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Export Control Compliance
Office of Research & Commercialization
University of Central Florida
March 2008
Export Administration Regulations (EAR)


Introduction:

Export controls are designed to support the foreign policy and national security interests of the United States. Commercial and dual-use exports, re-exports, and other activities fall under the Export Administration Regulations (EAR), located at 15 C.F.R. Parts 730-774. Under the EAR, the term “dual-use” means that an item can be used both in military and other strategic applications as well as commercial applications without modification.

Export:

Export means an actual shipment or transmission of items subject to the EAR out of the United States, or release technology or software subject to the EAR to a foreign national in the United States.

Deemed Export:

  1. Technology is “released” for export when it is available to foreign nationals for visual inspection (such as reading technical specifications, plans, blueprints, etc.);
  2. When technology is exchanged orally to a foreign national;
  3. When technology is made available to foreign nationals by practice or application under the guidance of persons with knowledge of the technology.

The deemed export rule does not apply to persons lawfully admitted for permanent residence in the United States and does not apply to persons who are protected individuals under the Immigration and Naturalization Act (8 U.S.C.1324b(a)(3).

Items subject to the EAR:

  1. All items in the United States.
  2. All U.S. origin items wherever located.
  3. U.S. origin parts, components, materials or other commodities incorporated abroad into foreign made products. U.S. software comingled with foreign software, and U.S. technology comingled with foreign technology.

Release of Technology:
Technology or software is released for export through:

  1. Visual inspection by foreign nationals of U.S.- origin equipment and facilities.
  2. Oral exchanges of information in the U.S. or abroad.
  3. The application to situations abroad of personal knowledge or technical experience acquired in the U.S.

Fundamental Research:

The EAR provides specific rules to determine whether research qualifies as fundamental research. The intent is to identify as “fundamental research” basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. Such research can be distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons.

University Based Research:

Research conducted by scientists, engineers, or students at an accredited institution of higher education located in the U.S. is considered “fundamental research”.

Prepublication Review:

Prepublication review by a sponsor of university research solely to insure that the publication would not inadvertently divulge proprietary information that the sponsor has furnished to the researchers, and/or to ensure the publication would not compromise the sponsor’s patent rights does not change the status as the research as “fundamental research”.
Non-Fundamental Research:
University based research is not considered “fundamental research” if the university or its researchers accept, at the request of a sponsor, other restrictions on publication or scientific and technical information resulting from the project or activity. This rule applies when a university or its researchers accepts specific national security controls on a research project or activity sponsored by the U.S. Government.

National Security Controls:
Examples of specific national security controls include:

  1. Prepublication review by the Government, with rights to withhold permission for publication.
  2. Restrictions on prepublications dissemination of information to non-U.S. citizens or other categories of persons.
  3. Restrictions on participation of non U.S. citizens or other categories of persons in the research.

A general reference to one or more export control laws or regulations or a general reminder that the Government retains the right to classify is not a “specific national security control”.

 

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