Overview

What are Export Control Regulations?
Licenses and Exclusions
What kinds of activities will raise Export Control concerns?
What do I need to do?

What are Export Control Regulations?

Export control regulations are group of federal regulations designed to advance the national security, foreign policy, and economic interests of the United States.  These regulations have been around in some form for over 40 years.  Since 9/11/2001, scrutiny of compliance with export control regulations has increased significantly. 

Exports include:
•    Shipment of controlled item or good
•    Transmission (electronic or digital) of controlled item or information related to controlled item
•    Release or disclosure (including verbal or visual) of any controlled technology, software or technical data, either in U.S. or abroad
•    Use or application of controlled technology on behalf of, or for the benefit of, any foreign person or entity, either in U.S. or abroad

"Deemed Export" means an export of technology or source code when released to a foreign national within the U.S.  “Released” means making technology or software available to foreign nationals, either visually, orally or by practice or application under guidance of persons with knowledge of the technology or software.  In this context, technology includes “use technology” – information on the operation, installation, maintenance, repair, overhaul, and refurbishing of controlled equipment.

More definitions

Licenses and Exclusions

Certain export transactions require a license or other written approval from the U.S. government prior to export. Some transactions are prohibited due to the end-use, end-user, or country involved.  The vast majority of exports do not require government licenses.  Only exports that the US government considers "controlled" under the EAR and ITAR may require licenses.  Exports usually are license controlled 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
• Government concerns about the declared or suspected end use or the end user of the export

Most research and teaching on campus in the United States can qualify for exclusions and/or exemptions from the export control regulations.

Fundamental Research Exclusion
No license is required to disclose to foreign persons information that is “published and which is generally accessible or available to the public through fundamental research in science and engineering at universities where the resulting information is ordinarily published and shared broadly in the scientific community.”

Public Domain Exclusion
The Public Domain Exclusion applies to information and research results already published and actually available through:
•    Libraries, bookstores, newsstands;
•    Trade shows, meetings, and/or seminars open to the public;
•    Websites open to the public; or
•    Courses listed in the university catalog of a general nature.

Educational Information Exclusion
No license is required to share with foreign persons “information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.”

Employment Exclusion
No license is required to share controlled technical information with a foreign person who Is a full-time, bona fide university employee and  has a permanent address in the US while employed, provided that the person is not a national of certain countries; and is advised in writing not to share controlled information with other foreign persons.


What kinds of activities will raise Export Control concerns?

Exclusions and exemptions do not apply to all University activities. Export controls apply if the topic of the research appears on either the U.S. Munitions List (ITAR) or the Commerce Control List (EAR).  Other activities may be subject to sanctions and embargoes; that is, the export or transaction is prohibited with certain countries, entities and individuals.

The following should be reviewed for export compliance:

• Presentation/discussion of previously unpublished research at conferences and meetings where foreign national scholars may be in attendance
• Research collaborations with foreign nationals and technical exchange programs
• Visits to your lab by foreign scholars
• Shipping materials or equipment outside the United States
• Working with sponsor’s proprietary, restricted or classified information
• Projects performed abroad by UMB personnel
• Furnishing defense services to a foreign person within the United States
• Transacting with embargoed or sanctioned countries or parties (including financial transactions)
• Creating, receiving or working with encryption software
• Providing use technology regarding controlled equipment to a foreign national

In addition, any of the following will raise export control questions for your project:

• Restrictions on publishing research results (other than normal patent reviews)
• Restrictions on researcher participation (faculty, student, or others) based on country of origin or citizenship
• Indications from the sponsor or others that export-controlled information or technology will be furnished for use in the research
• The physical export of controlled goods or technology

What do I need to do?

Contact Marjorie Forster in ORD with your questions or if your project involves any of the issues listed above.  It is helpful if you complete the Export Control Questionnaire and supply it to ORD with your questions or concerns.

When you route a project, answer the Coeus Yes-No questions and provide brief explanations.  This allows ORD an opportunity to pre-review the scope of work for projects with an international component and to provide a restricted party screening for interactions with foreign persons:

• YNQ H1: Does this project involve activities outside the U.S. or partnership with international collaborators?
• YNQ UM4: Will this project involve any communication &/or financial transaction with foreign countries or their citizens or foreign organizations, or shipment of equipment, data, biological/chemical materials, software or information outside the U.S.?   If yes, briefly explain.

The Export Control Decision Flowchart is a tool that you can use to determine whether a certain transaction or transfer is likely, or unlikely, to require further analysis for export controls.