Research Protections - Export Controls
Basics of Export Controls
What is an Export?
An export is a transfer of items, software or technology to a foreign person, foreign entity or foreign destination.
- The definition of technology includes information that can be used or adopted for the development, production or use of a good.
- Information can take the form of technical data or technical assistance. Examples include but are not limited to: blue prints, sketches, models, drawings, software, manuals, training and technical services.
An export of technology or source code to a foreign person that occurs within the United States is called a “deemed export”.
- Examples of a deemed export of technology or source code include: visual inspection of a controlled technology, an oral exchange of technical information and training on the practice or application of a technology.
Export controls also prohibit exports of any type to certain countries and persons/entities.
Penalties for export control violations are severe and may be assigned both to the person violating the regulations as well as Appalachian. Civil penalties include $250,000 per transaction and up to 10 years in prison. The University is required to keep records of compliance with export control regulations for 5 years.
Who Monitors Export Controls?
Export control regulations regulate both exports and deemed exports and are promulgated by several federal agencies:
- The Export Administration Regulations (EAR) administered by the Department of Commerce. The EAR regulates the export of dual use items – items that may have both a commercial and military application – as well as items with only commercial applications.
- The International Traffic in Arms Regulations (ITAR) administered by the Department of State. The ITAR regulates the export of items inherently military in nature. Items regulated by the ITAR are listed on the United States Munitions List (USML).
- The Office of Foreign Assets Control (OFAC) of the Department of the Treasury administers and enforces sanctions against targeted foreign countries and terrorists. Distributing items or providing services to a sanctioned country without permission from the U.S. government will result in a federal violation. The list of sanctioned countries changes so please monitor the list.
- Several different government agencies also publish Restricted Party Lists. Transactions with people or entities on these restricted party lists are prohibited. Please submit a Restricted Party Screening Request to request a screening so that you do not enter into a transaction with a restricted party.
Is Anything Exempt from Export Controls?
Generally, fundamental research -- basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly -- conducted at Appalachian is excluded from export controls. In addition, published information that is generally accessible to the public is not regulated by export controls. Likewise, instruction in science, math and engineering courses listed in course catalogues is excluded from export controls. See the Exclusions to Export Controls webpage for more information.
Are There Penalties for Violating Export Controls?
Penalties for export control violations are severe and may be assigned both to the person violating the regulations as well as Appalachian. Civil penalties include $250,000 per transaction and up to 10 years in prison. The University is required to keep records of compliance with export control regulations for 5 years.
Please consult the Forms and Resources webpage for additional information about complying with export controls when traveling abroad with Appalachian owned items, collaborating with foreign nationals, or exporting items or information abroad.
>> Return to the main Research Compliance - Export Controls page.
>> Continue with the Export Controls - What Researchers Should Know page.
