UWW Export Compliance Program Manual
There are a number of activities that have potential export control implications. It is important to contact the Research Compliance Office for guidance if you are doing any of the following activities:
If you have doubts about whether an activity falls within export control, please contact the Research Compliance Office and we would be happy to discuss your situation with you.
International Traffic in Arms Regulations (ITAR) – The ITAR are overseen by the Department of State. They regulate military items and information. Items regulated under the ITAR can be found in the U.S. Munitions List (22 CFR 121) and include naval vessels, ordnances, military jets, tanks, their software, components and accessories.
Export Administration Regulations (EAR)– The EAR are overseen by the Department of Commerce. They regulate dual use items and information. Dual use items are commercial items that could be used for military, terrorism, nuclear proliferation or similar purposes. The items regulated under the EAR can be found in the Commerce Control List (15 CFR 774 – Supplement No. 1), and include items such as lasers, telecomm equipment, IR sensors, computers, electronic test equipment, encryption, their software, components and accessories.
https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear
Foreign Asset Control Regulations (FACR) – The FACR are overseen by the Office of Foreign Asset Controls (OFAC) in the Department of Treasury. They regulate assets, persons and organizations. These regulations are not concerned so much with what is being shipped, but rather where and to whom it is being shipped.
Embargoed and Restricted Countries
This is a list of the embargoed and restricted countries per the United State's government and trigger a higher level of risk with activities.
While the regulations above are the key Export Control regulations, other government agencies, such as the Departments of Defense and Energy have additional regulations that may impact specific research projects.
Exports include a wide variety of things beyond simply putting something in a box and sending it abroad. An export can include any of the following:
Deemed exports occur any time a foreign person gains access to information, data or technology in the United States. At that point it is deemed to have been exported to their country of citizenship.
Examples of deemed exports include:
A foreign person is anyone who is NOT:
Please remember, green card holders are U.S. persons, whereas persons here on work or student visas are Foreign Persons. Additionally, foreign students of any level are counted as foreign persons for export control purposes.
The Fundamental Research Exemption states that an export license is not required to transfer fundamental research to foreign persons. Fundamental research is defined as information, technology or software generated from research at an institute of higher learning the results of which are ordinarily published.
Three things are important to remember with this exemption, however.
Licenses are required when no exemption can be found for a research activity, particular item or specific person in regards to a project. The need for a license will depend upon the commodity being shipped, its destination country and/or the person/organization receiving the item. It generally takes 1-2 months to submit and receive a license from the Departments of State and Commerce. Licenses from the Department of Treasury may take considerably longer. All licenses are submitted by the Export Control Office.
Here is a glossary of common terms and acronyms that you will commonly run across in export control.
Cuba, Iran, North Korea, and Syria
Trainings and Guidance | |
Researchers and Staff | |
Policy and Compliance Plan | |
|
Contact |
Donna Kempf |
|
Research Compliance Officer | |
262-472-5288 | |
kempfd@uww.edu | |