export controls

Export Controls


Sam Houston State University (SHSU) is dedicated to conducting teaching, research, and service openly, allowing free publication of academic results. However, federal laws require authorization for foreign nationals to participate in research involving certain technologies or for sharing research information with non-U.S. citizens or residents.

SHSU is committed to complying with U.S. export laws, which regulate the transfer of controlled hardware, software, and data. These laws apply to all research areas, regardless of funding, and non-compliance carries severe penalties. All employees must understand and follow these regulations by working with Research Integrity and Compliance.


  • What is an Export?

    An export includes any disclosure, transfer, or transmission of a commodity, technology, or software, whether orally, in writing, electronically, or visually, to anyone outside the U.S., including U.S. citizens.

    It also involves sharing controlled items or information with foreign nationals, even on campus. Export laws regulate the distribution of critical technology, services, and information to protect national security and foreign policy. If export control regulations apply, an export license is required before sharing such items or data.

    These laws may restrict foreign scholars' participation, research disclosures at conferences, and international collaborations.

  • What are Export Control Laws?

    Export Control Laws are federal regulations that restrict the transfer of certain materials, technology, related technical data, and certain services outside the United States in the interest of protecting the national security and domestic economy.  These laws have been in existence for many years, but recently at the federal level there has been heightened concerns over national security and stricter interpretation and enforcement of export control laws.

  • Who controls exports?

    Most export control issues fall under the jurisdiction of the Department of Commerce through its Export Administration Regulations (EAR, see 15 CFR 730-774), the Department of State under the International Traffic in Arms Regulations (ITAR, see 22 CFR 120-130), and the Department of Treasury through its Office of Foreign Assets Control (OFAC).

    EAR is primarily responsible for controlling the export of dual use technologies. In other words, items that are used, or have the potential to be used, for both military and non-military purposes that could adversely affect national security if exported.

    ITAR regulates military or defense-related articles, technologies, and services. OFAC controls the transfer of items and services of value to embargoed nations and imposes trade sanctions, and trade and travel embargoes aimed at controlling terrorism, drug trafficking and other illicit activities.

  • What are some exclusions from Export Control Laws?

    There are several exclusions, but three are particularly relevant to academic research: the Fundamental Research Exclusion, Public Information Exclusion, and  Educational Information Exclusion. These exclusions are voided, if researchers make side agreements that contain publication or participation restrictions based on nationality. IT IS CRUCIAL THAT YOU DO NOT ENTER INTO ANY SIDE AGREEMENTS THAT MENTION EXPORT CONTROLS WITHOUT GUIDANCE FROM THE OFFICE OF RESEARCH AND SPONSORED PROGRAMS (ORSP).

  • What is considered fundamental research?

    Fundamental research (as it pertains to export controls) includes basic or applied research in science or engineering at an accredited institution of higher learning in the U.S. where the information is ordinarily published and shared openly in the scientific community or is about to be published.

  • What is considered published information?

    EAR and ITAR have different regulations on what is considered published information. For EAR, information is considered published if it has been, is about to be or is ordinarily published. The ITAR requirement is that the information has been published.

    Information is considered published when it appears or is generally accessible to the interested public through the following ways:

    • Periodicals
    • Books
    • Print
    • Electronic or any other media available for general distribution to any member of the public

    Published or ordinarily published material also includes the following:

    • Readily literature available at libraries open to the public
    • Issued patents
    • Releases at an open conference, meeting, seminar or trade show

    A conference is considered "open" if all attendees are allowed to take notes and make a person record of the presentations. In all cases, access to the information in question must be free or for a fee that does not exceed the cost to produce and distribute the materials or conduct the conference.

  • What kinds of research projects raise export control concerns?

    Any research activity may be subject to export controls if it involves the actual export or “deemed” export of any goods, technology, or related technical data that is considered dual use (commercial in nature, but can be used in military applications as well) or inherently military in nature.

    Projects in the following areas have a high risk to being subjected to export controls:

    • Engineering
    • Space sciences
    • Computer science
    • Biomedical research with lasers
    • Research with encrypted software
    • Research with controlled chemicals, biological agents, and toxins

    In addition, any of the following may subject your research to export control regulations:

    • Sponsor restrictions on the participation of foreign nationals
    • Sponsor restrictions on the publication or announcement of research results
    • Confirmation from the sponsor that export controlled information or technology will be furnished for use in the research
    • The physical export of controlled goods or technology is expected
  • What happens if I do not comply with Export Control Laws?

    The consequences for noncompliance are very serious for both the university and the researcher.

    ITAR Penalties:

    • Criminal: up to 10 years in prison
    • Civil: seizure and forfeiture of articles, revocation of exporting privileges, fines of up to 500K per violation

    EAR:

    • Criminal: $50K- $1M or five times value of export, whichever is greater, per violation, up to 10 years in prison
    • Civil: loss of export privileges, fines $10k-$120k per violation
  • Who can I contact for help?

    At any time you have a question about export control regulations and how they apply to your research contact the Research Compliance Coordinator, Sharla Miles, at sharla_miles@shsu.edu or (936) 294-4875.