u.s. laws and their implemented regulations that prohibit the unauthorized “export” of certain...
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Export Controls
U.S. laws and their implemented regulations that prohibit the unauthorized “export” of certain controlled ITEMS, INFORMATION OR SOFTWARE to foreign persons or entities in the U.S. and abroad◦ Export control laws apply to all activities –
not just sponsored research projects
What are export controls?
Export: Any oral, written, electronic or visual disclosure, shipment, transfer or transmission outside of the United States to anyone, including a U.S. citizen, of any commodity, technology (information, technical data, or assistance) or software/codes.
Deemed Export: Providing, transferring, or disclosing technical data or technology to a foreign national within the United States.
What is an export?
Equipment & material purchase, usage & disposal
Research agreements International agreements Material transfer agreements Nondisclosure agreements Software and other intellectual property
licenses International travel Contractual services agreements
Examples of common universitydeemed export risk areas:
Foreign National
Oversight of Export Control Laws: Responsible U.S. Agencies
State Department: Inherently military technologies--International Traffic in Arms Regulations (ITAR)
Commerce Department: “Dual-Use” technologies (primary civil use) – Export Administration Regulations (EAR)
Treasury Department, Office of Foreign Assets Control (OFAC): Prohibits transactions with countries subject to boycotts, trade sanctions, embargoes
Items on the Munitions List◦Includes both research on “defense
articles” and training or assistance in developing “defense articles”
◦Technical data related to the manufacture or production of defense articles
◦Anything with a substantial military application
What is Subject to ITAR?
Items on the Commerce Control List (CCL)
• Examples:• Batteries and Fuel Cells• Cameras and Optics Equipment• Artificial Intelligence Software• Certain Computer Equipment• Items using Laser Technology• Certain Chemicals, Microorganisms and Toxins
What is subject to EAR?
Sanctions Programs and Country Information Economic sanctions against hostile targets,
including countries May prohibit travel, payment or providing
anything of value to the sanctioned country
What does the Office of ForeignAssets Control (OFAC) enforce?
Shipment of physical items outside of U.S. Discussion of unpublished research at a
conference in the U.S. with foreign nationals present
Visit to a lab on campus by a foreign national scholar where technical data is displayed
Participation of foreign nationals in research Receiving an email with technical data on a
foreign national’s computer
Examples of exports
A license is not required to disseminate information if one of three exclusions applies:
• Fundamental Research Exclusion (ITAR, EAR)
• Employment Exclusion (ITAR only)• Education Exclusion (ITAR, EAR)
Exclusions
Anything in the Public Domain is also excluded
Basic and applied research No restrictions of access by students or
others No restriction on publication Research carried out openly Results are intended to be shared broadly in
the scientific community
Fundamental Research Exclusion
The university accepts any contract clause that:
• Forbids the participation of foreign persons;• Gives the sponsor a right to approve publications resulting from
the research; or• Otherwise operates to restrict participation in research and/or
access to and disclosure of research results.
The Fundamental Research Exclusion isn’t viable if:
No license is required to share controlled technical information with a foreign person who:
• is a full-time, bona fide university employee • has a permanent address in the US while employed provided that person is
• not a national of certain countries and• is advised in writing not to share controlled information with other foreign
persons
Employment Exclusion
ITAR•exemptions include information of a “general scientific, mathematical or engineering” nature
EAR•excludes education information released by instruction in catalog courses and associated teaching laboratories
Education Exclusion
Researchers are at the “front line” of export control issues because:
• They have control over the scope of the research project• They are the ones who make the decision regarding equipment
and/or technology• They have ultimate control of the research project
Researchers and Export Control?
Deemed Exports Foreign National restrictions in contracts Government-sponsored research covered by
national security contract controls ITAR -- “defense articles” and “defense
services,” especially in space research The application of OFAC sanctions to
university sponsored or related activities
Key Issues for University Research
Failure to comply with U.S. export control laws can result in severe penalties:
• Civil penalties up to $500,000 each violation• Criminal penalties up to $1,000,000 each
violation• Imprisonment up to 10 years
Penalties for Non-compliance
