Export Control

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Receive or Use Something Controlled

Many items, equipment, materials, biologics, software, encryption, source code and/or technical data (“Items”) are closely controlled under export regulations. These items may be used in a laboratory, in a classroom, or in research (including Fundamental Research). In most cases foreign persons may interact with those items and no export license is needed. However, there are several situations where an export license may be required for a foreign person to access items, equipment, and/or materials on campus:

1. The item is controlled under the ITAR, even when used to perform Fundamental Research.
2. The item is highly controlled under the EAR, and one of the following is true:
   1. The item is produced in the course of restricted (NOT Fundamental) research
   2. The foreign national is interacting with the item in a manner that meets all aspects of “use” as defined in the EAR.

Classification and Jurisdiction

The Jurisdiction (ITAR or EAR) and the Classification (USML or ECCN) of an item will determine how that item is controlled. Faculty and staff who purchase and/or receive equipment, items, and materials should ensure that the export classification of such items is clearly known and documented. The best way to determine the classification is to ask the manufacturer or provider. If the manufacturer or provider cannot or will not provide this information, the Export Control Office can help determine the level of control and necessary controls required.

 

Access Restrictions for Highly Controlled Items

When necessary, access restrictions are intended to provide the minimum level of control necessary to meet the regulations. Restrictions are often simple (i.e., covering a piece of equipment when not in use), low cost, and have little impact on regular activities. Restrictions are implemented only for specific controlled items. At times restrictions are more stringent, particularly for items controlled under the ITAR. The ITAR restricts all foreign national access, including individuals from Canada and the UK.

When access to items requires restrictions, a Technology Control Plan (TCP) may be implemented. A TCP is a short document that outlines the controls necessary to comply with the regulations. The Export Control Officer and/or Facility Security Officer (FSO) will work with faculty and related personnel to put together and implement a TCP.

 

Controls for Software, Encryption, and/or Source Code

Export controls on software, encryption products, and source code are increasingly stringent. Even common products, such as those used for multi-factor authentication, require an export license for access by foreign persons. Likewise, access may occur in a variety of ways that occur both on and off campus. Before receiving or purchasing proprietary or restricted software (i.e., not open source), university personnel should work with the Export Control Office to determine whether the product requires access restrictions.