Export Controls (Procedure #734.A)

University of Wisconsin Whitewater (UWW) encourages research and scholarly activities as well as the free interchange of information among scholars. The university also recognizes that the United States has enacted laws and regulations restricting the transmission of Controlled Information and Controlled Physical Items for the purpose of protecting national, economic, security, and foreign policy interests. These federal export control laws and regulations govern the transfer of certain tangible items, software, technology, services, and information, to a foreign national or to a foreign country. In addition, the export control laws and regulations restrict or prohibit the transaction of business with certain countries, persons and entities that have been sanctioned by federal agencies as a threat to important U.S. interests.

Export controls may apply to a wide range of university activities including research and innovation; international programs, agreements, exchanges, and travel; procurement; information technology and services; human resources; and shipping. Export control restrictions apply to the release of controlled information and data, technologies, and commodities to foreign persons located within the United States.

This procedure, therefore, sets forth the requirements for compliance in research, scholarly, and other activities of the University of Wisconsin Whitewater (UWW) which are subject to the United States Export Control laws and regulations.

Institutional Research Compliance Specialist, Office of Research and Sponsored Programs (OSRP)

Controlled Physical Items: Physical items such as hardware, materials, equipment, and, in some cases, biological agents or chemical precursors, semiconductors, microprocessors, high-level encryption software, sensors, and imaging systems and navigation systems regulated during international shipment or transfer to foreign nationals to protect U.S. national security, economic, and foreign policy interests.

Deemed Export: The transfer of technical information, data, or software to a foreign person within the United States. It is deemed to be an export to that person’s home country. Deemed exports of software only occur with source and operating code.

E:1/E:2 Countries: Countries that are the most highly restricted/embargoed by the U.S. government due to terrorism or national security reasons, as updated by the Bureau of Industry and Security (BIS) and Office of Foreign Assets Control (OFAC).

Export: Sending or taking anything out of the United States in any manner, including shipping, verbal (i.e., telephone) or electronic (i.e., e-mail, webcasts, social media, fax). Export means any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, or any technology, software or technical data to any foreign national; or 4) actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.

Export-controlled Information: Technical data, designs and blueprints, and software and software codes restricted by U.S. laws (ITAR/EAR) to protect national security.

Foreign Person: Any natural person who is not a lawful permanent resident or who is not a protected individual or who does not have refugee or asylum status in the U.S. It also means any foreign corporation, business association, partnership, trust, society, or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign governments, and any agency or subdivision of foreign governments (e.g., diplomatic missions).

Fundamental Research: Fundamental Research means basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).

License: A determination that a particular activity (i.e., shipping an item or discussing a research collaboration) requires an export license to proceed. This is typically because the applicable item or information is Export Controlled, an exemption/exception does not apply to the activity, the activity is with a country where the activity requires a license or the activity is with a party for which a license is required.

Office of Foreign Asset Controls (OFAC): The agency in the U.S. Department of Treasury that administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.

Personnel Restriction: A clause placed in an agreement or award that restricts persons from certain or all foreign countries from participating in the research. Research subject to a personnel restriction is typically not considered fundamental research.

Publication Restriction: A clause placed in an agreement or award that restricts the researcher from publishing his/her research until the sponsor or some other party approves the content of the research article. The approver can alter or remove content, methodology or results from the proposed article. Research subject to a publication restriction is not fundamental research.

Public Domain: Information that is readily available in libraries, magazine/newspaper articles, conference proceedings and/or on-line.

Reexport: Reexport means an actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or reexport of items subject to the EAR that will transit through a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country.
Service. Work done for hire that is not considered research.

Technology Control Plan (TCP): A written plan that spells out the security measures needed for a particular project to ensure compliance with the appropriate Export Control regulations. The TCP may include computer password protection, encryption of data, physical locks on equipment, limiting access to labs through locks/key cards and lock boxes for materials depending upon the needs of the project/lab.

Service: Work done for hire that is not considered research.

U.S. Person: A person that is a citizen, national or permanent resident of the U.S., or granted asylum, amnesty, or refugee status by the U.S. government. It also means any corporation, business association, partnership, society, trust, or any other entity, organization, or group that is incorporated to do business in the United States. It also includes any governmental (Federal, state, or local) entity.

A. What is an Export?

1. There are a number of activities that have potential Export Control implications. It is important to contact the Institutional Research Compliance Specialist for guidance if you are doing any of the following activities:
   1. Traveling abroad.
   2. Shipping items abroad.
   3. Working with foreign collaborators, whether in the United States or overseas.
   4. Working with controlled items (examples include lasers, thermal imaging cameras, select agents, space qualified equipment, and encryption. The list is long, please contact the Export Control Office for advice on specific items.).
   5. Working with a grant or other contract that has an Export Control clause, publication restriction, or personnel restriction.
   6. Doing any work with a person, business or organization that is a citizen of or headquartered in any U.S. Government sanctioned countries, including E:1/E:2 countries and others as determined by OFAC.
2. 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:
   1. actual shipment of any covered goods or items overseas;
   2. the electronic or digital transmission of any covered goods, items or related goods or items to a foreign person;
   3. any release or disclosure, including verbal disclosures, or electronic transfer of information including phone call or sending a fax, or visual inspections, or any technology, software, or technical data to any foreign national; or
   4. actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere; or
   5. Deemed exports.
3. Deemed exports occur any time a foreign person gains access to information, data, or technology in the United States. Deemed exports include:
   1. Foreign persons working in a lab.
      1. A foreign person is anyone who is NOT a U.S. person (i.e., A U.S. citizen; A permanent resident/green card holder; Someone granted asylum, refugee status, or amnesty by the government; or A US company, university, organization, or government division).
      2. A person in the U.S. on work or student visas is a Foreign Person, and is counted as foreign persons for Export Control purposes
   2. Sharing information with a foreign person in the United States regarding a project
   3. Taking foreign persons on a tour of a lab with controlled equipment
   4. Speaking with foreign collaborators at conferences being held in the United States
4. Disclosures or Transfers to Foreign Persons
   1. Transfer of controlled technology, information, equipment, software, or services to a foreign person in the U.S. (“deemed export’) or abroad by any means.
   2. Sending or taking anything out of the United States in any manner, including shipping, verbal (i.e., telephone) or electronic (i.e., e-mail, webcasts, social media, fax).

B. Notification and Review

1. Export Control Indicators
   1. The following are indicators that an export control review should be conducted to ensure that no violations will occur:
      1. The results of research conducted at UWW or by UWW employees are intended for military, nuclear, or space purposes or for other restricted End-Uses or Users;
      2. Foreign Persons will participate in the research or will have access to Controlled Physical Items on campus;
      3. The research collaborates with a researcher or institution from outside the United States;
      4. Software including encryption features will be developed or purchased;
      5. UWW faculty or staff will export or travel abroad with research equipment, chemicals, biological materials, encrypted software, or Controlled Physical Items; or travel abroad with laptops, cell phones, tablets, portable drives, or other electronic devices containing Controlled Information;
      6. A proposed activity/transaction will involve embargoed countries or entities, individuals/entities located in embargoed countries or countries of concern;
      7. The sponsor imposes a publication restriction (i.e., pre-approval of publications) or restricts the participation of Foreign Persons;
      8. International shipments, including equipment, chemicals, or biologicals, to a foreign country;
      9. The agreement contains a Controlled Unclassified Information (CUI) clause. (e.g., DFARS 252.204-7012); and
2. Notification
   1. Please inform and request for assistance or approval if an activity by a faculty, academic staff or the academic unit has potential Export Control implications (per 4 and 5(A) above).
   2. If you have doubts about whether an activity falls within Export Control, please contact the Institutional Research Compliance Specialist and we would be happy to discuss your situation with you.
   3. To determine whether an export license is necessary for items, software, technology, or information that is disclosed or transferred to foreign persons, the faculty or academic staff must provide the ORSP with the following information:
      1. Description of tangible items, software, technology, or information.
      2. The technical characteristics and specifications of the item, software, or information.
      3. The foreign person’s country of citizenship and the country of citizenship of all other persons who may have access to the item, software, technology, or information.
   4. Please contact the ORSP prior to signing an NDA to determine the impact it may have on your project.
3. Review and Guidance
   1. Upon receiving this information, the ORSP
      1. determines whether an export license is required for the disclosure or transfer of controlled tangible items, software, technology, or information to foreign persons.
      2. The determination and next steps will be communicated with the faculty or academic staff and their respective colleges within three (3) working days.
      3. An export is deemed to occur, and a license may be required even if the transfer or disclosure occurs within the United States.
      4. 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.

C. Foreign Travel

1. Individuals traveling internationally are required to complete a Research Security training certification before traveling and submit their certification to the UWW Center for Global Education. Please reach out to ORSP with any questions.
2. Individual faculty or academic staff traveling to restricted, sanctioned, or embargoed countries are responsible for notifying the ORSP.
3. The ORSP will work with the individual faculty or academic staff to determine whether approval or licenses are necessary.
4. Certain items can be brought overseas (e.g., computers) as long as they are kept in the traveler’s effective control for the duration of the travel.
5. Individual faculty/staff should make sure that computers containing non-commercial special purpose or certain encryption software may be controlled and should not be taken into certain countries.
6. A faculty or staff may be required to submit a Technology Control Plan (TCP), as determined by ORSP. The Plan can be downloaded at Biological samples, select agents, chemical substances, and highly technical equipment should not be transferred without prior export compliance review.
7. Conference presenters or attendees should be aware of information that is disseminated or received as well as received; location and type of conference is important.
8. Individual faculty should ensure that (i) field research is not conducted in sanctioned country; (ii) educational, marketing and business services are not provided to persons in a sanctioned country; (iii) new information or materials are not created for persons in a sanctioned country; and (iv) no engagements are made with persons in a sanctioned country to develop new information or materials; and (v) Foreign Corrupt Practice Act is observed.

D. Accepting Controlled Items or Data from Others

1. Before a faculty or academic staff decides to accept export-controlled items, software code or information provided by a third party, the researcher must determine the nationality of individuals who will have access to the item, code, or information.
2. The faculty or academic staff must then work in conjunction with the ORSP to determine each recipient's eligibility under Export Control regulations.
3. This determination must be made before the export-controlled item, code, or information is shared with the recipient. If the proposed recipient is eligible to receive the export-controlled information, the faculty or academic staff must document the available license exclusion or license exception.
4. The results of fundamental research may proceed openly and be shared freely with foreign nationals in the U.S. without concern of export restrictions. However, export-controlled items, software code or information provided by a third party may not be openly shared with certain foreign nationals, even though such individuals may be important contributors to the performance of fundamental research.

E. Research Exemption and License

1. 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.
2. Three things are important to remember with this exemption, however.
   1. The resulting information may be exempt from Export Controls, but the equipment used in that process may still be controlled and require an Export Control analysis.
   2. A publication restriction (in the project award) can negate this exemption as it is seen as hampering the researcher's ability to publish their results.
   3. Non-disclosure agreements (NDA) may restrict the researcher's ability to publish technical information covered by the NDA.
3. Licenses are required when no exemption can be found for a research activity, particular item, or specific person in regard to a project.
4. The need for a license will depend upon the commodity being shipped, its destination country and/or the person/organization receiving the item.
5. All licenses are submitted by the Office of Research and Sponsored Programs (ORSP).

F. Restricted Party Screening

1. Restricted party lists are administered and enforced by the Department of Commerce, Department of State, Department of Treasury, the Federal Bureau of Investigations, Department of Homeland Security, and the Office of Foreign Asset Controls (OFAC). You could check for the Consolidated Screening List at https://www.trade.gov/data-visualization/csl-search.
2. Please request a consolidated restricted party screening by contacting the Office of Research and Sponsored Programs at ORSP@uww.edu.
3. ORSP will screen individuals and entities against the federally maintained restricted party databases using a software tool, Visual Compliance. The screening determines whether an individual or entity is named on restricted, denied, debarred, designated, or blocked party list.
4. If named on one of these lists, the University may be prohibited from doing business with or providing services to the individual or entity.
   

G. Recordkeeping Requirements

1. Export Control regulations contain specific recordkeeping requirements.
2. Per OFAC (31 CFR501), ITAR (22 CFR123) and EAR (15 CFR762), all departments or programs must retain copies of all export documentation, including financial records, shipping documentation, and appropriate certifications in their research project file for a period of five years from the date of the export, reexport, or controlled deemed export.

H. Consequences of Non-Compliance

1. Individual Responsibility
   1. Investigators (including principal investigators, co-principal investigators, coinvestigators) are responsible for full compliance with all federal and University export control requirements in the conduct of their research. Violation of the export control laws can directly affect investigators through potential fines, loss of research funding, and/or personal criminal liability. Each Investigator must:
      1. Understand his or her export control obligations and participate in regular training to be able to identify export control concerns;
      2. Be aware of the export control indicators of this Procedures and note such information on any internal compliance or assurance forms;
      3. Determine, prior to initiation of research, whether any information or technology involved in his or her research is subject to export control laws or regulations;
      4. Review his or her research periodically to ensure continuing compliance with export control laws and regulations;
      5. Brief students and other researchers involved in the project of their export control obligations, if undertaking an export controlled project;
      6. Understand that any informal agreements or understandings entered into with a sponsor may negate the federal export control or other key exclusions and impose export control obligations on the Investigator; and
      7. Understand that any communication of Technical Data, proprietary information or export-controlled information or technology to a Foreign Person in the U.S or to anyone outside the United States could be considered a Deemed Export or an Export and therefore subject to the Export regulations.
   2. Violations of export control regulations, by both individuals and institutions, may result in civil or criminal penalties. The penalties vary from agency to agency.
      1. State Department
         
         1. Civil Penalties: Pursuant ITAR § 127.10: $1 million per violation; Debarment. This is generally settled through a negotiated Consent Agreement.
         2. Criminal Penalties: Pursuant to AECA section 38(c)22 U.S.C. 2778(c)): Up to $1 million, 20 years' imprisonment, or both, per violation; Debarment.
      2. Commerce Department
         
         1. Violations of the Export Administration Regulations, 15 CFR §§ 730-774 (EAR), may be subject to both criminal and administrative penalties. Under the Export Control Reform Act of 2018 (50 USC §§ 4801-4852) (ECRA), criminal penalties can include up to 20 years of imprisonment and up to $1 million in fines per violation, or both. As of January 15, 2025, the maximum administrative monetary penalty is $374,474per violation or twice the value of the transaction, whichever is greater. This amount is adjusted annually for inflation.
         2. Violators may also be subject to the denial of their export privileges prohibiting a person from participating in any way in any transaction subject to the EAR. Furthermore, it is unlawful for other businesses and individuals to participate in any way in an export transaction subject to the EAR with a denied person.
      3. Treasury Department (OFAC)
         
         1. Criminal and Civil Penalties as provided under 31 CFR Part 501 and Title 22

Embargoed/Restricted Countries

International Trade Administration - Export Controls

Overview of U.S. Export Control System 

Revision #1: April 16, 2026

First approved: May 19, 2021

April 2030

Questions regarding the interpretation of this procedure should be directed to:

Office of Research and Sponsored Programs (ORSP)
800 West Main Street; Whitewater, WI 53190-1791
orsp@uww.edu
p 262-472-5212 | f 262-472-5214