U.S. Export Compliance for International Research

Important: OFAC sanctions may be applicable even if conducting fundamental research or engaging in activities involving published information. OFAC sanctions may be applicable even if no “export” is taking place.

The Office of Foreign Assets Control (OFAC) is part of the United States Department of the Treasury and administers several sanctions programs. OFAC sanctions can be either comprehensive or selective. For a complete list of the OFAC sanctions, please review OFAC Sanctions Programs and Country Information.

The following are subject to comprehensive OFAC sanctions: Cuba, Iran, North Korea, Syria, and the following regions of Ukraine: Crimea, Donetsk, and Luhansk, and Russia*. Although OFAC sanctions against Russia are not considered comprehensive, they are evolving, which makes research collaborations with institutions or individuals in Russia particularly challenging.

It is very important to contact the University’s Export Control Officer (josef.mejido@rochester.edu) prior to any travel to an OFAC sanctioned country or region, because OFAC sanctions can be very broad and restrictive. Many traditional University activities, including fundamental research collaborations, are restricted or prohibited by OFAC sanctions in such countries/regions.

An export license is typically not required to send or take most items out of the U.S. However, it’s important to first determine if the item is subject to certain U.S. export regulations, which include:

• Export Administration Regulations (EAR)
• International Traffic in Arms Regulations (ITAR)
• Nuclear Regulatory Commission’s (NRC’s) export regulations (Part 110)

The majority of items are subject to the EAR, and many manufactures will provide the applicable export restrictions if requested. Some companies that provide commonly used items provide such information online (such as Apple Trade Compliance and Microsoft – Exporting Information).

When traveling outside the U.S. with a laptop or cell phone for University work, such activity is generally considered low risk for U.S. export compliance, unless:

• The destination is an OFAC comprehensively sanctioned country or region
• The cell phone or laptop contains export-controlled technology or software that requires an export license prior to sending or taking to the destination country. In particular, researchers should consider if the technology or software:
  • is subject to a signed technology control plan at the University
  • was received under a confidentiality agreement, end-user certification, or other notice from the provider that such technology or software has potential export license requirements
  • did not result from fundamental research

Items subject to the EAR either have a specific export control classification number (ECCN) or are considered EAR99. The ECCN provides a “reason for control” which is important for determining if an export license is required to a particular destination country after consulting with the Commerce Country Chart.

Items subject to the ITAR appear on the U.S. Munitions List (USML) and are considered defense articles. The ITAR also controls defense services, which broadly controls assistance to foreign persons in connection with defense articles. An export license or other approval from the Department of State is required (i) to send or take any ITAR controlled item out of the U.S., or (ii) to provide a defense service.

Please consult with the University’s Export Control Officer (josef.mejido@rochester.edu) to help determine applicable export restrictions, particularly if the item is a pathogen, is considered “high tech,” is proprietary equipment or materials developed at the University, has any defense applications, or is considered a critical and emerging technology.

Most research conducted by the University is fundamental research, and generally speaking is considered low risk in terms of export compliance. However, the following activities require further export compliance review, even if done in the context of fundamental research:

• activities in an OFAC comprehensively sanctioned country or regions
• e.g. presenting fundamental research results to parties in Iran, even if done remotely
• projects that have defense or military applications
• activities that involve restricted end-uses
• e.g. activities related to chemical or biological weapons, missiles, or nuclear explosive devices
• interactions with restricted parties (reference the drop-down below to learn more)

The U.S. Government implements, maintains, and enforces a wide range of restricted party lists that are relevant to University and faculty activities, and the University screens against these lists in a number of circumstances. Among others, these lists include the Specially Designated Nationals and Blocked Persons List (SDN) maintained by OFAC, the Entity List and Denied Persons List maintained by the Department of Commerce, and the Statutorily Debarred Parties list maintained by the Department of State. Each restricted party list provides specific information on applicable restrictions.

Certain research and educational activities that involve restricted parties, including research collaborations occurring in a foreign country, may be prohibited or may require the University to first obtain a license before engaging in the activity. For example, exporting even a common commercially available item to a party on the Entity List may require an export license. The U.S. Government regularly updates restricted party lists, and sometimes new restricted party lists are created. In order to screen effectively, the University must review the most current information available on whether or not a party is subject to U.S. Government restrictions.

Important: Various universities and research institutes in other countries appear on U.S. Government restricted party lists, and strict restrictions may be applicable to collaborations or activities with those entities.

The University recommends that restricted party screening be done prior to engaging with foreign parties, including activities involving:

• formal or informal research collaborations, including those proposed in grant applications,
• accepting certain affiliations or association with foreign institutions
• exporting physical items, software, or technology
• entering into MOUs or agreements
• inviting a visiting student or scholar

If your arrangement falls into one of these categories above, please contact either the University’s Export Control Officer (josef.mejido@rochester.edu) or Global Engagement to perform restricted party screening through Visual Compliance. Visual Compliance is a commercially available online tool that screens against a comprehensive list of restricted parties.