Export Policy

1-6

It is the policy of UCAR to comply with all export laws and regulations of the United States. Export controls govern the transfer, distribution, disclosure and shipment of certain controlled information, software code and tangible items as well as the provision of certain services to Foreign Persons and countries. Although most of the work that UCAR undertakes involves uncontrolled fundamental research that may be shared freely with Foreign Persons, UCAR is occasionally involved in the export of controlled services, items and/or technology. UCAR takes its export control responsibilities seriously, and expects its employees to do so as well.

Each employee is responsible for: (a) recognizing when the transfer, distribution, disclosure or shipment of an item or of information or software may qualify as a regulated export; (b) seeking assistance from the UCAR Office of General Counsel prior to proceeding with, or agreeing to engage in, a regulated export; and (c) complying with all export control laws and regulations as well as this Policy and related export control procedures. Further, each employee is responsible for complying with restrictions related to travel to and business with countries, entities, and individuals sanctioned by the United States in regulations, laws, and executive orders enforced by the U.S. Department of Treasury's Office of Foreign Assets Control.

Engaging in an export without complying with applicable export laws and regulations, this Export Policy, and the related export control procedures may subject both UCAR, as well as the individual exporting employee, to substantial civil and criminal penalties. Any employee who exports in violation of law or this Policy may be subject to disciplinary action by UCAR, up to and including termination.

Please see UCAR's Export Control procedures for a full description of export control procedures and information subject to export controls.

Export Procedures

(related to Policy 1-6)

I. Introduction. These procedures are designed to manage the treatment, shipment and transfer of export-controlled information and technologies so as to ensure compliance with export laws of the United States . 

II. Definitions.

A. Deemed Export . Deemed Export means the release or disclosure of technical information (including software) to a Foreign Person, whether within or outside the United States .

B. Export. An Export is the transfer, shipment or release of certain equipment, technology, software, services, knowledge and information directly or indirectly to a Foreign Person.

C. EAR. The Export Administration Regulations are promulgated and enforced by the Bureau of Industry and Security (BIS), which is part of the Department of Commerce.

D. EMP. The Export Management and Control Plan is UCAR's institutional plan to meet its export obligations and provides best practices for export management.

E. Foreign Person . Foreign Person means any person who is not a permanent resident (permanent residents include U.S. citizens and green card holders). Foreign employees, students and visitors who are in the United States on non-permanent resident status are considered Foreign Persons. Foreign Person also means any business entity that is not organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments.

F. Fundamental Research. Fundamental Research means basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls . Information generated during and resulting from Fundamental Research is not be subject to export restrictions to Foreign Persons.

G. ITAR. The International Traffic in Arms Regulations (ITAR) are promulgated and enforced by the Department of State (Directorate of Defense Trade Controls).

H. OFAC. Office of Foreign Assets Control.

I. OGC . UCAR Office of General Counsel. 

III. Procedures 

Each UCAR employee who exports is responsible for ensuring that his/her export complies with the law. This responsibility includes the following obligations:

A. Recognize when you are engaged in an export . Exports may take any one or more of three forms:

1. Shipment or transport of, or arranging for the shipment or transport of, an item, technology or technical information (including software) outside the United States.
2. The provision of defense services or technical assistance in the development, design, modification, maintenance, repair, testing, production or “use” of a military item.
3. Release or disclosure of technical information (including software) to a Foreign Person, whether within or outside the United States.

B. Get help.

1. Attend training and/or ask for training. Directors, Principal Investigators and Administrators having responsibility for projects involving export-controlled material and/or international collaborations must ensure that employees, and others within their respective areas of responsibility, are properly instructed in the handling of export-controlled items and information. Export-awareness and compliance training from the OGC is provided semi-annually to all interested personnel and is available to any individual or department, upon request.
2. Obtain an export control evaluation. Contact the OGC for assistance prior to export, if exporting anything other than Fundamental Research. See the Points of Contact listed at the bottom of these procedures.

C. Refuse to accept classified information from third parties.

D. Recognize that confidentiality commitments to, and confidential developments for, third parties can trigger export control obligations. Export-control obligations may be triggered when you accept access to or commit to produce confidential technical information. Unlike information that has been published or is in the public domain, confidential technical information may be subject to export restrictions. A decision to treat UCAR intellectual property as confidential and a commitment (whether orally or in writing) to third parties to treat information as confidential or export-controlled are inconsistent with any claim that such information is unrestricted and uncontrolled Fundamental Research. For this reason, be alert to such decisions and commitments. They signal the possibility that export controls apply to the information. Involve the OGC to ensure that you are adequately controlling such information and preventing access by Foreign Persons.

E. Recognize that services performed for a military purpose or for a military end user can trigger export control obligations. Projects may be ITAR-controlled if:

1. The project is intended for a military purpose.
2. The project is sponsored by a military entity and the sponsored work does not qualify as Fundamental Research ordinarily published and shared broadly within the scientific community.
3. The project sponsor/contractor or subcontractor requests comprehensive Foreign Person access restrictions or publication restrictions on the results of the project.

Directors and any Principal Investigators with responsibility for any project involving the generation or acceptance of ITAR-controlled technical information must institute and document procedures designed to prevent access by unauthorized persons, including Foreign Persons.

F. Do not permit a Foreign Person access to export-controlled technical information without first obtaining an export license.

G. Refuse to engage in any suspicious transaction.

H. Consider shipping exclusively through UCAR Shipping. UCAR employees may request export shipping assistance from UCAR Shipping.

I. Retain records. Records of export transactions and other export documentation must be maintained by UCAR Shipping, the OGC and the exporting employee (and other relevant personnel) for a minimum of five years from the date of shipment or expiration of the applicable license, whichever is longer.

J. Do not disclose export-controlled information to others without a compliance commitment. All agreements and contracts that may involve UCAR's disclosure or transfer of export-controlled items or technical information must include appropriate clauses, terms, or conditions to assure the third party's commitment to compliance with all applicable export control laws and regulations.

K. Do not do business with the following countries or individuals from these countries without first consulting with the OGC:

Iran , Syria , Cuba , Sudan , North Korea

IV. Points of Contact

UCAR has designated the following individuals to review proposed exports and help employees comply with export laws:

•  Sarah Pritchard , Associate General Counsel in the UCAR OGC – x8564

•  Margaret McClellan , General Counsel in the UCAR OGC – x8775

•  Kerry Slaven , Manager of Logistics Operations in UCAR Shipping (for shipments only) – x1151