Export Control Guidance Topics: Export Control Activities

The Rutgers Export Control Team will help you determine if Export Control regulations apply to your activity and provide guidance if you are able to conduct the activity with safeguards, need to obtain an Export License, or that it is unlawful, and it may not occur.

Export Control Regulations affect the export of commodities (goods and materials), technology (technical data and know-how), and software out of the United States including to a foreign national within the USA. They also affect items being re-exported (transferred from one foreign country to another foreign country), as well as products made outside the country by or for a domestic company.  

• Manufacturing, sales and distribution of technology specifically “dual use” technology which is commercially available but may have military applications which are identified on the EAR-controlled items (the Commerce Control list, or “CCL”) and EAR Technical Assistance as governed by U.S. Export Administration Regulations (EAR).  
• Defense and military related technologies as governed by U.S. International Traffic in Arms Regulations (ITAR). 
• Sharing what is “deemed” to be an export with a foreign national or entity. 
• Sending money to a foreign national or foreign company for any reason. 
• All items in the U.S. regardless of origin.

Through any oral, written, electronic or visual disclosure, shipment, transfer or transmission of commodities, technology, information, technical data, assistance or software codes. US regulations treat a transfer of information to a national of a country as equivalent to a transfer to that country itself. 

• Presenting to a foreign national in a meeting or conference 
• Collaborating with a foreign national on a research project in the USA or abroad. 
• Emailing or talking a foreign national about regulated topics. 
• Accessing and/or storing controlled data when traveling internationally: e.g. bringing a work laptop and mobile phone with you on a trip. 
• Working with a foreign national employee in the USA or abroad (including remotely) 
• Providing access to a foreign national to data even if they will not access it. 
• Shipping a material outside of the USA or Shipping it inside the USA to a Foreign National. 

These regulations are aimed at any non-US person or entity including a U.S. citizen located abroad OR a person "acting on behalf of” a foreign person, or a foreign embassy or affiliate. 

• A Foreign National you encountered when traveling abroad or in the USA 
• A Foreign National employee, visitor, student, etc. at Rutgers University. 
• A US Person encountered outside the USA. 
• A US Person representing a foreign person, entity, or government. 
• Anyone who is not a US Citizen, Lawful permanent resident (i.e. Green Card holders) 
• Any Individual, entity, group, or organization listed on any US Agency Sanctions list 
• Any Foreign Corporation or group that is not currently incorporated in the United States or organized to do business in the United States 
• To yourself when personally accessing data in another country.

The Export Control Unit offers many Export Control related services which may be required to meet regulatory and University requirements: 

• Identify an Export Control Classification Number (ECCN)
• Conduct a Classification Review.
• Conduct a Prohibited Parties Screening.
• Provide Export Control Approval for various types of activities.
• Apply to the US Government for an Export License on your behalf.
• Provide an advisory opinion.
• Provide other government authorization (related to Export Controls).
• Rutgers Empowered Official authorized to sign a DD-2345 Militarily Critical Technical Data Agreement.

To obtains these services, please control Rutgers Export Control.

All Rutgers business travelers are required to submit their travel plan in Rutgers MyTrips website as per Rutgers policy, at least one month prior to their departure. You must also alert Export Control if your trip changes before or during your international trip. Please review the Rutgers International Travel and International Collaboration guidance for additional information. Rutgers Export Control will review your MyTrips Travel Submission and identify any Export Control issues.

Note: when completing MyTrips, include the full official name of your destinations and/or your contacts. Include website links to conferences and locations, if available.

Some examples of international travel include:  

• Attending or Presenting an International Conference or Meeting Outside the USA.
• Conducting Research Abroad.
• Collaborating or discussing possible collaboration with colleagues or International Entities abroad.
• Visiting international locations for business purposes.
• Teaching, Training, or Providing Other Services Abroad.

Collaborating with Foreign Nationals must be screened by Rutgers Export Control to determine whether these activities are lawful or require special conditions to remain lawful. Hiring, conducting research with, training, or hosting any foreign nationals requires Export Control review including activities taking place in the USA (View Rutgers International Collaboration Guidance Page to Learn More).

Some examples of international collaboration include:

• Interacting with Foreign Visitors in the USA.
• Conducting Research in the USA with a Foreign National study team member.
• Conducting Research internationally with a Foreign National study team member.
• Hiring a Foreign National (Non-US Citizen) to work in the USA or work internationally.
• Teaching a foreign visitor how to use some types of technology in the USA or remotely abroad.

At Rutgers:

Deemed Export Certification: As Rutgers Global is processing your visa, they will reach out to Export Control to approve a deemed export certification as applicable. Once approved, Export Control will send the approval to Rutgers Global and to the Foreign National’s Rutgers Department. Learn More (Rutgers Global services Rutgers Newark, Rutgers NB/Camden, RBHS)

Visitor Review: RU Sponsoring Department must alert EC including groups tours and individuals. They must be prepared to provide the following information: Who is visiting, where are they visiting from (company, university, country), what/who are they visiting, and how long.

Visiting Scholar Agreement Review: The visitor’s RU department will submit a VSA to Export Control for approval. RU Export Control does not accept VSA forms directly from researchers, they must be sent from the RU Sponsored Department only. A VSA is an agreement for any non-employed persons or non- matriculated student visitors who are doing research at Rutgers. Departments must submit a completed VSA at least two weeks prior to the arrival of the visitor. Once approved, it will be returned to the visitor’s RU department.

Export Control review is required to determine whether an export license is necessary to be obtained prior to the shipment of materials outside of the United States.

Note: Export Control is not involved in the actual shipment of items or its coordination.

Some examples of international shipments are:  

• Shipping data, materials, biological agents to an international country. 
• When an item enters the U.S., even with transshipments, it is subject to U.S. laws and regulations. Transshipment or transshipment is the shipment of goods or containers to an intermediate destination, and then to another destination. One possible reason for transshipment is to change the means of transport during the journey (e.g., from ship transport to road transport), known as transloading.
• Sometimes, items purchased abroad and imported into the U.S. may require licenses or other approvals for return shipment to the original source location (for example, repairs).

At Rutgers:

Rutgers REHS and the RU Office of Corporate Contracts [MTA agreements] will alert Export Control about any international shipments. If your shipment does not involve these Rutgers departments, email Rutgers Export Control directly for shipping approval. To learn more about the Shipping Approval process, visit the Shipping Approval guidance page.

Contracts are reviewed by Export Control for compliance to export control regulations when they involve export control issues (involving foreign nations, international sponsors, etc.).

At Rutgers

Agreements processed in RAPSS by Research and Sponsored Programs will be reviewed by Export Control when applicable. As you have initiated the review of your contract with the Rutgers Sponsored Research Agreements team, they will reach out to Export Control to provide any Export Control Approval as needed.

When technology is released to the foreign national, the US government “deemed” it to be an export to the individual’s home country even if they are in the USA. Export control will provide Deemed Export certification when reviewing International Visas. 

The foreign national's Rutgers department will submit a deemed export determination request as provide by Rutgers Global Services (See H-1B Sponsorship Forms: For full-time faculty appointments) by email to Export Control.

These types of items are regulated by US Export Control Regulations. These regulations are in place to monitor for chemical and biological weapons and to prevent the diversion of such items to destinations and end-users of concern. Specifically, dual-use export controls exist for chemical and biological (CB) equipment, materials and technology (e.g. toxins, chemicals, fermenters, pumps, valves, explosives or precursors). Learn more about Selected Agents and Toxins. 

At Rutgers, Export Control will be alerted by your required notification to Rutgers Environmental Health and Safety (REHS) about your use of a biological agent, toxin, or chemical.

Some research requires Export Control approval if it contains any percentage of funding from a foreign entity. 

Some examples include:

• Research is being sponsored by a foreign company, institute, university, government, foundation.
• Research activities and/or funding is related to the military (from any country including USA, e.g. defense contractor or government).
• Sponsored research containing contractual restrictions on publication or dissemination.  
• Research sponsored by an American company’s international unit.  
• Research involving the provision of financial support or services outside the U.S.
• Involves payments to Foreign nationals.
• International travel funding.

At Rutgers: 

Research submissions in RAPSS will be forwarded to Export Control for approval as needed. Ensure your RAPSS information is detailed to allow for your export control review to be conducted efficiently.

Non-governmental organizations may provide humanitarian assistance in countries that are not subject to comprehensive sanctions (such as Yemen, Iraq, Somalia, South Sudan, or Côte d'Ivoire) without the need for a license from Office of Foreign Assets Control (OFAC), so long as they are not dealing directly with persons blocked by sanctions or any entities owned 50 percent or more by blocked persons. For countries that are subject to comprehensive sanctions (for example, Iran and Syria), a license from OFAC may be required before engaging in any humanitarian activities.   

• Bringing technology to another country.
• Bringing medical supplies or treatment to a foreign country.
• Involved in assistance due to natural disasters (medical or reconstruction or using technology during the process, rescue and recovery operations).  

Make sure that the Rutgers traveller or their department registers the international travel in Rutgers MyTrips and notes the purpose of the trip.