International Traffic in Arms Regulations
(ITAR) Information:
A collection of materials reflecting history, policies, legislation
and experiences of other institutions
Schwerdtfeger Library, Space Science and Engineering
Center (SSEC)
University of Wisconsin Madison, September 2000 (Revised 7 April 2004)
University of Wisconsin-Madison
Policies/guidelines governing research:
Response to
NASA Questionnaire
by University of Wisconsin-Madison
concerning impact of the ITAR on university research (16 October 2000).
Office
of Research and Sponsored Programs
Graduate School, University of Wisconsin-Madison
Policies
Concerning Research Sponsored by Industry
See especially the sections titled:
The Nature of University of Wisconsin-Madison
Research and Publications.
Research
Policies and Guidelines
All applicable university, state and
federal regulations that govern research.
General
Administrative Policy Papers (GAPP)
Financial Administration of Extramural
Support (GAPP 2): See Section V.B.6 for the UW's publication policy and
Section V.B.9 which sets University policy for the transfer of ownership of data.
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Space Science and
Engineering Center,
University of Wisconsin-Madison
SSEC
Export Control Procedure
"...intended to help SSEC employees
and
others associated with SSEC projects comply with the export control
requirements of the International Traffic in Arms Regulations (ITAR)"
(16 November 2000). Revised August 2001.
Actions, briefings, correspondence pertaining to the ITAR:
ITAR Briefing
to the SSEC Council covering history of the ITAR, recent changes,
impact on university research, SSEC activities and plans to date (6 November
2000).
Information distributed internally:
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United States Department
of State
New exemption
concerning higher learning institutions
Includes text from the
Federal Register: March
29, 2002 (Volume 67, Number 61). "This rule amends the
International Traffic in Arms Regulations (ITAR) by establishing an exemption
for
accredited U.S. institutions of higher learning from obtaining a license
for the permanent
export, temporary export, and temporary import of most articles fabricated
only for
fundamental research purposes covered by category XV(a) or (e) of the
U.S. Munitions
List...."
Office of Defense Trade Controls
(DTC)
The Office of Defense Trade Controls (DTC), in accordance with sections
38-40 of the
Arms Export Control Act (AECA) (22 U.S.C.2778-80) and the International
Traffic in
Arms Regulations (ITAR)(22 C.F.R. Parts 120-130), controls the export
and temporary
import of defense articles and services by taking final action on license
applications and
other requests for approval for defense trade exports and retransfers,
etc.
Code
of Federal Regulations (CFR)
Published by the National Archives and Records Administration (NARA),
Office of the
Federal Register and the Government Printing Office. The
Code of Federal Regulations (CFR)
is a codification of the general and
permanent rules published in
the Federal Register by the Executive departments and agencies
of the Federal Government. The
CFR online is a joint project authorized by the publisher,the
National Archives and Records Administration's Office of the Federal Register, and the Government Printing Office (GPO)
to provide the
public with enhanced access toGovernment
information.
International Traffic in Arms Regulations
(ITAR)
22
CFR 120-130 (January 1, 1999 -- January 1, 2000 not yet
available online)
The Arms Export Control Act is implemented by the ITAR. Complete
text of the ITAR. See Part 120, "Purpose and Definitions," for definitions
of such terms as: technical data, public domain, U.S. person, foreign
person, export. Part 121 describes what is included in the U.S.
Munitions List.
United States
Code (USC, 1994, supplement 4)
The United States Code is a codification of all general and permanent
laws of the United States. It is prepared and published by the Office
of the Law Revision Counsel, U.S. House of Representatives. This database,
available through NARA, contains the general and permanent laws of the
United States.
Foreign Relations and Intercourse, Arms Export Control
22 USC 2751-2799
The Arms Export Control Act is codified in the U.S. Code and implemented
by the ITAR. Section 2771, military sales authorizations; Section 2778,
control of arms exports and imports; Section 2780, transactions with countries
supporting acts of international terrorism.
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United States Department
of Commerce
Bureau of Industry and Security
(formerly the Bureau of Export Administration)
Includes current BIS issues; initiatives; rules, regulations and lists;
getting help; news, etc.
Export Administration Regulations
The Export Administration Act is implemented by the Export Administration
Regulations. These regulations are issued by the United States Department
of Commerce, Bureau of Export Administration (BXA) under laws relating
to the control of certain exports, reexports, and activities. The
Schwerdtfeger Library subscribes to the comprehensive looseleaf version
of the Regulations which provides the latest rules.
The text of the Export Administration Act of 1979, as amended, can be
found under "Legal Authority for the EAR" link on the EAR
Database page.
Regulations Relating to Commerce and Foreign Trade
Department of Commerce, Bureau of Export Administration
15
CFR 700-774 (January 1, 1999 -- January 1,2000 not yet available
online) Part 734 details the scope of the regulations.
Commerce
Business Daily, August 8, 2000, Special Notices
Request For Information (RFI) Difficulties Encountered Under ITAR for
Satellite-Based Fundamental Research
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NASA Headquarters
NASA Export
Control Program
Includes NASA's policy statement, briefing on NASA's export control program,
contacts, and a link to the U.S.
Export Control Laws and Regulations.
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Association of American
Universities
"The Association of American Universities
(AAU) was founded in 1900 by a group of fourteen universities offering
the Ph.D. degree. The AAU currently consists of fifty-nine American universities
and two Canadian universities. Approximately half are public institutions
and half are private (UW-Madison is a member).
The association serves its members in two major ways. First, it assists
them in developing national policy positions on issues that relate to
academic research and graduate and professional education. Second, it
provides them with a forum for discussing a broad range of other institutional
issues, such as undergraduate education."
One research issue important to the AAU is the International
Traffic in Arms Regulations (ITAR), including:
National security controls and university research:
Information
for investigators and administrators.
Prepared by the Association of American Universities for the Department
of Defense-University Forum. Washington, DC, AAU, 1987. 10p.
Available in the Schwerdtfeger Library.
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Council on Governmental
Relations
"The COGR is an association
of research universities. COGR's primary function is to help develop policies
and practices that fairly reflect the mutual interest and separate obligations
of federal agencies and universities in federal research and training.
COGR deals mainly with policies and technical issues involved in the administration
of federally sponsored programs at universities. The Council concerns
itself with the influence of government regulations, policies and practices
on the performance of research conducted at colleges and universities.
As part of this process, COGR provides advice and information to its membership,
and makes certain that federal agencies understand academic operations
and the burden their proposed regulations might impose on colleges and
universities."
Drop down to: "COGR publications
restricted to member institutions only". The page contains information
on the "ITAR and University Research," including a very
good Summary of the ITAR Dilemma (15 November 2000) and
a Letter to the White House on ITAR Relief (21
November 2000). A copy of Summary
of the ITAR Dilemma in PDF is also available (it is reproduced
here with permission from Rachel Claus, Legal Counsel, Stanford Linear
Accelerator Center, Stanford University).
Export controls
and universities: Information and case studies. Prepared
by the Council on Governmental Relations. Washington, DC, COGR, 2003.
This brochure attempts to provide relevant information about export controls
and how they affect the academic research enterprise. It does not claim
to be a manual of university research administration, nor does it offer
model policies.
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National Academy of Sciences
The
Space Studies Board Quarterly Bulletin Volume 13, Issue 4, October-December
2002.
The Chair's column features a look at our history of international
cooperation and competition in space -- how policies, national and NASA's,
have influenced both. The Board Director's column looks at accomplishments
and challenges, one of which is the impact of export controls on scientific
cooperation.
The
Space Studies Board Quarterly Bulletin Volume 13, Issue
2, April-June 2002. In this issue, the Board Director's Column focuses
on export controls and their impact on international scientific cooperation.
Space
Studies BulletinVolume 11, Issue 1, March 2000. "Over the past year the Space
Studies Board, and especially its Committee
on International Space Programs, has grown concerned about the
impact of evolving implementation of export control regulations on the
conduct of international space cooperation...."
Scientific
Communication and National Security
A report prepared by the Panel on Scientific Communication and National
Security Committee on Science, Engineering and Public Policy. National
Academy Press, 1982. "The Panel.....was asked to examine the various aspects
of the application of controls to scientific communication and to suggest
how to balance competing national objectives....." The text is informative
and provides a good overview. The appendixes are of special interest
covering voluntary restraints on research, historical context of security
concerns, role of foreign nationals in universities, letter from five
university presidents, correspondence between State Department and
University of Minnesota and M.I.T. restricting visitors.
National
Security Decision Directive 189 National
Policy on the Transfer of Scientific, Technical and Engineering Information
Issued September 21, 1985 by President Ronald Reagan. "This
directive establishes national policy for controlling the flow of science,
technology, and engineering information produced in federally-funded
fundamental research at colleges, universities, and laboratories."
The policy defines fundamental research and restates that the mechanism
for control of information that might affect national security is classification.
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Stanford University
ITAR:
Background reading. Last updated June 6, 2001.
Faculty
Essay: Security restrictions on research: a case of déjà
vu by Donald Kennedy. Stanford Online Report, Issue of May
31, 2000. " It is strange how often history repeats itself and stranger
still how often our memories fail to record its lessons....."
Satellite
research grounded: Stanford, other universities oppose regulatory
change
by Dawn Levy. Stanford Online Report, Issue
of May 24, 2000. "Just one
sentence. That was all it took to ban a Stanford graduate student, who
is Chinese, from continuing his work with basic spacecraft control
algorithms.
It was enough to prevent the world's expert in proton monitors, who is
Irish, from being in the same room as the equipment he designed
when American
researchers bolted it onto a satellite. It prevented the signing of a
contract that would allow Japanese, Stanford and Lockheed researchers
to collaborate in studying the sun...."
Openness
in Research Research Policy Handbook (RPH) 2.6 (Originally
issued April 24, 1969; current version May 16, 1996).
Stanford's commitment to
openness in research is expressed in this policy.
Public
meeting to discuss restrictions to noncitizen participation in research by
Dawn Levy. Stanford News, May 9, 2000. "Due in part to security
concerns at some government laboratories, federal jurisdiction for satellite
research recently has been moved from the Commerce Department's export
regulations to the State Department's International Traffic in Arms Regulation
(ITAR). This change creates concerns that participation in some aspects
of satellite-based research projects could be limited to U.S. citizens,
setting up a direct conflict with the openness in research policies of
most universities, including Stanford...."
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Massachusetts
Institute of Technology (MIT)
Response
and Responsibility: Balancing Security and Openness in Research
and Education Report of the President For the Academic Year 2001-02. President Charles
M. Vest's annual report for the academic year 2001-02, which examines
the balance that must be struck if the United States is to remain secure
against terrorism while maintaining the openness necessary for research
and education.
In
the Public Interest Report of the Ad Hoc Faculty Committee
on Access to and Disclosure of Scientific Information, Massachusetts
Institute
of Technology, June 2002. The committee was established ... to examine
MIT’s policies dealing with restrictions on research, such as those
arising from classified or industry-sponsored research. The committee’s
work was done at a time of change in laws governing access to materials
and information and disclosure of research results that followed the events
of September 11, 2001. Restrictions on access to select biological agents,
the application of export control provisions to university researchers,
and a growing pressure totreat research results as sensitive create a
new landscape for faculty, students, and MIT as an institution.
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United
States Citizen and Immigration Services (USCIS)
The US
Citizen and Immigration Services oversees
citizenship, asylum, lawful permanent residency, employment authorization,
refugee
status,
inter-country
adoptions, replacement immigration documents, family and employment related
immigration, and foreign student authorization. The site includes:
forms,
laws, regulations, definitions, FAQs, reports and studies, etc. For detailed
information on types and availability of immigrant and nonimmigrant
visas
to the United States, please see the U.S. Department of State's website
on Visa
Services.
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Center for
Strategic and International Studies (CSIS)
Headquartered in Washington, D.C., the Center
for Strategic and International Studies (CSIS) is dedicated to providing
world leaders with strategic insights on—and policy solutions to—current
and emerging global issues.
Preserving
America's strength in satellite technology: A report of the CSIS
satellite commission. Washington, DC, CSIS, April 2002.
The United States can no longer take its preeminence in space for granted.
A global market in commercial satellite services and the appearance of
new competitors in satellites and space create an increasingly challenging
environment. This study proposes new policies to better manage commercial
space for national security.
Letter
from National Security Advisor Condoleezza Rice to CSIS saying
that the Administration intends to review NSDD-189 and update the policy,
but in the interim, it remains in effect and the NSC will ensure that
it is followed. 1 November 2001.
Military Export Control
Report:
Streamline System, Subject Munitions List to Annual Review
Press Release, 1 May 2001.
Technology and security
in the 21st century: U.S. military export control reform: Executive
summary Prepared by the Export Control Project, Center
for Strategic and International Studies. Washington, DC, The Center,
May 2001.
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Defense Technical Infomation Center (DTIC)
The Defense Technical
Information Center (DTIC®) is
the central facility for the collection and dissemination of scientific
and technical information for the Department of Defense (DoD).
Export
Control Reference Materials on the Internet Includes:
links to databases, federal agencies, EAR, ITAR, CRF, Certified Contractor
Access List (CCAL), Militarily Critical Technologies List (MCTL),
Wassenaar Arrangement, Federation of American Scientists (FAS).
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Additional Resources
Balancing scientific
publication and national security concerns: Issues for Congress
Dana A. Shea, Consultant, Resources, Science and Industry Division. Report
for Congress, received through the CRS Web, Order Code RL31695. Library
of Congress, Congressional Research Service, 10 January 2003.
Export
controls: State and Commerce Department license review times
are similar
Briefing report to the Chairman and Ranking
member, Subcommittee on Readiness and Management Support, Committee
on Armed Services, U.S.
Senate. Washington, DC, United States General Accounting Office,
June 2001. GAO-01-528.
Results of
the ESS-ESF study on the future of international collaboration in
space science
Prepared by the European Space Science
Committee (ESSC) and the European Science Foundation (ESF). Strasbourg,
France, ESF, November 2000.
"Current application of ITAR in the USA is having an increasingly detrimental
impact on international scientific collaboration...(p.11)" and "A more
recent and growing concern is the evolving implementation of export
control
regulations on the conduct of international space cooperation...(p.5)"
Relyea, Harold. Silencing science: National security controls and
scientific communication. Norwood, NJ, Ablex Publishing, 1994.
xvii, 248p. Available on campus.
Science, technology, and national security: A report. Prepared
by the President's Council of Advisors on Science and Technology. Washington,
D.C., The Council, [1992]. Available on campus.
Scientific communications and national security: Hearing before
the Subcommittee on Science, Research, and Technology and the Subcommittee
on Investigations and Oversight of the Committee on Science and Technology,
U.S. House of Representatives, Ninety-eighth Congress, second session,
May 24, 1984. Washington, U.S. G.P.O., 1984. iii, 184p.
Available on campus.
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The Chronicle of Higher
Education
Academy Tracks Visa Delays for International Scientists to Help
Ease Backlog by Michael Arnone. The Chronicle of Higher Education, 11 February
2004. (http://chronicle.com/ requires password).
Fewer foreign students enroll in U.S. programs this summer,
survey finds by Jeffrey R. Young. The Chronicle of
Higher Education, 18 June 2003.
(http://chronicle.com/ requires
password).
Closing the gates: Special report Contents:
A Student under suspicion, An adviser bound in red tape, Alarm bell in
the library,
Many research projects have been delayed or disabled by strict U.S. visa
policies. The Chronicle of Higher Education, v.XLIX, no.31, 11 April
2003, ppA12-A25.
(http://chronicle.com/ requires
password).
Kept out: Foreign students find it a difficult year to win
the State Department's favor by aniel Walfish.
The Chronicle of Higher Education, v.XLIX, no.12, 15 November 2002,
p.A40.
(http://chronicle.com/
requires password). Colleges see more federal limits on research by
Anne Marie Borrego. The Chronicle of Higher Education, v.XLIX, no.10,
1 November
2002, p.A24.
(http://chronicle.com/ requires password).
Publish and perish? As the nation fights terrorists, scientists weigh
the risks of releasing sensitive information by Richard
Monastersky. The Chronicle of Higher Education, v.XLIX, no.7, 11 October
2002, ppA16-A19.
(http://chronicle.com requires password).
National Academies leaders say vague White House policies
could set back science and ecurity by Elizabeth
F. Farrell. The Chronicle of Higher Education
Protecting university research amid national-security fears by
Eugene B. Skolnikoff. The Chronicle of Higher Education, v.XLVIII, no.35,
10 May 2002, ppB10-B12.
(http://chronicle.com/
requires password).
New satellite regulations still pose problems for scientists
by Ron Southwick. The Chronicle of Higher Education, v., no., 18
April 2002, p.
(http://chronicle.com/, requires password)
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Space News
U.S. export controls receive mixed response from Europe: Two
satellite manufacturers take different approaches to use of U.S. components by
Peter B. de Selding. Space News, v.15, no.6, 9 February 2004, p.1.
Arabsat credits tough U.S. export rules in decision to choose
EADS by
Peter B. de Selding. Space News, v.14, no.41, 20 October 2003, p.1.
U.S.-built components banned from Galileo Program: Blaming export
laws, Europeans start replacing trusted hardware suppliers by
Peter B. de Selding. Space News, v.14, no.13, 31 March 2003, p.3.
Visa problems shut many out of World Space Congress
by
Peter B. de Selding. Space News, v.13, no.40, 21 October 2002, p.15.
State Department likely to keep export authority
by
Jeremy Singer. Space News, v.13, no.19, 13 May 2002, p.8.
Sensible export policies
Editorial. Space News, v.13,
no.17, 29 April 2002, p.12.
Report says export policies damaging U.S. satellite industry
by
Jeremy Singer. Space News, v.13, no.17, 29 April 2002, p.
Satellite exports on White House agenda: Industry hopeful commercial
satellites will be removed from U.S. munitions list
Space
News, v.13, no.12, 25 March 2002, p.1. Satellite provision dropped from export reform bill
Space
News, v.13, no.10, 11 March 2001, p.4.
Push for U.S. arms export reform gains momentum
Space
News, v.13, no.7, 18 February 2002, p.4.
AIA: U.S. export law still hurting space industry
by
Sam Silverstein. Space News, v.12 no.48, 17 December 2001, p.20.
U.S. ready to loosen regulations on research craft
by
Brian Berger.
Space News, v.12 no.48, 17 December 2001, p.8.
Changing U.S. priorities take steam out of satellite export
legislation
by Sam Silverstein. Space News, v.12, no.39, 15
October 2001, p.8. Bill
shifts oversight of U.S. satellite exports by
Amy Svitak, Special to Space News, posted: 10:36 am ET, 06 August
2001.
(http://www.space.com/spacenews/
requires password).
Satellite export legislation may wait until next year by
Jeremy Singer and Amy Svitak. Space News, 2 July 2001.
America's eroding industry Space News, 2 July 2001,
p.14. " While there are many factors responsible for the erosion of U.S. market
share in the satellite manufacturing business, there should be no doubt
that the cumbersome American satellite export licensing process is a
significant problem..."
Critics assail DoC failure to enforce missile export rules by
Amy Svitak. Space News, 2 July 2001.
AsiaSat cites export rules in not buying U.S. satellite Space
News, 25 June 2001, p.6.
Satellite export bill gains key republican co-sponsor but Committee's
Chairman could be major roadblock by Stew
Magnuson.
Space News, 7 May 2001, p.1.
GAO report attacks industry claims of slow export license process by
Amy Svitak. Space News, 7 May 2001, p.28. (See GAO-01-528).
Tough U.S. export laws hinder space research by Brian
Berger.
Space News, 22 May 2000, p.1.
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Nature and Science
VISA clampdown hits home at US universities
by Kendall
Powell. Nature v.420, no.6914, 28 November, p.349.
(http://www.nature.com/
requires license).
Britain failing to bar risky students
by Natasha McDowell.
Nature, v.420, no.6914, 28 November, p.349.
(http://www.nature.com/
requires license).
Rules eased on satellite projects
by Andrew Lawler. Science,
v.296, no.5566, 12 April 2002, pp237-238.
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Other
John Marburger speaks on science and security at Industrial
Physics Forum
FYI: The AIP Bulletin of Science Policy News,
FYI Number 133, 6 December 2002.
Government to boost scrutiny of foreigners studying science
Issues
in Science and Technology, v.XVIII, no.4, Summer 2002, p23.
Making sense of government information restrictions
by
Steven Aftergood. issues in Science and Technology, v.XVIII, no.4, Summer
2002,
pp25-26.
Research universities in the new security environment
by
M.R.C. Greenwood and Donna Gerardi Riordan. Issues in Science and Technology,
v.XVIII, no.4, Summer 2002, pp35-39.
Science and security at risk
by John J. Hamre. Issues
in science and Technology, v.XVIII, no.4, Summer 2002, pp51-57.
State Department
Issues ITAR Amendment
FYI: The AIP Bulletin
of Science Policy News, FYI Number 38, April 3, 2002.
Boehlert, Hall
letter on regulation of research satellites
FYI: The AIP
Bulletin of Science Policy News, FYI Number 111, 31 August 2001.
"...regulation of research satellites under the State Department's International
Traffic in Arms Regulations (ITAR) has generated concern within the scientific
community and among Members of Congress..."
ITAR regulation
of research satellites generates concern
FYI: The AIP
Bulletin of Science Policy News, FYI Number 110, 30 August 2001.
" ...Astronomers
and other scientists who rely on such satellites are concerned
about the
impact of these regulations on fundamental research, particularly on
international collaborations..."
National labs target college campuses
by Carole Hedden.
Aviation Week & Space Technology v.155, no.6, 6 August 2001, p.64.
Some lawmakers urging U.S. to speed exports of satellites
by
Christopher Marquis. New York Times, Monday, 8 July 2001, p.A7.
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Legislative Information
THOMAS: Legislative
Information on the Internet
Produced by the Library of Congress.
Find and monitor legistlation, read the Congressional Record, committee
information, etc.
Capitol Spotlight
from
C-SPAN and Congressional Quarterly. A new political resource
for web users dedicated to reporting on key votes on Capitol Hill. Go
to Bills
to Watch for updates on House and Senate action on Export Administration
Reauthorization. Released 4 September 2001.
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Homepage or SSEC Homepage
Send additions or comments to Jean
Phillips
Updated 4/26/04.
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