Export controls are federal laws and regulations that govern exports of certain commodities, technologies, services, and money to foreign countries. Export controls also regulate disclosures of certain kinds of information—including research data—to non-U.S. persons. Some exports and disclosures require special permissions (usually in the form of a license) from a federal agency.
There are three primary sources of regulations that govern exports of different kinds of commodities and information:
- The International Traffic in Arms Regulations (ITAR) govern exports of military technologies. The technologies controlled by the ITAR are found on the United States Munitions List. The ITAR also control information required for the development or operation of military technologies. Technologies controlled by the ITAR are the most sensitive and therefore the most tightly controlled. Every export of an ITAR-controlled item requires permission from the State Department.
- The Export Administration Regulations (EAR) control exports of “dual-use” items and technologies. Dual-use items are items that have primarily civilian or commercial applications, but can be adapted for military use. Dual-use items can be found on the Commerce Control List. EAR-controlled items are less sensitive than ITAR-controlled items, so not all exports require a license. Rather, the Commerce Departments licensing requirements are based on the nature of the item, the destination country, the recipient, and the recipients intended use of the item.
- The Foreign Assets Control Regulations (also known as the Office of Foreign Assets Control or OFAC Regulations) control exports, travel, and financial transactions involving embargoed countries. Many transactions, including research and teaching collaborations, require special permission from OFAC. The terms of these embargoes differ by country, but you should exercise caution when proposing traveling to or collaborating with someone in Cuba, Iran, North Korea, the Republic of Sudan (also called North Sudan), or Syria.
There are additional rules related to exports of technologies in more specialized areas. If your research involves nuclear energy, pharmaceuticals, or collaborations with foreign militaries, please contact the Export Compliance Officer for further guidance on these topics.
Exports include shipments of tangible items, including carrying items in luggage, and transmissions of information to a destination outside the United States. The United States includes the 50 states, the District of Columbia, and other US territories (like Puerto Rico and Guam). The United States does not include US military bases or embassies in other countries: shipments or transmissions to these destinations are exports.
Some exports (depending on the item being exported) require special permission from the government in the form of an export license. Many other exports do not (depending on the country an item is being exported to). Certain kinds of exports may also qualify for license exemptions. For example, some exports where the item will be returned to the United States within six months, or where the item will be completely used up shortly after the export takes place, may not require a license. Check with the Export Compliance Officer to determine whether you qualify for a license exemption.
Certain transmissions or releases of information in intangible formats are also deemed to be exports. There is more information on deemed exports below.
Transmissions or releases of information or software to anyone who is not a United States citizen or permanent resident are “deemed” to be exports of that information to that person’s country of citizenship. A deemed export can occur anywhere in the world, including inside the United States, and can occur in any format.
For example, if a researcher emails the results of an experiment to a colleague in China, the email is deemed to be an export of the data to China. Note that this is still an export to China even if the colleague is a US national. If the colleague in China is a German national, the email is also deemed to be an export to both China and Germany.
Deemed exports can also occur inside the United States. For example, if a researcher verbally discusses research data with a Kenyan grad student, that discussion is deemed to be an export to Kenya, even if the conversation takes place in the researcher’s lab in Urbana.
Because deemed exports involve sharing information and restrictions are based on nationality, they can be especially tricky for universities and university researchers. Fortunately, most information can be freely shared with most people from most countries. As with exports of tangible goods, most deemed exports do not require a license.
Generally, information that has already been published can be distributed freely. Information that cannot be distributed freely (and that likely requires an export license) includes information that is sensitive for national security reasons and proprietary or confidential data. If you have questions about whether you need a license to share data, please contact the Export Compliance Officer.
A technology control plan documents procedures for securing and managing access to controlled items or spaces where sensitive work is being conducted. Technology control plans may sometimes overlap and work in conjunction with other security plans, like biosafety or chemical safety protocols.
A template technology control plan is available. Please contact the Export Compliance Officer for assistance in determining whether your research requires a technology control plan, or for implementing an appropriate plan for your lab.
Additionally, foreign nationals planning to participate in controlled research may be required to obtain an export license before accessing sensitive information or controlled materials.