Request restricted party screening prior to engaging with foreign parties, even in an informal research collaboration with a foreign institution or person.
U.S. Export Compliance and Research Security
The purpose of the guidance on this page is to provide an overview of U.S. export control laws (including restricted parties and OFAC sanctions) in the context of University research security.
Contact Josef Mejido, the University’s Export Control Officer, at josef.mejido@rochester.edu if you have any questions about export compliance. Researchers should also review the University’s export compliance page for more information.
What are U.S. export controls?
U.S. export control laws restrict or regulate:
- the export of certain physical items, technical information and software out of the U.S.;
- the release of certain technical information or source code to foreign persons inside the U.S. (a “deemed export”);
- exports/transactions with certain individuals and entities that appear on various U.S. Government restricted party lists;
- economic and trade activity with certain countries, regions and individuals subject to sanctions (e.g. OFAC sanctions).
Top tips for researchers
Always check with the University’s Export Control Officer before engaging with a party in an OFAC sanctioned country or region.
Consider whether your foreign travel, or the hosting of an international visitor, could implicate export control laws and follow the steps described below.
Restricted party screening
The U.S. Government implements, maintains, and enforces a wide range of restricted party lists that are relevant to University and faculty activities, and the University screens against these lists in a number of circumstances.
Among others, these lists include the Specially Designated Nationals List maintained by OFAC, the Entity List and Denied Persons List maintained by the Department of Commerce, and the Debarred Parties list maintained by the Department of State. Each restricted party list provides specific information on applicable restrictions.
Certain research and educational activities that involve restricted parties may be prohibited or may require the University to first obtain a license before engaging in the activity. For example, the University or an individual may not export even low technology tangible items (or non-fundamental research technology or software) to an entity identified on the U.S. Department of Commerce’s Entity List without first obtaining an export license.
The U.S. Government regularly updates restricted party lists, and sometimes new restricted party lists are created. In order to screen effectively, the University must review the most current information available on whether or not a party is subject to U.S. Government restrictions.
Important note
Various universities and research institutes in other countries appear on U.S. Government restricted party lists, and strict restrictions may be applicable to collaborations or activities with those entities.
The University recommends that restricted party screening be done prior to engaging with foreign parties, including activities involving:
- formal or informal research collaborations, including those proposed in grant applications,
- accepting certain affiliations or association with foreign institutions (as described in our international appointment and affiliations guidance),
- exporting physical items, software, or technology,
- entering into MOUs or agreements, and/or
- inviting a visiting student or scholar (described further below).
If your arrangement falls into one of these categories above, please contact either the University’s Export Control Officer (josef.mejido@rochester.edu) or Global Engagement to perform restricted party screening through Visual Compliance. Visual Compliance is a commercially available online tool that screens against a comprehensive list of restricted parties.
OFAC sanctions
The Office of Foreign Assets Control (OFAC) is part of the United States Department of the Treasury and administers several sanctions programs. OFAC sanctions can be either comprehensive or selective. For a complete list of the OFAC sanctions, please review OFAC Sanctions Programs and Country Information.
The following are subject to comprehensive OFAC sanctions: Cuba, Iran, North Korea, Syria, and the following regions of Ukraine: Crimea, Donetsk, and Luhansk, and Russia*. Although OFAC sanctions against Russia are not considered comprehensive, they are evolving, which makes research collaborations with institutions or individuals in Russia particularly challenging.
Important note
OFAC sanctions may be applicable even if conducting fundamental research or engaging in activities involving published information. OFAC sanctions may be applicable even if no “export” is taking place.
It is very important to contact the University’s Export Control Officer prior to any collaboration, appointment, or affiliation with a party in an OFAC sanctioned country or region, because OFAC sanctions can be very broad and restrictive.
For example, researchers should be aware that an OFAC license is likely required prior to conducting fundamental research in Iran or presenting published research results at a conference in Iran (even if done remotely).
Foreign travel
Foreign travel is an export control risk because it may involve:
- sending or taking items that have export restrictions,
- engaging with restricted parties,
- engaging in activities with end-use or end-user restrictions under U.S. export control laws, or
- OFAC sanctioned countries or regions.
The University’s Export Control Officer can help determine potential export compliance risks associated with travel to/involving certain destinations and parties. Faculty are strongly encouraged to register travel (individually or completed by department) in the University’s travel registry system.
International visitors
International visitors to the University can be an export compliance risk. For example, visitors may themselves be or are associated with a restricted party, may be a citizen of a comprehensively sanctioned country, or may be engaging in research activity that is subject to export control laws.
Offices within the Office of Global Engagement coordinate the application and onboarding process for all international visiting students, including restricted party screening.
For visiting faculty and other researchers, departments and hosts should contact the International Services Office early in the process to assist with obtaining the appropriate visa, or the Office of Global Engagement if there are questions regarding how the visitor should be categorized. For those individuals that the International Services Office assists in obtaining a visa, restricted party screening will occur during the onboarding process.
The Laboratory for Laser Energetics (LLE) follows visitor processes in compliance with Department of Energy requirements. Departments and hosts should contact LLE with any questions regarding international visitors to LLE.
Overview of export compliance under the ITAR and EAR
For purposes of research security, the primary U.S. export control laws to consider include:
- International Traffic in Arms Regulations (ITAR): U.S. Department of State; and
- Export Administration Regulations (EAR): U.S. Department of Commerce.
Learn more about each of these laws, examples, and common compliance issues in the drop-downs below.
The International Traffic in Arms Regulations (ITAR) control defense articles and defense services. Everything subject to the ITAR should be reviewed by the Export Control Officer for export compliance. Immediately contact Josef Mejido (josef.mejido@rochester.edu), the University’s Export Control Officer, and Chris Deeney (cdeeney@lle.rochester.edu), the University’s ITAR Empowered Official and Director of the Laboratory for Laser Energetics, if there is any chance that the University may engage in any activity involving the ITAR. ITAR controlled items are very high risk.
Examples of how research activities may be subject to the ITAR include:
- Receiving ITAR controlled technical data (even if only background information for a fundamental research project),
- Design and/or development of a defense article,
- Access to ITAR controlled physical items or software, and
- Providing assistance to foreign persons in connection with a defense article.
The Export Administration Regulations (EAR) control items that are not exclusively controlled for export under other regulatory frameworks such as the ITAR, OFAC, the Nuclear Regulatory Commission and Department of Energy’s respective export regulations.
An export under the EAR includes:
- An actual shipment or transmission out of the U.S., including the sending or taking of an item out of the U.S., in any manner, and
- Releasing or otherwise transferring technology or source code (but not object code) to a foreign person in the U.S. (this is a “deemed export”).
Researchers should understand that just because an activity constitutes an export under U.S. export control laws, it does not inherently mean an export license is required. Please check with Josef Mejido (josef.mejido@rochester.edu), the University’s Export Control Officer if you plan to export anything out of the U.S.
It’s important to note that technology and software are not subject to the EAR if it:
- is already published, or
- results from fundamental research
Researchers should also understand that physical objects, including items like viruses, bacteria and equipment are subject to the EAR, even if created or utilized during a fundamental research project, and may require an export license prior to export out of the U.S.
There are various end-user and end-use restrictions under the EAR, including certain restrictions on: nuclear end-uses; rocket systems end-uses; chemical and biological weapons end-uses; military end uses or military end users; supercomputer and semiconductor manufacturing end uses.
Common examples of potential export compliance issues that impact University researchers include:
- ITAR controlled items, including ITAR controlled technical data or software,
- Export controlled technology or foreign person access restrictions on technology or source code received from an outside party (e.g., under a confidentiality agreement, end-use certification, or requiring a technology control plan),
- Accepting a publication approval requirement,
- Accepting a foreign person access restriction,
- Sending or taking any physical items, technology, or software (other than low-technology consumer goods) outside of the U.S.,
- Traveling to an OFAC comprehensively sanctioned country, and
- Collaborating with, or engaging in any University projects with, individuals in an OFAC comprehensively sanctioned country.
Questions
Reach out for support
If you have questions about export control compliance, please contract Josef Mejido, the University’s Export Control Officer, for consultation at josef.mejido@rochester.edu.