University of Delaware
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Export Regulations

University research is subject to U.S. Export Control laws that protect national security and trade, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), and the Commerce Control List (CCL) implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, also is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals.

These regulations control the export of strategic information, technology, and services to foreign countries as well as to foreign nationals inside the United States. Temporary export of controlled items, including laptop computers with controlled technologies, such as encryption software or technical project data also falls under the regulations. Failure to comply with these laws can result in serious consequences, including penalties of up to $1 million in fines and up to 10 years in prison per violation.

It is important for members of the University of Delaware research community to be aware of the University of Delaware Policy on Export Controls (Research Policy 6-17). Additionally, the following tools are available to help researchers become more aware of the issues surrounding Export Controls and to assist them in determining when the regulations are applicable:

  The Memo on Export Controls and Trade Sanctions gives general information about the Export Control regulations as they apply to the academic research community
  The Travel with or Transportation of Research- Related materials and Data Memo explains the issues and steps for compliance when traveling
Note: University personnel traveling to OFAC sanctioned/embargoed countries, which at the time of this writing include Cuba, Iran, North Korea, Syria, and Sudan, should contact the Research Office - Associate Deputy Provost for Research and Regulatory Affairs, Cordell Overby, overbyc@udel.edu, or University Research Counsel Sean Hayes, hayes@udel.edu - for guidance prior to travel. UD personnel should travel with a “clean” laptop that contains software and data that are not export controlled. In this way, previously utilized and generated export controlled software and unpublished research data will remain at home or work and therefore are neither exported nor deemed-exported.
  The Export Control Decision Tree may be used to help determine if projects are subject to the Export Control Regulations and how to obtain further project-specific information to make sure the work remains in compliance with the laws
  Our Export Control FAQs provide basic information to help you understand the Export Control regulations and how they might apply to you

The Research Office will work with individual researchers to make all necessary checks of the ITAR, EAR, and OFAC regulations to determine when licensing is necessary for shipment or disclosure to foreign countries or nationals. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for assistance.



FREQUENTLY ASKED QUESTIONS

Q.1. What is an export?
Q.2. What is a “Deemed Export”?
Q.3. What are Export Controls?
Q.4. What is the ITAR?
Q.5. What is the EAR?
Q.6. How does the EAR work?
Q.7. What are “Specially Designated Nationals” and restricted parties?
Q.8. Aren’t Universities exempt from the Export Control Regulations?
Q.9. What is a technology control plan?
Q.10. Where can I get training on Export Controls?



Answers to Frequently asked Questions

Q.1. What is an export?

An export is the shipment of items or data to a foreign country. It is also the electronic or verbal transmission of controlled information (phone, fax, email) to an individual in a foreign country. Provision of a service based on knowledge acquired in the U.S. is also an export.
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Q.2. What is a “Deemed Export”?

A deemed export is the disclosure of controlled information or technology to a foreign national within the U.S.
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Q.3. What are Export Controls?

Export Controls generally refer to the federal regulations governing the export of materials, data, technical information, services, and financial transactions to foreign countries based on U.S. security interests. These regulations include the ITAR, the EAR, and OFAC regulations.
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Q.4. What is the ITAR?

The ITAR (22 CFR 120-130) is implemented by the Department of State. These regulations are designed to cover materials and technologies whose primary purpose is considered to be military in nature. Materials covered under the ITAR are enumerated in the United States Munitions List. Export of defense services, defense articles, and related technical data on the USML requires licensing from the Directorate of Defense Trade Controls (DDTC).
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Q.5. What is the EAR?

The EAR (15 CFR 774) is implemented by the Bureau of Industry and Security in the U.S. Department of Commerce. These regulations apply to “dual use” technologies, i.e. items that have a civilian use, but which may also have a military use or which may be controlled for shipment because of national security concerns.
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Q.6. How does the EAR work?

Under the EAR, items and technologies are assigned an ECCN or Export Control Classification Number. This number is a 5 digit alpha-numeric code that identifies the item and technology. Export controls depend on the item classification and the export destination (or home country in the event of a deemed export to a foreign national). In the case of a controlled export, it may be necessary to apply to BIS for an export license.
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Q.7. What are “Specially Designated Nationals” and restricted parties?

SDNs are nations, entities and individuals that are the subject of economic and trade sanctions under the OFAC. Restricted parties are those persons, nations and entities to whom exports are restricted; they may be specially designated nationals, but also include individuals and businesses who have been debarred by the Department of State or restricted by the Department of Commerce because of previous violation of the regulations.
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Q.8. Aren’t Universities exempt from the Export Control Regulations?

Both the ITAR and the EAR have clauses providing exemption from the licensing requirements for fundamental University Research. Information resulting from basic and applied research in science and engineering conducted at an accredited institution of higher education in the U.S. that is ordinarily published and broadly shared within the scientific community falls under this exemption.

It is important to note however, that research will not be considered fundamental if: the University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or the research is funded by the U.S. government and specific access and dissemination controls protecting information resulting from the research are applicable.

Furthermore, participation of foreign nationals should not be restricted if the exemption is to apply.
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Q.9. What is a technology control plan?

A technology control plan is a formal plan that delineates how an Export Controlled research project will be conducted. It includes details about how the technology will be secured, who will have access to it, and how the technology will be disposed of at the end of the project.
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Q.10. Where can I get training on Export Controls?

The Research Office is happy to provide training on Export Controls upon request. Additionally, the office will provide project specific training for new projects and personnel as required. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for more information.

Please view the UD online Training on Export Regulations.

The BIS also has on-line training sessions, which can be accessed at: http://www.bis.doc.gov/seminarsandtraining/seminar-training.htm

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