Do Export Control Regulations Apply?

Procedure to Determine if Export Control Regulations Apply to a Project

Ask yourself:

  • When responding to the request for proposal, did the terms and conditions indicated that the research will not fall into the fundamental research exclusions such as:
    • Limitations on publication other than limited prepublication reviews to prevent unintentional divulging of the sponsor's proprietary information or for filing of patent applications? or
    • Limitations on foreign nationals being allowed to work on the project?
  • Does the research involve any of the EAR categories?
  • Does the research involve any item on the ITAR Munitions List?
  • Does the research involve technology or devices designed for use in military, security and intelligence applications?
  • Does the research involve anything else with a substantial or dual-use military application?
  • Will you collaborate or work with in a foreign national on the project?
  • Are there foreign nationals, including international Research Assistants and other students working in your lab?
  • Will you send your research results to a foreign country or foreign citizen?
  • Do you anticipate any foreign travel associated with the project?
  • Will you be taking a computer?

If the answer is yes to any of the above questions, read Handling of Export-Controlled Information.

Determination Matrix

Public domain, and
No equipment, encrypted software, listed-controlled chemicals, bio-agents or toxins, or other restricted technologies are involved, and
Information/software is already published, and
There is no contractual restriction on export, or
Fundamental Research (note definitions and caveats associated with this exemption)
No.
Equipment or encrypted software is involved, or
Technology is not in the public domain, and
Technology may be exposed to foreign nationals (even on campus) or foreign travel is involved, and
The equipment, software or technology is on the Commerce Control List, or
Information or instruction is provided about software, technology or equipment on the CCL, or
The foreign nationals are from or the travel is to an embargoed country
The contract has terms e.g. a publication restriction that affects the Fundamental Research Exclusion.
Probably. Further review is required. License may be required.
Equipment, software, chemical, bio-agent, or technology is on the U.S. Munitions List (ITAR), or
Equipment, software, chemical, bio-agent or technology is designed or modified for military use, use in outer space, or there is reason to know it will be used for or in weapons of mass destruction, or
Chemicals, bio-agents or toxins on the Commerce Control List are involved, or
The contract contains a restriction on export or access by foreign nationals
Yes. License will be required.