U.S. Export Controls and Research
Overview of Export Regulations and Impact on UTHSC-H Research
How do U. S. export regulations impact research at UTHSC-H?
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.
How do I determine if my research is impacted by export regulations?
Most exports do not require an export license, and there are important exemptions for research and teaching activities at universities. “Deemed exports” to foreign nationals in the U.S. are exempt from regulation if the exports involve fundamental research in the public domain (i.e. generally accessible to the public, ordinarily published, unrestricted dissemination). There is also a teaching exemption for educational information covered in formal courses identified in university catalogs. Factors that would cause your research to be subject to export restrictions and/or license requirements are highlighted below.
Nature of item being exported – technology, software, or information to be exported has actual or potential military applications or economic protections. Regulated items include: defense items or services on USML (http://pmdtc.org/reference.htm); EAR regulated items on CCL (identify by Export Control Classification Number/ECCN) or an EAR99 designated item (http://www.access.gpo.gov/bis/ear/ear_data.html).
Destination of the export – export destination is an embargoed country (e.g. Cuba, Iran, Iraq, Libya, N. Korea, Burma, Liberia, Sudan, Syria, Zimbabwe), a foreign national from an embargoed country, or an otherwise restricted destination (based on ITAR, EAR, OFAC).
End use – potential end use of government concern (e.g. proliferation of weapons of mass destruction).
What should I do if I plan to export items/information that may be subject to export regulations?
Contact the Office of Sponsored Projects (713 500-3999) if you have questions about export regulations or anticipate exporting technology, software or information subject to export regulations. There are license exceptions for some items, but others may require a license from the U.S. Commerce or State Departments. Violating export regulations may result in criminal penalties or civil sanctions and loss of research funding.
