The Office for Research Security & Export Control seeks to support the University’s mission of teaching, research and service by ensuring compliance with applicable export control laws, regulations and University policies, while fostering an environment supportive of its efforts to cultivate a campus-wide global perspective and extend its outreach on a worldwide scale.
What Are Export Controls?
To promote national security interests and foreign policy objectives, the U.S. government regulates the transfer of items, information, commodities, technology, and software outside of the U.S. and to foreign persons within the U.S. Such a transfer, called an export, includes oral, written, electronic or visual disclosure; physical shipment; hand-carrying items while traveling; and providing technical assistance. These export controls are effectuated by federal regulations, which include
- International Traffic in Arms Regulations (ITAR) 22 C.F.R. Part 120-130, which regulates the export of defense articles and defense services;
- Export Administration Regulations (EAR) 15 C.F.R. Part 730-774, which regulates “dual use” items—i.e., those items having civil applications as well as terrorism and military or weapons of mass destruction-related applications; and
- Regulations of the Office of Foreign Assets Control (OFAC) 31 C.F.R. Part 501-599 related to sanctioned or embargoed nations, organizations, or persons.
Impact of Export Controls on University Activities
Export Control Laws may be applicable in several instances related to the University’s mission of teaching, research, and service, including, but not limited to
- International travel
- Hosting international visiting scholars
- Sponsorship of visa applications of foreign faculty, staff, or students
- procurement of items, materials, information or technology subject to Export Control Laws
- International shipping
- Performance of research that does not constitute Fundamental Research
- Any transactions involving the following highly embargoed or sanctioned countries and regions: Iran, Cuba, North Korea, Syria, Russia, and the Crimea, Luhansk and Donetsk regions of Ukraine
Export control violations can result in penalties and fines which may apply to an individual, the University or both. Administrative penalties include loss of export privileges or suspension and debarment from government contracting. Additionally, monetary fines can be up to $1 million per violation and jail time can be up to 20 years per violation.
Export Control Compliance at the University
The University is committed to non-discrimination, openness, and academic freedom in the conduct of its mission of teaching, research, and service. The majority of University activities will not be subject to export controls or licensing requirements, as they will fall under one of the following common exclusions: fundamental research exclusion, publicly available or public domain information, or education exclusion.
However, some activities are ineligible for such protections and may require either an export license from the cognizant federal agency (e.g., BIS, DDTC, or OFAC), and/or a Technology Control Plan to prevent unlawful exports (including deemed exports to foreign nationals within the United States). Per its Export Control Policy, the University is committed to compliance with all applicable laws, including ITAR, EAR, and OFAC regulations.
When to Contact ORSEC
Contact the Office for Research Security & Export Control when
- traveling internationally with University equipment or technical data;
- traveling to an embargoed country, currently
- The Crimea, Donetsk, and Luhansk regions of Ukraine
- Cuba
- Iran
- North Korea
- Syria
- sponsoring visa applications of visiting scholars or prospective employees;
- collaborating with a researcher or institution outside of the U.S., especially when that collaboration involves individuals or institutions from a sanctioned country or when sensitive information or equipment may be shared;
- exporting/shipping items internationally;
- a sponsored award or unfunded project agreement contains restrictions or limitations on publication, dissemination, proprietary information (e.g., confidentiality or non-disclosure agreements), or foreign person participation—for example, if a project requires that participants be U.S. citizens or that all foreign persons be screened and approved by a non-UA entity
- involved in a project, research, or other activity related to military; space-related information; nuclear, chemical, and/or biological weaponry; missiles; unmanned vehicles; encryption technologies, or other items listed on the International Traffic in Arms Regulations (ITAR) U.S. Munitions List (USML) or “dual use” items enumerated on the Export Administration Regulation (EAR) Commerce Control List (CCL);
- procuring items enumerated on the USML or CCL;
- performing work under an agreement that is marked “Export Controlled” or includes export control provisions beyond a mere statement that the parties will comply with export control laws; or
- you suspect a violation of export control laws or regulations has occurred.
