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Export Controls

It is the policy of the California State Polytechnic University at Pomona to fully comply with all applicable laws, regulations and contractual requirements related to export controls. This includes, but not limited to the Export Administration Regulations (EAR) administered by the Department of Commerce, the International Traffic in Arms Regulations (ITAR), administered by the Department of State and the Foreign Asset Control Regulations (FACR) administered by the Department of Treasury. The successful implementation of the university policy and compliance requires a team effort between the PIs, staff and the university.

In order to protect national security, foreign policy, and national economic goals export laws specifically regulate the distribution of strategically important technology, services and information to foreign nationals and foreign countries to protect. These laws apply to sponsored research projects, international shipping and international collaborations.

Services

  • Educational Program
  • Advice on Export Controls
  • Project Reviews
  • Compliance with all regulations

What Constitutes an Export?

  • Any transfer or transmission via written, oral, electronic or visual disclosure and shipment of controlled commodities, technology (information, technical data, or assistance) or software/codes outside the United States to anyone, including U.S. citizens.
  • Any transfer or transmission via written, oral, electronic or visual disclosure, to any person or entity of a controlled commodities, technology or software/codes with the intention to transfer it to a non-U.S. entity or individual, regardless of where they are located including a foreign student, a visiting scholar, or other colleagues at CPP.
  • Any transfer of these items or information to a foreign embassy or affiliate also constitutes export.

Prior to sharing export-controlled items or information can be shared abroad or on campus, with foreign nationals who may be participating or collaborating on restricted research projects, an export license will be required. For example, the following activities may be restricted:

  • Foreign scholars and students to participate in research at CPP, that is restricted by export-control regulation.
  • Foreign scholars and students to participate in research at CPP, that is restricted by export-control regulation.
  • Any disclosure or discussion by the CPP researchers of previously unpublished research at conferences and meetings where foreign nationals are in attendance.
  • CPP researchers are also restricted to engage in collaborations with foreign researchers, including teaching foreign collaborators on how to use export-controlled items in research.
  • The transfer of research equipment abroad is also restricted.

As a general rule, most of the research conducted at universities is not subject to export controls, either because the research does not involve export-controlled items or data, or because research involving such items or data is excluded from these regulations.

There are two exclusions that are typically relevant to the research conducted at universities: the fundamental research and the public domain exclusions. However; these exclusions will not apply, if researchers sign agreements such as material transfer and non-disclosure agreements that contain restrictions on publications or who can participate in the research. CPP researchers/faculty are strongly advised not to sign any agreements that relate to export controls, or that contains language that imposes restrictions on publications or who can participate in the research without first consulting with the Office of Research and/or the Office of Sponsored Programs.

Extra care must be exercised while negotiating and accepting research projects that may be subject to restrictions under export controls. CPP always reserves the right to decline or terminate the agreement if the sponsor imposes restrictions that are considered unreasonable as they relate to the publication of data and access to, or the participation, in the research by foreign nationals. Any agreement which requires that the technical data resulting from the project shall be subject to export control and/or it requires sponsor approval related to the hiring of foreign nationals, it must be evaluated on a case by case basis by Office of Sponsored Programs at CPP.

Federal Agencies Responsible for Export Controls

It is important to note that federal export controls are enforced under the Export Administration Regulations (EAR) and administered by the Department of Commerce for technologies and information that have dual use such as commercial and potential military use, and the International Traffic in Arms Regulations (ITAR) by the Department of State for military items and defense services. While the Treasury Department's Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions to protect foreign policy and national security goals.

Frequently encountered export control regulations by the academic research community include the following:

ITAR

EAR

OFAC

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