Skip to content

Office of Research Security

Export Control Compliance

Export controls are federal laws that regulate the transfer of sensitive items, information, and software to foreign persons or destinations. In a university setting, these laws reduce the prospect that research activities compromise national security or foreign policy.

a male and a female walking across university campus building

The Regulatory Framework

There are three primary agencies that oversee export compliance: 

  • ITAR (International Traffic in Arms Regulations): Managed by the State Department. It covers "Defense Articles" and "Defense Services" specifically designed for military use. 
  • EAR (Export Administration Regulations): Managed by the Commerce Department. It covers "Dual-Use" items—those with both commercial and military/strategic applications (e.g., high-end sensors, chemicals, or drones). 
  • OFAC (Office of Foreign Assets Control): Managed by the Treasury Department. It focuses on who you are dealing with. It enforces economic and trade sanctions against specific countries (e.g., Iran, Russia) and "restricted parties." 
a male student writing codes on a glass screen

Defining an "Export" in Academia

An export is not just shipping a box overseas. In a university, it often occurs through: 

  • Physical Shipments: Sending equipment or samples abroad. 
  • Deemed Exports: Releasing technical data or source code to a foreign national within the U.S. (e.g., a graduate student or visiting scholar in your lab). 
  • Technical Assistance: Providing training or data to foreign entities. 
  • Electronic Communication: Sending schematics, blueprints, CAD files, source code, or encryption keys to someone outside the US in an email, video call, text or image. 

 

A male employee in the CUPD dispatch office, working with several digital screens

The "Fundamental Research" Shield

Most university research qualifies for the Fundamental Research Exclusion (FRE) so long as applicable export control requirements are observed.

The FRE status may not apply if:

  • Sponsors restrict open publication or limit participation by foreign nationals.
  • The research involves technologies controlled under the EAR or ITAR, or uses proprietary third-party information.
  • The project location or research participants are subject to OFAC sanctions.