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Receipt/Use of Export Controlled Items
Many items, equipment, and materials (collectively, “items”) are controlled under export regulations. If you receive items, prior to deployment you need to submit an export classification Order of Review request to determine if any of the items received have export restrictions applied to them.
Situations where an export license may be required for a foreign person to access items, equipment, and/or materials (even when used to perform Fundamental Research):
- The item is controlled under the International Traffic in Arms Regulations (ITAR)
- The item is controlled under Export Administration Regulations (EAR)
- Some situations based on the work/research being completed will make the items export controlled:
- The item is produced in the course of restricted (not fundamental) research or proprietary activities
- A foreign national is interacting with the export-controlled item in a manner that meets “use” as defined in the EAR, to gain the underlying control features of the item
Classification and Jurisdiction
The jurisdiction and the classification of an item will determine how that item is controlled. BNL staff and researchers who purchase and/or receive equipment, items, and materials need to ensure that the export classification of such items is clearly known and documented. The best way to determine the classification is to ask the OEM (Original Equipment Manufacturer) and provide the information to BNL’s Export Control Office for verification and export authorization determination (license and/or license exemption/exception). If the manufacturer cannot or will not provide this information, the Export Compliance Office will determine the level of control and any necessary controls required.
Access Restrictions for Highly Controlled Items
When necessary, access restrictions are intended to provide the minimum level of control necessary to meet the regulations. Restrictions are often simple (such as physically covering a piece of equipment when not in use), low cost, and have little impact on regular activities. Restrictions are implemented only for specific controlled items. At times restrictions are more stringent, particularly for items controlled under the ITAR. The ITAR restricts all foreign national access.
When access to items requires restriction, a Technology Control Plan (TCP) may be implemented. A TCP is a short document that outlines the controls necessary to comply with the regulations. The Export Control Office will work with BNL staff to put together and implement a TCP when required.
Controls for Software, Encryption, and/or Source Code
Export controls on software, encryption products, and source code are increasingly stringent. Even common products, such as those used for multi-factor authentication, require an export license for access by foreign persons. Likewise, access may occur in a variety of ways that occur both on and off BNL property. Before receiving or purchasing proprietary or restricted software (i.e. not open source), BNL personnel should work with the Export Compliance Office to determine whether the product requires access restrictions.
