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17. Guidelines on Export Controls


The Department of Commerce's Export Administration Regulations (EAR) and the Department of State's International Traffic in Arms Regulations (ITAR) restrict the export of certain technology or technical data, such as military applications (regulated by ITAR) or commercial applications that may also have value in a military context (regulated by EAR), overseas and to foreign nationals working in or visiting the United States. In some circumstances, the University may be required to obtain prior approval from the appropriate agency before allowing foreign nationals to participate in research, collaborating with a foreign company, or sharing research results with foreign nationals. The Treasury Department's Office of Foreign Assets Control (OFAC) regulates trade embargoes, sanctions, and travel restrictions and restricts exportation of information and research articles to embargoed entities and persons.

These regulations, which have been in place for over twenty years, carry a range of potential penalties, including imprisonment, for individuals who violate them. This page provides guidance to University faculty, students, and staff so that they may recognize when the regulations may apply and when an export or OFAC license may be required in connection with research.

An “export” is defined as:

  • the transfer/shipment of a specific item or piece of information to someone located outside of the United States, even if that person is a U.S. citizen;
  • the transfer of information to certain foreign nationals inside the U.S.
  • any transaction with or the provision of services to anyone residing in certain foreign countries or individuals who are on embargoed lists.

Exports usually will require a license for one or more of the following reasons:

  • The technology or information has actual or potential military applications or raises economic protection issues;
  • Government concerns about the destination country, organization, or individual; or
  • Government concerns about the declared or suspected end use or the end user of the export.
 
 

"Do I need to be concerned if I am shipping technology or materials oversees?"

  
 

However, in most cases, the majority of the University’s research activities will not require a license because the research will fall under what is referred to as the “Fundamental Research Exemption”.

Generally a license is not required to export fundamental research (i.e., the research results), as long as there are no restrictions on publication of the research or other restrictions on dissemination of the information. In some cases, the exception applies as long as the research or information is "made public" or is "intended to be made public" . Since UR research policy does not allow research to be undertaken without the possibility of publication, this exclusion will almost always apply.

As outlined above, the term "export" can mean not only transfer or disclosure beyond the shores of the United States to any person (including to a U.S. citizen abroad whether or not pursuant to a research agreement with the U.S. government), but also the transmission or disclosure of the technology with the United States to someone who is not a U.S. citizen or permanent resident.

 
 

Where are the export regulations found?

  
 

The latter type of disclosure is called a “deemed export.” Even certain disclosures to a foreign researcher or student in an UR laboratory could be considered a deemed export. This could pertain to access to equipment within a lab at the UR, and thus can become an issue even if the research resulting from use of that equipment is excluded from restrictions. Thus concern about deemed exports requires particular attention of UR researchers.

In case of questions, please contact the Office of Research and Project Administration.

 

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