Source: http://www.uri.edu/research/tro/offices/researchintegrity/exportcontrols/faqpage.html
Timestamp: 2014-10-24 23:57:00
Document Index: 26516384

Matched Legal Cases: ['§120', '§730', '§500', '§734', '§734', '§734', '§740']

When should I select the Export Control button on the PA-005?
ITAR stands for the International Traffic in Arms Regulations (22 CFR§§120-130) and they are administered by the Directorate of Defense Trade Controls under the U.S. Department of State. The ITAR governs all military, weapons, and space related items and services as enumerated on the U.S. Munitions List (USML).
EAR stands for the Export Administration Regulations (15 CFR§§730-774) and they are administered by the Bureau of Industry and Security (BIS) under the U.S. Department of Commerce. The EAR governs the export of most items in the U.S., especially dual use items as enumerated on the Commerce Control List (CCL).
The EAR controls all items (commodities, software, or technology) that are 1) of U.S. origin; or 2) are made with U.S. materials, technology, or know-how; or 3) are located in the U.S. AND that are NOT under the exclusive jurisdiction of another regulatory body (e.g., ITAR or Nuclear Regulatory Commission) or that are NOT shielded from export controls under the fundamental research, educational information or public information exclusions.
OFAC stands for the Office of Foreign Assets Control (31 CFR§§500-599) and is an office under the U.S. Department of the Treasury. OFAC is responsible for enforcing the foreign policy of the U.S. government, including all trade sanctions, embargoes, and financial interactions with prohibited or blocked individuals or entities. For more information, see a listing of OFAC Country Sanction programs.
Fundamental Research is defined by the National Security Decision Directive 189 (NSDD189) as “any basic or applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community..." In order to qualify as Fundamental Research, the research must be conducted free of any publication restrictions and without any access or dissemination restrictions. Research that qualifies as Fundamental Research is NOT subject to export controls as provided for under the federal regulations (15 CFR§734.8). It is critical to note that the Fundamental Research Exclusion will be lost if a researcher agrees to any “side-deals” allowing sponsors the ability to review and approve publications or to control access to the project or project results. Loss of the Fundamental Research Exclusion can quickly put your research in jeopardy of non-compliance with export controls.
Information that is already published or is out in the public domain is considered public information and, as provided for under the federal regulations (15 CFR§§734.7 and 15CFR§734.10), is NOT subject to export controls. Examples of information in the public domain include:
A “yes” answer to any of the following questions indicates that your research might be subject to export controls and should be reviewed by the Export Control Committee:
Research involves export restricted science and engineering areas including defense articles or services, missiles, chemical & biological weapons, nuclear technology, work with designated select agents, high performance computing, and encryption technology.
Research involves the use of export controlled information, items, or technology (e.g., export restricted information or technology received from outside the university).
Research involves the transfer of project information, equipment, materials, or financial support out of the U.S. (e.g., sending project deliverables or providing funding via a subcontract)
Any part of the research will take place outside the U.S. or will include international travel (e.g., field work outside the U.S., attending an international conference to present results, or providing professional services)
Research involves foreign national faculty, visiting scientists or collaborator(s), or other foreign entities (e.g., non-U.S. company, university, or other organization).
Foreign National graduate students, trainees, or other Ohio State University employees will be involved in the research and the research has not yet been determined to be Fundamental Research by the Export Control Administrator.
Research involving collaborations with foreign nationals here at URI or overseas
Presentations at meetings or conferences of unpublished information not protected under the fundamental research or education information exclusions
Determining when you need an export license can be very complicated. The Export Control Committee can assist you in determining if a license is required and/or if there is a valid license exception or other exclusion that may apply. Contact the Office of Research Integrity for help with export controls.
An Export License Exception is a special authorization that allows you to export or re-export, under very specific conditions, items that would otherwise require an export license. Export License Exceptions are detailed in EAR§740 How do I apply for an export license?
If it is determined that your activity requires an export license, the Export Control Committee will coordinate the license application process. Contact the Office of Research Integrity. They will work with you and the Office of General Counsel to submit a license request to the appropriate regulatory body on your behalf. It is important to note that obtaining an export license can take 3-6 months and there is no guarantee that a license will be granted.
A Technology Control Plan (TCP) is a document drafted by the researcher in collaboration with the Export Control Committee and their department chair specifying procedures that will be taken in order to safeguard and control access to information or items that are export restricted. In general, a TCP will outline what the restricted information/item is, who will have access to it, how access will be monitored and controlled, how the information/item will be physically and electronically stored, what information about it can be shared or presented, and what will be done with the information/item once the project is completed. Contact Office of Research Integrity for more information on TCPs.
Research conducted at URI that includes or uses export controlled or restricted information or items obtained from an outside entity does not qualify under the Fundamental Research Exclusion and would be subject to all export controls. Before export controlled information or item is received by the researcher, the researcher must discuss the implications of the Export Control Regulations with the Director of Research Integrity. In some cases, a formal Technology Control Plan will need to be created depending on the specific circumstances. Contact Office of Research Integrity for help in determining your requirement.