1. What is an export?
An export is:
2. What are Export Control Laws/Regulations?
Export Control Laws are federal regulations that restrict the transfer of certain materials, technology, related technical data, and certain services outside the United States in the interest of protecting the national security and domestic economy. These laws have been in existence for many years, but recent world events have resulted in heightened concerns about national security and stricter interpretation and enforcement of export control laws.
3. Who controls exports?
Most export control issues fall under the jurisdiction of the Department of Commerce through its Export Administration Regulations (EAR, see 15 CFR 730-774), the Department of State under the International Traffic in Arms Regulations (ITAR, see 22 CFR 120-130), and the Department of Treasury through its Office of Foreign Assets Control (OFAC).
EAR is primarily responsible for controlling the export of dual use technologies. In other words, items that are used, or have the potential to be used, for both military and non-military purposes that could adversely affect national security if exported. ITAR regulates military or defense-related articles, technologies, and services. OFAC controls the transfer of items and services of value to embargoed nations and imposes trade sanctions, and trade and travel embargoes aimed at controlling terrorism, drug trafficking and other illicit activities.
4. Is anything excluded from export control laws?
There are several exclusions, but two are particularly relevant to academic research: the fundamental research exclusion and the public domain exclusion. These exclusions can become void, if researchers make side agreements that contain publication restrictions or restriction on who may participate in the research.
IT IS CRUCIAL THAT YOU DO NOT ENTER INTO ANY SIDE AGREEMENTS THAT MENTION EXPORT CONTROLS WITHOUT GUIDANCE FROM TEES RESEARCH SERVICES.
5. What is considered fundamental research?
Fundamental research (as it pertains to export controls) includes basic or applied research in science or engineering at an accredited institution of higher learning in the U.S. where the information is ordinarily published and shared openly in the scientific community or is about to be published.
6. What is considered published information?
EAR and ITAR have different regulations on what is considered published information. For EAR, information is considered published if it has been, is about to be or is ordinarily published. The ITAR requirement is that the information has been published.
Information is considered published when it appears or is generally accessible to the interested public through the following ways:
Published or ordinarily published material also includes the following:
A conference is considered "open" if all attendees are allowed to take notes and make a person record of the presentations. In all cases, access to the information in question must be free or for a fee that does not exceed the cost to produce and distribute the materials or conduct the conference.
7. How will I know if export controls apply to my grant or contract?
Export controls apply if the topic of the research appears on either the ITAR Munitions List or the EAR Commerce Control List.
ITAR places strict controls on the export of "defense articles" and "defense services." Defense articles include any item or technical data on the United States Munitions List (USML), and defense services include the furnishing of assistance to foreign persons, whether or not in the United States, with respect to defense articles, and the furnishing of any technical data associated with a defense article.
The following categories of defense articles and services are included on the ITAR Munitions List:
The EAR Commerce Control List is more complicated. Restricted technologies are divided into ten broad categories, and the specific restrictions depend on the specifics of the technology and where it's being exported. Just so you know, here are the categories:
0 - Nuclear materials, facilities and equipment and miscellaneous
1 - Materials, chemicals, microorganisms and toxins
2 - Materials processing
3 - Electronics
4 - Computers
5 - Telecommunications and information security
6 - Lasers and sensors
7 - Navigation and avionics
8 - Marine
9 - Propulsion systems, space vehicles and related equipment
8. What kinds of projects raise export control concerns?
Any research activity may be subject to export controls if it involves the actual export or "deemed" export of any goods, technology, or related technical data that is considered dual use (commercial in nature, but can be used in military applications as well) or inherently military in nature.
Projects in the following areas have a high risk to being subjected to export controls:
In addition, any of the following may subject your research to export control regulations:
9. What happens if we do not comply with export control laws?
The consequences for noncompliance are very serious for both the university and the researcher.
10. Is any of the operating software developed by Microsoft export controlled? I usually take my laptop out of the country. Should I be concerned?
Maybe……….. Microsoft provides information under their website (http://www.microsoft.com/exportinG/default.htm) listing their different software products that are subjected to export regulations.
11. What do I need to do?
You need to inform and educate yourself about export controls. Every dean, department head, PI and research staff member should have a fundamental understanding of the subject to be able to know when to raise questions and alert TEES Research Services to a possible export control issue. The information on this website has been developed for that purpose. Also, you are strongly encouraged to attend one of the Export Controls workshops, conducted by TEES Research Services.
12. What is involved in obtaining an export license?
A license application must be submitted to the Department of Commerce or the Department of State. Contact the TEES Research Compliance Officer, Brian Ridenour, and he will initiate the request for an export license and provide you with the necessary support to address export control and license concerns. The key is to start the process early. Typically, it normally takes 3-6 months to secure a license to export controlled materials from the U.S. or to transmit them to a non-U.S. citizen or permanent resident within the U.S.
13. Where can I get help?
At anytime you have a question about export controls and how it applies to your current research project contact the TEES Research Compliance Officer, Brian Ridenour, at TEES Research Services at (979) 458-2586.
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