Export Control

Export control laws support the national security, foreign policy, anti-terrorism and non-proliferation goals of the United States by imposing restrictions on the transfer of controlled items and information to certain countries and their nationals. The goal of UTC’s Export Control program is to support and sustain an open, unrestricted and collaborative research environment at UTC, while also ensuring that the UTC research community is informed and protected when export controls apply.

Certain federal regulations may require the university to obtain permission from the Department of State or the Department of Commerce before allowing foreign nationals to participate in research involving specific technologies or before sharing research information (written or verbal communication) with persons who are not citizens of the United States or permanent resident aliens. This applies to faculty, staff, and students.
Also, some federal agencies prohibit the participation of foreign nationals. The attached links will provide you with an overview on export control and additional information that will enable you to determine if your program is subject to export control laws. After reviewing these materials, should you still have questions, please contact ORI.

For questions about any of these issues, contact UTC’s Office of Research Integrity at [email protected]. The Office of Research Integrity supports UTC researchers and research administrators in complying with export control regulations. Services provided include:

Evaluating research activities (e.g., sponsored projects, technology transfers, international travel) for export control applicability and compliance requirements
Assisting with the development of a Technology Control Plan (TCP) if export controls apply to a research activity or project
Obtaining appropriate federal licenses and other approvals for an activity if it is export-controlled
Advising on, and monitoring the completion of, required export compliance training

Penalties

Export Control Links

Researcher's Obligations in Export Control

Export Exclusions

Additional Resources

Truths:	Myths:
Export Controls apply to transfers out of, as well as some transfers within, the U.S. Export Controls apply to U.S. citizens, anywhere in the world. Export Controls apply to everyone, regardless of citizenship, in the U.S. The Fundamental Research Exclusion (FRE) is NOT available for physical shipments. To claim the FRE, research must not have publication or dissemination restrictions. Transfer of proprietary information to a foreign national in the U.S. may require an export license. Any activity with comprehensively sanction countries (currently Iran, Cuba, Syria, North Korea, Russia, certain regions of Ukraine) must be approved by the Office of Research Integrity. Penalties for violations include substantial monetary fines (levied against UTC and the researcher) and can include jail time in the case of willful violations.	“Export Controls do not apply to my shipment because it is non-hazardous.” “Export controls do not apply to my shipment because you can order it on Amazon.” “Everything is research related, so I do not need to be concerned about Export Controls.” “I’m not sending anything out of the U.S., so I do not need to worry about Export Controls.”

Truths:

Myths:

Export Controls apply to transfers out of, as well as some transfers within, the U.S.
Export Controls apply to U.S. citizens, anywhere in the world.
Export Controls apply to everyone, regardless of citizenship, in the U.S.
The Fundamental Research Exclusion (FRE) is NOT available for physical shipments.
To claim the FRE, research must not have publication or dissemination restrictions.
Transfer of proprietary information to a foreign national in the U.S. may require an export license.
Any activity with comprehensively sanction countries (currently Iran, Cuba, Syria, North Korea, Russia, certain regions of Ukraine) must be approved by the Office of Research Integrity.
Penalties for violations include substantial monetary fines (levied against UTC and the researcher) and can include jail time in the case of willful violations.

“Export Controls do not apply to my shipment because it is non-hazardous.”
“Export controls do not apply to my shipment because you can order it on Amazon.”
“Everything is research related, so I do not need to be concerned about Export Controls.”
“I’m not sending anything out of the U.S., so I do not need to worry about Export Controls.”

Additional Resources thanks to Cornell University.