Export Control: What You Need to Know

Applicability and Administration

  1. Applicability: Export control regulations apply to all activities undertaken by CSUB faculty, staff, students, and other persons at the University acting on behalf of the University. If your project involves any of these activities, please contact the GRASP Office at 661-654-2231:
    • Exporting tangible items outside the United States
    • Sharing of information, technical data, technology or software with a foreign national within the United States or abroad in which the export involves proprietary, restricted, or classified information or the information, technical data, technology or software does not otherwise fall under an exclusion.
    • Furnishing of defense services to a foreign person within the United States or abroad
    • Transactions with embargoed, sanctioned or restricted parties, including travel, financial transactions, imports and exports.
  2. Administration. The University's export control compliance program is administered under the authority of the Institutional Export Control Committee. The daily management of export compliance at CSUB regarding research and sponsored programs is carried out by the Compliance Office within GRASP.

DISCLAIMER: An institution-wide committee formed by the Provost and VP for Academic Affairs is tasked with the development of an Institutional Export Control Policy and Process. Once finalized, GRASP will make any necessary revisions to align to the final institutional policy and process.

 

Purpose

The federal government has instituted laws to protect national security and to promote U.S. foreign policy. Federal export controls are implemented through the regulations promulgated under these laws. The two sets of regulations most prominent to University activities are the Export Administration Regulations (EAR), administered by the Department of Commerce, and the International Traffic in Arms Regulations (ITAR), administered by the Department of State. In addition, economic and trade embargoes and sanctions administered by the Office of Foreign Assets Control (OFAC) include restrictions that may affect University activities.

Export Control is a university-wide function and responsibility that has impact across multiple areas and offices of the campus and can involve CSUB Faculty, Staff, Students, and Postdocs, as well as Visitors and other outside Agencies or Personnel.  California State University, Bakersfield Office of Grants, Research, and Sponsored Programs (GRASP) is only one area of campus that is impacted by export control regulations.  GRASP complies with federal laws and regulations governing exports and ensures that compliance is consistent with the University’s Export Control policy and open academic environment.

Definitions

Export control regulations require a license or other agency approval prior to the release of controlled technology, data, software, and information to foreign nationals within or outside the United States ("deemed export"). The regulations also control the shipment or other transmission of regulated items outside the United States. 

The ITAR regulates technologies, products, and information that are inherently military in nature. The products and information controlled are referred to as "defense articles", "defense services" and "technical data". Examples include submersible vehicles, radar and sonar instruments, spacecraft systems, protective equipment, and certain toxicological agents. Regulated defense articles and associated controlled data are listed on the U.S. Munitions List.

The EAR regulates technologies, commodities, and software that are considered "dual‐use". That is, the item and information may have a legitimate scientific or commercial purpose, the misuse of which could cause a threat to national security. Examples of dual‐use items include certain engineering materials, electronic equipment, biological materials, navigation equipment, encryption software, and chemicals. The Commerce Control List contains the official list of controlled technology, commodities, and software.

OFAC restricts transactions with foreign countries that have sanctions in place and restricts transactions with certain entities or individuals. These restrictions are found on the OFAC website. (Office of Foreign Assets Control - Sanctions Programs and Information | U.S. Department of the Treasury)

Exclusions

  1. Fundamental Research Exclusion:
    Information arising from basic and applied research in science and engineering at an accredited institution of higher learning within the U.S., where the resulting information is ordinarily published and shared broadly with the scientific community, is excluded from the scope of the ITAR and EAR.
  2. Public Domain/Publicly Available:
    • ITAR: information which is already published and generally accessible to the public is not subject to ITAR. Information that is available through books, periodicals, patents, open conferences in the United States, websites accessible to the public with no access controls, or other public release authorized by the U.S. government, is considered in the public domain.
    • EAR: publicly available technology and non‐encryption software, such as information that is the subject of an open patent application, published in a book or periodical, released at an open conference anywhere, available on a website accessible by the public with no access controls or information that will be published is not subject to the EAR. This includes submission of manuscripts to journals for consideration with the understanding that the article will be published if favorably received
  3. Educational Instruction:
    • EAR: information that is released by instruction in catalog courses and associated teaching laboratories is not subject to the EAR.
    • ITAR: information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges and universities is not controlled by ITAR.
  4. Bona fide/full time employee: 
    Disclosure of technical data (as defined by ITAR) in the United States to a University bona fide and full‐time regular employee, whose permanent abode is in the U.S., the employee is not a national of an embargoed country, and the University informs the employee in writing that the technical data may not be transferred to other foreign nationals without approval, is excluded from ITAR.

If unsure, check with the GRASP office, to determine if any exclusion applies to information, software, or technical data you intend to share with a foreign national or send abroad.

The following activities require a review for export compliance:

  • Export of tangible items outside the United States
  • Working with proprietary, restricted or classified information
  • Projects performed abroad by CSUB personnel
  • Furnishing defense services to a foreign person within the United States
  • Transacting with embargoed or sanctioned countries or parties
  • Creating, receiving or working with encryption software
  • Providing use technology regarding controlled equipment to a foreign national