Office of Regulatory Compliance

13001 E. 17th Place, Suite W1124
Mail Stop F497
Aurora, CO 80045
Main Office: 303-724-1010
Main Fax: 303-724-1019

Deemed Export License Review Worksheet

Foreign Person Collaboration

Non-immigration Visa Worksheet
Applicant Name:

Department / Sponsor:

Export control regulations prohibit foreign nationals from working with, or receiving information about, specific technologies for reasons of national security or protection of trade. If a visa applicant’s work at the University involves such specified technologies, an export license from the Departments of State, Commerce, or Treasury may be required, unless the work qualifies for particular exemptions. The Department of Homeland Security requires that CU report on the H-1B application whether a license is required.

The purpose of this worksheet is to provide the Export Controls office with enough information about the work the visa applicant will be doing to make a preliminary determination if such a license may be required. If it appears that a license may be required, you will then be asked to complete a more detailed worksheet in order to begin the process of applying for a license. Most visa applicants will not require more than this initial screening worksheet.

The following questions should be answered by the person who will be supervising the visa applicant, or who is otherwise knowledgeable about the applicant’s intended work.

1. Visa applicant name, country of citizenship (if dual national– name both countries), institutional affiliation, and provide copy of CV.

2. Describe the funding source of the activity the person will be engaged in.

3. Describe the research activities the individual will be involved in during the employment assignment

4. Describe any teaching activity the individual will be involved in during the employment assignment.

5. Are there non-disclosure, confidentiality agreements executed in furtherance of the research activity for the visa holder will be engaged in? If so, provide copies.

Licenses from the Department of Commerce may be required for foreign nationals who are working on projects that involve “dual-use” technologies that have potential applications to military/terrorist/criminal purposes in addition to the usual commercial uses. These technologies fall into the broad categories shown in Table 1. Identify the category the intended work of the visa applicant falls into. List all that apply.

Table 1 Dual Use Technologies (click for more detail, go to Part 744 Commerce Control List)

Nuclear Materials, Equipment and Miscellaneous / Materials, Chemicals, “Microorganisms” and Toxins / Telecommunications and Information Security / Propulsion Systems, Space Vehicles, and Related Equipment
Electronics / Computers, Software / Lasers and Sensors / Material Processing
Navigation and Avionics / Marine / I. 

Licenses from the Department of State may be required for foreign nationals who are working on projects that involve technologies that have potential military or space applications. These technologies fall into the broad categories shown in Table 2. Does the intended work of the visa applicant fall into any of these categories? List all that apply.

Table 2 - ITAR Categories (click for more detail)

Spacecraft Systems and
Associated Equipment / Aircraft and Associated Equipment / Toxicological Agents and
Equipment and Radiological Equipment
Artillery Projectors / Military Electronics / Firearms
Vessels of War and Special Naval Equipment / Protective Personnel Equipment / Nuclear Weapons Design and
Related Equipment
Explosives, Propellants,
Incendiary Agents and Their
Constituents / Military Training Equipment / Classified Articles, Technical
Data and Defense Services Not
Otherwise Enumerated
Launch Vehicles, Guided
Missiles, Ballistic Missiles, Rockets, Torpedoes,
Bombs and Mines / Fire Control, Range Finder,
Optical and Guidance and Control Equipment / Submersible Vessels,
Oceanographic and Associated
Equipment
Tanks and Military Vehicles / Auxiliary Military Equipment / Ammunition

6. What are the items that will be used in the research project (technology, technical data, samples, equipment, research instruments, software)?

7. How will the items be used by the foreign national?

8. Is information related to this research in the public domain; are the research results expected to be publically available?

9. Is this activity part of a broader consortium or agency mission outside of the University of Colorado? If so, please list partnering or affiliated institutions or universities.

10. List any patents, patent applications, IP disclosures affiliated with the research activity.

Please send the completed form to the Office of Regulatory Compliance at mailto:

Definitions

“Fundamental Research” includes basic or applied research in science and/or engineering at an accredited institution of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information which is restricted either for proprietary reasons or pursuant to specific federal government access and dissemination controls. University research does not qualify as Fundamental Research if: (1) 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 (2) the research is federally-funded and specific access and dissemination controls regarding the resulting information have been accepted by the University or the researcher. The citation for the official definition of “Fundamental Research” under the EAR is 15 CFR § 734.8. The ITAR citation is 22 CFR § 120.11.
“Public Domain” (22 CFR 120.11) means information that is published and that is generally accessible or available to the public: (1) through sales at newsstands and bookstores; (2) through subscriptions that are available without restriction to any individual who desires to obtain or purchase the published information; (3) through second class mailing privileges granted by the U.S. Government; (4) at libraries open to the public or from which the public can obtain documents; (5) through patents available at any patent office; (6) through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the U.S.; (7) through public release (i.e., unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency; and (8) through fundamental research. The citation for the official definition of “Public Domain” is 22 CFR § 120.11.