University of Hawai‘i (UH) faculty, staff and students, as well as RCUH employees hired to support UH-related programs (collectively referred to as “UH community”), are likely to come into contact with federal regulations that impose access, dissemination or participation restrictions on the use and/or transfer of commodities, technical data, or the provision of services subject to United States (US) export controls for reasons of national security, foreign policy, anti-terrorism or non-proliferation. Therefore, the UH community must be cognizant of US export control laws and regulations and be prepared to take the necessary steps to ensure compliance.
What is the Office of Export Controls?
The Office of Export Controls (OEC) is tasked with certain administrative processes that are primarily related to restricted research (i.e., export-controlled and/or classified research) and other related business activities of the University of Hawai‘i (UH). OEC serves as the main resource for UH administrators, researchers, and other faculty and staff who are involved with research projects and business matters which require the review and execution of certain types of unfunded contractual agreements that may be subject to various U.S. laws and regulations. OEC is responsible for assisting researchers in complying with complex and ever-changing U.S. laws and regulations which regulate certain strategic information, technology, and services, through training, providing advice and classification assistance, preparing and submitting license applications to Federal agencies, conducting assessments, and administering applicable UH policies and procedures.
Contact the UH Office of Export Controls (OEC) for any questions pertaining to export control scenarios, interpretation of regulations or UH policy, to request export licenses, or to schedule departmental training.
U.S. Sanctions in Response to Russia’s Invasion of Ukraine
On February 24, 2022, the U.S. government imposed severe financial and export control restrictions on Russia and entities supporting the Russian government. These restrictions are likely to change and may affect current or future University collaborations, agreements, research projects. The press release from the U.S. Commerce Department regarding these new controls can be found here.
ECONOMIC SANCTIONS: Multiple businesses, banks, and individuals are now restricted by the U.S. Government due to their support of the Government of Russia’s invasion of Ukraine. Conducting business or other activities with restricted parties, their subsidiaries or family members may be prohibited or require an export license. The UH Office of Export Controls (OEC) can assist in identifying barred parties through the use of Restricted Party Screenings (RPS).
EXPORT RESTRICTIONS: Items that previously did not require a license now require government authorization. The export sanctions are intended to restrict high-level technologies that would advance Russia’s defense, maritime, and aviation growth. Many items and technologies subject to the Export Administration Regulations (EAR) are affected, including but not limited to computers, semiconductors, telecommunication, encryption security, lasers, sensors, navigation, avionics, propulsion, aerospace, and maritime technologies. Check with OEC before shipping or transferring any items or technology to Russia.
CONTACT UH OEC: Please email firstname.lastname@example.org for guidance if you currently have or anticipate any activities involving individuals, colleagues, businesses, universities, etc. in Russia, including (but not limited to):
- Collaborating on research or other projects
- Financial transactions
- Technology exchanges
UH OEC is closely monitoring new license requirements as additional sanctions are anticipated. Contact OEC for assistance in determining impacts to your research, collaborations, shipments, payments, travel, and other activities.
Deemed Export refers to the release of export-controlled technical data, technology, and/or source code, to a Foreign National, whether in the US or abroad, as such a release is deemed to have been exported to the Foreign National’s home country(ies). Deemed Exports can occur through visual or oral disclosures.
Defense Service means “the furnishing of assistance (including training) whether in the US or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of a Defense Article.” A Defense Service also includes the furnishing to Foreign Persons any Technical Data which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance and modification of Defense Articles. Defense Articles are identified on ITAR’s USML.
Export Controls are US Export Control Laws and Regulations that restrict the export of certain Technology or Technical Data, commodities, or software (“Export-Controlled Items”) to a foreign country or to a Foreign National, whether that foreign national is inside or outside the US. As such, a license or other type of government authorization may be required for:
- The export of “Export-Controlled Items,” which include:
- Defense articles enumerated on the US Munitions List (USML), 22 CFR § 121; and/or
- Commodities enumerated on the Commerce Control List (CCL), 15 CFR § 774, Supplement No. 1;
- The provision of services for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of a defense article to a foreign country or Foreign National; and/or
- Exports to (including travel) or financial transactions with Sanctioned Countries, Parties of Concern, and/or Specially Designated Nationals.
Export Control Classification Number
Export Control Classification Number (“ECCN” or collectively “ECCNs”) is a five character alpha-numeric code which identifies the type of technology and capabilities of certain Export-Controlled Items which, in combination with the country of destination, entity, and the end-use, determine if an Export License is required for a specific export, or whether an Export-Controlled Item can be exported without an Export License. The ECCN must be determined prior to export.
ECCNs are assigned to commodities and technology controlled for export purposes by EAR and are found on the CCL. (See Categories 0 – 9.)
Export-Controlled Items and Technical Data controlled by ITAR are found on the USML. These are not assigned an ECCN, but rather, a munitions category number ranging from I to XXI (one to twenty-one). For convenience, this Administrative Procedure uses the term “ECCN” to refer to classifications for all Export-Controlled Items, Technology and Technical Data, even those on the USML.
Items or technology not regulated by either ITAR or EAR, are designated by the ECCN “EAR99” and can be exported to any country in the world without an Export License, except for a US Embargoed Country.
An Export License is a document stating that the relevant US Government agency has granted the licensee the right to export an Export-Controlled Item, Technology or Technical Data to a specific country, specific end-user, and for a specific purpose. An Export License is not transferable to any other country or end-user than those specifically named in the Export License. An Export License issued by one US Government agency is not transferable for export activities regulated by any other US Government agency.
A Foreign National (also referred to as a “foreign person”) is any person who is not a citizen or national of the US, unless that person has been lawfully admitted for permanent residence or is a “protected individual” designated as an asylee, refugee, or temporary resident under amnesty provisions, as defined by the US Immigration and Naturalization Act. The definition includes foreign corporations, foreign governments and any agency or subdivisions of foreign governments (e.g. diplomatic missions).
Parties of Concern
Parties of Concern are individuals, entities, and organizations that have had their export privileges revoked by the US Department of Commerce, Bureau of Industry and Security and/or the US Department of State, Directorate of Defense Trade Controls. “Specially Designated Nationals” are individuals, entities, and organizations that are owned or controlled by or are acting on behalf of targeted or sanctioned countries, and have had their assets blocked by the US Department of the Treasury, Office of Foreign Assets Control. Lists of Parties of Concern and Specially Designated Nationals are maintained by the aforementioned federal agencies, and also include US citizens and entities.
Sanctioned Countries are those countries targeted by the US Department of the Treasury, Office of Foreign Assets Control for asset and trade restrictions, to accomplish US foreign policy and national security goals. Sanctioned countries include those which the US imposes a full trade embargo on, known as “Embargoed Countries.” Currently those countries are: Cuba, Iran, North Korea, Sudan and Syria.
Technology or Technical Data refers to technical information beyond general or basic marketing materials about an Export-Controlled Item. The terms do not refer to the controlled item itself, or to the type of information contained in publicly available user manuals. Rather, the terms Technology and Technical Data mean specific information necessary for the development, production, or use of an Export-Controlled Item.