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Research Responsibility

Office of Research

Export Control FAQ

Q. What are exports?
Exports include:
  • the transfer of controlled physical items, such as equipment, to foreign countries or foreign nationals in the U.S. or abroad
  • the transfer or disclosure of information or technical data (e.g. visual disclosure through observation) to foreign countries or foreign nationals in the U.S. (“deemed export”) or abroad
  • the provision of a service, or the application to situations abroad of personal knowledge or technical experience acquired in the United States
Q. What constitutes an export method?
Technology, software, or technical data is "released" for export through:
  • visual inspection of U.S. origin equipment and facilities by a foreign national
  • oral exchanges of information in the United States or abroad
  • transfer or shipment via any means (physical or electronic) to a foreign entity
Q. What's a "deemed export?"
A deemed export is the transfer of technology or source code to a foreign national within the United States.
Q. Do export controls apply to research activities?
When U.S. universities undertake basic or applied research on campus in the United States, the results of which will ordinarily be published (and which are not treated as proprietary), the research results may be excluded from certain export control provisions. This exclusion may apply to collaborations with researchers from other countries when the research is conducted in the United States.

However, research conducted with non-U.S. collaborators outside the United States may require a license prior to undertaking the activity, including transfer of information sufficient to develop research proposals.

A “deemed export” may occur in research conducted within the United States if a visiting scholar or foreign student participates and the research is not covered by the fundamental research exclusion. An export license must be obtained prior to any deemed export.
Q. Are there exclusions to export controls within the university setting?
Both ITAR and EAR include language that excludes the results of "fundamental research" from export requirements for export licenses or other government approvals. The exclusion applies for basic and applied research in science and engineering performed by universities so long as that research is carried out openly and without restrictions on publication, foreign national access or dissemination.

Educational information may be disclosed without a license when it is released by instruction in catalog courses and associated teaching laboratories of academic institutions. It comprises general scientific, mathematical or engineering principles commonly taught in universities.

The Publicly Available Information Exclusion applies if the information is in the public domain, i.e., if it is publicly available technology and software that is generally accessible to the public through unlimited and unrestricted distribution. Special rules apply to encryption software even if "open source" or publicly available software is being developed.

Please contact the Office of Research Responsibility for assistance.
Q: How do I know if export controls apply to a grant/contract?
Export controls apply if the topic of the research appears on either the U.S. Munitions List (ITAR) or the Commerce Control List (EAR). There are exclusions and exceptions to the application of the regulations. Contact us and we will help you make the determination if export controls apply to your project or research.
Q. What do I do if I am exporting information or technology?
DO NOT engage in the activity until the university has determined that the activity is not subject to export controls or, if it is, until a license has been obtained.
Q. Who can I ask for assistance with export controls? How do I pursue an export control license?
Contact Don Beermann in the Office of Research Responsibility
Q. What activities should I avoid?
  • Discussing non-public domain technology with foreign companies and foreign nationals without having an export review done.
  • Taking controlled technology overseas without having an export review done.
  • Taking foreign nationals on lab tours without first discussing with staff from the Office of Research Responsibility.
Q. How long does it take to get an export control license?
It takes a minimum of several months to obtain an export license after filing. Often the process takes 6 months to a year. No transfer of information can occur until a license is in place. Please allow adequate time to obtain proper licensing.