Export controls are U.S. laws and regulations that restrict the transfer of certain goods, technologies, software, services, and information to foreign countries, organizations, or individuals for reasons of national security, foreign policy, and economic protection. These regulations may apply to research activities, international collaborations, travel, shipping, and sharing technical information. 

Federal export controls are accomplished primarily through:

  1. The International Traffic in Arms Regulations (ITAR) implemented by the Department of State, Directorate of Defense Trade Controls, for inherently military items.
  2. The Export Administration Regulations (EAR) administered by the Department of Commerce, Bureau of Industry and Security, for "dual use" of items that have both a commercial and potential military use.
  3. Regulations of the Treasury Department, Office of Foreign Assets Control (OFAC) relating to the transfer of technology or assistance to sanctioned countries or their citizens.
Sanctioned countries are nations subject to trade restrictions or embargoes imposed by the U.S. government. Activities involving these countries may require additional review, licensing, or may be prohibited altogether. Restrictions may also apply to certain organizations and individuals regardless of their country of residence.
A dual-use item is a product, technology, software, or piece of equipment that has both commercial and potential military, security, or proliferation applications. Many items used in research and academia are considered dual-use and may be subject to export controls.
Generally, a foreign person is someone who is not a U.S. citizen or lawful permanent resident (green card holder). Foreign organizations that are not incorporated in the United States may also be considered foreign entities under export control regulations. 

An export is the transfer, shipment, transmission, or disclosure of controlled goods, technology, software, services, or information to:

  • Anyone located outside the United States, including U.S. citizens abroad
  • A foreign person or foreign organization, regardless of location

Exports can occur through physical shipments, electronic transmissions, verbal discussions, demonstrations, or visual inspections.

A deemed export occurs when controlled technology, software, or technical information is shared with a foreign person within the United States. Under federal regulations, this is treated as though the information were exported to that person's home country. 

Examples may include:

  • Providing controlled technical information to an international student or scholar
  • Allowing access to controlled software or source code
  • Training a foreign person on controlled equipment or technology

Transfer and export (including deemed exports) of items with military applications listed on the U.S. Munitions List (USML).

Transfer and export (included deemed export) of “dual-use” items listed on the Commerce Control List (CCL).

Transactions with countries subject to boycotts, trade sanctions and embargoes and with individuals identified on the Specially Designated Nationals (SDN) List. 

The consequences for noncompliance are very serious for both the University and the researcher.  Penalties may include fines up to $1,000,000 per violation and, for individual researchers, imprisonment up to 20 years. These penalties apply to single violations; multiple violations from the same transaction can easily result in enormous penalties.  Sanctions on both individuals and institutions may also include termination of export privileges, suspension/debarment from federal government contracting, and loss of federal funding.

The Fundamental Research Exclusion allows most university research to be shared broadly without being subject to export control licensing requirements. To qualify, the research must be conducted openly and the results must be intended for publication and broad dissemination within the scientific community.

Research may lose the exclusion if the university or researcher agrees to:

  • Restrictions on publication of research results
  • Restrictions on who may participate in the research
  • Non-disclosure agreements or other terms that limit the dissemination of research results

Whether in the U.S. or abroad, the educational exclusions in EAR (Export Administration Regulations, Commerce Department) and ITAR (International Traffic in Arms Regulation, State Department) cover instruction in science, math, and engineering taught in courses listed in catalogues and associated teaching laboratories of academic institutions, even if the information concerns controlled commodities or items.  Dissertation research must meet the standards for “fundamental research” to qualify as “publicly available."

Export controls may affect:

  • International collaborations
  • Participation by foreign students, scholars, or staff
  • International travel
  • International shipments of equipment, biological materials, software, or technical data
  • Research involving controlled technology, equipment, pathogens, toxins, or chemicals
  • Projects with publication or participation restrictions

Export control review may be required before certain activities can proceed. 

Any activity regardless of funding type may be subject to export controls if it involves the actual export or "deemed" export of any item that is either dual use (commercial in nature with possible military application or inherently military.

Work in the following areas is considered high risk:

  • Engineering
  • Space sciences
  • Computer Science
  • Research with encrypted software
  • Research with controlled chemicals, biological agents, and toxins

 In addition, any of the following raise export control questions for your project regardless of area of research:

  • Sponsor restrictions on the participation of foreign nationals in the research
  • Sponsor restrictions on the publication or disclosure of the research results
  • Indications from the sponsor or others that export-controlled items, including information or technology, will be furnished for use in the research
  • The physical export of controlled goods or technology is expected

Principal Investigators do not need to be export control experts, but they should be able to recognize activities that may create export control concerns.

Contact ORIC if your project involves:

  • International collaborations
  • Foreign visiting scholars or students
  • Shipping materials or equipment abroad
  • International travel related to research
  • Controlled technologies or equipment
  • Publication or access restrictions
  • Sanctioned countries or restricted parties

Early consultation can help prevent delays and ensure compliance with federal regulations.

Yes. Export control regulations apply regardless of the source of funding. However, many unfunded projects qualify for the Fundamental Research Exclusion if the results are intended for publication and broad public dissemination.

No.  Waivers of export control requirements are provided for in the regulations as either "exemptions" (ITAR) or "exceptions" (EAR), but they must be authorized by either the Department of State (for ITAR) or the Department of Commerce (for EAR).  No other federal agency has the authority to waive the export control regulations on behalf of State or Commerce.

Not necessarily.  The transfer of controlled technology or source code of a controlled item may require a license even if the normal operation of the equipment does not.

Not always, but export controls may apply when traveling internationally with:

  • Laptops or electronic devices
  • Research data
  • Specialized software
  • Scientific equipment
  • Proprietary or controlled information

Additional restrictions may apply when traveling to sanctioned countries. Researchers are encouraged to contact ORIC before international travel related to university activities.

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Office of Research Integrity & Compliance
Foundation Hall
MSC 5738
1031 Harrison Street
Harrisonburg, Virginia 22807