FACULTY AND STAFF SHOULD CONTACT OEC DURING PROPOSAL PREPARATION OR DURING THE PERIOD OF PERFORMANCE IN THE FOLLOWING SITUATIONS:
- The funding opportunity announcement (BAA, RFP or other solicitation) mentions citizenship/nationality based restrictions, export controls, or publication restrictions.
- A sponsor, collaborator, or other party asks you to exclude or restrict the participation of foreign nationals controls; tells you that the information, materials, software, equipment, etc. are subject to export controls; to not publish or discuss your results without prior approval.
- Equipment, software, samples or technical data will be temporarily or permanently exported from the US.
- You will be paying for services in a foreign country.
- You will be working with proprietary equipment, software, samples or technical data; particularly if supplied by the sponsor or a third party.
- ITAR controlled equipment, software, samples or technical data will be used or generated in the conduct of the proposed activities.
- The sponsor requests deliverables other than published articles or scientific/scholarly presentations.
- Proposal includes collaboration with an individual located in, work being conducted in, or travel to a sanctioned country (e.g. Iran, Cuba, Syria, Sudan, and North Korea).
- Any party (individual, company, or other organization) to the proposal, award or other agreement is a foreign military or a party acting on the behalf of a foreign military.
- Whenever you have any export control concerns, questions or issues related to your UVA duties and responsibilitites.
The University's export control policy (FIN-043) requires that all exports of UVA-owned devices, software and information that is not publicly available be authorized by the OEC, Additionally, international travel is subject to the University Policy on Faculty and Staff International Travel and requires registration. Faculty and staff are required to register their professional international travel through the University's international travel registry maintained by the International Studies Office, in order to facilitate University assistance if the need arises. As a part of that process, handcarrying University equipment on international travel is subject to review and approval. A Temporary Export Request Form must be completed and reviewed by OEC prior to international travel with Universtity equipment.
Generally speaking you can take UVA-owned laptops and other similar devices and installed software subject to the Export Administration Regulations (EAR) to most countries for up to a year under license exception TMP provided that the devices remain in your effective control and security precautions are taken to prevent unauthorized access to software. License exception TMP may also be used to authorize the export of "technology" (the EAR's term for non-public technical information pertaining to an EAR controlled device or software) but in this case, the University must document that the technology is specifically needed for the performance of your work abroad. Note: Encryption software (software specifically for encryption, not software that contains ancillary encryption functionality) is treated differently from other software and must be specifically identified on the form.
License exception TMP may not be used to take UVA-owned devices, installed software, or technology to Cuba, Iran, North Korea, Sudan or Syria. It is not that you cannot take such items to these countries, but rather that it will require a license or other authorization from the US Government. Reminder: All activities in or involving parties located in sanctioned countries must be reviewed and authorized by the OEC; to facilitate the review process please submit the Sanctioned Country Review Request form.
License exception TMP is not available for devices, software or information subject to other export control regulations, e.g., the International Traffic in Arms Regulations, Drug Enforcement Agency, or the nuclear regulations administered by the Department of Energy or Nuclear Regulatory Commission. Again, it is not that you cannot take such items out of the US but rather that different rules apply. A license is generally required under these other export control regulations.
The OEC can apply for any export licneses necessary to support your University activities, but depending on the Government agency involved application processing can take weeks or months; please plan accordingly.
Yes. Although information (results or data) generated by fundamental research is not subject to export controls, the software and technology used to perform the research is likely subject to control. This is true for both commercially available software and technology as well as software or technology that may produced during or developed to support your fundamental research activites. ONLY THE INFORMATION (data/results) resulting from fundamental reserach is exempted from U.S. export control regulations. In addition, a license may be required to provide a foreign national/party in the US or abroad with assistance related to items controlled under either the International Traffic in Arms Regulations or the Assistance to Foreign Atomic Energy Activities regulations.
Information taught in catalog-listed courses and associated teaching laboratories is not subject to export control. One exception to that general rule pertains to certain high level encryption software. Another exception relates to access to and instruction related to ITAR controlled defense articles as part of a university course if foreign nationals are involved; such activities may require a license. Even if no foreign nationals are associated with the class, it is important that all faculty, staff and students associated with the class understand the applicable export controls in order to prevent inadvertent violations.
Workshops and classes other than catalog-listed courses, for example those developed for a specific audience (e.g. an interest group, departmental seminar, government agency or private company) are not excluded from control under the export regulations. It is the responsibility of the instructor or presenter to ensure that their presentation doesn't violate US export controls by disclosing controlled technology of technical data or providing a defense service to a foreign person(s) without the appropriate license or other government approvals.
A Technology Control Plan (TCP) is required any time an ITAR-controlled defense article or technical data will be under UVA's effective control. A TCP is also required for information, encryption technology, source or object code generated by or under UVA's effective control that is subject to the EAR and identified by an ECCN, i.e. not EAR99. Typically a TCP is not required to obtain and maintain EAR-controlled equipment or technology at UVA; however, any export of license or valid license exception may be required for the physical export of that equipment or technology.
Obtaining a license can take days, weeks or months depending on the agency involved and the details of the export. University policy (FIN-043) requires that the OEC authorize all exports of items or information that may be subject to control; this includes "deemed" exports to foreign nationals in the US. If you do not know if the item or information you want to export is subject to export controls consult with the OEC before proceeding. Should a license be necessary, OEC will work with you to prepare the application. Remember, even sharing publicly available information (which includes fundamental research results) can require a license if it is related to a technology controlled by the International Traffic in Arms Regulations or if it provides a service of value to a sanctioned country/party.
Here are links to FAQs related to the export controls under the jurisdiction of State, Commerce and Treasury:
- Directorate of Defense Trade Controls (International Traffic in Arms Regulations) - the Frequently Asked Questions (FAQs) page of the Directorate of Defense Trade Controls website provides links pdf files containing FAQs on a variety of ITAR related topics.
- Office of Foreign Assets Control (Embargoes and Trade Sanction Regulations) - the Resource Center web site provides links to a variety of information associated with embargoes and the trade sanction regulations administered and enforced by the Office of Foreign Assets Control and organized by "industry groups". The Frequently Asked Questions provided for Exporters and Importers and those for the Non-Governmental Organizations will likely have the most information applicable to Universities. However, it is important to note that each regulations in unique so do not rely on the information provided for a different country.
- Bureau of Industry and Security (Export Administration Regulations) - the FAQs on Export Licensing page offers basic information on licensing requirements for commercial items. A comprehensive list of guidance topics can be found here: https://www.bis.doc.gov/index.php/guidance. Additional FAQs on the following topics are available separately:
The University's standard Purchasing Terms & Conditions require vendors to notify the OEC and receive approval to proceed before providing ITAR controlled items, information or services to University customers. However, we also ask that you help by asking vendors for the export control status of the items or information in the following situations:
Items intended for use abroad:
Contact the OEC before ordering supplies for international destinations. It is important that we screen foreign recipients and destinations to see if any general prohibitions apply before proceeding. OEC will help you determine which items to request export control information about from the vendor(s) and if necessary apply for export licenses.
You may want to consider having items drop shipped to the foreign location by the manufacturer or vendor in order to save on shipping charges; an added advantage to this is that the manufacturer or vendor is involved in the export and has a vested interest (they share the liability for any violation that occurs) in ensuring compliance. They are also in the best position to know the export control status of their goods. However, you should always compare prices for drop shipment vs. delivery to and export by the University. If you decide to have the items shipped to Grounds, contact OEC for assistance in selecting a shipping service, determining license requirements, and preparing any necesary supporting documents.
Items or information for use on Grounds or at other U.S. locations that the vendor indicates are subject to confidentiality, dissemination or access restrictions:
Contact OEC immediately if you become aware that such restrictions may or will apply to items or information you are purchasing.
If the item is proprietary source code or encryption technology, obtain the export control information and then contact the Office of Export Controls before proceeding with the purchase.
For other items either request the export control information from the vendor or contact OEC for assistance if you have questions or concerns about access and use by foreign nationals.
You don't need to ask for export information for the following types of items, whether intended for use in the US or abroad but you are still required to receive authorization from OEC prior to exporting such items:
- laboratory chemicals (unless they are explosives, energetics or toxins)
- laboratory supplies (e.g.,: culture plates, eppindorf tubes, pipet tips, syringes, needles, glassware, gloves, etc.)
- standard laboratory equipment (such as microscopes, computers, autopipettes, bench-top centrifuges, pH meters, balances, etc.)
- medical equipment (things that are marketed/approved for patient diagnosis or treatment)
- general office equipment and supplies
For items other than source code or encryption technology, if the vendor informs you that an item is subject to the Export Administration Regulations (EAR); says it is EAR99; or gives you a specific Export Control Classification Number (ECCN) you may proceed with the order without contacting the Office of Export Controls. Please be sure to note the name of the export control status and the name of the person providing the information in the purchasing record. Note: An ECCN will be at least a five digit alpha numberic designation (for example 1C351); it is always a number, followed by a letter, followed by three more numbers, but it may also include sub-designations (for example 1C351.a.10).