Export control regulations are complex, and employees often have questions. Below are the most commonly received questions. If you don't see a response to your question or you would like a personal consultation, please contact us.
- Do export control regulations apply to me?
- Why do I need to comply with export control regulations?
- What is the fundamental research exclusion and what are its limitations?
- Can I attend or present at a conference in another country?
- Can I accept an honorary title or paid position from a foreign institution?
Q: Do export control regulations apply to me?
A: Most likely, yes! Export control regulations govern the shipment, transmission, or transfer of certain items, software, data, and information to foreign countries, persons, or entities.
Export control regulations apply to university research and scholarship when:
- International employees, visiting scholars, or students conduct research at the UO
- Employees travel abroad with items, software, equipment, and/or information
- Employees engage in collaborations with researchers, academics, organizations located outside the U.S.
- Items, software, and/or information are shipped outside of the U.S.
- Sponsored research contains clauses requiring confidentiality
- A non-disclosure agreement is in place for an employee or the employee's unit
The above list is not exhaustive, but is representative of many scenarios on campus in which export control regulations apply.
Export control regulations are intended to promote national security, further U.S. economic sanctions, aid regional stability, implement anti-terrorism and crime controls, and protect global human rights. The regulations affect not only the shipment of items outside the U.S., but also research conducted by international employees on campus, travel with UO equipment outside the U.S., and collaborations with entities abroad.
Export controls works with other central offices on campus to help employees meet export control regulations without adding additional steps for the employee. For example, we work with Sponsored Project Services to vet foreign collaborators and sponsors, and we work with Purchasing and Contracting Services to vet foreign vendors. We may also reach out to employees directly before they travel to certain countries or participate in research or collaborations with a foreign component.
The UO must apply for and receive an export control license prior to engaging in an activity that requires one. Typically, few exports at the UO will require an export control license, and many situations at the UO will qualify for an exemption. The university must document its analysis, including the availability of an exemption, and departments should not undertake this analysis on their own but instead contact us.
Q: Why do I need to comply with export control regulations?
A: Failing to comply with U.S. export control regulations can result in significant civil and criminal liabilities for both the UO and the individual involved, loss of export privileges, and surrender of merchandise. Criminal liability can include imprisonment as well as fines.
Q: What is the fundamental research exclusion and what are its limitations?
A: The fundamental research exclusion is the most common exemption for institutions of higher education. This exemption states that items, software, data, and information that arises during or results from fundamental research and is intended to be published is not subject to the export administration regulations (EAR).
Most commonly, items, knowledge, software, and technology at the UO qualify for the fundamental research exclusion, but not always. Research in which the results are not public because they are controlled by a non-disclosure agreement or confidentiality agreement or when the sponsor places restrictions on publishing the research results would not qualify for this exemption.
UO’s Export Control Officer, consulting with the persons involved, the applicable regulations, and other resources, makes the determination whether a license exemption applies.
Q: Can I attend or present at a conference in another country?
A: Yes, and you may need to disclose that conference attendance. Before confirming attendance or your presentation:
- Request an export control compliance check on the institution hosting the conference. The export control officer will also work with you to determine the feasibility of applying for an export control license if one is needed for you to present on your research.
- If you will be accepting an honorarium for the presentation, disclose the outside activity in the Research Administration Portal (link prompts you to enter you Duck ID) to comply with the UO’s Conflict of Interest, Conflict of Commitment, and Outside Activities Policy (which applies to all UO employees) and with the Financial Conflict of Interest in Research Policy (which applies to all researchers accepting sponsored awards).
- If you receive federal funding, contact your post-award team at Sponsored Project Services to ask about disclosing the foreign collaboration to current sponsors and in proposals.
- If federal funding will be used to cover the cost of the travel, contact your post-award team at Sponsored Project Services to receive approval from the sponsor before booking your travel.
Q: Can I accept an honorary title or paid position from a foreign institution?
A: Potentially. You may be required to disclose the title and position to the UO. If you receive federal funding for your research, you need to disclose both honorary titles and professional positions (paid or unpaid) in your biographical sketch. Federal sponsors may scrutinize foreign appointments, which may create some risk.
Before accepting an honorary title or paid position from a foreign institution:
- Request an export control compliance check on the institution. If the title or position is from an institution located in China, Russia, Iran, or North Korea, we recommend including a copy of any agreement you have received. This could be a formal agreement requiring a signature or an email invitation.
Federally funded researchers are prohibited under the CHIPS and Science Act from participating in a malign foreign talent recruitment program. Providing the UO with a copy of the agreement helps ensure you are not inadvertently joining one. All UO employees are prohibited from entering into agreements that create conflicts of commitment.
- Disclose the outside activity in the Research Administration Portal (link prompts you to enter you Duck ID) to comply with the UO’s Conflict of Interest, Conflict of Commitment, and Outside Activities Policy (which applies to all UO employees) and with the Financial Conflict of Interest in Research Policy (which applies to all researchers accepting sponsored awards).
If you receive or apply for funding from the National Science Foundation, the National Institutes of Health, the U.S. Department of Agriculture, or the Department of Defense, you must also upload a copy of the agreement into your disclosure.
- If you receive federal funding, you must update your biographical sketch. For appointments that are new, submit an updated biographical sketch during the annual report. For appointments that should have previously been disclosed, contact your post-award team at Sponsored Project Services. Most sponsors require the UO to notify them of omissions within 30 days.
- Federally funded researchers may receive additional scrutiny from sponsors triggered by foreign appointments if those appointments meet criteria in an agency's risk matrix. Please see the risk matrices for the National Science Foundation, the National Institutes of Health, the Department of Defense, and the Department of Energy. If you would like to request a consultation to review the risks and benefits of a foreign appointment, please email the Office of Export Controls to request a consultation.