An export occurs whenever any item (i.e., any commodity, software, technology or equipment) or information is sent from the U.S. to a foreign destination or provided to a foreign national here or abroad. The manner in which the transfer or release of the item or information occurs does not matter. 

For example, a product does not have to travel across the U.S. border to be considered an export, and an export may not involve a product at all. Just exposing a non-U.S. citizen to information about export-controlled technology, even on U.S. soil, may fall under U.S. export control regulations. Such a disclosure of information, if made without a proper license, is potentially a violation of federal law that could result in harsh penalties.

Some examples of export activities include: the shipment of items, written or oral communications, hand-carrying items when traveling, providing access to or visual inspection of equipment or facilities, and providing professional services.

Every product in the U.S. has an export control classification. The classification determines the level and type of export restrictions. Products listed on the U.S. Munitions List fall under the International Traffic in Arms regulations (ITAR) and are highly controlled. They have Roman numeral export classifications, going from Category I to Category XXI.

Products listed on the Commerce Control List are controlled under the Export Administration Regulations and will generally have a five-digit alpha-numeric export control classification number (ECCN), such as 3C005 or 6A003. Many products that are used on a daily basis have an export control classification number of EAR99, which is a catchall designation for products subject to the Export Administration Regulations but not listed on the Commerce Control List.

A “deemed export” refers to the release or transmission of controlled information or technology to any foreign national in the U.S., including students, postdocs, faculty, visiting scientists or training fellows. A deemed export is treated as an export to that person’s home country. 

Deemed exports are a primary area of export control exposure for the University. Export-controlled technology is "released" for export when it is made available to foreign nationals for visual inspection, exchanged orally, and/or made available by practice or application under the guidance of persons with knowledge of the technology.

Examples of a “release” include:

• Allowing reading of controlled technical specifications, plans, blueprints, etc.
• Providing a tour of a facility that uses controlled technology
• Allowing someone to inspect a diagram of controlled technology
• Instructing someone on how to use controlled technology
• Giving a presentation about controlled technology

Collaborations with foreign nationals, here at Brown, involving the use of export-restricted information or controlled/restricted areas (e.g., defense items or services, satellite technology, encryption) may trigger the need for a license for deemed exports unless it falls under an exclusion. This applies to all activities at Brown, not just sponsored research.

Dual-use items are items, information and software that are primarily commercial or civil in nature but also have potential military applications (e.g., GPS units). Dual-use items may require an export license depending on the item, the recipient, the recipient's citizenship or country of destination and the item's application. Dual-use items that are identified on the Export Administration Regulations Commerce Control List have an ECCN and are of elevated strategic concern.

EAR99 items are low-technology consumer goods not designated under the control of another federal agency or listed on the Commerce Control List (CCL). Many 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 an entity/end user of concern, or in support of a prohibited end-use, you may be required to obtain a license.

An export license is a written authorization provided by the federal government granting permission for the release or transfer of export controlled information or item under a defined set of conditions. Determining when you need an export license can be very complicated. Brown’s Export Control team, part of Research Integrity, will determine if a license is required or if there is a valid license exception or other exclusion that may apply. It is important to note that obtaining an export license can take three to six months and there is no guarantee that a license will be granted.  

In most cases, low-end items that are commercially available do not require export licenses. There are some important exceptions, including items containing strong encryption technology or software (e.g., laptop computers, web-enabled cell phones) and items that have dual-use applications or are restricted under other regulations or sanctions.

An export license exception is a special authorization that allows you to export or re-export, under very specific conditions, items that would otherwise require an export license.

A foreign national is defined as any natural person who is not a U.S. citizen, or is not a lawful permanent resident of the U.S. (i.e., does not have a green card), or who does not have refugee or asylum status.

A foreign entity is any corporation, business, or other entity that is not incorporated to do business in the U.S. This includes international organizations, foreign governments or any agency of a foreign government.

A restricted party is an individual, company, organization or vessel with which certain interactions and transactions are restricted. U.S. persons or entities (including their subsidiaries and agents in other countries) are generally prohibited from dealing with a restricted party without a specific license. Brown has an institutional site license to a comprehensive software program to perform restricted party screening on any outside party doing business or collaborating with Brown.

A Technology Control Plan is a document drafted by the Export Control team in collaboration with the researcher specifying procedures that will be taken in order to safeguard and control access to information or items that are export restricted. In general, a Technology Control Plan will outline what the restricted information or item is, who will have access to it, how access will be monitored and controlled, how the information/item will be physically and electronically stored, what information about it can be shared or presented, and what will be done with the information/item once the project is completed.