Yes.If an item requires an export license, you will need to wait until UCSD has the license or determined that an export license exception is available. Even where a license is not otherwise required, you will need to wait until completion of restricted party screening. Screening itself normally only requires a few minutes to process. Absent any screening concern and no license requirement or other export documentation such as electronic export information filing or dangerous goods shipping declarations, an export can proceed immediately. Licenses are generally issued within 60 to 90 days from the date the application is submitted. OFAC sanctioned country licenses take longer to obtain depending on the country involved and the activities to be authorized.
ITAR export licenses will likely be denied for countries, those under arms embargoes.Normally and, subject to certain exceptions, it is not difficult to obtain a license. Upon obtaining the necessary details about export (e.g. Nature of the item, purpose/end use, destination, and the end user) Export Control prepares and files the appropriate type of license application (dual-use-EAR license, defense categorized-ITAR license, sanctioned country-OFAC license, or nuclear material-Nuclear Regulatory Commission/ Department of Energy license in conjunction with the EHS Radiation Safety Officer).
A current trend by banks, insurers, and acquisition-minded corporations is to insert rigorous Office of Foreign Assets Control (OFAC) sanctions compliance provisions into credit agreements, insurance policies, and acquisition agreements. This trend is no doubt driven in part by the recent surge in huge settlements obtained by U.S. Regulatory agencies arising out of enforcement actions for economic sanctions violations by major banks.
The license application is filed through on of the on-line U.S. Government agency portals, and Export Control is able to track the government’s approval process.Note that where the Government finds the proposed export to have particular national security, biological safety, or nuclear or missile technology implications, the applicable Government agency can deliberate longer over the issuance of the license, referring it for inter-agency review or requesting UCSD to provide specific details. Hence, it is critical to allow sufficient time prior to intended export, for the license application to be prepared and processed by the Government.Where the license application is intended to cover the provision of a defense service under the ITAR, (i.e.
The release in any manner of ITAR technical data to a foreign national or entity or training or assistance to a foreign national or entity using ITAR data), this type of ITAR license, called a Technical Assistance Agreement or TAA, can take longer to prepare and longer to process. No.All export licenses and authorization carry provisos or conditions which are the Government’s specific restrictions or limitations on the export activity. For example, the Government may require that the recipient of the export provide a Letter of Assurance that they will not transfer or re-export the item beyond the originally licensed country destination. Limitations on the duration of the license, or on access by foreign nationals from certain countries, may also apply. Failure to adhere to these provisos results in an enforceable export violation.Records related to the activities authorized must also be maintained for a period of 5 years from the date of export or from the license expiration date, whichever is later.
Not necessarily.Under the EAR dual-use regulations, license requirements are on an item by item, country by country and person or entity basis. As such, your particular item may or may not require a license. Under the ITAR defense regulations, exports to all countries presumptively require a license and, in some cases, depending on the country, the State Department will not, as a matter of policy, issue a license. For example, China is per se a prohibited country under the ITAR USML regulations as a; the State Department will not consider issuing a license of a USML item to China.
There are a number of other countries that exports of ITAR items are likewise prohibited. Therefore, it is essential that all exports be cleared by UCSD Export Control. In some cases, yes.The answer depends on the export control jurisdiction and classification of the item, as follows: Scenario A - EAR dual-use items:If the equipment does not require a license to export it to any country, then no, the temporary export does not require a license. If, on the other hand, the item would normally require a license to export abroad, a specific license exemption, such as the “Tool of Trade” exemption, must apply to the temporary export or otherwise a license is required. The “Tool of Trade” exemption covers temporary exports of “usual and reasonable kinds and quantities” of items for use abroad by the exporter and are utilized for lawful enterprise or undertaking. In addition, this exemption has other qualifications based on type of export, destination, and duration of export.
Hence, it can only be used when all requirements are met. Scenario B – ITAR USML items:Yes, a DSP-73 temporary export license is required, even if you are only sending or transporting the ITAR equipment to international waters or airspace (i.e. Not landing in any particular country). There is no Tool of Trade exemption under the ITAR.Even if an export license isn’t or is required for export, some countries will also have import requirements for temporary imports and a carnet or temporary import bond may be required, especially for higher value items. Export Control will advise on the options for export licensing depending on the items, the destination and specific end use of the items.The ITAR item will require a DSP license, depending on the purpose of the export; the EAR item may require a separate license or license exception if controlled under the EAR. EAR items incorporated into ITAR items may lose the EAR identity, resulting in the entire item getting classified under ITAR.
ITAR items incorporated into EAR-controlled or otherwise non-licensable items (no license required) render the entire assembly ITAR, by virtue of the “see-through” rule under the ITAR regulations. When you “release” ITAR technical data (i.e. Information or software not in the public domain about design, use, modification, repair, etc. Of a defense article) to a foreign national (including foreign national students, or visitors on campus, off campus, or abroad), this constitutes a defense service, requiring a license prior to such activity. In this context, ITAR technical data can be “released” merely by the provision of visual access, computer access, or oral disclosure of the data, even where it is not being utilized by the foreign national.In addition, providing technical assistance or training to a foreign national in the U.S. Or abroad on design, development, engineering, use, modification, repair, etc., of a defense article constitutes a defense service (even if the data provided are in the public domain), as does providing any technical data to a foreign military organization in the U.S. Or abroad, regardless of whether the data or information being transferred is EAR or ITAR-governed or in the public domain.
In these instances, it is necessary to first obtain a Technical Assistance Agreement (TAA) from the State Department prior to releasing the data or conducting that activity (assuming that a TAA can be obtained, which, for some countries, such as China, it cannot). Not necessarily.Where you are teaching or discussing any item in the public domain that happens to be listed on the USML or you have self-invented such information during the course of fundamental research with the intention to publish it, in general there is no license requirement.However, a license requirement does apply when you are releasing ITAR technical data in the manner of a defense service; i.e. Providing technical assistance or training to a foreign national in the U.S.
Or abroad on design, development, engineering, use, modification, repair, etc., of a defense article (even if the data provided are in the public domain); or providing any technical data to a foreign military organization in the U.S. Or abroad, regardless of whether the data of information being transferred is EAR or ITAR-governed or in the public domain. Likewise, a license requirement would also apply when you are exporting ITAR technical data that you have received from a sponsor (government or industry) or research collaborator (government, industry, or research institution) under a restricted agreement, i.e. It is explicitly export controlled, and does not qualify as fundamental research intended for public domain. When in doubt, refer the evaluation to the Export Control.Typically, UCSD’s research instruments are not categorized under the USML; however, as noted earlier, they may be dual-use controlled under the EAR and hence require a license. Where an item is specifically designed or modified for defense purposes as defined under the USML, it is likely ITAR-classified.
When an item is procured, this designation may be references in the vendors’ Operation Manual or sales documentation, though not always. Research institutions transferring ITAR items during the course of collaborative research do not always identify such items as ITAR controlledBottom line: you cannot tell whether an item is EAR or ITAR controlled merely by looking at the MTA or procurement documentation. Technical parameters can also change the classification from one controlled for dual use reasons then one controlled for military or ITAR reasons. If you’ve invented the item and publish the results of your invention, there is no access restriction, as it was created under the Fundamental Research/ Public Domain exclusion. Physical exports will still require an export license.
However, if you’ve purchased the item (or otherwise received it from a third party and it is not already in the public domain, i.e. It is proprietary technology), then access or use of the item that would allow a foreign national insight into how it works (directly or by virtue of receiving controlled technical data, e.g. In the form of a proprietary manual) is restricted and may be subject to license authorization.In this case, if no license is obtained (or pending receipt of a license that has been applied for), the ITAR item requires a Technology Control Plan to restrict access by foreign nationals.
Contact Export Control to determine control plan requirements and options. Yes, with one exception that can potentially be utilized with the assistance of the Export Control Officer, as follows.ITAR allows a PI to access ITAR technical data where the PI is a bona fide, full time employee of the research institution, not a and meets other specific criteria. Assuming the terms of this exception are met, the PI is subject to the same no-transfer restrictions that a U.S. Person PI is subject to. Hence, this exception is used for accessing background information only necessary to launch or conceptualize contemplated fundamental research.
If the research requires data to be shared with the research team which may include foreign nationals, the exception cannot be invoked, since only the PI may qualify under the exception. PIs wishing to explore using this exception must contact the Export Control Officer prior to receiving or accessing any such data. There are some considerations which specifically apply to communicating with foreign governments.If the research involves ITAR technical data and you are training or assisting the government representative to be able to use it in a manner which constitutes a “defense service,” this would trigger a license requirement.
See also: What does it mean to provide a defense service under the ITAR? This applies even if the data is already in the public domain (this rule is currently being de-regulated by the Department of State, but is not yet law); i.e. Data not yet in the public domain and provided to a foreign defense organization would still constitute a defense service, and require a TAA export license authorization. Note: even EAR-dual use technical data being provided to a foreign defense organization for a defense purpose may constitute a defense service.3.
Special Concerns at User Facilities Subject to WFOs, CRADAs, or User Agreements. There may be export control implications.In the event that the equipment or data is EAR-controlled and not being used for Fundamental Research purposes, and/or is ITAR-controlled, access restrictions would apply. Exposure to Foreign Nationals would require prior authorization. A Technology Control Plan might be required in order to ensure that access restrictions are being maintained appropriately. This would be true whether the User brings in this equipment/data for his or her own use, for UCSD’s use, or for collaborative use with another User or with UC.If there are any imports from sanctioned countries, Cuba, Iran, North Korea, Syria and Sudan, an OFAC license may be required and could take months to obtain. Consult with Export Control to determine license requirements.
There may be similar export control implications. In the event that the data is EAR-controlled and not being used for Fundamental Research purposes, and/or is ITAR-controlled, access restrictions would apply.
Exposure to Foreign Nationals would require prior authorization. A Technology Control Plan might be required in order to ensure that access restrictions are being maintained appropriately.Also note: In the event that the remote User is a non-U.S. Party, the non-public data would need to a license determination performed prior to UCSD transferring the User’s data back to the User in a foreign country.4. Complying with the Fundamental Research Exclusion (FRE) off campus. When presenting research results abroad, attending professional conferences, etc., as long as what is being presented is the result of Fundamental Research intended for publication or to be published, there is no export license requirement.
Defense services will still require an export license. Special requirements apply for sanctioned countries, consult with Export Control if you have any presentations in Cuba, Iran, North Korea, Syria or Sudan.However, if there is any proprietary or restricted information by the sponsor’s contract or funding mechanism, then the FRE education and conference exclusions no longer apply. Note: When you are presenting at a professional conference, that conference must be one which is normally associated with the academic or professional subject at hand and not closed in a way that is contrary to the premise of published fundamental research.
Yes, with several exceptions.If, for example, you happen to have export controlled data on your laptop (i.e. Proprietary data which is not published or intended for publication and the result of fundamental research), then traveling outside the United States with your laptop would require a license, depending on its EAR or ITAR classification and your destination. In general, it is best practice not to travel with a laptop or other portable device containing such export restricted data; it is recommended to either remove the data prior to travel or to travel with a clean device. In addition, the U.S. Government’s OFAC restrictions prohibit the export, by any means, of certain articles used for professional purposes. For guidance on traveling with a device containing controlled data, please consult with Export Control. If EAR (dual use) controlled, such items may or may not qualify under the Tools of Trade exception, and therefore require prior export license review.
The “Tools of Trade” exception covers temporary exports of “usual and reasonable kinds and quantities” of items for use abroad by the exporter, provided that the items remain under the “effective control” of the exporter and are utilized for a lawful enterprise or undertaking. In addition, this exception has other qualifications based on type of export, destination, and duration of export. Note that this exception can only be used when all requirements are met. If the item is ITAR controlled, a license is likely required.Additionally there may be dangerous goods or hazardous materials shipping requirements that apply to hand carried items. Read more detailed information on.6. International Collaborations and Conducting Research Abroad. Yes, in several respects.The exchange of scientific information with researchers and administrators abroad can trigger control requirements such as end user screening, as well as export licensing requirements potentially associated with the transfer of tangible items, proprietary technical data, software, and transfers that meet the definition of a defense service.
Screening should be performed at the outset of any international collaboration, to ensure that the collaborating entity does not appear on any of the U.S. Government’s Restricted Party Lists. See for more information. If there is any question as to whether you might be sharing research results that are not intended for publication, or you are transferring abroad any commodity or software that could be controlled under the EAR or ITAR, you must contact Export Control to determine export license requirements.Finally, scholars and researchers who visit UCSD as part of the collaboration must be restricted from accessing laboratories wherein ITAR items or export restricted data are kept or used.
A technology control plan may be an option to document the access restrictions and controls implemented to prevent unlicensed exports for foreign persons.7. Office of Foreign Assets Controls (OFAC). The regulations pertaining to transactions with these countries vary by country. These regulations address not only export, but a much broader spectrum of activity (e.g.
Funding or providing a service or imports) that OFAC restricts absent specific license approval.For example, the regulate personal travel to Cuba as well as professional research activity conducted with Cuban institutions here and abroad. That said, the Cuba regulations allow for a broad range of research and humanitarian related activity when approved by license from OFAC – and recent changes to the Cuba regulations have resulted in, among other things, an expanded set of activities which fall under a “General License” and do not require prior approval.The, on the other hand, do not regulate individual travel to Iran, but remain highly restricted as to any activity, research, or otherwise, which OFAC defines as a “service” to Iran. While certain kinds of collaborative research activity are permissible with Iranian institutions, to the extent such research contemplates the exchange of material items with Iran, or providing advice on establishing a laboratory or research facility in Iran, a license may be required.