Export Procedure Manual




EXPORT REVIEW PROCEDURES GUIDE


Foreword:
This document sets forth the general procedures fol owed when an export control review is, or may be,
required at Colorado School of Mines (Mines). WE extend our gratitude to Arizona State University for the
sharing of their guide as a basis for our procedures and their wonderful assistance to our university.
This manual is designed to be accessed mainly online and thus has many hyperlinks embedded in the text.
Many of the embedded links will provide quick access to the Glossary in the back of the manual. If you
have questions, please feel free to reach out to the Office of Compliance & Policy regarding any sources or
references that you may want to search directly.

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EXPORT REVIEW PROCEDURES GUIDE

November 18, 2016
Dear Mines Community~
Export control regulations have been in place in the U.S. for well over twenty years. It wasn’t until after
September 11, 2001 that universities started to focus on the regulations which then led to a heightened
focus in the late 2000’s. Export Control has certainly been a focus here at Mines which includes recent
efforts to provide clarity on the regulations to those in our campus community who may be impacted.
Export Control issues can arise while we are performing basic academic activities: conducting research,
teaching, shipping or importing goods/equipment, traveling overseas, collaborating with international
partner, sharing or disseminating knowledge and inventiveness, etc. The export laws affect all fields of
science and engineering and apply to universities, industries, as well as individuals. Thus, when research or
educational activities involve providing technology, data, or services to certain countries, foreign nationals,
in the U.S. or abroad, Mines’ community members need to be able to identify whether export control laws
and regulations are being met, or whether these are covered by the Fundamental Research Exception of
the export control regulations.
As such, it is essential for every member of the Mines’ community to be aware of the myriad of Export
Control laws and regulations, and the concerns that may arise through their work at Mines. To help better
inform you of the relevant regulations, we are creating a new local resource manual, launching a website
(http://inside.mines.edu/export-controls), identifying service offices (e.g., ORA, Compliance, Legal Services),
and providing programming to assist and inform faculty, staff, and students. These new resources are
intended to assist Mines’ community members with their export control questions.
If you do not find an answer to your export-related question in these materials, please ask questions and
seek out additional resources. The resources we are developing wil continue to evolve with your use and
input.
Thank you to the entire Mines’ community for working together to build a stronger future.
Sincerely,
Thomas Boyd, Ph.D.
Interim Provost
Kirsten M. Volpi
EVP/COO/CFO
Tony Dean, Ph.D.
SVPRTT


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EXPORT REVIEW PROCEDURES GUIDE


Contents


Foreword


Letter from Mines

I.
INTRODUCTION
II.
EXPORT JURISDICTION AND LICENSE DETERMINATION (EAR, ITAR, OFAC)
III.
LICENSE EXCEPTIONS FOR UNIVERSITY RESEARCH (FRE, Publicly Available, penalties, etc.)
IV.
EXPORT LICENSES: MANAGEMENT AND PLANS
V.
VISITORS & SCHOLARS
VI.
FOREIGN TRAVEL
VII.
INTERNATIONAL SHIPPING
VIII.
IMPORTS
IX.
PUBLICATION WAIVERS
X.
TRAINING
XI.
COMPLIANCE AUDITS
XII.
MISCELLANEOUS
anti-boycott
political contributions/FCPA
brokering
red flags
drones/UAS
consulting

Appendix – Forms
Appendix 1 & 2 Decision Trees
Appendix 3: TMP Form
Appendix 4: Tips for Course Content
GLOSSARY

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EXPORT REVIEW PROCEDURES GUIDE

I. INTRODUCTION
U.S. federal law restricts the export of certain goods (or items), technology, data, services, and the import
or re-importation of certain goods, items, or technology. These laws affect all fields of science, engineering,
and math, and they apply to Universities, industry, and to individuals. An “Export” occurs when there is a
transfer or shipment of items/information out of the U.S., the electronic transmission of this information
out of the U.S. (e.g., fax, email, phone), or the provision of specific services to a foreign national (except for
green card holders). The Export can also occur even if the foreign national is located in the United States,
i.e., “Deemed Export,” (e.g., lab tours, presentations, discussions). Thus, when research or educational
activities may involve providing technology, data, or services to foreign nationals in the U.S. or abroad, the
Mines’ community needs-to-know whether the export control laws and regulations apply in the situation.
This primer is available for the Mines’ community to assist in identifying the steps to take with any possible
Export, including which agency has jurisdiction, what license requirements may apply, and how to proceed
when faced with these questions and others. Though this is a complex area of the law and applicability,
there are many units available to work with the Mines’ community supporting all Mines’ efforts in research,
teaching, and service.
A.
Why do Export control laws exist?
U.S. Export Control laws were enacted for several reasons, including the following:
1) protect national security (curtail exports of militarily significant items and technologies to U.S.
adversaries) and prevent the proliferation of weapons of mass destruction (WMD) and abuse of
conventional weapons by governments and non-state actors;
2) combat crime, terror, and avoid illegitimate transfers of military and dual-use/End Use equipment
and technology so that they are not abused or violate human rights;
3) provide mechanism to sanction or embargo states to put economic pressure on governments to
change their policies and restrict the capacity to pursue policies; and
4) preserve U.S. economic competitiveness.
See also 15 CFR 730.6 .
The U.S. is not the only country to have export laws; so the Mines community also should be aware of
entering and exiting countries and exporting items, services, technology and the like among other nations.
B.
Why Exports may matter to Mines/you?
Export Control laws, regulations, and requirements may apply to both the University and to you personally;
thus, if you do any of the following activities you need to recognize the applicability of such laws, including:

1) Perform Research;
2) Teach at Mines, other US locations, or abroad;
3) Travel abroad;
4) Ship/Share any item or materials (physically or electronically), software or information globally;
5) Pay someone abroad for items, materials services, expenses, etc.; or
6) Demonstrate technology that is not yet public to foreign nationals, etc.
Beyond the local concerns to the University and to you, violations of the export control laws can cause
injury to the United States due to the release of dangerous items or knowledge. The improper release of
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such may be punishable by fines (individually or to an organization) or imprisonment, as seen later in this
manual.
C. How to Get Help @ Mines
This manual and the offices of Research Administration (303-273-3411, ora@mines.edu ), Compliance (303-
384-2236, compliance@mines.edu ) and Legal Services (303-273-3325) are available to assist you at any
time. Additionally, there are many on-line resources, though many of the U.S. Government websites are
geared toward commercial entities and listing at the Mines’ export control webpage @
http://inside.mines.edu/Export-controls.


[End of Section]

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EXPORT REVIEW PROCEDURES GUIDE

II. EXPORT JURISDICTION AND LICENSE DETERMINATION
There are a series of questions for any University community & employees to answer to determine which
U.S. department/agency maintains jurisdiction over the export item, technology, article, or service. After
License jurisdiction, a determination must be made regarding whether a license is required or not for the
item, technology, article, or service. The decision-making process includes the main issue of determining
whether the research is "Fundamental” in nature, or not. (See section III.) The University is often under
the Fundamental Research Exception, however, there are many situations that are not covered or exempt
from export control (or licensing) under the FRE. Often the process requires both the faculty/employee and
ORA or the Office of Compliance for further information on how to proceed with their project. The Export
Control decision trees in Appendices 1 and 2 are helpful in analyzing these issues.
A.
Agency Jurisdiction
The first step in the export review process is to identify the correct agency jurisdiction, which then
identifies several regulations that apply to the situation or items at hand. Projects, research, conferences,
etc., involving exports to foreign nationals (including deemed exports), whether for research, hiring,
visiting scholars, or students will be reviewed with Office of Research Administration, Office of Compliance
& Policy, and/or Office of Legal Services, as appropriate. The review process is initiated in several ways,
such as, from the request of a Principal Investigator (PI) or Faculty member to one of the resource offices.
Since a PI is the expert on the item, research, or technology, s/he is in the best position to explain the
technology involved in the export review. If this review involves research, the statement of work and other
relevant information are reviewed to determine if the project is subject to export controls or not, and then
determine the next steps. Mines relies on the PI or faculty member information and expertise in jointly
determining whether the item, technology, research, etc. may fall within export controlled areas.

1. Export Control under U.S. Agencies.

The three (3) U.S. agencies that generally come into play on Export Control issues are the: 1) U.S.
Department of Commerce, 2) U.S. Department of State, and 3) U.S. Department of the Treasury. Each
agency has statutory basis for their power and they have promulgated and implemented regulations based
on the statutory authority that are applicable to export controls and are discussed in this procedures
document, in Table 1, “Regulations Agency and Oversight” below:
Regulations
Agency (Jurisdiction)
Oversight Areas
EAR: Export Administration
Department of Commerce
Technologies: both commercial
Regulations
Bureau of Business & Industry
& military application, not those
covered by ITAR
ITAR: International Traffic in
Depart of State
Technologies, inherently military
Arms
Directorate of Defense Trade Controls
in properties
(DDTC)
OFAC: Office of Foreign Assets
Department of Treasury,
Prohibits transactions of value
Control
OFAC
with certain countries/persons
Table 1 Regulations Agency and Oversight


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2. Additional oversight agencies.
The export or re-export of items or commodities may be controlled by/subject to oversight by the following
agencies (as identified in the EAR, 15 CFR 734.3(b)(1)):

• U.S. Nuclear Regulatory Commission (commodities related to nuclear reactor vessels (10 CFR
part 110, Export & Import of Nuclear Equipment & Materials);
• U.S. Department of Energy (technology related to the production of special nuclear materials
and the transfer of unclassified nuclear technology & assistance (10 CFR part 810, Assistance to
Foreign Atomic Energy activities under the Atomic Energy Act);
• U.S. Patent & Trademark Office, (export to a foreign country of unclassified technology in the
form of a patent application or an amendment, modification, or supplement thereto or division
thereof (37 CFR part 5), with authority to BIS to address; and Exports and re-exports of such
technology not approved under PTO regulations must comply with the EAR;
• Department of Defense (DoD) and Department of State Foreign Military Sales (FMS) Program
(Items that are subject to the EAR that are sold, leased or loaned by the DoD to a foreign
country or international organization under the FMS Program of the Arms Export Control Act
pursuant to a Letter of Offer and Acceptance (LOA) authorizing such transfers are not “subject
to the EAR,” but rather, are subject to the authority of the Arms Export Control Act.)

B.
Export Administration Regulations (EAR)
U.S. Department of Commerce statutory authority over export issues comes from the Export
Administration Act of 1979, as amended, (50 U.S.C. app. 2401-2420 (EAA)) and executive order(s).
Commerce’s goal of the security of the US, including national defense and competitiveness of industry and
healthy economy, resulting in the writing and adoption of the EARs that cover Exports, Re-exports, and
certain activities found in Title 15, Commerce and Foreign Trade, addressing the Bureau of Industry &
Security (BIS) (parts 700-799, Subchapter C, §§730-780). Note, the BIS regulations cover Chemical Weapons
conventions and Nuclear Fuel activities. Generally, Export Administration Regulations cover “Dual Use”
(civilian and/or military uses) commodities, software, and technology export and/or re-export (i.e.,
shipment, transmission, or release of a US item from one foreign country to another). The regulations
specifically provide that:
“the EAR control any item warranting control that is not exclusively controled for export, re-export, or
transfer (in-country) by another agency of the U.S. Government or otherwise excluded from being subject to
the EAR pursuant to §734.3(b) of the EAR. Thus, items subject to the EAR include purely civilian items, items
with both civil and military, terrorism or potential WMD-related applications, and items that are exclusively
used for military applications but that do not warrant control under the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120 et seq.).” See 15 CFR §730.3.

1. Determine Licensing Requirements.

The following steps generally outline how Mines determines licensing requirements for items/activities
under the EARs/regulations, including 3-steps:
a. Screen entities and individuals against the most recent Restricted Parties lists using Visual
Compliance Software to ensure that the individuals or entities to receive the technology or
items to be exported are not on any of these lists;
b. Review restrictions under the EAR for embargo information/restrictions to the particular
country of destination; and
c. Determine jurisdiction whether the commodity or activity is subject to the EAR, Part 734
and on the Commerce Control List, or CCL.
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Note: If your item falls under the jurisdiction of the U.S. Department of Commerce and is not listed
on the CCL, then the item is designated as “EAR99.” The majority of commercial products are
designated EAR99 and generally will not require a license to be exported or re-exported. However,
if you plan to export an EAR99 item to an embargoed or sanctioned country, to a party of concern,
or in support of a prohibited end-use, you may be required to obtain a license.
If the commodity is subject to the EARs, Mines uses Compliance Software (available through ORA) to review
entities, individuals, embargo information, commodity/activity along with locations and reviews the
Commerce Control List (CCL) to identify items, technology, or materials that:
1) require a license for export; 2) if no license required (NLR); or 3) if the export cannot be made period.

2. Commerce Control List items & their Export Control Class Numbers (ECCN).
Al commodities, technology, or software subject to the licensing authority of Commerce-BIS are included in
the Commerce Control List (CCL), found in EAR (Title 15, Part 774, Supplement No. 1). Individual items on
the CCL are identified by an Export Control Classification Number, or ECCN, made up of numbers and letters
to identify the commodity or technology. An ECCN categorizes items based on the nature of the product
(i.e. type of commodity, technology, or software) and its respective technical parameters. The CCL
categories are in Table 2, and the five (5) CCL product groups (A-E) are in Table 3, on the following page:
Table 2 CCL Categories
Table 3: CCL Product Groups A-E
0
Nuclear & Miscellaneous
A
Systems, Equipment and
1
Materials, Chemicals, Microorganisms and
Components
Toxins
2
Materials Processing
B
Test, Inspection and
Production Equipment
3
Electronics
4
Computers
C
Material
5 Part 1
Telecommunications
D
Software
5 Part 2
Information Security
6
Sensors and Lasers
E
Technology
7
Navigation and Avionics
8
Marine
9
Aerospace and Propulsion

(next page)

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a.
Identify ECCN. Many products/items purchased, produced, or manufactured
already have an applicable ECCN (for the product or the parts making up the product). Ensure you inquire
with the manufacturer or through Mines Purchasing/Procurement Services to identify items or parts that
already have an ECCN assigned. For example, many computer manufacturers maintain a webpage listing
many of the global trade compliance categories for their products. E.g., see Apple Export Control page @
http://www.apple.com/legal/more-resources/gtc.html; or see Dell Export Control page @
https://software.dell.com/legal/export-control.aspx. (Manufacturers will advise you to verify through your
own counsel/export control office and Mines’ agrees, though, these lists are a great place to start
reviewing.)

b.
Classify Commodity using CCL listing. Commodities or products may be identified
using the CCL listing (10 CCL categories and the 5 product groups) to narrow down the item, product, or
technology and help identify jurisdiction/license requirements. See Tables 2 & 3 above. If you cannot
identify the commodity, or if you built the product in-house, please contact ORA for a method to request
and/or obtain a classification from the appropriate agency.

c.
Catch-all Category: EAR99. The EAR99 designation is a “catch-all” category
assigned to items that are subject to the EAR, but that do not have a specific ECCN on the CCL. The majority
of U.S. origin goods are classified as EAR99, and under most circumstances, do not require a license for
export. EAR99 general y may be shipped under a “NLR” (No License Required) designation, unless the item
is going to: 1) an embargoed/sanctioned country, 2) an “end-user” of concern, or 3) a prohibited end-use.
3. Deemed Exports
The Commerce-BIS and other federal agencies have focused more attention on “Deemed Export(s)” in the
past few years. Typically, a Deemed Export occurs when there is a Release of technology or source code
(subject to EAR) to a Foreign National outside of or within the US, and is “deemed” to be an export to the
home country of the foreign national. All U.S. employers hiring foreign nationals (usually on H-1B visas) to
work in the United States on export control ed technologies are under the rules. See EAR, 15 CFR
§734.2(b)(2) .
It is important for Mines/PI to determine if there is an export issue with research proposals/projects in
which a foreign national will be assisting, collaborating, observing, or in situations where a software license
agreement contains language indicating that the software is controlled in transfer to certain countries.
However, as usual in this area of the law, the issue is not always clear. For example, in some cases, the
supervised use of a control ed computer by a foreign national may not amount to a deemed export if the
foreign national works under supervision of the U.S. faculty/PI, and if the foreign national does not access
the operating system. There are nuances within the regulations regarding this area, and generally
technology that is Publicly Available is not subject to the deemed export rule. However, that may also
depend on whether the employee is a “Bona Fide” employee that is a permanent and regular employee or
if the employee’s home country is part of the listing of countries authorized to receive the code.
The deemed export rule would not apply to Fundamental Research within an appropriate structure, such as
where any export controlled information or technology would not be released to foreign nationals on the
project (e.g., where an approved TCP, or Technical Control Plan, is in place to control access).

4.
Activities that are Not Exports, Re-exports, or Transfers under the EAR. See 15 CFR
§734.18 The following activities are not exports, reexports, or transfers including:


EXPORT REVIEW PROCEDURES GUIDE


(1) Launching a spacecraft, launch vehicle, payload, or other item into space;
(2) Transmitting or otherwise transferring “technology” or “software” to a person in the US
who is not a foreign person from another person in the US;
(3) Transmitting or otherwise making a transfer (in-country) within the same foreign
country of “technology” or “software” between or among only persons who are not “foreign persons,” so
long as the transmission or transfer does not result in a release to a foreign person or to a person
prohibited from receiving the “technology” or “software”;
(4) Shipping, moving, or transferring items between or among the US, District of Columbia,
Commonwealths of Puerto Rico or Northern Mariana Islands, or any territory, dependency, or possession of
the US, as issued by the US Bureau of the Census;
(5) Sending, taking, or storing “technology” or “software” that is:
(i) Unclassified;
(i ) Secured using `end-to-end encryption;'
(iii) Secured using cryptographic modules (hardware or “software”) compliant with
Federal Information Processing Standards Publication 140-2 (FIPS 140-2) or its successors, supplemented by
“software” implementation, cryptographic key management and other procedures and controls that are in
accordance with guidance provided in current U.S. NIST publications, or other equally or more effective
cryptographic means; and
(iv) Not intentionally stored in a country listed in Country Group D:5 (US Arms
Embargoed Countries, see 15 CFR part 740, Supp. 1) or in the Russian Federation.
4. Commodity Jurisdiction (CJ) Request procedures
When it is difficult to make a determination regarding whether the particular product or service is civil,
military, or Dual-Use, Mines may request an opinion from either the Department of Commerce or the
Department of State to help clarify the appropriate agency jurisdiction. This request to an agency is known
as a Commodity Jurisdiction (“CJ”) request. The request wil be made in conjunction with ORA and/or
Office of Compliance.
A Commodity Jurisdiction Request is submitted to the Department of State, Directorate of Defense Trade
Controls (DDTC), in the form of a letter with supporting documents. Once received, a CJ request is assigned
a case number and copies of the request are staffed to appropriate U.S. Government agencies for review.
Mines will identify the letter as a “Commodity Jurisdiction Request for [specific item or technology]” e.g.,
with specific information, including manufacturer, model and/or part numbers, if any, and name of item. A
CJ Request case normally takes 40-60 days to complete. Note: Mines does not have to be registered with
the Department of State in order to make a CJ Request regarding the article or service and whether it is
covered by the US Munitions List. See 22 CFR §120.4.

5. “China Rule” or Validating End Use(r)
Prior to an Export, Re-export, or transfer in country, Mines must check for military end-use activities in the
People’s Republic of China, or for a 'Military end use' or 'Military end user' in Russia or Venezuela, either in
part or in whole, to meet the compliance obligations (including related terms such as use, development,
production, operation, installation, maintenance, and deployment). See 15 CFR 744.41. End User screening
distinguishes between private company and government owned end-use, through obtaining information on
how the end-user wil use the item, at what location, and for what specific purpose or contract. This also
allows for the differentiation between commercial and military use.
For quick triage, see the Decision Tree for Export Control in the Export Administration regulations regarding
the scope, general prohibitions, license exceptions, etc.

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C. International Traffic in Arms Regulations (ITAR)
The International Traffic in Arms Regulations (ITAR) are administered by the U.S. Department of State
(State) and apply to the control(s) of the export of defense articles that are enumerated on the U.S.
Munitions List (USML). The legal authority comes from the Arms Export and Control Act and Executive
Order 13637 and covers the export and temporary import of “Defense Articles” and/or “Defense Services.”
Designation as a Defense Article is principally based on whether the article is inherently military in
character, and includes the actual item, models and technical information that may reveal technical details
about the item. See 22 CFR§ 120.6.

1. Designate the item.
A specific article or service may be designated a Defense Article or Defense Service, if:

• The article or service meets the criteria on the US Munitions List or provides equivalent
performance capabilities of a Defense Article on the USML;
• in the future, the article/service provides a critical military or intelligence advantage and it
warrants control under this ITAR; or
• basically under a Commodity Jurisdiction determination, the article/service is covered
under ITAR. See 22 CFR 120.3.
Al U.S. Persons (including governmental entities) engaged in the manufacturing or exporting of Defense
Articles, technical defense information, or Defense Services are required to register with the Office of
Defense Trade Controls (ODTC), and then where necessary apply for and obtain licenses to work in this
area. Note: Mines is not registered with ODTC, and thus would need to register through ORA prior to
obtaining a license under ITAR. For informational purposes, if Mines decides to register in the future, the
following steps would be reviewed.

2. Entities that register with ODTC.
In order to apply for licenses the entities register with ODTC through an “Empowered Official” with
independent authority to enquire into any aspect of a proposed export or temporary import.” Thus, a PI or
faculty member alone is not an Empowered Official for Mines. Should Mines register with ODTC, then the
Office of Research Administration will maintain application direction and filing procedures.

3. Information and procedures regarding entities that apply for licenses.
Entities that have an Empowered Official and approve a license application follow the procedures including:

a.
Review countries (including entities) for end-users that are denied licenses for the
export of Defense Articles/Services or Technical Data under Section 126.1 of ITAR. These may include
statutorily debarred parties listed under DDTC website and DOD excluded parties, BIS denied party lists,
and OFAC SDN list.
b.
Review commodity or services on the US Munitions list, ITAR Part 121, for a
licensing determination, that includes at least the following:

• Describe item/use? Identify Source/developer?
• Specify item capabilities? Identify end user’s intended purpose?
• Additional applications beyond item intended use?
• Country (entity) of ultimate destination? Foreign availability for like items?
• Specific purpose for export?
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c.
Exporting entity/university determines the type of license/approval that will be needed
for a particular circumstance based on regulations. Documentation, such as request letters, projects, etc. wil be
requested, including for example, the DSP-83 Form (application for authorization to export significant military
equipment and classified equipment or data (22 CFR §§123.10(a), 124.10 and 125.7)) a non-transfer and use
certificate for any item classified as Significant Military Equipment (SME), and the end use and foreign end-user;
previous licenses to the same entity, etc.
4.
License to export approved.
The License is valid for four (4) years from the date issued (or as provided on the documentation from the
agency), and often has restrictions for the applying entity and faculty to follow (e.g., attaching license copy
when shipping items.) There may be additional requirements/agreements when a License is approved by
the agency, including, but not limited to, the fol owing:

a.
Technical Assistance Agreement (TAA): Required to be submitted and approved
by ODTC before defense services or training (including technical data) may be provided to a foreign person
either in the U.S. or in a foreign country. A TAA approval may require many months for approval or
rejection, and is not official unless ODTC approves it.


b.
Manufacturing License Agreement (MLA): Similar to TAAs, MLAs usually involve
the export of technical data, the performance of defense services, and the export of defense articles
necessary for the manufacturing or production of an ITAR controlled item.
c. Office of Defense Trade Controls (ODTC) Review Process if an entity submits a
License Application or TAA, ODTC staffs out the case to various federal governmental agencies for review
(such as DOD – DTSA). Factors considered include policies, region, country, technology, level of technology
at destination vs. U.S. systems and countermeasures, end-user and end-use history, military operational
impact, inter-operability requirements, foreign availability of like systems, and classified data transfers.

5.
ITAR Exemption.
An exemption may be available if a US Government agency as “Sponsor” requests a Mines Researcher to
perform work under an ITAR exemption. Mines must be notified at the earliest possible point to determine
applicability of the exemption and assessment by the compliance/ORA offices. A license exemption wil not
be approved if all of the requirements of ITAR are not met. Further, any applicable shipping documentation
must reference the exemption.

6.
Foreign National Employee may require license under ITAR.
ITAR requirements for a foreign-national employee license are on the State Department’s website at
www.pmddtc.state.gov. Mines’ compliance offices should be contacted to this review and guidelines for
foreign national employment.

D.
Office of Foreign Assets Control (OFAC) [U.S. Dept. of Treasury]
OFAC administers and enforces economic sanctions/programs primarily against countries and/or groups of
individuals, such as terrorists and narcotics traffickers, restricting imports, exports and other transactions
(e.g. monetary or financial). See Dept. of the Treasury, OFAC, @ 31 CFR Part 500. This function started
during WWI to stop Germany from repatriating funds they commandeered or absorbed after invasions.
Today OFAC maintains a “Specially Designated Nationals” and Blocked Persons listing ("SDN list") that
includes over 6,000 names of companies and individuals who are connected with the sanctions targeted,
and these are continual y updated. Multiple U.S. statutes and U.N. Resolutions also guide the OFAC
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sanctions/prohibited transactions. See OFAC Resource Center.

1.
Sanctions/Prohibited Transactions. The sanctions can be either comprehensive or
selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national
security goals. “Prohibited Transactions” include trade or financial transactions and other dealings in
which “U.S. persons” may not engage unless authorized by OFAC or expressly exempted by statute. U.S.
persons include all branches, subsidiaries, and controlled affiliates of US organizations, wherever located.
See OFAC Faq's #3. Because each program is based on different foreign policy and national security goals,
prohibitions may vary between programs. Sanctions may be against areas such as Crimea (Ukraine/Russia
areas), Sudan/South Sudan, or sanctions may be topical, such as by Industry (e.g. cyber-related sanctions.)

2.
Travel to embargoed countries (Cuba1, Iran, North Korea, Syria and Sudan) related to one’s
position or activities at Mines.

a.
Professional Conferences: special note should be taken regarding speaking,
lecturing, or sharing information at professional conferences if the conference occurs in sanctioned or
embargoed areas, or if the conference will have attendees from an embargoed country. Generally, speaking
at professional conferences in embargoed countries requires the prior approval of Office of Foreign Assets
Control (OFAC) in the form of applying for and obtaining a license for sharing of the information.

b.
Advance Application for License. OFAC licenses must be requested at least three (3)
months in advance of travel, due to the time required to process the requests. Travel may not occur
without an OFAC license in hand, where required.

c.
Physical items. Other export licenses (e.g., BIS) may be required in addition to an
OFAC license for any physical items (e.g., laptops, cameras, GPS, equipment on CCL, etc.) that wil be (hand)
carried to an embargoed country. (e.g., TMP or BAG)

3.
Personal travel that is not associated with one’s position at Mines (i.e. family vacation)
usually will not require a license. However, prior to travel consider anything you are taking or sharing while
abroad, that may require a license.
E. Data or Information Policy
The Mines’ Data Classification Policy provides that Export Controlled Data will be treated at least as
“Confidential” information under the Mines’ policies and procedures.
F. Potential Penalties and Sanctions

The penalties for unlawful export of items or information can be severe. Table 5 below represents the main
penalties or sanctions available from the three main agencies described in this manual in the event of a
violation (including, civil penalties, administrative penalties and criminal penalties)2:



1 Even though Cuba and Iran have amended status, there are stil embargoes in place. The requirements are
constantly being updated by country or region. Please check with ORA or Office of Compliance regarding travel
to any embargoed country or a country that you are unsure of regarding status.
2 81 FR 36791 June 08, 2016, Civil Monetary Penalties wil increase with inflation starting august 1, 2016, 81 FR
36791 based on the 2015 passage of the Federal Civil Penalties Inflation Adjustment Act (updating the 1990 Act
of the same name). Some violations may reach over US$1M per violation.
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Regulations Possible Penalty (Civil/Administrative) Possible Penalty (Criminal)
EAR
$10K to Civil penalties may be assessed;
$1 million or 5 times value of export,
(Dept. of
administrative monetary penalties can reach whichever is greater/ violation to university;
Commerce) $12,000 per violation, and $120,000 per
$250K or imprisonment up to 10 years, or
violation in cases involving items controlled
both for individual;
for national security reasons
20 years imprisonment and $1M/violation
denial of export privileges and/or exclusion
from practice or forfeiture of goods

ITAR
Up to $500K/violation to University;
Up to $1M/violation to University;
(Dept. of
up to $500K/individual;
Up to 10 years imprisonment/violation and
State)
Civil penalty can be in addition to or in lieu of possibly $250K/individual
other penalty
Denial of privilege or forfeiture of goods
possible
OFAC
$55K for each violation to University and/or Up to $20 mil ion depending on violation to
(Dept. of
to individual;
University;
Treasury)
International Emergency Economic Powers Up to $1M, or 20 years imprisonment, or both
Act violation up to $250,000 or twice the to individual
amount of the underlying transaction for
each violation;
Foreign Narcotics Kingpin Designation Act
violations can range up to $1,075,000/each
violation
Table 4 Regulations & Possible Penalties
F.
Other Agencies
As mentioned in the section above on Additional Agencies, several other agencies may have jurisdiction
when nuclear items, equipment, or technology are involved (e.g., (NRC, DOE, USPTO). Please consult with
ORA and/or Office of Compliance to determine appropriate agency jurisdiction. For example, the DOE
National Nuclear Security Administration (NNSA) Office of Non-Proliferation and Arms Control issued a
guidance document in 2015 that provides information for anyone interested in transferring peaceful
nuclear technology, data, or assistance to a foreign person or entity/destination. But it is complicated, so
please contact the ORA or Office of Compliance for more information and determination of whether or not
the item, equipment, technology, software requires a License, including general or specific authorization.
There are also potential requirements in meeting international requirements or safety conventions.
G. Continuing Projects
For continuing projects involving export controls, Mines will work with the PI/faculty/employee on
obtaining any necessary license renewals for the project and employees or personnel working on the
project. The PI/faculty/employee wil need to contact ORA to inform them of the continuation and tracking
of licensing that may be required. This includes changes such as, but not limited to: adding or removing
employee or personnel names to projects, adding entities/personnel that require screening, adding new
equipment to a project that may have ECCN or other tracking numbers and requirements, etc.
[End of Section]

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III. LICENSE EXCEPTIONS FOR UNIVERSITY RESEARCH
Much of the research and education activities taking place at Mines are excluded from export controls
because universities often may assert a Fundamental Research Exception. The exceptions, however, must
meet the legal definitions and analysis. Note: The FRE is not an automatic exception or exclusion; working
at a University or on a University project does not magical y mean ITAR or EAR does not apply. Thus
please consult with ORA and/or Office of Compliance.

A.
Fundamental Research Exception (FRE)
The Fundamental Research Exception (FRE) in both EAR and ITAR pertains to research (basic or applied) in
science, engineering, and mathematics performed or conducted at an accredited institution of higher
learning (“University”) in the U.S., where the results wil be published and shared broadly in the scientific
community (and under the EAR where the resulting information has been or is about to be published). The
provisions for the FRE are somewhat different when comparing EAR (covering Dual Use goods and
technology, predominately for commercial use, but possibly with military use) and ITAR (covering Defense
Articles, Services and technology--design, development, production, manufacture, assembly, operation,
repair, testing, maintenance or modification of item). Thus, attention to definitions and activities must be
considered when examining whether a FRE exists and under what applicable statute it is analyzed. The BIS
commentary tel s us that university-based research may be presumed to be fundamental research, however, it is a
rebuttable presumption (i.e., where the research is not within the scope of technology and software that arises
during, or resulst from fundamental research. See 15 CFR § 734.8.
Some things are the same under the FRE analyses under EAR and ITAR, including:

1.
FRE is not restricted. Fundamental Research is distinguished from research that results in
information restricted for proprietary reasons or national security reasons or pursuant to specific U.S.
government access and dissemination controls.

2.
FRE freely publishes. If the subject of review involves a contract/agreement with
publication restrictions of any type (including pre-publication approvals), for other than the sponsor’s
review of its proprietary information on a temporary, short-term basis (e.g., patent filing window), then
fundamental research exception to export controls or licensing may not be relied upon.
Thus, ORA works to maintain this important Fundamental Research Exceptions on behalf of the entire
University, as well as the individual PI, in the contractual terms and conditions.
B. Other Exclusions

1.
Public Domain. Public Domain is the term used for information that is published and
generally accessible or available to the public through a variety of means. Both the EAR and ITAR provide
that no license is needed to disclose technical information to foreign nationals inside the United States in
classes or laboratories, at conferences, or in publications, if the information is in the public domain. In fact,
just because an item or activity is subject to the EAR does not mean that a license or other requirement
automatically applies. A license or other requirement applies only in those cases where other parts of the
EAR impose a licensing or other requirement on such items or activities.” Emphasis added. See 15 CFR
§734.2(a)(3).


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a. Public Domain is defined differently under EAR & ITAR.
To be in the Public Domain, the following applies:

• EAR requires that the information has been, is about to be, or is ordinarily
published. (EAR, 15 CFR 732.2, 734.7);
• ITAR requires that the information has been published (ITAR, 22 CFR 120.11(8)).

b. “Publicly Available” software not necessarily an Exclusion.
Under EAR, publicly available has different meanings for software; encryption technology may be publicly
available, and yet the technology may not be in the public domain. Mass Market software that might
otherwise be exported under License Exception TSU (technology and software) is not eligible for treatment
as an exception, if the software includes encryption capability as described in certain ECCNs. Encryption
software is eligible for a "tools of the trade" License Exception for temporary exports (TMP or BAG), e.g.,
taking it along on a business trip in a notebook computer, as long as the required conditions for that License
Exception are met. BIS has an excellent Encryption FAQ resource page on the web.
Please consult ORA or Office of Compliance for more information.

3.
Limitations of FRE/Public Domain
The fundamental research and public domain exclusions apply only to information or technical data. The
exclusions do not apply to articles, things (e.g., physical items including specified scientific equipment, etc.)
or services (e.g., training foreign nationals inside or outside the United States). Other exemptions may
apply to exports of equipment and services, even if the fundamental or public domain exemptions do not.
For example, use of public domain information might be considered a defense service and thus require a
license from a government agency, if the information is part of a covered activity (e.g., teaching foreign
military about the public domain information relating to a defense article, see 22 CFR 120.9(a), Defense
Service definition).
Public domain information is excluded from control as ITAR technical data. Open source information or
code though available to the public is not “public domain” just because an owner provides the software or
technology publicly and generally accessible. The software or code available as “open source” is only
provided under a grant of rights (license). Thus, it cannot be “public domain”.
4.
Public Information Exclusion. Public Information Exclusion refers to information that is
already published or is out in the public domain is considered public information and, as provided for under
the EARs is NOT subject to export controls. Examples of information in the public domain include, but is not
limited to:
• Books, newspapers, pamphlets;
• Readily available materials at libraries open to the public or at university libraries;
• Publically available technology and software;
• Information presented at open conferences, meetings, and seminars open to the public;
• Information included in published patents; and
• Websites freely accessible by the public. See 15 CFR§734.7 and §734.10.
5.
Loss of FRE
If a researcher or employee agrees to a “side-deal” (for example, not to publish even though the Mines
agreement with a sponsor identified that Mines is freely available to publish), then the FRE would be lost
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and the research may be subject to export controls.
C. Educational Information Exclusion
The Educational Information Exclusion refers to information that is normally taught or released by the
university as part of the normal instruction in a catalog course or in an associated teaching laboratory. This
information may be considered Educational Information and the federal regulations may NOT cover this
information under export controls. See 15 CFR §734.9. Note: The regularly taught in a college level course
may require review with ORA or Compliance as not all areas are assumed to be covered as “Educational
Information.” For example, continuing education courses are not necessarily the same as undergraduate
courses for enrol ed students.
D. Encryption under EAR.

Encryption or encryption functionality comes packaged in almost all devices today that have a
computing functionality or structure. Similar to other products or items, though, some software encryption
export controls are “within scope” (requiring a classification and license) and some products/items are not
within scope under the EAR.3 Items or products that have encryption (or the ability to encrypt data) include
things that have an operating system, such as, but not limited to, cel phones, routers, network
infrastructure, Point of Sale/credit card devices, wireless keyboards, laptops, tablets, etc. (AEUCO 2016
conference).
1. Review Encryption for License.
Generally, we review encryption for EAR license/regulatory coverage, such as:

a What’s within Scope?
b. Is it excluded from the regulations? Specific exclusion such as medical devices or under
fundamental research exception?
c. Are we dealing with Published Information? (E.g., in a University library?)
d. Is the Educational Information Exclusion available (i.e., does not apply to ECCN 5D002
software, except when published/publicly available object code)?
e. Does this impact research or funding source? (Exclusions do not cover some types of
encryption)
f. Wil the code be published eventual y?
g. Will the encryption be hand-carried out of country? Certain encryption software remains
subject to EAR even if published.

2. Other Options to Encryption Licenses.
Some options to being under the EAR requirements due to encryption, e.g., or “de-controls”, may apply to
exclude encryption; however, these options require analysis and documentation. Recall, the ability to
encrypt data is not the only thing that brings Encryption within scope of the EAR. Thus, we need to
identify if the “de-controls” attach to the item or product containing encryption, so the encryption
functionality may be considered out of scope. This may include an analysis as follows:

a. Is the item/product medical end-use? (mostly exempted from EAR coverage);


3 Note: Encryption used to be covered under ITAR, however, it is under the EAR, which does not exclude it from review for scope
and license.
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b. What is the “Primary Function” of your product? (depending on the primary function, the
product may escape EAR coverage). The function is not primary, if the main function of the encryption is
not for one of the following four (4) activities:
1). Information security;

2).
Computing;
3).
Communicating; or
4).
Networking.

c. When the encryption is not primarily one of the 4 items above and thus under EAR,
determine if the software or technology is covered by EAR99?

d. Does the “Dormant Encryption” exception apply? (e.g., product has an encryption chip in it,
however, the functionality/code does not use this functionality, so product becomes EAR classification,
ECCN 5D992, such as virus protection software that has encryption software)

e. Does the “Mass Market” exemption apply? (e.g., items that are sold from stock, online
selling points, etc., and product available to general public and using standard encryption), so many apps,
cell phones, tablets, most likely a 5D992 Mass Market exemption. Applications, aka “App” being developed
for mass market that have encryption functionality require review by BIS in limited circumstances and when
they provide encryption functionality in another item (e.g., chip). Mass market app using non-standard or
proprietary encryption functionality (must review what meets “non-standard crypto”) would require BIS
review.
f. End-user, end-use or country of transfer? The end-user and ultimate location of the end-
use is part of the inquiry as well.

3.
Control ed Items that need License May Sometimes Use Exceptions.
License exceptions and consideration are somewhat different under Encryption and we do not necessarily
start with FRE review. These include the fol owing 4 exceptions for review in Encryption/Cryptography:
1). ENC— encryption;
2).
TMP—temporary exception (professional use laptops);
3).
BAG—baggage exception (personal use laptops); or
4).
TSU: occasionally used for specific open source published software. See Ear §740.

To use the ENC Exception, BIS has a submission process for an entity to submit an encryption
registration under Mass Market Exemption, and the applicant can receive approval from BIS to self-classify
the product. This must be done at least once, when originally applied for and then an annual report sent to
BIS of all the products we self-classify in that calendar year fol ows.

4. Common topics affecting Faculty:
a.Traveling abroad with Laptop?:
What questions do I need to ask when I want to travel abroad with a laptop?

1). Where am I traveling? (certain countries have restrictions, sanctions or embargoes,
E.g., need license on mass-market encryption; if going to N. Korea, Iran, Sudan, Syria,
and Cuba* may not be able to take it there because of embargo/sanction)

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2) What is the type/inventory of software on the laptop and what does it do?
a) Inquire about USML/ECCN number. Did the manufacturer put classification of the
laptop or operating systems on their website? (E.g., Microsoft Windows 10 is
5D992 and “Mass Market” exception. Apple is similar at their website; Redhat,
using Linux 5D992 ENC unrestricted and they list number of commodity
classifications/C-Cats.)
b). Trust but Verify, is the Manufacturer correct on the assigned ECCN (by checking
with ORA and using the software to review the item/product)?
c) Take Paperwork with you. If a license can be completed, fil out the paperwork and
travel with the documentation (either from BIS or the self-classification of an
exception).

3)
Consider the Usage/Access to Data. The laptop may be approved to go with faculty
under an exception, however, the Data coming across the laptop while abroad may not be
approved under the license exception. Ask the question of what data you can
receive/access via email or home file directory access while abroad?
b. Traveling abroad with Smartphone (iPhone, Android phone, Etc.) do I need a license for the
encryption in the phone?
1) Where are you traveling? Restricted or embargoed location?
2) Does a license exception *such as Mass Market apply to the software/item?
Often the Mass Market exception applies for smartphone, however ECCN 5D002
classification of software “unrestricted” may be on the website.
Note: If the company/manufacturer website uses incorrect language (e.g., “5D002
restricted”) there is necessity to review more thoroughly with ORA or Compliance.
c. Exports to the “Cloud”.
Under the BIS Final Rule to harmonize and reform Export Controls (effective September 1,
2016), the agency provides a Safe Harbor for entities regarding certain electronic data subject
to the EAR not being considered an “Export,” if stored in the cloud outside the U.S. In order to
qualify for the Safe Harbor, (and excluding ITAR technical data/information, etc.), the
transmitting or storing electronic data that meet certain security standards would not
constitute an Export of that data, provided that the technology or software is:
1) Unclassified;
2) Secured using "end-to-end encryption";
3) Secured using cryptographic modules (hardware or software) compliant with Federal
Information Processing Standards Publication 140-2 (FIPS 140-2) or its successors,
supplemented by software implementation, cryptographic key management, and other
procedures and controls that are in accordance with guidance provided in current U.S.
National Institute for Standards and Technology (NIST) publications, or other equally or
more effective cryptographic means; and
4) Not intentionally stored in a military-embargoed country or in the Russian Federation.
d. Decryption.
BIS includes a definition for “access information,” which is information (like decryption keys,
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network access codes and passwords) that would al ow access to encrypted technology and
software in unencrypted form. Such access information is subject to the same level of Export
Controls as the data being accessed if the data were unencrypted. Note:
e. Data Breach/Loss. Any member of the Mines’ community is required to report the loss,
breach, or unintended access to technical data or private data. Please consult the Office of
Compliance for further direction on how to address a loss of Mines’ data. Generally, a data
breach is not an export control issue for the victim; however, the steps for Safe Harbor should
be applied to all private or export controlled data to avoid an accidental Export.

[End of Section]

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IV. EXPORT LICENSES: MANAGEMENT AND PLANS
When a tangible good, equipment, technology, or software is ready for export to another country, and the
item is identified as being on the Commerce Control List (CCL) with an ECCN, then one method to al ow for
legal transfer of the item or technology is to obtain a License from the U.S. Agency. Triggers for Export
Licenses may include, but not be limited to, these situations:

• Research involving
o the use of export restricted information obtained from external sources;
o collaborations with foreign nationals at Mines or abroad;
o travel or field work done abroad;
o the transfer or shipment of tangible items or equipment abroad;
o the provision of financial support or services outside the U.S.
Presentations at meetings or conferences of unpublished information not protected under the
Fundamental Research (FRE) or Educational Information exclusions.
Imports or re-exports are also considered for purposes of licensing under these reviews. Not
surprisingly other countries may have licensing requirements that differ from those in the U.S. and
must be considered when importing or re-exporting.

A.
Seek & Obtain a License
If an Export License is required, it is sought by Mines through ORA or Office of Compliance in collaboration
with a PI/Mines’ personnel. The Mines’ Empowered Official is the authorized Mines’ official to seek a
license. Mines and the employee will work together in order to properly comply with the limitations or
provisos required in any approved government license.
B. License Management
Mines is the applicant for (and recipient) of any necessary licenses, limitations, requirements or restrictions.
Mines will forward a copy of the approval, including any limitations and provisos to the Principal
Investigator for review. ORA will facilitate the Mines license application and management if involving a
grant, contract, or agreement to Mines that is managed by ORA.

1.
Required Markings: All information or data transferred under a ITAR license must be
marked with the fol owing statement: “This technical data is control ed by the US ITAR. Exemption
22 CFR 125.4(b)(2) and insert (TAA number) applicable.”
2. Shipment: Data shipped by courier must contain the following statement on the airway
bill: “These commodities are authorized by the U.S. Government for export only to (insert country)
for use by (insert licensee). They may not be transferred, transshipped on a non-continuous
voyage, or otherwise disposed of in any other country, either in their original form or after being
incorporated into other end-items, without the prior written approval of the U.S. Department of
State.”
3. Recordkeeping: ITAR section 123.26 requires that Mines maintain records of all technical
data transferred under a TAA. The PI must maintain a log of all transfers and retain the records for
a period of five (5) years after the last transaction regardless of the jurisdiction (ITAR or EAR).

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4.
Notice to ORA (Changes). The PI shall provide advance notice of any change in the scope
of the program, any additional funding, or addition of a new party, so that Mines can file for a
license amendment, which requires ODTC approval. If an item will result from the work under the
Technical Assistance Agreement, a DSP-5 License for Permanent Export of Unclassified Defense
Articles and Related Unclassified Technical Data may be required prior to shipping. See Guidelines
for Completing Department of State DSP-5 Form.
5. Foreign Visitors and Compliance. Foreign visitors to campus should be screened
sufficiently in advance of the planned visit and prior to arrival. See §V. VISITORS & SCHOLARS; and
see International.mines.edu. A VISA from the State Department is not the same as approval to
receive a transfer of certain information or to access certain equipment.

B.
Technology Control Plans (TCP) and Guidance Forms
A Technology Control Plan (TCP) is required for work that is export controlled, export issue, or other
restrictions. A TCP sets out necessary procedures to manage the access limitations to the information that
is considered sensitive and must be prepared and approved prior to the handling of export-controlled
information, potentially prior to the start date of a project.
1. A TCP is general y used when:
• Projects or activities involve the receipt of confidential or proprietary from an outside party
or sponsor, such as through a nondisclosure agreement (NDA/CDA) or sponsored research
agreement;
• Projects or activities are not considered Fundamental Research or under an FRE/Public
Domain Exclusion; or
• Projects or activities involve technology and software associated with export-controlled
equipment.
2. TCP Preparation and Contents:
The TCP wil document compliance with any required agreement terms and conditions and contains the
following elements:

Sponsored project title;

PI name and department/unit;

Research location (lab/building);

Brief statement of need for plan;

Description of plan for protection of technology; and

Principal Investigator(s) signature(s).

3. Compliance.
The TCP wil be prepared in conjunction with ORA, signed by the PI, ORA, and other units if necessary. The
TCP shall include at least the following:
a. a physical and information security plan;
b. employees or personnel screening procedures; and
c. a process for carrying out the research in a controlled environment.
The TCP requires ORA approval prior to implementation. Compliance with the TCP is the responsibility of
the PI, and Mines ORA and Compliance are here to assist with the process. For more information and
assistance with a TCP, please contact ORA.
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C. Non-Discrimination in Hiring and Admissions

Mines does not discriminate against any person by reason or basis of age, gender, race, ethnicity, religion,
national origin, disability, sexual orientation, or military veteran status is prohibited. No discrimination in
admission, application of academic standards, financial aid, scholastic awards, or any terms or conditions of
employment shall be permitted. When navigating this difficult area of export control compliance and non-
discrimination, the hiring or admission process can be a challenge. Please seek advice and counsel from HR,
Admissions, Office of Compliance, or Office of Legal Services when trying to navigate through these areas.
A blanket “citizens only” hiring or recruitment policy would likely constitute citizenship status
discrimination because it is overly broad and would impact hiring for positions not subject to the legal
restrictions under US law (IRCA). However, the person seeking employment must be employable in the US;
either have a Green card or other appropriate VISA status in order to be eligible for employment. As with all
hiring or admissions decisions, please contact the appropriate offices to obtain training or clarification
regarding interviewing/reviewing applicants and how these laws intersect.

i.
US Agency Guidance.
In 2016, the U.S. Department of Justice, Office of Special Counsel for Immigration-Related Unfair
Employment Practices (the “OSC”) issued a technical assistance letter to help navigate between export
controls and non-discrimination requirements. However, there are nuances that may add confusion
surrounding these requirements in other areas. The Deemed Export rule, enforced by BIS, identifies the
“release of technical data to a foreign person within the United States” as an Export. Similarly, if a
product/item is classified as a Defense Article under ITAR, then usual y the entity would need an export
license from DDTC to release technical data related to that product/item to an employee who is a Foreign
Person. Release to Foreign Persons of technology related to non-defense articles is subject to the Export
Administration Regulations (“EAR”) and may need a license from BIS, depending upon the specific product
and foreign nationality involved. (OSC Letter March 31, 2016, accessed 10/12/2016 at
https://www.justice.gov/crt/file/837281/download)

ii.
ITAR Clarification.
ITAR does not impose requirements on U.S. employers concerning the recruitment, selection, employment,
promotion, or retention of foreign persons; rather, ITAR requires that employers obtain export licenses for
non-U.S.-person employees if their positions require access to information governed by ITAR. OSC guidance
states the “ITAR does not limit the categories of work-authorized non-U.S. citizens an employer may hire.”
[End of Section]

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V. VISITORS & SCHOLARS
A.
Foreign National Visitors
Foreign National Visitors to campus should be screened against the denied entity/restricted parties and
Specially Designated Nationals (SDN) lists. International Scholars and Students visiting on J-1 VISAS are
processed and screened through ORA and International Students and Scholars Services (ISSS). Non-students
and visiting faculty/scholars should be processed through the ISSS and Office of Legal Services.
1. Visiting Scholars and Research.
Visiting scholars involved in research receive additional screening by Mines. General or industry visitors
should be screened prior to visiting campus. Please notify ORA at least two (2) weeks in advance of a visit
by a Visiting Scholar and ensure that you have the necessary information regarding foreign national visitors.
The Mines International Scholar and Student Services (ISSS) office has information regarding VISA and
processing. See the ISSS website @ http://isss.mines.edu for more information.
2.
Foreign Students.
Screening is not generally required for students who have applied, been accepted, and/or are enrolled in
any degree granting program that the Mines offers; however, if that student will be performing research in
a laboratory or working for Mines (i.e. Graduate Assistant, Research Assistant, etc.) then there may be
screening required if they are from certain countries to properly place them on projects. See
3.
Permanent Resident or Other Status.
Screening is not required for foreign visitors who provide documentation they hold permanent resident
alien status in the U.S. (i.e., current “green card” holder) or have been granted asylum or refugee status by
the U.S. government.
B.
I-129 Process & H-1B Status
US Citizenship and Immigration Services (USCIS) Form I-129 “Petition for Nonimmigrant Worker”, is used in
the H-1B temporary worker process. The ISSS office can identify what type of documentation must be filed
for the visitor. This form is required to be filled out for any foreign national working on an internal or
sponsored account. A background check is performed on the individual using our Compliance software to
ensure the person is not on the restricted parties list. A current passport/visa for the foreign national is
required at the time of submission of the form.

1.
Form completion.
The form must be completed in conjunction with ISSS and Office of Legal Services. This form must be
completed and approved prior to invitation and subsequent arrival of the foreign national. The inviting
party or Mines community member is responsible for ensuring that the appropriate information is
submitted to ISSS and Office of Legal Services to complete this process.

2.
Determine if License required.
I-129 Foreign National Employee Petition requires Mines to determine if an export license is required to
share technical data with the beneficiary (foreign national employee). In order to facilitate the necessary
review, there is a process with Office of Legal Services and International Student and Scholar Services (ISSS)
and the required completion of the paperwork by those offices.

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While it is anticipated that an export license will not be required in most cases, some need for export
licenses will occur and typically be associated with sponsored research. Should additional information be
needed to complete the assessment, ORA will work directly with the Sponsor identified on the form or the
Legal Office/ISSS with the appropriate internal unit. Once the process is completed, the export assessment
or advisory letter wil be provided to the unit, copied to the administrative/ORA contract regarding the
form, for inclusion in the visa application packet to be submitted to Human Resources.
[End of Section]

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VI. FOREIGN TRAVEL
As discussed above in the section on Encryption and Issues for Faculty, there are several areas of
consideration when faculty or staff travel outside of the U.S. borders (“abroad”). This includes anywhere
from Canada and Mexico, to S. America, Europe, Asia, Africa, Australia, Antarctica and perhaps someday
into Space. Generally, travel authorization is needed when items, technology, software, or services fall
under the jurisdiction of EAR or ITAR and are not in the public domain or freely disseminated through
publication. Some restrictions may apply if travel is to sanctioned countries or where persons from
sanctioned countries are in attendance.
A. Travel Authorization Letters
Employees must comply with U.S. laws and regulations when traveling internationally on University
business. Though rarely used, if you are in need of travel authorization letters, please contact ORA well in
advance of the travel to determine if letters are necessary.
B. Hand-Carrying Tools of the Trade
When hand-carrying “Tools of the Trade” to countries outside the US for use by the person carrying the
item or software, travelers should review Customs regulations of both US and the foreign destination in
advance of travel. Tools of the Trade are classified as personal and household effects, including
instruments, tools, and other effects (such as laptops and smartphone devices). Under EAR, the exception
to the requirements for an export license may be available for the temporary export or Re-export of certain
tangible items, software, or technology for professional use, as long as specific criteria to which the
exporting employee certifies in advance.

1.
TMP (Temporary) Exception. Typically, these Tools of the Trade are only for Temporary
Export and fall under the TMP Exception. See 15 CFR §740.9. The TMP Exception is used on temporary
exports, imports, and re-exports of commodities, software and technology that is of usual and reasonable
kinds and quantities for use in a lawful enterprise or undertaking. See 15 CFR §740.9 (a)(2)(i)). Eligible
items are usual and reasonable kinds and quantities of tools of trade for use in a lawful enterprise or
undertaking of the exporter. Software used as a tool of trade must be protected against unauthorized
access and to guard against unauthorized release of the technology during shipment or transmission.
Encryption technology controlled by ECCN 5E002 is ineligible for this license exception. Also see Appendix 3.

a.
Effective Control. Portable electronic computing devices are a prime target for
theft especially while traveling. The basic rule for protecting a portable electronic device is to treat it like
one’s wallet or purse and maintain “Effective Control” over the item. Devices should be kept out of sight
when not in use, and should always be kept on one’s person.
b. Return Item to U.S. Unless the item is consumed or destroyed, the item should be
returned to the U.S. no later than one year fol owing the export. If the item is to be disposed of outside the
U.S., a license may be required. Please consult with ORA or Office of Compliance regarding that option.

2.
Replacement (RPL) Exception. Similarly, the Replacement Part license exception requires
the Effective Control of the person over the parts, including the return of the repair kit and parts replaced.

3.
Unavailable. The TMP and RPL exceptions are generally not available for the following
countries, as well as the demonstrations/exhibitions of including: Sudan, Syria, N. Korea, Iran or Cuba. For
more information and confirmation of restricted countries, please consult the ORA/Office of Compliance.
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C. Presenting at Conferences Overseas or Transferring Controled Information, Technology,
Software or Equipment to Foreign Parties Overseas
If any controled information, technology, software or equipment (including those under an exception) will
be transferred to a foreign party overseas, a license may be required prior to the transfer unless a valid
licensing exception or exclusion applies. Faculty presenting at conferences or meetings overseas are
responsible for understanding export laws and regulations and how they apply to their respective
disciplines. See 15 CFR 734, Supplement 1. Release of Technology at Conferences. In general, if a
conference wil be open to anyone and the information to be presented is already published (ITAR) or is
information that will be published (EAR), a license should not be required. Travelers should review the
Mines export web site for information regarding laptop computers and the tools of the trade exceptions, as
well as ensuring they maintain “effective control” if items/materials will be part of the presentation. If the
Conference is in a restricted or embargoed country, the travel and content should be reviewed in advance
with ORA.
D. Travel to Countries for Which State Department Has Issued Travel Warning
Mines strongly recommends against, but does not prohibit, travel to countries where the U.S. Department
of State has issued an official Travel Warning or where there is other reliable information of significant
health or safety risks. A Travel Warning is distinct from a State Department issued Public Announcement or
Travel Alert. The final decision about making a trip to such a country is up to the individual making the trip.
This recommendation is directed toward individual travelers in the following categories: faculty, staff,
graduate students, and postdocs. The Mines’ Office of International Programs http://oip.mines.edu/OIP-
TA-travel provides information on the process to travel abroad, including necessary approvals. You may
register for free in Smart Travelers Enrollment Program, or STEP, a service of the Bureau of Consular Affairs
(part of the State Department) for U.S. Citizens to enroll your trip with the nearest U.S. Embassy or
Consulate while abroad. This provides important safety or emergency information and updates
Mines may review on a case-by-case basis plans for travel using Mines/state or sponsored funds to
countries for which travel warnings have been issued. Mines reserves the right to require the execution of
an appropriate release or waiver before permitting such travel and the ability to restrict use of Mines’ funds
for the travel.
E. Additional Guidance for International Travelers
Prior to international travel, faculty should be aware of applicable export laws, regulations, and risks
associated with international travel. Several key reference sources include:


Mines Export Web site: http://inside.mines.edu/Export-controls

Mines’ International Office @ http://international.mines.edu/

State Department: http://www.state.gov/travel/

Homeland Security: https://www.dhs.gov/travel-alerts

Centers for Disease Control and Prevention (CDC): http://wwwnc.cdc.gov/travel

World Health Organization (WHO): http://www.who.int/ith/en/

U.S. Department of Agriculture (USDA):
https://www.aphis.usda.gov/wcm/connect/APHIS_Content_Library/SA_Resources/SA_Traveler/


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F. Personal Travel
No export review by Mines is required for personal trips; however, regulations still apply (i.e. employees
traveling internationally on vacation or attending conferences at their own expense). A review is required if
Mines contributes to any cost of the trip, including but not limited to, salary, benefits, (e.g., sabbatical,
professional development, etc.) See also Consulting in Miscellaneous Section below.
[End of Section]

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VII. INTERNATIONAL SHIPPING (IMPORT & EXPORT)
International shipments may require that an Electronic Export Information, or EEI, (formerly called a
Shipper’s Export Declaration (SED)) is filed with the U.S. Customs and Declaration Bureau and is used to
control exports and act as a source document for export statistics. (Additional information is available on
the U.S. Census Bureau website on the EEI process.) The EEI is now filed electronically through the
Automatic Export System (AES).
A. Electronic Export Information (EEI) Requirements
The EEI must be prepared for shipments when the shipment is handled by U.S. Postal Service (USPS) and is
valued over $500. EEIs are required for shipments not using the USPS when the value of the commodities
classified under any single schedule B number is over $2,500. The exporter acquires the Schedule B
number for the commodity they intend to export, and then it is reported in the AES to identify the goods
being exported. This schedule B number can be obtained from the Census Bureau at 1-800-549-0595,
option 2. If an EEI is not required, the airway bill or other loading document should state “No EEI required
no individual Schedule B number valued over $2,500.

1. EEI.
An EEI must be prepared regardless of value for all shipments requiring an export license. Federal Express
(FedEx) International will file the EEI on behalf of the sender for a nominal fee. A copy of the EEI
documentation should be provided to Mines and retained in file. If you choose to ship on your own with
another carrier, you must ensure that the AES has been filed and provide a copy to Mines. (Note: A delay is
required for shipping ITAR items. See section V. above).

2. Required Statement
Destination statement should appear on any items subject to US control – “These commodities, technology,
or software were exported from the United States in accordance with the Export Administration
Regulations. Diversion contrary to US law is prohibited.”

3. Intangible Technology Exports
Intangible exports of technology controlled under Commerce (EAR 99) will not require an EEI. Software or
technology should be marked with an appropriate ECCN.
B. Shipping Equipment Outside of the US
Equipment may not be sent outside the US until a determination has been made as to whether an export
license is required.

1.
Determine if item control ed. The PI/faculty/employee must review the equipment and
determine if either ITAR or EAR controls the equipment. If the equipment if control ed under ITAR,
the PI/faculty/employee must identify the USML Category. If the equipment/material is controlled
under EAR, the PI/faculty/employee must provide the ECCN citation.
2. Information to Assist Shipper. For assistance in making this determination, the shipper
must provide the fol owing:



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Contact information for Principal Investigator or other responsible person for shipment,
including telephone and fax numbers, e-mail address, and school/department/lab;

Information about the Equipment, including its common name, technical name, manufacturer,
model number, general function and/or use, dollar value, URL where specifications can be
found;

Information about purpose of shipment, including intended recipient and address, intended
end-user (requires names of individuals and nationality), and intended use of equipment;

State whether Mines will be responsible for training foreign national to use equipment;

Information regarding the time period of the use--Will this be a loan? If yes, what is the loan
period?

Other disposition of equipment/material?
C. Shipping Chemicals or Biological Materials Outside of the U.S.
Shipments of chemicals and/or biological materials are handled by the Mines EHS Office (Environmental
Health & Safety).

1.
Determine if License Required.
Prior to shipments of chemicals or biological materials internationally, an export review must be
completed to determine if a license is needed.

2.
Material Transfer Agreements (MTA).
If a request is received by a faculty or staff member to provide a shipment of chemicals or
biologicals outside the US under a material transfer agreement (MTA), the Technology Transfer Office
should coordinate with the Office of Compliance and Policy to Mines for review and approval. If these
shipments relate to a project managed through ORA, ensure that ORA has copies of the documentation for
the file. If the project or request to ship materials is not handled through ORA, the PI or faculty-member is
responsible for retaining documentation in their files. Researchers cannot sign MTA’s at Mines themselves,
so this process of sending chemicals or biologicals can be performed in tandem with that process. See also
VPRTT information.
3.
Nuclear materials, “Dual Use” commodities, software, or technology.
Other than publicly available information, that cannot be used in a WMD, the EAR identifies that missile
projects or end-users of concern and particular foreign entities will need a license to ship/disseminate. A
license to export is required if a U.S. Exporter, including a Mines person:
• Knows or has reason to believe that an export will be used in certain nuclear explosives
activities, un-safeguarded nuclear activities, and certain safeguarded nuclear activities;
• A missile project of concern in a listed country or the design, development, production,
stockpiling, or use of chemical or biological weapons; or
• Is informed by the Department of Commerce that an export would present an
unacceptable risk of use in or diversion to WMD activities or a missile project of concern
anywhere in the world.
D.
Hand-carrying data
ITAR: If hand carrying technical data, in accordance with 22 CFR Part 123.22(3), the exporter is not required
to report using the Advanced Electronic System, but the exporter must provide electronic notice to DDTC.
A copy of such notice should accompany the technical data “shipment” (i.e., you should have the notice
with you while traveling with the information.)
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VIII. IMPORTS
A.
Jurisdiction
Import jurisdiction. The Department of State regulates the temporary import of defense articles. Permanent
imports of defense articles into the United States are regulated by the Department of Justice's, Bureau of
Alcohol, Tobacco, Firearms and Explosives (ATFE), under the direction of the Attorney General (Department
of Justice). See 22 CFR § 123.2.
Ports
For Imports that port in Denver, please contact the fol owing:
Charles M. Schayer & Company http://www.schayer.com/about.asp.
Charles M Schayer & Company
- and -
CMS Domestic
3839 Newport Street
Denver, Colorado 80207
303-399-5160
800-200-0565 CMS Domestic
303-393-7084 Fax
denver@schayer.com
For other U.S. ports, first contact Charles M. Schayer as they have locations in Seattle, Houston, Los
Angeles, and Phoenix.
B.
Customs Brokers.
When a customs broker is obtained, send their information to FedEx (or whichever carrier is requesting it),
and they wil obtain an IT number (a bond number) to release to the customs broker. The fee for clearance
may vary; Expect at least $100.00 fee.
The customs broker will send a power of attorney to Mines (whoever is dealing with the package) to give
the broker the right to process and clear the package. Charles M. Schayer has the Mines POA on file and
can assist if they service that area. When the package is cleared by the customs broker, the broker will act
as the courier and ship the item(s) to Mines.
[End of Section]

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IX. PUBLICATION WAIVERS
Mines is not in the practice of waiving rights to publications as we endeavor to support the right to sharing
of our research and scholarly endeavors and to preserve the FRE. If a waiver is requested, ORA in
conjunction with the VPRTT wil assist in the process. A form or documentation needs to be fil ed out
whenever there is a restriction to publish dealing with export controls, restricted data sets in human
subject research, intellectual property, or other reason that could be stated in a sponsored agreement.
If a PI has students working on a sponsored agreement involving a publication waiver, there is also an
attached letter that they must sign attesting that the publication restriction will not adversely affect their
studies at Mines. Contact ORA for further assistance.
X. TRAINING ON EXPORT CONTROLS
Mines provides training on export control laws and regulations upon request and through materials
available to our community. Additional information and materials are available on the export web site or
by contacting ORA and Office of Compliance. Contact ORA at 303-273-3411, ora@mines.edu, or see
http://inside.mines.edu/ORA-Home; Contact Compliance Office at 303-384-2236 or
compliance@mines.edu. These resources are available for scheduled training for small groups,
departments, units, or others on request.
Additionally, Department of Commerce, BIS, has free resources regarding Export Control training,
regulations, announcements, and decision trees. See https://www.bis.doc.gov/index.php/compliance-a-
training.
XI. COMPLIANCE AUDITS
These procedures have been developed to ensure that appropriate reviews and documentation exist to
provide evidence of compliance with the export laws and regulations. Export review records relating to
sponsored projects are maintained in Mines ORA. Mines will maintain records of export reviews relating to
travel and other miscellaneous reviews. Records will be kept for a period of five (5) years from the
expiration date of the authorization or date an exemption is claimed, whichever is longer. If research
project is involved, then the document should be retained for 5 years from the last date of funding and
official close-out.
The PI/faculty/employee will also retain copies of any records relating to export controls for their files of all
forms and associated documents during this five (5) year period.
[End of Sections]

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XII. MISCELLANEOUS
A. Anti-boycott
The Export Administration Act and associated export regulations discourage and often prohibit US persons
from complying with certain aspects of unsanctioned boycotts. See BIS Office of Anti-Boycott
https://www.bis.doc.gov/index.php/enforcement/oac. The primary impact of this rule is the boycott on
Israel by the Arab League and some other countries, however, this rule could apply to other boycotts as
well. Mines employees may not provide any information or agree to any term(s)/condition that furthers
the boycott on Israel. Conduct that may be penalized under the Ribicoff Amendment to the 1976 Tax
Reform Act (TRA) (under Department of Treasury) and/or prohibited under the EAR includes the following:

 Agreements to refuse or actual refusal to do business with or in Israel or with blacklisted
companies;
 Agreements to discriminate or actual discrimination against other persons based on race, religion,
sex, national origin or nationality;
 Agreements to furnish or actual furnishing of information about business relationships with or in
Israel or with blacklisted companies; and
 Agreements to furnish or actual furnishing of information about the race, religion, sex, or national
origin of another person.
Any such request should be reported to ORA or the Office of Compliance so that we may determine if
reporting to BIS is required. This effort must be coordinated through Mines. Contact the Office of
Compliance for more information.
B. Political Contributions/Foreign Corrupt Practices Act (FCPA)
Any political contribution to any foreign government actor, or any fee or commission in connection with
obtaining a sponsored contract or business must be reported to the ORA or Office of Compliance and
approved by Mines. The FCPA is an anti-bribery act to prevent corrupt payments involving foreign
government officials or instrumentalities of a foreign government.

1.
Two main components of the FCPA for Mines to focus on, include:

a. Anti-bribery provisions. This prohibits a payment, offer, authorization or promise to pay
money or anything of value to a foreign government (including a family member) or to any
other person knowing that the payment or promise wil be passed on to a foreign
official/instrumentality; with a corrupt motive; for the purpose of influencing any
act/decision of that person, inducing such person to do/omit any action in violation of
lawful duty; secure an improper advantage, or induce a person to use their influence to
affect an official act/decision to assist in obtaining/retaining business for or with or
directing any business to any person (including the university);

b. Internal Controls. Maintaining accurate books, records, and internal controls so bribes are
not hidden and information resources to our community to avoid these issues and areas.

2.
Where to watch for these:

a. There is no monetary threshold so even purchasing meals or entertainment/gifts for a
foreign official could come under attack of the FCPA or the local government prohibitions in
that region.
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b. Even charitable donations in a foreign country may constitution a violation.

C.
Brokering
Under ITAR, Brokering includes the financing, transportation, freight forwarding, or taking of any other
action that facilitates the manufacture, export, or import of a defense article or defense service. (U.S.
regulations define a broker as "any person who acts as an agent for others in negotiation or arranging
contracts, purchases, sales, or transfers of defense article or defense services in return for a fee,
commission, or other consideration.") See http://www.state.gov/strategictrade/practices/c43181.htm.
Further, the Department of State, provides that “arms brokering” in the U.S. “includes but is not limited to,
activities by U.S. persons located inside or outside the United States or Foreign persons subject to U.S.
jurisdiction involving defense articles or defense services of U.S. or foreign origin located inside or outside
of the United States. The term "Defense Article” or “Defense Service" includes any hardware, technical
data, or services covered by the U.S. munitions list, regardless of whether it is of U.S. origin or contains U.S.
components in the U.S., every person who engages in the business of arms brokering activities, other than
employees of U.S. or foreign governments acting in an official capacity, must register with the U.S. State
Department's Office of Defense Trade Controls.”
Mines employees should not enter into contracts with third parties to obtain defense contracts or to
provide any defense services without review and approval of Mines ORA and/or Office of Legal Services.
D. Red Flags
The U.S. Government has various resources to prevent the il egal export of sensitive munitions/strategic
technology, both through US Department of Homeland Security and US Department of Commerce.
BIS provides “Things to Look for in Export Transactions” that is a checklist to discover possible violations of
the Export Administration Regulations. These include:
• Screen parties (End-Users): The customer or its address is similar to one of the parties found on the
Commerce Department's [BIS'] list of denied persons.
• Get all information: The customer or purchasing agent is reluctant to offer information about the
end-use of the item.
• Consider Request (End Use): The product's capabilities do not fit the buyer's line of business, such
as an order for sophisticated computers for a small bakery; or the item requested is incompatible
with the technical level of the country to which it is being shipped, such as semiconductor
manufacturing equipment being shipped to a country that has no electronics industry.
• Consider payment (if relevant): The customer is willing to pay cash for a very expensive item when
the terms of sale would normally call for financing.
• Consider collaborator/requestor (End-User): The customer has little or no business background; or
the customer is unfamiliar with the product's performance characteristics but still wants the
product; Person denies routine installation, training, or maintenance services information; when
questioned, the buyer is evasive and especial y unclear about whether the purchased product is for
domestic use, for export, or for re-export.
• Where to send/share (Countries/Embargo): Delivery dates are vague, or deliveries are planned for
out of the way destinations; or a freight forwarding firm is listed as the product's final destination;
the shipping route is abnormal for the product and destination.
http://www.bis.doc.gov/index.php/enforcement/oee/compliance/23-compliance-a-training/51-red-flag-
indicators
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E. Drones/UAS
Unmanned Aerial Systems (UAS) or Drones are subject to Export Controls if you are planning to use them
outside of the country. The UAS may be a commercial product that you can purchase in the U.S, however,
there may be payload (E.g., additional batteries, sensors, or certain types of cameras that are added to the
system) that make the UAS subject to Export Controls. Further, the Federal Aviation Administration (FAA) is
the U.S. federal agency responsible for the laws and regulations over UAS, though only in the borders of the
U.S. (Note: At Mines’ community requires registration with the Compliance office, FAA, and Pilot training.)
Once you leave the country there may be foreign airspace requirements requiring compliance. Please
check in with ORA, Office of Compliance or Office of Legal Services prior to shipping or hand-carrying a UAS
out of the U.S.
F.
Consulting
Consulting in an individual (Non-Mines) capacity is allowed and encouraged in order to increase your
scholarly efforts and provide service back to the community. Consulting is reviewed and approved by the
Department Head and Dean regarding the time, effort and Institutional Responsibility being covered during
any absence. Please remember that in your personal capacity as a Consultant you are not reviewed for
Export Control compliance nor does Mines review for Export Compliance. Please seek appropriate external
advice or counsel regarding your Consulting Activities and Export Control concerns. (E.g., Technical
Assistance may include consulting and may be subject to EAR or ITAR).
G.
Other Exclusions from being an Export.
1.
In 2016, the Export Control Reform (ECR) provided two exclusions from the EAR:
1) Items that are non-proprietary system descriptions or
2) Items that are telemetry data.
2. The ECR provided that “technology” or “software” is “published” and is thus not
“technology” or “software” subject to the EAR when it is not classified national security information
and has been made available to the public without restrictions upon its further dissemination. The
phrase “classified national security information” refers to information that has been classified in
accordance with Executive Order 13526, 75 FR 707; 3 CFR 2010 Comp., p. 298. The relevant
restrictions do not include copyright protections or generic property rights in the underlying
physical medium. Certain published encryption software, however, remains subject to EAR under
the 2016 ECR by BIS.
[End of Section]

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APPENDIX 1: Export Control Decision Tree in 15 CFR Part 732, Supp. 1 (see BIS Decision Tree Tools on the
BIS website)

I s the equipment, software
or tech involv ed in research

designed for, or can it be
NO
modified for military or
YES

outerspace use; or

N
used in WMD?


Is there 64-bit

encryption source

code or mass-market
YES

encryption products?

Y

E

S
N


Research involve exposure 2
Research involved

foreign nationals in US; or
equipment, tech, or

Y
transfer of goods, services, info
software covered by


tech abroad; or travel abroad?
USML/CCL?

N
N
Research involve providing
STOP.
Is it possible info/software
tech info/instructions for
Y
Export Controls
released by research will be
N
equipment, tech or software
may apply.
used in WMD?

on USML/CCL?
Call ORA.
N
O
O
Are results of my research in
Is research basic/applied in
published/ gen. accessible 2
science, math, engineering
public? (conferences, library,
N
@ IHE in US & ordinarily
YES
etc.?)
published or shared?
Y

ES
Y
Y
Are results restricted from
FRE
publication or by US Gov’t.
NO
applies.
access or dissemination
YES
control ed?
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APPENDIX 2: Subject to EAR?

See 15 CFR 732, Supp. 1

Is item/tech
Exit EAR.


subject to
EAR? (CCL)
NO
Y
ECCN?
EAR99?
YES
YES
Is your item found on
NO
the CCL?

Do Gen.
Do Gen.
Prohibitions
Prohibitions
4-10 apply?
4-10 apply?
N
On the
Y
Country
No License
E
chart &
NO
Required (NLR)
S
CCL?
Y
Y
ES
Is License
Use License
Exception
YES
Exception
available?
N
O
Submit license
YES
application via
YES
ORA
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APPENDIX 3: Forms
TMP Eligibility Certification Form
This form is for use for temporary exports of Mines “Tools of Trade” items under the Export Administration
Regulations. The Export Administration Regulations (EAR) control the export of items listed on the
Commerce Control List (CCL). It has been determined that the item stated below is listed on the CCL and is
control ed to your destination. The EAR, however, makes an exception to export license requirements for
the temporary export or re-export of certain tangible items, software, or technology for professional use as
long as specific criteria, to which you are certifying below, are met.
Please identify your place of travel, date of export and reentry, describe your item
below, and sign this Certification. Upon signature, please provide the completed form to the Office of
Research Administration (ORA) via email to ORA: mines.edu.
*Retain a copy for your records and to take with you to your destination.

Export Details:
Destination(s): __________________________
Date of export of item will be: ____________________ Date of Return to U.S. will be: _______________
Detailed Description of Item(s) to which this Certification applies: ________________________________


TMP Certification:
By my signature below, I certify the fol owing:

1. I am an employee of the Mines and will take the item(s) and its software abroad ONLY as a
"Tool of the trade” (15 CFR 740 (a)(2)(i)) of usual and reasonable kinds and quantities for
use in a lawful enterprise or undertaking;
2. I will return the Item(s) and its software to the US no later than 12 months from the date of
export unless they are certified by me to have been consumed or destroyed abroad during
this 12-month period (15 CFR §740 (a)(1));
3. I will maintain the item or software under my "effective control" while abroad. You
maintain effective control over an item when you either retain physical possession of the
item, or secure the item in such an environment as a hotel safe, a bonded warehouse, or a
locked or guarded exhibition facility (15 CFR 772.1);
4. I will not take the item or software to Cuba, Iran, North Korea, Sudan, or Syria. I am
exporting this item to: ___________________________ (specific location) under the
authorization provided by 15 CFR 740.9(a)(2)(i) of the EAR, which, specifies that tools of the
trade may be exported under license exception TMP if 740(a)(2)(i)(A) or (a)(2)(i)(B) are met.
5. The item is a Tool of the Trade with an Export Control Classification Number (ECCN) eligible
for export to the destination listed above under §740.9(a) (2) (i) (A).
The ECCN is:
__________________.
6. The item exported under TMP does not contain data or software control ed by the EAR.

NAME:
Title:
SIGNATURE:
Date:

**Retention Period: 5 years after termination of funding period
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APPENDIX 4: Tips on Education/Course Content
Taught Without review
May Need Review
Regularly taught in Undergraduate courses and
Material released in catalog courses is general y
teaching laboratories and listed regularly in course
considered publicly available, except for the following
catalogs so information is publicly available (e.g.,
areas:
published in textbooks)
a. Encryption (EAR) (may need license);
In the U.S. and abroad
b. Principles not commonly taught (ITAR),
c. Principles @ professional/business level; &
d. Sensitive nuclear technology (DoE)
Courses in economics, foreign languages, history,
Graduate Level Courses or that have external,
literature, music, writing have subject matter that is not business level attendees may not be covered by this
within the scope of the export controls, which focus on
exception.
control ed items and the resources needed to make

them

Courses with content within the scope of ITAR (possibly Courses with unusual content or certain expertise not
in physics, nuclear science, or mining): “information
otherwise known should be evaluated for consistency
concerning general scientific, mathematical or
engineering principles commonly taught in schools,
colleges and universities“ is excluded from the definition
of ITAR-control ed “technical data” and is not subject to
ITAR controls §120.10(a)(5)
Fall under the scope of Dept. of Energy, 10 CFR 810
Note: Course material may be excluded from export
(including some courses in Nuclear Science, Engineering controls, BUT, may be considered a “Defense Service”
and/or Physics) and
under ITAR, (§120.9(a)(1)), if
furnishing public information, including information “in

university courses”, is generally authorized, provided no 1. follow-on discussion (outside normal scope) or
sensitive nuclear technology is transferred “Sensitive
2. active selection, collection, and transfer of the
nuclear technology” means information (including
uncontrolled course material
tangible items and services) not available to the public
meets the defense services definition/coverage
that is important to the design, construction,

fabrication, operation, or maintenance of a uranium

enrichment or nuclear fuel reprocessing facility or a
facility for the production of heavy water. 10 CFR
§810.3, 810.7

DoE has pointed out that fol ow-on-questions and
discussion can go beyond the public information and
into practical implementation, which requires specific
authorization. Some of the above is based on verbal
discussion or other resources, and cannot be readily
identified in the current regulations
Thank you to the MIT Office of Sponsored Programs and Cal Tech for their amazing materials published on
their website and for sharing this information and examples.


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GLOSSARY
Glossary of terms for Export Controls:
The Glossary is a quick reference tool. If you have any questions, please refer to the definitions in the
regulations pertaining to the export item that shall control if there is a conflict or confusion. See 15 CFR
Part 772.1 (EAR); 22 CFR Part 120 (ITAR). Some agencies may have different definitions as well.
600 Series refers to items formerly “defense articles” that moved to the CCL after Export Control Reform
and still require Licenses from Dept. of Commerce to export them. The 600 series derives its name from
the 3rd character of the ECCNs in the “xY6zz” format on the Commerce Control List (CCL) that control items
on the CCL that were previously control ed on the U.S. Munitions List or that are covered by the Wassenaar
Arrangement Munitions List (WAML). The “6” indicates the entry is a munitions entry on the CCL. The “x”
represents the CCL category and “Y” the CCL product group. The “600 series” constitutes the munitions
ECCNs within the larger CCL.
Arms Export Control Act (AECA). The Arms Export Control Act (22 U.S.C. 2778), as amended, authorizes the
U.S. President to control the export and import of Defense Articles and Defense Services. The regulations
implementing AECA are at 22 CFR 120 et. seq. The President deems the articles/services to be “Defense”
and places them on the US Munitions List.
Code of Federal Regulations (CFR) is the col ection of rules and regulations published in the Federal
Register by the US federal government executive departments/agencies. The CFR may be viewed online at
eCFR.gov.
Commerce Control List (CCL) – The CCL identifies specific items subject to the list-based controls of the
Export Administration Regulations (EAR), under the export control jurisdiction of the US Department of
Commerce, Bureau of Industry and Security (BIS), found in 10 CFR §774.
Commerce Control List (CCL) Category – The CCL is divided into 10 categories, numbered 0-9:
(0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Materials, Chemicals,
“Microorganisms,” and Toxins; (2) Materials Processing; (3) Electronics; (4) Computers; (5)
Telecommunications and Information Security; (6) Lasers and Sensors; (7) Navigation and Avionics;
(8) Marine; and (9) Propulsion Systems, Space Vehicles, and Related Equipment.

Commerce Control List (CCL) Group Each of the 10 CCL categories is subdivided into five (5)
groups/kinds of controlled items, A-E:
(A) Equipment, Assemblies, and Components; (B) Test, Inspection and Production Equipment; (C)
Materials; (D) Software; and (E) Technology.
Control ed Country – Under the EAR, may refer to one of the countries subject to §746 Embargoes and
Other Special Controls, or to a country included in one of the Country Groups defined in Supplement No. 1
to §740 and used in conjunction with §740 license exceptions. Under the ITAR, may refer to a country
identified in ITAR §126.1, Prohibited Exports, Imports, and Sales to or from Certain Countries.
Deemed Export – Release of technology or source code subject to the EAR to a foreign national in the
United States is “deemed” an “export” to the home country of the foreign national under the EAR. ITAR
harmonized the definition (9/1/2016) to clarify that disclosing (or transferring) technical data subject to the
ITAR to any non-US person is deemed to be an “export” to al countries in which the foreign person holds or
has held citizenship or holds permanent residency (whether the foreign person is in the United States or
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abroad) (ITAR §120.17(a)(5)). This is a central export compliance concern for U.S. universities with
international students, scholars, and faculty. See also Export; and 15 CFR §730.5(b) The sending or taking
of technical data out of the U.S. to a foreign person employee remains an “export” if under ITAR
jurisdiction. (BIS provides the deemed export is to the foreign national’s most recent country of citizenship
or country of residency; State provides the deemed export may go back to the foreign national’s place of
birth.)
Defense Article – Any item or technical data designated in the ITAR's United States Munitions List (USML),
including any technical data recorded or stored in any physical form, models, mock-ups, or other items that
reveal technical data directly relating to a “defense article” listed in the USML; Defense Article also includes
forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have
reached a stage in manufacturing where they are clearly identifiable by mechanical properties, material
composition, geometry, or function as defense articles. “Defense Article” does not include basic marketing
information on function, purpose, or general system descriptions. (22 CFR §120.6).
Defense Service – Furnishing assistance (including training) anywhere (inside the United States or abroad)
to foreign nationals in connection with the design, development, engineering, manufacture, production,
assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing,
or use of defense articles; 2) furnishing to foreign persons any ITAR-control ed “technical data” anywhere,
requires authorization from the State Department; or 3) military training of foreign units & forces (regular &
irregular) including formal or informal instruction of foreign persons (in the US or abroad) or by
correspondence courses, technical, educational, or information publications and media of all kinds, training
aid, orientation, training exercise, and military advice. (22 CFR §120.9).
Note: While transfer of public domain information is not a defense service, the State Department
noted in 2013 that "it is seldom the case that a party can aggregate public domain data for purposes of
application to a defense article without using proprietary information or creating a data set that itself is not
in the public domain." [78 FR 31445].
Denied Persons or Party. A list of individuals and entities that have been denied export privileges. Any
dealings with a party on this list that would violate the terms of its denial order are prohibited. See also
Restricted Party.
Dual-use – Items that have both commercial and military (e.g., defense) application. Items subject to the
EAR are often referred to as "dual-use" civil applications as well as terrorism and military or weapons of
mass destruction (WMD)-related applications; MIT identifies that the Dual-Use items in the Commerce
Control List is very similar to the "Lists of Dual-Use Goods and Technologies" of the multilateral Wassenaar
Arrangement (export controls for Conventional Arms and Dual Use Goods and Technologies), to which the
U.S. and approximately 40 other countries are parties. See EAR, 15 CFR §730.3
Encryption Items. Under EAR, the phrase encryption items include all encryption commodities, software,
and technology that contain encryption features and are subject to the EAR. This does not include
encryption items specifically designed, developed, configured, adapted or modified for military applications
(including command, control and intel igence applications) that are control ed by the Department of State
on the U.S. Munitions List (ITAR). (See 15 CFR 772.1, Definitions; See also Mass Market/Exception)

End-to-End Encryption under the EAR is (i) the provision of cryptographic protection of data such
that the data are not in unencrypted form between an originator (or the originator’s in-country security
boundary) and an intended recipient (or the recipient’s in-country security boundary), and (i ) the means of
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decryption are not provided to any third party. The originator and the recipient may be the same person.
Transmissions within a cloud service infrastructure also fit within this Safe Harbor provision when the
transmission is made from one node or cloud infrastructure element to another, provided that it was
appropriately encrypted before any data crossed a national border.
End-use(r) – The EAR controls the export of al items subject to the EAR, even those not subject to list-
based controls, if they will finally be received by certain entities or used for certain applications.
Embargo – The export of defense articles or services may be restricted or banned to certain countries. The
Department of State continuously updates the listings. See Country Policies and Embargoes.
Export – An actual shipment or transmission of items, services, or technical data subject to either EAR or
ITAR outside of the United States, general y by sending or taking that item out of the US. Alternatively, the
release (disclosure) of technology (EAR), software source code (EAR), or technical data (ITAR) to a non-U.S.
person in the United States may qualify as an export. (See also Deemed Export.) See regulations for EAR @
https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear or see eCFR.
Technology, software, or technical data is “released” or “disclosed” through:
1. Visual inspection by a foreign national of U.S. origin equipment and facilities;
2. Oral exchanges of information (e.g. or a demonstration of technology) in the United States or
abroad; See 15 CFR §730.5(c)
3. Transfer or shipment via any means (physical or electronic) to a foreign entity (e.g., even the return
of a product to a foreign country after repair in the U.S. under the EAR 15 CFR 730.5(C); or the
electronic transmission of non-public information received abroad); or
4. Provision of a service (e.g., “defense service”) or the application to situations abroad of personal
knowledge or technical experience acquired in the United States.
See 22 CFR 120.17 – Export under ITAR; See also Re-export.
Export Administration Regulations (EAR) – The Export Administration Regulations (EAR), 15 CFR §730–774
are promulgated by the Department of Commerce to regulate the export of most items not control ed by
the ITAR (defense items). "Items" includes products; equipment required to make control ed products or
materials; materials required to make controlled products; software required to develop, produce, or use
control ed items; and information required to develop, product, or use controlled items. Items specifically
not control ed by the EAR include those control ed by another U.S. government department (items to
embargoed countries, nuclear reactor items and technology, patent applications) and publicly available
information, informational materials, software and technology.
Export Control Classification Number (ECCN) – a five-character alphanumeric classification used under the
EAR to identify items on the Commerce Control List.
EAR 99 - EAR99 is a classification for an item. EAR99 class is used when a particular item is subject
to the Export Administration Regulations (EAR), but the item is not listed with a specific Export
Control Classification Number (ECCN) on the Commerce Control List (CCL). While the classification
describes the item, the authorization for shipment of that item may change, depending on the
transaction, or the country or party to which you are shipping the item, or if the end-use is
prohibited.

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600 Series – The “600 Series” is the ECCN grouping on the Commerce Control List. Items that are
controlled under the 600 Series were formerly on the US Munitions List or under the Wassenaar
Arrangement Munitions List (WAML) and were moved to the CCL list. The 600 Series includes items
that formerly were on the ECCN list in this series and ended in -018. Thus, 600 Series includes
munitions that are now on the CCL. Examples may include certain aircraft, gas turbine engines,
vessels of war, tanks/military vehicles, submersible vessels, etc.
Export License – The approval documentation issued by an export agency authority authorizing the
recipient to proceed with the export, re-export, or other regulated activity as specified on the application.
Foreign National - The EAR uses, but does not define, "foreign national". "National" is defined in 8 USC
1101(a) (20) as "a person owing permanent allegiance to a state". The net effect of EAR is comparable to
the ITAR "foreign person": the deemed export rule, for instance, applies to "foreign nationals," but excludes
permanent residents and protected individuals.
Foreign Person – Under ITAR, a natural person who is neither a lawful permanent resident (green card
holder) nor a protected individual (citizen or national of the U.S., special agricultural worker, admitted
refugee, or person granted asylum), a foreign entity (corporations, business associations, partnerships, etc.)
not incorporated or organized to do business in the U.S., an international organization, a foreign
government or an agency or subdivision of a foreign government. See 22 CFR §120.16; Person means a
natural person as well as a corporation, business association, partnership, society, trust, or any other entity,
organization or group, including governmental entities. If a provision under ITAR does not refer exclusively
to a foreign person (§120.16) or U.S. person (§120.15), then it refers to both.
Fundamental Research – (basic or applied) research in science, engineering, or mathematics, where the
resulting information is ordinarily published and shared broadly in the scientific/research community and
for which the researchers have not accepted restrictions on publication for proprietary or national security
reasons, is excluded from export controls.
FRE under EAR (15 CFR §734.8), university research normally will be considered Fundamental
Research, unless the university or its researchers accept sponsor restrictions on the publication of
scientific and technical information resulting from the project or activity. Research at companies or
outside the US can qualify as Fundamental Research when there are no restrictions on publishing
the results. The EAR specifically permits limited prepublication reviews by research sponsors to
prevent the inadvertent divulging of proprietary information provided to the researcher by the
sponsor or to ensure that publication wil not compromise the patent rights of the sponsor.

FRE under ITAR (22 CFR §120.11(8)), only research at accredited institutions of higher learning in
the U.S. can qualify as “fundamental”. University research will not qualify as Fundamental
Research if: (1) the information is not generally published and shared broadly within the scientific
community (e.g., the university or its researchers accept any restrictions on the publication of
scientific and technical information resulting from the project or activity); or (2) the research is
federally-funded and specific access and dissemination controls protecting information resulting
from the research have been accepted by the university or the researcher.
General y Authorized – DoE's 10 CFR 810 and OFAC's sanctions programs identify activities which are in the
scope of the controls, but are already determined to be acceptable and can be conducted without
additional approval as "generally authorized". The DoE regulations require the use of a general license to be
reported.
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Import(s) means all goods physically brought into the United States, including: (1) Goods of foreign origin,
and (2) Goods of domestic origin returned to the United States without substantial transformation affecting
a change in tariff classification under an applicable rule of origin. See Trade Definitions at the U.S. Census
Bureau.
International Trafficking in Arms Regulations (ITAR) – The International Trafficking in Arms Regulations
(ITAR), 22 CFR §120-130, promulgated by the Department of State, control the export of articles, services,
and related technical data whose predominant application is defense, as determined by the State
Department. These “defense articles,” “defense services,” and related “technical data” are listed on the
United States Munitions List (USML). Satellites and spacecraft are subject to ITAR (since 1999), regardless
of application. In November 2014, satellites and spacecraft not providing capabilities listed on the USML
moved to EAR control, although under new, more restricted, "500 series" classifications, and still requires
analyses.
Jurisdiction means the power or authority an agency (or department of the U.S. government) maintains in
determining what is al owable under the laws of the U.S. constitution or under statutes enacted by the U.S.
Congress.
License refers to a government (agency) document or approval authorizing the export of specific items
(including technology) in specific quantities to a particular destination(s). A license may be required for
most or all exports to some countries, while other countries may only require licenses to export
items/technology under special circumstances.
Mass Market typically means available widely and at storefronts, through the internet, or otherwise. The
Mass Market Exemption means that the technology, product, or services qualify for Mass Market status as
defined by the Cryptography Note of the CCL. However, some restrictions still exist on cryptography
products, especial y regarding certain nations or denied persons. Where the product qualifies and there are
no other limitations of end-use/user, no further license in respect to EAR is required. Note the first time
that the request is made to BIS must be requested through a SNAP-R filing. (Wassenaar formally approved
the exemption for use regarding hardware components.)
Military end use means incorporation into a military item described on the U.S. Munitions List (USML)
(ITAR, 22 CFR part 121); incorporation into a military item described on the Wassenaar Arrangement
Munitions List (at http://www.wassenaar.org); incorporation into items classified under ECCNs ending in
“A018” or under “600 series” ECCNs; or for the “use,” “development,” or “production” of military items
described on the USML or the Wassenaar Arrangement Munitions List, or items classified under ECCNs
ending in “A018” or under “600 series” ECCNs. 'Military end use' also means deployment of items classified
under ECCN 9A991 as set forth in supplement no. 2 to part 744. 15 CFR 744.21(f.)
Military end use (EAR, 15 CFR 744.21) the following applies:
“use” means operation, installation (including on-site installation), maintenance (checking), repair,
overhaul and refurbishing;
“development” is related to all stages prior to serial production, such as: design, design research,
design analyses, design concepts, assembly and testing of prototypes, pilot production schemes,
design data, process of transforming design data into a product, configuration design, integration
design, layouts; and
“production” means al production stages, such as: product engineering, manufacturing,
integration, assembly (mounting), inspection, testing, and quality assurance.
“operation” means to cause to function as intended;
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“installation” means to make ready for use, and includes connecting, integrating, incorporating,
loading software, and testing;
“maintenance” means performing work to bring an item to its original or designed capacity and
efficiency for its intended purpose, and includes testing, measuring, adjusting, inspecting, replacing
parts, restoring, calibrating, overhauling; and
“deployment” means placing in battle formation or appropriate strategic position.

Military end user means the national armed services (army, navy, marine, air force, or coast guard), as
well as the national guard and national police, government intelligence or reconnaissance
organizations, or any person or entity whose actions or functions are intended to support 'military end
uses' as defined in paragraph (f) of this section. See 744.21(g)

Office of Foreign Assets Control (OFAC) – A part of the U.S. Department of Treasury that administers and
enforces economic embargoes and trade sanctions based on U.S. foreign policy and national security goals
against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in
activities related to the proliferation of weapons of mass destruction. OFAC acts under presidential wartime
and national emergency powers, as well as authority granted by specific legislation, to impose controls on
transactions and freeze foreign assets under U.S. jurisdiction.
Public Domain – Under ITAR (§120.11), public domain means information that is published and that is
generally accessible or available to the public through/at the following:
(1) sales at newsstands and bookstores;
(2) subscriptions that are available without restriction to any individual who desires to obtain or
purchase the published information;
(3) mailing privileges (second-class) granted by the U.S. government;
(4) libraries open to the public or from which the public may obtain documents, including most
university libraries;
(5) published patents;
(6) unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally
accessible to the public, in the United States;
(7) public release in any form after approval by the cognizant U.S. government department or
agency; and
(8) fundamental research in science, engineering, and mathematics at accredited institutions of
higher learning in the United States where the resulting information is ordinarily published and
shared broadly in the scientific community. Public domain information is excluded from ITAR
technical data controls.
(Public domain information is excluded from control as ITAR technical data.)
Open Source is not “public domain” as referenced in intellectual property (IP) rights, because an
owner provides the software or technology, although available publicly and generally accessible, it
is still only provided under a grant of rights (license). Thus, it cannot be “public domain”
Publicly Available –under the EAR, refers to “publicly available technology and software” and does not use
the expression “public domain.” To be Publicly Available, and generally excluded from EAR controls, the
software and technology (with limited exception) that (i) are, or will be, published; (ii) arise during,
or result from, fundamental research; (iii) are educational; or (iv) are included in certain patent
applications. (Publicly available software and technology are excluded from EAR controls, however
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published 5D002 encryption software remains subject to the EAR; some publicly available 5D002
encryption object code may be publicly available when the corresponding source code is publicly
available.) For software and technology in the scope of the EAR, it may be made publicly available
by a person with the right to do so without further authorization from the Commerce Department
(except 5D002 encryption software). See 15 CFR Part 734.3(b)(3).
Information is generally accessible to the interested public in any form and thus not subject to the
EAR. See 15 CFR Part 732.
Published – Under the EAR, information is “published” when it becomes general y accessible to the
interested public in any form, including:
1. periodicals, books, print, electronic, or any other media available for general distribution to
any member of the public or to a community of persons interested in the subject matter,
such as those in a scientific or engineering discipline, either free or at a price that does not
exceed the cost of reproduction and distribution;
2. ready availability at libraries open to the public or at university libraries;
3. patents and open (published) patent applications available at any patent office; and
4. Release at an open conference, meeting, seminar, trade show, or other open gathering.
5. Software and information is published when either it is available for general distribution
free or at a price that does not exceed the cost of reproduction and distribution.
(Note: published 5D002 encryption software remains subject to the EAR, except publicly available 5D002
encryption object code when the corresponding source code is publicly available.
Re-export or Re-transfer– Under EAR a re-export refers to an actual shipment or the transmission of items
subject to export regulations from one foreign country to another foreign country. For the purposes of the
EAR, the export or re-export of items that will transit through a country or countries to a new country, or
that are intended for re-export to the new country, are deemed to be Exports to the new country. See 15
CFR §730.5. The transfer of items subject to ITAR jurisdiction between two foreign countries is an
export/re-export/re-transfer of defense articles or defense services to an end-use, end-user, or destination
not previously authorized by license, written approval or exemption. (Any movement of a defense article
between two foreign countries is a “re-export” and requires authorization.) See 22 CFR 120.19.
Release under EAR covers activities that disclose information to foreign persons. See 15 CFR 734.15. Under
ITAR (22 CFR 120.50), activities allowing a foreign person to “inspect” a defense article in a way that reveals
technical data to that person and oral/written exchanges of technical data are “releases” and thus under
export control laws. (This excludes simple size or weight information, and simple attributes.)

Technical data is Released (under ITAR) through: (1) Visual or other inspection by foreign persons of
a defense article that reveals technical data to a foreign person; or (2) Oral or written exchanges with
foreign persons of technical data in the United States or abroad.

A foreign person (under EAR) having theoretical or potential access to technology or software is
similarly not a “release” because such access, by definition, does not reveal technology or software.
Restricted Parties – Individuals and entities with whom the university and its employees may be prohibited
by law, or that require a license or other government approval, to export to or engage in controlled
transactions. These include the Denied Persons List, Entity List, and Unverified List (Dept. of Commerce);
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the Debarred Parties Lists (Department of State); and the Specialy Designated Nationals (SDN) and Blocked
Persons List (Department of Treasury).
Restricted Research – Defined as university research, development, or testing subject to: (i) publication
restrictions; (ii) access and dissemination controls; (iii) federally funded research with contract-specific
national security restrictions; (iv) accepting third-party controlled items or information; or (v) providing
access to, or defense services on, a defense article. Restricted research is subject to EAR and ITAR
regulations, and a license or other government approval may be required for foreign national participation.
Sanctioned Countries – Countries designated by OFAC as having limited or comprehensive trade sanctions
imposed by the United States for reasons of anti-terrorism, non-proliferation, narcotics trafficking, or other
reasons.
Significant Military Equipment (SME) means articles for which special export controls are warranted
because of their capacity for substantial military utility or capability. (ITAR)
Special y designed - Some items are subject to the ITAR or the EAR if they have properties, as a result of
development, that meet or exceed the criteria in the US Munitions List (ITAR) or the Commerce Control List
(EAR) — this is the "catch" — and are not a fastener or other low-control item — this is the "release". There
are web tools for the ITAR and the EAR to help determine whether an item is "special y designed".
Statutory means enacted, regulated, or authorized by statute. E.g., when a government action is required
by law, the action is statutory if passed by Congress and signed into law by the President.
Technical Assistance – Under the EAR, instruction, skil s training, working knowledge, and consulting
services, which may involve the transfer of technical data, may be technical assistance This is similar to the
ITAR's "defense service" definition and under ITAR there can be Technical Assistance Agreements, which
authorize transferring technical data and providing defense services.
Technical Data – (22 CFR §120.10) Refers to information required for the design, development, production,
manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. This
includes information in the form of blueprints, drawings, plans, instructions, diagrams, photographs, etc. It
may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and
specifications, and manuals and instructions written or recorded on other media or devices such as disk,
tape, or read-only memories. The ITAR definition does not include information concerning general
scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or
information in the public domain.
Technology – Any specific information and know-how (whether in tangible form, such as models,
prototypes, drawings, sketches, diagrams, blueprints, manuals, or software—or in intangible form, such as
training or technical services) that is required for the development, production, or use of a good, but not
the good itself.
Transfer - Under ITAR, a “Re-transfer” occurs when there is a change in the item’s end user or end use
within the same country. Authorization will still be required to provide a defense article to a subcontractor
or intermediate consignees in the same country (unless previously authorized, e.g., via TAA), as that would
constitute a change in end user and end use. Certain activities, such as disclosures of technical data to a
foreign national abroad, may be covered by the new definitions of both “reexport” and “retransfer.”
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U.S. Munitions List (USML) – (22 CFR §121.1) The USML includes articles, services, and related technical
data designated as defense articles and defense services pursuant to the Arms Export Control Act (AECA).
U.S. Person – Under the ITAR, a natural person who is a lawful permanent resident (green card holder) or a
protected individual (citizen or national of the U.S., special agricultural worker, admitted refugee or person
granted asylum); or any entity (corporation, business association, partnership, etc.) incorporated in the
U.S., or any federal, state, or local governmental entity. The EAR is effectively the same, although without
explicit definition: the deemed export rule, for instance, applies to "foreign nationals," but excludes
permanent residents and protected individuals. (Note that for the purpose of §744.6 Restrictions on Certain
Activities of U.S. Persons, the EAR adds "any person in the United States".) [Usage note: this website uses
"non-U.S. person" as an objective counterpart to "foreign person" for clarity when being read by people of
all nationalities.]
Visual Compliance refers to the software package that Mines utilizes to review persons or entities that may
be on the Denied Persons list as collected from Department of Commerce and other agencies. Contact ORA
for questions or access to this tool.

[End of Section]
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Document Outline