Performing research implicates export controls in a variety of ways, even if the work is performed in the United States. Researchers, research staff, and those involved with research administration should answer the following questions to determine whether a project may need further export review.
Question? Need Help? Contact Export Control.
1. Are the parties involved Restricted Parties or from a Sanctioned Country?
- Restricted Party Screening is performed using Visual Compliance (VC). If you do not have access to VC, contact the Export Control Office.
- More information on Sanctioned Countries can be found in the Embargoes & Sanctioned Countries section.
2. Is the activity basic and/or applied research, or another type of activity (such as recharge for services, or FIU consulting)?
Basic and/or applied research is typically exempt from export control regulations under the Fundamental Research Exclusion. However, work that is not basic and/or applied research (e.g. post-applied product development/engineering or engineering services) would not typically qualify. It is important to understand whether your work is research or falls into a different category.
3. Does the work qualify as Fundamental Research?
Work that is free from restrictions pertaining to publication and foreign national participation is considered Fundamental Research. Such work is exempt from export control regulations. The Fundamental Research determination is based on restrictions accepted by contract or other written and verbal agreement. FIU researchers should work with their Sponsored Projects administrator and/or the Export Office to determine whether their work qualifies as Fundamental Research.
Find more information on Fundamental Research in the Controlled Information & Fundamental Research section.
4. If the work is Restricted, how do export controls apply?
Once a researcher, ORED, and/or the Export Officer determines that work is restricted, the Export Office will work with the researcher and ORED to better understand the project and evaluate how export control regulations will affect the project, who can participate, etc.
The Export Office will determine whether the work falls under the ITAR or the EAR (Jurisdiction). ITAR controlled work precludes the involvement of foreign persons without an export license. EAR controlled work may also require limitation on foreign national involvement. Where a researcher wishes to engage a foreign national in such highly controlled work, the Export Office will assist with applying for an export license for that individual.
The Export Office will classify the research/ technology as well as related equipment, materials, software, and/or technical data that will be produced. More information on Classification can be found in the Jurisdiction and Classification section.
Based on the Jurisdiction and Classification of the work and the products of the work, a Technology Control Plan (TCP) may be required. A TCP outlines the practices and procedures required to comply with export regulations, for a specific project.
5. Is information received or generated under an agreement subject to federal or other data security requirements including but not limited to DFARS, FIPS, NIST or other requirements?
Is information received or generated under an agreement subject to federal or other data security requirements including but not limited to DFARS, FIPS, NIST or other requirements?
6. Will you receive, purchase, and/or use highly controlled items?
Many research projects involve the receipt of information, items, materials, equipment, and/or software. Some of these things may be highly controlled, even if the work performed qualifies as Fundamental Research. While use of even highly-controlled things is generally allowed, there are circumstances where access to controlled things must be strictly implemented (such as with ITAR equipment). More information on Controlled Items can be in the Controlled Information & Fundamental Research section.
If you are purchasing or receiving equipment, materials, software, and/or proprietary technical data, it is helpful to ask the provider (sponsor, manufacturer, etc.) about the export control classification of thing provided.
If the provider cannot or will not provide the export classification, and you think that export controls may apply, the Export Office can help determine whether further review is necessary.
7. Will you perform defense services?
Some researchers may perform a defense service when they furnish assistance (including training) or technical data to foreign persons related to the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles. Defense services also include providing military training to foreign units and forces (wherever located). Defense services are closely regulated under the ITAR.
Researchers engaging with foreign military in any capacity should contact Export Control for assistance determining whether their proposed engagement is a defense service.