Office of Sponsored Research and Programs
Export Controls Policy
I. INTRODUCTION
Certain types of University research may fall under Federal Government Export Controls (EC) regulations that prohibit unlicensed export of specific information and technologies, require prior approval for foreign nationals to access information, technologies and materials, and participate in research, limit partnering with a foreign company, and/or prohibit sharing research with persons who are not U.S. citizens.
Export controls may affect many aspects of research because the term “export” covers not only the shipment of information or materials to another country but also the release or disclosure of information or materials to foreign nationals on U.S. soil (“deemed export”). These restrictions are imposed on shipments abroad, as well as access to University research by foreign nationals. Therefore, the term "export" in these regulations has a very expansive meaning (see basic concepts below).
Export controls are based on:
(b) the country involved in the transaction,
(c) the person receiving or ultimately using the item or service, and
(d) the end-use to which the item or service will be put.
U.S. export controls serve the following purposes:
(b) to protect U.S. trade/economic interests;
(c) to control the exposure of controlled technologies, materials and information to foreign nationals and foreign countries; and
(d) to prevent the proliferation of weapons of mass destruction.
Federal EC regulations are promulgated through the following agencies and regulations.
(links open in a new window)
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US State Department, International Traffic in Arms Regulation (ITAR)
Governs defense articles (including technical data) and defense services (predominately military items and information, including satellites and spacecraft). -
US Commerce Department, Export Administration Regulations (EAR)
Governs commodities, software and technology (or information) (primarily civilian); also includes some sanctions, embargoes and restrictions on transfers to certain end-uses and persons, including terrorists. -
US Treasury Department, Office of Foreign Assets Control (OFAC)
Maintains trade sanctions, embargoes and restrictions on transfers to certain persons, such as terrorists and narcotics traffickers. -
US Nuclear Regulatory Commission
Governs nuclear equipment, materials, software and technology.
It is important that all University administrators, faculty and students responsible for or involved in research, teaching and travel understand their obligation to comply with EC regulations. The consequences of violating the regulations can be severe for the both the institution and the individual violators, and include fines and prison time.