Understanding U.S. export control regulations
Export controls are a set of federal laws that govern the transfer of sensitive technologies, equipment, software and information to foreign parties for reasons of national security, foreign policy and trade protection. These federal laws regulate the dissemination of certain technologies, technical data and services to foreign persons, whether they are located abroad or in the United States. In other words, these rules govern how sensitive technologies and information can be shared, stored and accessed.
U.S. export control laws are administered under four primary regulatory frameworks:
- International Traffic in Arms Regulations (ITAR): Managed by the U.S. Department of State, ITAR controls defense-related items and services that appear on the U.S. Munitions List (USML).
- Export Administration Regulations (EAR): Overseen by the U.S. Department of Commerce, EAR covers dual-use technologies that have both civilian and military applications.
- Office of Foreign Assets Control (OFAC): Administered by the U.S. Department of the Treasury, OFAC enforces economic and trade sanctions that can restrict interactions with certain countries, entities and individuals. Visit the OFAC website for a listing of sanctioned programs and countries.
- 10 CFR Part 810: Administered by the Nuclear Regulatory Commission, 10 CFR Part 810 regulates the export of unclassified nuclear technology and assistance, and applies to certain international collaborations, technical exchanges or transfers of nuclear-related information to foreign persons inside or outside of the U.S.
Do export control regulations apply to my research?
Most USC research is not subject to export controls because it falls under the fundamental research exclusion (FRE), which exempts the results of basic and applied university research that is intended for broad publication and is not subject to access or dissemination restrictions from export control laws.
Your project may be subject to export control regulations if it involves controlled technologies, foreign collaborators, restricted countries or contractual limitations on dissemination.
To determine whether your research is subject to export control, ask the following:
- Is your research subject to publication or access restrictions?
- If your sponsor imposes limits on who can participate or how results can be shared, the FRE may not apply to your project.
- Does your work involve controlled equipment, software or technical data?
- Certain tools, materials or information may be listed on the U.S. Munitions List (ITAR) or Commerce Control List (EAR).
- Are you collaborating with foreign persons or institutions?
- Sharing technical information with foreign persons, whether they are located in a foreign country or inside the United States, may be deemed an export requiring authorization.
- Is your research connected to sensitive fields such as encryption, aerospace, artificial
intelligence or nuclear technology?
- These areas are more likely to involve export-controlled elements.
- Are you working with or traveling to sanctioned countries?
- These activities are subject to heightened scrutiny and often require prior review or licenses.
Understanding how export controls impact common research activities
Researchers are encouraged to visit the USC Office of Research Security website for detailed information about approaching international collaborations securely.
The USC Export Control Officer can also help you determine if a potential collaborator is a “restricted party,” meaning that they are named on one or more federal lists of sanctioned or restricted entities. Contact us to request a restricted party review.
Faculty and other USC researchers, personnel and students traveling internationally for conferences, fieldwork, collaborations or research dissemination should be aware that U.S. export control regulations may apply to their activities and materials during travel.
When traveling internationally, researchers may inadvertently engage in activities that constitute an export of controlled items or information by:
- Taking a university laptop containing controlled research data or proprietary software
- Carrying export-controlled equipment, prototypes or materials in checked or carry-on luggage.
- Presenting non-public technical data at a conference attended by people from other countries.
- Collaborating abroad on restricted technologies or projects that have publication or access restrictions.
- Discussing controlled technologies or informally sharing controlled research results with foreign colleagues.
What Activities Are Generally Allowed?
- Presenting published or publicly available research.
- Discussing results from research that qualifies for the fundamental research exclusion .
- Traveling with clean laptops that do not contain controlled data or encryption software beyond standard commercial use.
Visit the Office of Research Security website for a wealth of information on foreign travel security, including details on foreign countries of concern and sanctioned/embargoed countries, common approach tactics used by U.S. adversaries and a list of federal resources for international travelers.
Faculty who host visiting scholars, postdocs or students from other countries should be aware that export control regulations may apply when sharing certain research, technology or data with foreign persons inside of the United States. Before extending an invitation or onboarding a visitor, faculty should consult with USC's Export Control Officer to assess whether additional safeguards, documentation or licenses are required. It is also highly recommended that the hosting faculty or department reach out to the Office of Research Security to determine if there are any research security risks associated with the collaboration.
Researchers who ship research equipment, samples or materials abroad as part of their work should understand that this is an export and subject to export control regulations even if the equipment, samples or materials are the result of fundamental research.
An export includes any shipment or physical transfer of items, technology or software from the U.S. to a foreign country. This includes, but is not limited to:
- Shipping research equipment or materials to a collaborator overseas.
- Sending biological samples or chemical compounds for analysis.
- Transporting prototypes or devices for field testing.
- Mailing USB drives, hard drives or documents containing technical data and/or software.
These activities may be regulated under EAR or ITAR, depending on the nature of the item and the destination. To ensure your outgoing shipment is compliant:
- Determine whether the item is export-controlled: Some equipment, materials or data are listed on control lists and may require a license.
- Know your destination: Shipments to sanctioned countries or persons are heavily restricted and often require prior U.S. government authorization.
- Identify the end user and intended use: Certain recipients or uses (e.g., military, nuclear, surveillance) may trigger additional review.
- Contact us for help: The Export Control Officer can help with reviewing items, destinations and recipients, and determining whether a license or documentation is needed.
When purchasing or receiving research-related equipment, materials, software or technical data, U.S. export control regulations may apply, especially if the items are proprietary, restricted, or intended for sensitive use. While export controls are often associated with outbound shipments or international collaborations, they also govern the acquisition, use and handling of certain items and data on campus.
Export control regulations may apply if the equipment, material or data you are receiving:
- Is listed on the U.S. Munitions List (ITAR), Commerce Control List (EAR) or identified under 10 CFR Part 810 or 10 CFR Part 110.
- Is subject to foreign national access restrictions (e.g., in the purchase or licensing agreement).
- Comes from a foreign vendor or institution, especially in high-risk countries.
- Involves encryption, aerospace, satellite, military or nuclear applications.
- Is provided under an agreement that limits publication, access or dissemination
These conditions may restrict how the item can be used, who can access it and whether it can be shared or modified.
Before purchasing or receiving research items:
- Check for export control language in vendor agreements, material transfer agreements (MTAs) or software licenses.
- Avoid accepting terms that prohibit foreign national access or publication unless reviewed and approved.
- Maintain documentation of origin, purpose and any control conditions tied to the item.
- Contact the USC Export Control Officer for a consultation if the item is technical, foreign-origin or subject to access/use restrictions.
Export Control Training
All USC persons involved in research subject to a Technology Control Plan are required to take export control compliance training on an annual basis, beginning with an initial export control training session followed by annual refresher training.
Visit the Research Training and Education Services website to access CITI-based Export Control Compliance Training.
Once you reach the Research Security Trainings page, scroll down and expand the “Export Control Compliance Training” heading to access the CITI course.