Export Controls

Resources

Effective August 2020, federal government agencies may no longer contract with universities, companies, and other organizations that make use of certain telecommunications or video equipment manufactured by specific companies that Congress has determined present a risk to secure communications.

View the full statement and list of prohibited manufacturers

Federal Requirements

Federal Requirements

Export Controls: A Quick Start Guide

Many federal agencies oversee export controls. These include the Departments of State, Commerce, Treasury, and Energy.

National Policy on the Transfer of Scientific, Technical, and Engineering Information, National Security Decision Directive 189, Sept 21, 1985 , Fundamental Research definition

The International Traffic in Arms Regulations (ITAR), Department of State, Defense articles and technical data

The Export Administration Regulations (EAR), Department of Commerce, Equipment, materials, software, and technology with military and commercial uses

Office of Foreign Assets Control (OFAC), Department of the Treasury, Comprehensive or selective sanctions for foreign policy or national security goals

Requirements for certain heavily sanctioned countries: Cuba, Iran, North Korea, Syria, Ukraine/Russia

Assistance to Foreign Atomic Energy Activities (DOE), Department of Energy export controls

Frequently Asked Questions

What are Export Controls?

Research and education thrive at Mines as a direct result of our many international partnerships. However, laws and agency regulations restrict the export of certain items and information. Mines complies fully with these legal requirements and is currently updating our export controls procedures. An export is anything sent or carried to another country, including mail, shipments, luggage or carry-ons, and email, phone, or social media. Not only that, but sharing information with international visitors in the U.S. is deemed an export as well.

Exports are controlled based on the item or information, the country, organization, or person involved. The Departments of State, Commerce, Energy, and the Treasury, among others, regulate certain exports. In some cases, we must secure a license from one of these agencies before granting access in the U.S. or transferring an item or information overseas.

What do we need to do as Mines employees or students?

First, we have to identify situations in which export controls may affect us. Then, we may need to establish a plan for protecting the controlled items or technology or obtain a federal license. A representative from Research and Tech Transfer is available to meet with you, your department, or members of your lab.

What sorts of activities are impacted by export controls?

Many of the activities that we at Mines do every day could be affected by export controls. For example, this includes:

• Research agreements that limit the nationality of research team members or require us to seek sponsor approval to publish the results
• Research with nuclear energy, space technology, lasers or sensors, encryption, high performance computing, or military applications
• Research relying on proprietary or confidential information
• Research with international partners or visiting scholars
• Procurement and use of controlled equipment
• International consulting
• Hosting international visitors
• Travel abroad with scientific instruments or proprietary data
• Travel to certain countries with laptops or electronic devices
• Teaching overseas
• International shipping of items or information overseas

When in doubt, ask us at exportcontrols@mines.edu.

What if I have foreign national graduate students in my lab—are licenses required?

It depends. If you have foreign national grad students working only on Fundamental Research, then you likely will not require a license to continue the work. However, it is recommended to perform a laboratory assessment both of the technology, items, equipment, or source code in use to ensure that there is not something or some work that will except the research from Fundamental Research designation. Please contact us for more information: exportcontrols@mines.edu

Isn’t all my research, scholarship, or teaching Fundamental Research?

Not necessarily.  While Mines is a Fundamental Research university and we start the consideration from that premise, some technology, information, or items used or transferred may fall outside the Fundamental Research Exception (FRE). Please consult the Decision Trees or contact ORA for more information on the topic.

Where can I obtain more training on export control processes?

The Department of Commerce, through the Bureau of Business & Industry (BIS) provides some online resources for the public. See BIS website, https://www.export.gov/Export-Guides.

For more information or for department or unit training, please contact us at exportcontrols@mines.edu.

Are there exceptions to export control restrictions over the activities or information mentioned above?

Yes. However, the exceptions to the export control restrictions on technology, information, or activities each require analysis. Generally, these start with the Mines’ position that we focus on Fundamental Research as defined under both ITAR and EAR. However, the term Fundamental Research is not automatically applied to U.S. universities under ITAR/EAR. For example:

• International Traffic in Arms Regulations (ITAR):  If the technology is ITAR-controlled, but the research is occurring on a U.S. university campus and the results are fully published (in the public domain), usually there can be a Fundamental Research exception to the export controls determination.
  • Note 1:  If the info is already published, but it relates to/involves a “Defense Article” (on the U.S. Munitions List), then an analysis of the activity to determine if a Defense Service will be performed must occur.
    • The FRE may or may not be available as an option to university researchers; thus, further review and analysis is required and includes documentation of the analysis and record keeping for at least 5 years following the analysis.
  • Note 2:  Equipment developed under the Fundamental Research exception is not automatically excluded from export controls/ITAR if it meets USML criteria.
• Export Administration Regulations (EAR): University-based research (basic and applied science or engineering) that is conducted by scientists, engineers, or students at an accredited U.S. university and that is publicly available (e.g., no restriction on publication) is normally (but not always) considered Fundamental Research. Again, an analysis is key to the process.

Prohibited Equipment List