OFAC, Patriot Act and ITAR Regulations and Research: Balancing Homeland Security with Scientifc Communication


April 3, 2002


To: Deans, Directors, Chairs and Faculty

From: Roberto D. Peccei, Vice Chancellor for Research

Following the events of September 11, balancing the need for national security while maintaining open scientific communication has become a topic of significant import. Awareness of issues related to access to information and scientific materials, citizenship restrictions and other sponsorship controls, regulations related to export controls, and anti-terrorism legislation have increased.

I am writing now about several federal regulations in an attempt to heighten awareness both of these regulations and security concerns that may affect campus research activities.

Foreign Assets Controls

  • The Office of Foreign Assets Control ("OFAC") of the U.S. Department of the Treasury administers and enforces economic and trade sanctions against targeted foreign countries, terrorism-sponsoring organizations and international narcotics traffickers based on U.S. foreign policy and national security goals.
  • As of March 2002, trade or economic sanctions have been imposed on Burma, Cuba, Iran, Iraq, Liberia, Libya, North Korea, Sierra Leone, Sudan, Unita (Angola) and Yugoslavia. (See http://www.ustreas.gov/ofac) The countries and organizations on this list are subject to change.
  • In some cases, the U.S. Department of the Treasury may issue licenses to permit travel to, research in, or the transfer of funds to these countries. In other instances these activities may be prohibited.
  • Investigators contemplating submission of proposals to support research in these countries, collaboration with researchers in any of these countries, or transfer of funds to any these countries should contact Ann Pollack, Assistant Vice Chancellor - Research (x40387 or apollack@resadmin.ucla.edu) prior to submission of the funding application in order to determine the need for a license.

USA Patriot Act

  • The Patriot Act, signed into law in October 2001, amended the existing biological weapons possession statute and extended regulations in place since 1996 that govern the transfer or receipt of certain viruses, bacteria, toxins, rickettsiae, and fungi categorized as 'select agents' by the federal government.
    (See: http://www.nih.gov/od/ors/ds/pubs/appendxa.html).
  • The Patriot Act amends the Biological Weapons statute and criminalizes possession of such materials of a type or in a quantity not reasonably justified by a bona fide research or peaceful purpose. In addition, it prohibits possession by "restricted persons" as defined in the Act.
  • "Restricted persons" include illegal aliens, non-permanent residents of any of the countries designated by the U.S. State Department as supporting terrorism (currently Syria, Iran, Iraq, Libya, Cuba, North Korea, and Sudan); as well as individuals who are under indictment or have been convicted for a crime punishable by imprisonment for a term exceeding one year; fugitives from justice; users of illegal drugs; individuals who have been adjudicated as a mental defective or have been committed to any mental institution; or who have been dishonorably discharged from the US Armed Services.
  • The bona fide research exemption will probably make most of the research that UCLA conducts permissible. However, even in conducting "bona fide research" the campus is expected to have in place certain security restrictions including screening employees in involved laboratories to exclude "restricted persons" from participating in the research.
  • Questions should be directed to James (Rick) Greenwood, Director, Environment Health and Safety (x66544 or greenwood@admin.ucla.edu ). Researchers receiving or sending any of the select agents should contact the Campus Biosafety Officer, Leslie Hofherr (x63929 or leslie@admin.ucla.edu).

Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR)

  • Federal export control laws implemented both by the U.S. Department of Commerce through its Export Administration Regulations (EAR) and the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), have been in existence for more than twenty years. The regulations cover virtually all fields of science and engineering.
  • The only exports for which the U.S. government requires a license for shipment of the item into or out of the U.S. are those that are listed on the export-controlled lists.
    For EAR see (http://w3.access.gpo.gov/bxa/ear/pdf/indexccl.pdf).
    For ITAR see (http://fas.org/spp/starwars/offdocs/itar/p121.htm).
  • Federal regulations also control the conditions under which certain technical information about controlled items can be disclosed to foreign nationals on U.S. soil. Even if an item appears on one of the lists of controlled items, there is generally exclusion for disclosure of technical information about the item if the technical information falls within the exclusion for fundamental research.
  • Fundamental research includes basic or applied research in science and/or engineering at a US academic institution where the resulting information is ordinarily published and shared broadly in the scientific community.
  • Accordingly, the University must secure a license for shipment of any items on the EAR or ITAR lists, but technical information about the items may be exchanged with foreign nationals as long as the information results from fundamental research and controls on participation in the research or dissemination of the research results have not been accepted.
  • It is important to understand however, that University research will not qualify as fundamental research if the university accepts any restrictions on the publication of the information resulting from the research, other than limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor; or the research is federally funded and specific access or dissemination controls regarding the resulting information have been accepted by the university or the researcher. This means that under certain conditions acceptance of contracts in which publications are restricted or prior approval of foreign nationals is required, may preclude UCLA faculty from sharing information with foreign colleagues or students or prohibit foreign students from working in a particular laboratory, both of which are contrary to University policy.
  • Questions about license applications should be directed to Linda Lee, Manager, Government/Non-Profit Sector, Office of Contract and Grant Administration (x 40369 or llee@resadmin.ucla.edu).

In summary, if you are currently engaged in international research or expect to be doing so in the near future, or are contemplating work with select agents, or working on technologies governed by EAR or ITAR, I urge you to confer with appropriate UCLA personnel now to determine whether special licenses or other clearances are needed. The University will assist you in the process.

We recognize the fact that there is inherent tension in weighing national security interests against the traditional academic values of openness, the ability to freely publish research results, and a policy that precludes discriminating by nationality or citizenship status in the selection of research project personnel.

We will make every attempt however, to work through these issues so as not to impede the campus research agenda. Unfortunately, there may also be some situations in which, in spite of our best attempts to do so, the campus cannot procure a license, and/or get research sponsors to drop unacceptable restrictions. While we hope this happens on only the rarest of occasions, there may be some circumstances in which we do have to decline research support.


cc: Chancellor Albert Carnesale
Executive Vice Chancellor Wyatt R. Hume