It is the policy of UNTHSC to fully abide by federal laws and regulations, including the Export Administration Regulations (EAR), the International Traffic in Arms Regulations (ITAR), and other bodies of export regulations. University research results can remain compliant with export control laws under the fundamental research exemption by ensuring that it meets the definition of fundamental research, which is research that is conducted with a clear intent to publish, and to do so without restriction or required approval, and research that does not voluntarily exclude the participation of foreign nationals or contain other national security controls.
BEWARE! Export controls apply to all activities not just sponsored research projects.
A.Travel with UNTHSC Owned Electronic Devices outside the U.S.
Researchers commonly take their laptops with them, both across campus and around the world. Researchers need to be aware that they are effectively exporting their laptops not only when they take their laptop aboard, but also when they allow a person in a foreign country to use their laptop or allow a foreign national access to their laptops in the United States.
Travel outside the U.S. can present export control issues for UNTHSC employees. There are government regulations that affect:
- Supplying certain technologies /data at a “closed” conference or meeting (not open to all technically qualified members of the public, and attendees are not permitted to take notes)
- Money transactions and the exchange of goods and services in certain countries
- Travel to sanctioned / embargoed countries
- Doing business with certain people or entities
- Taking items with you on a trip in support of your research or conference such as
- Encryption software
- Data / technology
- Blueprints, drawings
What this means is that a license could be required from the Departments of Commerce, State, or Treasury depending on what you are taking and the country you are traveling to.
Fortunately, travel to most countries does not usually constitute an export control problem. In some cases, an exception or exemption to the license requirements is available; however, regulations require the exception / exemption to be documented, and records must be kept for five years.
A researcher should confer with the Office of Research Compliance before traveling outside the U.S. with items or information to confirm whether an export license is required and if so, that it is obtained before the export controlled technology or information leaves the U.S.
B. Embargoed/Sanctioned Countries
Unless an export license has been obtained, no items shall be shipped or taken by a UNTHSC employee to an embargoed or sanctioned country as listed by U.S. Office of Foreign Assets Control at:http://www.treas.gov/offices/enforcement/ofac/programs/index.shtml
Shipping items outside the U.S. could require a license from the Departments of Commerce, State, or Treasury. Check with the Office of Research Compliance to determine if a license is needed.
D. Does my project require a license?
Before accepting a research award, ask a few questions to determine if a license from the Departments of Commerce or State are needed to conduct the research.
- Does the award contain any terms or conditions that would restrict the disclosure or dissemination of the research results?
- Are there any restrictions on access to or dissemination of information the sponsor or others will furnish for use on this project?
- If the answer to 1 or 2 is yes, does the research project fall under one of the export controlled technologies?
- Does the project involve training specific personnel for a special purpose? If so, could it be considered a defense service? If yes, how can you proceed?
- Will the University need to apply for an export license?
To help you decide whether your project may require a license, please use the Stanford University Decision Tree:http://export.stanford.edu/tree/index.html
E. Select Agents, Biological / Chemical Toxins
Export of designated biological and chemical toxins that have the potential to pose a threat to human, animal or plant life may require a license from the Bureau of Industry and Security (BIS). The scope of items subject to this licensing requirement is broader than “select agents”.
The Department of Commerce may require a license for the export of:
- Designated human, animal and plant pathogens, zoonoses and toxins
- Genetically modified microorganisms or genetic elements that contain nucleic acid sequences associated with the pathogenicity of a controlled organism or that code for a controlled toxin
- genetic material, and products which might be used for culture of large amounts of agents
To determine if a license is required:
- Department of Commerce / Bureau of Industry and Security EAR database at:http://www.access.gpo.gov/bis/ear/ear_data.html. The lists of controlled agents are in Part 774, Category 1. The designations are 1C351 through 1C354.
F. References and Lists to Check
- Export.gov – Consolidated
- List to Check
- Export Administration Regulations Database
- OFAC Sanctions Programs
- Special Designated Nationals
- US Department of State, ITAR
- Red Flag Indicators
- How do I Avoid Dealing with Unauthorized Parties
- Know Your Customer Guidance
- Deemed Exports Questions and Answers
- Council on Governmental Relations (COGR), “Export Control and Universities – Information and Case Studies”
- International Travel
- Compliance Awareness Training Presentation