Office of Research Compliance

Overview
Licensing & Noncompliance Penalties
Resources/Contacts
Forms
Training

Overview of Export Controls Regulations

The United States regulates "exports" of certain equipment, software and technology in furtherance of national security interests and some foreign policy objectives. Among the most important reasons for these controls are deterrence of proliferation of weapons of mass destruction and to prevent transfer of sensitive and potentially dangerous technologies to supporters of international terrorism and other problematic end-users.

Export Controls can apply to a wide range of research activities, regardless of the source of funding. Research projects involving the transfer of equipment and technology (including technical data and technological assistance) to foreign countries are potentially subject to export controls regulations. The transfer or exchange of information about science and technology also can constitute an export that is potentially subject to export controls. In some cases, this transfer of information or technology to a foreign national is regulated even though it occurs inside the United States (i.e., a "deemed" export).

Exports are regulated by three different federal agencies:

U.S. Department of Commerce

U.S. Department of Commerce-Bureau of Industry and Security

Export Administration Regulations (EAR) regulate "dual use" articles, which are items and technologies with potential commercial as well as military or security applications (e.g., laser technologies, genetically modified microorganisms, GPS systems, and information technologies). Categories of such items are available through the Export Administration Regulations Database.

U.S. Department of Treasury

U.S. Department of Treasury - Office of Foreign Assets Controls

The Office of Foreign Assets Controls (OFAC) administers and enforces economic and trade sanctions based on U.S. national security and U.S. foreign policy objectives. These regulations are not directed at specific technologies. The OFAC sanctions programs forbid the transfer of "anything of value" to certain embargoed countries, entities, and individuals. The OFAC website provides helpful information about country based sanctions programs [Sanctions Program Summaries] and also identifies those individuals and entities on OFAC's list of prohibited parties - the Specially Designated Nationals list [SDN List].

U.S. Department of State

Directorate of Defense Trade Controls

International Traffic in Arms Regulations (ITAR) regulate defense articles and related services and technical data (i.e., items, information and services that are inherently military in character) that are identified on the U.S. Munitions List.

Export restrictions under EAR, OFAC and ITAR regulations/sanctions often implicate research activity. For examples, a license may be required in order to:

Take a laptop computer or GPS system containing controlled software into a restricted country.
Ship certain research equipment outside of the United States.
Make a payment (including honoraria, or "anything" of value) to someone in or from one of the OFAC/embargoed countries.
Collaborate with a foreign national from embargoed countries or release certain technology or technical information to a foreign national while outside of the United States.
Allow foreign nationals from restricted countries to participate in certain research projects at universities in the U.S. if the research falls outside the scope of the FUNDAMENTAL RESEARCH exclusion.

The GOOD NEWS about export controls is that much of the research activity conducted at universities in the United States does come within the scope of the FUNDAMENTAL RESEARCH exclusion. In addition, in many of the cases listed above, an EXCLUSION or license exception will be available in order to export without applying for a license.

Licensing

If it is determined that a license will be required, substantial time should be built into the project plan to accommodate the license application process. This process can take several weeks, even months, depending upon the agency and the nature of the export. If a license is granted, the conditions of the license for the export activity must be carefully observed. If a license application is denied, that activity, export or deemed export, is prohibited.

Penalties for Noncompliance:

The penalties for noncompliance are quite severe. The civil penalty fines for violation of these regulations is $250,000 per occurrence. The criminal penalty amounts are $1,000,000 per occurrence and/or imprisonment.

Emory Information Resources for Export Controls Issues

Emory Process for Addressing Export Controls Issues:

Many of the schools or divisions have a designated individual who has received training on Export Controls. (See tables below) This individual also holds a license to use the "Visual Compliance" application which enables initial screening of export transactions based on the equipment or technology involved, destination country and/or individual recipient, as well as intended end use. This designated individual should be notified immediately regarding any planned or contemplated export transactions within the school or division.

The Office of Research Compliance (ORC) also is available to assist with any Emory related export controls questions. Designated individuals from the schools and divisions should call ORC with specific questions regarding export controls.
Researchers or other staff from schools or units that do not have a designated individual listed on the chart below should call the Office of Research Compliance with their questions about export issues.

Contacts:

University-Wide

Office of Environmental Health & Safety	Diane Kusek Compliance Documentation Officer	(404) 727-5904 diane.kusek@emory.edu
Office of Finance: Purchasing	Loette King Vice President, Finance	(404) 727-0909 loette.king@emory.edu
Office of Finance: Controller	Stephen Frangis Director, Fiscal Accountability	(404) 727-7290 stephen.frangis@emory.edu
Office of Technology Transfer	Dawn Werner Material Transfer Agreement Specialist	(404) 727-1185 dwerne2@emory.edu
Office of Sponsored Programs	Please contact your assigned Analyst first	(404) 727-2503 (OSP Main)
Office of Sponsored Programs	Holly Sommers Associate Director	(404) 727-2507 holly.sommers@emory.edu
Office of Research Compliance	Doris Kirby Associate Director	(404) 727-2516 doris.kirby@emory.edu
Office of Research Compliance	Christine Cramer Research Compliance Specialist	(404) 727-2398 (ORC Main) ccrame2@emory.edu

College/School/Unit Specific

Emory College	Maggie Hassan Assoc. Director, Office of Research Funding and Support	(404) 727-6783 mmhassa@emory.edu
Rollins School of Public Health	Shelle Bryant Project Coordinator, Emory Ctr/Aids Research	(404) 727-9437 shelle.bryant@emory.edu
School of Medicine	Patricia Haugaard Asst. Dean for Research	(404) 727-3774 phaugaa@emory.edu
	Helen McLaughlin Asst. Dean for Administration	(404) 727-3413 mclaugh@emory.edu
	Joshua Barwick Assoc. Dean, Administration	(404) 712-9793 jbarwic@emory.edu
Yerkes Primate Research Center	Martha Walsh Chief Financial Officer	(404) 727-8513 martha.walsh@emory.edu

Checklists For Export Controls Issues and Research Related Travel

Forms

These checklists should be used to help determine whether an Emory University owned1 or controlled laptop, PDA, digital storage device, or global positioning system ("GPS"), as well as their associated software and technology, will require a license in order to be "exported."2 Researchers effectively export these items when they:

Take the device, equipment, software and/or technology outside of the United States;
Allow a person in a foreign country to use their devices or other equipment; or
Allow a foreign national access to certain devices, equipment, software or technology in the United States (i.e., a "deemed export").

All of these activities qualify as exports under U.S. export control regulations and can trigger licensing requirements under U.S. export control laws.

This group of checklists is narrowly focused on research-related travel outside of the United States. License requirements will vary based upon the country you are traveling to and your intended use of the equipment while you are abroad.

In many cases, an "exclusion" from export controls regulations or a "licensing exception" will be available in order to export these devices, equipment, etc. These checklists are designed to help you determine whether your export will come within one of these exclusions or exceptions. You need meet the requirements of only one of the checklists in order to export your device, equipment, etc., without a license.

Researchers should review this group of checklists before engaging in any Emory sponsored or related travel.

If the checklists below indicate that your export does not fall within an exclusion or license exception, please contact your unit's designated individual for an analysis of whether an export license will be required. This analysis must occur before the equipment is exported. Please contact your unit's representative as soon as you know you will be engaging in future export activity. Obtaining a license can require several weeks, even months, and early contact with your Unit Administrator can help you to avoid serious delays.

1 An additional checklist for use with similar devices that are personally owned by Emory researchers is included - See "Checklist for License Exception - Baggage"

2Please note that almost any research interactions with sanctioned countries such as Cuba, Iran, North Korea, Syria and Sudan will most likely require a license.

Source Code
Code written by a programmer in a high-level language and readable by people but not computers. Source code must be converted to object code or machine language by a compiler before a computer can read or execute the program.

Encryption Source Code
A precise set of operating instructions to a computer that, when compiled, allows for the execution of an encryption function on a computer.

From: United State Bureau of Industry and Security, Export Administration Regulations, Part 772 - Definitions

Important Note - Encryption software that is preloaded onto laptop computers purchased from mass-market vendors generally does not contain "source code".

Training

Fundamentals of Export Controls Training Presentation
In person training for groups available upon request