How do U. S. export regulations impact research that involves foreign nationals?

In response to terrorist attacks/threats, the U.S. government strengthened export regulations and enforcement to better protect national security and trade. The regulations impact the export of technology, software (e.g. encryption software) and information to foreign countries and to non-exempt foreign nationals (foreign nationals who are permanent residents or have “protected individual” status are exempt), and they include:

• Export Administration Regulations (EAR) – The EAR regulate the export of dual-use items that may have civilian or military applications. Exports subject to EAR include items in ten broad categories on the Commodities Control List (CCL) published by the Commerce Dept.’s Bureau of Industry and Security and other items exported to embargoed countries or end users/end uses of concern (EAR99 items) .

• International Traffic in Arms Regulations (ITAR) – The ITAR regulate the export of defense items and defense services identified on the U.S. Munitions List (USML) and administered by the State Dept.

• Foreign Assets Control Regulations – The Office of Foreign Assets Control (OFAC) in the Treasury Dept. supports foreign policy and security goals by administering economic/trade sanctions against embargoed countries and specially designated individuals and entities (e.g. terrorists).

The regulations prohibit the unlicensed export of materials/information involving national security or trade sanctions, and exports are defined broadly. Exports to a foreign destination or a non-exempt foreign national in the U.S. (“deemed exports”) include (1) oral, written, electronic or visual disclosures, (2) shipments, or (3) transmission of articles/items, software, technology, information, assistance or technical data.

What is the impact of having research trainees, employees or collaborators who are foreign nationals?

In most cases, having research trainees, employees or collaborators who are foreign nationals will not affect your research. Sharing technology, software or information with foreign nationals in the U.S. is a deemed export, and there are important exemptions for deemed exports and research and teaching activities at universities. The exemptions for deemed exports and factors that might impact them are highlighted below.

• Fundamental research exclusion – basic or applied research in science and/or engineering at an accredited institution of higher learning in the U.S. where resulting information is ordinarily published and shared broadly in the scientific community. This exclusion does not apply to research where contracts restrict participation of foreign nationals or publication (e.g. classified research for the Department of Defense).

• Public domain exclusion – information already published and publicly available (i.e. information that is generally accessible to the public and ordinarily published and where dissemination is unrestricted).

• Education exclusion – educational information in formal courses. The exemption does not apply to non-public domain information considered sensitive/classified by the federal government, and does not apply to training foreign nationals how to use controlled equipment in an informal setting (i.e. no course credit).

• Employment exclusion – applies to ITAR regulated exports and applies to full-time UTHSC-H employees who have a permanent U.S. address while employed and who are not from excluded countries (OFAC related restrictions).

What steps should I take if foreign nationals may be involved in my research?

Contact the Manager, Employment Services (713 500-3147), if you have questions about the participation of foreign nationals in your research. If you are going to need an export license from the U.S. Commerce or State Departments, you should allow several months lead time to secure it. Violating export regulations may result in criminal penalties or civil sanctions and loss of research funding.