Export Controls in Research
For inquires please contact Export Control
Federal export control laws govern the international shipment or transmission of certain controlled or sensitive physical items, technology, information or software as defined by the U.S. State Department International Traffic in Arms Regulations (ITAR) and the U.S. Commerce Department Export Administration Regulations (EAR) or foreign entities. These laws also apply to “deemed exports” where there is a “release” or sharing of export-controlled information or technology to any foreign national in the United States, which may include individuals working at UC Davis in your lab or facility.
The United States export controls exist to protect the national security and foreign policy interests of the United States and is governed by the U.S. State Department International Traffic in Arms Regulations (ITAR) and the U.S. Commerce Department Export Administration Regulations (EAR) or foreign entities. Due to concerns about homeland security, the proliferation of weapons of mass destruction, terrorism, and unauthorized releases of technology to U.S. economic competitors, the federal government has recently increased its scrutiny of export control compliance by colleges and universities.
It is important to understand that export control laws can potentially apply to ANY shipment, transmission, or transfer of your research-related physical items, information, or software outside the United States. Depending on the type of item or technology and country involved, the U.S. government may require an export license prior to transferring certain items to certain countries, foreign nationals, or entities, even (as noted) within the U.S.
The Federal Government can (and has) imposed serious criminal and civil sanctions against Institutions, entities, and individuals who violate these expert control rules. Thus, UC Davis and its individual faculty and research must exercise due diligence in complying with U.S. export control laws while preserving one of the University of California’s core values, openness in research.
Export Control Areas
- Activities Involving Embargoed Countries
- Acquisition of Equipment and Items
- Frequently Controlled Technologies
- The Fundamental Research Exclusion (FRE)
- International Shipments
- International Travel, Research, and Collaborations
- Traveling Overseas with Electronic Devices
- Resources – Videos, Policies, Attestation Form
Activities Involving Embargoed Countries
Traveling to, collaborating, or conducting research or educational activities with entities or individuals in embargoed countries may also trigger advanced license obligations from the Federal Office of Foreign Assets Control (OFAC). Exporting (and importing) any goods or services to such countries also may require an advanced license. For instance, if you plan to travel to Iran to attend a conference or export (or import) a research item or sample to or from a colleague in Iran, you may need a license from OFAC.
Embargoed countries include (not limited to the following list):
Click here for the current list specifically to arms embargoed countries
Accordingly, you should NOT travel to, conduct research or educational activities with, or export or import any items to or from embargoed countries without first checking with the Office of Research to ascertain whether a license from OFAC is required.
In addition, you should watch the brief video(s) below that provide an overview of export control rules generally University General Export Control Video and a separate video on OFAC that specifically address export control and related laws and rules associated with engaging in activities in and with individuals or entities in embargoed countries.
Acquisition of Equipment and Items
As part of your research and related activities, you will undoubtedly seek to purchase research equipment and other items to facilitate your projects. As you and/or your staff investigate vendors and suppliers for your items, it is important that be aware of language in their written materials (such as product brochures or purchase orders) that indicates the equipment or item is or may be controlled under export-controlled laws. For instance, if the vendor or supplier (or manufacturer) informs you or you read written product information that indicates the item is “subject to export control laws,” or is controlled under “ITAR” or “EAR” (or other information to this effect), you should contact the Research Compliance and Integrity Unit prior to finalizing the purchase or sending the purchase request to UCD Procurement and Contracts.
Frequently Controlled Technologies
Categories of technologies that typically are subject to export control laws include, but or not limited to Chemical, biotechnology, and biomedical engineering; Materials technology; Remote sensing, imaging and reconnaissance; Navigation, avionics and flight control; Robotics; Propulsion system and unmanned air vehicle subsystems; Telecommunications/networking; Nuclear technology; Sensors and sensor technology; Advanced computer/microelectronic technology; Information security/encryption; Laser and directed energy systems; Rocket systems; Marine technology.
The Fundamental Research Exclusion (FRE)
Because UC Davis embraces the concepts of academic freedom and open publication and dissemination of research findings and results, most research at UCD is excluded from the “deemed export” rules under the Fundamental Research Exclusion (FRE) as long certain criteria are satisfied. Importantly, however, the FRE generally only applies to the results of the research and then only when such results are ordinarily published and shared with the scientific community. To qualify under the FRE, the research must be free of any publication or access restrictions. Thus, even if your research qualifies for the FRE, a “deemed export” is still possible if you used controlled, especially ITAR-controlled, equipment or technology as part of your research.
In addition, the FRE does not apply to the actual physical export (e.g. shipment or transmission) of control items, data, or information outside the United States.). Even if your research is fundamental research as defined by federal law, any and all actual shipments or exports of research items outside the United States should be vetted to determine with a license is required.
It is essential that you not ship anything outside the U.S. before ensuring that you have complied with the applicable export control and potential licensing requirements. For sponsored research, you will be asked to answer export control-related questions on the Cayuse IPF online form that you submit to the Sponsored Programs Office under Foreign Activity. It is important that you answer these questions completely and accurately so that the Research Compliance & Integrity Unit can work with you in determining if your research activities trigger any export control requirements.
Cayuse SP IPF Foreign Activity List of Questions
- Does the project involve conducting research with a potential military application?
- Does the project involve:
- Sending, transporting, transmitting, or carrying any material or equipment outside the United States (example include: computer, GPS, biologicals, diagnostic kits, reagents, or data)?
- Travel outside the US by any research personnel? If the answer is yes, please attach a list of destination countries at the attachments tab on your proposal.
- Importing, exporting, or transmitting any goods, services, technology, or funds to or from (or traveling to) any of the countries from the OFAC list (including, but not limited to Iran, North Korea, Syria, Libya, and Cuba)?
- Some types of research may have export control implications even if all work is conducted within the U.S.
- Do you anticipate that the project may involve:
- Non-commercial encryption or information security software?
- Any equipment, technology, materials, or software specifically designed, modified, or adapted (even slightly) for a military purpose or that may involve national security?
- Any classified materials, equipment, technology, or data?
- Do you anticipate that the project may involve:
In addition, you should watch the brief video(s) below that provide an overview of export control rules generally, University General Export Control Video, and a separate video that specifically addresses export control on Shipping Overview, Shipping Documentation, and related laws and rules associated with international shipments.
International Travel, Research, and Collaborations
Additionally, certain types of international travel, research, and other activities may trigger export control rules. This includes travel, shipments, collaborations with, and other activities to and/or in embargoed countries such as Iran, Syria, and Cuba (See “Activities Involving Embargoed Countries” below). These rules carry equally serious if not more onerous civil and criminal penalties for non-compliance.
Accordingly, it is also imperative that you not engage in any international travel, research, or collaborations until you first determine that your activities are exempt from export control licensing or you have obtained a license.
In addition, you should watch the brief video(s) listed below that provide an overview of export control rules generally, University General Export Control Video, and a separate video on Traveling Abroad that specifically addresses export control and related laws and rules associated with international travel and related activities.
Traveling Overseas with Electronic Devices
Many researchers have recently raised questions about their rights and responsibilities regarding travel with electronic devices, specifically by U.S. Customs and Border Patrol at the United States territorial border and ports of entry. UC Systemwide Information Security has created a useful FAQ that addresses many of these questions. Please contact Export Control for additional guidance and best practices for taking electronics overseas in the course of research.
Traveling with Electronic Devices Resources
Cybersecurity for the Travelling Scientist
Export Control Videos
Several brief export control videos are available that provide a brief overview of export control laws and provide summaries of these rules in connection with various activities (e.g. international shipping, international travel, etc.).
These videos are listed below:
- University General Export Control
- Traveling Abroad
- Shipping Overview
- Shipping Documentation
- Biological Agents
Note: Please also refer to the Research Compliance Guide for a more detailed explanation of the purpose, definitions, “do and don’ts,” and scope of the various export control laws and regulations.
- UCOP Export Control Webpage
- UCOP Export Control Compliance Plan
- UCOP: International Compliance
- UCOP: Ten Things You MUST know Before Taking Your Laptop Overseas
- UCOP: Decision Tree on International Shipping
Contact the Research Compliance & Integrity unit