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Export Control

Louisiana Tech University conducts basic and applied research because it is considered a vital component in fulfilling its mission as an institution of higher education. The results of research contribute to the advancement of knowledge and further our public service mission. In addition, the experience students gain by being involved in research enhances their learning experience. While Louisiana Tech is dedicated to the principles of freedom of inquiry and an open research environment, it must also comply with federal laws and regulations governing the exchange of research materials and results that are subject to export controls.

On October 26, 2009, the University of Louisiana System adopted Policy M-16 Export Control, requiring each campus within the system to develop institution specific export control procedures in compliance with all applicable federal laws. In compliance with this directive, Louisiana Tech developed Policy 7122 – Export Control Policy and it went into effect on July 28, 2011. This policy applies to all faculty, staff and students. As part of this policy Louisiana Tech created an Export Control Committee whose main responsibility is to advise the University on export control matters.

Overview

Export Controls regulations are federal laws that prohibit the unlicensed export of certain types of technologies or information for reasons of national security, protection of trade or due to economic and trade sanctions. These regulations also restrict the transfer of this same material to foreign nationals within the U.S., which the government refers to as a “deemed export.” (For more information on this subject, see Nov 11, 2004 COGR presentation entitled “Export Controls and Universities: Licensing Research?” by Robert Hardy.)

If University research involves such specified technologies, these regulations may require the university to obtain prior approval (i.e., license) from the appropriate agency prior to allowing foreign nationals to participate in the research, engage in collaborative research with a foreign institution and/or share research results with persons who are not United States citizens or permanent residents. The consequences of violating these regulations can be quite severe, ranging from loss of research contracts to monetary penalties to jail time for the individual violating these regulations. It is the policy of Louisiana Tech University to comply with all U.S. export control laws and regulations.

Accordingly, Louisiana Tech has developed an export control compliance program and procedures to enable Louisiana Tech personnel and students to conduct their University business in accord with these laws.

Basics

These laws are promulgated and enforced by three governmental agencies.

1. U.S. Department of Commerce (DOC) – Bureau of Industry and Security (BIS) – Export Control Regulations (EAR)

EAR regulates “dual use” products and technologies, that is products that that are designed for commercial use but have the potential for military application. An export license is required before a transfer of any such items/information can occur. The license requirements are dependent upon an item’s technical characteristics, the destination, the end-use, and the end-user, and other activities of the end-user. The first step in establishing whether a dual-use item (i.e., commodity, software or technology) requires a license is to determine the product’s Export Control Classification Number (ECCN) on the Commerce Control List (CCL). ECCNs identify reasons for control which indicate licensing requirements to certain destinations. If your item is a dual use item falling under DOC jurisdiction and is not listed on the CCL, it is designated as EAR99. EAR99 items generally consist of low-technology or consumer goods and do not require a license in most situations. (An export license may be required, however, if the proposed export is to an embargoed country.)

See an example below of an exercise one might conduct to determine if the item they are planning to transport to a foreign country would be prohibited under EAR.

2. U.S. Department of State – International Traffic in Arms Regulations (ITAR)

ITAR regulates military items such as munitions and defense articles found on the United States Munitions List (USML). Unlike EAR where need for the license is dependent upon the nature of the technology and country of export, this is not the case with ITAR. If it appears on USML then it is subject to ITAR. Foreign nationals from all countries are prohibited from participation in research involving such items, unless an export control license is obtained first. The USML covers the following 21 categories of items:

Firearms, Close Assault Weapons and Combat Shotguns
Guns and Armament
Ammunition/Ordnance
Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines
Explosives and Energetic Materials, Propellants, Incendiary Agents, and Their Constituents
Surface Vessels of War and Special Naval Equipment
Ground Vehicles
Aircraft and Related Articles
Military Training Equipment and Training
Personal Protective Equipment
Military Electronics
Fire Control, Laser, Imaging, and Guidance Equipment
Materials and Miscellaneous Articles
Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment
Spacecraft and Related Articles
Nuclear Weapons Related Articles
Classified Articles, Technical Data, and Defense Services Not Otherwise Enumerated
Directed Energy Weapons
Gas Turbine Engines and Associated Equipment
Submersible Vessels and Related Articles
Articles, Technical Data, and Defense Services Not Otherwise Enumerated

3. In addition, the Treasury Department’s Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions that have been imposed against specific countries based on reasons of foreign policy, national security, or international agreements. Full descriptions of all countries currently subject to sanctions are available here. Generally speaking, universities typically encounter OFAC issues less frequently than those arising from ITAR and EAR. However, collaborative research activities with nationals from OFAC-sanctioned countries may be viewed by OFAC as prohibited services. Before engaging in collaborations with foreign nationals or exporting research articles overseas, you should first check the OFAC’s list of embargoed entities and persons to determine if any controls exist on the exports to the intended recipients(s).

Frequently Asked

Export Control-Related Questions

If you are traveling outside of the U.S. with items and/or information (e.g., technical data) in conjunction with your project, there are export control issues to consider. Generally, it is permissible to transport information (e.g., computer files, reports) that falls into the Fundamental Research Exclusion category without the need for a license. If, however, you are transporting controlled information and/or items (e.g., laptop with encryption software or GPS device) a license could be required. Laptops and GPS devices, and their underlying software, are covered by the EAR and, in some cases, the ITAR. EAR export regulations vary based on the country to which a researcher is traveling and the purpose for which he or she intends to use the laptop or GPS, see EAR example. In some cases, an exception or exemption to the license requirements is available. However, regulations require the exception/exemption to be documented, and the records kept for five years. Excluding embargoed countries, faculty who wish to take their business laptops out of the country to use in a University project that qualifies as fundamental research may be able to do so under the license exception for temporary export (TMP) if the laptop meets the requirement for “tools of trade” and is under the control of the researcher, or the baggage (BAG) license exception covering personal items that are owned by the researcher and intended only for their personal use. For more information on TMP or BAG, contact the Export Control Official.

For your convenience and also to facilitate your travel to certain “High Risk” countries (e.g., China, Russia, etc), the Chief Innovation Officer offers a Laptop Loaner Program rather than taking your own personal or business device. Chief Innovation Officer loans encrypted laptops for faculty and staff traveling on University business to nations subject to encryption import or export controls.

Reminder: Decrypt external USB drives and other devices before traveling to countries subject to encryption import or export controls.

EAR Exercise EXAMPLE

Scenario: A Louisiana Tech faculty member is planning to attend a conference in Australia and would like to take his MacBook computer. The first step in determining if this is allowable is to determine the ECCN of the MacBook. Some companies like Apple assist in this process by listing the ECCN designations of their products. According to the Apple website the MacBook has an ECCN designation of “5A992.c.” Since it does not fall within the low-tech, consumer EAR99 designation further investigation is warranted.

Breakdown of the “5A992.c” designation:

5 – Category
A – Product Group
9 – Reason for Control
9 – Relates to Reasons for Control
2 – Used for Numerical Ordering

Product Groups

A – Systems, Equipment & Components
B – Test, Inspection and production Equipment
C – Material
D – Software
E – Technology

By clicking on “Category 5 Part 2 – Information Security” link found on the BIS CCL index below opens a pdf document. The contents of 5A992 part c can be found on Page 6 of the PDF document.

This section provides the reason for the controls, “AT,” which stands for Anti-Terrorism as well as a description of the controlled technology, “encryption.” Because the MacBook contains encryption software it is subject to controls.

Reason for Controls

AT – Anti-Terrorism
CB – Chemical & Biological weapons
CC – Crime Control
CW – Chemical Weapons Convention
EI – Encryption Item
FC – Firearms Control
MT – Missile Technology
NP – Nuclear Proliferation
NS – National Security
RS – Regional Stability
SI – Significant Item
SS – Short Supply
UN – United Nations
SL – Surreptitious Listening

To determine if it would be a violation of EAR to bring this item to Australia one would next need to consult the Commerce Country Chart. The column under AT is not check-off along the Australia row indicating that it is permissible to bring this item to that country.

University Research and Export Control

Whether sponsored by a governmental agency or not, export control laws apply to all research conducted at the University even if it is internally funded. Learn about research exclusions, technology control, and more.

Learn More

Export Control

Export Control

Overview

Basics

Export Control-Related Questions

CITI Export Control Web-Based Training Modules

Breakdown of the “5A992.c” designation:

Ten Categories in the CCL

Product Groups

Reason for Controls

University Research and Export Control

Export Control

Export Control

Overview

Basics

Export Control-Related Questions

Where can I find information on international travel?

Where can I access CITI Training Modules?

CITI Export Control Web-Based Training Modules

Where can I find export control examples?

Breakdown of the “5A992.c” designation:

Ten Categories in the CCL

Product Groups

Reason for Controls

University Research and Export Control