The University of California is an internationally renowned, academic research institution, attracting a student body, staff, and faculty from around the world. Exchange of information with foreign colleagues occurs both on and off campus and it would be contrary to policy, as well as administratively impossible, to attempt to place any restrictions on the conduct of research and the dissemination of findings based upon citizenship status or nationality. University policy is that classrooms, libraries, laboratories, and specialized research facilities are open, without regard to citizenship, residency status, or visa category. To advance science, we must preserve the ability to communicate and disseminate the results of fundamental research among visiting scientists, scholars, students, and postdoctoral researchers, without the necessity of inquiry or concern for citizenship or residency status. To divide our community or limit access to our research programs, libraries, or facilities is both unworkable and unproductive.

At the same time, the University must comply with federal regulations, including those promulgated under the Export Administration Regulations (“EAR”) and the International Traffic in Arms Regulations (“ITAR”). These regulations are crafted in such a manner that publicly available, fundamental research results are excluded from the regulatory requirements for approvals or licenses. Specifically, publicly available information, technology and software as set out in 15 CFR §734.3(b)(3), and §734.7 through §734.11, are not subject to the EAR.  Similarly, technical data in the public domain as defined in 22 CFR §120.10(b) and set out in 22 CFR §120.11(a) are exempt from the ITAR. In addition to general exclusions for information disseminated in an education environment, or which is publicly available or will be published, it is particularly important to note the exemption for fundamental research. Both the EAR and ITAR define fundamental research in a similar manner; it is "basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls."

The right to publish and disseminate the results of university research is a keystone principle of the University of California. Fortunately, both EAR and ITAR recognize and protect the open, academic environment in the above-cited sections. Accordingly, no restrictions on foreign nationals' access to or participation in the design, fabrication, or scientific results generated in university-conducted fundamental research is required, so long as there is open access to the technical data or technology, and the results are shared broadly within the community. However, in cases where the University is fabricating an Item for shipment outside the U.S., once the design is finalized and scientific equipment fabricated, the University of California will secure any required export licenses prior to shipment. In this manner, the University can maintain an open academic environment, but also comply with the export regulations.

University of California - Policy on Export Control

University of California, Riverside - Commitment to Export Control Compliance

University of California, Riverside - Export Compliance Program Plan (ECP)

What are export controls?

U.S. export controls are federal laws that govern the conditions under which certain information, technology, technical data, materials, commodities, and equipment (“Items”) can be exported to a foreign person, entity, or country, or to a foreign national within the United States.  The primary goal of export controls is to protect U.S. national security and promote U.S. foreign policy objectives.

U.S. export controls are administered by three key federal agencies. Click on each set of regulations to learn more.

Additional agencies within the U.S. Government that have a hand in export controls include:

• U.S. Customs & Border Protection (CBP)
• U.S. Census Bureau, Foreign Trade Regulations (FTR)
• U.S. Department of Agriculture (USDA)
• U.S. Department of Energy, National Nuclear Security Administration (NNSA)
• U.S. Department of the Interior, U.S. Fish & Wildlife Service

What is an ‘export’?

An export is the shipment or transmission of Items out of the United States or the release of technology, technical data or source code to a foreign person in the United States (i.e., deemed export). Exports by a university might include:

• transfers (release) of information or technology, including technical data, to persons and entities outside the United States.
• shipment of Items such as materials and equipment from the United States to a foreign country.
• verbal, written, electronic, or visual disclosures of controlled scientific and technical information or technology related to export-controlled Items to foreign persons, even when it occurs within the United States ("deemed exports"); and
• transactions with sanctioned or embargoed countries or restricted or debarred individuals or entities.

What is a ’deemed export’ and how do they take place?

A deemed export is the release of technology, technical data or source code subject to U.S. export controls to a foreign person (national) in the United States.  Such release is "deemed" to be an export to the foreign person's most recent country of citizenship or permanent residency.  An export license may be required prior to such a release.  

What is ‘technology’ or ‘technical data’?

These terms refer to technical information beyond general and basic marketing materials of an export-controlled Item.  These terms do not refer to the export-controlled Item itself, or to the type of information contained in publicly available user manuals. Rather, the terms "technology" and "technical data" mean specific information necessary for the development, production, or use of a commodity, and usually takes the form of blueprints, drawings, photographs, plans, diagrams, models, formulae, tables, engineering specifications, and documentation.

What is an ‘export license’ and do I need one?

An export license is a government document that authorizes or grants permission to conduct a specific export transaction. Such transactions can include, but are not limited to, hand-carrying or shipping an Item, sending information or data about an Item electronically, or sharing information about an Item through a phone, virtual, or in-person conversation.

Your export may require an export license if i) the destination or recipients are restricted; ii) the export classification of the Item (including technology or technical data) indicate a licensing requirement based on its reasons for control; or iii) if the planned end uses of the Item are restricted, such as for use in military applications or in support of a military end-user. It is important to note that end-user and or end-use restrictions may necessitate a licensing requirement even if the Item and destination do not.

The method used in transporting an Item outside the United States does not matter in determining export license requirements.  Accordingly, for all export-controlled Items, an export license or license exception may be required prior to the export or deemed export taking place.  To determine if your transactions require an export license or eligible for a license exception or exclusion, please contact the Export Control Office.

What can happen if we do not comply with U.S. export controls?

Individuals and institutions who violate federal laws and applicable regulations that govern the conduct of export-controlled activities and exports are subject to civil penalties, including fines, jail terms, suspensions, denial of export or research privileges, and debarment from government contracting.

Penalties for violating export controls include:

• ITAR Criminal: $1 million per violation and 10 years in jail
• ITAR Civil: $500,000, per violation
• EAR Criminal: $50,000 - $1 million, per violation, and/or 5-10 years in jail
• EAR Civil: $50,000, per violation
• OFAC Criminal: up to $20 million, per violation, and/or 30 years in jail
• OFAC Civil: One-Half of Transaction Value or applicable statutory maximum per violation, whichever is greater (penalties vary based on country specific sanctions programs)
• PLUS, possible debarment or denial of export privileges/denial of right of foreign parties to receive U.S. goods and technology.
• The U.S. Government can also suspend the right to contract with U.S. Government agencies

Voluntary self-disclosures, if made appropriately, can mitigate the seriousness of the penalty.  Contact the Export Control Office immediately if you think you have made a mistake and violated applicable export controls.

Related Resources

Export control laws and regulations | UCOP | ECAS

Frequently Asked Questions about Export Control Compliance | UCOP | ECAS

Openness of the University Research Environment

The University of California’s strategy for compliance with applicable U.S. export controls is based upon maintaining an open, fundamental research environment, by observing the freedom to publish and disseminate research results and practicing nondiscrimination and open access to university classrooms, libraries, laboratories, and specialized research facilities, without regard to citizenship.  To maintain the fundamental research environment, such that scientific data and results qualify as being in the “public domain” under the ITAR and are not subject to the EAR under the provisions related to: publicly available technology; published information and software; information resulting from fundamental research; and educational information, the university may not accept such restrictions in a research award, and in addition, no university employee can consent (in a written or verbal side agreement or arrangement) or otherwise engage in behavior that restricts publication or the participation of foreign persons.

Applicable Policies, Procedures and Guidance Memos

Citizenship and nondiscrimination | UCOP | RPAC

Ownership and Dissemination of Research Results | UCOP | RPAC

Department of Defense Publication and Export Controls | UCOP | RPAC

UC’s Export Compliance Plan | UCOP | ECAS

Export Control Documents and Procedures

Fundamental Research

The National Security Decision Directive 189 (NSDDs 1985) defines fundamental research as “basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished by proprietary research and from industrial development, design, productions, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.”

Under the EAR and ITAR, fundamental research generally means that information generated during and resulting from research is intended to be in the public domain and ordinarily shared with the scientific community. This type of information does not constitute technical data or technology as defined in the ITAR and EAR.  As such, it is excluded from export controls.

When conducting fundamental research, a fundamental research exclusion (“FRE”) is available if the resulting information is not subject to the ITAR or EAR meeting the following criteria:

• The research activity cannot constitute industrial development, designed, or utilization as indicated by any type of proprietary restriction imposed by the sponsor.

• The agreement and research activity may not include any type of contractual or national security restrictions, such as foreign person prohibitions or prepublication approval of the research results by the sponsor.

Researchers are encouraged to publish research results, including technology and software, in a timely manner (e.g., early, and often) through one of the means that qualifies as "publicly available" or "in the public domain." Publicly available technology and software is that which is:

• Already published or will be published in journals, books, open websites, or other media available to a community of persons interested in the subject.
• Published through release at open conferences and meetings.
• Arises during or results from fundamental research where the resulting information is ordinarily published and shared broadly within the scientific community and where no contractual controls have been accepted.
• Educational information released by instruction in catalog courses and associated teaching laboratories of the university.
• Included in certain patent applications.

Please take note that even in the conduct of fundamental research, an export license or control plan may be required if the project involves: an NDA covering the exchange of export-controlled information; access to export-controlled items, technology or software; a non-research function (e.g., a service agreement) where there is access to export-controlled items, technology or software; or access to ITAR-controlled equipment and its associated technical data.  Accordingly, identifying and safeguarding controlled information are critical elements of export control compliance. 

For additional information on exclusions pertaining to fundamental research, please contact the Export Control Office. 

Related Resources

On-Campus Research with Foreign Nationals | UCOP | ECAS

Working with Restricted Entities | UCOP | ECAS

Identify and Safeguard Controlled Information | UCOP | ECAS

Activities performed by Procurement Services may involve controlled products, materials, equipment, software and technology (“items”) or services and could be subject to export licensing requirements.  To ensure continued compliance with these requirements, UCR requires that its suppliers and vendors identify all applicable export control classifications and other related restrictions for the items or services supplied to UCR. Because UCR will rely upon this information in complying with its export compliance obligations, it is entrusted that all suppliers and vendors will provide the most accurate and up-to-date information.

Applicable Policies, Procedures and Guidance Memos

Infographics | Export Control for Purchasing

Export Control Documents and Procedures

Purchasing or Receiving Controlled Items

Prior to order placements, suppliers and vendors must complete an Export Control Classification Request (ECCR) form for all items or services supplied to UCR, including any associated technology, software or sensitive sub-components (e.g., those potentially subject to restrictions) contained therein.  Examples of items that may require export control licensing review include (not inclusive):

• Process Design Kits (PDKs)
• Satellite components or accessories
• Night vision or infrared cameras
• Sonobuoys and submersible vessels
• Navigation, defense navigation or avionics equipment
• Military communications systems/high frequency radio apparatus
• Military electronics/ruggedized components
• Radar equipment
• Biological agents
• Gas monitoring/filtration devices
• Optical lens or photonics instruments or components
• Sensors, infrared light detectors, thermal imaging cameras, and focal plane arrays
• Oscilloscopes or Spectrometers
• Nuclear/radioactive equipment/devices
• Lasers
• Semiconductor equipment
• Fiber optic cables and filaments
• Unmanned Aerial Vehicles (UAVs)
• Gravimeters
• Integrated Circuits (ICs)

Completed ECCR’s shall be verified by UCR’s Export Control Office prior to order placement.

Related Resources

Working with Restricted Entities | UCOP | ECAS

FCPA Information and Resources | UCOP | ECAS

In general, collaborations between university personnel and scholars at foreign institutions or organizations do not require export license approval unless they involve export controlled or restricted research or services; a restricted party; or a sanctioned or embargoed country. Therefore, before engaging in international collaborations, the university must verify whether prior export license approval is required.    

Applicable Policies, Procedures and Guidance Memos

APM – 430, Visiting Scholars and Other Visitors | UCOP | RPAC

Federal laws may regulate research/telework from certain countries | UCOP | ECAS

Federal laws may regulate whether you can provide online classes to students located outside the Unites States | UCOP | ECAS

Export Control Documents and Procedures 

Due to the frequency of U.S. export control regulatory changes, Restricted Party Screening should be performed at the outset of any international collaboration, including financial transactions, and visiting scholars or researchers, to ensure that the collaborating entity, individual or country does not appear on any U.S. Government restricted party list subject to licensing requirements. 

Researchers should contact the Export Control Office as soon as possible for any of the following activities involving a restricted party and or a sanctioned or embargoed country (i.e., Cuba, Iran, North Korea, Syria and the Crimea Region of Ukraine):

• any imports/exports (examples include research samples, artwork, or any research material)
• collaboration with individuals residing in or visiting from a sanctioned or embargoed country
• research in or with
• travel to (including to attend a conference)
• transfer of funds

Note: in the event an export license is required from the U.S. Government, an approved license must be obtained prior to proceeding with any international collaboration.  While there is no guarantee or exact timetable for issuing a license, the license review process can take 4 to 6 months.  License applications covering more complex transactions can take up to a year or longer for the U.S. Government to process.  Researchers are encouraged to contact the Export Control Office as soon as possible for the most recent guidance to avoid penalties and delays to your research.

Related Resources

International Collaborations and Economic and Trade Sanctions OFAC | UCOP | ECAS

Working with Restricted Entities | UCOP | ECAS

Foreign Influence | UCOP | ECAS

Hosting Foreign Visitors | UCOP | ECAS

Travel to a country under comprehensive U.S. sanction or embargo may require prior authorization from the U.S. Government in the form of a license.  Travel to these countries, and interactions with organizations or individuals in them, are highly regulated.  Prior to travel, individuals are advised to review all relevant travel restrictions and to contact the Export Control Office with any questions on country specific requirements.

Applicable Policies, Procedures and Guidance Memos

Travel - Policy, Regulations, and Procedures | UCR | BFS 

Travel | UCR | Risk Management

Export Control Documents and Procedures

If you are taking a laptop, tablet, or other electronic mobile device, you are taking a controlled device with you. There may be limitations for taking these into certain countries. Individuals are advised to review restrictions each time they travel. Do not ship or otherwise take these devices with you to an OFAC sanctioned or embargoed country without first consulting with the Export Control Office. 

While traveling, devices should be free from customized software or stored or accessible controlled technology. Individuals should consult with the Export Control Office and Information Technology department to verify if there are any restrictions with encryption technology or other export-controlled items on a UCR-owned device that will be used for business purposes.  When time is of the essence, individuals should consider utilizing a device that is free of encryption technology. 

Note: when traveling, if you access your cloud-account, you have exported the information into the country where you are at the time.  If any of that information is export-controlled, a violation may have occurred.  This holds true even if you are U.S. citizen and you uploaded the information while in the U.S. and you are accessing your account from a UCR or personally owned device.  You should not access any information from a cloud account during international travel unless you are 100 percent certain the information is not export-controlled or considered proprietary.

Please contact the Export Control Office to review if there is a license exception/exemption available for your particular travel plans and circumstances.

Related Resources

UC Travel Insurance | UCOP | Risk Services 

International Travel | UCOP | ECAS

Traveling with Electronic Devices | UCOP | SIS

To help ensure that UCR faculty, staff, and students do not experience customs delays, seizure of goods, or inadvertently violate U.S. export controls, the following is provided as general information for international shipments and hand carry of items abroad. Incorrect shipping paperwork can lead to delays in shipments, lost time, and lost opportunity.

Applicable Policies, Procedures and Guidance Memos

Infographics | International Shipping

Export Control Documents and Procedures 

In general, a license for the shipment or transfer of an export-controlled item is only required when the item is being shipped out of the country. A license to ship an export-controlled item outside the United States is required even when the item is used in or results from fundamental research.

If an item is controlled under the ITAR, then an export license is always required before it can be shipped to any country outside the United States, except in limited circumstances such as shipment to a U.S. military base overseas. Licenses are also required to import such items.

For items controlled under the EAR, licensing requirements depend upon the items export control classification, end-use, end-user and country to which the item is being shipped. It is important to note that even in cases when a license is not required to ship an export-controlled item to a particular country, there are administrative requirements and records that must be maintained regarding shipments of all EAR controlled items out of the United States.

When shipping internationally, exporters are advised to contact the Export Control Office for assistance in:

• Determining your items export control classification.
• Determining whether an export license is required.
• Securing an export license when needed; and
• Advise on specific documentation requirements for export shipments.   

Note: Each department is responsible for determining the best method and logistics company used in moving their items, freight, and cargo to the desired end-use location.  Departments requiring assistance in selecting carriers for outbound shipments may contact:

UCR Receiving Services

As the exporter, researchers are advised to contact their collaborator to inquire regarding the import requirements for the destination country. Imports may be stopped by Customs officials in the importing country if the proper import licenses are not included in the paperwork. Import requirements vary greatly by country.

Related Resources

Hazardous Materials | UCR | EH&S

International Shipping |UCOP | ECAS

Working with Restricted Entities | UCOP | ECAS

As promulgated under the University of California - Policy on Export Control, compliance with export controls is a shared responsibility.  As the exporter, we have a responsibility to know who we are conducting business with, as engagements with international parties appearing on one of several U.G. Government debarred, denied or sanctioned lists, collectively referred to as "restricted parties," carry specific regulatory requirements and may pose significant compliance risks to UCR, its faculty, and staff.    

To minimize such risks, as part of UCR's Export Compliance Program Plan (ECP), Restricted Party Screening must be performed for international activities and transactions to assess whether the parties involved are a restricted party; and determine, with the support of the Export Control Office, if the proposed activity or transaction is authorized, or if approval is required from the relevant government agency.

Applicable Policies, Procedures and Guidance Memos

University of California – Policy on Export Control | UCOP | RPAC

Export Control Documents and Procedures

What is Restricted Party Screening, and why is it important?

Restricted Party Screening (RPS) is a process used to identify whether an individual, organization or entity (e.g., business, corporation, institution etc.,) involved in the activity or transaction are a restricted party found on a U.S. Government list. The importance of RPS is to ensure that exporters are not conducting business with a restricted party—be it an individual, organization or entity.

Additionally, RPS can also be used to ensure that exporters are not engaging in international activities or transactions with parties located in a sanctioned or embargoed country (e.g., Cuba, Iran, North Korea, Syria, and the Crimean region of the Ukraine) without the proper authorization, such as an export license.  

What are the U.S. Government lists?

The U.S. Government maintains several different publicly available lists, and are updated on a nearly daily basis.  These lists include but are not limited to:

• Denied Persons List - Individuals and entities that have been denied export privileges. Any dealings with a party on this list that would violate the terms of its denial order are prohibited.
• Entity List - Parties whose presence in a transaction can trigger a license requirement supplemental to those elsewhere in the Export Administration Regulations (EAR).
• Unverified List - End-users who the Bureau of Industry and Security has been unable to verify in prior transactions.
• Military End User (MEU) List - Identifies foreign parties that are prohibited from receiving items described in Supplement No. 2 of Part 744 of the EAR unless the exporter secures a license. 
• Nonproliferation Sanctions - Parties that have been sanctioned under various statutes.
• Debarred List - Entities and individuals prohibited from participating directly or indirectly in the export of defense articles, including technical data and defense services.
• Specially Designated Nationals (SDN) List - Parties who may be prohibited from export transactions based on regulations administered by the Treasury Department’s Office of Foreign Assets Control.
• Foreign Sanctions Evaders List - Foreign individuals and entities determined to have violated, attempted to violate, conspired to violate, or caused a violation of U.S. sanctions programs, as well as foreign persons who have facilitated deceptive transactions for or on behalf of persons subject to U.S. Sanctions.
• Sectoral Sanctions Identifications (SSI) List - Individuals operating in sectors of the Russian economy with whom U.S. persons are prohibited from transacting in, providing financing for, or dealing in debt with a maturity of longer than 90 days.

When is RPS needed and who should be screened?

RPS should take place at first contact, prior to the export, reexport, transfer or financial transaction taking place, and should be performed for all international activities. RPS should include every party involved in the transaction, including the end user, affiliated entity for international scholars and collaborators and any of the parties involved in throughout the transaction, including partner resources such as supercomputing centers.  

What tools and resources are used to perform RPS?

Within the UC System, the tool used to perform RPS is Descartes Visual Compliance.  Visual Compliance is a web-based tool and is made available for use by all UC campuses. UCR faculty, staff and students involved in export activities or transactions can self-register for a Visual Compliance account using their UC email address.

Step-by-step instruction on how to self-register for a Visual Compliance account and perform an RPS can be found in the Restricted Party Screening, End-Use & End-User Check procedure under Export Control Documents and Procedures.

Self-Register           Returning User      Visual Compliance Training Center

For additional information on the Restricted Party Screening process, please visit the 'Training Resources' block of this website. 

To obtain additional information on Visual Compliance, U.S. Government restricted party lists and current sanctions or embargo programs, please contact the Export Control Office. 

Related Resources

Working with Restricted Entities |UCOP | ECAS

Training is an important part of UCR’s Export Compliance Program Plan.  UCR’s Export Control Office provides various trainings - from in-person to online - aimed at helping to better understand and navigate complex U.S. export control regulations and sanction laws. The goal of UCR’s Export Control Training Program is to educate and empower UCR faculty, staff and students to know when and how to ask for help to prevent non-compliant activities that may lead to potential violations.

Basic Education and Training

Basic education and training materials on the topic of export control compliance are made available to all UCR faculty, staff and students via the Learning Management System (LMS).  To access these training materials, UCR faculty, staff and students may log in to the LMS using the Single Sign-On (SSO) option at the following links:

Export Controls          Restricted Party Screening

Supplemental Training

UCR has partnered with the Collaborative Institutional Training Initiative ("CITI Program") to offer additional on-line training for specific areas of export compliance. The CITI Program's "Export Compliance" training course covers topics such as: 

• Export Compliance for Researchers
• Export Compliance for Researcher Administrators 
• Export Compliance When Using Technology in Research 
• Export Compliance and Biosafety
• Export Compliance for Operational Departments
• Export Compliance for International Shipping
• Export Compliance and Purchasing
• Export Compliance and International and Foreign Waters
• Export Compliance and Collaborations
• Export Compliance and Distance Education 
• Export Compliance and United States Sanctions Programs

To access the additional on-line training, UCR faculty, staff and students will need to have a CITI Program account and enroll in the Export Compliance course from the list of offered courses. 

CITI Program | Getting Started Guide          New UCR User          Returning UCR User

Please contact the Export Control Office at exportcontrol@ucr.edu with any question regarding your training needs.

Related Resources

Education and Training | UCOP | ECAS

Frequently Asked Questions about Export Control Compliance | UCOP | ECAS

U.S. Government Training Videos and Materials

Complying with Export Regulations | U.S. Department of Commerce | International Trade Administration

Foreign Import Regulations | U.S. Department of Commerce | International Trade Administration

Harmonized System | HS Product Code | U.S. Department of Commerce 

A Guide to the Harmonized Tariff Schedule of the United States | U.S. International Trade Commission

How to Submit Your Electronic Export Information (EEI) | U.S. Department of Commerce | International Trade Administration

The Automated Export System (AES) | Legal Requirements for Filing AES | U.S. Department of Commerce | International Trade Administration

The Authorized Agent as an Option for Filing the EEI | U.S. Department of Commerce | International Trade Administration

ACE and Automated Systems | U.S. Customs and Border Protection 

AESDirect User Guide for filing Electronic Export Information | U.S. Census Bureau

Exporting Documentation | U.S. Department of Commerce | International Trade Administration 

It is the policy of the University of California to respond promptly to all reports of suspected violations of law and other non-compliance with the University of California - Policy on Export Control, and to take appropriate action to correct and prevent future violations.  Accordingly, any unauthorized, suspected, or illegal export transactions that may lead to a possible violation of U.S. export controls, whenever discovered, must cease, and be reported immediately for review and investigation.

Applicable Policies, Procedures and Guidance Memos

University of California - Policy on Export Control | UCOP | RPAC

Commitment to Export Compliance | UCR

Export Control Documents and Procedures

Reports of a suspected non-compliant activity can be made either in person or electronically (e.g., by telephone, email or online) without fear of retaliation.  Sufficient information must be provided to allow the designated officials to pursue an appropriate course of action in the event of an actual or potential violation.  All reports of potential violations are kept confidential in accordance with applicable laws.  When reporting on a suspected non-compliant activity, individuals are encouraged to report all known facts and details as available.

Reports can be sent to:

Related Resources

Chief Compliance Office | UCR