Export controls · 10 pages
Export controls & research security
Answer-first explainers of the export-control concepts that affect research — the EAR, ECCNs, deemed exports, the fundamental-research exclusion and screening obligations — written as neutral definitions, never legal advice.
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All 10 export controls & research security pages
Export controls
Export controls are US (and other nations’) laws restricting the export or transfer of certain goods, software, technology and information for national-security and foreign-policy reasons. In US research they are administered mainly through the Export Administration Regulations (Commerce/BIS) and the International Traffic in Arms Regulations (State/DDTC), alongside economic sanctions enforced by OFAC (Treasury).
DefinitionExport Administration Regulations (EAR)
The Export Administration Regulations (EAR) are US export-control rules at 15 CFR Parts 730–774, administered by the Bureau of Industry and Security (BIS) within the Department of Commerce. They control the export, re-export and in-country transfer of "dual-use" items — goods, software and technology with both commercial and potential military or proliferation applications — primarily through the Commerce Control List.
DefinitionExport Control Classification Number (ECCN)
An Export Control Classification Number (ECCN) is an alphanumeric code — for example 3A001 — that classifies an item on the Commerce Control List under the EAR. The ECCN identifies the item’s category, product group and the reasons it is controlled, which together help determine whether an export licence is required for a given destination, end user and end use.
DefinitionDeemed export
A deemed export is the release of controlled technology or source code to a foreign person located within the United States, which is "deemed" an export to that person’s country of nationality. Because it can occur through conversation, training, lab access or shared technical data, the deemed-export rule is the export-control concept that most often reaches foreign researchers, students and visiting scholars on campus.
DefinitionFundamental research exclusion
The fundamental research exclusion is the principle, set out in National Security Decision Directive 189 (1985), that basic and applied research ordinarily published and broadly shared within the academic community is not subject to US export controls. The exclusion can be lost if the research carries publication or access restrictions, involves controlled physical items, or is bound by proprietary or national-security contract terms.
DefinitionDual-use items
Dual-use items are goods, software and technology that have both civilian and military or proliferation applications. Under the US Export Administration Regulations, they are controlled by the Bureau of Industry and Security and listed on the Commerce Control List. Because everyday research tools — sensors, lasers, encryption software, certain chemicals — can qualify, dual-use controls are the part of export law that academic work meets most often.
DefinitionCommerce Control List (CCL)
The Commerce Control List (CCL) is the list, in Part 774 of the EAR, of items subject to Bureau of Industry and Security export controls. It is organised into ten numbered categories (0–9) and five product groups (A–E), and each entry carries an Export Control Classification Number with stated reasons for control. Exporters use the CCL to classify items and determine licence requirements.
DefinitionDenied party screening
Denied party screening — also called restricted party screening — is the process of checking the people, organisations and destinations involved in a transaction against US government lists such as the Denied Persons List, the Entity List and the Specially Designated Nationals (SDN) list before proceeding. It is a core export-compliance control that helps prevent dealings with parties barred for national-security or foreign-policy reasons.
DefinitionTechnology control plan (TCP)
A technology control plan (TCP) is an institutional plan that describes how export-controlled technology, items and information will be secured and how access will be restricted to authorised persons. Used when a research project involves controlled material that the fundamental research exclusion does not shelter, a TCP typically covers physical and electronic security, personnel screening, training and recordkeeping.
DefinitionOFAC sanctions
OFAC sanctions are economic and trade sanctions administered by the Office of Foreign Assets Control, part of the US Department of the Treasury, against targeted countries, regimes, entities and individuals. They restrict transactions with sanctioned parties and embargoed destinations — including persons on the Specially Designated Nationals (SDN) list — and apply alongside export controls such as the EAR and ITAR.
