UCAR/NCAR/UCP Export Compliance

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UCAR/NCAR/UCPExport Compliance

EOL MAC

4-18-2013FL3-2072

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Export Controls Summarized

You need permission to export (or temporarily import) controlled articles or technology, or to provide defense

services to a Foreign Person (unless you qualify for an exemption), and you must

keep records and make reports.

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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PermissionTypically, a license, agreement, or an

exemption or exception to the requirement for a license.

- Exemption – Dept. of State- Exception – Dept. of Commerce

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Export• Any item that is sent from the United

States to a foreign destination• “Items” include hardware,

instruments, software, or technical data and information

• By fax, phone, email, ftp, FedEx, hand carried, etc.

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Deemed Export• The release of technology or source

code to a foreign national in the United States is “deemed” to be an export to the home country of the foreign person under the EAR.

• Granting access to controlled technology

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Controlled Articles or Technology• Listed on the State Dept.’s USML or

Commerce Dept.’s CCL

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State DepartmentUSML-U.S. Munitions List

ITAR-International Trade in Arms Regulations

• Military items or defense articles• Includes space related technology because

of application to missile technology• Includes technical data related to defense

articles and services• Does not include basic marketing

information or general system descriptions

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Department of CommerceCCL-Commerce Control List

EAR –Export Administration Regulations

• Dual use items– items that have both commercial and

military or proliferation applications – but purely commercial items without an obvious military use are also subject to the EAR

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Defense Services• (a) The furnishing of assistance, including

training, to foreign persons in the design, engineering, development, production, processing, manufacture, use, operation, overhaul, repair, maintenance, modification, or reconstruction of defense articles, whether in the United States or abroad; or (b) The furnishing to foreign persons of any controlled technical data, whether in the United States or abroad.

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Foreign Person• Foreign person means any person who is

not a citizen or national of the United States unless that person has been lawfully admitted for permanent residence. It includes foreign corporations, international organizations, foreign governments, and any agency or subdivision of foreign governments

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Exception• A "License Exception" is an

authorization that allows you to export or reexport, under stated conditions, items subject to the Export Administration Regulations (EAR) that would otherwise require a license.

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Recordkeeping• Records of transactions involving

exports, including exports utilizing any of the License Exceptions, must be maintained 5 years.

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• You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Reporting• The use of certain license exceptions

include reporting requirements• For example, exports of certain

commodities, software and technology controlled under the Wassenaar Arrangement (high performance computers, thermal imaging devices)

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What’s not controlled?• Information concerning general

scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.

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What’s not controlled?• Information that is published and

which is generally accessible or available to the public

• Fundamental research in science and engineering where the resulting information is ordinarily published and shared broadly in the scientific community.

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Review• You need permission to export (or

temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.

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Recent Changes• OpenHire• Visitors• H1B Visa Applications• Restricted Party Screening• Shipping Export Controlled Items• Award Review• Dept. of Defense Projects• E-learning via Skillport• International travel with devices and data• TMP certification form

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Where to find more information• http://www.pmddtc.state.gov/• http://www.bis.doc.gov/• http://www.fin.ucar.edu/export/index.

html

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• If you have any doubts or concerns about any aspect of export compliance, please ask for assistance from your ECC or Export Compliance Manager.

• http://www2.fin.ucar.edu/ogc/export-contacts

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• You should always consider reporting suspected unlawful activity, since proactive cooperating businesses are less likely to become the subjects or targets of export control investigations.

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• Dave Sundvall, Export Compliance Manager, export@ucar.edu, x8898

• Meg McClellan, Sr. Empowered Official, mmcclell@ucar.edu x8875

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Notes