Though university activities are often eligible for exceptions and exclusions from export controls, the use of such exclusions/exemptions may be unavailable in certain circumstances. The following provides guidance on circumstances or "red flags" that require a closer review of potential export control issues. These "red flags" may appear in a number of activities, including sponsored research, non-sponsored research or collaboration with third parties. Examples of activities in a university setting that may be subject to export controls follow.

Restrictions on Publication or Dissemination of Information

Export controls may apply if an employee or the university accepts restriction on the publication or dissemination of information. Examples of problematic restrictions include:

• Pre-publication review by a sponsor or third-party;
• Requirement to treat research results as proprietary or confidential;
• A sponsor’s right to withhold information from dissemination or publication.

Restrictions on Research Activities or Participation in Research Activities

Export controls may apply if an employee or the university accepts research restrictions, including those that:

• Forbid or restrict the participation of foreign nationals;
• Limit research participation to “U.S. persons” or “U.S. citizens”;
• Designate the research activity, content or results as “subject to export controls”;
• Include a sponsor initiated or Government flow-down export control clause (other than a general statement of compliance);
• Require a security clearance for participants; or
• Otherwise limits the openness in research activities.

International Travel

Export controls may also apply to university activities related to international travel. International travel activities that may be subject to export controls include:

• Shipment or hand-carry of items, materials, equipment or technical data, including laptops and prototypes, to another country;
• Travel to a country subject to a U.S. embargo or sanctions (e.g., Cuba, Iran, North Korea, Sudan or Syria).

Research Activities at a Foreign Location or Involving International Collaboration

With few exceptions, the Fundamental Research Exclusion is limited to research conducted at U.S. accredited institutions of higher learning. Therefore, research activity at a location outside the United States or exchange of technology with a foreign collaborator at a foreign location may may be subject to U.S. export controls or economic sanctions regulations. In addition, collaborative research with any U.S. embargoed or sanctioned country may be subject to U.S. export controls or economic sanctions regulations.

Export Shipments

The exclusions described on this site do not apply to the export of hardware, software or technology, including prototypes, to a foreign location. An export license may be required for an export shipment depending on what th item is, the destination and the foreign recipient(s).