Export Compliance FAQ
Export Compliance Basics
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Export Compliance is the process of evaluating the impact of various U.S. Export Control Laws and Regulations ("U.S. Export Controls") on the operations of any business or individual activity to facilitate compliance with any legal obligations arising under such laws or regulations. In general, U.S. Export Controls apply to the transfer of controlled items, information and/or services to foreign recipients (foreign countries, companies, or persons). Export Compliance is a complex evaluation of the intersection between law and facts. The University has established a process to review various business transactions to evaluate the risk for potential violations of U.S. Export Controls. This process may include evaluation, remediation, and outreach efforts and is designed to protect the University and its constituents from inadvertently violating these complex laws and regulations.
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There are a number of federal laws and regulations that commonly are referred to as Export Control Laws or U.S. Export Controls. The three (3) most likely to impact activities at Penn State are the following:
International Traffic in Arms Regulations (ITAR) - These regulations are administered by the U.S. Department of State and govern the export of dual-use commodities, software, and technology. The ITAR takes precedence over the regulations from the Department of Commerce. Items controlled by the ITAR are designated in a positive control list entitled the United States Munitions List (USML). Restrictions on the export of items, data, or services controlled under the ITAR are substantial and a license is often required to physically export or to enable foreign persons to receive or work with ITAR data. The text of the ITAR is available at 22 C.F.R. Parts 120-130.
Export Administration Regulations (EAR) - These regulations are administered by the U.S. Department of Commerce and govern the export of dual-use commodities, software, and technology. Dual-use items are items that have both a potential military and commercial application. All items of U.S. origin and/or all items not governed by the ITAR may be controlled under the EAR. Items specifically controlled by the EAR are designated in a positive control list entitled the Commerce Control List (CCL). All other items controlled under the EAR but not specifically designated on the CCL are considered low-level controlled items and designated as EAR99. Items listed on the CCL may be controlled for various purposes (Missile Technology, National Security, Anti-Terrorism, etc.) and the restrictions that apply will vary based on the purpose(s) of the controls and the intended destination and/or end-use. The text of the EAR is available at 15 C.F.R. Parts 730-770.
Office of Foreign Asset Control (OFAC) - OFAC is an executive agency that exists to administer various export control laws and regulations under the purview of the U.S. Department of the Treasury. Unlike the ITAR and EAR, OFAC does not administer a single set of regulations but is responsible for implementation of various laws, regulations, and executive orders commonly referred to as sanctions. These sanctions are often based on current U.S. foreign policy and national security concerns and may restrict activities, shipments, and/or other transactions with foreign countries, foreign industrial sectors, foreign companies, and/or foreign persons. Activities prohibited under the relevant laws, regulations, or executive orders may be permitted under either a general license (pre-existing and defined to specific activities) or a specific license (specific to an applicant, location and activity). Also, unlike the ITAR and EAR, there is no positive control list for controlled technologies, so the impact of OFAC administered regulations may be very broad and difficult to understand. -
When we hear the term "Export", our first thought is that it is the process of physically sending something to a foreign destination. While this is true, the term "Export" as used in the regulations is much broader in scope.
In general, an "Export" can be any shipment or transmission of items, services, or technical data out of the United States, or the release of technology, software, or technical data to a foreign national in the United States (i.e. a "Deemed Export"). Technology, software, or technical data may be “released” for export through any of the following:
a. Visual inspection by a foreign national of U.S. origin equipment and facilities;
b. Oral exchanges of information in the United States or abroad;
c. Transfer or shipment via any means (physical or electronic) to a foreign entity; or
d. Provision of a service, or the application to situations abroad of personal knowledge or technical experience acquired in the United States. -
A "Deemed Export" is any release of controlled information, technology or software to a foreign national whether the release occurs in the United States, or abroad. Any such release is "deemed" to be an export to the foreign national's country of origin and/or country of citizenship, depending on the regulations that apply. It is important to understand that Deemed Exports may require obtaining a license approval from the cognizant, government agency prior to release of the controlled information, technology or software. A Deemed Export is the legal equivalent to physically exporting the controlled information, technology, or software to the foreign country in question.
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Put simply, the terms "Technical Data" (ITAR) and "Technology" (EAR) refer to informational content that may be controlled under the applicable export regulations.
Specifically, controlled "Technical Data" under the ITAR includes the following: (i) Information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles; (ii) classified information relating to defense articles and defense services; and (iii) some software related to or necessary for the operation or use of defense articles. Technical Data under the ITAR does not include basic marketing information on function or purpose or general system descriptions of defense articles.
Similarly, controlled "Technology" under the EAR includes the specific information necessary for the “development”, “production”, or “use” of a product. Release of technology for purposes of the “use” of an item requires all of the following capabilities be provided to the new “user”: Operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing.
For more information on these definitions (and other definitions related to U.S. Export Controls), please visit our Important Export Compliance Terms. -
The terms "Foreign National" and "Foreign Person" are largely synonymous. A "Foreign Person" is defined as any person who is not either: (i) a U.S. citizen; (ii) a Lawful Permanent Resident (Green Card Holder); or, (iii) a Protected Person under relevant immigration and naturalization laws or regulations (asylee, refugee, or temporary resident under amnesty provisions). The term also include any company, corporation, business association, partnership, or other legal entity not incorporated or otherwise organized to do business under the laws of the United States.
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The term "U.S. Person" is generally held to include any person who is either: (i) a U.S. citizen; (ii) a Lawful Permanent Resident (Green Card Holder); or, (iii) a Protected Person under relevant immigration and naturalization laws or regulations (asylee, refugee, or temporary resident under amnesty provisions). The term also includes any company, corporation, business association, partnership, or other legal entity incorporated or otherwise formally organized to do business under the laws of the United States or any of its states, territories, or possessions.
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Violations of U.S. Export Controls can carry significant financial repercussions. In addition, intentional violations may result in criminal charges that could result in fines, penalties, and even jail time. It is important that all University Persons understand that liability under these laws and regulations apply to both the University, as an institution, and to the individual person whose acts result in the violation. Neither the University nor the individual responsible party can transfer their liability to the other, the liabilities are independently assessed by the enforcement agencies (i.e. joint and several liability).
In addition to the potential financial and/or criminal consequences mentioned, violators of U.S. Export Controls may be made ineligible for future government funded programs and, in some circumstances, prevented from working with any U.S. Persons on future projects. These sanctions could substantially inhibit the ability to pursue current and future academic, research and employment opportunities. -
The University has a number of resources available to help evaluate the impact of U.S. Export Controls on University research efforts. The University Export Compliance Office, a unit within the Office of Ethics and Compliance, exists to help University Persons (faculty, staff, students, etc.) understand and comply with U.S. Export Controls as they impact their University efforts, including their research and instructional efforts. The University Export Compliance Officer (UECO) and Empowered Official (EO) is the manager of University's Export Compliance and Management Program. To reach the University Export Compliance Office or the UECO, please feel free to email us or contact us by phone at 814-867-2379.
Anonymous reports of potential export compliance violations or concerns may also be made through the University Hotline either online or by calling 1-800-560-1637.
Export Compliance and Universities
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First, it is important to understand that, because U.S. Export Controls are very broad and encompass activities and efforts not generally considered an "export" as most consider the term, it is often difficult to understand the huge potential for the intersection of academic and university-based research and these complex laws and regulations. While U.S. Export Controls are broad-based, there are specific areas and activities that have increased risk for compliance concerns.
Research in the STEM fields, especially research on advanced technologies and materials which have either substantial military or commercial value, present the most substantial risk. However, research and academic pursuits in other areas, often areas considered low-risk (for instance, communications, environmental engineering, healthcare/biological sciences), may present their own concerns.
In particular, the following research areas and programs should be considered at increased risk for potential coverage under U.S. Export Controls:
- Engineering and related applied sciences;
- Aeronautical sciences and space-related efforts;
- Biological sciences and bioengineering/biomedical programs involving hazardous, dangerous, or infectious chemicals, materials or organisms;
- High-performance computing, advanced computer sciences, and/or cryptography efforts;
- Laser-related research efforts or programs;
- Advanced and/or novel materials sciences; and
- Any research or programs with direct or substantial military focus, application or end-uses.
In addition to the specific research areas listed above, any academic or research efforts or programs involving the following types of activities may be impacted by U.S. Export Controls:
1. Efforts or programs with direct or substantial involvement of international sponsors, collaborators, or visitors;
2. Efforts or programs involving international travel for research collaborations or field work;
3. Efforts or programs involving the international delivery of materials or equipment (goods or commodities);
4. Efforts or programs involving the participation of foreign persons or companies from embargoed or high-risk locations; and
5. Research efforts or programs which include any contractual restrictions or verbal/written assurances limiting and/or prohibiting publications or foreign national involvement without the prior approval of a sponsor, donor, collaborator, vendor, or supplier.
As the potential impacts are substantial and sometimes hard to understand when applied to the academic or university research environment, faculty and staff are encouraged to contact the University Export Compliance Office for guidance and support of programs and efforts with substantial international components. -
Generally speaking, Fundamental Research, as used in the U.S. Export Control Laws and Regulations, is basic and applied research in the sciences, engineering and/or mathematics fields where the results of the research (the informational results like data or reports) are ordinarily published or shared widely within the relevant scientific community. Because Fundamental Research is intended to produce information or results which will be released to the public and therefore made available to everyone regardless of their status as a U.S. or Foreign Person/National, the information that results from Fundamental Research is generally exempt from coverage under U.S. Export Controls (typically referred to as the Fundamental Research Exclusion).
Fundamental Research is distinguished from some University research efforts where the results of the research are restricted either for proprietary or national security reasons. Written, verbal, or any other evidence of a voluntary acceptance of a limitation on the right to publish or to involve foreign persons/nationals in the project has the effect of prohibiting a claim of Fundamental Research status. A prepublication review by a sponsor solely to ensure the publication does not compromise any patent rights and/or disclose any proprietary information of the sponsor does not constitute a limitation on publication that invalidates a claim of Fundamental Research, provided such reviews constitute only a temporary delay in the publication process.
Most research conducted at U.S. Universities qualifies as Fundamental Research and, at Penn State, our policy is to conduct our research in a manner consistent with the definition of Fundamental Research unless specific national security concerns warrant an exception (See University Policy RA40). This allows our entire University population to work on the research projects we undertake, provided access is not required to any specifically controlled items, information, and/or services in the performance of such research. In accepting sponsorship awards, disclosures of confidential/proprietary information, or otherwise establishing collaborative research efforts, Penn State works diligently to limit the acceptance of formal or informal terms that would serve to invalidate our claim of Fundamental Research. In the event a research project must be established without the ability to claim Fundamental Research effort, the University may need to implement an internal compliance process, called a Technology Control Plan, to document our method of operating the project without intentionally or inadvertently violating any applicable U.S. Export Controls.
The term Fundamental Research is defined in both the ITAR and the EAR, and while the definitions are largely consistent between the two regulations, the ITAR definition is more limited (limited to research at Universities in the U.S. and does not expressly cover mathematics). For more information on the definition of Fundamental Research under the ITAR or the EAR, please visit Important Export Compliance Terms. -
Consistent with our rights to free speech and the press, and in view of our societal belief that information should be made available to the public for the public good, most information that has been Published or released into the Public Domain is excluded from coverage under both the ITAR and the EAR. Under both the ITAR and the EAR, information is "published" (EAR) or released into the "public domain" (ITAR) by using traditional methods of widely disseminating such information (publication, placement in libraries or other public places, presentation to open meetings/conferences, etc.). For more information on the concept of publicly releasing information and for definitions of Public Domain and Published under the ITAR or the EAR respectively, please visit ourImportant Export Compliance Terms.
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The new knowledge created by researchers at U.S. institutions of higher education is, in general, excluded from U.S. Export Controls as "fundamental research" as long as the researcher’s work has not been classified and the researcher has not accepted restrictions on publication or participation by foreign nationals. However, any pre-existing information, data or software brought into the research effort, as well as any equipment used in or developed during academic research, remain subject to any applicable export controls. There also may be restrictions and prohibitions on working with certain individuals and entities as part of the project, including those from countries subject to U.S. and U.N. embargoes. The University Export Compliance Office can provide guidance and develop strategies to help mitigate any impacts on your research program from these or other similar situational concerns.
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Not surprisingly, Educational Materials and the information regularly provided to students in traditional instructional programs which occur in the U.S. and abroad are generally not subject to U.S. Export Controls. As a result, the participation of foreign persons/nationals in our formal educational programs is largely exempt and faculty should not be concerned that their instructional activities will result in an inadvertent violation of U.S. Export Controls when teaching catalog courses both on campus and abroad.
However, while almost all instructional activities will be exempt from coverage under U.S. Export Controls, there are a few scenarios where faculty should seek the advice of the University Export Compliance Office to make sure that their efforts are not impacted by U.S. Export Controls. First, faculty engaged in capstone projects or other applied research efforts as part of their instructional programs should use caution if such efforts involve the use of information, software, equipment, or materials provided by an outside party (ex. from a sponsor/donor/collaborator), as such materials may not constitute Educational Materials, information in the "public domain" or "published" information. Second, faculty should use caution if their instructional efforts could be deemed a defense service, as that term is defined in the ITAR. Of specific concern would be faculty providing instruction to non-traditional student populations, such as government/military end-user groups and/or third party corporate employees, when such instruction is in relation to specific defense service or military end-use or end-user efforts. Third, faculty engaged in instructional services directed to students located in countries subject to comprehensive U.S. embargoes or significant U.S. economic sanctions may also need to consider the impact of such sanctions on their efforts. It is anticipated that such exceptions to the traditional exclusion of Educational Materials and/or instructional efforts will be extremely rare and, therefore, faculty should not face any significant limitations on their educational service efforts as a result of the application of U.S. Export Controls. -
U.S. Export Controls are an extremely broad set of regulations with wide-ranging application areas. It is important for University Persons to understand that U.S. Export Controls may impact activities in areas that are not traditionally thought of as having significant export compliance risk exposure. The areas highlighted below, therefore, are not exhaustive and should not be considered the exclusive areas of concerns. However, University Persons who work in the areas below should be more vigilant given the inherent risks for export compliance concerns that may arise in these fields/activities.
In relation to U.S. Export Controls which are largely content/technology based (i.e. the ITAR and the EAR), the following areas of focus are more likely to have significant intersection with applicable controls:- Nuclear engineering, applied nuclear sciences, and nuclear energy related efforts;
- Biological sciences, engineering and biomedical engineering/biomedical programs, specifically programs involving hazardous, dangerous, or infectious chemicals, materials or organisms;
- Aeronautical and aerospace engineering, specifically development and design of novel application, materials, or flight systems;
- Space-related research and associated applied sciences, specifically sensors, flight controls, and problem resolution efforts;
- High-performance computing, advanced computer sciences, and encryption/cryptography efforts and programs;
- Materials sciences and engineering, specifically the development, testing, and application of novel/advanced materials;
- Laser and sensor engineering and development; and
- Any programs or efforts with a direct or substantial military or law enforcement/physical security focus, application, or end-use.
In relation to U.S. Export Controls which are largely sanctions based (i.e. OFAC and restricted party concerns), the following areas of focus are more likely to have significant intersection with applicable controls:
- Efforts or programs with direct or substantial involvement of international sponsors, collaborators, or visitors;
- Efforts or programs involving international travel for specific research collaborations or field work;
- Efforts or programs involving the international delivery of materials or equipment (goods or commodities), specifically involving materials, equipment or services in high-technology fields (as outlined above); and
- Efforts or programs involving the participation of foreign persons or companies from embargoed or high-risk locations.
Finally, any specific transactions, research efforts or programs which include any contractual restrictions or verbal/written assurances limiting and/or prohibiting publications or foreign national involvement without the prior approval of a sponsor, donor, collaborator, vendor or supplier present significant concerns from an export compliance perspective. In the event of such restrictions, an analysis of the potential impact on the operational needs of the University and the affected unit is highly recommended or, in some instances (ex. situations involving sponsored research programs) required. -
U.S. Export Control laws and regulations can impact University research during the entire research cycle. U.S. Export Controls can limit who researchers can work with, from whom they can receive funding, and what they can release to sponsors, collaborators, and/or the public. In fact, it is nearly impossible to summarize all of the potential impact areas in this limited space. However, we encourage faculty and staff to be aware of the potential for U.S. Export Controls to impact University research in the following ways (non-exclusive):
- By limiting research efforts with high-risk entities or countries and in research areas of significant military or national security concern;
- By restricting the use of foreign nationals, unless licensed or exempt, on sensitive or controlled research efforts;
- By restricting the types of materials, information, or equipment that is made available in general research labs;
- By increasing faculty and staff administrative and operational responsibilities and burdens;
- By increasing facility and operational costs when U.S. Export Controls are found to apply to a specific program/research area; and
- By increasing complexity in the research operations of the University.
Faculty and staff are encouraged to seek advice about the potential impacts on their research programs from the professional staff in the University Export Compliance Office. Our staff provides awareness training and conducts transactional export reviews for the entire Penn State community. To request assistance or training, please contact us at export@psu.edu.
- By limiting research efforts with high-risk entities or countries and in research areas of significant military or national security concern;
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First, remember not to panic! Just because something has been marked as controlled, export controlled, or potentially subject to U.S. or International Export Laws or Regulations does not mean that the marking is correct, and, even if it is correct, there may not be any restrictions on the use/distribution of the item.
Nevertheless, if you receive something that is marked as export controlled, please take the following actions.- Please place the item or information in a secure environment. For hard goods, materials, or equipment, putting the item in a lockable location or storage environment with limited or restricted access should suffice (e.g. placing the materials in a locked cabinet with limited key access). For information marked as controlled, please place in a user restricted location (i.e. personal drive, personal storage folder) to which unauthorized users will not have access.
- Do not allow access to any other University Persons unless necessary for time-sensitive job functions.
- Do not allow access to any foreign persons/nationals until otherwise approved by the University Export Compliance Officer (for foreign persons who receive controlled items/information, please document the source of materials/information and limit further sharing with foreign persons/nationals until approved).
- Contact the University Export Compliance Office immediately and provide the following information: (i) the nature of the item/information received; (ii) the source or provider of the item/information; and (iii) the basis of the University need for access to such item/information. You may contact the University Export Compliance Office via email or by phone (814-867-2379).
When the University Export Compliance Office receives a notification of the receipt of controlled items/information, an export compliance specialist will contact you for more information and to conduct a review. In the event controls are required, the export staff will work with the recipient, their unit, and support staff, to develop a management plan to limit or mitigate the export compliance risks that possession of the item/information may present.
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The University has a number of resources available to help evaluate the impact of U.S. Export Controls on University research efforts. The University Export Compliance Office, a unit within the Office of Ethics and Compliance, exists to help University Persons (faculty, staff, students, etc.) understand and comply with U.S. Export Controls as they impact their University efforts, including their research and instructional efforts. The University Export Compliance Officer (UECO) and Empowered Official (EO) is the manager of University's Export Compliance and Management Program. The Office of Sponsored Programs also provides guidance to researchers on the impact of U.S. Export Controls on their research programs (including program related Grants, Contracts, Cooperative Agreements, NDAs, etc.).
To reach the University Export Compliance Office or the UECO, please feel free to email us or contact us by phone at 814-867-2379.
To reach the export staff in OSP, please feel free to email the Chair, Export Compliance Committee in OSP or contact OSP by phone at 814-865-1372.
Anonymous reports of potential export compliance violations or concerns may also be made through the University Hotline either online or by calling 1-800-560-1637.
International Travel
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For the purposes of reviewing and evaluating travel for export compliance purposes at Penn State, international travel is any trip, regardless of the starting point, with an intended international destination. International travel does not include any travel to a U.S. destination, including any travel to a U.S. territory, possession, state, or commonwealth (including Puerto Rico, Guam, U.S. Virgin Islands, and others). International travel also does not include any trip commencing from an international location with a destination in the U.S., even if the traveler then returns to the original international starting point (round trip to the U.S.). For convenience, it is simplest to consider this on the basis of "departure" and "destination" points. Any travel with an intended destination in an international location, regardless of the departure point, is considered international travel for export compliance purposes at Penn State. Here are some examples to help determine whether travel is considered international travel for export compliance purposes.
- Traveler departs State College with a destination in Fairbanks, Alaska, including a short layover in Vancouver. This travel is not international travel for export compliance purposes at Penn State.
- Traveler drives from State College to Toronto, Canada and then flies to Munich, Germany with a matching return itinerary. This travel is international travel for export compliance purposes at Penn State.
- Traveler departs London, U.K. and flies to State College with a matching return flight. This travel is not international travel for export compliance purposes at Penn State.
- Traveler departs London, U.K. and flies to State College. Traveler then rents a car and drives to Toronto, Canada. This travel is international travel for export compliance purposes at Penn State.
- Traveler departs Santo Domingo, Dominican Republic with a flight to San Juan, Puerto Rico to attend a conference at Penn State expense. Traveler returns to Santo Domingo at the conclusion of the conference. This travel is not international travel for export compliance purposes at Penn State.
- Traveler departs State College with a destination in Fairbanks, Alaska, including a short layover in Vancouver. This travel is not international travel for export compliance purposes at Penn State.
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While the majority of faculty, staff, and student travel is unlikely to be substantially impacted by U.S. export control laws and regulations, there are a number of potential reasons why international travel may surprisingly be subject to U.S. export control restrictions. To help prevent potential problems for our faculty, including problems with customs clearance and re-entry upon return to the U.S., the pre-departure export compliance review of University Affiliated international travel is now required by University Policy AD89. By asking a few simple questions of all international travelers prior to departure, the export compliance staff at Penn State can identify trips that are more likely to raise significant export compliance issues. Export compliance staff can then work with travelers to mitigate any export compliance risks that might impact their travel and related academic or research efforts. It is important to understand that U.S. export control laws and regulations can impact travel to any international destination, even places as benign as Canada, due to concerns over individuals, companies, technologies, or potential applications of technology. For example, while it is unlikely that a faculty member traveling to the United Kingdom to examine manuscripts in the Royal Library and Royal Archives in London will be involved in activities related to controlled technologies, should that same faculty member plan to meet with a member of the known "terror" group, then U.S. sanctions laws may apply even if the faculty member is unaware of that connection.
The goal for our office remains the facilitation and support of the University's international efforts. Our review process is designed to identify potential red flags and then follow up with the potentially impacted international travelers. In the event any red flags are identified for a specific trip, our office will work with the traveler to mitigate any potential risk to the traveler and to the University. -
Given the breadth of U.S. export control laws and regulations, it is impossible to limit our review of international travel to trips to certain destinations and/or in certain fields of academic or research focus. However, certain destinations and activities present greater risks. International travelers to high risk destinations or traveling for high risk purposes should be prepared to answer U.S. government and border security questions about such itineraries. Travel to the following countries is significantly restricted or potentially at high risk for government review: Cuba, Iran, North Korea, Sudan (especially South Sudan), and Syria. While travel to such destinations may not be expressly prohibited, the provision of any "services" and/or the transfer of any "assets" (financial transactions included) to residents of such countries may require U.S. government approval, either via specific license or specific exemptions or existing regulatory approvals (such as General Licenses). Travelers wishing to travel to one of these destinations are urged to contact the Export Compliance Office well in advance of travel (recommend at least 3-6 months if possible), as filing for and obtaining specific licenses may take an extended period of time.
NOTICE: Starting approximately August 31, 2017, persons traveling under a U.S. Passport will be prohibited from travel to the Democratic People's Republic of Korea (North Korea) without prior approval and issuance of a special passport validation from the U.S. State Department. This new policy is due to ongoing safety, security, and geopolitical concerns, including concerns related to the treatment of international visitors and specifically the treatment of U.S. Persons. No University Affiliated travel to North Korea is authorized unless such travel is approved in advance by all required offices, including the University Export Compliance Office, and all required U.S. government licenses and approvals are obtained.
In addition to travel to high-risk destinations, travel for high-risk purposes may also require U.S. government approvals. Travel for research in high-tech, emerging technology fields that have potential military, physical security, and/or data security/data protection applications creates additional risk exposure. Field research involving hazardous, dangerous, or infectious materials, components, or systems also increases the risk of potential U.S. government investigations and interest. Finally, research and activities in certain sanctioned or targeted fields (e.g., oil and natural gas programs in Russia, computer security and data protection programs in China) may also present greater risks. -
Having your international travel evaluated for potential export compliance risks is incorporated into the Travel Safety Network (TSN) online enrollment system. The TSN is required for all University Affiliated International Travel under the University International Travel Requirements Policy. To simplify processes for international travelers, our office has created an online questionnaire in the TSN to help us identify those trips which may be of concern. By answering 6 simple questions, our export compliance staff can evaluate your trip for potential red flags and follow up, if necessary, to get more information or to provide assistance in mitigation of any export compliance risks that your travel plans may generate. For the vast majority of travelers, no additional follow up beyond the completion of the 6 original questions asked in the form is necessary.
When completing the online export compliance questionnaire in the TSN, we ask that you read the instructions and questions carefully and provide complete but concise responses. By answering the questions completely as part of the initial TSN process, you will reduce any potential delays in the processing of your TSN enrollment and limit the need for additional, time-consuming follow up inquiries. -
The Travel Safety Network (TSN) is a system of offices at Penn State involved with preparing faculty, staff, and students for international travel, recording travel information, and providing assists to international travelers when needed. The TSN brings together the services of the Student Affairs Office, University Risk Management Office, Export Compliance Office, International Risk Office, and others to help Penn State international travelers conduct their travel safely and in compliance with federal regulations and University policies. Penn State travelers record their international travel information in the TSN database and additional information and services related to the planned international travel is made available within or through the TSN.
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Travelers will receive an e-mail confirmation "receipt" to retain for their records. This e-mail confirmation can be used as part of the reimbursement process to document completion of the TSN enrollment. TSN e-mail confirmations are generated weekly to travelers based on their date of travel. Based on the number of travel records received for the review period, TSN enrolled travelers should generally receive an e-mail confirmation one (1) week prior to their date of departure.
If you need a copy of your email confirmation or you believe you failed to receive an email confirmation for a completed TSN enrollment, please contact the TSN Staff to request a copy. The TSN Staff may be reached via e-mail (tsn@psu.edu) or by phone (814-863-8788).
Please note: While the Export Compliance Office will do everything we can to assist you with your TSN questions and enrollment, our office does not have access to the full TSN records or the TSN generated e-mail confirmations. For assistance with using the TSN or obtaining an e-mail confirmation, travelers will need to contact the TSN Staff. -
For questions related solely to the export compliance portions of the TSN enrollment process, please feel free to contact the Export Compliance Office via e-mail (export@psu.edu) or by phone (814-867-5088).
For assistance or questions about the TSN enrollment process, including technical assistance with completing a TSN enrollment, please contact the TSN Staff via e-mail (tsn@psu.edu) or by phone (814-863-8788). -
All University Affiliated international travel is subject to the International Travel Requirements Policy and must be enrolled in the TSN and undergo an export compliance review. University Affiliated international travel is defined in the International Travel Requirements Policy as "[a]ny travel by University employees, students or authorized volunteers to an international destination which is for educational, research, or business purposes tied to the traveler’s affiliation with the University. This includes travel by groups affiliated with the University, such as Recognized Student Organizations and travel to professional conferences/meetings even if the University travelers’ costs are paid by an outside organization."
Travel funded and/or reimbursed by outside entities or individuals, particularly foreign persons or entities, presents additional concerns due to economic sanctions and embargoes that may apply. International travelers are encouraged to enroll all international travel related to their ongoing University affiliations and activities. When in doubt about whether any particular international trip is University Affiliated, travelers are encouraged to treat such trips as University Affiliated for purposes of the International Travel Requirements Policy. -
For non-Penn State persons traveling internationally at Penn State expense, such travel is considered University Affiliated International Travel. As with other University Affiliated International Travel, an export review is required for such travel due to potential liability that may be assessed to Penn State given our fiscal responsibility for the activities/efforts.
Non-PSU travelers may enroll their travel in the TSN by contacting the TSN Staff to request access credentials for the TSN site. Alternatively, an export review of international travel by a non-PSU person may be requested by submitting an online request directly to the University Export Compliance Office. The online web form should be used only if the non-PSU person will not be completing a TSN enrollment covering the University Affiliated International Travel.
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Generally yes. However, travelers to certain highly restricted destinations may be prohibited by U.S. export controls from taking items owned by their employer with them on such trips. Travelers should indicate in their TSN enrollment if they intend to take a University owned laptop with them on their trip.
Best practices suggestion: If you do not need a particular technological device, it is safest to leave it home. If you do need to take your laptop, smartphone, or tablet with you abroad, we recommend that you please consider the following:- Make sure your device has all current security patches and software updates installed;
- Make sure you have a current backup of all files on the device;
- Remove any unnecessary files/content, including any sensitive or controlled content (FERPA, PII, 3rd Party IP, Export Controlled information or software, etc.);
- Encrypt all necessary sensitive/controlled information (though encryption does present concerns in some destinations like China, France, etc.);
- Connect to Penn State resources/files remotely through trusted network connections;
- Use tunneled access (VPN/encrypted connections) back to Penn State resources whenever possible;
- Do not leave your device unattended or unsecured, even in your hotel room (take it with you or, at a minimum, use the hotel safe);
- Do not attach any third party provided or foreign sourced devices, including USB sticks, to your device; and
- Upon return, have the device scanned for malware prior to reconnection to the Penn State network (or your home network).
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In most cases, items that will be temporarily taken abroad with a traveler are unlikely to require any pre-approval and/or government license. However, certain items, materials, or information may be controlled for specific end-uses (what you or others intended to do with it), end-users (restricted persons), or locations (restricted destinations).
Items specially designed for military or defense applications will almost always require either a license or license exemption for temporary or permanent export to an international destination. Technical data that is related to any defense articles or defense services will also likely require some type of license or license exemption. If you plan to take such items/information with you on an international trip, please contact the University Export Compliance Office (export-travel@psu.edu) well in advance so we can help obtain any necessary licenses. Licensing for defense articles or technical data can take several months for government approval, so advance notice is critical.
For all other items, please include a list of intended items you plan to take with you in your TSN enrollment. The staff in the University Export Compliance Office will review the information you provide and, if necessary, follow up directly with the traveler to provide guidance or indicate requirements for any items listed. In the vast majority of TSN enrollments, no additional follow up is required as the temporary export of the non-defense items commonly taken abroad by University travelers rarely require any formal licenses or security measures.
If you plan to take specific items abroad which you believe may be controlled or restricted for your intended end-use, end-users, or destination, you may contact the University Export Compliance Office prior to enrollment of your travel to have such items pre-screened. To request a pre-screening of items, please contact the export compliance travel review team via email (export-travel@psu.edu).
Finally, travelers should be aware of other University and U.S. government/foreign government requirements which may apply to taking certain items abroad. For example, commercially available UAVs, which may in most circumstances be taken to almost all foreign destinations for temporary use without significant export control concern, are subject to University Policy (SY45) on the use of Unmanned Aircraft for University-Affiliated Activities and may also be subject to usage restrictions at the foreign destination. For more information about the University’s Unmanned Aircraft Operations program, please contact the UA Operations Team within the Office for Research Protections. -
The BAG (Baggage) and TMP (Temporary) license exemptions permit travelers to carry certain controlled items with them during their travel abroad without first having to obtain a U.S. Government export license.
License exception BAG (Baggage) authorizes the temporary export/reexport of otherwise controlled items or technology that are personally owned by the traveler. For example, a traveler may take his/her personally owned laptop on an international trip to most destinations using the BAG exception. The BAG exception may not, however, cover the temporary export of controlled or restricted software, technical data, or information that is stored on the laptop. The BAG license exception applies only to personally owned items; therefore, BAG may not be used for Penn State owned resources like department provided tablets or laptops.
License exception TMP (Temporary) authorizes the temporary export/reexport of employer-owned items that will accompany an employee on business related travel. Items exported using the TMP exception must return to the United States within one year of the initial departure (thus setting the timing for the temporary nature of the export). The items exported using the TMP exception must remain under the effective control of the traveler while abroad. As used in the regulations, effective control generally means keeping the TMP eligible items in the traveler's physical possession or storing them in a secured location such as a hotel safe or lockbox. The TMP exception allows travelers to travel with usual and reasonable quantities of standard tools of trade to any country, except Cuba, Iran, North Korea, Sudan, and Syria. License exception TMP is available to all U.S. persons (e.g., Penn State University) and to their employees (e.g., all Penn State employees regardless of their citizenship status) and does not require any specific documentation. However, for customs clearance purposes, documentation of the TMP export status of certain items may be advisable.
The University Export Compliance Office can assist travelers with documenting the use of these exceptions using self-certifying BAG or TMP forms as appropriate. For assistance with such documentation, please contact the University Export Compliance Office directly.
PLEASE NOTE: Neither the BAG or the TMP license exceptions apply to any of the following types of specifically, controlled technology: high-grade encryption products; satellite or space-related equipment, components, or software; or any ITAR-controlled items. -
Due to U.S. sanctions and embargoes that apply to Cuba, the Cuban government, and many Cuban entities and individuals, travel to and general engagement with Cuba remains highly restricted. University Affiliated Travel to Cuba for academic or research purposes should be reviewed and cleared prior to engaging in any travel related transactions. Certain activities or travel purposes are generally authorized (by a general license). To determine whether a general license applies to proposed Cuba travel for University Affiliated International Travel, please contact the University Export Compliance Office (export-travel@psu.edu) for assistance. Travel not authorized by a general license will likely require submission of a specific license request via the Office of Foreign Assets Controls. Per University Policy AD89, all licenses for University related activities, including OFAC Specific License requests, must be submitted by the University Export Compliance Officer. UPDATE (09-23-2020): Please note that OFAC has updated its general authorizations (general licenses) for travel to Cuba to specifically remove the general authorization for travel to Cuba to: (1) attend or organize professional conferences; or (2) to participate or attend performances, events, contests, or exhibitions (including athletic and non-athletic events). While previous travel to Cuba for such activities had been generally authorized, specific licenses are now required for travel to Cuba for such purposes.
In addition to the general restriction of travel to or engagement with Cuba, authorized travel to Cuba involves significant restrictions on certain physical exports of items from the U.S. and on certain direct financial transactions with entities deemed to be closely connected with the Cuba government and/or military.
Limited license exemptions apply for taking U.S. items, including almost all basic commercial items, to Cuba even temporarily. Most items that are personally owned by the traveler are eligible for temporary export to Cuba under the BAG License Exception (see BAG information above). Unfortunately, University owned assets (e.g., University laptops, cameras, etc.) due not qualify for temporary export under the BAG License Exception and no corresponding authorization for use of the TMP license exception applies. As a result, University owned assets may only be taken to Cuba, even temporarily, if reviewed and approved by the University Export Compliance Office. For permanent exports to Cuba, please contact the University Export Compliance Office directly.
Direct financial transactions with certain specifically identified entities deemed to be closely connected to the Cuban military, intelligence, or security services or where it is deemed that a transaction would disproportionally benefit such services at the expense of the Cuban people in general are prohibited. The United States Department of State publishes and maintains the list of such restricted entities. Travelers to Cuba should review the list prior to and/or while in Cuba to avoid engaging in any direct financial transactions. A prohibited direct financial transaction includes payment of cash or credit for services from any such entity. The current Cuba Restricted List in PDF format is available here.
For additional assistance with planned travel to Cuba, or for questions in general about the export compliance impacts on planning future travel to Cuba, please contact the staff in the University Export Compliance Office. -
The University has a number of resources available to help evaluate and remediate concerns with any official University International Travel. For specific guidance regarding compliance with University policy governing International Travel, please review the new International Travel Requirements Policy. The University Export Compliance Office, a unit within the Office of Ethics and Compliance, exists to help University Persons (faculty, staff, students, etc.) understand and comply with U.S. Export Controls as they impact their official University travel. The University Export Compliance Officer (UECO) and Empowered Official (EO) is the manager of University's Export Compliance and Management Program. The University Office of Global Programs also provides guidance, direction, and assistance to University personnel on the University's approach to its global efforts, including implementation and management of the University's mandatory international travel enrollment system, the Travel Safety Network.
PLEASE NOTE: According to University Policy, all University Affiliated international travel must be enrolled in the TSN prior to departure.
To reach the University Export Compliance Office or the UECO, please feel free to email us or contact us by phone at 814-867-2379. To reach the TSN staff in Global Programs, please feel free to email them or contact them by phone at 814-863-8788.
Anonymous reports of potential export compliance violations or concerns may also be made through the University Hotline either online or by calling 1-800-560-1637.
International Visitors
PLEASE NOTE: These FAQs refer to export compliance reviews by the University Office of Export Compliance (UECO) of international visitors and newly hired international faculty, staff, post-doctoral scholars, and graduate research assistants requiring a visa. For general information on visiting international scholars that do not require a visa, see Penn State’s new policy on Visiting Scholars (AC01) (effective November 1, 2019, for U.S. and international visitors). Also, visit the associated website for Penn State Visiting Scholars: https://sites.psu.edu/visitingscholars/.
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The University Export Compliance Office (UECO) is required to review invited international scholars and their home institutions to determine applicable export controls. U.S. Export Controls are very broad and include activities beyond exporting physical products. Transferring technical information and source code to an international visitor or employee through training or academic research activities is also considered an export. An example is training an international person on how to design, fabricate, operate, and/or repair an experimental device or laboratory equipment. Or providing an international person physical or electronic access to an experimental device, equipment, documents, and/or design and development data. See Export Administration Regulations (EAR) (15 CFR 734.13(2).
Faculty and staff are encouraged to seek advice from the UECO about the potential impact of international persons taking part in their research programs.
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We consider traditional instructional programs “Published” or “Public Domain” information. And, catalog course information or associated teaching laboratory typically qualifies as published/public domain information (see EAR, 15 CFR 734.3(b)(3)(iii)). There are a few scenarios in which U.S. Export Controls may restrict participation in instructional activities by international persons at Penn State or abroad.
- Information that may not qualify as published/public domain are capstone projects or other applied research efforts involving non-traditional student populations such as government/military end-user groups and/or third-party corporate employees.
- Training of international persons in the use (beyond simple operation) of laboratory/field equipment or software may be restricted and require an export license or other approval.
- Information and software provided by an outside party (e.g., a sponsor, donor, or collaborator) may be seen by them as proprietary or restricted for national security reasons.
- Faculty engaged in instructional services directed toward international students from/in countries subject to comprehensive U.S. embargoes or significant U.S. economic sanctions.
- For additional discussion, see the FAQ on Educational Materials on this site under Export Compliance and Universities.
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U.S. Export Controls exclude “fundamental research” at U.S. institutions of higher education with the following exceptions:
- The researcher’s work has been classified, and the researcher has accepted restrictions on publication or involvement of foreign nationals.
- Pre-existing information, data, or software brought into the research effort that are proprietary items from a sponsor.
- Any equipment used in or developed during academic research remains subject to applicable export controls.
- There also may be restrictions and prohibitions on working with certain individuals and entities from countries subject to U.S. and U.N. embargoes.
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The UECO receives a review request when an international person gets submitted to the Visiting Scholar and Office of Global Programs workflows. You are welcome to inform us of a prior screening by OSP or our office; we will review any updated information on your international collaborator, such as home institution and intended research at Penn State.
For information on OSP’s requirements regarding involvement by international persons, see Export Compliance on OSP’s website and RA40 and RAG40.
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The UECO conducts an independent screening and review of international scholars to identify potential compliance issues specific to Penn State research. There may be a need for restrictions on physical or electronic access to research resources and to guide the host faculty or staff member and their unit. This step helps us ensure that we have performed our due diligence in complying with U.S. Export Controls.
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All nationalities can pose a compliance risk depending on:
- Access to export-controlled commodities and technology;
- Potential re-export of controlled technology to the scholar’s home or other countries; and
- If the international individual or home institution is found on the restricted/denied parties lists.
If you have any concerns about countries that may have sanctions and embargoes, we encourage you to request a review before inviting the international person. This will allow our office time to screen the individual and home institution to determine if export or sanctions regulations would severely limit the international person’s involvement in research at Penn State.
The five most restricted/sanctioned countries are Cuba, Iran, North Korea, Ukraine/Crimea, and Syria. The restricted/denied parties listing also has concerns for China, Argentina, Belarus, and Russia.
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The State Department offers a license exemption for full-time international employees at U.S. higher education institutions. However, there are limitations on the internationals eligible for the exemption and on some types of technology (e.g., certain infrared sensors). Research with a Technology Control Plan (TCP) or using laboratory or field equipment controlled under the ITAR or some EAR categories (e.g., “600 Series” items) should consult with OSP and UECO staff before involving internationals in their research.
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First, remember not to panic! Most commodities (i.e., fabricated items) do not require a license to import into the U.S. Biological items may require a permit from an agency in the U.S. Department of Agriculture or Department of Health & Human Services; the Environmental Protection Agency; Fish & Wildlife Service; and one or two others. Commodities that may require an import license have military or nuclear energy uses. Though, all imports may be subject to import duties. So, please follow these protocols:
- Before the international scholar arrives, ask if they have checked with their own country’s export regulations regarding the item they intend to bring to Penn State.
- Once the item is in the U.S., it becomes subject to U.S. export or import regulations. Until UECO conducts an export review, do not allow the international scholar access to the item and the technical information about the item. This is essential if the item will undergo modification while at Penn State. For instance, if the item will be integrated into a Penn State device or processed into another form.
- The UECO recommends the following actions if the international scholar brings an item with them for which you do not know the applicable export controls:
a. Place the imported item or information in a secure environment. For hard goods, materials, or equipment, put the item in a lockable location or storage environment (e.g., a locked cabinet with limited key access). For technical information (electronic, hard copy data, or documents), please place it in a secure environment (e.g., personal drive or storage folder, locked filing cabinet) to which unauthorized users will not have access.
b. Do not allow other international persons access unless approved by the University Export Compliance Officer and limit further sharing with the international scholar until approved.
c. Contact the UECO and provide the following information:
(i) the nature of the imported item or information received;
(ii) the source or provider of the imported item or information; and
(iii) the basis for the University’s need to access such items or information. You may contact the UECO via email or by phone (814-867-2379).
- If export controls are required for the imported item/information, the export staff will help the recipient, their unit, and support staff to develop a management plan to limit or mitigate the export compliance risks.
- Ask the visiting scholar if they intend to take or ship the item back to their country. If yes,
- It may be returned using the license exception if the item was not changed while in the U.S.
- If the item was modified, then it must be reviewed again for the correct U.S. export control classification and any licensing requirements.
- If you plan to arrange for the return of the item, please contact the UECO for help.
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- Yes, but any item (commodity, software, or documentation) sent out of the U.S. is an export that may be subject to U.S. export regulations and may require an export license or use of a license exception. Contact the University Export Compliance Office (UECO) as soon as you know and provide the following information:
- The nature/description of the item;
- the source or provider of the item;
- the need/use for the item at the international destination; and
- if the item from the international origin was repaired, enhanced, or modified in any manner while in the U.S.
- We may direct you to fill out the International Shipment form available on our website. When the specialist does their review, they will advise you on any requirements for an export license or other approval.
- Several common scenarios seldom require a license, except for sanctioned countries. However, the UECO still recommends contacting our office to get a statement or memo to accompany the item that provides the reason(s) it requires no license. These scenarios include:
- An international visitor is taking (or shipping) the original, unmodified item(s) back to the home country;
- A U.S. person is returning the unmodified item(s) brought (or shipped) to the U.S. by an international visitor;
- Software and/or documentation created from fundamental research. Physical items created from fundamental research never qualify for the fundamental research exclusion;
- Naturally occurring biological items. Although, certain substances like pathogens, toxins, and their related genetic elements are specifically controlled under U.S. export regulations.
- You also need to determine the licensing or permitting requirements of the destination country. Biological items are the most likely to have foreign import restrictions.
- UECO staff will include the following information in the statement or memo that accompanies the returned item if hand-carried:
- The export control classification (or a statement that the item is not subject to U.S. export regulations);
- The purpose of the export and destination;
- The reason it requires no license or a license exemption, and
- Contact information for the UECO should any customs officials have questions.
- Yes, but any item (commodity, software, or documentation) sent out of the U.S. is an export that may be subject to U.S. export regulations and may require an export license or use of a license exception. Contact the University Export Compliance Office (UECO) as soon as you know and provide the following information:
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The University has several resources available to help evaluate the impact of U.S. Export Controls on University research efforts.
- The University Export Compliance Office (UECO) exists to help University Persons (faculty, staff, students, etc.) understand and comply with U.S. Export Controls, which may impact their research and instructional efforts.
- The University Export Compliance Officer and Empowered Official (UECO/EO) is the manager of the University's Export Compliance and Management Program. To reach the University Export Compliance Office or the UECO/EO, email or contact us by phone at 814-867-2379.
- The Office of Sponsored Programs (OSP) also provides guidance to researchers on the impact of U.S. Export Controls on their research programs (including program-related Grants, Contracts, Cooperative Agreements, NDAs, etc.). To reach the export staff in OSP, you may email the Chair of the Export Compliance Committee in OSP or contact OSP by phone at 814-865-1372.
- Anonymous reports of potential export compliance violations or concerns may also be made through the University Hotline either online or by calling 1-800-560-1637.
Guidelines for hosting Visiting Scholars can be found here.
International Shipments
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For the purposes of reviewing academic, research, and administrative activities at Penn State for export compliance, an international shipment or transfer is the transfer of physical items by any means between the United States and an international location. Imports as well as exports are included by these terms. While the University Export Compliance Office (UECO) is responsible for reviewing exports for compliance with U.S. regulations, UECO staff will also, as resources permit, assist faculty, staff and students in identifying import requirements such as permits or certifications. It’s also important to understand that the return of temporary imports can have export compliance implications, particularly if the item will be modified in some manner while at Penn State.
International shipments or transfers can be by mail or other letter and package services; express services; freight services; and travelers carrying the items with them or in baggage (“hand-carrying”). Examples of physical items include equipment, prototypes, materials, biological samples, media containing data or software, and paper documentation.
Travelers intending to hand-carry items should note these when they enroll in the Travel Safety Network. Carrying typical business items such as laptops and cell phones does not require a separate International Shipment – Export/Import Review Request; however we strongly recommend submitting a request for other hand carried items well in advance of travel.
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While most shipments by faculty, staff and students to international destinations do not require an export license or may be permitted under a license exception, failure to comply with licensing requirements can result in substantial fines and civil or criminal charges and may negatively impact the reputation of the individual and/or Penn State.
In addition, compliance with U.S. export control and sanctions regulations requires ensuring that an intended recipient (or provider if the shipment is an import) is not a restricted or denied party according to the lists maintained by several U.S. agencies. These lists include U.S. Persons as well as Foreign Persons; these terms encompass individuals, companies, even academic institutions. The University Office of Export Compliance and several other Penn State offices have the resources to screen against all relevant restricted/denied parties lists. (For more information, see on this (UECO) website: Restricted Party Screening and Export Compliance Basics FAQs – “Foreign National/Foreign Person” and “U.S. Person.")
The goal of the University Export Compliance Office is to facilitate the University’s international efforts by working with faculty, staff and students to identify shipments which may require a license or other supporting documentation and develop a plan for complying with the requirements.
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All fabricated and/or modified physical items and some naturally occurring ones are subject to U.S. export regulations. Items under development as part of a fundamental research programs are also controlled; the fundamental research exclusion applies only to information and software, never hardware. In addition, only the International Traffic in Arms Regulations (ITAR) and Export Administration Regulations (EAR) acknowledge the fundamental research exclusion; the Office of Foreign Assets Control (OFAC) embargo and sanctions regulations do not provide a general exclusion for fundamental research.
For additional information on the Fundamental Research Exclusion of the ITAR and EAR, see on this (UECO) website: Export Compliance and Universities FAQs - “What is ‘Fundamental Research’? “ and “Wait, isn’t my academic research free of U.S. Export Control concerns?”
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Embargoes and Sanctions: Please be aware that any transaction involving U.S.-produced or U.S.-content items may be subject to U.S. and U.N. embargoes and sanctions. The U.S. Treasury Department has primary responsibility for enforcing compliance with embargoes and sanctions through its Office of Foreign Assets Control (OFAC). The U.S. Commerce Department’s Export Administration Regulations (EAR) incorporate embargo-/sanction-related restrictions into its licensing and record-keeping requirements.
Export Regulations:Physical exports of equipment, prototype devices and components, materials and chemicals, certain microorganisms (including genetic elements), software, data and technical documentation are most often controlled under one of three sets of U.S. Regulations: the State Department’s International Traffic in Arms Regulations (ITAR), the Commerce Department’s EAR, and/or the Treasury Department’s (OFAC). Summary descriptions are provided in the Export Compliance Basics FAQ “What U.S. Export Control Regulations should I know about?”
Physical exports of most naturally-occurring materials, chemicals, and biologicals (microorganism, plant, animal, and human samples) do not require a U.S. export license, although they may require special handling by Penn State Environmental Health and Safety and/or the selected shipping service. Of course, the international destination may require import permits or certifications; the intended recipient should be responsible for complying with local regulations.
Note Regarding Imports – See also FAQ “What U.S. Import Control Regulations should I know about?”
U.S. regulatory oversight of imports is largely reversed from exports in that hardware, software and documentation are largely uncontrolled while materials, chemicals, and biologicals often require permits or certifications. U.S. Customs and Border Patrol is responsible for reviewing all imports for compliance with other agencies’ requirements (and holding shipments for review by those agencies) and assessment of customs duties.
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All imports are subject to inspection by the U.S. Department of Homeland Security’s Customs and Border Protection (CBP) for assessment of duties and compliance with CBP and other agencies’ regulations. Shipments may be held up or even returned to the shipper (or destroyed) if CBP requests additional information and does not receive a timely response. A helpful website is the CBP’s “Basic Importing and Exporting.”
Importing equipment, devices, software, data and technical documentation rarely requires an import license. Certain military- and/or nuclear energy-related items may require a license under the Department of Justice's Bureau of Alcohol, Tobacco, Firearms, and Explosives or the Nuclear Regulatory Commission, respectively. The Commerce Department does not regulate imports.
Importing materials, chemicals, and biologicals (microorganism, plant, animal, and human samples) may require an import permit or certification. The primary concerns are safety (including hazardous or toxic materials and infectious pathogens) and/or the health of live imports. These agencies include:
- Department of Homeland Security
- Customs and Border Protection
- Department of Transportation
- Department of Agriculture
- Animal and Plant Health Inspection Service
- Department of Health & Human Services:
- Centers for Disease Control and Prevention
- Food and Drug Administration
- Environmental Protection Agency
- Fish and Wildlife Service
- Department of Energy
- National Nuclear Security Administration
- Nuclear Regulatory Commission
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For most international shipments, a request for review submitted to the University Export Compliance Office (UECO) is sufficient to obtain clearance to arrange your shipment. However, there are several exceptions:
Hazardous or dangerous items: If the item you plan to ship is hazardous or dangerous (including any materials necessary to preserve the item during shipment, such as dry ice), you will also need to contact the University’s Environmental Health and Safety Office. We recommend first requesting an export compliance review; EHS requires an approved export compliance review before they will release a shipment.
Biological specimens or samples: If the item you plan to ship is a microorganism; plant, animal, or human tissue or fluid samples; or genetic elements of any type, we recommend first identifying other staff or researchers in your college or unit who are knowledgeable regarding permits and certifications. UECO staff have the resources to research requirements but college/unit members may be better resources for preparing any required documentation.
Items subject to agreements with a sponsor, vendor, or other party: In such cases you may want to consult with the University office responsible for maintaining the agreement. See below for suggestions.Other offices you may wish or need to contact for assistance include:
- Animal Resource Program (ARP) – intake or transfer of animals (primarily domestic transfers);
- Office of Environmental Health and Safety (EH&S) - hazardous items (dry ice, toxic chemicals);
- Office of Research Protections (ORP) – operation of unmanned aircraft (drones / UAVs);
- Office of Sponsored Programs (OSP) - items subject to Non-disclosure Agreements, Data Use Agreements, or Technology Control Plans;
- Office of Technology Management (OTM) - items subject to Material Transfer Agreements or Invention Disclosures / Patents;
Property Inventory – University- or USG-tagged equipment; - Purchasing– new software requests; procurements to be shipped direct to foreign destinations.
- Risk Management Office – software users agreements; other contracts and legal documents requiring a University signature;
- University Export Compliance Office (UECO) - items subject to export licenses.
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The terms "Commodity" (EAR) and "Defense Article" (ITAR) refer to items which may be controlled under the applicable export regulations. The ITAR and EAR take slightly different approaches to defining terms. “Defense Article” is defined to include only ITAR-controlled items, that is, items on the “U.S. Munitions List”, and the term includes physical items and “Technical Data. “Commodity” is defined more broadly to include both controlled and uncontrolled items; whether an item is EAR-controlled depends on additional definitions and specifications on the Commerce Control List. “Commodity” refers only to physical items, not “Technology” or software.
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See the Export Compliance Basics FAQ of the same title, “What is “Technology” or “Technical Data”?” These terms are also defined in Important Export Compliance Terms.
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Failure to comply with U.S. Export Control Regulations, including the ITAR, EAR, or OFAC regulations, can result in substantial financial costs, suspension of government award or contract activities, suspension of export privileges, and/or criminal penalties. See also the Export Compliance Basics FAQ of a similar title, “What happens if I violate U.S. Export Regulations?”
Failure to comply with U.S. import requirements, including permits, certifications, and/or payment of customs duties, can result in substantial delays in delivery and/or return of the item(s) to the international provider by U.S. Customs and Border Protection.
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The most efficient process for requesting an export or import compliance review of an international shipment is to use the online form provided by the University Export Compliance Office (UECO). A review may be requested for shipments and hand-carrying of items by travelers. Examples of items reviewed by UECO staff include equipment (e.g. laboratory analysis kits and supplies); scientific instruments; prototype devices; novel materials; biological samples (microorganisms, plant, animal, or human tissue and fluid samples or genetic elements); and media containing software, data, or technical documentation.
Please note that an export compliance review by the UECO is required prior to international shipments of hazardous/dangerous or potentially export controlled materials, per University Policy AD89 and University Guideline ADG09. Faculty and staff are encouraged to submit other international shipments for review when they know, have reason to believe that, or are uncertain whether the items to be shipped may be controlled under U.S. export regulations or may be subject to restrictions imposed by U.S. or United Nations embargoes and sanctions.
The UECO has developed a comprehensive online form for requesting export/import compliance reviews of international shipments. The International Shipment - Export/Import Review Request Form form uses internal logic to ask questions tailored to the nature and scope of the requested international shipment. We expect the use of this form will enable UECO staff to more quickly identify any relevant export or import controls and determine if a license, permit, or certification is required, reducing the need for followup correspondence with the submitter.
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We recommend collecting the following information in advance to facilitate completion of the online form in one sitting. For individuals using browsers with cookies turned on, this form should automatically auto-save when you leave the form. You may return (within 7 days) to add additional information by simply clicking on the form link.The form may be used for multiple related items to be shipped together, such as consumables for a diagnostic kit or multiple electronic components. A list may be included in the item description, submitted as an attachment as indicated in the form, or you may email the list to export@psu.edu with a textual reference to your form submission in the body of the email. Information that is or may be required includes:
Who & Where:- Penn State Faculty/Staff requesting the shipment: Name & Email
- Person filling out this form: Name & Email
- Penn State department or unit
- International Provider / Recipient: Contact Person, Email, Institution, COUNTRY
- Source of Item (Penn State / Other; Naturally Occurring / Commercial / Custom or Experimental)
How:
- Permanent / Temporary (usually ≤ one year) Shipment
- Return of previously shipped item
- Hand-carry / Standard or Express package / Other – Freight Services
When:
- Desired date of shipment
What:
- Equipment (lab or field) or Device (e.g. component, prototype, end-item)
- Material or Chemical (provide Safety Data Sheet if available)
- Biological: Plant / Animal or Microorganism / Human (e.g. live, sample, genetic element)
- Technology (e.g. data, drawings, manuals)
- Software: Source Code / Executable
Why:
- Purpose or intended use at Penn State and abroad (e.g. characterization or testing; please note that “research” is not a sufficient response and UECO staff will reach out for details)
Safety & Special Handling:
- Hazardous or dangerous (e.g. corrosive, toxic, pathogenic)
- Special shipping requirements (e.g. dry ice)
- Value (for carnets, customs, and/or licenses; an estimated replacement value is recommended, not the full development cost.)
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An export compliance review by the University Export Compliance Office is required prior to international shipments of hazardous/dangerous materials, per University Policy AD89 and University Guideline ADG09. We recommend obtaining the relevant Safety Data Sheet (if available) to attach to the online International Shipment – Export/Import Review Request Form. Once the UECO compliance specialist has completed reviewing the shipment, the specialist will send an email to the submitter; this email may be provided to the University Environmental Health and Safety Office as proof that the export compliance review has been completed.
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The University has a number of resources available to help evaluate the impact of U.S. Export Controls on University efforts, including international shipments. The University Export Compliance Office, a unit within the Office of Ethics and Compliance, exists to help University Persons (faculty, staff, students, etc.) understand and comply with U.S. Export Controls as they impact their University efforts. The University Export Compliance Officer (UECO) and Empowered Official (EO) is the manager of University's Export Compliance and Management Program.
To reach the University Export Compliance Office or the UECO, please feel free to email us or contact us by phone at 814-867-5088.
Anonymous reports of potential export compliance violations or concerns may also be made through the University Hotline either online or by calling 1-800-560-1637. -
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Software, Software Access, and Export Controls
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Software, equipment, and information that are specifically identified by the provider as controlled under the ITAR (International Traffic in Arms Regulations) come with significant access and use restrictions. To avoid inadvertent violations of U.S. export controls and sanctions, please contact the University Office of Export Compliance (OEC) immediately for assistance by emailing export@psu.edu. Do not install, distribute, or release the ITAR controlled software to anyone before consulting with OEC. Installation, access, and use of ITAR controlled software may require the implementation of a Technology Control Plan to limit exposure of the ITAR controlled software to Foreign Persons.
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Fortunately, the vast majority of the software we deal with on a day to day basis is not controlled under the ITAR. In a perfect world, all ITAR controlled software would be identified as ITAR controlled by the original provider/owner of the software. However, not all software is accurately identified as ITAR controlled by software vendors, retailers, resellers, or other sources. The following are some general suggestions on how to identify whether a particular piece of software is ITAR controlled or not. If you have any concerns about a specific software package, we encourage you to reach out to the Office of Export Compliance for a consultation via an email to export@psu.edu.
- If the provider has identified the software as ITAR controlled in the documentation (licenses, agreements, user manual, etc.);
- If the vendor/provider requires an End-User or End-Use Certification Form that references ITAR controls;
- If the software is specially designed to perform or support a military application;
- If the software was obtained from the U.S. Department of Defense or its military units;
- If the software was obtained from a U.S. Government Agency (e.g. NASA) and is used in a high risk application (e.g. spaceflight controls, remote sensing, etc.); or
- If the software or its intended usage is for a military end-use/end-user.
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Most software, including commercially available software, in the U.S. is subject to some level of control under the Export Administration Regulations (EAR) which are administered by the U.S. Department of Commerce. Fortunately, EAR controlled software is generally not controlled for mere operational use by foreign persons located in the U.S. However, if foreign persons will have access to the source code for software and/or the software is unique to certain more highly controlled applications (e.g., aerospace, encryption), then access or use may be restricted for certain foreign persons regardless of location. Some potential indicators of specific end-user restrictions applicable to foreign persons located in the U.S. may be identified as follows. If you have any concerns about a specific software package, we encourage you to reach out to the Office of Export Compliance for a consultation via an email to export@psu.edu.
- If the End User License Agreement or other licensing terms (collectively "EULA") are marked with one or more Export Control Classification Numbers, esp. 5A002 (encryption items), etc.;
- If the EULA has been marked as confidential, proprietary, or subject to other restrictive legends (FOUO, CUI, etc.);
- If the EULA has restrictive language regarding specific foreign person access or country based restrictions beyond those implementing otherwise applicable U.S. laws and regulations;
- If the Software has encryption capabilities beyond simply using commercially available technology for encrypting/decrypting data;
- If the Software was obtained directly from or provided by or under license from a U.S. Government agency (e.g. NASA).
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For non-ITAR controlled software, the remote use of software or related IT services while located or residing outside of the U.S. will not constitute an export requiring a license under the EAR unless access to or use of the source code is provided. Physical shipment of certain software to certain international destinations may also be controlled. For review of specific software export licensing requirements, we encourage you to reach out to the Office of Export Compliance for a consultation via an email to export@psu.edu.
In addition to the general concerns above, end users located in more highly controlled international destinations may be subject to certain restrictions due to U.S. Government embargoes and sanctions programs. Currently, the U.S. has imposed comprehensive embargoes or sanctions in the countries of Cuba, Iran, North Korea, Syria, and the Crimea region. For end users located in such locations, including potentially U.S. persons and Penn State faculty/staff/students, the access to and use of U.S. controlled software and the provision of IT services may require government licensing or approval. Faculty or staff engaging with persons in such locations should contact the Office of Export Compliance immediate to obtain specific guidance and support in managing these sanctions related risks. -
As mentioned above, the U.S. has imposed comprehensive embargoes or sanctions in the countries of Cuba, Iran, North Korea, Syria, and the Crimea region. While the nature and extent of such sanctions are unique to each sanction program, in general the sanctions prohibit the provision of any service to persons located in or, in many cases, ordinarily resident in the sanctioned geographic region. It is important to understand that these sanctions are geographic restrictions that apply to persons physically in (or normally in) such locations and are not necessarily tied to foreign citizenship or residency status. The use of software or the provision of IT service may be licensed or approved, either by regulatory action (general license) or by specific request (specific license), as part of the sanctions oversight conducted by the Office of Foreign Assets Control (OFAC). To request assistance in determining whether specific planned access, use or support services are restricted in the locations specified, please contact the Office of Export Compliance via email to export@psu.edu.
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Potentially, yes. The involvement of foreign persons in fundamental research efforts (i.e. basic and applied research ordinarily published and not subject to any publication or foreign national restrictions) does not remove the obligations to limit access or use of controlled materials and information, including software, in violation of any "applicable" U.S. export control restrictions. Fortunately, basic access to and use of non-ITAR controlled software by persons in the U.S. is generally not restricted. However, in certain circumstances U.S. export laws may prohibit access or use by foreign persons of certain software or IT support services as part of their performance of fundamental research efforts. In addition, users are reminded that all access and use policies, including account based access and use requirements will apply per existing University IT and Access Account policies.
In general, we recommend that you contact the Office of Export Compliance via email to export@psu.edu if any of the follow circumstances are anticipated:- If you plan to provide a foreign person with access to software source code;
- If you plan to provide administrative access privileges to any host computer/server system (which could then provide access to controlled information or materials hosted on such systems);
- if the software has encryption capabilities beyond use of commercially available encryption technology to simply encrypt/decrypt data
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If the software was created during, or resulting from, fundamental research in science, engineering, or mathematics, then in most cases, no restrictions on access and use are likely to apply. For software generated as part of a controlled program or using restricted data/information (e.g. existing third party proprietary code or algorithms), U.S. export controls may apply to the software resulting in the need, therefore, for an export license prior to sharing with certain foreign person. In addition, certain categories of software may have specific controls that apply (e.g. certain geospatial software have recently been made expressly subject to US export regulations under most circumstances).