Export Control

Compliance of the export control regulations is necessary for the protection of national security interest.  Penalties for violations of the regulations can be severe for the university, principal investigator and all other personnel working on an export-controlled project. Therefore, it is important that all University of Arizona (UA) personnel involved in research activities be aware of and complies with all U.S. export control laws and regulations.

All UA units that engage in research and other activities which involve controlled technologies are required to designate an individual who will be responsible for assisting faculty and other research personnel with the identification of export issues and managing export compliance at the department level. The Lunar and Planetary Laboratory (LPL) Department Export Control Administrator (DECA) is trained to assist you with reviewing grants and contracts to identify export restrictions, screening of foreign nationals and assisting Principal Investigators with item classification. The DECA works closely with the University Export Control Officer with the submission of various export related forms and recordkeeping.  The DECA for the Lunar and Planetary Laboratory is Glinda Davidson, Manager, Business Affairs located in the Kuiper Space Sciences Building, Rm. 345.

Principal Investigator Role:

The Principal Investigator (PI) has the responsibility for all work identified in the project statement of work.  The PI needs to ensure that the project remains in compliance with government, sponsor, and university policies and regulations and follow internal procedures established within LPL.

What are Export Controls?

Export Controls are the regulations that require federal agency approval before the export of controlled items, commodities, technology, software or information to restricted foreign countries, persons and entities (including universities).

Who Controls the Regulations?

There are three main sets of regulations that require the need for concern with export controls. They are the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the regulations under the Office of Foreign Asset Controls (OFAC).

The ITAR falls under the Arms Export Control Act and controls defense services, defense articles and related technical data; items designed or developed for military use.  The United States Munitions List (USML) contains the list of controlled items. These regulations are administered by the Department of State. The agency responsible is the Directorate of Defense Trade Controls (DDTC).

The EAR falls under the Export Administration Act and controls the export of “dual-use" items (civilian or military uses).  The Commerce Control List (CCL) contains a list of controlled items. These regulations are administered by the Department of Commerce’s Bureau of Industry and Security (BIS).

OFAC is part of the U.S. Department of Treasury and administers and enforces economic and trade sanctions.  They control the list of sanctioned countries, Blocked Persons List, Specially Designated Nationals List, Denied Persons List, and the Debarred Parties List. The UA has a contract with a vendor that supplies a database to screen these lists.  Contact Glinda Davidson in the Business Office to conduct a screening.

Export Control Indicators (proposal stage): 

Provide LPL DECA a copy of the RFP or AO prior to submitting the proposal

  • Export Control Language
  • Requirements for security plans
  • References to DoD
  • References to Prohibited Countries
  • Sponsor is a foreign entity
  • Clear military component to research
  • References to “classified” information
  • Key words and acronyms
  • Publications restrictions
  • Foreign National’s restrictions

What is an Export?

  • Sending or taking defense articles or technical data outside the United States.
  • Disclosing or transferring technical data to a foreign person whether in the United State or abroad.
  • The performance of a defense service on behalf of, or for the benefit of, a foreign person whether in the United States or abroad.

An export occurs whenever the release of technology or software (including source code) to a foreign national, even if the release takes place in the United States (deemed export).  Examples of a deemed exports are: disclosure at lectures, meetings, conferences; lab access; release of source code.

What is Technical Data?

  • Information, other than software, which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles. This includes information in the form of models, blueprints, drawings, photographs, plans, instructions, and documentation.
  • Classified information relating to defense articles and defense services.
  • Information covered by an Invention Secrecy Order.
  • Software that is directly related to defense articles.

What is a Defense Service?

  • The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense article.
  • The furnishing to foreign persons of any technical data as defined in ITAR paragraph 120.10, whether in the United States or abroad.
  • Military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the United States or abroad or by correspondence courses, technical, educational or information publications and media of all kinds, training aid, orientation, training exercise and military advice.

Export Administration Regulations (EAR)

Some exports may fall under the restrictions imposed by the EAR, which are administered by the Department of Commerce (DOC), Bureau of Industry and Security.

Items subject to the EAR are those items and technologies specifically identified under an Export Control Classification Number (ECCN) on the Commerce Control List.  Items under the jurisdiction of the DOC and not described under ECCN are referred to as “EAR99” items. EAR99 items generally consist of low-technology consumer goods and do not require a license in many situations. If your proposed export of an EAR99 item is to an embargoed country, to an end-user of concern or in support of a prohibited end-use, a license may be required.

If the item is “subject to the EAR” a license may be required to export the item or technology, either through a physical export of the item or a deemed export (a release of technology or source code to a foreign national in the United States) to a foreign national.  No license or other authorization is required for any export transaction subject to the EAR unless the EAR affirmatively states a requirement.  The circumstances under which a license must be obtained are consolidated into ten General Prohibitions.  There are major factors that determine whether an export is subject to one of the ten General Prohibitions.

All UA ECCN determinations must be reviewed and approved the UA Export Control Officer.

Licensing Requirement (ITAR)

The export of a defense article or technical data that is identified on the United States Munitions List requires a DDTC approved license.  There are several types of license application forms depending on the type of export or import and the nature of the export or import.  If you require or think you may require a license for controlled hardware or technical data contact your DECA for a determination.

Export of Technical Data (Technical Assistance Agreement)

In addition to export licenses, the ITAR provides a mechanism whereby DDTC can authorize ongoing relationships between the U.S. and foreign nationals or companies for the exchange of “unclassified” technical data and the provisions of defense services.  The most common agreement used is the Technical Assistance Agreement (TAA). A TAA is an agreement for the performance of a defense service(s) or the disclosure of technical data. Such arrangements must be described in an agreement submitted to DDTC for approval. Written approval must be received by the DDTC prior to the exchange of any technical data.

If a license or agreement is going to be submitted, begin the process at least 120 days in advance of the actual transfer to allow time for document submission, review and decision.

If you need to submit a TAA for review the Agreement Questionnaire for U.S. Government Export Applications can be found at:

http://orcr.vpr.arizona.edu/system/files/Questionnaire%20for%20TAA%20Rev2.pdf

Complete the form and submit it to your DECA.  The LPL DECA will work with the university Export Control Officer (ECO) to prepare a DRAFT TAA for review.  Or if you prefer, contact your DECA directly to arrange a meeting with the university Export Control Officer to discuss the project in detail and allow the ECO to gather the required information for drafting a TAA.

Export Control Indicators in Non-Disclosure Agreements (NDAs) and Proprietary Information Agreements (PIAs)

  • Export control language
  • Security requirements
  • Required certifications about nationality
  • Requests for information regarding nationality

The office of the Vice President for Research is required to review any agreement that contains export control language.  The Checklist for Export Control Issues will assist the DECA to determine if research project will be subject to the export control regulations.  The form can be found at:

http://orcr.vpr.arizona.edu/system/files/Export%20Checklist%20rev%207%20041410.pdf

Technology Control Plan

A Technology Control Plan (TCP) is a document that lays out the requirements for protecting export-controlled information and equipment for projects conducted on the UA campus.  The UA has a TCP template for use on projects requiring this document.  It can be found at:

http://orcr.vpr.arizona.edu/export-control/processes contact your DECA for assistance with processing a TCP.

International Travel

UA Policy for International Travel:

http://policy.arizona.edu/sites/default/files/Interim_International_Travel_Policy.pdf

Laptop Computers and other equipment - For ALL destinations outside the U.S., software; information (data. technology. schematics. etc.); and equipment (including laptops, cell phones, etc.); or service (including gratis conference presentation) should be veiled prior to travel for possible export control issues. Generally, laptops and other devices that contain only Operating Software, Web Browsers, and Software such as Microsoft Office, and Adobe have no export control license restrictions unless travel is to a restricted/embargoed country.

You must register the itinerary, dates, locations and emergency contact information in the university international registry. Complete the travel description questionnaire. The LPL DECA or the UA Export Control Office will contact you based on your responses to the Questionnaire to if a license, is required. A federally-issued export license or documented license exception may be needed prior to travel outside the U.S., depending on the proposed destination, equipment or materials to be taken to or from the foreign locale, the nature of the project or activity associated with the travel, individuals and organizations to be contacted. Agencies, entities, and individuals should be screened to cletennine if they are on the "denied" list prior to the Lrip.

License Exception TMP – This form should be used if you are traveling outside the U.S. and taking UA owned equipment, such as a laptop. This exception is not applicable for anything ITAR controlled (a license would be required). The form is located at http://orcr.arizona.edu/cc/intllravel. Sec TMP Exception Form.

License Exception BAG - This form should be used if you are traveling outside the U.S. and taking your personal laptop or other equipment that contains UA project data. This exception is not applicable for anything ITAR controlled (a license would be required). The form is located at http://orcr.arizona.edu/ec/intltravel. See BAG License Exception Form.

Travel Warning Areas – All UA travelers must check the current Travel Warnings issued by the U.S. State Department at http://travel.state.gov/ prior to the traveler committing to a trip. Travel warning areas require advance review and approval of the Provost.

Travel to Sanctioned or Embargoed Countries - Certain countries such as Iran, Cuba, Syria, Libya, Sudan, and North Korea are sanctioned or embargoed. The Export Control Office maintains an up-to-date list of the sanctioned/embargoed countries. All UA employees, regardless of the nature of the proposed professional activities and possible professional contacts in these countries, must coordinate proposed travel to any restricted/embargoed country through the Export Control Office and must be licensed by the appropriate government agency IN ADVANCE of Travel Authorization.

Restricted Party Screening

University personnel must screen individuals who will be involved in export controlled projects or transactions to ensure that we are not doing business with individuals or companies that may be identified on government “prohibited lists”.  The University uses software called “eCustoms” that electronically goes through this process.  Glinda Davidson has access to “eCustoms” and has the ability to do the screening against multiple lists that will ensure that the individual, company or export is not prohibited.  Individuals should also be screened before sending out letters of acceptance to students and new hires as well as visiting scholars.

Foreign National Visitors

A foreign national is an individual who is not 1) a U.S. citizen; or lawful permanent resident (Green Card) or 2) A protected individual (political asylum).

The LPL DECA should be advised of every foreign visitor regardless of the reason for visit or whether or not they will be paid or unpaid.  LPL has several export controlled projects located in all three buildings.  Prior to allowing a foreign visitor to participate or have possible access to Export Control Restricted areas requires prior approval.  Some projects may be required to submit a Technology Control Plan to the ECO before access can be approved.

If you are expecting a foreign national visitor please complete the “Lunar and Planetary Laboratory Visitor Questionnaire prior to the visit so the LPL DECA can make certain that we are not violating any export control regulations.  All foreign nationals must also be screened prior to their visit.  The LPL Visitor Questionnaire form is at:

http://www.lpl.arizona.edu/resources/business/forms