University of Rhode Island Export Control Policy

November 4, 2011 Workshop on the US Export Control Laws and Regulations and URI Export Control Policy

What Research Institutions Need to Know About Export Controls

Presentation by Carol Tracy Carr

Fundamental Research Exclusion and Its Limitations (22CFR 120.11(8)):

(a) Public Domain means information which is published and which is generally accessible or available to the public

(8) Through fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is defined to mean basic applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. University research will not be considered fundamental research if:

(i) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or

(ii) The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable.

Although the fundamental research exemption (coupled with the educational information exemption) may be broad, it generally does not authorize the transfer of physical items outside of the U.S. In addition, the fundamental research exemption does not generally apply to work conducted abroad by URI researchers, even if such research and informational exchanges are being conducted at an institution that is affiliated with URI. To be eligible for the fundamental research exemption, the research must take place at an accredited institution in the United States.

See also15 CFR 734.8

Link to Training Sites

Export Counseling Q & A

Harvard Export Control Compliance Manual

This is an extremely thorough manual that contains very detailed explanations. Annex A has a list of useful websites and Annex C contains a checklist for Export Compliance

Stanford Decision Tree

These pages will walk you through a series of "Yes" or "No" questions, leading to a determination of whether or not an export control license is applicable to any particular situation. Remember that export controls may apply when an item, information or software is being sent outside US borders, OR when it is being shared with "foreign persons or entities" in the US.

Screening Sites

Export of Defense Items, International Traffic in Arms Regulation (ITAR) United States Munitions List USML

Export of Dual Use Items, Commerce Control List (CCL) see part 774

ITAR Munitions List, Department of State

http://www.fas.org/spp/starwars/offdocs/itar/p121.htm

http://pmddtc.state.gov/regulations_laws/documents/official_itar/ITAR_Part_121.pdf

(Note: The first link is from the Federation of American Scientist's (FAS) website. The second link is the official State Dept. list which takes some time to download.)

Office of Foreign Assets Control (OFAC)

Countries and groups with US economic sanctions

Bureau of Industry and Security (BIS) Lists to Check