Export Control and Economic Sanctions Compliance Policy

Policy Date: December 2021
Revision: 3
Last Review: April 2026

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Purpose

Export control and economic sanctions regulations address the export of proprietary, confidential or restricted items, information, services and software, as well as interactions with embargoed or sanctioned countries, organizations and individuals. They exist to protect the national security, foreign policy and economic interests of the United States.

The purpose of this policy is to ensure compliance with federal export control and economic sanctions regulations, as well as the Nevada System of Higher Education’s (NSHE) Export Control and Economic Sanctions Policy set forth in the Procedures and Guidelines Manual, Chapter 14.

Policy Statement

The University of Nevada, Reno (University) is committed to full compliance all applicable U.S. export control and economic sanctions laws and regulations. All University faculty, staff, students, and visitors, volunteers, and facility users (University community) are responsible for being aware of and complying with this policy and associated procedures. In the event any terms of these guidelines conflict with any federal export control laws or regulations, then the federal export control law will prevail. Only the federal agencies responsible for the export control and economic sanctions regulations have the authority to make determinations and issue licenses. Neither the institution nor a sponsoring entity has such authority.

Background

This policy implements U.S. laws and regulations regarding the export or re-export of certain items, technologies, software, hardware and services regulated and controlled by federal law for reasons of national security, foreign policy, prevention of the spread of weapons of mass destructions and for competitive trade reasons. Additionally, economic sanctions regulations are legal restrictions imposed by governments or international bodies to restrict trade, financial transactions, and travel with specific countries, entities, or individuals of concern to advance national security or foreign policy goals.

Research involving specified technologies and services controlled under the export control regulations and interactions, transactions or exchanges with sanctioned countries, individuals, or entities may require the University to obtain prior approval from the appropriate federal agency. Such authorization may be required before permitting foreign nationals to participate in controlled research, collaborate with foreign companies, or share research information (verbally or in writing) with persons who are not U.S. citizens or permanent residents.

Violations of these regulations can carry significant consequences, including loss of research funding or contracts, substantial monetary penalties, institutional disciplinary action, and potential criminal liability, including imprisonment.

Export control regulations also affect travel and international shipping. Simply traveling to certain sanctioned countries could require a license from OFAC (Office of Foreign Assets Control). Multiple lists of denied individuals and parties are maintained and enforced by federal agencies including the Department of State, Department of Commerce, Department of Treasury, and Department of Defense. Shipping items outside the U.S. as well as taking controlled items on a flight, even for conducting research, could require a license from these agencies.

Scope

The regulations are applicable to all institutional activities such as research, education, international travel, shipping, procurement, accounts payable, study abroad, hosting foreign visitors and human resources. While most activities at U.S. institutions of higher education are excluded from these regulations, some activities and transactions may be restricted.

Compliance Authority

The University’s Export Control and Economics Sanctions Program is designed to ensure compliance with applicable U.S. export control and economic sanctions laws and regulations. The program is administered by Research Integrity & Security within Research and Innovation and managed by the Export Control Officer (ECO) and the Empowered Official (EO). Both ECO and EO receive authority from the University president to perform their job duties and to help ensure compliance with all applicable federal laws and regulations. The ECO and EO may be the same individual.

Key Federal Regulations

Export control laws and regulations restrict two principal areas of activity: 1) the shipment, transmission or transfer of certain items, software, technology and services from the U.S. to foreign countries; and 2) the disclosure or transfer of certain items, software, technology, information or materials to foreign persons located in the U.S. (a “deemed” export). These laws and regulations also restrict exports for prohibited end uses and to prohibited end users. In addition, economic sanctions laws and regulations restrict certain transactions such as financial transactions and providing goods or services to sanctioned or embargoed countries or to entities or individuals identified on any Restricted Parties lists.

The three agencies that regulate and enforce the majority of federal export control and economic sanctions regulations are:

U.S. Department of State: Enforces the International Traffic in Arms Regulations (ITAR), which regulates defense articles, defense services and related technical data listed on the U.S. Munitions List (USML).

U.S. Department of Commerce (DOC): Promotes economic growth, trade, and technological advancement in the United States. Within the DOC, the Bureau of Industry and Security (BIS) is responsible for protecting U.S. national security and foreign policy interests by regulating the export of sensitive commercial and dual-use items. The BIS administers and enforces the Export Administration Regulations (EAR), which regulates export, re-export, and transfer of certain technologies, software and commodities, including “dual-use” items that have both commercial and military or proliferation capabilities and are enumerated on the Commerce Control List (CCL). BIS also maintains restricted party lists and oversees compliance related to international trade and research activities involving controlled technologies.

U.S. Department of the Treasury: Enforces U.S. economic sanctions and embargos through its Office of Foreign Assets Control (OFAC) and prohibits a wide range of transactions with sanctioned countries, organizations or individuals. Prohibited transactions are trade or financial transactions and other dealings, such as providing services, in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute.

Additional export regulations from the Department of Energy (DOE), Department of Defense (DOD), Nuclear Regulatory Commission (NRC), National Institute of Health (NIH), the Environmental Protection Agency (EPA), the Department of Agriculture (USDA) and other agencies also apply to University activities.

Exclusions and Exemptions

Certain categories of information are excluded from the U.S. export control and economic sanctions regulations. The University shall apply such exclusions and exemptions only in accordance with applicable federal law and shall not rely on these exclusions or exemptions without appropriate review and documentation The Fundamental Research Exclusion (FRE) provides that information and most software that arises during, or results from, fundamental research and is intended to be published is excluded from the export control regulations.

Fundamental Research Exclusion (FRE)

Although the definitions of “fundamental research” vary slightly between the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR), both are based on the National Security Directive 189, which defines fundamental research as “basic or applied research in science and/or engineering at an accredited institution of higher learning, the results of which are ordinarily published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which are ordinarily restricted for proprietary or national security reasons.”

Research will not qualify for this exclusion if:

The University or its researchers accept any restrictions on the publication of the information resulting from the research, other than limited prepublication review by research sponsors to ensure that proprietary information is not inadvertently disclosed in publication or to ensure that publication will not compromise the patent rights of the sponsor; or
The research is federally funded, and specific access and dissemination controls regarding the information resulting from the research have been accepted by the University or the researcher. The University shall, when feasible, structure research activities to preserve eligibility for the Fundamental Research Exclusion. However, the determination of eligibility shall not eliminate other compliance obligations under export control laws.

The Fundamental Research Exclusion applies only to information and does not apply to:

The sponsor’s existing proprietary information when some or all of that information is required to held confidential.
Work done outside the U.S.
The export, reexport, or transfer of controlled tangible items, materials, equipment.
Certain encryption or cryptographic software or source code.
Controlled proprietary information.
The provision of export-controlled services, training, or technical assistance.
Activities otherwise restricted by federal law.

Controlled research materials, hardware, software, biological materials, and technology remain subject to export control regulations even if the research itself qualifies as fundamental research.

Educational Instruction Exclusion

Information released through instruction in academic catalog-listed courses at U.S. institutions of higher education, or through associated

Under the International Traffic in Arms Regulations (ITAR), information concerning general scientific, mathematical, or engineering principles commonly taught in universities is not considered controlled technical data.

This exclusion does not apply to some encryption software, principles not commonly taught, information released outside of catalog listed courses such as seminars, sensitive nuclear technology, or to information subject to specific federal access or dissemination controls.

Public Domain/Publicly Available Information Exclusion

Information that is published and generally available to the public, including publicly available technology and certain publicly available encryption software, is not subject to export control regulations.

Information may be considered “published” and hence in the “public domain” when it is generally accessible to the interested public through:

Libraries (public or university)
Periodicals, books, print, or other media
Patents and patent applications
Conferences, meetings, seminars, trade shows, or exhibits open to the public or technically qualified public.
Websites accessible to the public

This exclusion does not apply when:

There is reason to believe the information may be used for weapons of mass destruction.
The U.S. government has imposed access, dissemination, or contractual controls; or
Other regulatory restrictions apply.

ITAR Exemption for Disclosure to Bona Fide Full-Time Employees

The University may rely on the ITAR exemption permitting disclosure of unclassified technical data in the United States to foreign persons who:

Are bona fide full-time regular employees of the University;
Maintain a permanent abode in the United States during the period of employment;
Are not nationals of embargoed countries; and
Have been informed in writing that the technical data may not be further disclosed without government authorization.

Graduate students and temporary personnel generally do not qualify as bona fide full-time regular employees for purposes of this exemption.

Export Control and Economic Sanctions Compliance Program

Export control and economic sanctions regulations affect many activities across the University. To implement this policy, the ECO and EO work with the appropriate vice presidents, college deans, department heads, directors, and the Office of General Counsel to develop procedures that comply with the export control regulations.

Procedures are maintained on the Research Integrity & Security website at https://www.unr.edu/research-integrity/program-areas/export-controls.

This policy, procedures published on the website, and the procedural manual maintained by the ECO comprise the University’s export control and economic sanctions compliance program.

Noncompliance, Penalties, and Disciplinary Action

Suspected violations of export control or economic sanctions regulations should be immediately reported to the ECO, EO, or a member of the University’s senior leadership team. When noncompliance is substantiated, the University will take appropriate corrective and remedial actions consistent with applicable law and institutional policy.

In addition to civil and criminal penalties that may apply under applicable laws to individual University employees, students and volunteers and to the University itself, violation of export controls and economic sanctions laws and regulations may subject the violator to remedial or disciplinary action in accordance with the Board of Regents’ Code, Title 2, Chapters 6, 8 and 10 and applicable institutional policies and procedures for misconduct up to and including termination and dismissal.

Voluntary Self-Disclosure

When appropriate and consistent with federal requirements, the University may submit voluntary self-disclosures to relevant U.S. government agencies. Such disclosures will be made with appropriate institutional authorization and in accordance with applicable regulations.

Export Control Training

All ECO/EOs and other individuals a with responsibility for compliance with export controls and economic sanctions regulations shall complete export control training appropriate to their roles and risk exposure. The University provides access to online export control training through CITI free of charge. The ECO may also provide in-person training to researchers and research teams upon request.

Record-Keeping Requirements

Export control and economic sanctions regulations contain specific recordkeeping requirements that must be satisfied. The University shall maintain records of export-controlled and sanctions-related activities in accordance with applicable federal regulations. Records shall be retained for the period required by applicable law and made available to authorized government agencies upon request.

The ECO maintains a recordkeeping system in order to document the University’s commitment to and compliance with federal regulations. Individual exporters and departments also have recordkeeping responsibilities as noted in procedures.

Program Self-Evaluation

To address evolving regulatory requirements, emerging technologies, and institutional risk exposure, the export control officer will evaluate the export compliance and economic sanctions compliance program at least annually through internal reviews, audits, or assessments. Findings may inform policy updates, corrective actions, training enhancements, or risk mitigation strategies.

Definitions and Explanations of Terms Used in this Policy

Deemed Export: The release of technology or software source code subject to the Export Administration Regulations (EAR) to a foreign national in the United States is “deemed” to be an export to the home country of the foreign national under the EAR. Although the International Traffic in Arms Regulation (ITAR) does not use the words “deemed export,” disclosing or transferring technical data subject to the ITAR to any non-U.S. person is considered to be an export “whether in the United States or abroad.”

Empowered Official (EO): A U.S. citizen who is legally empowered (in writing) by an institution to sign export license applications or other requests for approval on behalf of the institution. The EO has the independent authority to inquire into any aspect of a proposed export, verify the legality of the transaction and the accuracy of the information to be submitted, and refuse to sign a license application or other request for approval without prejudice or other adverse recourse.

Export: An actual shipment or transmission of items, services or technology/technical data out of the United States or the release of technology or software source code (EAR) or technical data (ITAR) to a foreign person in the United States. Technology, software or technical data can be “released” for export through visual inspection, oral exchanges, transfer or shipment, or provision of a service.

Export Control Officer (ECO): A person who is identified formally at an institution for the purposes of institutional compliance with export control and economic sanctions regulations. It is not the role of the ECO to determine what research or activities that academic and institution research personnel may engage in. Such a determination will fall to the individual’s college, department or unit and Research & Innovation.

Foreign Person: A natural person who is not a U.S. citizen, lawful permanent resident (“Green Card” holder) or protected individual (formally granted asylum). It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions). An equivalent term is “foreign national.”

Technical Data (ITAR): Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense items controlled by ITAR.

Technology (EAR definition): Information (whether in tangible or intangible form) necessary for the development, production, use, operation, installation, maintenance, repair, overhaul or refurbishing of an item controlled by the EAR.

Technology Control Plan (TCP): A written plan that describes the steps to be taken to control the access and dissemination of export-controlled items, information, materials, technology and/or data in accordance with federal export regulations. Elements of a TCP include, but are not limited to, an identification of the item/technology to be protected, physical security, information security, project personnel requirements, accountability and recordkeeping.

U.S. Person: A person who is granted U.S. citizenship, a lawful permanent resident (“Green Card” holder), granted status as a protected person under 8 U.S.C. 1324b(a)(3), any corporation/business/organization/group incorporated in the United States under U.S. law or any part of the U.S. government.