umass amherst export control seminar...2009/11/18 · es/index.html examples: afghanistan, burma,...
TRANSCRIPT
![Page 1: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/1.jpg)
1
UMass Amherst
Export Control Seminar
Liz Rodriguez Associate Counsel
University of Massachusetts November 18th, 2009
![Page 2: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/2.jpg)
2
![Page 3: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/3.jpg)
3
![Page 4: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/4.jpg)
4
![Page 5: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/5.jpg)
5
![Page 6: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/6.jpg)
6
![Page 7: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/7.jpg)
7
![Page 8: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/8.jpg)
8
![Page 9: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/9.jpg)
9
Purposes of E/C Law Advance Foreign Policy Goals Restrict Exports of Goods and Technology that could
Lend a Military Advantage to our Adversaries
Prevent Proliferation of Weapons of Mass Destruction
Prevent Terrorism
Fulfill International Trade Obligations
Balance These Objectives Against Impact on U.S. Economy including on R&D
![Page 10: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/10.jpg)
10
Export Send or Take a Controlled Item Outside of
the United States Release of Controlled Item to a Foreign
National WITHIN the United States Unlawful to Export a Controlled Item Without a
License or under Exemption or Exception
![Page 11: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/11.jpg)
11
Deemed Export
Release Within U.S. Technology, information and data or software source
code, or providing technology training or services (including about a machine or equipment)
Subject to EAR or ITAR Deemed to Country of Citizenship or Residency Foreign Nationals – excludes U.S. Permanent Resident
(green card holder) and persons with refugee, asylum or other protected status
Where No License Exemption or Exception Applies
![Page 12: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/12.jpg)
12
![Page 13: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/13.jpg)
13
High Risk Disciplines
Engineering
Astronomy
Computer Science
Polymer Science & Engineering
![Page 14: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/14.jpg)
14
High Risk Disciplines
Government Contract/Subcontract with
U.S. Military Agencies Corporate Sponsors Include Defense Contractors Foreign Corporate and Government Sponsors
![Page 15: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/15.jpg)
15
Key Regulations - ITAR
Military Items (and Space) Regulated by the State Department International Traffic in Arms Regulations U.S. Munitions List (USML) National Security Not only Sensitive or Classified Items
MILITARY
![Page 16: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/16.jpg)
16
Key Regulations - EAR
Dual-Use Items Regulated by the Commerce Department Export Administration Regulations (EAR) Commerce Control List (CCL) ECCNs, including EAR99 Commercial Items with possible Dual Uses Balance foreign availability, commercial and research
objectives with national security Lists to Check
http://www.bis.doc.gov/complianceandenforcement/liststocheck.htm
![Page 17: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/17.jpg)
17
ITAR/EAR DIVIDE
Encryption items. The phrase encryption items includes all encryption commodities, software, and technology that contain encryption features and are subject to the EAR. This does not
include encryption items specifically designed,
developed, configured, adapted or modified for military applications ( including command, control and intelligence applications) which are controlled by the Department of State on the U.S. Munitions List.
![Page 18: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/18.jpg)
18
Key Regulations - OFAC
Embargoed Countries and Sanctioned Persons Regulated by the Treasury Department Office of Foreign Assets Control (OFAC) Embargoed Countries SDN List of Sanctioned Persons Prohibits Payments Includes terrorists, terrorist organizations, drug
traffickers
![Page 19: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/19.jpg)
19
Embargoed/Sanctioned Countries as of November 2009
Cuba, Iran, North Korea, Sudan, Syria Others: http://www.access.gpo.gov/bis/ear/pdf/746.pdf Embargoed for Defense Articles and Services:
http://www.pmddtc.state.gov/embargoed_countries/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea
Arms Embargo to China - Includes Space
MUST SECURE A LICENSE FIRST!
![Page 20: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/20.jpg)
20
Severe Penalties against Institutions and Individuals
Penalties for ITAR Violations (each, per violation): Criminal (Entities): Up to $1M Criminal (Individuals): Up to $1M / 10 years prison Civil Fines: Up to $500K and Forfeitures
Penalties for EAR Violations (each, per violation): Criminal (Entities): Up to $1M Criminal (Individuals): Up to $1M / 20 years prison Civil Fines: $250K
![Page 21: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/21.jpg)
21
Severe Penalties against Institutions and Individuals (cont’d)
Penalties for OFAC violations (per violation): Criminal (Entities): Up to $1M Criminal (Individuals): Up to $1M / 20 years prison Civil Fines: $250K
Institution also subject to administrative penalties: Termination of export privileges (EAR and ITAR); Suspension and/or debarment from government
contracting (EAR and ITAR)
![Page 22: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/22.jpg)
22
Behind Bars
A federal jury found University of Tennessee professor emeritus J. Reece Roth guilty of 18 charges involving the Arms Export Control Act.
Roth repeatedly allowed two foreign national graduate students access to information on a military project and he took data about it to China in May 2006.
On July 1, 2009, a federal judge ordered Professor Roth to serve four years behind bars for his handling of restricted air force technology.
![Page 23: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/23.jpg)
23
![Page 24: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/24.jpg)
24
Controlled Item?
Four Step Process
1. Determine ECCN Using CCL Part 774 & Check for License Exceptions
2. Check Country Chart
3. Check General Prohibitions for End-Uses, including for EAR99 Items
4. Check EAR & OFAC Lists for End-Users, including for EAR99 Items
Items Not Specified by an ECCN are “EAR99”
![Page 25: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/25.jpg)
25
Using the CCL Commerce Control List Part 774 10 Categories of Items Each Category Organized into 5 Groups
(A) Systems, Equipment, and Components (B) Test, Inspection and Production Equipment (C) Materials (D) Software (E) Technology - information (aka technical data and technical
assistance) about “development”, “production”, or “use” of a product
Each Item Designated by an ECCN e.g., 3A981 End-User Certificate for Foreign Sponsors
![Page 26: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/26.jpg)
26
Red Flags Know Your Customer and End-Uses – such as research
collaborators in foreign countries
Sponsor Letters – “vet” who you are sponsoring before you assist them in securing any visa
Sponsors with unusual requests, such as large batches of highly regulated and potentially hazardous materials
Requests from persons in U.S. to ship abroad, or with phone numbers or addresses outside of the US
Requests from Sponsors for materials outside their general business area
![Page 27: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/27.jpg)
27
EAR & ITAR License Exemptions
Public Domain Education Exclusion Fundamental Research
![Page 28: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/28.jpg)
28
License Exemptions Public Domain EAR/ITAR/OFAC
Information that IS published AND generally accessible to the public, including:
Items Available through newsstands, bookstores,
Internet, subscriptions, mail order Libraries Published Patent Applications and Patents Conferences, Meetings, Seminars in the U.S. Generally
Accessible to the Public Fundamental Research
PUBLIC DOMAIN = NOT SUBJECT TO EAR / ITAR
![Page 29: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/29.jpg)
29
License Exemptions Education Exclusion EAR/ITAR
EAR does not apply to instruction in catalog courses and
associated teaching laboratories of universities DOES NOT EXCLUDE CERTAIN ENCRYPTION SW 15 cfr 734.9
ITAR does not apply to technical data (information) that
only describes general scientific, mathematical or engineering principles commonly taught in universities
DOES NOT EXCLUDE TEACHING ABOUT SPECIFIC TECHNICAL DATA OR
ANY MANIPULATION OF DEFENSE ARTICLE NOTE: ITEMS IN PUBLIC DOMAIN ARE NOT SUBJECT TO ITAR
![Page 30: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/30.jpg)
30
Fundamental Research Exclusion NSDD-189 (1985)
Fundamental research means BASIC and APPLIED RESEARCH in science and engineering at Universities, the results of which ORDINARILY ARE PUBLISHED AND SHARED BROADLY within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reason.
![Page 31: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/31.jpg)
31
Fundamental Research Exclusion (FRE)
..no restrictions on publication of research results
..no access or dissemination controls on the results of the research (normally seen as restrictions/ approvals of foreign nationals working on project)
..does not apply to advanced encryption
..does not apply to defense article itself
![Page 32: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/32.jpg)
32
Laboratory Service Contracts
Purchase Orders From Recharge Centers Right to Publish? Are you receive Materials from Sponsor? Using Modified Equipment with Unpublished
User Manuals? Using Proprietary Technology? Unpublished
Protocol? Process not covered by Patent? No Protection Under FRE Supplier Classification of Materials
![Page 33: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/33.jpg)
33
Fundamental Research Exclusion EAR Guidance
For dual-use items, the EAR provides guidance and greater flexibility than ITAR for FRE
Permits prepublication delay by sponsor to prevent inadvertent release of sponsor proprietary information and to file for patent protection
FRE applies to work under U.S. government grant involving EAR controlled information even if there are access and dissemination controls provided that university follows the national security controls
See Dept. of Commerce FAQs: Suppl 1 Part 734
![Page 34: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/34.jpg)
34
Proprietary Information - EAR
BIS policy is that information an organization or individual withholds from publication is subject to the EAR. Trade secrets fall within the scope of EAR and may require license before release to a foreign national.
If preexisting technology, subject to the EAR, is the
basis of a research endeavor, it may be necessary to receive a license before involving foreign nationals in that research.
![Page 35: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/35.jpg)
35
Proprietary Machines
There are few exclusions that cover foreign national access to defense articles or company proprietary machines with unpublished use manuals.
Open Source Software
Software development for research purposes or intended to be open-sourced results in publicly available software, assuming encryption restrictions do not apply.
![Page 36: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/36.jpg)
36
Nondisclosure / Confidentiality Agreements
If you enter into a confidentiality or nondisclosure agreement which restricts your ability to publish research results, the project may cease to qualify for the fundamental research exclusion
Exchange of controlled items under a confidentiality or nondisclosure agreement, for example during the proposal stage, does not qualify for fundamental research exclusion.
![Page 37: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/37.jpg)
37
Strategies
Avoid Signing Confidentiality Agreements Avoid Accepting Company Proprietary Items or
Information Buy commercially available materials rather than
Company provided materials Refuse Publication Restrictions Ask Sponsors to Omit Controlled Items from
UMass Portion of Subcontract - DARPA Notify OGCA of any Red Flags – Knowledge of
Violation is about to occur?
![Page 38: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/38.jpg)
38
Shipping Materials or Technology Abroad
Use 4 Step Process to Classify the Item under EAR Is it Specifically Designed, Configured, Modified or
Adapted for a Military or Space Application? If so, ITAR may apply Any Red Flags – Do you suspect any Proliferation
Activities such as activities relating to proliferation of nuclear, chemical or biological weapons, missiles or weapons of mass destruction?
Need to make an AES filing
DOUBLE CHECK--HAVE YOU CHECKED THE LISTS!!
![Page 39: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/39.jpg)
39
Automated Export System (AES)
AES electronic filing (formerly, the Shipper’s Export Declaration paper filing) is required for shipments such as:
transactions authorized under an export license, such as a shipment to an OFAC embargoed country
All commodities shipped under NLR or a license exception if the value is greater than $2,500
Online Training EAR Training - Module 6
![Page 40: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/40.jpg)
40
Travel Abroad
Exemptions may apply to cover export of controlled items (commodities, software, materials, information) abroad, but planning is required to identify the exemptions
Temporary licenses (TMP) may apply for items that will be carried with you and returned to U.S.
Guidelines for Securing a License are Available for Travel to Certain Countries, such as Cuba
There may be Approved Travel Companies that can assist to secure a license
![Page 41: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/41.jpg)
41
Running a Tight Ship (ITAR)
Practices to Ensure Compliance
What U.S. Origin Defense Articles (items or technical data) are developed or received by your laboratory and how do you track it?
What U.S. Origin technical data related to
defense articles are developed or received by your laboratory and how do you track it?
![Page 42: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/42.jpg)
42
Bona Fide Employee Exclusion (ITAR)
The exclusion under ITAR 125.4(b)(10) allows a bona fide University Full Time Foreign National Employee to have access to unclassified technical data, but the employee must:
Must live in U.S. Cannot be a national from a proscribed country
under ITAR 126.1 and Must be notified in writing not to transfer data to
other foreign nationals
![Page 43: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/43.jpg)
43
Resources Commerce Department (EAR) Online Training http://www.bis.doc.gov/seminarsandtraining/semin
ar-training.htm Determining ECCN
http://www.bis.doc.gov/licensing/exportingbasics.htm
EAR Definitions http://www.access.gpo.gov/bis/ear/pdf/772.pdf
![Page 44: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/44.jpg)
44
State Department – International Traffic in Arms Regulations (ITAR) Applies to Defense Articles and Defense Services ITAR Regulations http://www.pmddtc.state.gov/regulations_laws/itar_consolidated.html Items listed on United States Munitions List (USML)
http://www.pmddtc.state.gov/regulations_laws/documents/consolidated_itar/2009/Part_121.doc
Includes Space-related Technology Due to Nexus to Missile Applications Commerce Department – Export Administration Regulations (EAR) Bureau of Industry and Security (BIS) http://www.bis.doc.gov/ Commercial Items Determined to Have Potential for “Dual-Use” Items listed on the Commerce Control List (CCL) and EAR99 “catch-all” Treasury Department - Office of Foreign Assets Control (OFAC) Trade sanctions, embargoes, restrictions on certain end-users Sanctions on terrorists, terrorist organizations, narcotics king pins Others: Nuclear Regulatory Commission; Department of Energy, Department of
Homeland Security; Customs; Immigration and Naturalization Service
Federal Agencies & Statutes
![Page 45: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/45.jpg)
45
Commerce Control List EAR Categories
0-Nuclear Materials, Facilities & Equipment (and Miscellaneous Items)
1-Materials, Chemicals, Microorganisms, and Toxins 2-Materials Processing 3-Electronics Design, Development and Production 4-Computers 5-Telecommunications and Information Security 6-Sensors and Lasers 7-Navigation and Avionics 8-Marine 9-Propulsion Systems, Space Vehicles and Related Equipment
![Page 46: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/46.jpg)
46
U.S. Munitions List ITAR Categories
I - Firearms, Close Assault Weapons and Combat Shotguns II- Guns and Armament III- Ammunition/Ordnance IV- Launch Vehicles, Guided Missiles, Ballistic Missiles,
Rockets, Torpedoes, Bombs and Mines V- Explosives and Energetic Materials, Propellants, Incendiary
Agents and Their Constituents VI- Vessels of War and Special Naval Equipment. VII- Tanks and Military Vehicles VIII-Aircraft and Associated Equipment IX- Military Training Equipment X- Protective Personnel Equipment
![Page 47: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/47.jpg)
47
U.S. Munitions List (cont’d)
XI- Military Electronics XII- Fire Control, Range Finder, Optical and Guidance and
Control Equipment XIII- Auxiliary Military Equipment XIV-Toxicological Agents, Including Chemical Agents, Biological
Agents, and Associated Equipment XV- Spacecraft Systems and Associated Equipment XVI- Nuclear Weapons, Design and Testing Related Items XVII- Classified Articles, Technical Data and Defense Services
Not Otherwise Enumerated XVIII-Directed Energy Weapons XIX- Reserved XX- Submersible Vessels, Oceanographic and Associated
Equipment XXI- Miscellaneous Articles
![Page 48: UMass Amherst Export Control Seminar...2009/11/18 · es/index.html Examples: Afghanistan, Burma, Belarus, Lebanon, North Korea Arms Embargo to China - Includes Space MUST SECURE](https://reader036.vdocuments.us/reader036/viewer/2022071004/5fc1bd71af5668508118db2a/html5/thumbnails/48.jpg)
48