Export Controls
Export control laws regulate the transfer of certain goods, technology, software, data, and technical information for reasons related to national security and U.S. economic interests. These requirements can apply to transfers outside the United States as well as to certain disclosures to foreign persons within the United States.
What is an Export?
An export can involve more than physically sending an item outside the United States. It may include providing controlled technology, software, technical data, or information to a foreign person in the U.S., commonly referred to as a “deemed export.”
Researchers should determine whether their work involves controlled technology or information before sharing it with foreign collaborators, students, researchers, or other individuals.
Primary Export Regulations
Three primary federal regulatory frameworks govern export controls:
- Export Administration Regulations (EAR) — administered by the U.S. Department of Commerce, Bureau of Industry and Security (BIS).
- International Traffic in Arms Regulations (ITAR) — administered by the U.S. Department of State, Directorate of Defense Trade Controls (DDTC).
- Office of Foreign Assets Control (OFAC) sanctions and embargoes — administered by the U.S. Department of the Treasury.
Whether an export requires authorization depends on the item or information, destination, recipient, and intended end use. When a license is required, authorization must be obtained before the controlled item or information is transferred.
Research Exclusions
Certain exclusions may apply to academic research, including education, public domain, and fundamental research exclusions.
The fundamental research exclusion generally applies to basic or applied research conducted at institutions of higher education when the resulting information is intended to be published and broadly shared and is not subject to restrictions on dissemination for proprietary or national security reasons.
Researchers should avoid accepting publication restrictions or other terms that could affect the applicability of the fundamental research exclusion without first consulting UHD Research Security/Export Control.
International Travel
Export controls may apply when researchers travel internationally with university equipment, software, data, technology, technical information, or research materials.
Before international travel, researchers should complete UHD International Travel Export Control Assessment Form and determine whether any items or information require authorization. Certain destinations may also be subject to U.S. sanctions or travel restrictions.
Travelers should ensure that all items and information they plan to take or share internationally are either not controlled or have the appropriate authorization before departure.
Compliance
Export control violations can result in significant consequences, including civil or criminal penalties, fines, loss of export privileges, and reputational harm to both the institution and the individual.
Researchers are responsible for understanding and following applicable export control requirements. When in doubt, contact ORSP@uhd.edu before sharing controlled information, collaborating with foreign persons, transferring research materials, or traveling internationally with research-related items.
NASA Restrictions
Certain federal sponsors may impose additional restrictions on international research activities. For example, NASA has restrictions on certain research activities involving China and Chinese-owned or affiliated entities.
Researchers receiving NASA funding should review the current sponsor requirements and consult ORSP@uhd.edu before entering into collaborations or other activities that may be subject to these restrictions.