Export Control Key Terms & Definitions

Commitment to Export Control Compliance

The University of Alaska Fairbanks must comply with all applicable U.S. government export regulations. The University is committed to the preservation of academic freedom, however, the University recognizes its obligation to comply with the U.S. export control regulations. Fortunately, the vast majority of teaching and research activities at UAF are either not regulated by export control laws or qualify for one or more exemptions or exclusions from export licensing requirements. Most research on campus falls under the Fundamental Research Exclusion (FRE) which provides that basic and applied research in science and engineering NOT subject to publication or access restrictions are not subject to export control regulations. However, it is important to understand how the laws apply to activities at UAF as well as any corresponding compliance obligations, which may include documenting applicable licensing exception(s). Other exemptions apply to information shared in the conduct of teaching activities on campus IN the U.S. as well as to information that is already publicly available. 

The U.S. export control regulations apply not only to tangible or “physical” items such as biological materials, chemicals, and equipment but also to intangible information such as research data, formulae, engineering designs, and ideas. Furthermore, an export is defined not only as an actual physical shipment out of the country but also includes electronic and voice transmissions out of the U. S. (e.g. email or a phone call to a colleague at a foreign institution or remotely accessing controlled documents while traveling internationally). Exports also include the release of technology to foreign nationals while physically located within the U.S., the provision of training or services involving controlled equipment to foreign nationals in the U.S. or abroad, and engaging in transactions or providing services to entities and individuals who are on embargo or specially designated nationals lists. The export regulations are complex and continually changing, so it is important to consider each activity on an individual basis.

Exports are controlled by multiple federal agencies including; the Department of State through the International Traffic in Arms Regulations (ITAR), the Department of Commerce through the Export Administration Regulations (EAR), and the Department of Treasury through the Office of Foreign Assets Control (OFAC). Each agency has procedures for enforcement, but violations of any of these regulations can result in significant institutional and personal penalties including fines of up to $1,000,000 per violation, incarceration for up to 20 years, and the loss of future exporting privileges. 

The UAF Office of Research Integrity (ORI) is responsible for helping the community understand and comply with the export control laws, and apply for an export license when necessary. Please contact the Export Control Officer for additional information including analytical tools to assist you in determining if and how the regulations apply to an activity. 

 

Export Control Policy

University of Alaska Fairbanks (UAF) faculty, staff, students, and affiliates (including non-UAF consultants, collaborators, etc.) must comply with all applicable export laws and regulations. This policy specifically addresses the conduct of university activities subject to any of the following: the Arms Export Control Act, the International Traffic in Arms Regulations (ITAR), the Export Administration Act, the Export Administration Regulations (EAR), and all economic and trade sanctions administered and enforced by the Office of Foreign Assets Control (OFAC). Activities subject to export controls include but are not limited to, the transfer of controlled information, materials, software, technology, or assets to foreign countries or foreign nationals in the United States.

The UAF Vice Chancellor for Research oversees all aspects of the University of Alaska Fairbanks export management program.

For more information, see the UAF 05-004-Export-2008 - Export Controls Policy.

 

  Export Control Manual
The University of Alaska Fairbanks’ Export Control Compliance Program Manual is to guide U.S. Export Control laws and regulations, to identify key export compliance issues related to research, education, and all other activities conducted within a university setting, and to describe how UAF implements its Export Control and U.S. Economic Sanctions Policy. The procedures outlined herein serve as UAF’s program of internal controls, safeguards, and educational measures designed to minimize the risk of potential violations of all applicable export control laws and regulations and institutional policy. The U.S. export control agencies place responsibility on the University to understand and ensure compliance with export control laws and regulations.

 

 

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22 CFR 120.6Any item or technical data that is specially designed, developed, configured, adapted, or modified for a controlled use listed on the USML. In addition to the items on the USML, models or other items that reveal technical data related to USML items are also considered to be defense articles. Defense articles do not include basic marketing information on function or purpose or general system descriptions.

22 CFR 120.9The furnishing of assistance (including training) to foreign persons, whether in the U.S. or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of a defense article. It also includes providing any foreign person any technical data as described above. Finally, defense services also include 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.

22 CFR 120.17An actual shipment or transmission out of the United States, including the sending or taking of a defense article out of the United States in any manner; Releasing or otherwise transferring technical data to a foreign person in the United States (a “deemed export”); Transferring registration, control, or ownership of any aircraft, vessel, or satellite subject to the ITAR by a U.S. person to a foreign person; Releasing or otherwise transferring a defense article to an embassy or to any of its agencies or subdivisions, such as a diplomatic mission or consulate, in the United States; Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad; or The release of previously encrypted technical data as described in §120.50(a)(3) and (4). Any release in the United States of technical data to a foreign person is deemed to be an export to all countries in which the foreign person has held or holds citizenship or holds permanent residency.

22 CFR 120.16Any person who is not a legal U.S. permanent resident, naturalized citizen, or individual protected under the Immigration and Naturalization Act (8 U.S.C. 1324b(a)(3) - refuge or asylum grantee). For dual foreign citizenship holders, the ITAR considers ALL countries in which the person holds citizenship or permanent residency. This term also includes any entity, corporation, etc., not incorporated to do business in the United States as well as international organizations per 120.17(b).

22 CFR 120.11(a)(8)Basic and 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 are funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable.

22 CFR 120.11Information that is published and which is generally accessible or available to the public. The ITAR describes means by which public domain information might be available, which in addition to libraries, subscriptions, newsstands, and bookstores, include published patents and public release at conferences, meetings, and trade shows in the U.S. where those venues are generally accessible to the public.

22 CFR 120.19An actual shipment or transmission of a defense article from one foreign country to another foreign country, including the sending or taking of a defense article to or from such countries in any manner; Releasing or otherwise transferring technical data to a foreign person who is a citizen or permanent resident of a country other than the foreign country where the release or transfer takes place (a “deemed reexport”); or Transferring registration, control, or ownership of any aircraft, vessel, or satellite subject to the ITAR between foreign persons. Any release outside the United States of technical data to a foreign person is deemed to be a reexport to all countries in which the foreign person has held or holds citizenship or holds permanent residency.

22 CFR 120.10Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of a defense article. This includes blueprints, drawings, photographs, plans, instructions, and documentation. ITAR technical data also includes classified information relating to defense articles and defense services on the USML and the 600 series controlled by the Dept of Commerce, information covered by an invention secrecy order, and software directly related to a defense article.

15 CFR 734.13(b)Any release of technology or source code subject to the EAR to a foreign national, whether in the U.S. or abroad. The release is deemed to be an export to the home country or countries of the foreign national.
15 CFR 734.4The amount of U.S. content, as determined by the percentage of the value of the U.S. content in the end item, is required to make a foreign-produced item subject to the EAR. For some items, there is no de minimis content, meaning that any U.S. content will make the foreign-produced item controlled under the EAR. For other items, the de minimis U.S. content for foreign-produced items may be 10% or 25% of the total value.
15 CFR 734.13(a) and (b)An actual shipment or transmission of items subject to the EAR out of the U.S. as well as the release or transfer of technology or source code subject to the EAR in a foreign country or a foreign national either in the U.S. or abroad.
15 CFR 734.13(b)Any person who is not a legal U.S. permanent resident, naturalized citizen, or an individual protected under the Immigration and Naturalization Act 8 U.S.C.1324b(a)(3). For dual foreign citizenship holders, the EAR considers the person’s most recent country of citizenship or permanent residency. This term also includes any entity, corporation, etc., not incorporated to do business in the United States as well as international organizations per 15 CFR 772.1.
15 CFR 734.8(c)Research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. University research is considered to be fundamental to the extent that researchers do not accept restrictions on the publication of scientific and technical information resulting from the research. Temporary delays in publication for the protection of sponsor proprietary information and patent rights do not remove research from the fundamental domain. However, if that sponsor’s proprietary information is subject to the EAR, then that information remains subject to export controls in the conduct of the research. UAF researchers receiving proprietary information from corporate research sponsors should consult ORI to ensure compliance with the EAR in the conduct of the related research.
15 CFR 743.14An actual shipment or transmission of items subject to the EAR from one foreign country to another foreign country. It also means the release of technology or source code subject to the EAR to a foreign national outside the United States (deemed reexport).
15 CFR 734.15“Technology” and “software” are “released” through visual or other inspection by a foreign person of items that reveals “technology” or source code subject to the EAR to a foreign person; or oral or written exchanges with a foreign person of “technology” or source code in the United States or abroad. Any act causing the “release” of “technology” or “software,” through use of “access information” or otherwise, to yourself or another person requires an authorization to the same extent an authorization would be required to export or reexport such “technology” or “software” to that person.
15 CFR 734.7Information is published when it is accessible to the interested public in any form. Publications may take the form of periodicals, books, print, electronic, public websites, or any other media available for general distribution. General distribution may be defined as available to an interested community, such as a technical journal available to scientists in a relevant field, so long as the price charged for the publication does not exceed the cost of reproduction and distribution. Articles submitted to journals for consideration for publication are considered to be published, regardless of whether or not they are accepted. Published information also includes information readily available in libraries (including university libraries), as well as patents and published patent applications. Finally, the release of information at a conference open to the participation of all technically qualified persons is considered to be the publication of that information. Software is published when it is available for general distribution either free or at the cost of distribution.