FAQs on U.S. Export Controls
The information contained on this web site provides guidance on key issues as well as guidance on the nature and scope of U.S. export controls.
Do I Need an Export License?
How Should I Plan Ahead?
Is My Research Project Subject to Export Controls?
What are the Basic Concepts and Terms?
What Should I Do Before Shipping Products?
Where is the Summary List of Controlled Items?
Which Countries are Subject to U.S. Economic Sanctions or Embargoes?
Who Do I Contact with Questions?
Why Should I be Concerned with Export Controls?
YES, your research project may be subject to export controls if it involves:
- Commodities (including materials such as chemicals or bio-agents), technology or software on the Commerce Control List.
- Defense articles (including technical data) or defense services (assistance or training relating to defense articles) on the U.S. Munitions List, which covers satellites and spacecraft as well as items specially designed, developed, configured, adapted or modified for a military application.
- Training or assisting a foreign national to develop, produce or use export-controlled items.
- Items that you have reason to know will be used in certain nuclear, missile-related or chemical or biological weapons-related activities.
- Technical data, information, equipment, materials or encryption software to be exposed to foreign nationals either on campus or through travel abroad.
- A contract or grant containing restrictions on export or access by foreign nationals.
- A contract or grant containing language restricting the publication or presentation of research results.
- A contract or grant prohibiting results or deliverables from being disclosed or delivered to any country or persons.
- A country or person subject to U.S. sanctions or embargoes.
To determine whether your item or activity is or may be covered by the Commerce Control List or the U.S. Munitions List, review the Summary List of Controlled Items.
If any of the above conditions applies or appears to apply, please contact Cindy Kiel, Executive Director of the Office of Sponsored Research Services.
NO, your research project is not subject to export controls if it involves only:
- Information that is publicly available or in the public domain, including:
- Information that arises during or results from fundamental research;
- Information in patents available at any patent office; and
- Information in open patent applications available at any office, provided the information is not related to a defense article (which includes satellites and spacecraft).
- Provided, however, that it does not involve the furnishing of assistance or training that constitutes a defense service.
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To determine whether you need an export license to export technology, equipment, materials or software or to provide assistance, training or other services, you will need to know the following information:
(a) The nature of the item or activity,
Examples:
§ A microscope
§ Training a foreign national how to use a seismograph
§ Participating in a research project with a foreign university relating to satellite design
Note: Review the Summary List of Controlled Items to determine whether your proposed transaction involves or appears to involve any item or activity described on this Summary List. The Summary List is a summary of the items (and related assistance and training) covered by the U.S. State Department’s U.S. Munitions List (USML) and the U.S. Commerce Department’s Commerce Control List (CCL). If your item or activity appears to be on the Summary List, contact Cindy Kiel for assistance in classifying your item or activity on the USML or the CCL, as appropriate.
(b) The recipient and other parties to the transaction;
(c) The country to which the item or service will be supplied or the country of nationality and country of permanent residency (if different from country of nationality) of the foreign individual to whom the item or service will be supplied; and
Note: Review the lists of Countries and Persons Subject to U.S. Sanctions and Embargoes to determine whether your proposed transaction might be subject to U.S. sanctions or embargoes, even if it would not otherwise be subject to export controls based on the nature of the item or activity, the country of destination, the end-user and the end-use.
(d) A brief description of how the recipient will ultimately use the item or information supplied.
Even if the item or activity is not export controlled, export controls may nevertheless apply if the transaction involves a party, country or end-use that is prohibited.
For further assistance, please contact please contact Cindy Kiel, Executive Director of the Office of Sponsored Research Services.
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Before shipping items, equipment, materials, technology or software from the United States, make sure that the export either (a) does not require an export license or (b) is being made under the authority of an export license issued by the relevant U.S. government agency.
Special Department of Transportation (DOT) / International Air Transport Association (IATA) training and documentation are needed whenever you are shipping chemicals, biological materials or other dangerous materials. Please consult Environmental Health & Safety for more information.
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Export controls, embargoes and trade sanctions may have a significant impact on your research. It is important to develop a clear understanding of export control laws and regulations and plan accordingly to ensure full compliance.
Export controls govern much more than materials and items. They govern communication on our campus to foreign nationals, especially those from countries subject to U.S. sanctions or embargoes. They govern electronic and other information dissemination to countries that are subject to U.S. economic sanctions or embargoes. They also govern travel-related transactions involving such countries.
If you are planning foreign travel, please check the Current Travel Warnings from the U.S. Department of State.
By planning ahead, you can ensure that your travel can be completed and that your research project can proceed on schedule.
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You may be in violation of the law. Please see Professor's Conviction on Export Violations Alerts U.S. Universities.
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