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Aug 26, 2014

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Export Control & TCP for GTRIClick to edit Master subtitle style Jilda Garton Vice President for Research GTRC & GTARC Barbara Henry Office of Research Compliance Mary Beran Office of Research Compliance Rhonda Miller Office of Research Compliance

Georgia Tech Research CorporationAll rights reserved GTRC

Learning ObjectivesFundamental Research

Office of Foreign Assets Control (OFAC) Regulations Terrorist Supporting Countries (TSC) list International Traffic in Arms (ITAR) Regulations Export Administration Regulations (EAR)

At the end of this course you will: Be able to define Fundamental Research Understand what the Fundamental Research Exclusion is and how it applies to your work at GA Tech Know what a Technology Control Plan (TCP) is and how it relates to ITAR, EAR, and Fundamental Research Know what an export and deemed export are in the regulatory context Be aware of international travel and shipping concerns Be aware of special regulations regarding China

Georgia Tech Research CorporationAll rights reserved GTRC

Why are you here?

Georgia Tech Research CorporationAll rights reserved GTRC

Youre here becauseYou want to learn more about export controls You have accepted, or are working on, an award that falls outside the definition of Fundamental Research You are personally liable for export violationsGeorgia Tech Research CorporationAll rights reserved GTRC

Violations & PenaltiesFailure to comply with U.S. export control laws can result in severe penalties, both for the individual (this means YOU personally) and for Georgia Tech:

Criminal Penalties1 Fines: $1,000,000 per violation and imprisonment of up to 10 years. Civil Fines: $250,000 per violation, or twice the monetary amount of the underlying transaction, which ever is greater If ITAR=$500,000 per violation Debarment from working with export controlled information Negative Publicity

1. ITAR, EAR and OFAC all impose criminal and civil penalties, although the ranges of the penalties vary.

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Important DefinitionsU.S. Person Citizens of the U.S. U.S. Permanent resident alien (green card holder) Protected political asylee/refugee

Non-U.S. Person Not a U.S. citizen Not a U.S. permanent resident (green card holder) Not a protected political refugee/asylee

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What is an export?Expansive definition of export in this context

Export: Transfer/disclosure of items, materials, information, software, technology or other unclassified but restricted data to any person outside U.S. (including U.S. citizen abroad) NOTE: OFAC includes any services; ITAR includes defense services as Exports

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What is a Deemed Export?An export of technology or code when released to a foreign national within the U.S. Release is making technology or software available to non-U.S. persons, either visually, orally or by practice or application under guidance of persons with knowledge of the technology or software Includes use technology information on the operation, installation, maintenance, repair, overhaul, and refurbishing of controlled equipment. Release requires all six elements & access to proprietary manual.Georgia Tech Research CorporationAll rights reserved GTRC

U.S. export control lawsOffice of Foreign Assets Control (OFAC) Regulations Terrorist Supporting Countries (TSC) list

Whats controlled and to where?

International Traffic in Arms (ITAR) Regulations Export Administration Regulations (EAR)

Georgia Tech Research CorporationAll rights reserved GTRC

OFAC & TSC Increasing restrictions ITAR License Require d EAR

Whats controlled and to wheOffice of Foreign Assets Control (OFAC) Regulations Terrorist Supporting Countries (TSC) list International Traffic in Arms (ITAR) Regulations Export Administration Regulations (EAR)

for 22 Countries EAR for GroupB Countries Including India and Israel

Fundamental Research No License Required OK for All but Embargoed Countries

Georgia Tech Research CorporationAll rights reserved GTRC

OFAC & TSC Increasing restrictions ITAR License Require d EAR

Whats controlled and to where?Terrorist Supporting Countries (TSC): Cuba1, Sudan, Syria, Iran, North Korea

for 22 Countries EAR for GroupB Countries OK for Group B Countries Including India and Israel Including India and Israel No License Required No License Required OK for All but Embargoed Countries OK for All but Embargoed CountriesOFAC Embargoes & Sanctions:

http://www.treas.gov/offices/enforcement/ofacBalkans, Belarus, Burma, Cote dIvoire (Ivory Coast), Cuba, Democratic Republic of the Congo, Iran, Iraq, Liberian, Lebanon, North Korea, Somalia, Sudan, Syria, Zimbabwe.

1: Unilateral Embargo

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Increasing restrictions

Whats controlled and to where? License: Non-U.S. Persons ARE NOT eligible to receive thetechnology without an export license

ITAR License Require d EAR

E1 Terrorist Supporting Countries (TSC): Cuba, Iran, North Korea, Sudan, Syria E2 Unilateral Embargo: Controlled to: Cuba D1 Controlled: Albania, Armenia, Azerbaijan, Belarus, Cambodia, China (PRC), Georgia, Iraq, Kazakhstan, Laos, Libya, Macao, Moldova, Mongolia, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, Vietnam Group B Countries: The remaining countries in the free world, include India and Israel Foreign Nationals from the D1 Controlled Countries and Embargoed/Terrorist Countries ARE NOT eligible to receive the technology without a license. Group B countries are eligible. ONLY Foreign Nationals from the 22 Designated Countries are eligible to receive the technology without an export license Designated Countries: Australia, Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom No License Required: Foreign Nationals from all EXCEPT the Embargoed Terrorist Countries are eligible to receive the technology.

for 22 Countries EAR for GroupB Countries Including India and Israel

No License Required OK for All but Embargoed Countries

Georgia Tech Research CorporationAll rights reserved GTRC

1.

Whats controlled and to Equipment, software, chemicals, biological where?agents, or technology on the U.S. Munitions List (ITAR) and related technical data and defense services Equipment, software, chemicals, biological agents or technology designed or modified for military use, or for use in outer space There is reason to know that it will be used for or in weapons of mass destruction Chemicals, biological agents or toxins on the Commerce Control List (CCL)1.

Increasing restrictions

ITAR License Require d EAR

2.

3.

for 22 Countries EAR for GroupB Countries Including India and Israel

4.

2.

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Equipment or encrypted software Equipment, software or technology on the Commerce Control List Information or instruction about software, technology, or equipment on the CCL

No License Required OK for All but Embargoed Countries

1. Most basic research results - Fundamental Research 2. Not military or designed or modified for military use (USML) 3. Not on Commerce Control List

Georgia Tech Research CorporationAll rights reserved GTRC

Increasing restrictions

Whats controlled and to Military Items ITAR where? Radiation Hardness ITAR & EARITAR License Require d EAREncryption Outside U.S. Companies SiC Substrates Voice Identification Mass Spectrometer hardware/software Some ASICs Some system Synchrotrons & development software High Performance Switch Some ASICs MasksCompound Semiconductors SiGe HBT HEMT Substrates of Si, Ge Resitors, Dopants CPU Design Some Servers External Computer Interconnects Digital RF & Spread Spectrum Most Telecom Technology SQUIDSMost Basic Research SOI Substrates CMOS/SOI Process Litho Simulation Tools Memory Some Operating Systems, Software, Middleware MMICs Storage, Displays, Printers IC CAD/CAM Design Tools Some ASICs Masks Encryption Inside U.S. Companies

for 22 Countries EAR for GroupB Countries Including India and Israel

No License Required OK for All but Embargoed Countries

Most Middleware, OS & Application Software Some ASICs Georgia Tech Research Corporation Masks

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Matrix ReviewPublication N/A FRE NSDD-189 Citizenshi p or License ALL Persons Export Regulations Dept of Commerce EAR CCL U.S. Citizens - Permanent Residents /Political Asylum Dept of State ITAR USML U.S. Citizens - Permanent Residents /Political Asylum Dept of Treasury OFAC Embargo License Required Classified Secretary Defense NISPOM Ex Or 13526 Only U.S. Born or Naturalized Citizens* w/ Clearance

Increasing restrictions*Some exceptions

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Scenario: Post doc JohnJohn Ali was at GT from 2007 2009 as a post doc in the humanities department. After completing his post doctoral work, John returned home to Ireland and accepted a faculty position at an educational institution there. After writing up the data he collected while at GT, John sent the paper to his post doc supervisor to review and edit. His post doc supervisor made a number of changes and returned the paper to John Ali to submit for publication. Are there any export concerns? What if John were from Iran?Georgia Tech Research CorporationAll rights reserved GTRC

What is fundamental research anywa