Export Control
Overview of ITAR and EAR
(Export Control Regulations)
It is the policy of the University of Arizona that research, instruction, and public service will be accomplished openly and without prohibitions on the publication and dissemination of the results of academic and research activities to the full extent permitted by law.
Export control laws are federal regulations that restrict the overseas shipping, transmission, or transfer of certain information, technologies, and items to anyone, including U.S. citizens, or to a foreign national on U.S. soil. The laws are enforced by the Department of State through its International Traffic in Arms Regulations (ITAR) and the Department of Commerce through its Export Administration Regulations (EAR). Export control laws apply to equipment, hardware, software (including source code or object code), technical data (such as models, formulae, engineering designs or specifications) and technical assistance (such as training or instruction).
Federal export control laws have the potential to restrict the openness of University educational and research activities, hinder publication and prevent international collaboration. The consequences of violating these laws can be quite severe, ranging from loss of research contracts, to monetary penalties, to jail time for the individual violating these regulations. For these reasons, it is important for all University of Arizona personnel involved in research activities or contracting to be aware of our obligations under the export control laws.
Federal regulations promulgated and enforced by the Department of Commerce, Export Administration Regulations (EAR), and the Department of State, International Traffic in Arms Regulations (ITAR), prohibit the unlicensed export of specific types of information and technologies for reasons of national security or protection of trade.
Under these regulations, an "export" includes the transfer or communication (oral or written) of restricted data, technology, or items outside U.S. borders OR to "foreign persons or entities" within the U.S. The transfer of information includes lectures, seminars, presentations, and publications. Export control laws also apply to university property (such as laptop computers and pdas) taken to restricted countries.
If University research involves such restricted technologies -- or information -- and if the research in question does not qualify for one of the limited exclusions available under the export regulations -- the EAR and/or ITAR may require the University to obtain a license granting prior approval from State or Commerce before allowing foreign nationals to participate in the research, partnering with a foreign company and/or sharing such information or technologies (verbally or in writing)with foreign nationals. Because of the time involved in applying for and obtaining an export license, the export control laws may, as a practical matter, operate to exclude foreign nationals from participation in University research unless export control issues are identified and managed early in the process. Also, depending on the country or end use involved, in some circumstances no export license may be available at all. In such cases, the research activity could be prohibited.
For these reasons, it is important for University personnel to understand the basics of export control compliance, and for export control issues to be identified as early as possible in the consideration of a research proposal so that any necessary licenses may be obtained prior to the commencement of the research. It is also important to be aware of the limited export control exclusions available to academic research, including but not limited to the Fundamental Research exclusion.
The University is working with the Council on Government Relations (COGR), the Association of American Universities (AAU), and other nationally recognized research universities to exclude all fundamental university research from export regulation. Until such time as those efforts are successful, the Principal Investigator and the Office of the Vice President for Research, Graduate Studies, and Economic Development (OVPR) must conduct a thorough review of research projects and contract provisions to determine whether and, if so how, a particular research project is impacted by those regulations.
In furtherance of the University of Arizona's guiding principles and goals in this area
Principal Investigators have the following responsibilities:
- prior to commencing any research, to review and cooperate with OVPR to determine whether any technical information or technology involved in their research is subject to the export control law or regulations and if so, whether any exclusion is available under the export control regulations;
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to re-evaluate that determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination;
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to make export determinations far enough in advance to obtain an export license from the appropriate agency, if required and available; and,
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to ensure that foreign nationals are excluded from access to restricted data or technology until the availability of an exclusion has been determined, or an export license has been obtained.
Latest Export Control News
UA ITAR/EAR Resources:
- ITAR/EAR Definitions
- ITAR/EAR Checklist for Principal Investigators
- ITAR/EAR Boot Camp "A Survival Guide to Export Control Regulations" (via OGC website)
- Risk Management & Safety International Travel to Sanctioned Countries
Federal Agency Websites:
- US Government Resource Links for Departments & Agencies with Export Control Responsibilities
- State Department Directorate of Defense Trade Controls (ITAR)
- US Munitions List
- State Department DDTC Key Personnel Listing
US State Department Hotline for inquiries concerning exports under the US Munitions List (202) 663-1282
- Commerce Department Bureau of Industry and Security (BIS)
- Treasury Department Office of Foreign Assets Control
- OFAC Sanctioned Countries List
*This information is based on resources created by the University of Maryland
Office of Research Administration and Advancement (ORAA)