Export controls are regulations that govern the transfer of specific goods, services and technology out of the United States to foreign countries and parties or to foreign nationals located in the United States. These controls are in place to ensure that sensitive information, technology and resources do not fall into the hands of unauthorized foreign entities that could harm national security, foreign policy or economic interests.

These are specific regulations that control exports from the U.S. to foreign entities.

• ITAR (International Traffic in Arms Regulations): ITAR governs the export of defense-related articles, services, and technical data. It controls items that are designed for military use or are related to national defense.
• EAR (Export Administration Regulations): EAR regulates the export of dual-use items, meaning items with both commercial and military applications, controlled by the Bureau of Industry and Security (BIS) within the U.S. Department of Commerce.
• OFAC (Office of Foreign Assets Control): OFAC regulates sanctions programs that prohibit transactions with designated foreign countries, entities and individuals, particularly those involved in terrorism, drug trafficking and other activities harmful to U.S. interests.
• 10 CFR Part 810 (U.S. Nuclear Regulatory Commission Export Controls): This regulation governs the export of nuclear technology, including the transfer of nuclear-related technology, services and assistance to foreign nations.

Universities often engage in research that involves the export of technical data, software or services. If the research involves defense-related materials, sensitive technologies or nuclear data, it is subject to the ITAR, EAR, OFAC and 10 CFR Part 810 regulations. USC must ensure that it is complying with these regulations when conducting international collaborations, exporting research or involving non-U.S. persons in USC research efforts.

Export controls apply in several situations, including but not limited to:

• When exporting physical goods, technology or services to foreign entities.
• When sharing technical data or research findings with foreign nationals (either in the U.S. or abroad).
• When traveling abroad with controlled technology or equipment.
• When conducting joint research with foreign collaborators.

The Export Control Officer (ECO) is responsible for overseeing compliance with export control laws. The ECO provides guidance on whether specific activities or transactions require a license and ensures the university adheres to all regulations. The ECO is responsible for:

• Reviewing research and international travel for export control implications.
• Ensuring that appropriate licenses or exceptions are obtained when necessary.
• Providing training on export control compliance.

Violations of export control laws can result in severe penalties, including:

• Civil fines.
• Criminal penalties, including imprisonment.
• Loss of federal funding for the university.
• Loss of the ability to engage in certain research or international collaborations.

Penalties are typically applied based on the severity of the violation, whether it was intentional or due to negligence, and the impact on national security.

If you believe that your research may involve export-controlled technology or data, it is important to:

• Consult with the Export Control Officer (ECO) for guidance.
• Complete any required export control training or documentation.
• Avoid sharing any potentially controlled technology or data without proper authorization or licensing.

In many cases, the ECO will work with you to determine if a license or exemption is needed.

A “deemed export” refers to the transfer of controlled technology, data or software to a foreign national within the U.S. In this case, the export is considered to occur as if the data, technology or software had been transferred to the person’s home country. Therefore, even though the foreign national is in the U.S., sharing sensitive information, data or software may require compliance with export control laws.

The fundamental research exclusion allows universities to conduct basic and applied research without the need for export licenses, as long as the research is publicly available and not subject to restrictions. However, this exclusion does not apply to:

• Research where the university or the researchers agree to dissemination restrictions on the results of the research. This restriction can either be specifically identified in the contract/grant document or agreed to in other ways (verbal agreement, in an email, complying with a request from the program officer to submit documents for review before release of information).
• Research funded by the government that imposes specific restrictions.
• The existing inputs of research that are already export controlled. Using an ITAR-controlled device in a fundamental research effort does not change the export control status of the device or how the university will need to secure the item.

It’s important to determine whether a research project qualifies for the fundamental research exclusion and to ensure that no export control restrictions apply. Please note, the fundamental research exclusion only applies to the informational results of the research.  Physical items such as prototypes, materials, devices, etc. generated from a fundamental research effort themselves may be export controlled.  Further, only the information generated from fundamental research efforts can be freely shared with colleagues overseas.  Any items generated from a fundamental research effort will need to be vetted for export controls prior to shipping it out of the United States.

To obtain an export license, universities must:

1. Identify whether the goods, technology or services are subject to export control regulations and to which (i.e, ITAR, EAR, 10 CFR Part 810, etc.).
2. Determine if the export is to a country, individual or entity that is restricted under OFAC or other sanction programs.
3. Develop and submit a license application to the appropriate government agency (e.g., DDTC for ITAR, BIS for EAR, NRC for 10 CFR Part 810).
4. Wait for approval or denial of the license. This process can take several weeks or months, depending on the complexity of the export and a license is not always approved, or when approved, applicable to the specific effort under consideration.

To ensure compliance:

• Engage with the Export Control Officer early in the research process.
• Participate in export control training offered by USC and through CITI.
• Always verify whether research, equipment or technology falls under export control regulations.  This is especially important if you will be taking anything physically out of the U.S., involving non-U.S. persons in the research or collaborating with a foreign colleague.
• Be mindful when collaborating with foreign researchers, both in the U.S. and abroad.

The U.S. government may audit or investigate universities for compliance with export controls. This can include reviewing research projects, licenses, contracts, and communications with foreign entities. Universities are required to maintain proper records and documentation regarding their compliance efforts.

For further information on specific export control regulations:

• ITAR: U.S. Department of State, Directorate of Defense Trade Controls (DDTC)
• EAR: U.S. Department of Commerce, Bureau of Industry and Security (BIS)
• OFAC: U.S. Department of the Treasury, Office of Foreign Assets Control
• 10 CFR Part 810: U.S. Nuclear Regulatory Commission (NRC)

Contact the USC Export Control Officer for additional information, resources and guidance.

Application for Export License: A formal request submitted to the U.S. government (e.g., DDTC, BIS) for permission to export controlled items, technology or services.

 Authorized Person: An individual or entity who has received proper authorization to export controlled items or data under export control regulations.

Bureau of Industry and Security (BIS): A division of the U.S. Department of Commerce that oversees the Export Administration Regulations and items, software and information on the Commerce Control List.

BIS License: An export license issued by BIS to authorize the export of goods or services under EAR controls.

Classification: The process of determining whether a product, service or technology falls under the EAR, and if so, which  Export Control Classification Number (ECCN) applies.

 Commerce Control List (CCL): A list maintained by BIS under EAR, detailing items subject to EAR control.

Controlled Item: Any product, technology, or service that is subject to export control regulations under ITAR, EAR or other relevant laws.

Deemed Export: The transfer of controlled technology or technical data to a foreign national in the U.S.

Defense Article: An item or technical data that is specifically designed or modified for military use and is on the USML.

Denied Party List: A list maintained by OFAC and other U.S. government agencies of individuals, organizations and countries with whom U.S. entities are prohibited from doing business.

EAR (Export Administration Regulations): Regulations that control the export of dual-use goods, services and technologies under the authority of BIS.

Export Control Officer (ECO): The USC staff member responsible for ensuring compliance with export control laws.

Export License: Authorization from the U.S. government to export items, services or technologies that are subject to export controls.

Fundamental Research Exclusion: An exclusion from export control regulations for the informational results of basic and applied research that is publicly available and not subject to dissemination restrictions.

General Prohibition: A provision within U.S. export control laws that prohibits the export of controlled items to certain countries or individuals without a license.

Hearing/Appeal: The process by which a party can challenge a decision made regarding export controls, such as a denial of an export license.

ITAR (International Traffic in Arms Regulations): Regulations that control the export of defense-related articles and services. Administered by the U.S. Department of State's Directorate of Defense Trade Controls (DDTC).

License Exception: A provision in EAR that allows for the export of certain controlled items without a license under specific conditions.

Military End User: A person or organization that uses controlled items or technologies for military applications, which could trigger additional export restrictions.

Nuclear Regulatory Commission (NRC): The U.S. government agency responsible for overseeing the export control of nuclear materials and technology under 10 CFR Part 810.

Nuclear Technology: Technologies related to the design, operation and maintenance of nuclear reactors and the processing of nuclear materials, subject to export control under 10 CFR Part 810.

Office of Foreign Assets Control (OFAC): A division of the U.S. Department of the Treasury that administers and enforces economic and trade sanctions against targeted foreign countries and entities. 

OFAC Sanctions List: A list maintained by OFAC that includes individuals, organizations and countries that are subject to U.S. sanctions.

Prohibited Party: An individual, organization or country that is restricted or banned from receiving U.S. exports due to national security concerns or violations of U.S. law.

Reexport: The export of an item or technology from one foreign country to another, particularly when that item was originally exported from the U.S.

Sanctioned Country: A country that is subject to U.S. trade or economic sanctions, making exports to that country prohibited or restricted.

 Sensitive Technology: Technology that has the potential to harm national security or foreign policy interests, subject to export controls.

Technical Data: Information required for the design, production or use of goods or services, which is often subject to export controls, especially under ITAR. 

Temporary Export: The export of items or technology for a limited time, often for exhibitions, field research, conference travel, demonstrations or repairs, that may be subject to specific controls.

U.S. Munitions List (USML): A list of defense articles and services under the ITAR that are considered sensitive for national security purposes and subject to export restrictions.

Violation: A breach of export control laws or regulations, which could result in penalties, including fines or criminal prosecution.

Wassenaar Arrangement: An international agreement among participating countries that aims to promote transparency and responsibility in arms exports and the transfer of dual-use technologies.