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Research Security & Export Control

The Office for Research Security & Export Control seeks to support the University’s mission of teaching, research, and service by ensuring compliance with applicable export control laws, regulations, and University policies, while fostering an environment supportive of its efforts to cultivate a campus-wide global perspective and extend its outreach on a worldwide scale.  

What Are Export Controls?

To promote national security interests and foreign policy objectives, the U.S. government regulates the transfer of items, information, commodities, technology, and software outside of the U.S. and to foreign persons within the U.S. Such a transfer, called an export, includes oral, written, electronic or visual disclosure; physical shipment; hand-carrying items while traveling; and providing technical assistance. These export controls are effectuated by federal regulations, which include

  • the International Traffic in Arms Regulations (ITAR) 22 C.F.R. Part 120-130, which regulates the export of defense articles and defense services; 
  • the Export Administration Regulations (EAR) 15 C.F.R. Part 730-774, which regulates “dual use” items—i.e., those items having civil applications as well as terrorism and military or weapons of mass destruction-related applications; and 
  • the regulations of the Office of Foreign Assets Control (OFAC) 31 C.F.R. Part 501-599 related to sanctioned or embargoed nations, organizations, or persons. 

Impact of Export Controls on University Activities

Export Control Laws may be applicable in a number of instances related to the University’s mission of teaching, research, and service, including, but not limited to

  • international travel
  • hosting international visiting scholars
  • sponsorship of visa applications of foreign faculty, staff, or students
  • procurement of items, materials, information or technology subject to Export Control Laws
  • international shipping
  • performance of research that does not constitute Fundamental Research
  • any transactions involving the following highly embargoed or sanctioned countries and regions: Iran, Cuba, North Korea, Syria, Russia, and the Crimea, Luhansk and Donetsk regions of Ukraine

Export control violations can result in penalties and fines which may apply to an individual, the University or both. Administrative penalties include loss of export privileges or suspension and debarment from government contracting. Additionally, monetary fines can be up to $1 million per violation and jail time can be up to 20 years per violation. 

Export Control Compliance at the University 

The University is committed to non-discrimination, openness, and academic freedom in the conduct of its mission of teaching, research, and service. The majority of University activities will not be subject to export controls or licensing requirements, as they will fall under one of the following common exclusions:  fundamental research exclusion, publicly available or public domain information, or education exclusion. 

However, some activities are ineligible for such protections and may require either an export license from the cognizant federal agency (e.g., BIS, DDTC, or OFAC), and/or a Technology Control Plan to prevent unlawful exports (including deemed exports to foreign nationals within the United States). Per its Export Control Policy, the University is committed to compliance with all applicable laws, including ITAR, EAR, and OFAC regulations.