Frequently Asked Questions on Export Control Scenarios

Yes, in several respects.

Prior to initiating any international collaboration, a Restricted Party Screening is required. Screening provides insights to risks and restrictions in working with the entity. See Restricted Party Screening for more information.

If collaboration involves transfer of items or sharing research information or results that are not intended for publication, contact Export Control to determine export license requirements.

Yes, provided:

• Export-controlled data is not currently on or previously accessed, downloaded, stored, or viewed on your device. If this applies and you cannot travel with a “clean device”, contact Export Control for assistance with next steps.
• Generally transporting laptops, cell phones, and mobile devices that will return with you, do not pose export control issues, and does not require an Export Control consultation. Specialized communication devices or items that will not return require consultation.
• If traveling to Cuba, you have to complete a CCD form.

Our office recommends reviewing International Cybersecurity for additional information on this topic.

Maybe, depending on the samples or instruments and if a license is required. Depending on the export classification (which you should identify from the manufacturer) such items may qualify as “Tools of Trade,” providing an exception for the temporary exports of “usual and reasonable kinds and quantities” of items for use abroad by the exporter. These items must remain under the “effective control” of the exporter. Contact Export Control for assistance.

Consult with EH&S:

• Dangerous goods or hazardous materials
• Required U.S. import permits

Consider registering your items at a local U.S. Customs and Border Protection (CBP) office prior to travel to prevent application of duties to items that were obtained in the U.S. (prior to departure) and returned with the owner. Duties may be levied for repairs or alterations made outside of the country (regardless of CBP registration). Such repairs or alternations must be declared upon reentry to the U.S. regardless of cost or no cost.

For more information visit: CBP Form 4457 for personal articles or CBP Form 4455 for UCSD owned articles

Registering your UCSD official travel in UCAway or making travel arrangements in Concur enrolls travelers in international travel insurance and emergency support. It can also direct travel with export indicators to Export Control for assistance.

The OFAC regulations pertaining to transactions with these countries vary by country. These regulations address not only export, but a much broader spectrum of activity (e.g., funding or providing a service or imports) that OFAC restricts absent specific license approval.

Cuba sanctions regulate personal travel to Cuba as well as professional research activity conducted with Cuban institutions here and abroad.  Despite this, the Cuba regulations allow for a broad range of research and humanitarian related activity when approved by a license from OFAC – and recent changes to the Cuba regulations have resulted in, among other things, an expanded set of activities which fall under a “General License” and do not require prior approval.

Prior to traveling to Cuba, consult the U.S. Department of State “Cuba Restricted List.”  Cuban Assets Control Regulations (31 CFR 515.209) generally prohibit direct financial transactions with these entities, which includes lodging.

Iran sanctions do not regulate individual travel to Iran, but remain highly restricted as to any activity, research, or circumstances that OFAC define as a “service” to Iran. Licenses are necessary for many academic activities, including conference presentations (even remote), conducting surveys, remote studies, or providing assistance.

Russian sanctions are complex and ever evolving. Consult with Export Control.

Perhaps. General License G authorizes the export to Iran of certain educational services by U.S. academic institutions, including the provision of certain online courses, and by U.S. persons for certain academic study or not-for-profit educational activities in Iran, or the administration of university entrance and other examinations for Iranian students. The scope of exceptions under General License G temporarily expanded during the pandemic in 2020 to provide additional services. Consult with Export Control on your situation.

When presenting research results, as long as the information presented is the result of Fundamental Research (intended for publication), you remain within the FRE. FRE does not apply to controlled inputs, defense services or sanctions.

• See the Travel Abroad and International Collaborations sections for information

Maybe.

Assuming the Fundamental Research Exclusion (FRE) applies to the activity in which EAR-designated equipment is accessed and used, a license is unlikely required, unless the equipment is highly controlled and secured on a Technology Control Plan (TCP). This might include:

1. certain levels of advanced cryptographic functionality and source code
2. proprietary third party “use” and “development” technology pertaining to controlled equipment —for instance, technology “know-how” that would enable a person to develop the controlled technology.
3. EAR-500 or 600 series items, (formerly ITAR-controlled)

ITAR-controlled items likely require restricted access.

A license is required to access ITAR-controlled technical data.

Access restrictions depend on the item includes how to operate the item, how to repair it, refurbish it, overhaul it, maintain it, etc. A Technology Control Plan (TCP) must be in place to provide guidance on applicable access controls.

No.

A full time UCSD employee may qualify for an exemption, provided they meet specific criteria and are not a citizen of a restricted country.  Anyone qualifying for this exemption is subject to the same restrictions that a U.S. person is subject to and can only receive ITAR-controlled items or technical data from UCSD. They cannot participate in meetings with sponsors wherein the sponsor may provide technical data or receive ITAR-controlled items from other parties outside of UCSD.

There are some considerations which specifically apply to communicating with other governments or their representatives.

Training or providing assistance on development or use of an ITAR-controlled defense article (and in some cases for EAR-controlled items) constitutes a “defense service,” requiring a license.

Notify UCSD’s Export Control with as much advance notice as possible to review the item and determine if a federal license is required. If a license is required, allow a minimum of 90 days prior to your anticipated export.

Before exporting:

• Conduct Restricted Party Screening.
• Determine classification of the item(s). Export Control recommends requesting classification from the vendor or manufacturer of your item. If research produces an end item, work with Export Control to review the Commodity Control List (CCL) and U.S. Military List (USML) and determine classification.
• Obtain End-User Certification from the receiving party, unless an agreement is in place for this transfer.

Please review International Shipments and Hand-carrying Equipment or Materials Abroad in addition to these FAQs.

Yes.

If an item requires an export license, you will need to wait until UCSD has the license or Export Control determines that an export license exception is applicable. Even when a license is not otherwise required, you will need to wait until completion of restricted party screening and Export’s review of your activity. Screening itself normally only requires a few minutes to process. Absent any screening concern, a license requirement, an electronic export information (EEI) filing, or dangerous goods shipping declarations, an export may typically proceed immediately.

No.

The method of export has nothing to do with whether a license is required.

Normally, and, subject to certain exceptions, it is not difficult to obtain a license. Upon obtaining the necessary details about an export (e.g., nature of the item, purpose/end use, destination, and the end user, designation or classification, etc.), Export Control prepares and files the license application with the appropriate U.S. government agency.

Licenses are generally issued within 60 to 90 days from the date the application is submitted. OFAC licenses for activities involving sanctions and embargoes take longer to obtain (up to a year or longer) depending on the country involved and the activities to be authorized. ITAR export licenses will likely be denied for 126.1 countries, those under arms embargoes.

If particular national security, biological safety, or nuclear or missile technology implications are identified with the export, the federal agency may request additional information. Hence, it is critical to allow sufficient time prior to intended export for license application preparation and processing.

Licenses for a defense service (i.e., under a Technical Assistance Agreement or TAA), will take longer to prepare, particularly when multiple parties are involved, and longer to process.

No.

Export licenses and authorizations might carry provisos or conditions which are the government’s specific restrictions or limitations on the activity. Limitations on the duration of the license and access may prompt additional license applications. Failure to adhere to provisos or license expiration could result in an enforceable export violation.

Records related to the activities authorized must also be maintained for a period of 5 years after the license expiration.

A Technology Control Plan (TCP) is needed when a license is required. As long as controlled items are developed, stored, or transferred from UCSD you are required to maintain an updated TCP with at least annual touch points with Export Control.

Not necessarily.

Under the dual-use EAR (Export Administration Regulations) framework, license requirements are on an item-by-item, country-by-country and person or entity basis. As such, your item may or may not require a license. Under the ITAR (International Traffic in Arms) defense regulations, exports to all countries (and international waters, even off the U.S. coast) require a license. A number of countries and entities are subject to a presumption of denial, which means they face a very high bar for license approval by the federal government. It is essential that UCSD Export Control clear all export-related activities.

In some cases, yes.

EAR-controlled items (dual-use)

If the equipment does not require a license to export it to a given country, then no, the temporary export does not require a license. If the item would normally require a license to export abroad (i.e., to a specific country), a specific license exception, such as the “Tool of Trade” exception, must be available for the temporary export, otherwise a license is required.

The “Tool of Trade” exception covers temporary exports of “usual and reasonable kinds and quantities” of items for use abroad by the exporter and are utilized for lawful enterprise or undertaking. This exception has other qualifications based on type of export, destination, and duration of export. It is only applicable when all requirements are met.

ITAR-controlled items (defense articles):

A DSP-73 temporary export license is required, even if you are only sending or transporting the equipment to international waters or airspace (i.e., not landing in any country). There is no Tool of Trade exception under the ITAR.

Export Control will advise on the options for export licensing depending on the items, the destination and specific end use of the items.

When you “release” ITAR technical data (i.e., information or software not in the public domain about design, use, modification, repair, etc., of a defense article) to a non-U.S. person (including students, or visitors on campus, off campus, or abroad who are not U.S. citizens, permanent residents, or asylees), this constitutes a defense service. Keep in mind that ITAR technical data might be “released” merely by the provision of visual access, computer access, or oral disclosure of the data, even where it is not being utilized by the non-U.S. person.

When in doubt, refer the evaluation to Export Control.

Typically, UCSD’s research instruments are not categorized as ITAR, per the USML. A significant number of UCSD’s research instruments are considered EAR99, not meeting the technical specifications of the U.S. Munitions List (USML-ITAR) or Commerce Control List (CCL-EAR), however, many items (including laptops and cell phones) are dual-use-controlled under the EAR.

Items specifically designed or modified for defense purposes or with Department of Defense (DoD) funding may be subject to the ITAR. When an item is procured, this designation may be referenced in the vendors’ Operation Manual or sales documentation, although not always. Research institutions transferring ITAR-controlled items for collaborative research do not always identify such items as ITAR-controlled.

Yes.

Commercial availability does not remove an article from export jurisdiction and a potential licensing requirement.

Yes.

Restricted Party Screenings of all Users and their affiliations will identify Restricted Parties and Parties of Concern. If a screening indicates potential User restrictions, contact Export Control. See Restricted Party Screening for information on screening requirements and how to gain access to the tool.

There might be export control implications.

If the equipment or data is EAR-controlled access restrictions may apply, however if equipment or data is ITAR-controlled, access restrictions would apply. Consider if there might be non-U.S. person exposure requiring prior authorization. A Technology Control Plan is likely required with access restrictions. This would be true whether the User brings in this equipment/data for his or her own use, for UCSD’s use, or for collaborative use with another User or with UC.

If there are any imports from sanctioned countries (e.g. Cuba, Iran, North Korea, Russia, and Sudan), an OFAC license may be required and could take months or more than a year to obtain. Consult with Export Control to determine license requirements.

There may be similar export control implications. If the data are EAR-controlled and not used for Fundamental Research purposes, and/or are ITAR-controlled, access restrictions would apply. Consider if there might be non-U.S. person exposure requiring prior authorization. A Technology Control Plan is likely required with access restrictions.

Also note: If the remote User is a non-U.S. party, the non-public data would need a license determination performed prior to UCSD transferring the User's data back to the User in another country.