Office of Grants & Research

Export Controls

Introduction

Export controls primarily refers to the federal International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR). The ITAR govern the export of “defense articles” and “defense services”. The term “export” means the transfer of items, information or services overseas, or their provision to a foreign person inside the U.S. (including, for example, a student in a classroom or a colleague in a research lab). The EAR govern the export of “dual-use” technologies—items that are used, or have the potential to be used, for military and non-military purposes if such export could adversely affect the national interests of the U.S. The definition of “export” under the EAR is very similar to the definition under the ITAR. Both sets of regulations apply only to items and information that are not publicly available; therefore, the results of academic research are generally exempt from both the ITAR and the EAR provided that the results have been published (ITAR) or are intended for publication (EAR). Export controls are most likely to apply in a university setting if:

1. Research results cannot be published until approved by the sponsor, or
2. Items or information have been received from an outside source under a confidentiality agreement.

In such circumstances, if the information is export-controlled it cannot be shared with certain “foreign persons” (i.e., a person who is not a U.S. citizen or a permanent resident) unless a license is first obtained from the U.S. government.

When are Export Controls Implicated?

In the course of research, professional development or other activities, University employees may have engagement with foreign businesses; collaboration with colleagues from other countries; or, engage in research involving foreign governments. As a result, employees need to be aware that these activities may have potential export control implications.

It is important to understand the restrictions that may exist when working with foreign entities. If you are doing any of the following activities, you should review the UW-Green Bay Export Control Policy:

• Traveling abroad
• Shipping items abroad
• Working with foreign collaborators, whether in the United States or overseas.
• 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.)
• Working with a grant or other contract that has an export control clause, publication restriction or personnel restriction
• Doing any work with a person, business or organization that is a citizen of or headquartered in Iran, Syria, Sudan, North Korea, Cuba or the Crimea.

What are “Exports”?

Exports can include a wide variety of things, data, and technology, including, but not limited to, any of the following:

• Shipping an item overseas
• Sending an e-mail to a foreign person
• Making a phone call or sending a fax to a foreign person
• Any electronic transfer of information abroad
• Or actions which are “deemed exports”:
• Deemed exports occur any time a foreign person[1] gains access to information, data or technology in the United States. At that point, the information, data or technology is deemed to have been exported to their country of citizenship. Examples of deemed exports can include:
  1. Foreign persons working in a lab
  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