Export Controls FAQ

Q: What are export controls and why do they exist?

A: Export Controls refer to a variety of U.S. federal laws and regulations controlling what commodities, technologies, software, and services may be sent to foreign locations or disclosed to foreign persons. The purpose of these is to protect U.S. national security and foreign policy interests from malign foreign actors who may wish to access our most advanced and useful technologies.

Q: What happens if we are non-compliant with export controls?

A: Non-compliance with export controls can result in severe monetary and criminal penalties against both an individual as well as the university, and can result in the loss of research contracts, governmental funding, and the ability to export items.

Q: Is academia exempt from these rules?

A: Not entirely. While there are some important exceptions from these rules for institutions of higher learning in the U.S., export controls can and do apply to a variety of common activities occurring within the research enterprise at higher educational institutions such as Fordham.

International shipping, travel to foreign locations, or even hosting foreign national visitors can all have potential export controls implications for you and Fordham.

Export controls inform all research and academic programs (science, humanities and business, etc) to the extent there is any international activity involved in the programs, as well as in the scientific context, research utilizing specialized instruments or materials. They also influence all operational and business functions units including Sponsored Research, Human Resources, Procurement, Inventory Control, IT, Facilities Management, Technology Commercialization, Environmental Health/Safety, Finance, and International Students/Scholar programs and related visa services.

Q: What is the Fundamental Research Exclusion (FRE)?

A: The FRE is one of the useful exceptions afforded to academia with regards to export controls in the U.S. If your work qualifies as fundamental research (no barriers to publication or participation in the research efforts) then the results of such research are NOT subject to export controls requirements.

Q: Does the FRE cover the export of physical items?

A: No, only non-tangible research results in the form of technology are excluded under the FRE. Physical items will always remain subject to U.S. export controls. Depending on various factors a license may be required to physically export an item.

Q: What if the physical item I need to ship was developed from a fundamental research project?

A: The item would still be subject to export controls (and potential licensing) regardless of whether it was the result of fundamental research. As stated above, the FRE never exempts physical items from export control. Such shipments still require review and approval.

Q: So, even though my international shipment is related to my research and is non-commercial, it’s still an export?

A: Correct; regardless of whether you’re selling any items to the recipient overseas you are engaging in an export activity by sending something out of the U.S.

Q: What about temporary shipments that come back to the U.S.?

A: Temporary international shipments are still considered exports and must comply with all applicable regulations. There are however certain cases where a temporary export may not require an export license.

Q: Is hand-carrying an item during my travels considered an export?

A: Yes, anytime you bring Fordham-owned items with you during international travel (whether in checked or carry-on luggage or on your person) you have just exported such items to your country of destination and any other countries you transited. Export controls regulations and licensing requirements apply equally to such hand-carried exports (although more exemptions may apply for travel than shipping).

Q: Are there certain foreign companies, persons, or other universities that I cannot engage with?

A: Yes, the U.S. government maintains various lists of so-called “Restricted Parties”. Such entities are either prohibited from being involved in export transactions generally, or are sanctioned to the extent that any interaction with them would be prohibited without a license. 

Q: What is an export license and how do I get one?

A: An export license is specific authorization from the US government to engage in an export or sanctions activity that would otherwise be prohibited. These licenses must be obtained beforehand and are situation-specific (i.e. no “blanket licenses” can be obtained for your lab).

All export or sanctions licenses must be obtained via the University.

Q: What is a deemed export?

A: A deemed export refers to the release or transmission of information or technology to any foreign national in the U.S., including students, post-docs, faculty, visiting scientists, or training fellows. A deemed export is treated as an export to that person’s home country

Q: Who is considered a foreign national for the purposes of export controls?

A: Any person: 

1. Not a U.S. Citizen,
2. Not a U.S. Permanent Resident (i.e. a green card holder), or
3. Not a person offered Protected Status under 8 U.S.C. 1324b(a)(3)…

is considered a foreign national for the purposes of exports controls regulations. Also, employees of foreign entities (including U.S. persons) are treated as foreign nationals no matter where located.

Individuals on a visa (including foreign visiting faculty) are considered foreign nationals. 

Q: I have a foreign national visiting my lab; do I need an export license?

A: Perhaps, this will depend on many factors. Generally-speaking having a foreign national visiting or working in your lab does not alone necessitate the need for an export license. There would need to be an actual release of export-controlled technology or software to the foreign national (i.e. a deemed export).

If you plan on sharing any information or software with them that is NOT already published and in the public domain, it is possible an export license could be required. Similarly, if you have export-controlled items in your lab and the foreign national requires direct access to them, it is possible a license is needed for that activity – further analysis necessary.

Also, keep in mind that if your visitor needs to take items from your lab back out of the country with them, this is an export that may require licensing.