Export Control

Export controls are federal laws and regulations that govern the shipment, transmission, or transfer of export controlled items, information, and software to foreign persons, entities, or countries. Export controls can affect international travel, collaborations, shipping, and research. 

The export control system consists primarily of two sets of regulations:

• The Export Administration Regulations (EAR) and their Commerce Control List (CCL)
• The International Traffic in Arms Regulations (ITAR) and their Munitions List

Export Control governs how information, technologies, and commodities can be transmitted overseas to anyone, including U.S. citizens, or to foreign nationals in the U.S. This can include tangible and intangible items, including technical knowledge and data that is not publicly available. The phrases “Technology” or “Technical Data” refer to technical information beyond general and basic marketing materials about a controlled commodity. They do not refer to the controlled equipment/commodity itself, or to the type of information contained in publicly available user manuals. Rather, broadly speaking, the terms “technology” and “technical data” mean specific information necessary for the development, production, or use of a commodity, and usually takes the form of blueprints, drawings, photographs, plans, diagrams, models, formulae, tables, engineering specifications, and documentation.

Results of Fundamental Research are excluded from export control, as described below in the “Fundamental Research Exclusion” section. 

Taking university-owned research equipment may require export control considerations and documentation. This may also apply to technology, technical data, and proprietary knowledge or information depending on the circumstances. Please review the International Travel and Elevated-Risk Destinations (countries of concern) pages and reach out to risk-management@humboldt.edu for guidance. 

There are specific countries which present additional compliance and risk concerns that should be reviewed with the Risk Management team prior to potential international travel or collaboration with any entities or individuals from these countries. 

US Government-Identified “Countries of Concern”

The Federal government identifies specific foreign governments it determines capable of conduct significantly adverse to the national security of the U.S. as “Countries of Concern.” The current list consists of:

• China
• Cuba
• Iran 
• North Korea
• Russia
• Venezuela

If you plan to travel to or collaborate with anyone from these countries, please reach out to risk-management@humboldt.edu in advance for guidance.

Embargoed, Sanctioned, or Restricted Destinations, Organizations, or Individuals

U.S. Sanctioned countries are subject to broad political, military, and/or economic sanctions through executive orders or changes in federal law. Contact risk-management@humboldt.edu if your research involves people or entities in comprehensively or broadly sanctioned countries as they may be subject to export control or require additional compliance measures such as OFAC Restricted Party Screening to ensure that we are not doing business with a denied person/entity. 

Comprehensively Sanctioned Countries include (subject to change): 

• Cuba
• Iran
• North Korea
• Syria
• The Crimea, Donetsk People’s Republic and Luhansk People’s Republic regions of Ukraine

Broadly Sanctioned Countries include (subject to change):

• Venezuela
• Russia
• Belarus

Due to the ever-changing nature of sanctions and export controls that impact international travel and collaboration, please coordinate with risk-management@humboldt.edu to ensure compliance and safety.

SPF operates under the Fundamental Research Exclusion (FRE), which provides that technology (meaning “technical data”) or software that arises during, or results from, fundamental research and is intended to be published is excluded from the export control regulations. The exclusion does not extend to items or information that may be used during the course of fundamental research.

The exclusion for fundamental research from export controls applies to technical data only:

• When conducting fundamental research,
• With the intent to publish the results, AND
• You have accepted no publication/dissemination or access restrictions (i.e. your project is not subject to publication approval by sponsors or the government, nor have you accepted citizenship-based restrictions on who may be included on the research team).

University research will NOT be considered fundamental research if:

• The University or its researchers accept other restrictions on publication of scientific or technical information resulting from the project or activity, or
• The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable. 

Some research activities and information may be more difficult to assess if they qualify under the FRE, so if it is ever unclear please contact risk-management@humboldt.edu for guidance to ensure your activity is appropriately documented.

Educational Information

Educational information may be exported or “deemed” exported without an export license during instruction in courses regularly offered by universities. This exemption includes instruction in science, math, and engineering concepts taught in courses listed in the university’s catalogue and associated teaching laboratories, even if the information concerns export controlled commodities or items.

Public Domain

Information that is published and generally accessible or available to the public through sales at bookstores or newsstands, subscriptions, libraries, patents available at any patent office, conferences, meetings, seminars or trade shows, or through fundamental research.