Export Controls Guidance
Export control laws exist to make sure that sensitive materials, software and equipment, weapons, and funding do not to end up in the wrong hands for reasons of foreign policy and national security. “Export” in this case can refer not just to physically carrying, for example, encrypted software to an embargoed country, but also allowing a postdoc from an embargoed country to view sensitive materials here on the Fordham campus. While these laws do provide exclusions for “fundamental research”, the criteria under which the exclusions apply are narrowly defined and it can be unclear in some cases whether an activity or item falls under these laws and therefore requires an export license. The Department of State has provided a helpful overview as well as a compilation of red flags and watch lists.
Please use the questionnaire below to help you determine if your activity may include export control issues. If your answer is "yes" to any of these questions, please contact us at firstname.lastname@example.org for further guidance.
For additional guidance on bringing international visitors to Fordham, please see the Office of International Services website.
You can learn more about export controls by taking the CITI Training Export Controls course. Follow these instructions, provided by the IRB, on how to register for the CITI website and add a course: CITI Instructions. Choose "CITI Export Controls Course" in Question 7.
Questions about: Type of Research
- Does the research involve the use of export controlled information, items, or technology (e.g., export restricted information or technology received from outside the university)? See: EAR and ITAR
- Does the research involve export restricted science and engineering areas, including: defense articles or services, missiles, chemical & biological weapons, nuclear technology, work with designated select agents, high performance computing, or encryption technology?
- Does the research involve the development or use of data, hardware, software, technology, materials or services that are listed on either the US Munitions List or the Commerce Control List? https://www.bis.doc.gov/index.php/documents/regulation-docs/13-commerce-control-list-index/file
- Does the sponsor of your research have the ability to review and approve publications or to control access to the project or project results?
- Have you been required to sign a non-disclosure or confidentiality agreement? (If so, the research will not be exempt from export controls regulation under the “Fundamental Research” exemption.)
Questions about: Location of the Work
- Does the research involve the transfer of project information, equipment, materials, or financial support out of the U.S. (e.g., sending project deliverables or providing funding via a subcontract)?
- Will any part of the research take place outside the U.S. or include international travel (e.g., field work outside the U.S., attending an international conference to present results, or providing professional services)?
- Will any hardware (including Fordham-issued laptops, promotional thumb drives, etc.), software or technical information be shipped or carried to a foreign country, including encrypted software?
- Will any technical drawings, schematics, prototypes, samples (including biological) or other equipment be shipped or carried to a foreign country?
Questions about: Involvement of Foreign Nationals
- Does the research involve foreign national faculty, visiting scientists or collaborator(s), or other foreign entities (e.g., non-U.S. company, university, or other organization)?
- Will any foreign national graduate students, trainees, or other Fordham employees be involved in the research?If yes, has a determination been made by the Export Control Committee that the research would be considered to be Fundamental Research?
- Does the research involve any foreign individuals or entities, which would include institutions, companies and universities? If yes, have the foreign entities be vetted through the following:
• Bureau of Industry and Security’s Lists of Parties of Concern - https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern
• Department of Treasury, Office of Foreign Assets Control’s Specially Designated Nationals And Blocked Persons List (SDN) - https://sanctionssearch.ofac.treas.gov/