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The purpose of export controls is to restrict the dissemination of technology, goods, and information to foreign nationals, countries, banned entities, and sanctioned companies. Exporting information without taking the necessary precautions poses a serious security risk to the U.S. and could result in strict criminal and civil penalties. Export controls are currently regulated by the U.S. Department of State through its Export Administration Regulations (EAR), U.S. Department of Commerce through its International Traffic in Arms Regulations (ITAR), and the U.S. Department of Treasury through its Office of Foreign Assets Control (OFAC). This site is intended to provide information for faculty and students who may be traveling to foreign countries, working with foreign nationals on research projects, or transmitting equipment or information to foreign nationals. Importantly, information does not have to be transmitted outside the U.S. to violate export regulations. Exports of information that take place inside the U.S. are known as "deemed exports" because the information may be indirectly passed through a foreign national to a foreign country. Consult the navigation menu to learn more about the specific entities involved and how to be sure that you are taking the necessary precautions to avoid export violations. Importantly, the EAR, ITAR, and OFAC regulations are not intended to restrict all academic activities. Therefore, there are specific exceptions and exemptions (fundamental research, public domain, laptop, teaching, and bona fide employee) that may apply to the dissemination of information in some university instructional, research and service settings. Navigate the menu for more information on each of these exceptions. Regulations
Export controls are currently regulated by the U.S. Department of State through its Export Administration Regulations (EAR), U.S. Department of Commerce through its International Traffic in Arms Regulations (ITAR), and the U.S. Department of Treasury through its Office of Foreign Assets Control (OFAC). Although there are some similarities between the scope of the EAR and ITAR at the university level, the regulations differ in their primary focus. Specifically, the EAR is mostly concerned with dual-use items (those which are not inherently military in nature), and the ITAR is concerned with items listed on the United States Munitions List (USML) and the distribution of related information. OFAC, however, administers and enforces sanctions on targeted countries and individuals. Export Administration RegulationsThe U.S. Department of Commerce implements the Export Administration Regulations (EAR) primarily for trade protection. The EAR differs from the ITAR because it focuses on dual use items. "Dual use" is used to distinguish EAR-controlled items that can be used in both military and commercial applications (EAR 730.3). Items regulated by the EAR are listed on the Commerce Control List (CCL). The EAR covers the transport of these items and dissemination of technical data about them to foreign nationals inside and outside of the U.S. "Technical data" is defined in Part 772 of the EAR as "blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories." Part 734.2 of the EAR furthers this definition to include "oral exchanges of information in the United States or abroad." If an export does not appear on the CCL or falls under one of the exceptions, it does not require an export license. The CCL is divided into ten categories (see EAR Part 774): If your research fits into one of these categories and involves foreign nationals, consult the exceptions and exemptions section. If ineligible for these exceptions, contact the Grants Office about applying for a Bureau of Industry and Security (BIS) license before proceeding with your research. International Traffic in Arms RegulationsInternational Traffic in Arms Regulations (ITAR) are concerned with items that are inherently military in nature. Commercial (dual-use) items are governed by the Export Administration Regulations (EAR). Items regulated by the ITAR are listed on the United States Munitions List (USML). The distribution of these items and "technical data" related to them is strictly prohibited under ITAR. As described in ITAR 120.10 (5), technical data means information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. The furnishing of technical data to a foriegn national is classified as a defense service. Defense services are the provision of assistance to foreign nationals anywhere in connection with the design, development, or manufacture of articles listed on the USML (ITAR 120.9.). The twenty-one broad categories of the USML are as follows: If your research falls within these categories and you are exporting information or services, you may need to apply for an export license. Office of Foreign Assets ControlThe Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury administers and enforces sanctions against targeted foreign countries and terrorists. University researchers and students should primarily be concerned with OFAC's current list of sanctioned countries: Balkans, Belarus, Burma, Cuba, Democratic Republic of the Congo, Iran, Iraq, Ivory Coast, Liberia, North Korea, Sudan, Syria, and Zimbabwe. Distributing information to these countries without permission from the U.S. government may result in a federal violation. If you plan on carrying out research while traveling to these countries, you may need to apply for an export license. Importantly, the export of some goods (chemical and biological weapons) are regulated when exported to ANY country. The sanctioned countries are those that carry the strictest regulations. The list of sanctioned countries is constantly being changed and updated. Monitor the list as you proceed with your research. Exceptions and Exemptions
The regulations administered and enforced by the EAR, ITAR, and OFAC are not intended to obstruct university research or teachings. For this reason, there are exceptions and exemptions that allow for the dissemination of information not thought to pose a risk to national security or foreign policy. These exceptions, in general, allow for information that is openly accessible in the public domain to be distributed through teaching, research, and communication. Also, all exemptions require that information and research findings be published openly without restrictions. Any restrictions to access, participation, or dissemination by third parties will negate any exceptions or exemptions. Fundamental Research ExemptionResearch conducted in a university setting is subject to the Fundamental Research Exemption. The ITAR and EAR define the exemption slightly differently. This page will first discuss the nature of fundamental research under the EAR and then the ITAR. Fundamental research is defined in Part 734.8 of the EAR as "basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community." Also, fundamental research only applies to the disclosure of information to foreign nationals inside the United States. Shipment of goods or services outside the U.S. are not covered by the Fundamental Research Exemption. The EAR identifies several scenarios in which university research would be subject to the EAR. Since fundamental research must be made public, these distinctions apply to situations where the publication, details, or results of research are restricted: (1) The initial transfer of information from an industry sponsor to university researchers is subject to the EAR where the parties have agreed that the sponsor may withhold from publication some or all of the information so provided. Consult EAR Part 734.8 for more information on fundamental research expemptions under the EAR. Section 120.11 of the ITAR defines fundamental research as: Research that is subject to the ITAR and violates the Fundamental Research Exemption meets the following restrictions: (1) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or Public Domain ExemptionInformation that is present in the public domain is free from EAR and ITAR regulations. Importantly, this exemption only applies to information within the United States. Shipments outside the U.S. are subject to export control regulations. The definition and scope of public domain is covered in EAR 734.7 and ITAR 120.11. EAR 734.7 indicates that the public domain consists of Information that is "published" in any form, including: (1) Publication in periodicals, books, print, electronic, or any other media available for general distribution to any member of the public or to a community of persons interested in the subject matter, such as those in a scientific or engineering discipline, either free or at a price that does not exceed the cost of reproduction and distribution Consult EAR 734.7 for a more comprehensive definition of what types of information are covered by the public domain exemption. ITAR 120.11 provides a similar, yet more comprehensive, definition than the EAR: Laptop ExceptionPersonal computers, such as laptops, are listed on the Commodities Control List (CCL) of the EAR. However, a combination of the Temporary Export Exemption and "tools of the trade" classification make it acceptable, in some cases, for individuals to travel with a laptop. Temporary Export Exemptions allow for commodities and software to be used temporarily abroad. A commodity is only eligible for temporary export if it is a "tool of the trade." A 'tool of the trade" is defined in EAR Part 740.9 as "Usual and reasonable kinds and quantities of commodities and software for use in a lawful enterprise or undertaking of the exporter." These items must remain under the control of the researcher at all times and be returned to the U.S. within one year of export date. The laptop exception does not apply if you are traveling to an embargoed or T-7 country (Balkans, Burma, Ivory Coast, Cuba, Democratic Republic of the Congo, Iran, Iraq, Liberia, Libya, North Korea, Sudan, Syria, and Zimbabwe). Your laptop must also not be modified for military purposes or use in outer space. Teaching ExemptionThe disclosure of information to foreign nationals in classroom settings falls under the teaching exemption of the EAR and ITAR. In Part 734.9 of the EAR, this exemption is defined as instruction in catalog courses and associated teaching laboratories of academic institutions. ITAR Section 120.10 (5) provides a similar definition: information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or information in the public domain. Consult EAR 734.9 and ITAR 120.10 for more information on the teaching exemption. Bona Fide Employee ExemptionThe bona fide employee exemption of the ITAR allows for the disclosure of unclassified technical data in the U.S. by U.S. institutions of higher learning to foreign persons who are their bona fide and full time regular employees (ITAR 125.4 (10)). Regulated EntitiesConsult the resources and lists below for information on entities, persons, and countries banned from export through the ITAR, EAR, and OFAC. The most significant to university research is the OFAC list of sanctioned countries. Research involving any entity or country on these lists almost always requires an export license. These lists are only meant to be a resource. The University is required to keep records of compliance with export controls regulations. Penalties
Penalties for Violation of EARViolating the EAR may result in civil and criminal penalties. This page is by no means comprehensive. Consult EAR Part 764 for additional information on the reporting of sanctions and specific penalties. Penalties for Violation of ITARExports that violate ITAR may carry serious penalties. Violations are outlined in ITAR Part 127 - Violations and Penalties. Part 127.3 focuses specifically on penalties for violations. Violations fall under U.S. code 2778, Control of Arms Import and Export. The law indicates that any person who willfully violates any provision of this section, or who willfully, in a registration or license application or required report, makes any untrue statement of a material fact or omits to state a material fact required to be stated therein shall upon conviction be fined for each violation not more than $1,000,000 or imprisoned not more than ten years, or both. Please consult the documents and sections indicated above to learn more about ITAR violations. Use the resources on this site to ensure that your research is in compliance. Penalties for Violation of OFACOFAC penalties fall under the Trading with the Enemy Act (TWEA). Please consult 50 USCS Sec. 5 for a comprehensive description of criminal and civil charges that may result from an OFAC violation. Also, make certain that you apply for an export license if your research involves one of the nations embargoed by the OFAC (Balkans, Belarus, Burma, Cuba, Democratic Republic of the Congo, Iran, Iraq, Ivory Coast, Liberia, North Korea, Sudan, Syria, Zimbabwe).
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