Research Protections - Export Controls

What Researchers Should Know

How do export controls affect researchers?

  • Export controls require screening of international collaborators against government restricted party lists. 
  • Export controls require an export license or the documentation of an exception for an export license for the transmission of items, software or technical information outside of the United States.  
  • If your research does not fall under the Fundamental Research Exclusion, please contact Julie Taubman at compliance@appstate.edu to discuss potential deemed exports to foreign nationals at Appalachian.

What kind of research is export controlled?

  • Any research activity may be subject to export controls if it involves the actual export of controlled goods, technology, or software or “deemed export” of technology or source code to a foreign national within the United States. 
  • Information resulting from fundamental research and information in the public domain is excluded from export controls.  See Basics of Export Controls and Exclusions to Export Controls for more information.  Stanford University has a Decision Tree that can be used to determine if research is export controlled. 
  • Research in the following areas is commonly regulated by export controls (note: this is not a complete list):
    • Chemical, Biotechnology and Biomedical Engineering
    • Materials Technology
    • Remote Sensing, Imaging and Reconnaissance
    • Navigation, Avionics and Flight Control
    • Robotics
    • Propulsion System and Unmanned Air Vehicle Subsystems
    • Telecommunications/Networking
    • Research with controlled chemical, biological agents and toxins
    • Sensors and Sensor Technology
    • Advanced Computer/Microelectronic Technology
    • Information Security/Encryption
    • Laser and Directed Energy Systems
    • Marine Technology

As a Principal Investigator, what should I do to comply with export controls?

  • Review the export controls website and attend a training session on export controls or review the online export controls training powerpoint presentation.
  • Provide all agreements, memoranda of understanding, contracts, terms or clauses negotiated with a sponsor to the Office of Research and Sponsored Programs to review for any provisions or restrictions that might negate the Fundamental Research Exclusion from export controls requirements.
  • Complete restricted party screening of any international collaborators and request assistance for the export of any technology and goods overseas. 
  • For any export controlled technologies, complete a Technology/Data control plan to restrict access of export controlled research to foreign nationals on campus.  See the Forms and Resources webpage for a template.

If a sponsored project has publication restrictions and/or restrictions on who can participate in the research, how does that impact export controls?

  • Publication restrictions and/or restrictions on the participation of foreign nationals in the research negate the Fundamental Research Exclusion so the research may be export controlled.

If research is export controlled, what should we do?

>> Return to the main Research Compliance - Export Controls page.

>> Continue with Export Controls-International Travel and Travel with a Laptop page.