed a "deemed export" and is regulated because the transfer is

    "deemed" to be to the country where the person is a resident or a citizen;

    ; Travel to certain sanctioned or embargoed countries for purposes of teaching or

    performing research.

    Unfortunately, civil and criminal sanctions, including fines and/or prison sentences for individuals violating export control and embargo laws, are substantial, and apply to individual university personnel, as well as to the University as an institution. Therefore, it is important that all university personnel understand their obligations under these laws.

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Who is responsible for regulation?

    The U.S. Department of State, U.S. Department of Commerce, and the U.S. Department of Treasury have independently implemented regulations governing the export of technologies, information, and software, as well as economic sanctions for non-compliance. There are two main Export Control Regulations that are applicable to the university, the International Traffic in Arms Regulation (ITAR, 22CFR ? 120-130) and the Export Administration Regulations (EAR, 15CFR ? 730-774), whereas economic and trade sanctions are promulgated by the Department of Treasury‟s Office of Foreign Assets Control (OFAC, 31 CFR ?500-599).

    International Traffic in Arms Regulations (ITAR)

    22CFR ? 120-130. Administered by the U.S. Department of State

    (http://www.pmddtc.state.gov/regulations_laws/itar.html). The U.S. Munitions List is the list

    of ITAR controlled items that fall under Export Control Regulations. Any defense articles, defense services, and related technical data are regulated under this list, where a license is required to export goods and technologies contained in this list, including deemed exports.

    ; Category I Firearms

    ; Category II Artillery Projectors

    ; Category III Ammunition

    ; Category IV Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes,

    Bombs and Mines

    ; Category V Explosives, Propellants, Incendiary Agents and their constituents

    ; Category VI Vessels of War and Special Naval Equipment

    ; Category VII Tanks and Military Vehicles

    ; Category VIII Aircraft and Associated Equipment

    ; Category IX Military Training Equipment

    ; Category X Protective Personnel Equipment

    ; Category XI Military Electronics

    ; Category XII Fire Control, Range Finder, Optical and Guidance and Control Equipment

    ; Category XIII Auxiliary Military Equipment

    ; Category XIV Toxicological Agents and Equipment and Radiological Equipment

    ; Category XV Spacecraft Equipment and Associated Equipment

    ; Category XVI Nuclear Weapons Design and Test Equipment

    ; Category XVII Classified Articles, Technical Data and Defense Services not Otherwise

    Enumerated

    ; Category XVIII Reserved

    ; Category XIX Reserved

    ; Category XX Submersible Vessels, Oceanographic and Associated Equipment

    ; Category XXI Miscellaneous Articles

    Export Administration Regulations (EAR)

    15CFR ? 730-774. Administered by the U.S. Department of Commerce Bureau of Industry and Security (BIS) (http://www.bis.doc.gov/index.htm). These regulations control the export

    of “dual-use” items, those that have an commercial or non-military use and that also have the

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    potential to be used in some way for defense-related purposes. The list of controlled items are contained in the Commerce Control List (CCL) published at 15CFR ? 774, Supplement 1. The CCL categorized controlled items as follows and a license is required to export goods and technologies contained in this list. A license will be denied for any export (including deemed exports) to embargoed countries (e.g. Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Syria). ; Category 0 -Nuclear Materials, Facilities & Equipment (and Miscellaneous Items) ; Category 1 - Materials, Chemicals, Microorganisms and Toxins

    ; Category 2 - Materials Processing

    ; Category 3 - Electronic

    ; Category 4 - Computers

    ; Category 5 (Part 1 and Part 2) - Telecommunications and Information Security ; Category 6 - Sensors and Lasers

    ; Category 7 - Navigation and Avionics

    ; Category 8 - Marine

    ; Category 9 - Propulsion Systems, Space Vehicles and Related Equipment

    Department of Treasury’s Office of Foreign Assets Control (OFAC)

    ; 31 CFR ?500-599. Administered by the U.S. Department of Treasury Office of Foreign

    Assets Control (http://www.treas.gov/offices/enforcement/ofac/). The OFAC administers

    and enforces economic and trade sanctions based on U.S. foreign policy and national

    security goals against targeted foreign countries and regimes, terrorists, international

    narcotics traffickers, those engaged in activities related to the proliferation of weapons of

    mass destruction, and other threats to the national security, foreign policy or economy of

    the United States. Many of the sanctions are based on United Nations and other

    international mandates, are multilateral in scope, and involve close cooperation with

    allied governments.

    ; Sanctions Programs (Country and List-based) Include:

    ; Specially Designated Nationals List (SDN List)

    ; Anti-terrorism sanctions

    ; Non-proliferation Sanctions

    ; Narcotics Trafficking Sanctions

    ; Cuba Sanctions

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