Export Controls
This page provides information on compliance with federal export control restrictions. Under each heading below are tips and contacts for the major activities that relate to compliance.
For more information on export controls as implemented at ISU, see the Export Controls Policy and the links and references provided at the end of the policy. While making sure the University community understands the requirements of export control laws is important, the purpose of this page is to provide practical information on compliance.
Note: For Ames Laboratory, special procedures apply. If your project is funded through Ames Laboratory, please use the Ames Laboratory contacts indicated in the table below or the specialized web information for Ames Lab if you have access to Ames Laboratory's Intranet.
General Information
Export Control regulations control the transfer of items of military significance to other countries. They also control economic activities with embargoed countries and certain entities and individuals. While we may think that export refers only to sending equipment outside the United States, the term actually has a broader meaning and application:
- Export Control regulations equate the release of certain items to a foreign national as an export to that foreign national's home country. This is true even when a foreign national is within the United States. Such releases are called "deemed exports."
- Export Controls apply not just to things—they can also apply to transfer of software, technical information, materials, and providing services relating to controlled items.
- Violations of Export Control regulations can result in both civil and criminal penalties for individuals and the University.
Oversight
The Office of University Counsel provides general oversight for export controls at Iowa State University. ISU is registered with the Directorate of Defense Trade Controls for purposes of the International Traffic in Arms Regulations. If it is determined that an export license is necessary, contact Paul Tanaka or Deb Covey. (See contact information below.)
Sponsored Research
Export control regulations may be applicable to projects in virtually all fields of science and engineering, whether the research is performed under a sponsored agreement or not. There are three exclusions to export regulations that are vitally important to a university environment:
- Information Resulting From Fundamental Research. The "fundamental research exclusion" applies to information resulting from basic and applied research activities that are ordinarily published and shared broadly in the scientific community. Research and information under the fundamental research exclusion must be free from any publication restrictions. Short-term delays on publication for the purposes of review to remove proprietary information or for filing of patent protection may be permitted. Under our Sponsored Research Policy, publication restrictions may not be accepted without approval of the Vice President for Research and Economic Development.
- Public Domain. The "public domain" exclusion applies if the information is in the public domain, i.e., if it is published and generally accessible to the public through unlimited and unrestricted distribution.
- Teaching. A "teaching exclusion" applies to information taught in courses listed in catalogues of academic institutions (under the Export Administration Regulations) or information concerning general scientific, mathematical, or engineering principles commonly taught in colleges and universities (under the International Traffic in Arms Regulations).
Many of the research activities at ISU are excluded from export controls because the activities fall under fundamental research, public domain, or teaching exclusions. However, any formal or contractual restrictions on the open sharing of research results eliminate a project's fundamental and public domain exclusion. Moreover, these exclusions apply only to information and not to equipment, materials, chemicals, and other items. In addition, these exclusions do not apply to certain encrypted software.
Practical Tips
- Dealing with export control (EC) requirements is rarely easy. If export controls apply to your sponsored project, the earlier the Office for Responsible Research (ORR) is notified and issues identified, the more likely your project will not be delayed. Please see the standard Export Controlled Technology Management Plan for requirements if ECs apply.
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When responding to a request for proposal, scan the terms and
conditions which may indicate the research will not fall into
the fundamental research exclusion, such as
- limitations on publication beyond those indicated above;
- limitations on foreign nationals being allowed to work on the project.
- Collaborative research with entities and individuals in countries subject to economic sanctions is especially difficult. Early notice of such collaborations to ORR and the Office of University Counsel will avoid possible wasted effort. See the section below entitled Transactions with Embargoed Nations and Persons for further information on this topic.
- Confidentiality agreements and material transfer agreements which include publication restrictions—and which remain effective after signing a sponsored research agreement—effectively remove the research from the fundamental research exemption. Notify OSPA of such arrangements.
Acquisition and Management of Export Controlled Equipment
EC regulations restrict not just physical export, but also transfer of EC-controlled products and information within the United States to foreign nationals (a "deemed export"). Unfortunately, much scientific equipment falls under EC restrictions.
When equipment is subject to EC, the ISU unit will be informed of the control and will be required to put in place a management plan to avoid improper deemed export. Equipment subject to controls will be tagged through inventory so that, upon disposition, it can be checked to see if EC restrictions still apply.
Practical Tips
- Because of the intrusive nature of EC regulations, consideration should be given, whenever possible, to acquiring equipment that is not subject to export controls.
- Students should not be responsible for repair and maintenance of EC-covered equipment.
Shipping
The simple act of sending a package to a foreign collaborator can result in a violation of export controls as well as other regulations—you may need an export license. If you are sending technical items overseas, including equipment, software, rare materials, dangerous biologics, and the like, it is your responsibility to comply with export controls requirements by working with the appropriate persons or departments listed below.
In addition, shipping to countries subject to embargoes must first be cleared by the Office of University Counsel, ORR, or for Ames Laboratory, Deb Covey. Department personnel who are asked to ship packages out of the country should inquire as to the contents and follow the above procedures to assure compliance.
Hazardous materials are also subject to US shipping regulations. ISU Environmental Health and Safety maintains information on shipping hazardous materials to assure compliance with federal and international requirements.
International Travel
When they travel, ISU employees often take electronic devices (e.g., laptop computers, cell phones, PDAs, GPS), equipment, materials, and data. However, taking such items out of the United States or providing them to foreign persons can constitute an "export" and may require an export license. In addition, laptops can often be lost or stolen, and customs officials here and abroad may inspect and seize belongings. Accordingly, ISU employees should not travel with anything they do not need. This includes information stored in laptops and other devices, in particular, confidential information such as student and personnel records and export-controlled technical data and software. ISU employees should either remove such items from the device or investigate whether their department has a clean laptop or other devices for travel. Encryption software is highly regulated and may not be a viable alternative.
For those items an employee elects to take, please consult the International Travel Checklist to ensure the transferred material is not covered by export control laws, to determine whether any export limitation on the covered material applies to the country of destination, and, if so, to secure export licenses in time for your travel. The International Travel Checklist also addresses other issues, such as State Department travel warnings and alerts and other travel restrictions.
Communication of Technical Information
Communication of technical information on export-controlled equipment and transfer of export-controlled software also is subject to EC regulations. This is true whether the information is transferred in person, is sent by e-mail to a foreign national who is here or abroad, or is posted for upload to the Internet.
Contact Diane Ament or Debra Covey (contact information below) to determine whether the information and recipient are subject to export controls, and if so, the appropriate steps to secure a license.
Practical Tips
- Be wary of requests to transfer technical information (such as operation or repair manuals) regarding export-controlled equipment.
Transactions with Embargoed Nations and Persons
Federal law restricts economic activity with entities and individuals in certain nations. For travel and transactions with the countries listed below, including transactions with persons from those countries, please contact Paul Tanaka in the Office of University Counsel to determine whether licenses are required for such activities.
| Countries with Broad Embargoes | Countries with Limited Restrictions |
|---|---|
| Burma (Myanmar) | Balkans |
| Cuba | Belarus |
| Iran | Cote D'Ivoire (Ivory Coast) |
| Iraq | Democratic Republic of the Congo |
| North Korea | Liberia (former Regime of Charles Taylor) |
| Sudan | Zimbabwe |
| Syria |
The federal government also lists specified persons and entities with whom US entities may not engage in business. A link to such lists appears under Export Control Resources below. The authorized signatories for engaging in contracting and other economic activity will be responsible for checking the lists prior to entering into the contract.
Practical Tips
- For research and collaborations in the above-listed countries, plan well ahead, so that required licenses can be secured.
- If you are aware of participation of nationals from the listed countries, and the activity involves any economic activity, please consult Paul Tanaka to determine whether licenses are required.
Export Control Resources
Export Administration Regulations (EAR), administered by the Bureau of Industry and Security (BIS), US Department of Commerce (See Part 774 for a list of items covered.)
International Traffic in Arms Regulations (ITAR), administered by the Directorate of Defense Trade Controls (DDTC), US Department of State (See Part 121 for a list of items covered.)
Getting Started with Defense Trade
Lists to Check for Restricted Persons/Entities
For more information about export control, please contact the persons and departments listed below.
General University- Paul Tanaka, Office of University Counsel, 294-5352
- General information, export licenses, acquisition and management of export controlled equipment, shipping and travel to embargoed countries, transactions with embargoed nations and persons
- Diane Ament, Office for Responsible Research, 294-3115
- Sponsored research, shipping, international travel for research purposes, communication of technical information
- Nancy Brooks, Purchasing, 294-8757
- Acquisition and management of export controlled equipment
- Environmental Health & Safety, 294-7417
- Shipping hazardous materials
- Deb Covey, Ames Laboratory Export Controls, 294-1048
- General information, export licenses, sponsored research, acquisition and management of export controlled equipment, shipping, communication of technical information, transactions with embargoed nations and persons
- Sandi Bishop, Ames Laboratory, 294-2618
- International travel
- Jim Brazelton, Ames Lab Shipping Export Controls, 294-4427
- Shipping
- Jack Cummings, Ames Laboratory Purchasing, 294-1780
- Acquisition and management of export controlled equipment
