International Collaboration (Inside or Outside USA)
Export Control Guidance
All members of Rutgers University are required to adhere to US Export Control Regulations and Rutgers University Policies when collaborating internationally from inside or outside the USA. The purpose of these regulations is to prevent to release of export controlled data and technology to unauthorized recipients. This includes any method including providing access, sending electronic data, or even use discussing it verbally.
For the purpose of Export Control Regulations, an individual who is a "U.S. Person" can be allowed access to export-controlled information without an export license. If the export controlled information is classified, however, the regulations for release of classified information apply.
You must be aware of the following when collaborating with anyone:
- Is this person a “US Person” or is this an foreign entity? Non-US Persons may not have access to restricted data or materials. Beware of those who misrepresent themselves.
- What country is this person a part of? Each country has different levels of restrictions. This will determine how you may collaborate with them.
- What am I sharing with this person? Ask if the data or materials you are sharing are export control regulated? This including provide access to secured devices and communication through any method. You must also determine who is the end user which may be different then the person you are interacting with.
- US Person: US PERSON (EAR PART 772 AND ITAR 120.15), any individual who is granted US citizenship or US permanent residence ("Green Card" holder) or has a status of "protected person" under 8 U.S.C. 1324b(a)(3) or any corporation/business/organization/group incorporated in the United States under US law or any part of US government.
- US Citizen: An individual with united states citizenship as acquired by birthright, in which a person is presumed to be a citizen if he or she was born within the territorial limits of the United States, or—providing certain other requirements are met—born abroad to a U.S. citizen parent or naturalization, a process in which an immigrant applies for citizenship and is accepted.
- Dual Citizenship: means that a person is a citizen of two countries at the same time, having legal rights and obligations in connection with both countries. As a general principle, the last citizenship obtained governs and while dual nationals are in the country of which they are citizens that country has a predominant claim on them.
- (Two Non-US Countries): Use last country as current citizenship but all citizenship is checked.
- (One Countries Includes USA): If one includes the USA, they are treated as a US citizen. Just because the United States allows dual citizenship, however, doesn’t necessarily mean your country of origin does, too.
- Permanent Resident: A Green Card holder (permanent resident) is someone who has been granted authorization to live and work in the United States on a permanent basis.
- Foreign Person: Any natural person who is not a lawful permanent resident of the United States, citizen of the United States, or any other protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means any corporation, business association, partnership, trust, society or any other entity or group that is not incorporated in the United States or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of a foreign government (e.g., diplomatic mission). “Foreign person” is synonymous with “foreign national,” as used in the EAR, and “foreign person” as used in the International Traffic in Arms Regulations (22 CFR 120.16). This definition does not apply to part 760 of the EAR (Restrictive Trade Practices or Boycotts). If the individual is not a U.S person, when applying the "deemed export" rules the EAR looks at the person's most recent citizenship or permanent residence whereas the ITAR looks at the person's country of origin (i.e. country of birth) and all current citizenships.
- Foreign National: anyone who is neither a US citizen nor is classified as a Permanent Resident (i.e. Green card holder). Even if the foreign national visitor is coming from a university, research institute, or company located in the US, this form should be completed. Note a special case, that according to the National Industrial Security Program Operating Manual (DoD), a permanent resident with a green card is still a foreign national and not a "US person."
- Foreign Entity: Any partnership or group not incorporated or organized to do business in the US or any foreign government.
Presentations: When presenting data/information in an international setting (including in the US where the audience may include foreign nationals), you need to ensure that you limit your presentation to only information or data that is published, or is publicly available, or that qualifies as Fundamental Research. Be careful not to include or discuss any proprietary, unpublished, or export-restricted data or information as that may constitute an unauthorized export.
Interactions with Foreign Colleagues: As noted above, you are free to openly discuss any published or publicly available information or information generated as the result of Fundamental Research as long as the recipient is not a sanctioned or specially designated entity. It is important to remember that while the results/information resulting from Fundamental Research are not subject to export controls and can be shared without a license, any items, technology, or software generated under that Fundamental Research would be subject to export controls and may require an export license.
Field Work: research which takes place in the participants' environment, in this case, Any university research activity done outside the US, may not qualify for the Fundamental Research Exclusion and would therefore not be protected from export controls until the work is published or otherwise made publicly available. Before disclosing or sharing information or data resulting from international field work it is important to ensure that the information is not export restricted.
Financial Payments: In order to ensure compliance with OFAC regulations prohibiting the university from providing material or financial assistance to any blocked or sanctioned individual or entity, any university activity that involves payment to a non-U.S. person, business, or organization (e.g. international subcontracts, purchase of items from international vendors, or payments to research participants) must be verified against all appropriate sanctioned party and entity lists.
Those who wish to conduct research with foreign nationals and/or include Non-Rutgers research sites who are part of a sanctioned or boycotted country, the US Government will require an export license or other documentation prior to commencement of any study procedures. If a license is required, it will likely take three months plus to obtain one. All grantees must comply with US Government regulations. This is true even if the grantee is a non-US citizen based at a non-US institution.
Examples of Activities Which May Require An Export License Involving Sanctioned/Boycotted Countries:
- Conducting surveys or interviews;
- Transmitting online courses;
- Including Foreign Nationals as study team members;
- Payments or other financial transactions;
- Collaborating with foreign nationals including for research purposes;
- The sharing of research results with foreign persons;
- Providing training and other services to foreign persons;
- Sending equipment or software outside the US;
To view the most recent list of sanctions, and to check if any exemptions apply, visit the OFAC website.