The Office of Export Controls (OEC) will assess situations that appear to require an export license or are eligible for a license exception/exemption on a case-by-case basis.

On occasion, U.S. export controls may restrict the transfer of certain items and information to foreign destinations and/or foreign nationals in the United States. In the context of university research, if a project does not meet the fundamental research exclusion (FRE) it will likely be “subject to export controls” (either the EAR or ITAR), which creates increased implications for compliance. For example, if not FRE, certain foreign nationals may be restricted from participating on the project, and any technology or software that is developed as a result of the research could be export controlled as well.

That is not the end of the analysis, however, as there are processes the U.S. Government has established that provide a compliance solution for export controls that would otherwise restrict the desired activity. These processes include identifying and invoking an export license exception or exemption; and if those options have been exhausted, OEC will assist you in applying for an export license. We will assess situations that appear to require an export license or are eligible for a license exception/exemption on a case-by-case basis, and work with you to identify the best course of action to facilitate the activities and personnel to achieve your research goals, including actions to ensure the most robust foreign national participation on export-controlled projects.

The processes are as follows:

Exceptions to Licensing Requirements (EAR)

The following are common export license exceptions that CU Boulder uses to facilitate research in the face of licensing requirements mandated by the Export Administration Regulations (EAR). This is not an exhaustive list, but provides a good example of some of the best tools for the University to leverage:

  • TMP Exception (§740.9 Temporary imports, exports, reexports, and transfers (in-country)): Allows various temporary exports and reexports of items, technology or software as long as the items exported will return to the U.S no later than one year from the date of original export or reexport.
  • BAG Exception (§740.14 Baggage): Allows individuals leaving the United States either temporarily (i.e., traveling) or longer-term (i.e., moving) to take to any destination, as personal baggage, the classes of commodities, software and technology described in §740.14(b) as long as they bring back items exported and reexported under this License Exception unless they consume the items abroad or are otherwise authorized to dispose of them. This exception would cover a faculty member travelling abroad with their work laptop, as long as they did not have export-controlled data on their hard drive.
  • STA Exception (§740.20 License Exception Strategic Trade Authorization): Allows for the export, reexport, and transfers (in-country), of certain export-controlled software source code and technology to foreign nationals.
  • TSU Exception (§740.13 Technology and Software - Unrestricted): Allows for the release of export-controlled (EAR) technical data, under certain conditions, to a bona fide, long-term, full time employee of the university.

Exemptions to Licensing Requirements (ITAR)

The following are common export license exemptions that CU Boulder uses to facilitate research in the face of licensing requirements mandated by the International Traffick and Arms Regulations (ITAR):

  • General Exemption ITAR 125.4(b)(9): Allows for the export, reexport, or retransfer of export-controlled (ITAR) technical data, including classified information, to a U.S. person or a foreign person employee of a U.S. person travelling or on temporary assignment outside of the United States.
  • General Exemption ITAR 125.4(b)(10): Allows for the release of export-controlled (ITAR) unclassified technical data (under certain circumstances) to certain foreign nationals who meet the definition of a bona fide, long-term, full time employee of the university. This will allow a foreign national to work on projects whose inputs, conduct, or deliverables fall under the ITAR.
  • There are a few exemptions that allow for certain types of collaboration with nationals of certain countries, including Canada, Australia and the United Kingdom. These, and other exemptions have many nuances. OEC is happy to review a proposed collaboration and advise on how to meet the requirements.

Federal License

If an export license is required, and no exception or exemption can be identified and applied, OEC will assist in pursuing the appropriate license to facilitate your desired actions, whether they be the participation of a foreign national in export-controlled research at the University of Colorado, or the transfer of controlled equipment to the field. This process takes at least a few months, so OEC encourages you to reach out at the first indication that a license may be required.

NOTE: You should not attempt to apply for a federal license on your own without help and direct engagement with OEC.